Pollution Prevention IntegrationA Training Curriculum for Environmental Agency Staff
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process/SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
Capacity building in the public environmental agency to promotecleaner, safer and more competitive industry while protecting our
natural resources.
This integrated curriculum was designed under the sponsorship of an EPA EnviromentalTechnology Initiative Grant to the Massachusetts Department of EnvironmentalProtection. The Toxics Use Reduction Institute, as contractor to the MA DEP, coordinatedthe design and publication of curriculum materials in collaboration with the MA DEPBureau of Waste Prevention and the Northeast Waste Management Officials Association.
EPA Project CX 824560-01-1
Introduction
© Copyright 1999 by the Toxics Use Reduction Institute, University of Massachusetts Lowell; the MassachusettsDepartment of Environmental Protection; and the United States Environmental Protection Agency.
ii Introduction
Introduction Contents
I. Feedback Form ....................................................................................................................................... iii
II. Acknowledgments .................................................................................................................................. iv
III. Curriculum Design ............................................................................................................................... vi
IV. How to prepare to deliver courses from the Comprehensive P2 Integration Training ....................viiCurriculum for your agency
V. How to Use this Instructor’s Manual with Participant Materials ......................................................... x
VI. Training Methodology ........................................................................................................................xii
VII. New Course Design to Customize P2 Curriculum Offerings ........................................................xvii
This material is based upon work supported by the United States Environmental Protection Agency underGrant # CX824560-01-1. Any opinions, findings, and conclusions or recommendations expressed in thispublication are those of the author(s) and do not necessarily reflect the views of the United StatesEnvironmental Protection Agency.
This curriculum document has been developed by staff at the Toxics Use Reduction Institute (TURI)at the University of Massachusetts at Lowell. The principal curriculum and instructional designer is JodyHensley, M.Ed., Senior Education and Training Associate at TURI. Principal document editor is AnneBerlin Blackman, J.D, M.A, Education and Training Associate at TURI.
All rights to this curriculum belong to the Toxics Use Reduction Institute (TURI), the MassachusettsDepartment of Environmental Protection (MA DEP) and the United States Environmental ProtectionAgency (U.S. EPA). The material may be duplicated or used with permission. A request for permissionto duplicate and use portions of the curriculum may be made at the TURI website: http://www.turi.org.
The views expressed within this curriculum document do not necessarily represent the statedpolicies of the above agencies nor does citing of trade names or commercial processes constituteendorsement.
The Toxics Use Reduction Institute is a multi-disciplinary research, education and policy centerestablished by the Massachusetts Toxics Use Reduction Act of 1989. The Institute sponsors and conductsresearch, organizes education and training programs, and provides technical support to governments topromote the reduction in the use of toxic chemicals in industry and commerce. Further information canbe obtained by writing the Toxics Use Reduction Institute, University of Massachusetts Lowell, OneUniversity Avenue, Lowell Massachusetts 01854, or e-mail www.turi.org.
© Copyright 1999 by the Toxics Use Reduction Institute, University of Massachusetts Lowell; theMassachusetts Department of Environmental Protection; and the United States EnvironmentalProtection Agency.
DEP
TOXICS USEREDUCTIONINSTITUTE
Introduction iii
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
I. Feedback Form
We’d Like To Hear From You!
Comprehensive Pollution Prevention (P2) Integration Training
As you use the materials in this curriculum, we are interested in hearing about your experience.
■ Which course materials have you delivered or reviewed? (Delivered = “D”; Reviewed = “R”)
(D/R — indicate in the space below whether you have delivered or reviewed the following courses from the curriculum)
First Tier: Multimedia Cross Training: Curriculum FoundationMulti-Media Environmental Program Awareness: A Cross Training Program Guide
Second Tier: Industrial Process Sector Innovative Technologies CoursesElectroplating and Surface Finishing Sector TrainingSurface Coatings Sector TrainingGarment Cleaning Sector Training
Third Tier: Enhanced Communication CoursesMulti-media Teams I: Making Teams WorkMulti-media Teams II: Increasing the Effectiveness of Multi-media Teams
Fourth Tier: P2 in the Job Function CoursesP2 in Regulatory Enforcement at Commercial and Industrial FacilitiesP2 in Regulatory and Policy Development
Fifth Tier: Information Access for Continuous LearningHands-On Internet Training
■ Feedback on this P2 Integration CurriculumCreative Use of the Course Materials
Participant Feedback
Editorial Comments
Other Suggestions
Mail this form to: P2 Curriculum Feedback Or comment at TURI’s website: www.turi.orgTURI – UMass LowellOne University AvenueLowell, MA 01854Attn: Jody Hensley
iv Introduction
Pollution Prevention Integration: A TrainingCurriculum for Environmental Agency Staff
II. Acknowledgments from the ProjectManager
The design of this curriculum was a collaborativeproject in the broadest and best sense. This projectbegan as a rather simple idea for developing sometraining to help environmental regulators overcomebarriers to incorporating pollution prevention intotheir daily work. The project evolved into a compre-hensive curriculum design that represents a thought-ful training strategy for almost any environmentalregulatory agency working to shift to pollutionprevention as a central organizing principle.
Conceptual Design Team for the Curriculum At theMassachusetts Department of Environmental Protec-tion (MA DEP), special thanks to Tom Hughes for hisforesight in identifying and writing the grant pro-posal for a training and information project with thevision of learner-centered pollution preventionintegration training. Another portion of this grantestablished an information resource center availableto course participants for continuous learning. LeeDillard Adams, as acting Assistant Commissioner andhead of the transitional office of program integrationduring the time of critical conceptual development ofthis project, provided leadership in taking wide-ranging discussions back to her group and nurturingthe shaping of those ideas into a coherent plan. SteveEdelheit provided the training development wisdom,experience and patience for the circuitous route ofcontracting and course development. Other membersof the office of program integration with input intoshaping the curriculum design were Deb Gallagher,Doug Fine and Laura Rome. Terri Goldberg, from theNortheast Waste Management Officials Association(NEWMOA), with her perspective on the experienceof the eight Northeast states, brought insight regard-ing critical organizational issues and the transferabil-ity of this experimental curriculum to other states. I(Jody Hensley, M.Ed.) served as project manager forthe curriculum, training, and document design anddevelopment portions of this EPA-funded project.
Anne Berlin Blackman joined the team from TURI asassistant project manager as the project moved fromconceptual design to course development, deliveryand documentation.
Agency Management We’d like to thank the follow-ing people at the Massachusetts Department ofEnvironmental Protection for their support andencouragement in seeing this project through to itsfinal stages: Ed Kunce, Dan McGillicuddy, JimColman, Steve DeGabriele, Barbara Kwetz, DougFine, and Bill Panos.
Course Developers The Multi-media I Environmen-tal Program Awareness Cross Training Program pilotwas coordinated by Steve Edelheit at the MA DEP. Hedeveloped the content template, and along with JodyHensley, conducted train-the-trainer sessions for staffpresenters, “dry-run” presentation rehearsals, andfinal pilot delivery sessions. MA DEP presentersincluded: Gene Romero, Sal Resurreccion, AlNardone, Dave Biggers and Asha Shah from thehazardous waste programs; Walter Hope from theToxics Use Reduction Program; Bob Donaldson,Richard Fields, Bob Boisselle, Tom DeNormandie,Fred Civian, Bert Cox, Leah Weiss and NancySeidman for the Air Quality programs; MikeHutcheson from Research and Standards; Roy Willey,Paul Emond, John Crisley from the Solid Wasteprograms; Kim Kreiton of the Office of Enforcementgave an overview of multi-media initiatives. AnneBerlin Blackman from TURI joined me in designingand facilitating a multi-media integration exercise.
The Industrial Process/Sector Innovative TechnologyCourses had the following course developers: Electro-plating and Surface Finishing was developed by ChrisFord of TURI and Lisa Regenstein from NEWMOA.Mitch Shuldman from the media center at UMassLowell took informal home video from the shop floorand produced a narrated video and still images foruse in the classroom and in the manuals. Tim Greinerof Greiner Environmental developed the SurfaceCoating course. Dave Young worked with Tim in
Introduction v
translating classroom activity into a detailed enoughscript for our publisher to work with for this coursemanual, and he helped with the document prepara-tion for other courses in the curriculum. Anne BerlinBlackman developed the Garment Cleaning course.Kim Kreiton, Doug Fine and Bill Panos presented MADEP specific information for this course. A workshopon P2 in the photo-processing sector was also devel-oped under the auspices of this program as part of theMA DEP Environmental Results Initiative, althoughno instructor’s manual was developed. Workshopdevelopers were John Reinhardt of DEP and RickReibstein from the MA Office of Technical Assistance.
Enhanced Communication: Multi-media Teams I:Making Teams Work, and Multi-media Teams II:Increasing the Effectiveness of Multi-media Teamswere designed and delivered by Anne Fitzgerald ofFitzgerald Associates.
P2 In the Job Function: Coordination for the develop-ment of P2 in Regulatory and Policy Developmentand P2 in Enforcement was led by Terri Goldberg. Thedesign team for Regulatory and Policy Developmentincluded Steve Edelheit, Anne Berlin Blackman, PhilWeinberg, Doug Fine, Lee Dillard Adams, TomHughes, Rick Reibstein, Walter Hope, George Franz,Claire LaForce and Chris Harris. Dave Young andAnne Berlin Blackman led course documentation. Thedesign team for P2 in Enforcement included KimKreiton (who also led course documentation), AnneBerlin Blackman, Anita Baltherson, Cynthia Chavez,Jody Hensley, and Tom Hughes. Ed Kunce, JimColman and Gail Suchman made presentations forDEP Management.
Information Access: Hands-on Internet Training wasdeveloped and delivered by Tim Greiner and GregGeyer of Greiner Environmental. Steve Greska ofTURI provided preliminary document edits. GregGeyer of EITEC provided final document editing andon-line course design.
Logistical Support Effective on-site logistics canmake or break a training experience for learners andinstructors. Providing logistical management for themajority of the training pilots for this curriculum wasAnne Basanese of the Toxics Use Reduction Institute.Walter Hope and Steve White of DEP recruited andregistered participants and scheduled follow-uptraining sites.
Administrative Support Thanks to Bill Katcher, JohnO’Brien, Scott Boots, and Geoff Taylor at DEP’sBureau of Administrative Services for shepherdingour paperwork through the administrative complexi-ties of the interagency service agreement with theToxics Use Reduction Institute. Thanks also to UMassLowell Research Foundation staff Louise Griffin, LucyMoody, and Joyce Barton for handling the agreementfrom our end.
Design and Publishing A very complex documenta-tion standard emerged from the work on this curricu-lum. Capturing instructional process in one space,and juxtaposing it against course content in a com-prehensible and visually pleasing work on paper, is nosmall feat. Marc Kaufman and Bill Brinkley at Desk-top Publishing and Design Co. worked for almost twoyears preparing numerous drafts of a number of thesecourses. The manual that resulted was largely theresult of his creativity, patience, flexibility and perse-verance as we settled into a final document look andfeel. The printing of manuals and pressing of CD’swas also facilitated through his expertise. Thanks, too,to Jack Luskin at the Toxics Use Reduction Institutefor the learner-centered training information for thefront-end of these documents. Jack’s many years ofexperience with participatory training and pollutionprevention influenced the design decisions through-out the development of this curriculum.
Course Reviewers and Participants Each of thecourses in this curriculum went through design,formative evaluation, redesign and pilot delivery.With a total of twelve and one-half training days, aformative review, and 20 - 30 participants attendingeach of the pilots, the number of agency staff whoreceived training and offered feedback is too extensiveto mention them individually here. Nonetheless, weare grateful for the time and input that helped infinalizing this curriculum.
Environmental Protection Agency Our thanks toEPA for providing the grant funding for this projectand especially to Jim Loundesbury at the HazardousWaste Minimization and Management office forsupport of our efforts in developing a comprehensiveP2 integration curriculum.
Jody Hensley, M.Ed.Curriculum Project ManagerToxics Use Reduction Institute
vi Introduction
Introduction
III. Innovative Pollution PreventionCurriculum Design
The design of this curriculum began with a broaddiscussion of the organizational challenges faced byany environmental agency shifting toward pollutionprevention as an organizing principle.
Progress in environmental protection has been madefor nearly three decades through a pollution controlapproach which led to organizational structuresshaped around single environmental medium con-cerns: clean air, clean water, and waste management.These organizational structures shape the wayenvironmental officials see and do the work ofenvironmental protection.
A whole-facility, pollution prevention approachrequires an integrated look at what materials are used,and how they are used, throughout the productionsystem. This perspective considers the source as wellas the ultimate fate of those materials, be they re-leased to the air, to water or to land, or lost or trans-formed somewhere in the production process. Thissystems perspective considers what is movingthrough the production process rather than just whatis being emitted to one environmental medium inone place.
What this all means for the environmental official isthat an integrated approach to environmental protec-tion requires an expanded knowledge and skill base. Agrowing understanding of multiple media regulationsand a working understanding of a variety of indus-trial sectors provide a knowledge base from which theenvironmental professional can begin to considerpollution prevention as he/she interacts with regu-lated entities. Since this knowledge base is so vast, theability to work effectively with other experts, to shareinformation and to seek solutions collaborativelybecomes more essential. Because the pollutionprevention approach involves looking across previousprogram and job function boundaries, there will bean ongoing need for a fresh look at how P2 fits intovarious job functions. Moreover, with the rate of
change in our modern world, environmental profes-sionals will need to continuously seek the mostcurrent information on cleaner technology innova-tions.
Following the lengthy series of discussions which ledto the identification of the organizational challengesassociated with a shift toward pollution preventionand the identification of corresponding skills andknowledge required for individuals to do work inpursuit of integrated environmental protection, thiscurriculum design emerged.
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
Multi-media Environmental Program Awareness:Cross TrainingA program cross training provides the foundation forthe Pollution Prevention Integration Curriculum. Theprogram is designed to provide regulatory staffhaving little or no experience with other environmen-tal media a basic level of literacy regarding air, water,hazardous and solid waste programs. The MultimediaCross-Training Program uses program staff within anagency working with a trainer to develop presenta-tions of their media programs based on a contenttemplate. The presentations cover a range of topicsincluding: definitions, legal mandates, brief history ofprograms, universe of sources, regulatory mecha-nisms, compliance and enforcement tools/techniques,pollution prevention opportunities and barriers, newtrends/initiatives, role of the agency and otherstakeholders, and information resources. The crosstraining agendas are developed by the agency present-ers and take place over three days. The training days
Introduction vii
can be delivered consecutively, or spaced over weeks.The three-day course concludes with a cross mediaintegration exercise on the final day.
Industrial Process Sector Innovative TechnologiesThis tier contains courses designed to provide regula-tory staff with the knowledge and skills to identify P2opportunities for facilities in specific industries. Thetarget audience is enforcement and complianceassistance staff. The course design assumes that theparticipants are familiar with basic P2 concepts, butmay not be accustomed to applying the concepts in asystematic manner in their job. The sectors for whichtraining manuals have been developed are: Electro-plating and Surface Finishing, Surface Coating andGarment Cleaning. The surface coating course wasdesigned to take place over two days to allow suffi-cient time for a site visit. The other two courses areone day in length. Each course covers the following:industry background, environmental regulation ofthe industry, innovative environmental technology,application of training to the job function, andsources of P2 information.
Enhanced Communications for Multimedia TeamsThis two-part tier is intended to enhance participants’job performance and job-related skills by improvingtheir ability to be effective and productive teammembers in a multi-media team setting as well as toserve as informational resources for their teamcolleagues in their respective areas of expertise. Thecourses assume that participants have a basic under-standing of P2 concepts. The objectives of part one ofthe tier are: 1) to identify the uses and characteristicsof successful teams, 2) to explore roles and responsi-bilities of team leaders and members, 3) to statestrategies and take action on P2, and 4) to develop anapproach to resource sharing with other team mem-bers. The objectives of part two of the tier are: 1) toidentify specific actions a team member and leadercan take to increase group effectiveness, 2) to under-stand and apply a problem-solving method for use onteams, 3) to identify common patterns of resolvingconflicts, and 4) to use a step-by-step approach tonegotiating the resolution of differences.
P2 in Your Job Function (P2 in Enforcement andP2 in Regulatory and Policy Development)The goals of these courses are: 1) to encourage theimplementation of P2 technologies at all levels ofenforcement, policymaking and regulation drafting,
2) to improve enforcement staff ’s and policy/regula-tory staff ’s understanding of P2, and 3) to encouragestaff to explore incorporating P2 into all levels ofenforcement actions, policymaking and regulationdrafting. Both courses examine the structure of theenforcement or policymaking process, methods forincorporating P2 into that process, and sources ofadditional information. Both courses include hands-on exercises to practice integrating P2 into the jobfunction.
Information Access (Hands-on Internet Training)This course is designed to enhance participants’ jobperformance and job related skills by providing anunderstanding of the capability of the Internet as avaluable resource for identifying and researchinginnovative environmental technologies and databases.The course, which can be adapted for beginning oradvanced Internet users, includes the followingcomponents: basic internet hands-on training, anoverview of P2 related Internet resources, successfulsearch strategies, and self-directed learning tech-niques. A paper manual has been developed for thiscourse to assist a new instructor in preparing for thecourse. This material is taught in a computer lab withparticipants logged on to computers so they can pullup a web page and follow the course on-line.
Customizing the CurriculumThe content areas covered among the levels of thisComprehensive Pollution Prevention IntegrationTraining Curriculum address skills and knowledgeneeded by the environmental regulator from a varietyof perspectives. The curriculum represents a well-rounded training strategy. These particular coursesare also created to be customizable for individualagencies with minimal effort. However, the coursesdeveloped within each of the curriculum tiers hererepresent just a sample of what might be the mosteffective coursework to fulfill training needs in agiven agency.
The development of other courses within the curricu-lum tiers may strengthen the P2 training strategy inyour organization. Additional coursework mightinclude industrial process/sector courses for theindustries most prevalent in your area. The EnhancedCommunications tier might include facilitationtraining for making meetings function efficiently andeffectively. P2 in the Job Function might be expandedto courses for permit writers, legal staff, and manag-
viii Introduction
Introduction
ing for pollution prevention. The Information Accesstier could include other course work in efficientresearch strategies and search-oriented thinking.There are many possibilities in each subject area. (See“New Course Design to Customize P2 CurriculumOfferings” later in this section.)
IV. How to prepare to deliver coursesfrom the Comprehensive P2 Integra-tion Training Curriculum for youragency
This is the first edition of Pollution Prevention Inte-gration: A Training Curriculum for EnvironmentalAgency Staff. The documentation specifications forthis “Instructor’s Manual with Participant Materials”are seen here for the first time as well.
The courses in this curriculum were developedcollaboratively with input from subject matterexperts, agency staff and managers, instructional anddocument designers, and experienced event coordina-tors. We recommend that course coordinators workwith subject matter (technical) experts in the area ofcontent covered in a particular course for the bestresults in delivering these course materials.
Course coordinators will also need to customize thematerials for their organization and its present goalsand context. It is critical to brief management andimportant stakeholders within the agency early in theplanning process for these training events. We haveincluded a course delivery worksheet that can help inplanning for the successful delivery of these coursematerials.
Introduction ix
Innovative P2 Course Delivery Worksheet
Course Title::
Course Scoping Meeting (for decision makers and course managers within your agency)
Date:
Attending:
Agenda for the course scoping meeting to include:
Briefly orient decision makers to the course, its purpose and overview of content. (Ideally the coursewill align well with the agency’s strategic goals.)
Identify target audience
Clarify performance objectives for target audience
Identify course coordinator and clarify role
Identify subject matter expert and clarify role
Set target dates for course delivery
Set budget and clarify necessary administrative steps (purchase orders, contracts, etc.)
Ongoing work by course coordinator:
Course Content and Materials
Review materials along with subject matter expert
Review previous course evaluations if they are available and incorporate feedback
Make decisions about how to customize course appropriately
Clarify who will present and facilitate at the course delivery
Prepare participant materials (see “how to use this manual”)
Prepare visuals (overheads/charts) for use in the classroom
Prepare course evaluation forms
Put together attendance list from registration confirmations
Course Logistics
Identify venue for delivering the course
Negotiate contracts for or formally schedule the training venue
Specify room set-up
Invite participants. Schedule through supervisors if necessary. (4-8 weeks notice)
Schedule a room for a rehearsal presentation — optional, but strongly recommended.
Arrange for audiovisual equipment
Arrange for refreshments for breaks and for lunch. (provide or recommend lunch options)
Confirm participants one week prior to training
Know your audience. Check on need for handicap accessibility, vegetarian or special meals cont’d
x Introduction
Introduction
On-site facilities checklist: Audiovisual checklist:
Heat, light, AC working Equipment plugged in
Meeting room well marked Flipcharts, markers plentiful
Know how to darken room Backup equipment accessible
Seating plans/room set-ups firm Overheads/slides legible when projected
Actual registration matches room size Microphones, speakers tested
Water pitchers and glasses available Masking tape, stapler, paper clips
Wastebaskets well placed Scissors, 3-hole punch, available
Coat check room available Copy machine available
Restrooms nearby VCR/ video cued and functioning
Refreshments/Lunch confirmed
Name Tags at participant Sign-in area
Sign-in sheets prepared
Participant Materials ready to distribute
Box or space designated to collect evaluations
Review evaluations and make recommendations for next presentation of the course
V. How to Use this Instructor’s Manualwith Participant Materials
Instructor NotesThis manual is designed so that the left-hand sides ofbinder pages contain notes for the instructor. Theinstructor notes appear opposite the correspondingparticipant material. Various instructions, tips andtalking points are provided for instructor prepara-tion. Additionally, icons appear in the left-handcolumn of the instructor notes to provide visual cuesfor the next instructional element as the instructormoves through course materials in the classroom.
VisualsFull-size visuals for overheads are contained in anappendix at the back of the binder. Instructors cancopy these onto transparencies and use them forvisual support to instruction in the classroom.Reduced versions of these visuals already appear inparticipant materials on the right-hand side (even-numbered pages) of the instructor’s manual.
Participant MaterialsPhotocopying the right-hand (even-numbered) pagescreates participant packages. The backs of these pagesare intended for note-taking space. A blank “note-taking” page is formatted and included for optionalphotocopying on the reverse side of participantmaterials page. (see next page) Several instructionalpoints have been included on some pages so as toreduce the total number of pages needed for theparticipant materials for each course.
Innovative P2 Course Delivery Worksheet (continued)
Participant Notes
ETI Dry Cleaning Training xi
Course
Pollution Prevention Integration:A Training Curriculum for Environmental Agency Staff
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
xii Introduction
Introduction
VI. Training Methodology
The courses in the Comprehensive Pollution Preven-tion Integration Training Curriculum were designedto be learner-centered and participatory. This ap-proach encourages and depends on active participantinvolvement. The format of the sessions generallyincludes participant discussions of case studies andsmall group exercises, rather than following a tradi-tional classroom lecture model. This interactivemethod is based on the understanding that people,adults in particular, learn more fully by doing than bylistening passively.
The following several pages lay out general guidelinesfor presenting this type of workshop. These guide-lines were used in the development of the courses inthis curriculum. Each course has a scriptedinstructor’s manual in which detailed notes areprovided for delivery using participatory methods.
A supportive learning environment that puts partici-pants at ease is critical and should be established atthe beginning of the workshop. Participants knowmore about their own workplaces and businessesthan the instructors do. This methodology builds onthe knowledge and experience of participants and letsparticipants learn from each other as well as from theinstructor.
As instructors, we need to avoid the temptation ofrelying too much on the lecture format — eitherbecause there is so much information to cover in ashort time or because of unfamiliarity or discomfortwith participatory group activities. It is essential tothese courses that participants bring their ideas andworkplace experience into the classroom.
In keeping with the goals of this curriculum, eachcourse session allows time for learning new informa-tion, time for applying new skills, and time for keylearnings. The types of learning activities will includelectures, small group exercises, report-back sessions,large group discussions, hands-on exercises, audio-visual presentations, and evaluation sessions.
LecturesThe purpose of a lecture is to convey a basic body ofinformation. It should be brief, and be combinedwith participatory exercises that allow participants towork with and apply information provided in thepresentation. Guidelines for lecturing:
■ Keep presentations short (people can only sit andlisten attentively for limited periods of time)
■ begin with an overview of what the lecture willcover and its practical application
■ end with a similar summary
■ be explicit regarding why this information is usefulor important
■ make lectures relevant by drawing on examplesfrom participants’ workplaces
■ make lectures interesting by using good visual aidsand never reading your notes
■ encourage active participation by inviting ques-tions from the group
■ pose questions which require participants to applythe information being presented to their ownsituations.
Small Group ExercisesThe purpose of getting people to work together insmall groups to solve problems is: 1) to increaseparticipation, 2) to allow people to use their ownexperience and new information presented in theworkshop to answer questions or address complexissues, and, 3) to establish trust and to enhance theconfidence of workshop participants.
Small group exercises can take different forms,including filling out worksheets as a group, brain-storming a list of ideas on a given topic, or analyzingsituations presented. These activities can be adaptedfor relevance to a particular group. Some guidelinesfor designing case studies and role plays:
■ The situation presented should be familiar andevoke strong feelings among the participants sothey will want to act on it.
Introduction xiii
■ The situation should lend itself to in-depth analysisthat requires participants to explore underlyingcauses of a problem and a wide range of possiblestrategies for solving it. Don’t try to limit or directparticipants’ efforts too much; let them explorehow to proceed on the matter for themselves.
■ Enough information should be provided to outlinethe basic problems and issues to be dealt with, butit is not necessary to include every detail about asituation. (Participants can improve on thescenarios, calling on their own experience to makethem realistic.)
■ Make it clear what you want participants to dowith the role-play or case study by posing ques-tions to be addressed or tasks to be achieved by thegroup. A good basic series of questions for mostcase studies includes:— What are the problems in the situation?— How do these problems compare with ones in
your own workplace?— What are the root causes of the problems?— What can be done about them (what strategies
are called for, what obstacles will be faced)?
Facilitating Small GroupsIt is important for the instructor to facilitate smallgroup activities well. Some guidelines for administer-ing small group activities:
Group size and selection: Each group should contain4-6 people. Each instructor can supervise up to 5groups. Each group should work in a separate area.Group composition can be varied during the work-shop for the widest sharing of experience (this alsoprevents dominant people from establishing controlover any one group). One way to break up groups andallow people to mix is to vary the size: for example,start with 5 groups of 3 each and change to 3 groupsof 5.
Groundrules: Review the following expectations andgroundrules for small group work:
■ We are all colleagues — Let’s respect each other
■ It’s OK to disagree
■ Listen as an ally
■ Participation should be balanced among groupmembers
■ Honor time and other agreements
Roles: Explain that there are a number of roles playedby individuals working in small groups. Share this listof roles and responsibilities:
■ Facilitator:— discussion chauffeur— keep group focused on task— keep group on timeline— make sure everyone has a chance to participate— stay neutral
■ Recorder:— capture basic ideas— create group memory— listen for key words— abbreviate when possible— ask group/facilitator for assistance if needed— ask group to ensure entries are accurate
■ Participants/Group Members— focus on task— listen and respect others— seek solutions that work for everybody— contribute ideas— participate— keep facilitator neutral
■ Spokesperson— listen carefully to discussion— get clarity on what you’re expected to report— report out key points at end of discussion
Tell participants to select a recorder/facilitator/spokesperson each time they break into a group. Thishelps organize the group to work efficiently andenables people to learn important communicationand leadership skills. Some helpful techniques toreview with participants include:
■ Keep time to prevent the group from running outof time before completing the exercise.
■ Keep the group focused on one question at a time.Make sure all sides are heard before moving on tothe next question.
■ Encourage participation from everyone. If oneperson dominates, you can say, “thanks for yourinformation, maybe someone else would like toadd something?” Or ask someone who has been
xiv Introduction
Introduction
quiet if they have a different perspective or experi-ence to relate.
■ Be responsible for summing up the discussion(either the consensus reached or the many sidespresented). This requires you to be neutral. Eventhough you have your own personal opinion, yourrole now is to facilitate group discussion.
■ Listen for key words and basic ideas.
■ Check things out: “Is this what you meant?”
Supervising: The role of the instructor during smallgroup activities is to ensure that the groups areoperating smoothly. At the start of a workshop, it isespecially important to get people talking instead ofworking quietly as individuals. Circulate among thegroups and listen in to assess their progress. Makesure a recorder is selected and is fulfilling his/herroles; ask questions that will help them proceed ifthey get stuck and suggest resources they may haveoverlooked.
It is important that the instructor does not provide allthe answers for the groups or distract them fromworking things out for themselves. It is too easy for asmall group to disintegrate into a question andanswer period between the instructor and the partici-pants if the instructor hovers. There is a fine linebetween ignoring and intervening too much. There-fore, make your observations, intervene only whennecessary, and move on to the next group. If thegroups are talking among themselves and makingprogress, leave them alone.
Report-Back SessionsReport-back sessions which follow small groupactivities are more than time for summarizing andrehashing; they are separate and important activities.The effectiveness of small-group work is drasticallyreduced if not followed by adequate report-back.
Report-back sessions are not optional. Always end thesmall groups in time to allow for ample discussionand analysis in the report-back sessions. Groupreports require as much preparation as other learning
activities and need discussion questions to be plannedahead of time. Reports may begin with each groupgiving a summary of findings but the bulk of timeshould be devoted to discussing questions that bringmore depth to the issue.
In a report-back session there is time:
■ to explore what participants learned during thesmall group exercises,
■ to correct answers that are factually wrong,
■ to pursue a deeper analysis,
■ to challenge the participants to defend theiranalyses and conclusions,
■ to allow groups that reached different conclusionsfor different reasons to learn from each other, and
■ to have the instructor summarize and raise anyimportant points that did not come up in smallgroup discussions.
Sample questions for instructors to pose:
■ How did you come up with your conclusions?
■ Why did the groups come up with differentconclusions?
■ Who benefits from the analysis you come up with?
■ What are some of the underlying reasons for theproblems you have identified?
■ What further information would you need in orderto come up with a more thorough answer to thequestion(s) your group addressed?
Do not be afraid to leave some questions unresolved(for example, if different participants express views atodds with each other or are unconvinced by thegroup discussion). Some activities do not have correctanswers and sometimes participants will push to havethe teacher tell what the right answer is when nosingle answer is “right”. However, don’t be afraid totake a stand on factual issues.
Introduction xv
Large Group DiscussionsIt takes preparation to lead an effective discussionwith a large group of people. Two points to consider:
■ How will you initiate the discussion?
■ How will you ask questions and elicit participationto maintain the discussion?
To initiate discussion, you can use a small groupexercise or other activity (film, mini-lecture) toprovide a common experience that participants cantalk about. Plan a few specific questions which ask foropinions of the common experience. After a smallgroup activity, people already will have expressedtheir opinions and should have less difficulty talkingin a large group. Use “brainstorming” as a listeningexercise, where the group is asked to generate as manyideas on a given topic as possible. After a list iscompiled, it is easier to go back and get a discussiongoing on some of the points already raised. Use “buzzgroups”: briefly break into pairs or small groups tocome up with ideas on an issue. Ask an open-endedquestion of the group, or pose a controversial posi-tion to evoke a response. This technique doesn’t workso well early on in the workshop when people are notyet used to talking together.
Once a discussion is off the ground, think aboutkeeping it lively and on track. Pointers for maintain-ing discussions:
■ Be prepared to keep asking questions of the groupthat require them to come up with ideas them-selves (rather than just responding to instructor’sideas). Questions should encourage participants todraw on their own experience to make or illustratepoints. Calling on people to answer may benecessary to keep things moving.
■ If participants direct questions to you, you canredirect them to the group. Ask if others have ideasthat could address the situation.
■ Try to keep everyone involved in the discussion.Don’t allow one or two people to dominate. Ifnecessary, stop the discussion and tell the groupyou will call on only those who have not yetspoken.
■ Set a good example yourself by keeping your owncomments brief.
■ With a class that likes to talk a lot you may have todirect the discussion to make sure the section youare doing is covered thoroughly and does notexpand to take time from later sections. If thediscussion loses its focus, try a couple of things toregain it; for instance, summarize points that havebeen made on the blackboard or break into smallgroups to summarize where discussion stands.
Hands-On ExercisesThe purpose of hands-on exercises is to break up theday so participants are not all sitting at tables doingbook work. People can get up and move around, andthis allows people to learn by doing.
Some pointers on running hands-on exercises:
■ As a rule, more instructors are needed to runhands-on exercises than other activities.
■ Often classes will have participants with a range ofprior experience. Instructors should try to plan forthis by pairing buddies, splitting groups, or havingadditional instructors available to help somepeople.
Audio-Visual PresentationsA variety of audio-visual materials can be used in theworkshop to supplement other teaching methods.The more different ways that information is provided(graphics, audio, print) the more likely that peopleare to retain it.
■ Chalkboards or flip charts can be used for record-ing ideas generated by the group. Having oneparticipant record main points while you lead adiscussion makes it easier for people to rememberwhat was last said. This method introducesparticipants to a “teaching role,” and reinforces thebelief that solutions have to start with them.Flipcharts can be prepared ahead of time toaccompany a presentation; the visual outline helpsparticipants listen effectively.
■ Overhead transparencies can be prepared toaccompany a lecture. Using overhead transparen-cies generally means dimming the lights, so someinstructors prefer to use pictures drawn onflipcharts.
xvi Introduction
Introduction
■ Slides and videos can present information in anentertaining way. Used sparingly, they can stimu-late large group discussions.— Videos should always be short (less than 30
minutes).— Make sure you pre-screen the video to check
that its point of view ties in with what you areteaching.
— Avoid showing videos right after lunch!— Using videos and slides usually means darken-
ing the room and therefore reducing discus-sion.
EvaluationThe final learner-centered teaching technique is theevaluation session. Evaluation is important forensuring that participants’ needs are being met by thetraining. It allows the instructor to make appropriateadjustments of workshop content to respond tounmet needs. Evaluating helps participants to becomemore effective instructors by having them think aboutwhat they would do the same or do differently inteaching the workshop. Evaluations help instructorsto become more effective. Although it can be difficultto hear criticisms or suggestions, instructors canalways improve their ability to provide future trainingby getting feedback from the group.
LogisticsRegistration: Mailing or e-mailing registration formsshould take place three to five weeks before the firstsession. This will give participants enough time toplan for the workshop, but not enough that they putany notice or announcement aside and forget aboutit. Be sure to include a closing date for registrations inany announcement for the workshop.
Confirmations: Each participant should receive aconfirmation of attendance, a workshop agenda, anddirections to the training venue.
Instructor Pre-workshop tasks: Several tasks shouldbe completed before the first session.
■ Reserve space and break-out areas for the work-shop. The room should be set up classroom stylewith round tables or a table grouping which lendsitself to small group discussion.
■ Review registrant names. Knowing the backgroundof participants may be useful in discussion groups.Individuals can be called upon to share uniqueexperiences, thereby adding to the depth ofdiscussion.
■ Review the Instructor Guide and your own notes.While it is true that instructors use different styles,the content of the presentation should remain thesame.
■ Prepare workshop materials. Be sure that there areenough hand-outs, exercises, manuals and evalua-tion forms for all participants. Check handoutmaterial for copy quality.
■ Review prepared overheads. Overheads have beenprepared for the workshop and are referred to inthe instructor notes by title and/or overheadnumber.
■ Gather sufficient materials to support activities. Itis helpful to bring a box supplied with maskingtape, overhead markers, pens, flip chart markers,scissors, paper clips, stapler, ruler, etc.
Introduction xvii
VII. New Course Design to CustomizeP2 Curriculum Offerings
Customizing the CurriculumAs mentioned earlier, the content areas coveredamong the levels of this Comprehensive PollutionPrevention Integration Training Curriculum addressskills and knowledge needed by the environmentalregulator from a variety of perspectives. It represents
a well-rounded training strategy. However, thecourses developed within each of the curriculum tiershere represent just a sample of what might be themost effective coursework to fulfill training needs in agiven agency.
The development of other courses within the curricu-lum tiers may strengthen the P2 training strategy inyour organization. Examples of additionalcoursework might include:
New Course Development BasicsDeveloping an effective course is not a simple task.But when managed well, new coursework can meetimportant organizational needs. A design processincluding input from management, key staff, atechnical subject matter expert and a course designeris best equipped to develop new, relevant courseworkto enhance this curriculum design.
Internal discussion of organizational goals, individualperformance objectives, performance gaps, andcorresponding skill and knowledge developmentissues should form the basis of the discussion forselection of new course content. Once a content orskill area is selected, a new course should be scoped.The scoping meeting should include a discussion ofthe objectives of new coursework, the target audience,the blocks of content to be covered, the selection of asubject matter expert(s) to develop the course indetail, and a draft (very broad and preliminary)agenda.
The course developer and content expert thenproceed with more detailed agenda development,draft participant materials, visuals, exercises andinstructor notes.
A mid-course development checkpoint assembles theoriginal team to review and comment on coursedevelopment. A formative evaluation should then bescheduled. This is a “dry run” or rehearsal of thedrafted course before a small, sample audience. Acritique panel is invited, a training room scheduledand AV arranged as similar as possible to the actualtraining venue. A rehearsal presentation is deliveredand the panel/audience suggests changes for the finalcourse.
The new course is then readied for pilot before anactual audience. Necessary event coordinationincludes selecting a date and location, notifying keystaff, contracting with or scheduling facilities, inviting
Curriculum Tier New Course possibilities
Industrial Process/Sector Courses for the industries most prevalent in yourarea
Enhanced Communications Facilitation Skills for Making Multi-program/Multi-media Meetings Work.
P2 in the Job Function P2 for Permit WritersP2 for Legal StaffManaging for Pollution Prevention
Information Access Efficient research strategiesSearch-oriented thinking
xviii Introduction
Introduction
participants 4-6 weeks in advance and confirmingtheir attendance 1-2 weeks in advance. Finally, there isthe work of preparing evaluations, preparing partici-pant materials and instructor materials, managing allAV needs and then delivering the pilot. (see “Innova-tive P2 Course Delivery Checklist” in and earliersection of this preface).
Depending on the amount of time a course developerand content expert can devote the development of anew course in a focused way, 6 to 12 months shouldbe allowed for the selection, design, development andpiloting of original pollution prevention integrationcoursework. Following you will find a summary ofthis process on the “Pollution Prevention IntegrationNew Course Development Checklist.”
Introduction xix
Pollution Prevention Integration New Course Development Checklist
Course Title: ■ = Milestones
■ Meeting on Organizational Strategy
Who is attending?
Discussion items:
Aligning training with strategic organizational goals
What are our organizational goals? (which one are we addressing here?)
What are the individual performance objectives that relate to the organizational goal?
What are the gaps between desired individual performance and actual performance?
What skills and knowledge might help close those gaps?
Once a content or skill area is selected, a new course can be scoped.
■ Course Scoping Meeting
Who is attending? Discussion items:
What are the objectives for the new course? How does that relate to our organizational goals?
Who is our target audience? (Will the course help participants reach job objectives andorganizational goals?
What blocks of content or skill areas do we want covered in the course?
What subject matter expert(s) can help develop the course in detail?
Who is the course developer who will help shape the content into a learner-centered course?
Draft a very broad and preliminary agenda
Set next steps
■ Course Developers Go to Work
Agenda is developed in detail
Exercises, discussions, instructor tools are selected
Visuals are developed
Participant materials are developed
Draft instructor notes are prepared cont’d
Note: This may be an iterative process, with some later steps on this checklistprompting reconsideration of earlier steps. Flexibility is important to developing asolid course.
xx Introduction
Introduction
■ Mid-course Development Checkpoint (formative evaluation)
Assemble original team to review and comment on course development (this can be done prior to the“dry-run” or you can use the team as the critique panel)
Schedule a “dry-run” or rehearsal of the course delivery (date/time/location/critique panel)
Prepare for the “dry-run”: (if separate from the original team review and comment)
Critique panel invited
Room scheduled
AV arranged
Deliver course in rehearsal
Collect comments and feedback during or after the session
Incorporate comments into the final course agenda as appropriate
■ Pilot Delivery of New P2 Integration Course
Date chosen
Key staff notified (supervisors) (before you invite participants)
Facilities contracted
Participants invited (4–6 weeks in advance)
Participants confirmed (within a week of the training)
Evaluation forms prepared
See “course delivery worksheet” from earlier in this section of this manual preface for more detail
■ Follow-Up
Summarize evaluation comments and distribute to training design team and other key stakeholders
Incorporate feedback into course agenda for next course delivery
Pollution Prevention Integration New Course Development Checklist (continued)
Note: This may be an iterative process, with some later steps on this checklistprompting reconsideration of earlier steps. Flexibility is important to developing asolid course.
Pollution Prevention IntegrationA Training Curriculum for Environmental Agency Staff
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process/SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
Capacity building in the public environmental agency to promotecleaner, safer and more competitive industry while protecting our
natural resources.
*
This integrated curriculum was designed under the sponsorship of an EPA EnviromentalTechnology Initiative Grant to the Massachusetts Department of EnvironmentalProtection. The Toxics Use Reduction Institute, as contractor to the MA DEP, coordinatedthe design and publication of curriculum materials in collaboration with the MA DEPBureau of Waste Prevention and the Northeast Waste Management Officials Association.
EPA Project CX 824560-01-1
Electroplating and SurfaceFinishing Sector Training
*Industrial Process/Sector Innovative Technologies
Instructor’s Manual with Participant Materials
© Copyright 1999 by the Toxics Use Reduction Institute, University of Massachusetts Lowell; the MassachusettsDepartment of Environmental Protection; and the United States Environmental Protection Agency.
2 Instructor Notes Electroplating and Surface Finishing Sector Training
Table of Contents with Overheads
Module 1 Introduction ................................................................................................................................................................................................................ 10Welcome .............................................................................................................................................................................................................................. 11Agenda ................................................................................................................................................................................................................................. 11
Module 2: Straight Talk on Metal Finishing .............................................................................................................................................................................. 12Straight Talk on Metal Finishing ....................................................................................................................................................................................... 13Why Are Things Plated? ..................................................................................................................................................................................................... 15Surface Finishing Processes ............................................................................................................................................................................................... 17Five Basic Processes ............................................................................................................................................................................................................ 19Two types of shops ............................................................................................................................................................................................................. 21Characteristics of Captive Shops ....................................................................................................................................................................................... 21Characteristics of Job Shops .............................................................................................................................................................................................. 23Work Handling Methods ................................................................................................................................................................................................... 25Three General Steps in Plating .......................................................................................................................................................................................... 27
Module 3: Video: A Facility Walk-Through .............................................................................................................................................................................. 28Flow Chart ........................................................................................................................................................................................................................... 33Flow Chart ........................................................................................................................................................................................................................... 43Pollution Prevention Opportunities ................................................................................................................................................................................. 59P2 Opportunities in Solvent Degreasing .......................................................................................................................................................................... 65Cause and Effect Diagram for Drag Out .......................................................................................................................................................................... 67Reducing Drag Out ............................................................................................................................................................................................................ 67Rinsing Over Plating Tank ................................................................................................................................................................................................. 69Common Rinsing Configurations .................................................................................................................................................................................... 71Drip Boards ......................................................................................................................................................................................................................... 73Reactive Rinsing .................................................................................................................................................................................................................. 75Drag Out Prevention .......................................................................................................................................................................................................... 77More on Drag Out Amounts ............................................................................................................................................................................................. 77Estimation of Drag Out ..................................................................................................................................................................................................... 79Solvent Replacement .......................................................................................................................................................................................................... 81Pollution Prevention Opportunities in Processing ......................................................................................................................................................... 85Pollution Prevention Opportunities in Processing ......................................................................................................................................................... 87Some Pollution Prevention Opportunities ...................................................................................................................................................................... 89Hi-Tech Methods for Material Recovery .......................................................................................................................................................................... 93Diffusion Dialysis ............................................................................................................................................................................................................... 93Vacuum Evaporators for Chemical Recovery .................................................................................................................................................................. 95Reverse Osmosis Nickel Recovery Application ................................................................................................................................................................ 95Ion Exchange ....................................................................................................................................................................................................................... 97Metal Finishing Resources ............................................................................................................................................................................................... 105Web Sites ........................................................................................................................................................................................................................... 109List Servers ........................................................................................................................................................................................................................ 111
Module 4: Pollution Prevention Opportunities ........................................................................................................................................................................ 58Pollution Prevention Opportunities ................................................................................................................................................................................. 59P2 Opportunities in Solvent Degreasing .......................................................................................................................................................................... 65Cause and Effect Diagram for Drag Out .......................................................................................................................................................................... 67Reducing Drag Out ............................................................................................................................................................................................................ 67Rinsing Over Plating Tank ................................................................................................................................................................................................. 69Common Rinsing Configurations .................................................................................................................................................................................... 71Drip Boards ......................................................................................................................................................................................................................... 73Reactive Rinsing .................................................................................................................................................................................................................. 75Drag Out Prevention .......................................................................................................................................................................................................... 77More on Drag Out Amounts ............................................................................................................................................................................................. 77Estimation of Drag Out ..................................................................................................................................................................................................... 79Solvent Prevention ............................................................................................................................................................................................................. 81Pollution Prevention Opportunities in Processing ......................................................................................................................................................... 85Pollution Prevention Opportunities in Processing ......................................................................................................................................................... 87Pollution Prevention Opportunities in Processing ......................................................................................................................................................... 89Hi-Tech Methods for Material Recovery .......................................................................................................................................................................... 93Diffusion Dialysis ............................................................................................................................................................................................................... 93Vacuum Evaporators for Chemical Recovery .................................................................................................................................................................. 31Reverse Osmosis Nickel Recovery Application ................................................................................................................................................................ 95Ion Exchange ....................................................................................................................................................................................................................... 97
Module 5: P2 Exercise: Identifying Waste ................................................................................................................................................................................ 100Module 6: Metal Finishing Resources ...................................................................................................................................................................................... 104
Metal Finishing Resources ............................................................................................................................................................................................... 105Web Sites ........................................................................................................................................................................................................................... 109List Servers ........................................................................................................................................................................................................................ 111
Module 7: Exercise: Incorporating P2 into Facilities .............................................................................................................................................................. 116Module 8: Review/Closing ........................................................................................................................................................................................................ 122
Electroplating and Surface Finishing Sector Training 3
Table of Contents
Module 1 1: Introduction ................................................................................................................................ 10
Module 2: Straight Talk on Metal Finishing .................................................................................................. 12
Module 3: Video: A Facility Walk-Through ................................................................................................... 28
Module 4: Pollution Prevention Opportunities ............................................................................................. 58
Module 5: P2 Exercise: Identifying Waste .................................................................................................... 100
Module 6: Metal Finishing Resources........................................................................................................... 104
Module 7: Exercise: Incorporating P2 into Facilities ................................................................................... 116
Module 8: Review/Closing ............................................................................................................................ 122
Instructor Notes
4 Instructor Notes Electroplating and Surface Finishing Sector Training
Icon legend
Trainer needs to
CUSTOMIZE this section to
fit region, agency, etc.Customize
Nex
t…
Transition to NEW TOPIC ORCONCEPT
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ParticipantExercise
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ParticipantHandout
HANDOUT, EXERCISE orEVALUATION
referred to in this section
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ParticipantExerciseE V A L
Trainer ASKS SPECIFIC
QUESTIONS at this point????
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FLIPCHART
used in this section
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OVERHEAD (no.)
referred to in this section
PAUSE Video
Start Video
VIDEO used in this section
STOP Video
WWWLog onto WORLD WIDE WEB
“HANDS ON” EXERCISE
“ROUND-THE-CLOCK”
EXERCISE
PAIRED, SMALL or LARGEGROUP EXERCISE
Instructor Notes
6 Instructor Notes Electroplating and Surface Finishing Sector Training
Electroplating and Surface Finishing Sector Training
P2 Integration: a Training Curriculum for Environmental Agency Staff
Instructional Objectives
Participants will:
1. Gain a better understanding of the plating process.
2. Be able to identify opportunities for electroplating facilities to implementpollution prevention.
3. Be able to work with facilities to encourage pollution prevention through theirtraditional job activities.
4. Develop skills to work with a facility to encourage the use of pollution preven-tion as a tool for compliance.
5. Integrate pollution prevention into their current jobs.
Entry Behaviors and Characteristics
1. Participants are regulatory staff (Federal, state, or local) involved in complianceinspections and/or enforcement.
2. Participants have introductory knowledge of pollution prevention and toxicsuse reduction concepts and are interested in more technical training.
3. Participants are expected to be catalysts for pollution prevention, rather thanimplementers.
4. Participants are regulatory staff who can encourage pollution preventionthrough their roles as technical assistance providers.
Performance Objective
1. Participants will be able to ask specific and clarifying questions during aninspection, permit review, or enforcement action. This will make the facilityaware of opportunities to implement pollution prevention projects that willreduce the use of toxics.
2. Participants will learn how to work with a facility and encourage them to usealternative technologies and techniques.
3. Participants will gain an understanding of the electroplating process andrelevant pollution prevention options.
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 7
Instructional Objectives
Participants will:
1. Gain a better understanding of the plating process.
2. Be able to identify opportunities for electroplating facilities to implementpollution prevention.
3. Be able to work with facilities to encourage pollution prevention through theirtraditional job activities.
4. Develop skills to work with a facility to encourage the use of pollution preven-tion as a tool for compliance.
5. Integrate pollution prevention into their current jobs.
Performance Objective
1. Participants will be able to ask specific and clarifying questions during aninspection, permit review, or enforcement action. This will make the facilityaware of opportunities to implement pollution prevention projects that willreduce the use of toxics.
2. Participants will learn how to work with a facility and encourage them to usealternative technologies and techniques.
3. Participants will gain an understanding of the electroplating process andrelevant pollution prevention options.
Electroplating and Surface FinishingSector Training
Instructor Notes
8 Instructor Notes Electroplating and Surface Finishing Sector Training
Agenda
Module Approximate Time
1 Introduction/Expectations 15 minutes
2 Straight Talk on Metal Finishing 25 minutes
3 Video: A Facility Walk Through 50 minutes
4 Pollution Prevention Opportunities 45-60 minutes
5 P2 Exercise: Identifying Waste 45-60 minutes
6 Metal Finishing Resources 30-45 minutes
7 Exercise: Incorporating P2 into Facilities 60-75 minutes
8 Review/Closing 15 minutes
TOTAL approx 5.75 hours
Instructor Tools
1. Lecture: Much of the technical content will be delivered in an interactive lectureformat. In an interactive lecture, the trainer will introduce ideas or topics andsolicit responses from the audience. (i.e., The trainer introduces a topic such as“anodizing” and asks the audience what it means or how it relates to metalplating operations.) The trainer then gives the technical definitions orinformation about the ideas or topics.
2. A video is used in module three in place of a facility walk through. This videoillustrates the processes that take place in a metal finishing facility. Stills fromthat video are included in the manual. Copies of the video can be obtained fromTURI; call 978-934-3346.
3. Several small group exercises are used in this training. This allows participants toshare their knowledge and expertise with each other. The exercises also giveparticipants an opportunity to practice some of the skills they will need whenencouraging facilities to investigate pollution prevention options.
4. NEWMOA’s “Pollution Prevention for the Metal Finishing Industry” is a goodcompanion piece for this course. Call 617-367-8558 to order.
5. Overhead numbering system: Overheads are numbered sequentially andreferred to (by number) in both the “Instructor Notes” section and the“Participant Notes” section.
6. The student materials may be reproduced by copying the right-hand pages ofthis instructor manual.
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 9
Training Agenda
Module
1 Introduction/Expectations
2 Straight Talk on Metal Finishing
3 Video: A Facility Walk Through
4 Pollution Prevention Opportunities
5 P2 Exercise: Identifying Waste
6 Metal Finishing Resources
7 Exercise: Incorporating P2 into Facilities
8 Review/Closing
Instructor Notes
10 Instructor Notes Electroplating and Surface Finishing Sector Training
Module 1 1 Introduction
1. Introduction: The instructor begins by introducing himself or
herself and discussing the purpose of the training. (Display and
refer to Overhead 1.)
2. The instructor asks the participants to introduce themselves
and give their expectations for the course.
3. Agenda: The trainer should briefly review the agenda and
highlight the areas the training will cover. (Display and refer to
Overhead 2.)
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NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 11
Welcomeoverhead 1
By the end of the day, we hope you will be able to:
■ Gain a better understanding of the plating process
■ Identify pollution prevention opportunities in plating facilities
■ Develop skills to work with a facility to encourage the use of P2 as a tool for
compliance
■ Integrate P2 into your current job
Agendaoverhead 2
■ Introduction
■ Straight talk on metal finishing
■ Video: Facility tour
■ Pollution prevention opportunities
■ Identify the waste
■ Resources for metal finishing
■ Incorpoating P2 into your job
■ Review/Closing
Module 1Introduction/Expectations
Instructor Notes
12 Instructor Notes Electroplating and Surface Finishing Sector Training
Module 2 Straight Talk on Metal Finishing
Section 1: Overview of surface finishing processes
1. Introduce the purpose of the module:
■ to explain why things are plated
■ to give a basic understanding of the different processes that
take place in a plating facility
2. Briefly discuss the areas that the module covers: types of shops,
characteristics of the shops, and overview of the plating
process. (see Overhead 3)
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NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 13
Straight Talk on Metal Finishingoverhead 3
Overview
In this session, we are going to cover background information on the metal
plating industry.
Information included in this module:
■ Types of shops
■ Characteristics of the shops
■ Overview of the Plating Process
Module 2Straight Talk on Metal Finishing
Instructor Notes
14 Instructor Notes Electroplating and Surface Finishing Sector Training
3. Interactive lecture: Display Overhead 4. This overhead gives
several reasons why plating is important.
■ Discuss plating for aesthetic reasons. Display only heading
and ask “Why are things plated?” — use the following penny
example: Hold up a penny or toss some pennies to
participants. Ask “What are these made of?” Then explain:
The penny is generally considered to be made from copper.
However, the government switched to making the penny
from zinc some years ago. The zinc is covered with an
electroplated copper coating. Why would they do this? It
costs too much to make the entire penny from copper! But
is the issue merely cost? If so, why not leave the penny
looking like zinc? The US government (and probably the
citizenry as well) wants to keep it looking like the old penny
for aesthetic reasons.
■ Solicit answers from participants on the remaining topics of
Overhead 4. How do platings provide corrosion resistance,
lubrication, and conductivity? Possible answers include:
Corrosion resistance: protects metal surfaces from corrosion.
For example, chrome plated bumpers, cadmium plated fish
hooks (for marine applications)
Lubrication: some coatings are better able to provide anti-
friction properties, or have a structure that allows oil to be
trapped in the porous surface and provide lubrication.
Electrical conductivity: many metals, such as copper, silver,
and gold, offer excellent conductivity. These metals can be
plated onto a surface to give conductivity. For example,
copper is plated onto a substrate then removed from certain
areas to make printed circuit boards.
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????
Module 2
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 15
Why Are Things Plated?overhead 4
■ Aesthetics
■ Economics
■ Lubricity
■ Conductivity
■ Corrosion Protection
■ Plating on non-conductors
Module 2
Instructor Notes
16 Instructor Notes Electroplating and Surface Finishing Sector Training
Plating on non-conductors: electroless technology allows
non-metal parts, such as today’s ABS bumpers to be plated
with a layer of metal, in this case, for decorative effects. A
thin layer of metal deposited from an electroless bath then
allows the parts to processed in a “full-build” electroplating
bath if desired.
4. Metal plating is just one of many processes in the surface
finishing industry. Overhead 5 shows some of the other metal
finishing processes. These other processes allow us to impart
the desired functionality or aesthetic quality to the surface. We
just discussed plating, which allows us to plate a thin layer of
metal over a metallic or, in some cases, non-metallic substrate.
Other finishing processes include removing metal or changing
the surface characteristics of metal. The next overhead lists
some basic processes used to give the desired characteristics
to the metal.
Module 2
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj5
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 17
Surface Finishing Processesoverhead 5
PolishingBuffingGrinding
EtchingElectroetching
PVDCVD
SurfaceFinishes
OrganicTechnologies
LiquidCoatings
PowderCoatings
Anodizing Chromating Phosphating AqueousProcesses
PhysicalProcesses
MetalDeposition
RemovalTechnologies
ConversionTechnologies
AqueousProcesses
ElectroplatingElectrolessPlating
DryProcesses
Module 2
Instructor Notes
18 Instructor Notes Electroplating and Surface Finishing Sector Training
5. Display Overhead 6: This overhead lists some of the different
techniques that surface finishers use to achieve the desired
properties of the surface. Solicit answers to these concepts
from the audience. Possible answers include:
■ Plating: Depositing metal, as discussed earlier.
■ Polishing/bright dipping: These processes use chemical
formulations that create a smooth reflective surface by
removing some of the base metal. Electrical current may be
part of the process, as in electro-polishing, or not part of the
process, as in copper bright dipping. Example: Electro-
polishing, in a phosphoric/sulfuric acid bath, of a stainless
steel reflector.
■ Passivating: Removal of iron contamination on the surface of
stainless steel to prevent subsequent corrosion. Example:
Passivation of a stainless steel valve body after it has been
cut, ground and buffed.
■ Anodizing: Electrolytic process where aluminum parts are
made anodic, with the resultant formation of aluminum
oxide film that increases both hardness and corrosion
resistance. The parts can also be dyed different colors.
Anodizing will most likely be the process with the highest
toxics use per unit of product in a metal finishing facility.
Example: Anodizing of architectural aluminum window
frames to improve hardness and corrosion resistance.
■ Chromating: Aluminum, zinc, and then chrome is added to
provide a finish, hardness, and corrosion protection.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj6
Module 2
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 19
Five Basic Processesoverhead 6
■ Plating
■ Polishing/Bright Dipping
■ Passivating
■ Anodizing
■ Chromating
Module 2
Instructor Notes
20 Instructor Notes Electroplating and Surface Finishing Sector Training
Section 2 Background on the surface finishing industry
1. Ask the audience: What are the two general types of shops that
exist in the surface finishing universe? Display Overhead 7.
■ Captive shop: A shop that is owned by the manufacturer of
the parts that they process. The parts may or may not be
manufactured on site.
■ Job shop: A shop that solicits work from outside companies,
and performs any process that it may have in the shop.
2. What are the implications for P2 at these types of facilities? In
other words, what kind of control over the process does each
of these types of shops have? Which is more likely to have
better resources and better communication with the design
engineers? Which is more likely to be doing the same job more
than once?
■ Display Overhead 8 and deliver the following information:
Captive shops may be original equipment manufacturers
(OEMs), and probably have greater resources to invest in
pollution prevention. They may have a great amount of
technical expertise in surface finishing. Some captive shops
have only a one small finishing line that they operate by rote.
Other captive shops have very large and complex finishing
systems that are attended by experienced and knowledgeable
operators, process engineers, and chemical support staff.
Captive shops may have a greater ability to exert influence on
the way that parts are engineered. They can use cutting fluids
that are more amenable to aqueous degreasing, design drain
holes to reduce drag out, and specify finishes that may be
more environmentally friendly.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj8
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj7
Module 2
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 21
Two types of shopsoverhead 7
■ Captive shops
■ Job Shops
Characteristics of Captive Shopsoverhead 8
■ Usually greater resources to invest in P2
■ Expertise in finishing operations varies widely
■ Greater ability to influence how parts are engineered
Module 2
Instructor Notes
22 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Display Overhead 9 and present the following information:
Job shops also vary greatly in their technical ability. Many of
the finishing processes that are being used today are only
trivially different from the processes developed in the late
1800’s and early 1900’s. Many of the job shops are family-run
businesses where the finishing knowledge has been passed
down over several generations. Therefore, finishing is
approached more as an art than a science, and formal training
in chemistry and industrial processing has not been pursued.
■ Process control is key for efficient shop operations. Due to
the lack of formal knowledge, process control is not utilized
often or correctly enough. Particularly for the job shop, but
also for captive shops, process knowledge most often comes
from the vendor of the chemistries they use, if they are
using proprietary chemistries. Many finishing processes are
“recipes” that come out of the various surface-finishing texts,
and therefore do not have vendor support. However, for
many processes, metal finishers depend on the chemical
vendors for processing procedures, chemical concentrations,
pre-processing procedures (cleaning, underplate, etc.). They
also depend on the vendors for updated processes and
pollution prevention information.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj9
Module 2
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 23
Characteristics of Job Shopsoverhead 9
■ Vary greatly in technical expertise
■ Process controls inconsistently used or understood
■ Process knowledge is usually gleaned from vendors
Module 2
Instructor Notes
24 Instructor Notes Electroplating and Surface Finishing Sector Training
3. Work Handling Methods: There are two major ways that work is
handled in a plating shop: (Refer to Overhead 10.)
■ Rack: When work is racked, it is put onto a frame by hanging,
clamping, bolting, or similar means. In this case, part
orientation, draining holes, and work practices are all
extremely important for drag out reduction.
■ Barrel: There are a few reasons why barrel processing can be
efficient. You can process many parts in a small volume of
solution. There are parts that are virtually un-rackable, such
as ball bearings. For parts with complex geometry, you can
get more even plating. The issue for toxic use reduction is
that there is a much larger amount of drag out associated
with barrels. This is due to the interstitial spaces between
the parts in the barrel.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj10
Module 2
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 25
Work Handling Methodsoverhead 10
■ Rack
■ Barrel
Module 2
Rack
Barrel
Instructor Notes
26 Instructor Notes Electroplating and Surface Finishing Sector Training
4. Overhead 11 depicts the general process flow for plating
operations:
■ Pre-clean: Parts come into the plater (either from in-housemetal forming operations or from outside customers) withcontamination such as machining fluids, oils, and rust(oxidation). This contamination needs to be removed beforeprocessing the parts. There are different methods for doingso, depending on whether the facility is processingaluminum or non-aluminum parts. For the sake ofcompleteness, there are variations within these divisions,but the general approach is similar.
Both situations employ some type of oil removal, oftenvapor degreasing. There are some excellent replacementsfor vapor degreasing, but their use requires careful testingand implementation or the project could be unsuccessful.
■ Processing: The processing step is where the actualapplication of the metal takes place. There are a variety ofmethods, processes, and process solutions for applying themetals. For the purposes of this training, we will discussplating, anodizing, and chromating (in later modules).
The major sources of loss from electroplating operationsare drag out losses and bath dumps. There are many ways tocontrol both of these sources, but elimination of the losses isvirtually impossible. Capture, recovery, and purification ofthese losses are the procedures required for good shopoperation. Note that this is true for all applications, includingpre-cleaning and post processing. However, there may besubstantial differences in implementation of such recoverytechniques in the different operations.
■ Post Processing: This step includes rinsing and stain-freedrying, if necessary. Not all processes or platers will requirestain free drying. Typically the drying step is done only
where the client requires a stain free product.4 Module 3
Module 2
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj11
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 27
Module 2
Three General Steps in Platingoverhead 11
Pre-cleaning Process
Plating
Post-Process
Instructor Notes
28 Instructor Notes Electroplating and Surface Finishing Sector Training
Module 3 Video: A Facility Walk-Through
1. Video presentation: This video gives participants an
understanding of what operations take place in a typical shop.
It also illustrates some of the regulatory issues that might be
encountered in such a shop. Participants should try to notice
pollution prevention opportunities in the video. The video
represents only a few of the hundreds of different processes.
2. Introduction to video:
To give you a sense of surface finishing operations, we have
prepared a video presentation of several different operations
in several different shops. In the different portions of the video,
we will discuss the various sources of waste in the surface
finishing shop and touch on some of the regulatory issues that
affect the industry.
In addition to showing the wastes and regulatory issues, we
will also discuss some of the ways in which pollution can be
prevented in the process. As we go through the video, be
aware of these discussions, and make notes in your workbooks
regarding process inputs and outputs, regulatory issues and
pollution prevention techniques.
Note that the processes that we will see are representative
of the dozens, if not hundreds, of surface finishing operations.
Most of the issues that we discuss will be applicable to the vast
majority of processes.
3. Start the video and show racking and masking sections. Then
stop the video. While the racking and masking sections are
shown, the instructor might give a narrative along the
following lines:
Nex
t…
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 29
Module 3
Video Presentation “Shop Floor View of Metal Finishing”
To give you a sense of surface finishing operations, we have prepared a videopresentation of several different operations in several different shops. In thedifferent portions of the video, we will discuss the various sources of waste in thesurface finishing shop and touch on some of the regulatory issues that affect theindustry.
In addition to showing the wastes and regulatory issues, we will also discusssome of the ways in which pollution can be prevented in the process. As we gothrough the video, be aware of these discussions, and make notes in your work-books regarding process inputs and outputs, regulatory issues and pollutionprevention techniques.
Note that the processes that we will see are representative of the dozens, if nothundreds, of surface finishing operations. Most of the issues that we discuss will beapplicable to the vast majority of processes.
Video: A Facility Walk Through
Instructor Notes
30 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Racking: The parts must be held in some type of fixture in
order to allow them to be processed. As we discussed
previously, the work can be hung, bolted, or clamped onto
the rack to hold it in place. The rack provides the electrical
contact with the rectifier (power source) that allows the
electrons to flow either to or away from the parts. The racks
also hold the pieces rigidly in the agitated solution. This
prevents parts from falling off the racks, and keeps the parts
the correct distance from the anodes or cathodes during
processing.
The other common work handling method is to load the
parts into a barrel for processing. The barrel rotates
continuously during all operations, which allows the
solution to contact all of the parts, and distributes the parts
equally in the barrel during the processing operation. The
parts are in contact with the barrel and each other while the
barrel tumbles, and this allows the electrical contact to be
maintained with all parts during processing.
■ Masking: When parts are designed, the design engineers
often want finishing only on certain areas of the parts. The
places where finishing is undesirable are then “masked-off.”
This involves some type of physical blockage of the surface
to prevent fluid contact with the surface. Types of masks are:
tapes, waxes, paints. There is an art to masking, and some
shops employ full-time “maskers” while others have the
platers themselves mask the parts.
Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 31
Module 3
Racking
Masking
Instructor Notes
32 Instructor Notes Electroplating and Surface Finishing Sector Training
4. Display Overhead 12 and give a brief introduction to the first
process, a Barrel Electroless Nickel Line. Also discuss some of
the processing issues in the electroless process. Suggestions
for the introduction and process issues follow:
■ Introduction: In this process, small valves (about 1 inch in
diameter by 2 inches long) are being processed through an
electroless nickel line by a manually operated hoist
conveyor. There is a pre-clean cycle that consists of alkaline
electro-cleaning and hydrochloric acid pickling. After
cleaning, the parts are immersed in the electroless nickel
bath itself, which applies a thin coating of a nickel/
phosphorous alloy without the use of electricity. Following
the plating operation, the parts are dipped in an organic
solvent that displaces water. Subsequent degreasing in a
chlorinated solvent vapor degreaser removes the organic
solvent and leaves the parts clean, dry, and stain-free.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj12
Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 33
Flow Chartoverhead 12
1. Pre-cleanAlkaline cleaner
1a. Rinse
2. Acid PicklingHydrochloric Acid Pickle
2a. Rinse
3. PlatingElectroless Nickel
3a. Rinse
4. Stain Free DryingWater Shedding Liquid
5. DegreasingVapor Degreasing
NaOH
Water
HCI
Water
NiSO4Organic Acids
Water
StoddardSolvent
Trichlorethylene
NaOH, Oils, Dirt
Spent Rinsewater,Dragout
HCI, Metal
Spent Rinsewater
NiSO4Organic Acids
Spent Rinsewater
TrichlorethyleneStoddard SolventsOils, Greases, etc.
Barrel electroless Nickel Line
Module 3
Instructor Notes
34 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Processing Issues in the Electroless Process:
Electrocleaning: The solution consists of sodium hydroxide,
detergents, and wetting agents. The parts are immersed in
the bath, and a current is applied that splits water into
molecular hydrogen and oxygen. These gases form bubbles
on the surface of the parts that travel up the part and then
lift off to the surface. The action of the bubbles on the
surface of the parts provides a scrubbing action and
agitates the solution. This brings fresh solution to the
surface of the parts and allows the chemical reactions to
continue.
Pickling: The hydrochloric acid serves to both dissolve any
surface oxidation from the part and also to neutralize any
remaining sodium hydroxide on the part.
Electroless Nickel: The nickel is plated on the part by the use
of a chemical reducing agent that supplies the electrons
necessary for the plating reaction.
Drying: This particular process, due to customer
specifications for stain-free drying, uses a water-displacing
liquid (stoddard type solvent) to remove all of the water
from the surface of the parts. Next the organic solvent is
removed through the use of chlorinated solvent degreasing.
Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 35
Anode
Cathode
M+2 + 2e– M°ionic, supplied by metaldissolved electricity or deposited at
chemistry cathode
General Plating ReactionElectroplating: electrons are transferredfrom the rectifier to the part via electricalcontacts. The electrons react with dissolvedmetal ions resulting in metal deposition.
Anode
H2
H2
O2
O2
O2
Cathode
H2O H21 + 1/2O21
Electrocleaning (reverse cleaning)Electricity splits water, causing theformation of oxygen bubbles at the anodeand hydrogen bubles at the cathode.
Electrocleaning (Reverse Cleaning)
Elecrtoless Nickel
Module 3
Instructor Notes
36 Instructor Notes Electroplating and Surface Finishing Sector Training
5. Restart the video and show Barrel Electroless Nickel Line. Give
a narration during the video which highlights the important
aspects of the video. For example:
■ Alkaline Cleaning: Alkaline cleaning solutions are the
standard for removal of residual oil, grease and dirt
following the solvent degreasing step. In many operations,
electricity is passed through the parts (referred to as electro-
cleaning), which results in better cleaning from increased
agitation. The agitation is caused by the electrolysis of water,
which also causes the formation of the bubbles of H2 and O
2,
which scrub the surface of the parts as they rise. If no
electricity is used, this cleaning is called soak cleaning.
■ Rinsing: The parts are rinsed of the cleaning solution. Rinsing
of sodium hydroxide solutions can be a difficult proposition
due to their tendency to form a hard to rinse film on the
parts. Often, these rinses are warmed and agitated to assist
the rinsing action.
■ Acid Pickling: After alkaline cleaning, the parts are soaked in
a solution of hydrochloric acid to remove any oxidation or
rust that may be on the parts. Oxidation will inhibit the
deposition of metal on the parts, so it must be removed.
■ Rinsing: The rinsing removes the acid, and also prevents
further etching on the surface of the parts. Note that this
rinsing is done in a separate rinse tank. This is done to
prevent cross contamination, and also for waste treatment
issues. Different solutions need to be treated in different
waste treatment operations. Therefore, many rinses are
segregated for the purposes of collection and treatment.
Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 37
As video continues consider:■ Why is this process being done?■ What are the sources of waste for this operation?■ What are the environmental and industrial hygene problems related
to this process?
Alkaline Cleaning: Alkaline cleaning solutions are the standard for removal ofresidual oil, grease and dirt following the solvent degreasing step. In many opera-tions, electricity is passed through the parts (referred to as electro-cleaning), whichresults in better cleaning from increased agitation. The agitation is caused by theelectrolysis of water, which also causes the formation of the bubbles of H
2 and O
2,
which scrub the surface of the parts as they rise. If no electricity is used, thiscleaning is called soak cleaning.
Rinsing: The parts are rinsed of the cleaning solution. Rinsing of sodium hydroxidesolutions can be a difficult proposition due to their tendency to form a hard torinse film on the parts. Often, these rinses are warmed and agitated to assist therinsing action.
Acid Pickling: After alkaline cleaning, the parts are soaked in a solution of hydro-chloric acid to remove any oxidation or rust that may be on the parts. Oxidationwill inhibit the deposition of metal on the parts, so it must be removed.
Rinsing: The rinsing removes the acid, and also prevents further etching on thesurface of the parts. Note that this rinsing is done in a separate rinse tank. This isdone to prevent cross contamination, and also for waste treatment issues. Differentsolutions need to be treated in different waste treatment operations. Therefore,many rinses are segregated for the purposes of collection and treatment.
Module 3
Instructor Notes
38 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Plating Electroless Nickel: After the pre-clean steps are
performed, the parts are immersed into the electroless
nickel plating bath. This solution is referred to as “electroless”
because no electricity is used in the plating reaction: M+2 +
2e- => M (In this case, the electrons are provided by a
chemical reaction.)
One of the differences between electroless and electrolytic
plating baths is that electroless baths cannot be purified
and rejuvenated indefinitely, as is the case with electrolytic
types. Therefore, these baths are completely dumped and
remade on a regular schedule.
This bath is run at very high temperatures, generally higher
than 190F, and the bath must be filtered vigorously because
any particles in the solution provide a site for the bath to
plate out.
■ Rinsing: The rinsing removes the plating solution. Note that
this rinse tank is segregated from the others.
■ Stain Free Drying: The parts are immersed in an organic
solution that displaces the water from the part (this is
sometimes called a “water shedding” liquid). There are
various materials that can be used, such as stoddard
solvents, alcohol, and so on.
Drag out reduction is of critical importance here because
the water shedding liquid will quickly deplete the
degreasing solvent.
Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 39
Plating Electroless Nickel: After the pre-clean steps are performed, the parts areimmersed into the electroless nickel plating bath. This solution is referred to as“electroless” because no electricity is used in the plating reaction: M+2 + 2e- => M(In this case, the electrons are provided by a chemical reaction.)
One of the differences between electroless and electrolytic plating baths is thatelectroless baths cannot be purified and rejuvenated indefinitely, as is the case withelectrolytic types. Therefore, these baths are completely dumped and remade on aregular schedule.
This bath is run at very high temperatures, generally higher than 190F, and thebath must be filtered vigorously because any particles in the solution provide a sitefor the bath to plate out.
Rinsing: The rinsing removes the plating solution. Note that this rinse tank issegregated from the others.
Stain Free Drying: The parts are immersed in an organic solution that displacesthe water from the part (this is sometimes called a “water shedding” liquid). Thereare various materials that can be used, such as stoddard solvents, alcohol, and soon.
Drag out reduction is of critical importance here because the water sheddingliquid will quickly deplete the degreasing solvent.
Barrel Electroless Nickel Line
Module 3
Instructor Notes
40 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Degreasing: Solvent degreasing, in this case using the
chlorinated solvent trichloroethylene, is often the first step
in the surface finishing process. Here, however, it is being
used as the final step in order to remove the organic water
shedding liquid. This is done in order to provide critical stain
free drying. If the parts were removed from the final rinse
and allowed to dry, there would be many water spots on the
parts, which are unacceptable in this application.
The degreaser has a heating coil in the bottom of the unit
that heats the solvent to boiling. The vapor condenses on
the parts, dissolves the oils and greases and drips off the
parts back into the sump. The oils and greases generally
have higher boiling points, so they stay in the sump while
pure solvent vapor continues to be evolved into the vapor
zone. Near the top of the degreasing unit, there are a series
of cooling coils that create a cold blanket that keeps the
vapors in the unit.
Stop the video; review flowchart.
Module 3
Nex
t…
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 41
Degreasing: Solvent degreasing, in this case using the chlorinated solvent trichlo-roethylene, is often the first step in the surface finishing process. Here, however, it isbeing used as the final step in order to remove the organic water shedding liquid.This is done in order to provide critical stain free drying. If the parts were removedfrom the final rinse and allowed to dry, there would be many water spots on theparts, which are unacceptable in this application.
The degreaser has a heating coil in the bottom of the unit that heats the solventto boiling. The vapor condenses on the parts, dissolves the oils and greases anddrips off the parts back into the sump. The oils and greases generally have higherboiling points, so they stay in the sump while pure solvent vapor continues to beevolved into the vapor zone. Near the top of the degreasing unit, there are a seriesof cooling coils that create a cold blanket that keeps the vapors in the unit.
Barrel in Degreaser
Module 3
Instructor Notes
42 Instructor Notes Electroplating and Surface Finishing Sector Training
6. Preview the second processing line, Copper/Nickel Plating
Over Aluminum, which corresponds to Overhead 13. Discussthe process issues involved:
■ It is axiomatic that often times the final plate that is desired
is possible only after the parts have received one or more“underplates.” In the case of plating over aluminum, it isalmost always necessary to prep the aluminum with a thin
zinc coating followed by a relatively thin copper layer. In thisprocess, the final plate, and the one that provides thedesired function, is nickel.
■ Soak Clean: The pre-processing of aluminum is similar to thealuminum processing discussed above. This solution doesnot use any sodium hydroxide because aluminum dissolves
readily in basic solutions. The solution consists mainly ofborax, which is a good surface cleaner.
■ Caustic Etch: The aluminum oxide layer that forms on
contact with air must be removed prior to furtherprocessing. Etching can be performed with either sodiumhydroxide or a phosphoric acid. The etching process leaves a
dark film, called “smut” on the surface of the aluminum. Thissmut is removed with a strong acid solution in a processcalled de-smut.
■ De-smut: Nitric acid or a tri-acid (a combination of nitric,sulfuric, and hydrofluoric acids) is used to remove thealuminum smut. As with the etch, the bath loads up with
aluminum and becomes less effective, so it must be dumpedwhen a specified concentration of aluminum is reached.
■ Zincate: The zincate solution consists of sodium hydroxide,
sodium cyanide, and zinc metal. When aluminum isimmersed in the solution, zinc exchanges electrons withaluminum, which results in a thin layer of zinc deposited on
the parts.
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Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 43
Flow Chartoverhead 13
Copper/Nickel Plating Over Aluminum
Sodium Tetraborate Sodium TetraborateDirt
1. Pre-cleanSoak Clean
Sodium Hydroxide NaOH, Al2. Surface PrepCaustic Etch
Water Spent Rinsewater2a. RinseSame as 1a
Sulfuric, Nitric,Hydroflouric Acids H2SO4/HNO3/HF/Al3. Surface Prep
Desmut
Zinc CyanideSodium Hydroxide ZnCn, NaOH4. Conversion Coating
Zincate
Sulfamic AcidNickel Sulfamate
Sulfamic AcidNickel Sulfamate
6. PlatingNickel Sulfamate Plate
Potassium Copper CyanideCopper Cynide
Potassium CyanidePotassium Hydroxide
KCuCn, CuCn, KCn, KOH5. PlatingCopper Cyanide Strike
Water Spent Rinsewater1a. Rinse
Water Spent Rinsewater3a. Rinse
Water Spent Rinsewater4a. Rinse
Water Spent Rinsewater5a. Rinse
Water Spent Rinsewater6a. Rinse
Module 3
Instructor Notes
44 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Copper Cyanide: Copper Cyanide Strike baths are used as
primers to deposit a thin but complete layer of copper over
the surface of a part. The solution consists of potassium
hydroxide, potassium cyanide, and copper cyanide. The bath
has a relatively low copper content, but a high cyanide
content. The high cyanide content assists the bath in
depositing the copper in all areas. Note that if the parts are
not zincated, they will dissolve in the copper bath.
■ Nickel Plate: The nickel plate is deposited from a solution of
nickel sulfamate. This deposits a thick but ductile layer of
nickel that meets the customer’s specifications.
7. Restart the video and show the Copper/Nickel Plating Over
Aluminum section. Give a narration based on the following
information:
■ Pre-clean, Preparation, Soak Clean: Cleaning of aluminum is
fundamentally different from cleaning non-aluminum parts.
Alkaline compounds will dissolve aluminum (etching). In
order to remove soils, oil, and so forth, a borax type of
cleaner is used.
■ Rinsing: The parts are rinsed of the cleaning solution. Rinsing
of basic solutions can be a difficult proposition, due to the
tendency of bases to form a film that is recalcitrant to
rinsing. Often, these rinses are warmed and agitated to assist
the rinsing action.
■ Etching: In this case, an alkaline solution is used to etch the
surface of the parts. Aluminum tends to oxidize very readily
upon exposure to air, so the aggressive etching removes
enough aluminum and oxide to ensure that only nascent
aluminum remains.
Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 45
Etching
Module 3
Pre-clean, Preparation, Soak Clean: Cleaning of aluminum is fundamentallydifferent from cleaning non-aluminum parts. Alkaline compounds will dissolvealuminum (etching). In order to remove soils, oil, and so forth, a borax type ofcleaner is used.
Rinsing: The parts are rinsed of the cleaning solution. Rinsing of basic solutionscan be a difficult proposition, due to the tendency of bases to form a film that isrecalcitrant to rinsing. Often, these rinses are warmed and agitated to assist therinsing action.
Etching: In this case, an alkaline solution is used to etch the surface of the parts.Aluminum tends to oxidize very readily upon exposure to air, so the aggressiveetching removes enough aluminum and oxide to ensure that only nascent alumi-num remains.
Instructor Notes
46 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Rinsing:
■ De-smut: The etching process leaves a film of aluminum and
other metal oxides (from alloying constituents that may in
the particular aluminum alloy) that is called “smut.” The smut
is removed in a tri-acid solution of nitric, sulfuric and
hydrofluoric acids.
■ Rinsing: The acid solution is fairly free-rinsing. The solution
contains high amounts of aluminum and aluminum alloy
constituents, so care must be taken regarding metal
treatment.
■ Zincate: It is not possible to plate any metal directly onto
aluminum. In order to do so, a thin “immersion coating” of
zinc is deposited: 2Al + 3Zn+2 => 2Al+3 + 3Zn (This reaction
occurs with no electricity or intermediate chemicals. It is a
direct exchange of electrons between the metals due to
electromotive issues.) The zinc surface is then able to be
plated upon.
Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 47
Rinsing
De-smut: The etching process leaves a film of aluminum and other metal oxides(from alloying constituents that may in the particular aluminum alloy) that iscalled “smut.” The smut is removed in a tri-acid solution of nitric, sulfuric andhydrofluoric acids.
Rinsing: The acid solution is fairly free-rinsing. The solution contains highamounts of aluminum and aluminum alloy constituents, so care must be takenregarding metal treatment.
Zincate: It is not possible to plate any metal directly onto aluminum. In order to doso, a thin “immersion coating” of zinc is deposited: 2Al + 3Zn+2 => 2Al+3 + 3Zn(This reaction occurs with no electricity or intermediate chemicals. It is a directexchange of electrons between the metals due to electromotive issues.) The zincsurface is then able to be plated upon.
Rinse after Etching
Module 3
Instructor Notes
48 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Copper Plate: This is a copper cyanide plating solution.
Cyanides are used for several purposes in plating solutions,
and they have proven difficult to replace. In some instances,
however, it is possible to replace the cyanide solutions.
Electricity is used to drive the plating reaction.
The solution consists of dissolved copper cyanide salts,
free cyanide and sodium potassium hydroxide. The
hydroxide keeps the pH of the solution high — if a solution
containing free cyanide becomes acidic, hydrogen cyanide
gas, a deadly poison, will be evolved.
■ Rinsing: The rinsing of cyanide baths is subject to some of
the same problems associated with sodium hydroxide baths.
Also, rinse segregation is particularly important. Cyanide
solutions must be treated in a separate cyanide oxidation
system and must not be mixed with acid! Mixing cyanide
with acid results in gaseous hydrogen cyanide formation,
which is extremely toxic.
■ Nickel Plate: In this case, nickel is deposited from a solution
of nickel sulfamate. This is an electrolytic plating bath.
An interesting aspect of electrolytic nickel plating baths is
that they tend to be very high is metal content. This means
that, per unit volume of drag out, they tend to lose more
metal than other solutions.
■ Rinsing: Nickel rinses tend to be extremely high in metal, due
to the high metal concentration and high solution viscosity.
Therefore, treatment of these rinses is particularly of
concern.
The fact that these rinses are so high in metal content also
makes these solutions attractive from the point of metal
recovery. In fact, many metal recovery systems are in use on
electroplated nickel solutions.
Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 49
Copper Plate: This is a copper cyanide plating solution. Cyanides are used forseveral purposes in plating solutions, and they have proven difficult to replace. Insome instances, however, it is possible to replace the cyanide solutions. Electricity isused to drive the plating reaction.
The solution consists of dissolved copper cyanide salts, free cyanide and sodiumpotassium hydroxide. The hydroxide keeps the pH of the solution high — if asolution containing free cyanide becomes acidic, hydrogen cyanide gas, a deadlypoison, will be evolved.
Rinsing: The rinsing of cyanide baths is subject to some of the same problemsassociated with sodium hydroxide baths. Also, rinse segregation is particularlyimportant. Cyanide solutions must be treated in a separate cyanide oxidationsystem and must not be mixed with acid! Mixing cyanide with acid results ingaseous hydrogen cyanide formation, which is extremely toxic.
Nickel Plate: In this case, nickel is deposited from a solution of nickel sulfamate.This is an electrolytic plating bath.
An interesting aspect of electrolytic nickel plating baths is that they tend to bevery high is metal content. This means that, per unit volume of drag out, they tendto lose more metal than other solutions.
Rinsing: Nickel rinses tend to be extremely high in metal, due to the high metalconcentration and high solution viscosity. Therefore, treatment of these rinses isparticularly of concern.
The fact that these rinses are so high in metal content also makes these solutionsattractive from the point of metal recovery. In fact, many metal recovery systemsare in use on electroplated nickel solutions.
Copper Plate
Module 3
Instructor Notes
50 Instructor Notes Electroplating and Surface Finishing Sector Training
Review the following with participants:
Chrome Plating: Chrome Plating tank
■ Chrome Plating has specific regulatory issues:
Hexavalent chromium (Cr +6) is very toxic, and in waste water
treatment it is reduced to Cr +3 to reduce toxicity & allow it to
precipitate as chromium hydroxide Cr (OH)3.
Hexavalent chromium plating baths, unlike other plating
baths, do have air releases of metals.
This is because the high metal content (33 oz/gel Cr03)
results in a very viscous solution.
M+6 + 6e– = M0
If you remember our electroplating diagram, M+6 + 6e - => M0.
The percentage as elections that go to the plating reaction
= efficiency. Most plating baths have high efficiency, but
chrome plating’s efficiency is very low (17–25 %). The rest of
the electrons go to split H20=>H
2^ +1/2 0
2^ (just like electro-
cleaning). The formation of these gases results in much gas
bubble generation. When they rise to the surface, they “pop”
at the surface, and due to the high viscosity/surface tension,
a mist is released.
■ Hex chrome plating baths are strongly ventilated to control
this mist (for industrial hygiene purposes), resulting in one
of the very few plating operations that have air releases of
metals. Since hex chrome is so toxic, this is one at the first
MACT standards promulgated by EPA under the CAAA.
Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 51
Chrome Plating Tank
Module 3
Chrome Plating has specific regulatory issues:Hexavalent chromium (Cr+6) is very toxic, and in waste water treatment it is
reduced to Cr+3 to reduce toxicity & allow it to precipitate as chromium hydroxideCr (OH)
3.
Hexavalent chromium plating baths, unlike other plating baths, do have airreleases of metals. This is because the high metal content (33 oz/gel Cr03) results ina very viscous solution.
M+6 + 6e– = M0
If you remember our electroplating diagram, M+6 + 6e - => M0. The percentage aselections that go to the plating reaction = efficiency. Most plating baths have highefficiency, but chrome plating’s efficiency is very low (17–25 %). The rest of theelectrons go to split H
20=>H
2^ +1/2 0
2^ (just like electro - cleaning). The forma-
tion of these gases results in much gas bubble generation. When they rise to thesurface, they “pop” at the surface, and due to the high viscosity/surface tension, amist is released.
Hex chrome plating bathsHex chrome plating baths are strongly ventilated to control this mist (for industrialhygiene purposes), resulting in one of the very few plating operations that have airreleases of metals. Since hex chrome is so toxic, this is one at the first MACTstandards promulgated by EPA under the CAAA.
Instructor Notes
52 Instructor Notes Electroplating and Surface Finishing Sector Training
Start video. There are several methods to control chrome
emissions which will be discussed in the next section. In this
application a mesh pad mist eliminator scrubber is used.
Note that the scrubbed chromic acid is directed back into the
plating tank. Since the bath operates at 150F there is
significant evaporation. Therefore, the scrubber water can be
directed back to plating tank. Note that you must be careful
that the amount of scrubber water not exceed evaporation or
overflow will result.
Cleaning Line/Copper Plating Line Setup
The purpose of this section is to emphasize that proper plating
line setup will reduce dragout, reduce water use and improve
efficiency.
Start video You may remember that there are 3 ways to clean:
direct current, reverse current & periodic reverse. In this case
each tank providesone type of cleaning. In some set-ups, there
is only a single knife switch which the operator controls.
■ Cleaning is followed by hydrochloric acid pickling. Pickling
removes some amount of metals from the surface at the
parts, and metal build-up contaminates the solution. Here, a
diffusion dialysis unit (discussed in the next section)
removes metals on a continuous basis, purifying the
solution.
■ Copper cyanide strike is a ubiquitous process in metal
finishing. Even when the final plate is copper the parts often
receive a “strike”. A strike is a very thin, very uniform layer of
metal deposited on the surface at the parts. It is analogous
to a primer in painting, and provides good adhesion &
electrical characteristics for the next layer.
Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 53
Module 3
Cleaning Line/Copper Plating Line Setup
The purpose of this section is to emphasize that proper plating line setup willreduce dragout, reduce water use and improve efficiency.
■ Cleaning is followed by hydrochloric acid pickling. Pickling removes someamount of metals from the surface at the parts, and metal build-up contami-nates the solution. Here, a diffusion dialysis unit (discussed in the next section)removes metals on a continuous basis, purifying the solution.
■ Copper cyanide strike is a ubiquitous process in metal finishing. Even when thefinal plate is copper the parts often receive a “strike”. A strike is a very thin, veryuniform layer of metal deposited on the surface at the parts. It is analogous to aprimer in painting, and provides good adhesion & electrical characteristics forthe next layer.
These is no need for a rinse between the strike & the full build plating bathbecause the constituents are the same: copper cyanide, potassium cyanide,potassium hydroxide.
Note the excellent modular set up: temperature control, pump controls,amperage controls clearly labeled & accessible. Drip boards are integral betweentanks.
Instructor Notes
54 Instructor Notes Electroplating and Surface Finishing Sector Training
These is no need for a rinse between the strike & the full
build plating bath because the constituents are the same:
copper cyanide, potassium cyanide, potassium hydroxide.
Note the excellent modular set up: temperature control,
pump controls, amperage controls clearly labeled &
accessible. Drip boards are integral between tanks.
■ After the copper plating tank, we come to the best part of
the set up. There are two drag out tanks. A dragout tank is a
still rinse (no running water) into which parts are immersed
after plating. The dragout tanks capture solution which is
“dragged out” at the plating tank.
This has two effects:
1. Reduces the amount of water needed to rinse the parts.
2. The dragout can be periodically pumped back into the
plating tank, recovering potentially “lost” solution.
Each tank has a small pump w/ a “dead man” switch, so that
an operator needs to be present during pumping —
otherwise they might overflow the tank (anti- TUR). The first
dragout tank is pumped to the plating tank, the second
dragout tank is pumped to the 1st dragout tank, at than is
refilled w/ city water.
The double counter flow design of the rinse tank reduces
water usage almost 10X! The vast majority of contaminants
are captured in the 1st chamber, while the fresh water is
added to 2nd, allowing the parts to contact the cleanest
water (more on this in the next section).
Module 3
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 55
Module 3
Dragout Control
There are two drag out tanks. A dragout tank is a still rinse (no running water) intowhich parts are immersed after plating. The dragout tanks capture solution whichis “dragged out” at the plating tank.
This has two effects:
1. Reduces the amount of water needed to rinse the parts.
2. The dragout can be periodically pumped back into the plating tank, recoveringpotentially “lost” solution.
Each tank has a small pump w/ a “dead man” switch, so that an operator needs tobe present during pumping — otherwise they might overflow the tank (anti- TUR).The first dragout tank is pumped to the plating tank, the second dragout tank ispumped to the 1st dragout tank, at than is refilled w/ city water.
The double counter flow design of the rinse tank reduces water usage almost10X! The vast majority of contaminants are captured in the 1st chamber, while thefresh water is added to 2nd, allowing the parts to contact the cleanest water (moreon this in the next section).
Instructor Notes
56 Instructor Notes Electroplating and Surface Finishing Sector Training
8. This ends the video portion of the training: Break participants
into small groups. Ask the participants the following
questions about each of the processes they have just seen:
■ In your opinion, what are the major environmental issues on
this plating line?
■ What are some of the P2 ideas you saw and do you see any
other opportunities for P2?
■ Have small groups report out answers to the above
questions.
????
Module 3
Participant Exercise
Electroplating and Surface Finishing Sector Training 57
Small Group Discussion
Break into small groups and discuss the following questions. Your group will reportout on the highlights of your brief discussions.
Discussion Questions
In your opinion, what are the major environmental issues on this plating line?
What are some of the P2 ideas you saw and do you see any other opportunitiesfor P2?
Module 3
Instructor Notes
58 Instructor Notes Electroplating and Surface Finishing Sector Training
1. Display Overhead 14. Explain that Module 4 covers pollution
prevention opportunities, which are covered in the following
sections:
■ Pollution prevention opportunities in solvent degreasing
■ Pollution prevention opportunities in processing
■ Hi-tech methods for pollution prevention
Module 4 Pollution Prevention Opportunities
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2. Next, we’ll be moving into small groups for an exercise.
Direct participants to discuss and complete the multiple
choice quiz “Pollution Prevention Exercise for Solvent Cleaning:
Test on Solvent Cleaning Procedures.” Then, reconvene the
large group to discuss the answers.
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 59
Pollution Prevention Opportunitiesoverhead 14
In this section we will cover information on P2 techniques and technologies
for plating. These include
■ P2 Opportunities in Solvent Degreasing
■ P2 Opportunities in Processing
■ Hi-Tech methods for P2
Module 4Pollution Prevention Opportunities
Instructor Notes
60 Instructor Notes Electroplating and Surface Finishing Sector Training
Scenario for Exercise One
Tell participants: “Now you’ve seen a vapor degreaser. Think
about where the waste is coming from and ways to minimize
waste.”
This is a sample quiz to demonstrate degreaser operator
competency. How much can you figure out?
Module 4
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ParticipantHandout
Participant Exercise
Electroplating and Surface Finishing Sector Training 61
Exercise One
Pollution Prevention Exercise for Solvent Cleaning: Test on Solvent Cleaning Procedures
General Questions
1. What is the maximum allowable speed for parts entry and removal?A. 8.5 meters per minute (28 feet per min)B. 3.4 meters per minute (11 feet per min)C. 11 meters per minute (36 feet per min)D. No limit
2. How do you ensure that parts enter and exit the solvent cleaning machine at the speedrequired in the regulation?A. Program on computerized hoist monitors speed.B. Can judge the speed by looking at itC. Measure the time it takes the parts to travel a measured distance
3. Identify the sources of air disturbancesA. FanB. Open doorsC. Open windowsD. Ventilation ventsE. All of the above
4. What are the three operating modes?A. Idling, working and downtimeB. Precleaning, cleaning, and dryingC. Startup, shutdown, offD. None of the above
5. When can parts or parts baskets be removed from the solvent cleaning machine?A. When they are cleanB. At any timeC. When dripping stopsD. Either A or C is correct
6. How must parts be oriented during cleaning?A. It does not matter as long as they fit in the parts basketB. So that the solvent pools in the cavities where the dirt is concentratedC. So that solvent drains from them freely
7. During startup, what must be turned on first, the primary condenser or the sump heater?A. Primary condenserB. Sump heaterC. Turn both on at same timeD. Either A or B is correct
8. During shutdown, what must be turned off first, the primary condenser or the sump heater?A. Primary condenserB. Sump heaterC. Turn both off at the same timeD. Either A or B is correct
9. In what manner must solvent be added to and removed from the solvent cleaning machineA. With leak proof couplingsB. With the end of the pipe in the solvent sump below the liquid solvent surfaceC. So long as the solvent does not spill, the method does not matterD. A or B
Module 4
Instructor Notes
62 Instructor Notes Electroplating and Surface Finishing Sector Training
Module 4
Answers
General Questions
1 B Eleven feet per minute results in minimum vapor disturbance in a vapordegreaser.
2 A&C To ensure that the parts proceed at the proper speed and to minimize dragout, the parts should be on a mechanized system. A person holding theparts could probably not move the parts at 11 feet per second for an eighthour shift.
3 E Anything that moves the air in a plant could disturb the vapors in thedegreaser.
4 A Idling — the degreaser is on but not operating. Working — the degreaser iscleaning parts. Downtime — the machine is shut off.
5 C The parts should be moved after the dripping stops in order to minimizedrag out.
6 C Every part, except spheres, has an orientation that will allow the solvent todrain freely.
7 A The condenser must be turned on first so that vapors are captured imme-diately once the heater is turned on.
8 B The sump heater should be turned off first. If the condenser is turned offfirst, some vapors could escape the system.
9 D To prevent losses, leak proof couplings must be used or the end of the pipemust be below the surface of the liquid, or both.
10 B Waste must be stored in a closed container.
11 D Because all of the materials would absorb the solvents and later releasethem, none should be cleaned in a solvent cleaning machine.
Control Device Specific Questions
1 D Ideally the freeboard refrigeration device must be 30% below the solventboiling point. Often, they are operated even below the 30%.
2 F The cover can be open during entry and removal, maintenance, andcompliance measurements.
3 D Covers must completely seal the opening.
4 A Parts should always dwell in the vapor zone.
After small groups finishe the exercise, display Answer Key on
overhead. Discuss onswers in large group.
Participant Handout
Electroplating and Surface Finishing Sector Training 63
10. What must be done with waste solvent and still sump bottoms?A. Pour down the drainB. Store in a closed containerC. Store in a bucketD. A or B
11. What types of materials are prohibited from being cleaned in solvent cleaning machines using halogenatedHAP solvents?A. SpongesB. FabricsC. PaperD. All of the above
Control Device Specific Questions
Freeboard Refrigeration Device
1. What temperature must the FRD achieveA. Below room temperatureB. 50 degrees FahrenheitC. Below the solvent boiling pointD. 30% below the solvent boiling point
Working Mode Cover
2. When can a cover be open?A. While parts are in the cleaning machineB. During parts entry and removalC. During maintenanceD. During measurements for compliance purposesE. A and CF. B, C, and D
3. Covers must be maintained in what condition?A. Free of holesB. Free of cracksC. So that they completely seal cleaner openingD. All of the above
Dwell
4. Where must the parts be held for the appropriate dwell time?A. In the vapor zoneB. In the freeboard area above the vapor zoneC. Above the cleaning machineD. In the immersion sump
Exercise One (cont’d)
Module 4
Instructor Notes
64 Instructor Notes Electroplating and Surface Finishing Sector Training
3. Lecture: Pollution prevention opportunities in solvent
degreasing. (Overhead 15) After the test, proceed to give the
lecture on pollution prevention opportunities in solvent
degreasing:
■ The degreaser must be covered at all possible times. The
best type of cover is a motor controlled top that can be
automatically closed.
■ The tip of the spray wand must be below the vapor level
during spraying operations.
■ Parts must be moved slowly out of the degreaser unit. The
recommended hoist/withdrawal speed is 11 linear feet per
minute.
■ As with aqueous drag out reduction, parts should be racked
so that solvent drains out of the holes, joints, crevices, and so
on.
■ Use as high a freeboard as practical — drafts and winds will
remove a vast amount of vapor from the unit. As a corollary
to this, vapor degreaser units must be located in the most
undisturbed air flow area in the plant.
■ Refrigeration coils in addition to or as replacements for
water chilling coils can help to reduce vapor generation by
as much as 40%, or even more in some cases.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj15
Module 4
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 65
P2 Opportunities in Solvent Degreasingoverhead 15
■ Improve degreaser efficiency
— keep degreaser covered
— spray wand tip below vapor level
— remove parts slowly
■ Use highest possible amount of freeboard
■ Use refrigeration coils
Module 4
Instructor Notes
66 Instructor Notes Electroplating and Surface Finishing Sector Training
4. The next pollution prevention option is drag out reduction.
Overhead 16 shows causes for drag out loss. Decreases in drag
out can be achieved by varying the contributing factors in
Overhead 17, as we will discuss in the upcoming lecture. While
displaying Overhead 17, discuss the following drag out
reduction concepts.
There are many low-tech, inexpensive, and powerful
techniques to reduce losses from surface finishing operations.
Solution conservation encompasses a wide range of
technologies and techniques that aim to keep processing
solution in the tank, or to remove process chemicals from the
rinse water and return them to the solution. The concepts we
will cover fall into two general categories — drag out
prevention during work piece removal and drag out
prevention during the processing step.
Drag out Prevention During Work piece Removal
■ Drip times: in manual or automatic plating, it is essential to
allow the parts to drain solution for as long as possible. In
manual plating, drip racks can be installed above the tank,
upon which the plater can hang the racks. In automatic
plating, the hoist can be programmed to hang the rack or
barrel above the solution for longer periods of time.
However, when the solution is heated, care must be taken
that the solution does not dry on the parts. Dried solutions
result in hardened crystal deposits that are very difficult to
rinse.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj16
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj17
Module 4
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 67
Module 4
Reducing Dragoutoverhead 17
During Workpiece Removal
■ Increase drip times
■ Rinse over the plating tank
■ Run rinses back to the plating tank
■ Use dragout tanks
■ Use drip boards
■ Use reactive rinsing
Board Angle
Board Overlap Drainage Time
Dragout TankTemperature
Evaporation Rate Drainage Boards
Rack Design Removal Rate
Concentration Tank Spacing
Parts Orientation Worker Practices
Process BathConditions
Process LineLayout
DragoutLoss
Cause and Effect Diagram for Dragoutoverhead 16
Instructor Notes
68 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Rinsing over the plating tank: (Display Overhead 18). Rinsing
the parts directly over the tank will keep the solution in the
plating tank and replenish lost water. This option is viable if
the evaporation rate is high enough and rinsing can be
done without splashing solution onto equipment. This is
often practiced over electroless plating tanks, which don’t
have electrical equipment (such as buss bars or rectifiers).
However, it is possible to do this over other tanks if care is
taken.
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Module 4
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 69
Rinsing Over Plating Tankoverhead 18
Evaporation
DIWater
DIWater
Step 1: Plating Process Step 3: Immersion Rinse
Plating Tank Rinse Tank
Evaporation
Step 2: Recovery/Spray Rinse Step 4: DI Water Spray
Plating Tank Rinse Tank
Module 4
Instructor Notes
70 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Running rinses back to the plating tank — again: (Overhead
19.) If the evaporation rate is high, the first rinse after the
process tank can be plumbed so that the water runs into the
process tank rather than to the waste treatment system. A
system of level controls can be used to prevent overflows,
which are costly and dangerous, as well as counter-
productive to toxics use reduction.
■ Drag out Tanks: a tank setup between the plating tank and
the first rinse tank can be used to capture drag out from the
plating tank. At regular intervals, the solution from the drag
out tank is added back to the plating tanks as the plating
tank volume is depleted, either through drag out or
evaporation.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj19
Module 4
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 71
Common Rinsing Configurationsoverhead 19
Work Flow
Drag Out
PlatingBath
Rinse
FreshWater
To Treatment
Rinse Type: Single OverflowWater Use Rate: HighApplications: All Process BathsRecovery Rate: None
Work Flow
Drag Out
PlatingBath
Rinse
To Treatment
Rinse
FreshWater
To Treatment
Rinse Type: Two Stage ParallelWater Use Rate: ModerateApplications: All Process BathsRecovery Rate: None
Work Flow
Drag Out Drag Out
PlatingBath
Rinse
To Treatment To Treatment
To Treatment
Rinse
FreshWater
Rinse Type: Two Stage CounterflowWater Use Rate: LowApplications: All Process BathsRecovery Rate: None
Work Flow
Drag Out Drag OutDi Water
PlatingBath
Drag OutTank
Rinse
Drag Out
Rinse
FreshWater
Rinse Type: Single Stage Recovert/Two Stage Counterflow RinseWater Use Rate: LowApplications: Most Heated Baths, Especially PlatingRecovery Rate: Low (70–90F), Moderate (90–120F), High (120F+)
Work Flow
Drag Out & Return Drag Out
Di Water
PlatingBath
Drag OutTank
Drag In
Drag InTank
Rinse
Drag Out
Rinse
FreshWater
Rinse Type: Drag In Drag Out Recovery/Two Stage Counterflow RinseWater Use Rate: LowApplications: Most Process Baths, Especially Ambient to Low Temp. Plating SolutionsRecovery Rate: Low (70–90F), Moderate (90–120F), or Higher (120F+)
Module 4
Instructor Notes
72 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Drip Boards: (Overhead 20) A drip board is a generally
plastic board that sits between the top lips of the process
tank and the immediately following rinse tank. The drip
board is angled in such a way that any drag out from the
process tank, which drips off the parts during transfer
between tanks, will flow down the board and back into the
plating tank.
Module 4
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj20
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 73
Drip Boardsoverhead 20
Plating Bath
Type of Drip Board
Drip Board Rating
Rating
Type of Drip Board
Type of Drip Board
Type of Drip Board
Type of Drip Board
Plating Bath
Rinse Tank
DragOut
DragIn
Plating Bath
Plating Bath
Plating Bath
Plating Bath
Plating Bath
Plating Bath
Plating Bath
Part
Module 4
Instructor Notes
74 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Reactive Rinsing: (Overhead 21) This is a very powerful
technique that not only uses less water, but saves chemicals
as well. Most cleaning lines use an alkaline cleaner followed
by an acidic pickle. If the water from the acid pickle is fed to
the alkaline rinse, it will neutralize the cleaner on the parts
and prevent alkaline material from being dragged into the
acid pickle. This will prolong the life of the pickle solution.
This will reduce water usage by at least half, and it is
possible to plumb more than two rinses in series. It is
important to be sure that you never have acidic water
feeding into a rinse that contains cyanide solution!
Module 4
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj21
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 75
Reactive Rinsingoverhead 21
AlkalineCleaner
AlkalineCleaner
Rinse
To Wastewater Treatment Plant
Fresh Water
Fresh WaterTo Wastewater Treatment Plant
NickelPlate
Rinse
AcidPickle
AcidPickle
Rinse
Nickel Plating Line
RinseRinse
Module 4
Instructor Notes
76 Instructor Notes Electroplating and Surface Finishing Sector Training
Drag out Prevention During the Processing Step (Overhead 22)
■ Use the lowest concentration of chemicals wherever possible.:
(Overhead 23) Per unit of solution, this will reduce the
amount of material dragged into the rinses. It will also
reduce the viscosity of the solution, allowing it to drain off
the parts more quickly.
■ Operate the baths on the higher end of the temperature range
whenever possible: Viscosity will be reduced and evaporation
will be increased, allowing you more flexibility in designing
rinsing schemes.
■ Remove racks from solutions slowly and smoothly. It has been
shown that parts will tend to keep a thicker film of solution
(drag out) on their surface when removed quickly from a
solution rather than slowly.
Overhead 23. This table shows gallons of dragout per
thousand square feet processed. Note dragout increases by a
factor of four times (4x) when comparing the 53oz/gallon
chromium to the 33oz/gallon chromium solutions. With a less
than 2x increase in chemical concentration there is a 4x
increase in dragout. This is due to viscosity.
Module 4
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj23
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 77
More on Drag Out Amountsoverhead 23
gal dragout/1,000 sq.ft. processed
Solution Type Flat Contoured
Brass 0.95 3.3
Cadmium 1.00 3.1
*Chromium (33 oz) 1.18 3.0
*Chromium (53 oz) 4.53 11.9
Copper Cyanide 0.91 3.2
Watts Nickel 1.00 3.8
Silver 1.20 3.2
Stannate Tin 0.83 1.6
Acid Zinc 1.30 3.5
Cyanide Zinc 1.20 3.8
* <2x increase in chemical concentration results in 4x increase in dragout.This is due to viscosity.
Module 4
Dragout Preventionoverhead 22
During the Process Step
■ Use lowest possible concentration of chemicals
■ Operate baths at highest possible temperatures
■ Remove racks slowly and smoothly
■ Rack properly
Instructor Notes
78 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Rack parts for minimum drag out: (Overhead 24) All shapes
except spheres have at least one configuration at which
drag out is a minimum.
For instance, a well-drained cup shaped part (8.0gal/1,000 ft2)
has a 20x increase in dragout rate versus a well-drained
vertically oriented part (0.4gal/1,000 ft2).
Module 4
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj24
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 79
Estimation of Drag Outoverhead 24
Nature of Work Drainage Drag-out Rate (gal/1,000 ft2)
■ Vertical
— Well Drained 0.4
— Poorly Drained 2.0
— Very Poorly Drained 4.0
■ Horizontal
— Well Drained 0.8
— Very Poorly Drained 10.0
■ Cup Shapes
— Well Drained 8.0
— Very Poorly Drained 24.0
Module 4
Instructor Notes
80 Instructor Notes Electroplating and Surface Finishing Sector Training
Note to Instructor: These two sections “Solvent Replacement” and “Pollution
Opportunities in Processing” are covered in much more detail
than the average person needs. Use your discretion in how much
time you spend on these two sections.
5. Solvent Replacement Mini-Lecture (Overhead 25)
Chlorinated Solvent Degreasing Replacements
Due to the many factors associated with chlorinated solvent
degreasing, including the costs of continuing to use them, the
investigation of replacement systems is at an all-time high. In
fact, this is probably the area with the greatest quantity of on-
going research. The cleaning issue is crucial for all industries,
and the metal finishing industry is no exception.
In order to understand what replacements are appropriate,
we must understand what properties a good degreasing
material must have. Through a combination of chemistry and
mechanical factors, we must achieve these properties in non-
chlorinated solvent systems.
We know that vapor degreasing with chlorinated solvents is
the standard practice. What properties do they possess which
are important?
■ Solvency: They are able to dissolve oils, greases, and other
organic fluids. Since they are used hot, they are also able to
melt waxy substances, which are often used as protectants
or markers.
Module 4
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NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 81
Module 4
Solvent Replacementoverhead 25
Chlorinated Solvent Degreasing Replacements
■ Solvency
■ Solvent Purity
■ Fast Acting
■ Low Surface Tension
■ Inert to Substrate
Instructor Notes
82 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Solvent Purity: Because most of the oils, greases, and other
contaminants that are removed from the parts have a
higher boiling point than the solvents used in vapor
degreasing, the vapor above the liquid sump stays relatively
pure. This allows the solvent to be used until it is so
contaminated that it either re-deposits contaminants on the
parts, or needs a higher temperature to achieve good vapor
characteristics.
■ Fast Acting: In most cases, the parts are degreased within a
minute or so.
■ Low Surface Tension: The solvent must be able to penetrate
into all areas of a part’s complex geometry. Tapped holes,
blind holes, high aspect ratio through holes, and seams
must be completely oil free. If not, areas with oil will not be
plated, and also the oil will continually weep from the
complex areas, contaminating processing baths and other
areas of the part.
■ Inert to Substrate: The solvent must not attack or degrade
the substrate.
The EPA, various state agencies, and others have
developed guides to chlorinated solvent replacement.
Contact these groups for more information. One of the best
guides available is the Solvent Alternative Guide (SAGE)
from the EPA. It asks questions based on substrate,
contaminants, and other factors. It then prints out a list of
alternatives with information on processing, mechanical
systems, and other useful data.
Module 4
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 83
Module 4
Solvent Replacement
Chlorinated Solvent Degreasing Replacements
■ Solvency: They are able to dissolve oils, greases, and other organic fluids. Sincethey are used hot, they are also able to melt waxy substances, which are oftenused as protectants or markers.
■ Solvent Purity: Because most of the oils, greases, and other contaminants thatare removed from the parts have a higher boiling point than the solvents usedin vapor degreasing, the vapor above the liquid sump stays relatively pure. Thisallows the solvent to be used until it is so contaminated that it either re-depositscontaminants on the parts, or needs a higher temperature to achieve goodvapor characteristics.
■ Fast Acting: In most cases, the parts are degreased within a minute or so.
■ Low Surface Tension: The solvent must be able to penetrate into all areas of apart’s complex geometry. Tapped holes, blind holes, high aspect ratio throughholes, and seams must be completely oil free. If not, areas with oil will not beplated, and also the oil will continually weep from the complex areas, contami-nating processing baths and other areas of the part.
■ Inert to Substrate: The solvent must not attack or degrade the substrate.The EPA, various state agencies, and others have developed guides to chlori-nated solvent replacement. Contact these groups for more information. One ofthe best guides available is the Solvent Alternative Guide (SAGE) from the EPA.It asks questions based on substrate, contaminants, and other factors. It thenprints out a list of alternatives with information on processing, mechanicalsystems, and other useful data.
Instructor Notes
84 Instructor Notes Electroplating and Surface Finishing Sector Training
6. Pollution Prevention Opportunities in Processing(Overhead 26)
The most widely used cleaning replacements are the aqueous
degreasing systems. In order to be effective, they must exhibit
similar properties to the materials that they are replacing. In
order to do so, they rely on the use of both chemical and
physical components.
■ Chemistry
Alkalinity: Most of these solutions use sodium hydroxide.
Sodium hydroxide is important as a saponifying agent that
turns oils to soluble soaps that are removed from the
surface of the parts. Sodium hydroxide also splits esters and
attacks other organic materials.
Wetting Agents: Wetting agents allow the solution to “wet” or
completely cover the surface of the part. Water has a
relatively high surface tension, which makes it a poor
wetting agent, particularly for small holes. These materials
decrease the surface tension and allow the degreasing
solution to enter the complex areas. Linear alkyl sulfates are
often used for this purpose.
Detergents: These materials emulsify the oils and greases
and keep them dispersed in the cleaning solution,
preventing re-deposition.
Metal Attack Inhibitors: Sodium silicates are excellent
inhibitors that keep the alkaline solution from attacking the
substrates. Sodium silicates are also excellent emulsifying
and de-flocculating agents.
Module 4
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj26
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 85
Module 4
Pollution Prevention Opportunities in Processingoverhead 26
Chemistry
■ Alkalinity
■ Wetting Agents
■ Detergents
■ Metal Attack Inhibitors
Chemistry
■ Alkalinity: Most of these solutions use sodium hydroxide. Sodium hydroxide isimportant as a saponifying agent that turns oils to soluble soaps that areremoved from the surface of the parts. Sodium hydroxide also splits esters andattacks other organic materials.
■ Wetting Agents: Wetting agents allow the solution to “wet” or completelycover the surface of the part. Water has a relatively high surface tension, whichmakes it a poor wetting agent, particularly for small holes. These materialsdecrease the surface tension and allow the degreasing solution to enter thecomplex areas. Linear alkyl sulfates are often used for this purpose.
■ Detergents: These materials emulsify the oils and greases and keep themdispersed in the cleaning solution, preventing re-deposition.
■ Metal Attack Inhibitors: Sodium silicates are excellent inhibitors that keep thealkaline solution from attacking the substrates. Sodium silicates are alsoexcellent emulsifying and de-flocculating agents.
Instructor Notes
86 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Physical/Mechanical Issues
Heat: Higher temperatures help to melt oils, greases, waxes,
and render them more amenable to emulsification. They
also help to decrease the viscosity of the solution, allowing it
to better wet the surface of the parts.
Agitation: Agitation is necessary to remove contaminants
from, and to bring fresh cleaning solution to, the surface of
the parts. Mechanical agitation, such as pumping the
solution around the tank or moving the rack or barrel on
which the parts rest, is often employed.
Module 4
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj27
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 87
Module 4
Physical/Mechanical Issues
■ Heat: Higher temperatures help to melt oils, greases, waxes, and render themmore amenable to emulsification. They also help to decrease the viscosity ofthe solution, allowing it to better wet the surface of the parts.
■ Agitation: Agitation is necessary to remove contaminants from, and to bringfresh cleaning solution to, the surface of the parts. Mechanical agitation, suchas pumping the solution around the tank or moving the rack or barrel onwhich the parts rest, is often employed.
Pollution Prevention Opportunities in Processingoverhead 27
Physical/Mechanical Issues
■ Heat
■ Agitation
Instructor Notes
88 Instructor Notes Electroplating and Surface Finishing Sector Training
7. Some Pollution Prevention Opportunities (Overhead 28)
■ Ultrasonic Agitation: Another method that is beginning to be
widely used is ultrasonic agitation. Ultrasonic cleaning can
be used to increase the efficiency of virtually any immersion
cleaning process. The ultrasonic cleaning unit is a tank that
has an attached transducer capable of generating ultrasonic
sound waves in the 20,000 Hz range. These waves cause
cavitation, which creates transient bubbles on the surface of
the part. When they collapse, they exert tremendous
pressure (thousands of pounds per square inch, in some
cases) on the part. This helps to remove oils and greases,
from the parts, particularly from hard to reach areas.
Ultrasonics have allowed aqueous and non-chlorinated
degreasing to be practiced in applications where solvents
had been the only effective degreasing tool. This generally is
due to the fact that the ultrasonic agitation greatly increases
the ability of the solution to clean by lowering the apparent
surface tension of the solution.
■ Low Acid De-smut in Aluminum Cleaning: De-smutting of
Aluminum is a process that is being looked at very closely
today, due to the very high rate of acid usage. There are
several of products on the market currently that are able to
de-smut aluminum using approximately 1/10 of the usual
amount of nitric acid. One typical formulation is the use of
ferric nitrate as a desmutting agent in the presence of small
amounts of nitric acid. The rate and desmutting action are
comparable to the 50% nitric acid bath traditionally used.
■ Cyanide-based Processes
Perhaps the single most toxic chemical in the plating shop
on a world wide basis is cyanide. Substitution of this product
will have a profound effect. However, its use as a complexing
Module 4
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj28
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 89
Module 4
Some Pollution Prevention Opportunitiesoverhead 28
■ Ultrasonic Agitation
■ Low Acid De-smut in Aluminum Cleaning
■ Cyanide-based Processes
■ Metal Substitution
Instructor Notes
90 Instructor Notes Electroplating and Surface Finishing Sector Training
agent in many different types of plating solutions and
stripping solutions makes it a difficult material to replace.
Also, it is compatible with a wide range of base materials.
Non-cyanide alternatives have proven to be very base-
material specific, and do not lend themselves to easy
substitution. Also, non-cyanide plating solutions are less
forgiving than cyanide based baths, when cleaning is less
than perfect. With these solutions, it is important to identify
the specific applications where these plating systems are
appropriate. There are several types of non-cyanide
solutions for: Silver, Cadmium, Zinc, Gold, Copper, CN based
Strips
It is important in evaluating these alternatives that
companies are aware of toxic chemicals that the processes
may contain. It would not help a company to rid itself of one
listed chemical only to exceed threshold quantities of
another.
■ Metal Substitution
In all cases, function is the key when determining the finish
required for a particular part. In some cases, less toxic metals
can be substituted for metals of higher toxicity. For instance,
cadmium metal, which is extremely toxic, is often used for its
superior corrosion resistance. However, a good zinc plate
followed by heavy chromating can perform as well as
cadmium.
In the case of the job shop, there is less opportunity for this
type of substitution. The customer’s design engineers have
specified the finish, and are unlikely to change it based on
the supplier’s opinion. Even if they were willing to change,
the job shop can not possibly interface with every single
customer in this regard.
Module 4
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 91
Module 4
Some Pollution Prevention Opportunities
■ Ultrasonic Agitation: Another method that is beginning to be widely used isultrasonic agitation. Ultrasonic cleaning can be used to increase the efficiencyof virtually any immersion cleaning process. The ultrasonic cleaning unit is atank that has an attached transducer capable of generating ultrasonic soundwaves in the 20,000 Hz range. These waves cause cavitation, which createstransient bubbles on the surface of the part. When they collapse, they exerttremendous pressure (thousands of pounds per square inch, in some cases) onthe part. This helps to remove oils and greases, from the parts, particularly fromhard to reach areas.
Ultrasonics have allowed aqueous and non-chlorinated degreasing to bepracticed in applications where solvents had been the only effective degreasingtool. This generally is due to the fact that the ultrasonic agitation greatlyincreases the ability of the solution to clean by lowering the apparent surfacetension of the solution.
■ Low Acid De-smut in Aluminum Cleaning: De-smutting of Aluminum is aprocess that is being looked at very closely today, due to the very high rate ofacid usage. There are several of products on the market currently that are ableto de-smut aluminum using approximately 1/10 of the usual amount of nitricacid. One typical formulation is the use of ferric nitrate as a desmutting agentin the presence of small amounts of nitric acid. The rate and desmutting actionare comparable to the 50% nitric acid bath traditionally used.
■ Cyanide-based Processes: Perhaps the single most toxic chemical in theplating shop on a world wide basis is cyanide. Substitution of this product willhave a profound effect. However, its use as a complexing agent in many differ-ent types of plating solutions and stripping solutions makes it a difficultmaterial to replace. Also, it is compatible with a wide range of base materials.Non-cyanide alternatives have proven to be very base-material specific, and donot lend themselves to easy substitution. Also, non-cyanide plating solutions areless forgiving than cyanide based baths, when cleaning is less than perfect. Withthese solutions, it is important to identify the specific applications where theseplating systems are appropriate. There are several types of non-cyanide solu-tions for: Silver, Cadmium, Zinc, Gold, Copper, CN based Strips
It is important in evaluating these alternatives that companies are aware oftoxic chemicals that the processes may contain. It would not help a company torid itself of one listed chemical only to exceed threshold quantities of another.
■ Metal Substitution: In all cases, function is the key when determining thefinish required for a particular part. In some cases, less toxic metals can besubstituted for metals of higher toxicity. For instance, cadmium metal, which isextremely toxic, is often used for its superior corrosion resistance. However, agood zinc plate followed by heavy chromating can perform as well as cadmium.
In the case of the job shop, there is less opportunity for this type of substi-tution. The customer’s design engineers have specified the finish, and areunlikely to change it based on the supplier’s opinion. Even if they were willingto change, the job shop can not possibly interface with every single customer inthis regard.
Instructor Notes
92 Instructor Notes Electroplating and Surface Finishing Sector Training
8. High Tech Methods for Material Recovery (Overhead 29)
■ Acid solution regeneration with diffusion dialysis.
(Overhead 30)
Diffusion dialysis is a process that relies on the ability of a
membrane to selectively allow anions and hydrogen to pass
through, while at the same time rejecting metals. A water
stream is passed counter-current to the spent acid stream,
allowing the anions and hydrogen to diffuse through the
membrane into the water. Thus, you end up with an acid
solution at the approximate strength with which you
started, and a dilute acid waste that contains the metal
component. The acid is then reused, and the waste is treated
or sent off-site for disposal. This process can be used for
desmutting baths, anodizing baths, pickling baths, and any
other process where metal is removed from parts in an
acidic medium.
Module 4
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NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 93
Hi-Tech Methods for Material Recoveryoverhead 29
■ Diffusion Dialysis
■ Evaporation
■ Reverse Osmosis/Electrodialysis
■ Ion Exchange
Diffusion Dialysisoverhead 30
FilterWater Filter PumpAcidWater
Acid Module
Stack
Metal Contaminants
to Treatment or Recovery
Recovered Acid
Recycled to Bath
AcidBath
Module 4
Instructor Notes
94 Instructor Notes Electroplating and Surface Finishing Sector Training
■ Evaporation (Overhead 31) can be achieved through two
basic means: heating the solution near or to the boiling
point such that water vapors escape as warm steam. This is
an extremely energy intensive process, due to the high
latent heat of vaporization of water. Evaporation may also be
achieved by subjecting a solution to a vacuum. This process,
often called low temperature distillation or cold
evaporation, lowers the temperature required for water to
boil. This concentrates the process salts and reduces the
solution volume.
■ Reverse Osmosis and Electro-dialysis (Overhead 32) are two
technologies that use selective membranes for solution
conservation.
Reverse Osmosis (RO) is a process in which the solution is
pumped into a membrane system under pressure. The
membrane allows water to pass through, but rejects salts.
The normal osmosis process would allow the water to flow
into the neighboring chamber, through the membrane, only
to the point at which both chambers contained equal
concentration of water. In reverse osmosis, pressure is
applied to the solution so that the water continues to flow
out of the chamber (across the membrane), and the salts
build up in concentration. When the solution has been
concentrated to a small volume, it can be added back to the
process tank. The de-mineralized water may be reused for
rinsing.
Electro-dialysis (ED) is also a membrane based process,
except that it uses electricity rather than pressure as a
means to separate the dissolved ions from the water.
Solution is introduced into a vessel with a cathode at one
end of the cell and an anode at the other. Each cell has two
Module 4
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NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 95
Module 4
Heated Process
Tank
To Waste Treatment 10 gph
City Water4 gph
Ni Plate27 g/l Ni
CarbonFilter
3,000 mg/l Ni 333 mg/l Ni 37 mg/l Ni
Rinse Rinse Rinse
Evaporation4 gph
Drag-out 1 gph Drag-out Drag-out
Reject (concentrate)5 gph (5.9 g/l)
Reverse Osmosis Unit
City Water 5 gph
Permeate95 gph
(32 mg/l Ni)Note: drag-in is assumed to equal drag-out (1 gph)
Feed Stream100 gph
Reverse Osmosis Nickel Recovery Applicationoverhead 32
Vacuum Evaporators for Chemical Recoveryoverhead 31
75° F RecoveryRinse
Condensate Return28 gph
City Water
Process Tank(60 sq.ft. ofsurface area)
RecoveryRinse
OverflowRinse
30 gph
2 gph
To Treatment
Vacuum Evaporator
SolutionPurification
Concentrated Solution (2 ghp) to Process Tank
E <1 gph D.O. = 1 gph
DI Water<1 gph
S
C
Open Rinse System
Instructor Notes
96 Instructor Notes Electroplating and Surface Finishing Sector Training
membranes; one is a cation membrane, which allows
positively charged ions to pass through, and the other is an
anion membrane, which allows negatively charged particles
to pass. The solution is introduced between the two
membranes, and electricity is applied. The ions migrate
toward the appropriate electrode, through one membrane
but stopping at the next. When many stacks of these cells
are placed together in series, you end up with alternating
sections of water (called the diluting chamber) and
concentrated solution (in the concentrating chamber).
■ Ion exchange (Overhead 33) Ion-exchange (IX) is a process
used to capture metal ions from rinse solutions. The Ion-
Exchange Resin is made of tiny beads (often di-vinyl
benzene) that are coated with a chemical which can
chemically bond with metals from the solution passing over
it. When the IX resin absorbs the metal, it releases a non-
metallic ion in exchange. When the ion exchange resin
becomes saturated with metal, the metal is removed as a
concentrated solution by adding acid or salt, as appropriate,
to the resin column. When this is done, the resin is
regenerated and can be used again. However, this technique
rarely meets the definition of TURA, because most often the
metals are not in a solution that can be reused. These
systems have often been set up with special electroplating
units called electro-winning units that can then plate the
metal out of these solutions. Unless the solid metal is used
as an anode material in the process, or the recovered
solution can be added back to the process tank, this does
not meet the definition of TUR.
Module 4
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NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 97
Module 4
Heated Chrome
TankRecovery
RinseRecovery
Rinse
Evaporation DI WaterDrag-out/Drag-out Recovery
FeedTank
ProductTank
Water for Dilution
Evaporator(if Required toConcentrate
Processed Bath)
Filte
r
Acid Acid
Catio
n
IX Regeneration
Duplex CationColumns
Regenerant toWaste Treatment
or Off-site Disposal
Catio
n
BathReturn Ion Exchange Feed
Ion Exchangeoverhead 33
Instructor Notes
98 Instructor Notes Electroplating and Surface Finishing Sector Training
One problem with these methods is that they all tend to
concentrate not only valuable plating salts, but also
contaminants. These contaminants are both organic and
metallic. Plating baths are rarely dumped because it is possible
to purify them of these organic and metallic contaminants.
Organic contaminants are breakdown products of organic
materials that are intentionally added to the bath, such as
brighteners and grain refiners. Over time, due to electrolysis,
heat, and other factors, these organics break down, and they
must be removed. Periodic filtration of the bath with activated
carbon will absorb organics that would tend to degrade the
finish of the plate.
Metallic contaminants are dragged into the solution from
plating processes (and also from added city water). They are
removed by plating a large surface area cathode (called a
dummy) at a very low voltage, thus removing the offending
metallics without depleting the solution.
Module 4
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 99
Module 4
ContaminantsContaminants are both organic and metallic. Plating baths are rarely dumped
because it is possible to purify them of these organic and metallic contaminants.
Organic contaminantsOrganic contaminants are breakdown products of organic materials that are
intentionally added to the bath, such as brighteners and grain refiners. Over time,due to electrolysis, heat, and other factors, these organics break down, and theymust be removed. Periodic filtration of the bath with activated carbon will absorborganics that would tend to degrade the finish of the plate.
Metallic contaminantsMetallic contaminants are dragged into the solution from plating processes (and
also from added city water). They are removed by plating a large surface areacathode (called a dummy) at a very low voltage, thus removing the offendingmetallics without depleting the solution.
Instructor Notes
100 Instructor Notes Electroplating and Surface Finishing Sector Training
Module 5 P2 Exercise: Identifying Waste
1. Break the group into small groups of three to four people. If
possible, try to get groups with people from different media
programs.
2. Point out the exercise description and flow chart in the
participant handbook. Explain to the groups that they will have
fifteen minutes to identify the following issues:
■ the outputs from the process on the flow chart (fill in the
appropriate spaces)
■ what regulatory issues may apply (also fill in the
corresponding spaces)
3. Go over the completed flow chart using the overhead
provided (p. 103). Solicit answers from the small groups to fill in
the output and regulatory issues.
4. Next, instruct the groups to develop a complete list of
pollution prevention opportunities for this facility. Each of the
groups should rank its pollution prevention opportunities
from high to low priority.
5. Bring the group back together and ask each group to identify
its top-ranked pollution prevention opportunity. Ask the group
participants why they thought that opportunity was the most
important. If a group’s top-ranked pollution prevention
opportunity was already discussed, then they should move to
their next choice.
????
Participant Handout
Electroplating and Surface Finishing Sector Training 101
Exercise Two
Small Group Exercise: This is a small group exercise designed to give attendees a basicunderstanding of pollution prevention opportunities in the plating industry.
Small-guy Metal Finishing Co., Nickelville, USA is a small job shop in the northeast-ern United States. The shop is located in a residential neighborhood in a POTWdistrict. It has been in business for 25 years and employs 27 people. The owner of theshop inherited the facility from his father. The staff consists of 3 people in manage-ment, 2 accountants, 2 salespeople, 1 environmental staff, 4 rackers, 2 maintenanceguys, 9 platers, and 2 scrubs.
The shop is known mainly for its chrome plating operations. The line consists of acopper-nickel-chrome plate. Much of this work is done for decorative plating onplumbing fixtures. The plating line uses 24,000 gallons of water per day. On an annualbasis, the facility uses:
11,000 pounds of chromic acid
3,000 pounds of copper cyanide
15,000 pounds of hydrochloric acid
3,000 pounds of nickel
2,800 pounds of potassium cyanide
31,200 pounds of sodium hydroxide
12,000 pounds of sulfuric acid
12,000 pounds of trichloroethane
A flow chart for the facility’s plating line has been provided to you. Your task is toidentify on the flow chart:
■ the outputs from the process■ what regulatory issues may apply
Module 5P2 Exercise: Identifying Waste
Instructor Notes
102 Instructor Notes Electroplating and Surface Finishing Sector Training
6. A spokesperson for each group should wrap up with a
discussion of why the group chose the P2 opportunities and
what factors influenced their choices on P2 projects. Some
sample considerations are listed below:
■ Worker health and safety
■ Environmental media preference
■ Comparative risk
■ Learning curve issues
Module 5
Participant Handout
Electroplating and Surface Finishing Sector Training 103
Exercise Two (cont’d)
Module 5
Inputs Outputs Regulatory Issues
1. Pre-CleanVapor Degreaser
Trichloroethylene
2. Cleaning Periodic/Reverse Electroclean
NaOH
3. Rinse3. RinseWater
3. Rinse5. RinseWater
3. Rinse11. RinseWater
3. Rinse12. Polish, Buff
3. Rinse7. RinseWater
3. Rinse9. RinseWater
4. Surface PrepHcl Pickle
HCI
6. Plating CopperCyanide Strike
CuCn, Kcn,NaOH
8. Plating BrightNickel Plate
NiSO4
10. Plating HardChrome Plate
CrO3, H2SO4
Instructor Notes
104 Instructor Notes Electroplating and Surface Finishing Sector Training
Module 6 Metal Finishing Resources
There are a wide variety of tools for finding information on
pollution prevention in metal finishing facilities. This section
will provide information on where to find hard-copy
information, web-sites, documents, and a variety of other tools
that can assist either you or a facility. Display Overhead 34.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj34
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 105
Metal Finishing Resourcesoverhead 34
■ People■ Hard Copies■ Computer Resources
— Listserves— Websites
Module 6Metal Finishing Resources
Instructor Notes
106 Instructor Notes Electroplating and Surface Finishing Sector Training
Module 6
Information Clearinghouses
To find hard-copy, technical information you can contact
several centers located in your area. Review the centers listed
in the manual.
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 107
Information Clearinghouses
Technology Transfer Center
Toxics Use Reduction InstituteOne University AvenueLowell, MA 01854(508) 934-3275
Northeast P2 Clearinghouse
Northeast Waste Management Officials Association (NEWMOA)129 Portland Street, Suite 601Boston, MA 02114(617) 367-8558
Waste Reduction Resource Center3825 Barrett Drive, Suite 300PO Box 27687Raleigh, NC 27611-7687(919) 715-6500
EPA’s Pollution Prevention Clearinghouse401 M Street, SW MC 7409Washington, DC 20460(202) 260-1023
Fred FriedmanNEEAT Team Research Librarian(617) 565-3282
Module 6
Instructor Notes
108 Instructor Notes Electroplating and Surface Finishing Sector Training
The Internet
The Internet allows users to find a wealth of information
quickly. The following sites include a great deal of information
on pollution prevention specifically for metal finishing as well
as a variety of other services.
Web-sites (Overhead 35)
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Module 6
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 109
Websites
1. Enviro$en$e: EPA’s pollution prevention web site has developed a specific sitefor metal finishing information. This site is located at http://es.epa.gov
2. National Metal Finishing Resource Center: EPA has also developed a site, inconjunction with a variety of trade associations to provide information onmetal finishing. This site is located at http://www.nmfrc.org
3. P2IRIS: This site has been developed by NIST for the Manufacturing ExtensionPartnership program. It provides detailed technical process information onmetal finishing. In order to access information you must subscribe to the site.This site is located at http://www.p2iris.com
4. Trade Association Sites: Many of the trade associations have developed sites thatcontain a variety of technical and product information. These sites are locatedat:
■ American Electroplaters and Surface Finishers web site —http://www.finishing.com
■ Metal Finishing Suppliers Association web site —http://www.metal-finishing.com
■ Products Finishing web site — http://www.gardner.com
Module 6
Web Sitesoverhead 35
■ National Metal Finishing Resource Center http:/www.nmfrc.org
■ Enviro$en$e http:/es.inel.gov
■ ESF http:/www.finishing.com
■ FSA http:/www.metal-finishing.com
■ products Finishing http:/www.gardner.com
Instructor Notes
110 Instructor Notes Electroplating and Surface Finishing Sector Training
List-servers (Overhead 36)
A listserve is an Internet E-mail software package that allows a
group of participants to easily exchange information using
Internet E-mail. Individuals subscribe to the listserve by
sending an E-mail message to the listserve owner. Once on the
listserve, participants begin participating in the dialogue in the
following way. A member of the listserve posts a question to
the list address. That question is then sent out to all listserve
members. Anyone with an answer to the question posts their
response to the list. In this way all participants in the list can
follow the discussion. Listserves differ from discussion groups
and bulletin boards in that each subscriber receives a copy of
all the messages and must decide whether to read, save, delete
or respond them. This provides a means for ensuring a
constant level of participation and speed of response when
compared to other forums.
The list in your manual provides information on existing
pollution prevention and metal finishing focused listserves.
See Overhead 36.
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Module 6
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 111
Module 6
Information on Existing Pollution Prevention and MetalFinishing Focused Listserves.
NBEN Talk: The Northeast Business/Environmental Network hosts a discussionopen to public and private pollution prevention experts and professionals indifferent industries for technical, policy, or management topics to supportpollution prevention and competitiveness.
Subscribe to NBEN talk by sending an e-mail message to the NBEN on-lineengineer, Michelle Thompson, at: [email protected]
P2 Policy: The P2 Policy listserve is a forum for discussing pollution preventionpolicy. Currently, this is a private, unmoderated, closed listserve with 385pollution prevention professionals subscribed.
To subscribe to P2 Policy send a message containing your name, address,phone number, E-mail address and the name of your organization to:[email protected]
Questions about the service should be addressed to Tyrone L. Foster at theabove E-mail address or call the National Pollution Prevention Roundtable at(202) 466-7272.
P2REG: P2REG is a forum for discussing regulatory issues surrounding pollutionprevention technologies and policies.
To sign up for the P2REG listserve, send an E-mail message containingyour name, E-mail address, mailing address, and phone number to the P2REGlistserve at: [email protected]
List serversoverhead 36
■ P2 Tech-subscribe [email protected]
■ P2 Reg-subscribe [email protected]
■ NBEN Talk-subscribe [email protected]
■ National Metal Finishing Resource Center-subscribe http:/www.nmfrc.org
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 113
P2TECH: is a forum for pollution prevention technical assistance providers who areinterested in sharing information on pollution prevention technologies. Thislistserve currently has 371 subscribers.
To sign up for P2TECH send an E-mail message containing your name, amessage noting that you would like to subscribe to the P2TECH listserve, yourE-mail address, your mailing address, and your phone number to:[email protected]
This listserve also archives messages from this forum.
P2 Trainer: The National Pollution Prevention Roundtable, European Roundtableon Cleaner Technologies and Products, and the National Education andTraining Association have started this on-line pollution prevention discussionservice. The P2TRAINER listserve is designed to encourage the exchange ofinformation about up-to-date pollution prevention educational programs andtraining opportunities. The intention of P2TRAINER is to encourage listing ofeducational, and training curricula, and upcoming seminars, workshops, andmeetings. Currently, there are 150 subscribers to this listserve.
To subscribe to P2TRAINER, send a message with the word P2TRAINERcontaining your name, address, phone number, E-mail address and the name ofyour organization to: [email protected]
Questions about the service should be addressed to Tyrone L. Foster at theabove E-mail address or call the National Pollution Prevention Roundtable at(202) 466-7272.
Metal Finishing Listserve: The National Metal Finishing Resource Center has createda listserve for metal finishing specific questions. The listserve is open to anyinterested party. For subscription information on the listserve go to theNMFRC web-site.
Information on Listserves (cont’d)
Module 6
Instructor Notes
114 Instructor Notes Electroplating and Surface Finishing Sector Training
Trade Associations
Trade associations are also useful resources. In your manual
you’ll find a list of the national trade associations. Some of the
associations may also have local chapters.
Module 6
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 115
Module 6
Trade AssociationsTrade associations are also useful resources. The following provides a list of the
national trade associations. Some of the associations may also have local chapters.
The American Electroplaters and Surface Finishers Society, Inc. (AESF)12644 Research ParkwayOrlando, FL 32826-3298(407) 281-6441
National Association of Metal Finishers (NAMF)401 N. Michigan AvenueChicago, IL 60611-4267(312) 644-6610 ext. 3479
Metal Finishers Suppliers Association801 N. Cass Avenue, Suite 300Westmont, IL 60559(708) 887-0957
Instructor Notes
116 Instructor Notes Electroplating and Surface Finishing Sector Training
1,2
1
2
Module 7 Exercise: Incorporating P2 into Facilities
1. For this exercise the instructor should divide the group into
two smaller groups. One of the groups is directed to develop a
Notice of Noncompliance (NON); the other group should
prepare a facility debriefing that incorporates P2 in each of the
items.
2. Group 1: P2 in Notices of Noncompliance
Based on this information, the first group should:
■ Develop a NON that incorporates P2 for each of these items.
Be prepared to discuss with the group the rationale behind
your recommendations.
■ Explain what environmental benefits the company should
expect
■ Determine if any way of the P2 activities could change or
add to the companies regulatory requirements.
3. Group 2: P2 in Facility Debriefings
Based on this information:
■ Develop a facility debriefing that incorporates P2 for each of
these items. Be prepared to discuss with the group the
rationale behind your recommendations.
■ Explain what environmental benefits the company should
expect
■ Determine if any way of the P2 activities could change or
add to the companies regulatory requirements.
Participant Exercise
Electroplating and Surface Finishing Sector Training 117
Exercise Three
Our friends at Small-Guy Metal Finishing Co. have just been visited for a routine/random inspection. The inspection turned up the following items:
■ The inspector discovers that the company has not sent in any notification toEPA for its chlorinated solvent degreasing unit (required by CAAA). Afterreviewing manifest data, the inspector noticed that chlorinated solvent usagehas increased over each of the past of three years. Upon speaking with theenvironmental compliance manager, the inspector has also found out thatproduction volumes have remained relatively constant.
■ The inspector discovers that the company has wastewater violations for chro-mium, nickel and pH. The inspector asks the plant manager several questionsabout these excesses. He asks the plant manager if the source of the chromiumis the chromium plating tank. The plant manager says he is not sure if it iscoming from the chromium plating tank or the chromium stripping tank. Theinspector then examines the plating line to observe worker practices along theline. While there, the inspector sees an employee walk over and dump 50pounds of nickel salts into the plating tank. Finally, the inspector speaks withthe waste treatment operator about pH levels. The WT operator explains thatpH problems are a result of needing to dump acid cleaning baths frequently.
■ The inspector notices that there are several drums of chromic acid waste in thehazardous waste storage area that are past the 90 day limit. The plant managersays that he cannot afford to get rid of it with disposal costs at $1,000 per drum.Furthermore, he states that his waste treatment system cannot treat it.
■ After reviewing calculations used for TURA reporting, the inspector finds thatthe chemist has been reporting only the parent metal total for Chromic acid(CrO3) and nickel sulfate (NiSO4). When the numbers are calculated includingthe anions, the usage of chromium and nickel compounds are above the 10,000pound reporting threshold.
Module 7Exercise: Incorporating P2 into Facilities
Instructor Notes
118 Instructor Notes Electroplating and Surface Finishing Sector Training
Exercise Three Answer Key
1. There are several issues here:
a. The company is out of compliance with the Chlorinated
Solvent Degreasing MACT Standard. They need to notify
EPA according the requirements of the regulations, and
they need to perform the degreaser modifications
suggested and/or mandated in the Standard:
■ Automated Parts Handling
■ Chillers
■ Hoist speeds equal to or less than 11 ft/min
■ Automated Covers
■ others (See MACT Standard)
b. Another question for the groups to ponder is why the
chemical usage has increased if the production volumes
have remained relatively constant. Some possibilities:
■ Parts are more complex, increasing dragout
■ Employee turnover has resulted in poorly trained
employees operating the degreaser
■ Training programs have not been implement/continued
■ Poor Supervision
■ Others
2. There are multiple issues to be dealt with here:
a. The facility needs to determine the source of the
chromium — it is possible that the chrome stripping tank
has a very high concentration and needs to be changed.
Also, the wastetreatment department may need to be
audited to be sure that their processes are appropriate.
Some other ideas: the tanks may be leaking, or the
stripping is being done in batches (lots of parts in a short
time frame), causing large volumes of solution to enter the
treatment system, overloading the capacity.
Module 7
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 119
Group 1: P2 in Notices of Noncompliance
Based on this information, the first group should:■ Develop a NON that incorporates P2 for each of these items. Be prepared to
discuss with the group the rationale behind your recommendations.■ Explain what environmental benefits the company should expect■ Determine if any way of the P2 activities could change or add to the compa-
nies regulatory requirements.
Module 7
Instructor Notes
120 Instructor Notes Electroplating and Surface Finishing Sector Training
b. While not necessarily a problem, 50 pounds at once is
quite a bit. Are adds being made based on testing and
calculations, or “intuition?” If the tank is high in nickel
concentration, resulting dragout will be more
concentrated, possibly overloading the treatment system.
c. Metal precipitate within a fairly narrow pH range (7-10).
Swings in pH will cause metals to redissolve, and they
won’t settle out as precipitate. Instead, they are
discharged to the sewer and can cause the shop to be out
of compliance. The acid cleaning baths should be
collected in a collection tanks and slowly metered into
the system, preventing overloading of the pH adjustment
system.
As a P2 thought, acid life extension with diffusion
dialysis or acid sorption would reduce the number of
bath dumps required, reducing this problem.
3. The answer here is simple: Too Bad. This is an appropriate time
for regulators to be regulators.
4. This company needs help with Toxics Release Inventory and (in
MA) Toxics Use Reduction Act reporting. They are not
sophisticated in chemical calculations and reporting. The
good news is that this provides an incentive for them to find
P2 methods to reduce chemical usage - and Supplemental
Environmental Project would be to spend a certain amount of
money specifically on these two metals/processes to find P2
solutions. Dragout reduction will be key!
Module 7
NotesParticipant Notes
Electroplating and Surface Finishing Sector Training 121
Group 2: P2 in Facility Debriefings
Based on this information:■ Develop a facility debriefing that incorporates P2 for each of these items. Be
prepared to discuss with the group the rationale behind your recommenda-tions.
■ Explain what environmental benefits the company should expect■ Determine if any way of the P2 activities could change or add to the compa-
nies regulatory requirements.
Module 7
Instructor Notes
122 Instructor Notes Electroplating and Surface Finishing Sector Training
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ParticipantHandout
+ ∆
Module 8 Review/Closing
Large Group Exercise: The trainer will use a plus/delta
evaluation to solicit feedback on the training. In a plus/delta
evaluation, the trainer writes a plus sign at the top of one
flipchart and a delta at the top of a second. The plus (+)
represents what worked in the training and the delta (∆)
represents what could be improved. The trainer quickly
reviews the agenda for the training and then solicits remarks
to put on the plus page and on the delta page. Answers should
be recorded in the appropriate column and useful feedback
should be incorporated into the next course offering.
Evaluation: A paper evaluation form should also be provided so that
participants can note feedback specifically and confidentially.
Give participants time at the end of the course to fill in the
forms and collect them as they depart the classroom.
Participant Handout
Electroplating and Surface Finishing Sector Training 123
Electroplating and Surface Finishing Sector Training
Evaluation Form
Please complete both pages of this brief evaluation. Results will be used to improve this program. The goals ofthis process sector training are to provide an industry specific overview (including history, processes andpollution prevention opportunities); and to develop familiarity with and understanding of the operations of atypical shop. Please rate the following elements of today’s workshop, both in terms of their usefulness inreaching the instructional goal and their overall quality. Please provide written comments in the space pro-vided to explain your rating or to offer suggestions for improvement.
1. Introduction/Expectations
Comments:
2. Straight Talk on Metal Finishing Industry
Comments:
3. Video: A Facility Walk Through
Comments:
4. Pollution Prevention Opportunities
Comments:
5. P2 Exercise: Identifying Waste
Comments:
6. Metal Finishing Resources
Comments:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Review/Closing
Participant Handout
Electroplating and Surface Finishing Sector Training 125
7. Exercise: Incorporating P2 into Facilities
Comments:
8. Assess the amount of time/detail devoted to each:
Introduction/ExpectationsStraight Talk on Metal FinishingVideo: A Facility Walk ThroughPollution Prevention OpportunitiesP2 Exercise: Identifying WasteMetal Finishing ResourcesExercise: Incorporating P2 into Facilities
Comments:
9. What was the most significant thing that you learned in today’s training?
10. In what way(s) do you expect to apply what you have learned today in your work?
11. What specific types of training would you like to see offered in the future?
12. Additional comments and suggestions for future training:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
too little about right too much
This curriculum document has been developed by staff at the Toxics UseReduction Institute (TURI) at the University of Massachusetts at Lowell.The principal curriculum and instructional designer is Jody Hensley, M.Ed.,Senior Education and Training Associate at TURI. Principal documenteditor is Anne Berlin Blackman, J.D, M.A, Education and Training Associateat TURI.
All rights to this curriculum belong to the Toxics Use Reduction Institute(TURI), the Massachusetts Department of Environmental Protection (MADEP) and the United States Environmental Protection Agency (U.S. EPA).The material may be duplicated or used with permission. A request forpermission to duplicate and use portions of the curriculum may be made atthe TURI website: http://www.turi.org.
The views expressed within this curriculum document do not necessarilyrepresent the stated policies of the above agencies nor does citing of tradenames or commercial processes constitute endorsement.
The Toxics Use Reduction Institute is a multi-disciplinary research,education and policy center established by the Massachusetts Toxics UseReduction Act of 1989. The Institute sponsors and conducts research,organizes education and training programs, and provides technical supportto governments to promote the reduction in the use of toxic chemicals inindustry and commerce. Further information can be obtained by writingthe Toxics Use Reduction Institute, University of Massachusetts Lowell,One University Avenue, Lowell Massachusetts 01854, ore-mail www.turi.org.
© Copyright 1999 by the Toxics Use Reduction Institute, University ofMassachusetts Lowell; the Massachusetts Department of EnvironmentalProtection; and the United States Environmental Protection Agency.
DEP
TOXICS USEREDUCTIONINSTITUTE
This integrated curriculum was designed under the sponsorship of an EPA EnviromentalTechnology Initiative Grant to the Massachusetts Department of EnvironmentalProtection. The Toxics Use Reduction Institute, as contractor to the MA DEP, coordinatedthe design and publication of curriculum materials in collaboration with the MA DEPBureau of Waste Prevention and the Northeast Waste Management Officials Association.
EPA Project CX 824560-01-1
Garment Cleaning Training*Industrial Process/Sector:
Instructor’s Manual with Participant Materials
Pollution Prevention IntegrationA Training Curriculum for Environmental Agency Staff
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process/SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
Capacity building in the public environmental agency to promotecleaner, safer and more competitive industry while protecting our
natural resources.
*
© Copyright 1999 by the Toxics Use Reduction Institute, University of Massachusetts Lowell; the MassachusettsDepartment of Environmental Protection; and the United States Environmental Protection Agency.
Table of Contents and List of Overheads
Module 1: Introduction and Warm-Up Exercise ............................................................................................................. 10Module 2: Overview of the Dry Cleaning Industry ......................................................................................................... 12
Section 1: Definition and Function of Dry Cleaning; Profile of US and State Dry Cleaning Indus-tries ................................................................................................................................................................................ 12Dry Cleaning Definition .............................................................................................................................................. 13Dry Cleaning Industry Profile ..................................................................................................................................... 15Breakdown of Dry Cleaning Shop Expenses .............................................................................................................. 17Section 2: Overview of Dry Cleaning Process, Solvents, Machinery, and Control Technology .................................... 18Garment Cleaning Process Flow Chart ...................................................................................................................... 19Solvents Used [1993 U.S. Data] ................................................................................................................................... 19Perchloroethylene ........................................................................................................................................................ 21Types of Dry Cleaning Machines: Dry-to-dry vs. Transfer Machines ...................................................................... 23Process Flow of Typical Dry Cleaning System ........................................................................................................... 25Vapor Control: Carbon Adsorption ............................................................................................................................ 27Vapor Control: Refrigerated Condenser ..................................................................................................................... 29Water/PCE Separator ................................................................................................................................................... 31Distillation System ....................................................................................................................................................... 33Cartridge Filter (exploded view) ................................................................................................................................. 35Spin Disc Filter ............................................................................................................................................................. 37Powder Filter ................................................................................................................................................................ 39Section 3: Overview of Emissions .................................................................................................................................. 40Process Flow of Typical Dry Cleaning System ........................................................................................................... 41PCE Emissions from Dry Cleaning Shops ................................................................................................................. 45
Module 3: Risks Associated with Perchloroethylene Exposure ....................................................................................... 46Acute Exposure ............................................................................................................................................................. 47Chronic Exposure ........................................................................................................................................................ 47Environmental Effects Associated with Exposure to PCE......................................................................................... 49Pathways of Exposure to PCE ..................................................................................................................................... 51Pathways of Exposure to PCE ..................................................................................................................................... 51
Module 4: P2 Opportunities .............................................................................................................................................. 52Six Ways to Accomplish Pollution Prevention ........................................................................................................... 53Product Reformulation ................................................................................................................................................ 55Production Unit Redesign/Modification .................................................................................................................... 55Production Unit Modernization ................................................................................................................................. 57Improved Operation and Maintenance ...................................................................................................................... 59Input Substitution ........................................................................................................................................................ 61Alternative Garment Cleaning Technologies ............................................................................................................. 61Ultrasonic Cleaning ..................................................................................................................................................... 63Garment Care Test Equipment ................................................................................................................................... 63Ozonation ..................................................................................................................................................................... 65Liquid CO
2........................................................................................................................................................................................................................................................................................... 67
Wet Cleaning ................................................................................................................................................................ 69Process Flow Diagram for Wet Cleaning .................................................................................................................... 69Multi-Process Wet Cleaning ........................................................................................................................................ 71Machine Wet Cleaning ................................................................................................................................................. 71Diagram of a Wet Cleaning Machine ......................................................................................................................... 73Potential Barriers to Wet Cleaning ............................................................................................................................. 75Why Do Garment Cleaners Choose Wet Cleaning? .................................................................................................. 79Cost Comparison of Dry Cleaning and Multiprocess Wet Cleaning ....................................................................... 81
Module 5: Set up for Site Visit/Interactive Exercise ......................................................................................................... 82Module 6: Site Visit to Dry Cleaning Shop ....................................................................................................................... 84Module 7: Wrap-Up and Evaluation of the Training Module ......................................................................................... 86
Table of Contents
Module 1: Introduction and Warm-Up Exercise ..................................................................................... 11
Module 2: Overview of the Dry Cleaning Industry ................................................................................. 13
Module 3: Risks Associated with Perchloroethylene Exposure ............................................................... 47
Module 4: P2 Opportunities ..................................................................................................................... 53
Module 5: Set up for Site Visit/Interactive Exercise ................................................................................. 82
Module 6: Site Visit to Dry Cleaning Shop .............................................................................................. 84
Module 7: Wrap-Up and Evaluation of the Training Module ................................................................ 86
Instructor Notes
4 Instructor Notes Garment Cleaning Training
OVERHEAD (no.)
referred to in this section
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Icon legend
PAUSE Video
Start Video
VIDEO used in this section
STOP Video
“ROUND-THE-CLOCK”
EXERCISE
Nex
t…
Transition to NEW TOPIC orCONCEPT
Trainer needs to
CUSTOMIZE this section to
fit region, agency, etc.Customize
“HANDS ON” EXERCISE
WWWLog onto WORLD WIDE WEB
Trainer ASKS SPECIFIC
QUESTIONS at this point????
PAIRED, SMALL or LARGEGROUP EXERCISE
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
FLIPCHART
used in this section
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ParticipantExercise
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ParticipantHandout
HANDOUT or EXERCISE
referred to in this section
DRAFT VERSION:
NOT OFFICIAL COPY
6 Instructor Notes Garment Cleaning Training
Instructor Pre-Workshop Checklist
■ You will need two overhead projectors during certain sections of this training.This will alleviate switching back and forth between overheads on a singleprojector.
■ Prepare handouts, including the warm-up exercise (Dry Cleaning Fun Facts).Prepare flip charts beforehand as necessary.
■ Optional: Research the number and type of dry cleaning shops in your state. Findout where wet cleaning shops are located in your state.
■ Because 92% of the dry cleaning shops in the United States useperchloroethylene as a cleaning solvent, this training module does not addresspetroleum-based cleaning processes.
■ Arrange a site visit in which participants will visit a garment cleaning shop. Meetwith the proprietor and tour the shop beforehand. Be prepared for theproprietor to request some type of enforcement forbearance letter from youragency stating that the site visit is not intended to be a group inspection of thefacility.
■ Obtain a copy of the Wet Cleaning video, to be shown in Module 4, produced bythe Center for Neighborhood Technology in Chicago (773-278-4800).
Instructional Goals
1. Participants will be able to identify and describe innovative environmentaltechnology options available to garment cleaning facilities.
2. Participants will be able to identify opportunities for facilities to implementinnovative garment cleaning technologies.
3. Ideally, participants will be more inclined to work innovative garment cleaningtechnologies into their interactions with facility personnel (i.e., duringpermitting review, compliance inspections, and enforcement actions).
Entry Behaviors and Characteristics
1. Participants are regulatory personnel (federal, state, or local) involved inpermitting, compliance inspections, and/or enforcement.
2. Participants have the capability to understand technical presentations andparticipate in group exercises or discussions.
3. Participants have introductory knowledge of pollution prevention and toxicsuse reduction concepts and are interested in more technical training.
4. Most participants will not have systematically applied pollution preventionprinciples in their jobs.
5. Participants will likely have expertise in one environmental medium, but theymay not have dealt with facilities on a multi-media, sector-oriented basis.
6. Participants may or may not be accustomed to discussing innovativeenvironmental technologies with facilities they encounter in their jobs.
NotesParticipant Notes
Garment Cleaning Training 7
Instructional Goals
1. Participants will be able to identify and describe innovative environmentaltechnology options available to garment cleaning facilities.
2. Participants will be able to identify opportunities for facilities to implementinnovative garment cleaning technologies.
3. Ideally, participants will be more inclined to work innovative garment cleaningtechnologies into their interactions with facility personnel (i.e., during permit-ting review, compliance inspections, and enforcement actions).
Garment Cleaning Training
Instructor Notes
8 Instructor Notes Garment Cleaning Training
Agenda
Module Format Approximate Time
1 Introduction/Warm-Up Exercise 15–20 minutes
2 Overview of the Dry Cleaning Industry 60 minutes
3 Risks Associated with Perchloroethylene 15 minutesExposure
4 P2 Opportunities in Garment Cleaning 75 minutes
5 Set Up for Site Visit 15–30 minutes
6 Site Visit to Dry Cleaning Shop 75–90 minutes
7 Wrap-Up and Evaluation 15 minutes
Total 5 hours
Performance Objectives
1. Participants will be able to ask specific and clarifying questions during aninspection, permit review, or enforcement action. These questions will identifyopportunities for a garment cleaning facility to implement innovativeenvironmental technologies.
2. Ideally, participants will increase the frequency with which they bring innovativegarment cleaning options to the attention of facilities.
Participant Notes
Garment Cleaning Training 9
Agenda
Module Format
1 Introduction/Warm-Up Exercise
2 Overview of the Dry Cleaning Industry
3 Risks Associated with Perchloroethylene Exposure
4 P2 Opportunities in Garment Cleaning
5 Set Up for Site Visit
6 Site Visit to Dry Cleaning Shop
7 Wrap-Up and Evaluation
Instructor Notes
10 Instructor Notes Garment Cleaning Training
Module 1 Introduction and Warm-Up Exercise
1. Introduction: Begin by introducing yourself. Then discuss the
purpose of this training by reviewing the Instructional Goals,
Performance Objectives, and the Agenda.
2. Ask the participants to introduce themselves and give their
expectations for the course.
3. Warm-Up Exercise
Distribute Exercise #1 called “Dry Cleaning Fun Facts.” This is a
quiz for participants to fill out.
Display Overhead 1 below, which shows the answer key, after
participants have completed the quiz.
Answers to Dry Cleaning Fun Facts Quiz
Column A Column B
L 2 A. Number of shops in the US that offer wet cleaning services (EPA estimate).
K 16 B. Average cost of opening a dry cleaning shop.
C 25C. Desired OSHA PEL for concentration of PCE in ambient air in dry cleaning shops
(in parts per million).
I 27D. Existing OSHA PEL for concentration of PCE in ambient air in dry cleaning shops
(in parts per million).
A 81E. Approximate number of years ago that humans were using clay soils to remove
stains from garments ( dry clean).
D 100F. Est. number of cancer cases per 1 million consumers exposed to one freshly dry-
cleaned outfit every week for 40 years.
F 150 G. Estimated number of shops in Germany that offer wet cleaning services.
G 600 H. Year in which the first recorded dry cleaning shop opened.
H 1845 I. Percent of dry cleaning shop whose revenues are <$28,000.
E 3600 J. Number of commercial dry cleaning shops in the US.
J 31,000K. Factor by which PCE levels in Cape Cod drinking water samples exceeded EPA’s
Maximum Contaminant Level standard.
B 113,000 L. Garment cleaning shops in Massachusetts that wet clean 100% (1996 data).
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ParticipantExercise
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Garment Cleaning Training 11
Participant Exercise Module 1
Instructions: Match each number in Column A with the correct description in Column B.
KEY
PCE = Perchloroethylene
PEL = Permissible Exposure Limit
MCL = Maximum Contaminant Level
Column A Column B
2 A. Number of shops in the US that offer wet cleaning services (EPA estimate).
16 B. Average cost of opening a dry cleaning shop.
25C. Desired OSHA PEL for concentration of PCE in ambient air in dry cleaning shops
(in parts per million).
27D. Existing OSHA PEL for concentration of PCE in ambient air in dry cleaning shops
(in parts per million).
81E. Approximate number of years ago that humans were using clay soils to remove
stains from garments (i.e., dry clean).
100F. Estimated number of cancer cases per 1 million consumers exposed to one
freshly dry-cleaned outfit every week for forty years.
150 G. Estimated number of shops in Germany that offer wet cleaning services.
600 H. Year in which the first recorded dry cleaning shop opened.
1845 I. Percent of dry cleaning shop whose revenues are <$28,000.
3600 J. Number of commercial dry cleaning shops in the US.
31,000K. Factor by which PCE levels in Cape Cod drinking water samples exceeded EPA’s
Maximum Contaminant Level standard.
113,000 L. Garment cleaning shops in Massachusetts that wet clean 100% (1996 data).
Dry Cleaning Fun Facts
1Introduction/Warm-Up Exercise
Instructor Notes
12 Instructor Notes Garment Cleaning Training
Module 2 Overview of the Dry Cleaning Industry
Section 1 Definition and Function of Dry Cleaning; Profile of US andState Dry Cleaning Industries
1. Display Overhead 2. This definition of dry cleaning comes from
the Code of Massachusetts Regulations. (Feel free to substitute
another state’s definition, where appropriate.) The important
points to get across here are:
■ The process does not use water.
■ Excess solvent is extracted.
■ Machinery is used.
2. Ask participants why people bring clothes to a dry cleaner.
Write responses on a Flipchart. Make sure the following
responses are mentioned:
■ convenience
■ garment finishing/appearance
■ stain removal
■ clothing requires expertise to clean
■ prevent shrinkage
■ garment labels say “dry clean only”
3. Ask participants why people might not bring clothes to a dry
cleaner. Write responses on a Flipchart. Make sure the
following responses are mentioned:
■ inconvenience
■ cost
■ odor of perchloroethylene
■ dissatisfaction with professional cleaning services
■ desire to minimize chemical exposure
■ fear of garment damage or loss
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Module 2
NotesParticipant Notes
Garment Cleaning Training 13
Dry Cleaning DefinitionOverhead 2
“The cleaning of fabrics in an essentially nonaqueous solvent, by means of:
■ one or more washes in solvent,
■ extraction of excess solvent by spinning,
■ and drying by tumbling in an airstream.”
(310 Code of MA Regs. § 7.01)
Module 2Overview of the Dry Cleaning Industry
Instructor Notes
14 Instructor Notes Garment Cleaning Training
4. Optional: Ask participants how important they think the
environmental impact of a garment cleaning process is to the
average consumer.
■ An industry survey, conducted by the International Fabricare
Institute in 1993, indicates that consumers are willing to pay
up to 30% more for a process with fewer environmental
impacts, but only if cleaning performance is comparable.
5. Display Overhead 3 which gives a profile of the dry cleaning
industry. On this overhead, the trainer may want to include the
most recent census data for the dry cleaning industry (such as
revenues, number of employees, etc.) in the appropriate state.
In reference to the last point on Overhead 3, ask the
participants why the dry cleaning industry’s growth is
predicted to be zero or negative. Make sure the following are
mentioned:
■ intense competition,
■ high barriers to entry,
■ increased number of casual days in the workplaces, and
■ preference for natural fabrics that do not need dry cleaning.
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Module 2
Customize
NotesParticipant Notes
Garment Cleaning Training 15
Module 2
Dry Cleaning Industry Profileoverhead 3
■ SIC: 7216
■ highly competitive
■ dominated by small, family-owned businesses
■ 28% of U.S. shops have annual revenues of less than $28,000 (1991 data)
■ Massachusetts shops (1992 data):
— 4,189 employees
— $137 million in revenues
■ zero or negative growth predicted for industry
Notes
An industry survey, conducted by the International Fabricare Institute in 1993,indicates that consumers are willing to pay up to 30% more for a process with fewerenvironmental impacts, but only if cleaning performance is comparable.
Instructor Notes
16 Instructor Notes Garment Cleaning Training
6. Overhead 4 illustrates the breakdown of a typical shop’s
expenses. In this industry, not a lot of money is available for
technological innovation or even for environmental
compliance. However, the point of encouraging pollution
prevention is not to put garment cleaners out of business, but
to make operations safer.
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Module 2
NotesParticipant Notes
Garment Cleaning Training 17
Module 2
Breakdown of Dry Cleaning Shop Expensesoverhead 4
Cost Category, % of Total Annual Expenses
Labor 40–50
Rent and Real Estate Taxes 11–13.5
Utilities 9.5–11.5
Supplies 9.25–11.25
New Equipment 7–9
Compliance w/Gov’t Regs 2.25–4.25Labor40–50%
Rent and Real Estate Taxes11–13.5%
Utilities9.5–11.5%
Supplies9.25–11.25%
New Equipment7–9%
Compliance w/Gov’t Regs2.25–4.25%
Notes
■ individual wages are low■ the cost of electricity depends on the type of machinery and vapor control
technology used■ supplies include solvent, detergents, spotting chemicals, hangers, plastic bags
Neighborhood Cleaners’ Association,Annual Survey Of Member Cleaners’ Expenses (1995)
Instructor Notes
18 Instructor Notes Garment Cleaning Training
2. Another aspect of the dry cleaning industry is the solvents that
are used in the dry cleaning process.
■ Display Overhead 6 and point out that most shops in the US
use perchloroethylene (92%).
■ Optional: You may want to present the percentage of shops in
your state that use PCE, so that participants will have an idea of
what to expect when they inspect or permit a dry cleaning
shop.
Section 2 Overview of Dry Cleaning Process, Solvents, Machinery,and Control Technology
Although this process involves fewer steps than other
industrial processes we often look at, pollution prevention
opportunities still exist. The dry cleaning process is more labor-
intensive and involves fewer pieces of equipment than many
processes that regulators typically see.
1. Show the Garment Cleaning Process Flow Chart on Overhead
5. There are perchloroethylene (PCE) emissions and potential
human exposures associated with every step in this process
except the first (receiving and sorting clothes). “Offgassing,”
where solvents are emitted from freshly dry-cleaned clothes,
can occur for several days after a customer brings them home.
Module 2
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NotesParticipant Notes
Garment Cleaning Training 19
Module 2
Garment Cleaning Process Flow Chartoverhead 5
Receive & sort clothes
Pretreat clothes
Clean clothes
Dry clothes
Press clothes
Assemble clothes
Notes
There are perchloroethylene (PCE) emissions and potential human exposuresassociated with every step in this process except the first (receiving and sortingclothes). “Offgassing,” where solvents are emitted from freshly dry-cleaned clothes,can occur for several days after a customer brings them home.
Receive & sort clothes
Pretreat clothes
Clean clothes
Dry clothes
Press clothes
Assemble clothes
Solvents Used [1993 U.S. Data]overhead 6
Perchloroethylene (PCE, perc) 92%
Petroleum Solvents 6%
CFC’s/HCFC’s/Trichloroethane <2%
Perchloroethylene (PCE, perc)92%
Petroleum Solvents6%
CFC’s/HCFC’s/Trichloroethane<2%
Instructor Notes
20 Instructor Notes Garment Cleaning Training
■ Display Overhead 7 and ask why so many shops use PCE
rather than traditional petroleum solvents. Possible
responses to this question include:
a. High flammability. In general, petroleum solvents are
highly flammable. In the 1930’s and 1940’s, before PCE
was developed as a dry cleaning solvent, dry cleaning
shops were restricted to the outskirts of towns to
protect public safety. With the advent of PCE, dry
cleaning shops began to move into residential areas,
thereby introducing new public health risks.
b. Other potential solvents are prohibited. The production
of CFCs, HCFCs, and TCA has been banned under federal
air regulations (the 1990 Clean Air Act Amendments and
the Montreal Protocol). Consequently, the use of these
chemicals as dry cleaning solvents is being phased out.
■ Note that other industrial uses of PCE include vapor
degreasing and the manufacture of other chemicals.
However, dry cleaning represents the largest single use of
PCE in the US.
Module 2
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NotesParticipant Notes
Garment Cleaning Training 21
Module 2
Notes
Other industrial uses of PCE include vapor degreasing and the manufacture ofother chemicals. However, dry cleaning represents the largest single use of PCE inthe US.
Perchloroethyleneoverhead 7
Cl Cl
C = C
Cl Cl
Characteristics:
■ sweet, chloroform-like odor
■ nonflammable under normal conditions
■ low boiling point
■ easily dissolves oils and greases
■ denser than water (sinks)
Instructor Notes
22 Instructor Notes Garment Cleaning Training
Module 2
3. Display Overhead 8 which shows two of the more common
types of dry cleaning machines. Deliver the following
information:
■ There are two basic types of dry cleaning machines —
transfer and dry-to-dry. Dry-to-dry machines get their name
from the fact that clothes go in dry and come out dry from
the same machine. Transfer machines require that garments
be transferred from washer to dryer.
■ In 1993, 34 percent of dry cleaning machines in the United
States were transfer machines and 66 percent were dry-to-
dry.
■ A comparison of the “solvent mileage” of the two types of
machines reveals that transfer machines consume 12.2 lbs
of PCE per 100 lbs. clothes cleaned, while dry-to-dry
machines consume 8.8 lbs. PCE per 100 lbs. clothes cleaned.
■ There are different generations of dry-to-dry machinery
with different features and control technologies. The newest
machines are fifth generation.
■ It is possible to retrofit both types of machines with
emissions control equipment. Some dry-to-dry machines
have closed-loop technologies, or built-in control devices
that are designed for (but do not achieve) zero emissions.
■ Federal regulations prohibit the installation of new transfer
machines because of the high exposures to PCE associated
with manually transferring clothes from washer to dryer.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj8
NotesParticipant Notes
Garment Cleaning Training 23
Types of Dry Cleaning Machines:Dry-to-dry vs. Transfer Machines
overhead 8
Module 2
Notes
1. There are two basic types of dry cleaning machines — transfer and dry-to-dry.Dry-to-dry machines get their name from the fact that clothes go in dry andcome out dry from the same machine. Transfer machines require that garmentsbe transferred from washer to dryer.
2. In 1993, 34 percent of dry cleaning machines in the United States were transfermachines and 66 percent were dry-to-dry.
3. A comparison of the “solvent mileage” of the two types of machines reveals thattransfer machines consume 12.2 lbs of PCE per 100 lbs. clothes cleaned, whiledry-to-dry machines consume 8.8 lbs. PCE per 100 lbs. clothes cleaned.
Instructor Notes
24 Instructor Notes Garment Cleaning Training
4. Overhead 9 depicts the process flow of perchloroethylene
through a typical dry cleaning system. On one overhead
projector, show a copy of Overhead 9 (a transparency of
Exercise #2). Keep this overhead displayed on the overhead
projector through the remainder of this section of the training.
As you go through the transparencies showing specific control
technologies, indicate where each specific control technology
is located on Overhead 9. Also indicate which control
technologies participants will see later at the site visit (if
known).
Module 2
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj9
NotesParticipant Notes
Garment Cleaning Training 25
Module 2
������ ����������������
yyyyyyyyyyyyyyyy
condensercarbon
adsorber
muckcooker(still)
stillbottoms
lintfilter
filter
separator
steamchargedsolvent
puresolvent
washer/dryer
water
(vented machines only)
Condensate or liquid solventSteam
Solvent vaporWastes
Process Flow of Typical Dry Cleaning Systemoverhead 9
Instructor Notes
26 Instructor Notes Garment Cleaning Training
5. We will now cover the vapor control technologies that are
available for a typical dry cleaning system.
■ On a second overhead projector, display Overhead 10. This
overhead shows the adsorption and desorption cycles of a
carbon adsorber. An activated carbon bed contains 100–
1,000 pounds of carbon, which can adsorb up to 20% of its
own weight. Carbon adsorption is effective as a “polishing”
step to get the last bit of PCE out of the air exhaust stream. It
is less effective as the primary means of removing PCE
vapor. A dry cleaning system with a carbon adsorber
generates approximately 1500 gallons of PCE-laden water
per year.
Module 2
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj10
Nex
t…
Participant Notes
Garment Cleaning Training 27
Module 2
������������
yyyyyyyyyyyy
������������
yyyyyyyyyyyy
Vapor-ladenair “In”
Condenser
Waste water
Solvent tostorage
Waterseparators
Blower
PneumaticDampers
Solvent vaporstrapped inCarbon Bath
Air “Out” Steam
Vapor Control:Carbon Adsorption
overhead 10
Notes
An activated carbon bed contains 100–1,000 pounds of carbon, which can adsorbup to 20% of its own weight. Carbon adsorption is effective as a “polishing” step toget the last bit of PCE out of the air exhaust stream. It is less effective as the pri-mary means of removing PCE vapor. A dry cleaning system with a carbon adsorbergenerates approximately 1500 gallons of PCE-laden water per year.
Instructor Notes
28 Instructor Notes Garment Cleaning Training
■ Next, display Overhead 11 which shows a refrigerated
condenser. A refrigerated condenser cools the air stream as
it leaves the carbon adsorber. The condenser liquefies the
water and perchloroethylene in the air stream. The EPA
considers refrigerated condensers to be more effective than
carbon adsorbers in removing PCE vapor. A dry cleaning
system with a refrigerated condenser generates
approximately 50 gallons of PCE-laden water per year.
Module 2
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj11
NotesParticipant Notes
Garment Cleaning Training 29
Module 2
���������������������������������������������
Water Exhaust Airstream(Transfer Machines Only)
Dryer ExhaustAirstream
RefrigeratedCondensing Coils
Vented toAtmosphere
Condensate toSeparator
Vapor Control: Refrigerated Condenseroverhead 11
Notes
The EPA considers refrigerated condensers to be more effective than carbonadsorbers in removing PCE vapor. A dry cleaning system with a refrigeratedcondenser generates approximately 50 gallons of PCE-laden water per year.
Instructor Notes
30 Instructor Notes Garment Cleaning Training
■ The next control technology in this sequence is a Water/PCE
Separator as shown on Overhead 12. Display this overhead
and explain how a separator works — because PCE is
heavier than water, it falls to the bottom of the separator,
where it is decanted and reused. A separator is used in
conjunction with a vapor control technology (refrigerated
condenser or carbon adsorber).
■ Participants should be aware that process water does
contain small amounts of PCE (typically 150 ppm) even after
it has been “separated.” A common practice among dry
cleaners is to evaporate off this water in order to separate it
from the PCE. The regulatory status of this “disposal” method
is ambiguous.
Module 2
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj12
NotesParticipant Notes
Garment Cleaning Training 31
Module 2
Vapor-ladenair in
Vent
Solvent and water from Condenser
AirWaste WaterOut
Water
Perc
Solvent toStorage Tank
Notes
Process water does contain small amounts of PCE (typically 150 ppm) even after ithas been “separated.” A common practice among dry cleaners is to evaporate offthis water in order to separate it from the PCE. The regulatory status of this “dis-posal” method is ambiguous.
Water/PCE Separatoroverhead 12
Instructor Notes
32 Instructor Notes Garment Cleaning Training
6. Solvent Recovery/Recapture Mechanisms available for a typical
dry cleaning system:
■ Distillation Systems (Muck Cookers) are illustrated on
Overhead 13. Explain how a distillation system (still) works.
Approximately 90 percent of dry cleaners recover solvent
through distillation or filtration. Point out that in the
diagram displayed, cold water does not mix with PCE —
rather, it absorbs heat.
On older still models, dry cleaners must open a door to
scrape out the still bottoms and muck. This results in high
levels of exposure to PCE. Some newer models minimize this
exposure by automatically dumping still bottoms into a
drum.
Module 2
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj13
NotesParticipant Notes
Garment Cleaning Training 33
Module 2
DistilledPerc
Perchloroethylene
Sparge Steam
Steam
Condenser
OutIn
Perc Vapor
Distillation Systemoverhead 13
Notes
Approximately 90 percent of dry cleaners recover solvent through distillation orfiltration.
On older still models, dry cleaners must open a door to scrape out the stillbottoms and muck. This results in high levels of exposure to PCE. Some newermodels minimize this exposure by automatically dumping still bottoms into adrum.
Instructor Notes
34 Instructor Notes Garment Cleaning Training
■ Filtration Systems: In most filtration systems, filtering is a
continuous process. Filtered PCE is returned to the dry
cleaning machine for reuse. The purpose of filtration is to
remove color from recycled dry cleaning solvent, as well as
items like buttons, pins, and so on.
a. Overhead 14 illustrates one of the three main types of
filtration systems used in dry cleaning — a cartridge
filter. Explain how a cartridge filter works. Cartridge
filters are the most common type of filtration system
used; however, this type of filtration system generally
requires considerable maintenance. Of the three most
common types of filtration systems, this type generates
the most hazardous waste because the entire filter must
be discarded.
Module 2
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj14
NotesParticipant Notes
Garment Cleaning Training 35
Module 2
PaperElement
Center Post
End Cap
End Cap
Carbon
Meshed Wrap
OuterShield
CenterCylinder
Cartridge Filter(exploded view)
overhead 14
Notes
Of the three most common types of filtration systems, this type generates the mosthazardous waste because the entire filter must be discarded.
Instructor Notes
36 Instructor Notes Garment Cleaning Training
b. A spin disc filter is depicted on Overhead 15. Explain
how this filter spins to drop debris directly into a PCE
still. The filtered and recycled PCE will occasionally have
to be distilled to remove soluble oils, greases, and dyes.
Because spin disc filters are less effective at removing
color, they must be used in conjunction with small
cartridge filters or more frequent distillation. However,
this type of filtration system is preferable from a
pollution prevention standpoint because it generates
the least amount of waste. The nylon filter used in a spin
disc filter lasts indefinitely, and does not need to be
discarded frequently like a cartridge filter. Also, there are
powder-using and powderless varieties of spin disc
filtration systems.
Module 2
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj15
NotesParticipant Notes
Garment Cleaning Training 37
Module 2
�������������������������������
��������������������
���������������������
����������
������������������������������������������������������������������������������������Disk Filters
(shaded area)
Venting toButton Trap
Solvent In
Solvent Out
Into FilterValve
Still DrainValve
Still
Spin Disc Filteroverhead 15
Notes
This type of filtration system is preferable from a pollution prevention standpointbecause it generates the least amount of waste. The nylon filter used in a spin discfilter lasts indefinitely, and does not need to be discarded frequently like a cartridgefilter.
Instructor Notes
38 Instructor Notes Garment Cleaning Training
c. A powder filter is illustrated on Overhead 16. In this type
of filtration system, the powder is discarded into a PCE
still or muck cooker. The use of this type of filter is
declining.
Module 2
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj16
NotesParticipant Notes
Garment Cleaning Training 39
Module 2
1. Precoat 2. Filtration(through accumulatedprecoat)
3. “Bump off”filter cake
Clean PercandFilter Powder
Clean PercandFilter Powder
FilteredSolvent Filter waste
to muck cooker
UsedPerc
UsedPerc
Powder Filteroverhead 16
Notes
In this type of filtration system, the powder is discarded into a PCE still or muckcooker. The use of this type of filter is declining.
Instructor Notes
40 Instructor Notes Garment Cleaning Training
Section 3 Overview of Emissions
1. Direct Participants to Exercise #2 (on the next page), which is
the Emissions Pathway Exercise. In this exercise, the goal is to
identify emissions from the processes and controls that we just
discussed. Separate the audience into small groups of 3-4
participants each. Give the small groups up to ten minutes to
complete the exercise. The small groups should:
■ identify all of the points in the process at which PCE could
be emitted, and
■ for each point, indicate where PCE is emitted to air, water, or
land.
2. Overhead 17 below is the finished version of the exercise.
Display it and review the participants’ answers. Do not forget
to mention two PCE emission points not shown on the
handout: solvent spills and PCE offgassing from cleaned
garments.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj17
Module 2
������ ����������������
yyyyyyyyyyyyyyyy
carbonadsorbercondenser
muckcooker(still)
stillbottoms
disposal
lintfilter
filter
separator
steamchargedsolvent
puresolvent
washer/dryer
water
(vented machines only)
Condensate or liquid solventSteam
Solvent vaporWastes
Emissions
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantExercise
Garment Cleaning Training 41
Participant Exercise
2
������ ����������������
yyyyyyyyyyyyyyyy
carbonadsorbercondenser
muckcooker(still)
stillbottoms
disposal
lintfilter
filter
separator
steamchargedsolvent
puresolvent
washer/dryer
water
(vented machines only)
Condensate or liquid solventSteam
Solvent vaporWastes
Instructions
1. Identify all of the points in the process at which PCE could be emitted, and
2. For each point, indicate where PCE is emitted to air, water, or land.
Process Flow of Typical Dry Cleaning Systemoverhead 17
Module 2
Instructor Notes
42 Instructor Notes Garment Cleaning Training
3. This exercise brings us to our next topic, which is the emissions
from a dry cleaning system. After reviewing the exercise, direct
participants to Handout 1 — a chart showing emissions by
environmental medium.
Optional: You may want to prepare and hand out a diagram of
the back of a dry cleaning machine. Ideally, you may be able to
photograph the machine that will be viewed during the site visit.
Alternatively, you could request a diagram from that machine’s
manufacturer.
Module 2
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantHandout
Nex
t…
Participant Handout
Garment Cleaning Training 43
Module 2
Dry Cleaning Shops:
Emissions by Environmental Medium
PCE Emissions to Air, Water, and Land
This handout lists the PCG emissions from dry cleaning shops, by environmentalmedium.
1. PCE Emissions to Air■ Fugitive leaks from piping■ Vapor released when clothes are removed from machines■ Vapor release from clothes dryers■ Residual vapor release from clothes after they are removed from the dryer
2. PCE Emissions to Water■ Water from solvent separator■ Water from regeneration of carbon adsorber■ Wastewater discharge to sewer or onsite sewage disposal system
3. PCE Emissions to Land■ Residue from stills used to evaporate solvent-contaminated water■ Disposal of filters contaminated with solvent residue■ Disposal of carbon adsorbers contaminated with solvent residue
4. PCE Emissions to All Categories: Solvent spills
1
Instructor Notes
44 Instructor Notes Garment Cleaning Training
4. This training will now focus on the dry cleaning industry’s
emissions into the environment. Display Overhead 18. A shop’s
PCE emissions will depend upon:
■ the type of dry cleaning machinery used,
■ the purity of solvent,
■ the quantity of clothes cleaned,
■ the effectiveness of control technology, and
■ the level of equipment maintenance.
5. Optional: You could present data on PCE emissions to the
environment reported by dry cleaning shops in your state. You
may want to compare these emissions to all reported TRI
emissions of PCE for your state.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj18
Module 2
NotesParticipant Notes
Garment Cleaning Training 45
Module 2
PCE Emissions from Dry Cleaning Shopsoverhead 18
■ 148.5 million pounds of PCE were released to the environment by U.S. dry
cleaners in1994
■ approximately 2/3 of dry cleaning shops’ PCE emissions are to the air
(through process and fugitive loss)
■ a controlled machine might annually release:
— 2200-4300 lbs. of PCE to air
— .07-1.9 lbs. of PCE in wastewater
— 140 gallons of still bottoms, 50 filters
Notes
A shop’s PCE emissions will depend upon:
■ the type of dry cleaning machinery used,
■ the purity of solvent,
■ the quantity of clothes cleaned,
■ the effectiveness of control technology, and
■ the level of equipment maintenance.
Instructor Notes
46 Instructor Notes Garment Cleaning Training
Module 3 Risks Associated withPerchloroethylene Exposure
1. We have examined how perchloroethylene is used and emitted
from dry cleaning operations. Now we will look at what risks
perchloroethylene presents to human health and the
environment. We will also see how people are exposed to PCE
and why it is subject to environmental regulation.
Optional: Ask participants why PCE is subject to environmental
regulation and record their discussion on a flipchart.
2. Display the overhead showing observed effects of acute
exposure to PCE. (Overhead 19)
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj????
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj19
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj20 3. Display Overhead 20 which shows possible effects of chronic
exposure to PCE. The debate over whether PCE is carcinogenic
is still ongoing. Participants should see the appendices for
other references, such as studies of PCE-related risks.
4. Optional: Ask participants whether they have dealt with the
remediation of a site that was contaminated with PCE.
Nex
t…
NotesParticipant Notes
Garment Cleaning Training 47
Module 3
Acute Exposureoverhead 19
Observed effects of acute exposure (high dose, short duration) include:
■ irritation to skin, eyes, nose, and throat
■ superficial burns
■ depression of the central nervous system, slurred speech, impaired motor
functions, loss of consciousness
■ death
Chronic Exposureoverhead 20
Possible effects of chronic exposure (low dose, long duration) include:
■ impaired neurobehavioral function: headaches, dizziness, sleepiness
(reversible)
■ non-carcinogenic liver and kidney damage
■ reproductive disorders (decreased sperm count, increased incidence of
spontaneous abortions)
■ cancer — bladder, cervical, esophagal (possibly liver cancer and leukemia)
Human Health Risks Associated With Exposure to PCE
Risks Associated with Perchloroethylene Exposure
Instructor Notes
48 Instructor Notes Garment Cleaning Training
5. Display Overhead 21 showing environmental effects of
exposure to PCE.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj21
Module 3
NotesParticipant Notes
Garment Cleaning Training 49
Module 3
Environmental Effects Associated withExposure to PCE
overhead 21
BIOTA:
■ bladder, kidney, and liver cancers leukemias reported in rodents
■ toxic to phytoplankton populations
■ sub-acute and chronic effects in fish
■ bioaccumulation in marine organisms
AIR/WATER:
■ atmospheric half-life of 96 days
■ up to 26% of groundwater and 38% of surface water in U.S. exhibits PCE
contamination
Instructor Notes
50 Instructor Notes Garment Cleaning Training
6. Display Overhead 22 showing exposure to PCE via inhalation.
Optional: Cover the bottom half of the overhead and ask
participants who else, besides dry cleaning workers, is exposed to
PCE.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj22
Module 3
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj23 7. Display Overhead 23 showing exposure to PCE via ingestion.
Mention that dermal contact is not a significant source of
exposure to PCE and that no occupational standard exists for
dry cleaners’ dermal exposure to PCE.
Optional: Mention that approximately 70,000 people in
Manhattan live above or adjacent to 500 dry cleaning shops, and
measurements of PCE in the ambient air in these residences in
some cases exceeded occupational exposure standards.
NotesParticipant Notes
Garment Cleaning Training 51
Module 3
Pathways of Exposure to PCEoverhead 22
INHALATION:
■ working in dry cleaning shop
— current OSHA standard = 100 ppm
— proposed standard = 25 ppm
■ living in a household with a dry cleaning worker
■ visiting a dry cleaning shop
■ bringing home freshly dry cleaned clothes (offgassing)
■ residing above or adjacent to a dry cleaning shop
Pathways of Exposure to PCEoverhead 23
INGESTION:
■ drinking PCE contaminated water
— EPA Maximum Contaminant Level standard for PCE in drinking water
is 5 micrograms/L
— measurements in Cape Cod groundwater are 16 times the MCL
■ eating PCE-contaminated food (especially dairy products and
other fatty foods)
NotesDermal contact is not a significant source of exposure to PCE and that no occupa-tional standard exists for dry cleaners’ dermal exposure to PCE.
Instructor Notes
52 Instructor Notes Garment Cleaning Training
2. On the second overhead projector, show the list of six toxics
use reduction (pollution prevention) techniques on Overhead
24. Items 1–4 on this overhead represent P2 opportunities that
are available for existing garment cleaning processes (i.e., dry
cleaning). Items 5–6 represent P2 opportunities that are
available for new garment cleaning processes.
Module 4 P2 Opportunities
This section covers the P2 opportunities that are available
within already developed garment cleaning processes (i.e., dry
cleaning).
1. On the first overhead projector, display the diagram of the dry
cleaning process flow chart that was used in the group
exercise (Overhead 9). Keep this diagram displayed
throughout this section.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj9
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj24
NotesParticipant Notes
Garment Cleaning Training 53
Module 4
Six Ways to Accomplish Pollution Preventionoverhead 24
■ Product Reformulation
■ Production Unit Redesign/Modification
■ Production Unit Modernization
■ Improved Operation and Maintenance
■ Input Substitution
■ Alternative Technologies
P2 Opportunities in Garment Cleaning
Instructor Notes
54 Instructor Notes Garment Cleaning Training
4. On the first overhead projector, show the Production Unit
Redesign/Modification information from Overhead 26. Identify
the equipment (on the process flow diagram — illustrated on
Overhead 9) required for the examples listed on Overhead 26.
3. Show the Product Reformulation transparency (Overhead 25).
Ask participants what they think the “product” is in garment
cleaning (i.e., Is the product clean clothes, convenient service,
dry cleaning, or something else). Ask participants how the
product, as they define it, can be reformulated. Discuss the
difficulties in changing a cleaning process. Product
Reformulation may not always be a realistic option for garment
cleaners.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj25
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj26
Module 4
NotesParticipant Notes
Garment Cleaning Training 55
Product Reformulationoverhead 25
■ In garment cleaning, the product is _______________
■ Ways of reformulating the product include ___________
Production Unit Redesign/Modificationoverhead 26
Examples of garment cleaning production unit redesign/modification include:
■ hardpiping a PCE still to a carbon adsorber to increase the solvent
extraction rate
■ draining filters more thoroughly before disposal
(over a weekend is recommended)
■ draining filters in a closed casing
■ using multiple emission control devices in sequence
(e.g., carbon adsorber after a refrigerated condenser, a carbon filter
after a spin disc filter)
Module 4
Instructor Notes
56 Instructor Notes Garment Cleaning Training
5. Show the Production Unit Modernization transparency
(Overhead 27). Identify the equipment (on the process flow
diagram — illustrated on Overhead 9) required for the
examples listed on Overhead 27.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj27
Module 4
NotesParticipant Notes
Garment Cleaning Training 57
Production Unit Modernizationoverhead 27
Examples of production unit modernization include:
■ adding or upgrading emission control devices
— installing a spin disc filter system
— installing a more efficient PCE still
■ using drip-free, airtight couplers to refill machines with solvent and
therefore minimize PCE vaporation
Module 4
Instructor Notes
58 Instructor Notes Garment Cleaning Training
6. Show the Improved Operation and Maintenance transparency
on Overhead 28. Identify the equipment (on the process flow
diagram — illustrated on Overhead 9) required for the
examples listed on Overhead 28.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj28
Module 4
NotesParticipant Notes
Garment Cleaning Training 59
Improved Operation and Maintenanceoverhead 28
Perform regular maintenance:
■ Change filters regularly
■ Replace gaskets regularly (aeration & deodorizer valves, button trap,
cleaning machine door)
■ Clean button traps, lint screens, fan blades, condensor coils
■ Desorb carbon adsorbers promptly
■ Check refrigerated condenser temperatures
Perform regular inspections:
■ Check for leaks at gaskets, hose couplings and connections, pumps,
air relief valves, storage containers, air vents
■ Check air and exhaust vents for drips
■ Check level gauge on solvent tanks
Correctly size loads
Minimize time that machine door, button trap are open
Provide proper training for employees
Module 4
Instructor Notes
60 Instructor Notes Garment Cleaning Training
7. Show the Input Substitution transparency (Overhead 29).
Currently, no “drop-in” substitutes exist for PCE, which means
that a different solvent would require entirely new technology
and machinery. “Rynex” is a solvent under development and is
not yet commercially viable. Testing on Rynex’s performance in
two existing garment cleaning operations began in 1997. The
solvent consists of a mixture of glycol ethers, which are
classified by the EPA as Volatile Organic Compounds.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj29
Module 4
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj30 8. Show the Alternative Garment Cleaning Technologies
transparency (Overhead 30). These alternatives do not include
any home-care products that are new to the consumer market.
With regard to petroleum-based solvents: Exxon has
developed new petroleum solvents with higher flash points
and lower volatile organic compound content. However, these
petroleum solvents may pose their own set of risks to human
health and the environment.
NotesParticipant Notes
Garment Cleaning Training 61
Input Substitutionoverhead 29
■ no “drop-in” substitutes currently available
■ Rynex
■ alternative solvents require alternative technology
Alternative Garment Cleaning Technologiesoverhead 30
■ ultrasonic
■ ozonation
■ liquid CO2
■ wet cleaning
Module 4
Notes
“Rynex” is a solvent under development and is not yet commercially viable. Testingon Rynex’s performance in two existing garment cleaning operations began in1997. The solvent consists of a mixture of glycol ethers, which are classified by theEPA as Volatile Organic Compounds.
Notes
Exxon has developed new petroleum solvents with higher flash points and lowervolatile organic compound content. However, these petroleum solvents may posetheir own set of risks to human health and the environment.
Instructor Notes
62 Instructor Notes Garment Cleaning Training
9. Display the overhead showing the Garment Care Test
Equipment (Overhead 32) using ultrasonic cleaning
technology, which is defined on Overhead 31. This is a diagram
of test equipment, used by the Department of Energy, to
evaluate the use of ultrasonic technology to clean garments.
Current research projects are examining this technology’s
potential to damage fabric. Ultrasonic cleaning is already
widely used in the metal parts cleaning industry.
Module 4
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj32
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj31
NotesParticipant Notes
Garment Cleaning Training 63
Ultrasonic Cleaningoverhead 31
■ High frequency sound waves agitate garments in a liquid medium
■ Microscopic bubbles in the liquid medium implode, producing shock waves
that dislodge stain molecules from fabric
■ Mechanical action does not involve large-scale fabric movement that
increases the wear and tear on garments
Module 4
Notes
This is a diagram of test equipment, used by the Department of Energy, to evaluatethe use of ultrasonic technology to clean garments. Current research projects areexamining this technology’s potential to damage fabric. Ultrasonic cleaning isalready widely used in the metal parts cleaning industry.
Garment Care Test Equipmentoverhead 32
32" 48"
48"
32"
Ultrasonic Generator
RinseWater
RinseTank
WashTank
Transducers
FillWater
FineFilter
Heater
Pump90 GPM, 30 PSI
SustainerDrain
Instructor Notes
64 Instructor Notes Garment Cleaning Training
10. Display the Ozonation transparency (Overhead 33). Explain
the ozonation process. Ozonation is used at several laundry
facilities in the U.S. because of its strong oxidizing, disinfecting,
deodorizing, and bleaching capabilities. Manufacturers of
ozonation equipment claim that ozonation is gentler on
fabrics than other alternative garment cleaning processes.
They also assert that ozonation reduces wash cycle time,
chemical use, hot water use, and labor costs.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj33
Module 4
NotesParticipant Notes
Garment Cleaning Training 65
Ozonationoverhead 33
■ An onsite electrical generator produces ozone gas.
■ Wash water is ozonated (injected with ozone gas), thus solubilizing
garment soils.
■ Filters remove soils from the wash water which is recycled, reozonated,
and reused.
■ Garments remain on hangers throughout the cleaning process to avoid
dimensional change.
Module 4
Notes
Ozonation is used at several laundry facilities in the U.S. because of its strongoxidizing, disinfecting, deodorizing, and bleaching capabilities. Manufacturers ofozonation equipment claim that ozonation is gentler on fabrics than other alterna-tive garment cleaning processes. They also assert that ozonation reduces wash cycletime, chemical use, hot water use, and labor costs.
Instructor Notes
66 Instructor Notes Garment Cleaning Training
11. Display the Liquid CO2 transparency (Overhead 34). Explain
how liquid CO2 can be used to clean garments.
Optional: Information about the developing liquid carbon
dioxide technologies is proprietary. A generic diagram of the
liquid CO2 garment cleaning process may be found in “A New Spin
on Dry Cleaning,” LA Times, Monday, September 8, 1997, p. D1.
Of the two companies developing liquid CO2 garment cleaning
technology, one company’s technology relies on special
surfactants, while the other company’s technology is based on
high-powered liquid CO2 jets. Both companies claim that
garment cleaning with liquid CO2 takes half the time of dry
cleaning with PCE. Predicted costs for liquid CO2 garment
cleaning machines range from $50,000–$125,000.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj34
Module 4
NotesParticipant Notes
Garment Cleaning Training 67
Liquid CO2
overhead 34
■ A proprietary garment cleaning technology using liquid CO2 as the cleaning
solvent may become commercially viable in 1998.
■ CO2 is non-flammable, non-corrosive, less toxic than PCE, inexpensive
($.50/lb.), and readily available.
■ Liquid CO2 is converted to gas after the garment cleaning cycle. 90% of the
CO2 can be recaptured for reuse
■ Disadvantage: Garment cleaning with CO2 requires high pressure (700 lbs
per square inch) comparable to that of CO2 in soda fountains in restaurants
Notes
Predicted costs for liquid CO2 garment cleaning machines range from $50,000–
$125,000.
Module 4
Instructor Notes
68 Instructor Notes Garment Cleaning Training
12. Display the Wet Cleaning transparency on Overhead 35.
Explain the differences between wet cleaning and laundering
with respect to level of professional skill required, quantity of
water, types of detergents used, and degree of garment
agitation during process. Ask how many participants have ever
seen the wet cleaning process or had garments wet cleaned.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj35
13. Display and review the Process Flow Diagram for Wet Cleaning
information on Overhead 36. Wet cleaning is widespread in
Europe, and it has been used in the U.S. as a supplementary
process.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj36
Module 4
NotesParticipant Notes
Garment Cleaning Training 69
Wet Cleaningoverhead 35
■ Wet cleaning is the professional cleaning of garments in an aqueous solvent.
■ It is distinct from laundering and hand-washing.
Process Flow Diagram for Wet Cleaningoverhead 36
Water, Soil& Additives
Washer/Extractor
MachineDry
HangDry
FiltrationSystem
RecycledWater Tank
Heated Air
• Inspect• Sort• Pretreat
Stains
Water, SoapsConditionersSoftenersSizings
DirtyClothes
Clean, WetClothes
Clean, DryClothes
Finishing &Assembly
SpentFilters
Water
DirtyWater
Module 4
Instructor Notes
70 Instructor Notes Garment Cleaning Training
14. There are two types of wet cleaning: multi-process wet
cleaning and machine wet cleaning. Display the multi-process
wet cleaning information on Overhead 37. Explain the
difference between multi-process wet cleaning and machine
wet cleaning.
15. Display the machine wet cleaning transparency (Overhead 38).
Machine wet cleaning is the option that is more frequently
used and has greater potential as a widespread garment
cleaning alternative.
Optional: Mention the number of wet-cleaning shops or mixed-
use shops in the area. Shops are mixed-use if they dry clean and
wet clean. An informal list of U.S. shops that offer wet cleaning
services is maintained at: www.greenpeace.org/~usa/
campaigns/toxics/wetclean.html
Module 4
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj37
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj38
NotesParticipant Notes
Garment Cleaning Training 71
Multi-Process Wet Cleaningoverhead 37
■ Labor-intensive
■ Relies heavily on manual laundering techniques such as scrubbing and
gentle hand-washing
Machine Wet Cleaningoverhead 38
■ Uses a computerized washing machine designed to minimize agitation
■ The dryer controls heat and moisture precisely through sensors
Module 4
Notes
An informal list of U.S. shops that offer wet cleaning services is maintained at:www.greenpeace.org/~usa/campaigns/toxics/wetclean.html
Instructor Notes
72 Instructor Notes Garment Cleaning Training
16. Go over the wet cleaning machine diagram on Overhead 39. If
you have a photo or diagram of a wet cleaning machine used
at the facility chosen for the site visit, show it instead. Explain
the differences between a wet cleaning machine, a dry
cleaning machine, and a home washing machine in terms of
the detergents and spotting agents used. Wet cleaning
washers and dryers, unlike dry cleaning machines, are separate
pieces of equipment, and wet cleaning technology involves
computer-controlled agitation and drying cycles. Indicate that
the CNT video to be shown shortly will further clarify the wet
cleaning process.
Module 4
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj39
Nex
t…
Participant Notes
Garment Cleaning Training 73
Diagram of a Wet Cleaning Machineoverhead 39
Dirt
Conventional Washer• Strong agitation• Linited controls• Low capital investment
Wet Clean Machine• Gentle agitation• Microprocessor controls• High capital investment
Daewoo• Microprocessor controls• Low capital investment• Air bubbles create gentle agitation• Bubbles help remove soil
Air Bubbles
Air Bubbles
Vibrations ofClothes
Clothes
Module 4
Notes
Wet cleaning washers and dryers, unlike dry cleaning machines, are separate piecesof equipment, and wet cleaning technology involves computer-controlled agitationand drying cycles.
Instructor Notes
74 Instructor Notes Garment Cleaning Training
17. According to the EPA, in 1997 only 81 dry cleaners nationwide
offered wet cleaning services. To date, only 6 shops in the U.S.
have switched to 100% wet cleaning. If wet cleaning means
avoiding PCE and its associated costs, risks, and regulatory
requirements, why aren’t more professional garment cleaners
wet cleaning? See Overhead 40. Go over the list of potential
barriers to wet cleaning. Many of these barriers arise from
perceptions, rather than facts, about wet cleaning. Mention
that the Federal Trade Commission, which regulates garment
care labeling practices, is revisiting garment care labeling
requirements and may change its regulations to address wet
cleaning instructions.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj40
Module 4
NotesParticipant Notes
Garment Cleaning Training 75
Potential Barriers to Wet Cleaningoverhead 40
■ Lack of expertise with techniques
■ Skepticism about cleaning performance
■ Fear of customer disapproval and loss of market share
■ Increased labor and water costs
■ Garment care labels marked “Dry Clean Only”
■ Disbelief regarding risks associated with PCE
Notes
According to the EPA, in 1997 only 81 dry cleaners nationwide offered wet cleaningservices. To date, only 6 shops in the U.S. have switched to 100% wet cleaning.
The Federal Trade Commission, which regulates garment care labeling practices, isrevisiting garment care labeling requirements and may change its regulations toaddress wet cleaning instructions.
Module 4
Instructor Notes
76 Instructor Notes Garment Cleaning Training
18. Handout #4: Utopia Report
Distribute copies of the Utopia report and discuss why the
owner of the shop wanted to conduct wet cleaning. The owner
of the shop was motivated to try wet cleaning because of a
dispute over whether he was partially liable for PCE
contamination discovered shortly after the facility opened.
Utopia Cleaners installed four wet cleaning machines and one
dryer with a moisture sensor at its Arlington, MA facility in early
1996. The owner of the shop has observed that wet cleaned
garments have a better odor than garments cleaned in PCE,
but the wet cleaned garments are often more wrinkled than
dry cleaned garments. He has also noticed that the tendency
for garments to shrink or change color in wet cleaning is
comparable to dry cleaning. The installation of wet cleaning
machines at Utopia Cleaners has eliminated the use of 150–
175 gallons (2025 to 2363 pounds) of PCE. They have also
eliminated the generation of 3600 pounds of PCE-
contaminated waste annually. (Since the report was issued,
Utopia Cleaners has added a dry-to-dry PCE machine at its
plant in Arlington — so the facility is no longer wet cleaning
only.)
19. Introduce “Today’s Wet Cleaning” — the wet cleaning video
made by the Center for Neighborhood Technology (CNT).
Discuss the CNT wet cleaning demonstration project. (A final
project report is available.) Refer participants to the list of
resources in the Appendices of this manual for ordering
information.
Show the Video: “Today’s Wet Cleaning” (approx. 20 minutes.)
Allow approximately five minutes for questions about the CNT
video.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantHandout
Module 4
????
Participant Handout
Garment Cleaning Training 77
2Module 4
Notes
Utopia Cleaners installed four wet cleaning machines and one dryer with a moisturesensor at its Arlington, MA facility in early 1996. The owner of the shop has ob-served that wet cleaned garments have a better odor than garments cleaned in PCE,but the wet cleaned garments are often more wrinkled than dry cleaned garments.He has also noticed that the tendency for garments to shrink or change color in wetcleaning is comparable to dry cleaning. The installation of wet cleaning machines atUtopia Cleaners has eliminated the use of 150–175 gallons (2025 to 2363 pounds) ofPCE. They have also eliminated the generation of 3600 pounds of PCE-contami-nated waste annually. (Since the report was issued, Utopia Cleaners has added a dry-to-dry PCE machine at its plant in Arlington — so the facility is no longer wetcleaning only.)
A summary of this report can be downloaded from the Internet at http://www.turi.org/htmlsrc/utopia.htm.
Instructor Notes
78 Instructor Notes Garment Cleaning Training
20. Display and review Overhead 41 which is titled “Why Do
Garment Cleaners Choose Wet Cleaning?”
■ Studies conducted by EPA, the Center for Neighborhood
Technology, UCLA’s Pollution Prevention Education &
Research Center, and others, have demonstrated that wet
cleaning is viable as a profitable commercial alternative to
dry cleaning. For ordering information and executive
summaries, go to www.cnt.org/sus_man/wet_cln.html
Module 4
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj41
NotesParticipant Notes
Garment Cleaning Training 79
Why Do Garment Cleaners Choose Wet Cleaning?overhead 41
■ Cost Savings
■ Regulatory Relief
■ Occupational safety
■ Added garment cleaning capacity
■ Market niche
Module 4
Notes
Studies conducted by EPA, the Center for Neighborhood Technology, UCLA’sPollution Prevention Education & Research Center, and others, have demonstratedthat wet cleaning is viable as a profitable commercial alternative to dry cleaning.For ordering information and executive summaries, go to www.cnt.org/sus_man/wet_cln.html
Instructor Notes
80 Instructor Notes Garment Cleaning Training
21. Display and review Overhead 42 which is titled “Cost
Comparisons Between Dry Cleaning And Multi-process Wet
Cleaning.”
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj42
Module 4
NotesParticipant Notes
Garment Cleaning Training 81
Cost Comparison of Dry Cleaning andMultiprocess Wet Cleaning
overhead 42
Dry Clean ($) Wet Clean ($)
Annual Operating Costs 43,920 43,880
Annual Labor Costs 5,000 15,500
Capital Recovery 6,140 90
Haz Waste Disposal 1,390 0
Solvent 370 0
Filters 630 0
Permit Fee 80 0
NOTE: These cost data are for shops that do 100% wet cleaning.
EPA, 1993 (Based On 1992 Data)
Module 4
Instructor Notes
82 Instructor Notes Garment Cleaning Training
Module 5 Set up for Site Visit/Interactive Exercise
1. When selecting a site visit candidate, you should consider
whether the visit should focus on a company that has made
investments in pollution prevention technologies and
practices or on a company that has not made such
investments. Firms that have made P2 investments offer
participants an opportunity to observe new technology and
efficient work practices. Firms that have not made such
changes offer participants an opportunity to practice their
observation and communication skills (by observing P2
opportunities and communicating them to facility personnel).
2. Site Visit Preparation:
To prepare participants for the site visit, introduce the site visit
by presenting the following:
■ the firm’s products, main processes, and experience with
pollution prevention;
■ any process flow diagrams or input-output analysis available
from the facility;
■ what participants will be observing during the plant tour;
and
■ how to communicate P2 options observed during the tour
with facility staff.
3. Ask participants to fill out the questionnaire on the opposite
page before the site visit.Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
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ParticipantHandout
Participant Handout
Garment Cleaning Training 83
Module 5
Industry Process/Sector Training for Environmental Regulators
Dry Cleaning Site Visit Questionnaire
The goal of the site visit is to provide familiarity with and understanding of the operations of the typical drycleaning shop.
Before Site Visit1. What do I expect to see at the dry cleaning shop?
(describe, e.g., employees, equipment, level ofknowledge re: agency, attitude, other)
After Site Visit1. What was different than what I expected?
2. Were any questions left unanswered?2. What questions will I want to get answers toduring the site visit? (list)
3. What compliance issues do I think I am mostlikely to encounter?
3. What compliance issues did I encounter?
Set Up for Site Visit
Instructor Notes
84 Instructor Notes Garment Cleaning Training
Module 6 Site Visit to Dry Cleaning Shop
1. Site Visit
2. Large Group Discussion: Site Visit Debriefing
Facilitate a large group discussion following the site visit. The
discussion should be tailored to the specific visit, the
production processes observed, and the interaction with
facility personnel. For example, you could lead a large group
discussion to evaluate
■ whether participants identified P2 opportunities at the
facility, and, if so, how they identified these opportunities;
■ successes or frustrations participants had when
communicating P2 opportunities to facility representatives;
and
■ any other observations.
3. Ask participants to fill out the questionnaire on the opposite
page and to hand in this and the previous questionnaire at the
end of the training.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
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ParticipantHandout
Participant Handout
Garment Cleaning Training 85
Module 6
4. What was the most important thing I learned at today’s site visit?
Suggestions or comments which could improve future site visits:
86 Instructor Notes Garment Cleaning Training
Instructor Notes
Evaluation: A paper evaluation form should also be provided so that
participants can note feedback specifically and confidentially.
Give participants time at the end of the course to fill in the
forms and collect them as participants depart the classroom.
Module 7 Wrap-Up and Evaluation of theTraining Module
Large Group Exercise: Use a plus/delta evaluation to solicit
feedback on the training. In a plus/delta evaluation, the trainer
writes a plus sign at the top of one flipchart and a delta at the
top of a second. The plus (+) represents what worked in the
training and the delta (∆) represents what could be improved.
The trainer quickly reviews the agenda for the training and
then solicits remarks to put on the plus page and on the delta
page. Answers should be recorded in the appropriate column
and useful feedback should be incorporated into the next
course offering.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
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ParticipantHandout
+ ∆
Participant Handout
Garment Cleaning Training 87
Industry Process/Sector Training for Environmental Regulators:Garment Cleaning
Evaluation Form
Please complete both pages of this brief evaluation. Results will be used to improve this program. The goals ofthis process sector training are to provide an industry specific overview (including history, processes andpollution prevention opportunities); and to develop familiarity with and understanding of the operations of atypical shop. Please rate the following elements of today’s workshop, both in terms of their usefulness inreaching the instructional goal and their overall quality. Please provide written comments in the space pro-vided to explain your rating or to offer suggestions for improvement.
1. Welcome, Intro, Warm-Up Exercise
Comments:
2. Overview of the Dry Cleaning Industry
Comments:
3. Risks Associated with Perchloroethylene Exposure
Comments:
4. Pollution Prevention Opportunities in Garment Cleaning
Comments:
5. Set Up for Site Visit
Comments:
6. Site Visit to Dry Cleaning Shop
Comments:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Wrap-Up and Evaluation
Participant Handout
Garment Cleaning Training 89
7. Wrap Up and Evaluation
Comments:
8. Assess the amount of time/detail devoted to each:
Welcome, Intro, Warm-Up ExerciseOverview of the Dry Cleaning IndustryRisks Associated with Perchloroethylene ExposurePollution Prevention Opportunities in Garment CleaningSet Up for Site VisitSite Visit to Dry Cleaning ShopWrap Up and Evaluation
Comments:
9. What was the most significant thing that you learned in today’s training?
10. In what way(s) do you expect to apply what you have learned today in your work?
11. What specific types of training would you like to see offered in the future?
12. Additional comments and suggestions for future training:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
too little about right too much
Participant Handout
Garment Cleaning Training 91
I. Pollution Prevention In The Dry Cleaning Process:Selected Bibliography
A. The Dry Cleaning Process: Emission Control
Arthur D. Little, Inc. for NIOSH. NIOSH Technical Report: Engineering ControlTechnology Assessment of the Dry Cleaning Industry, Contract No. 210-77-004.October 1980.
Northeast States For Coordinated Air Use Management (NESCAUM). Workshopon Emission Control Strategies for Dry Cleaners, January 8, 1992-Proceedings.September 1992.
U.S. EPA, Office of Compliance, Sector Notebook Project: Profile of the Dry CleaningIndustry , EPA/310-R-95-001, September 1995.
Washington State Department of Ecology, Waste Reduction, Recycling, and LitterControl Program. Background Document and Technical Assistance Strategy for theDry Cleaning Industry. May 3, 1993.
B. Alternative Garment Cleaning Technologies
Black, Harvey. “Prototype CO2 dry-cleaning process replaces toxic solvent.”
Environmental Science & Technology vol. 29, no. 11 November 1995 p. 497A(1).
Blackler C. A., et al. Comparative Analysis of Perc Dry Cleaning and an AlternativeWet Cleaning Process. Master’s Thesis Project, University of Michigan (Ann Arbor),School of Natural Resources and Environment. April 1995.
Center for Neighborhood Technology. Alternative Clothes CleaningDemonstration Shop (Final Report). September 1996.
Kaplan, Karen. “A New Spin on Dry Cleaning.” L.A. Times, Monday, September 8,1997, p. D1.
Massachusetts Toxics Use Reduction Institute. Toxics Use Reduction InstituteCleaner Technology Demonstration Sites Program, Utopia Cleaners, Arlington,Massachusetts (Garment Wet Cleaning), Technical Report No. 35. Lowell, MA: TURI,1996.
—————. Training Curriculum for Alternative Clothes Cleaning. Lowell, MA: TURI,1997.
U.S. EPA, Office of Pollution Prevention and Toxics. Multiprocess Wet Cleaning: Costand Performance Comparison of Conventional Dry Cleaning and An AlternativeProcess. EPA 744-R-93-004. September 1993.
U.S. EPA, Office of Pollution Prevention and Toxics. Wet Cleaning: A NontoxicAlternative. 1997.
Participant Handout
Garment Cleaning Training 93
C. Toxicology of Perchloroethylene Exposure
Aggazzotti, G., et al. “Occupational and Environmental Exposure toPerchloroethylene (PCE) in Dry Cleaners and Their Family Members.” Archives ofEnvironmental Health. November/December 1994 (Vol. 49, No. 6), p. 488.
Agency for Toxic Substances and Disease Registry, U.S. Department of Health &Human Services. Toxicological Profile for Tetrachloroethylene, Contract No. 205-93-0606. August 1995.
Aschengrau, A., et al. “Cancer Risk and Tetrachloroethylene-contaminatedDrinking Water in Massachusetts.” 48 Archives of Environmental Health (Sept./Oct. 1993), p. 290.
Consumers Union. Upstairs, Downstairs: Perchloroethylene in the Air in ApartmentsAbove New York City Dry Cleaners (press release). October 1995.
National Toxicology Program. Toxicology and Carcinogenesis oftetrachloroethylene (perchloroethylene) (CAS No. 127-18-4) in F344/N rats andB6C3F1 mice (inhalation studies). 1986.
NIOSH. Occupational exposure to tetrachloroethylene (perchlor[o]- ethylene).Cincinnati, OH: NIOSH, 1976 (reissued 1989).
Rice, Bonnie, and Jack Weinberg. Dressed to Kill: the Dangers of Dry Cleaning andthe Case for Chlorine-Free Alternatives. Greenpeace Pollution Probe, April 1994.
U.S. EPA, OAQPS. Dry Cleaning Facilities - Background Information for PromulgatedStandards (NESHAP) - Final EIS. EPA 450/3-91-020b. September 1993.
U.S. EPA. Response to Issues and Data Submissions on the Carcinogenicity ofTetrachloroethylene. EPA/600/6-91/002A. 1991.
II. FIGURES: Citations and References
Overhead 8: Dry-to-Dry vs. Transfer Machines. US EPA, Enforcement and Compliance
Assurance, Multimedia Inspection Guidance for Dry Cleaning Facilities, EPA 305-B-96-001, August 1996, p. 9.
Overhead 9: Emissions Points From Typical Dry Cleaning System. CalEPA, Air Resources Board,State Source Division, Technical Support Document: Proposed Airborne ToxicControl Measure and Proposed Environmental Training Program forPerchloroethylene Dry Cleaners, August 1993, p. IV-2.
Overhead 10: Carbon Adsorption Units. CalEPA, Air Resources Board, State Source Division,Technical Support Document: Proposed Airborne Toxic Control Measure andProposed Environmental Training Program for Perchloroethylene Dry Cleaners,August 1993, p. II-11.
Participant Handout
Garment Cleaning Training 95
Overhead 11: Refrigerated Condenser. U.S. EPA, Enforcement and Compliance Assurance,Multimedia Inspection Guidance for Dry Cleaning Facilities, EPA 305-B-96-001,August 1996, p. 24.
Overhead 12: Perc-Water Separator. CalEPA, Air Resources Board, State Source Division,Technical Support Document: Proposed Airborne Toxic Control Measure andProposed Environmental Training Program for Perchloroethylene Dry Cleaners,August 1993, p. II-29.
Overhead 13: Distillation System. CalEPA, Air Resources Board, State Source Division, TechnicalSupport Document: Proposed Airborne Toxic Control Measure and ProposedEnvironmental Training Program for Perchloroethylene Dry Cleaners, August1993, p. II-27.
Overhead 14: Typical Cartridge Filter (exploded view). CalEPA, Air Resources Board, StateSource Division, Technical Support Document: Proposed Airborne Toxic ControlMeasure and Proposed Environmental Training Program for PerchloroethyleneDry Cleaners, August 1993, p. II-20.
Overhead 15: Spin Disc Filter. CalEPA, Air Resources Board, State Source Division, TechnicalSupport Document: Proposed Airborne Toxic Control Measure and ProposedEnvironmental Training Program for Perchloroethylene Dry Cleaners, August1993, p. II-24.
Overhead 16: Powder Filtration. U.S. EPA, Enforcement and Compliance Assurance,Multimedia Inspection Guidance for Dry Cleaning Facilities, EPA 305-B-96-001,
August 1996, p. 19.
Overhead 17: Emissions Points From a Dry Cleaning System. CalEPA, Air Resources Board,
State Source Division, Technical Support Document: Proposed Airborne ToxicControl Measure and Proposed Environmental Training Program forPerchloroethylene Dry Cleaners, August 1993, p. IV-2.
Overhead 32: Proposed Garment Care Test Equipment (Ultrasonic Cleaning). U.S. Dept. ofEnergy, Kansas City Plant, An Environmentally Conscious Approach to ClothesMaintenance: Final Report, KCP-94-1006, December 1995, p. 5.
Overhead 36: Process Flow Diagram for Wet Cleaning. Wet Cleaning Machines: MassachusettsToxics Use Reduction Institute, Cleaner Technology Demonstration SitesProgram, Utopia Cleaners, Arlington, Massachusetts: Garment Wet Cleaning,Technical Report No. 35, 1996, p. 5.
Overhead 39: Daewoo Wet Cleaning Machines. Wet Cleaning Machines: Massachusetts ToxicsUse Reduction Institute, Cleaner Technology Demonstration Sites Program,Utopia Cleaners, Arlington, Massachusetts: Garment Wet Cleaning, TechnicalReport No. 35, 1996, p. 6.
Participant Handout
Garment Cleaning Training 97
III. HANDOUTS Citations and References
Handout #2: Emissions Pathway Exercise. CalEPA, Air Resources Board, State Source Division,
Technical Support Document: Proposed Airborne Toxic Control Measure andProposed Environmental Training Program for Perchloroethylene Dry Cleaners,August 1993, p. IV-2.
Handout #4: Utopia Cleaners (TURI Report). Massachusetts Toxics Use Reduction Institute,Cleaner Technology Demonstration Sites Program, Utopia Cleaners, Arlington,
Massachusetts: Garment Wet Cleaning, Technical Report No. 35, 1996.
IV. Selected Internet Sites and Telephone Numbers
Note: Mention of an organization or vendor of a proprietary technology in noway constitutes regulatory endorsement, recommendation, or approval.
Trade Associations:
International Fabricare Institute 800-638-2627
Neighborhood Cleaners Association 212-967-3002
Note: these associations offer classes on wet cleaning to their members.
Wet Cleaning:
Center for Neighborhood Technology 773-278-4800www.cnt.org/sus_man/wet_cln.html
Massachusetts Toxics Use Reduction Institute 978-934-3275www.turi.org
Greenpeacewww.greenpeace.org/~usa/campaigns/toxics/wetclean.html
U.S. EPA Garment and Textile Care Programwww.epa.gov/opptintr/dfe/garment/partners.htm
UCLA Pollution Prevention Education & Research Centerww.sppsr.ucla.edu/res_ctrs/pperc/pperc.htm
Participant Handout
Garment Cleaning Training 99
CO2:
Caled 800-OK-CALED
MiCELL Technologies 919-513-7007
Ozonation:
CYCLO3PSS 800-972-9091
OxyTech 913-894-2828
HYAC Corporation 510-623-0710
Petroleum Solvent:
Exxon 2000 800-252-8835
Rynex:
Rynex Corp. 516-364-8993 www.rynex.com
Ultrasonic:
Garment Care 816-221-1066
Fraunhofer USA 305-863-9096 www.ftech.org
This curriculum document has been developed by staff at the Toxics UseReduction Institute (TURI) at the University of Massachusetts at Lowell.The principal curriculum and instructional designer is Jody Hensley, M.Ed.,Senior Education and Training Associate at TURI. Principal documenteditor is Anne Berlin Blackman, J.D, M.A, Education and Training Associateat TURI.
All rights to this curriculum belong to the Toxics Use Reduction Institute(TURI), the Massachusetts Department of Environmental Protection (MADEP) and the United States Environmental Protection Agency (U.S. EPA).The material may be duplicated or used with permission. A request forpermission to duplicate and use portions of the curriculum may be made atthe TURI website: http://www.turi.org.
The views expressed within this curriculum document do not necessarilyrepresent the stated policies of the above agencies nor does citing of tradenames or commercial processes constitute endorsement.
The Toxics Use Reduction Institute is a multi-disciplinary research,education and policy center established by the Massachusetts Toxics UseReduction Act of 1989. The Institute sponsors and conducts research,organizes education and training programs, and provides technical supportto governments to promote the reduction in the use of toxic chemicals inindustry and commerce. Further information can be obtained by writingthe Toxics Use Reduction Institute, University of Massachusetts Lowell,One University Avenue, Lowell Massachusetts 01854, ore-mail www.turi.org.
© Copyright 1999 by the Toxics Use Reduction Institute, University ofMassachusetts Lowell; the Massachusetts Department of EnvironmentalProtection; and the United States Environmental Protection Agency.
DEP
TOXICS USEREDUCTIONINSTITUTE
Pollution Prevention IntegrationA Training Curriculum for Environmental Agency Staff
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process/SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
Capacity building in the public environmental agency to promotecleaner, safer and more competitive industry while protecting our
natural resources.
*
This integrated curriculum was designed under the sponsorship of an EPA EnviromentalTechnology Initiative Grant to the Massachusetts Department of EnvironmentalProtection. The Toxics Use Reduction Institute, as contractor to the MA DEP, coordinatedthe design and publication of curriculum materials in collaboration with the MA DEPBureau of Waste Prevention and the Northeast Waste Management Officials Association.
EPA Project CX 824560-01-1
Hands-on Pollution PreventionInternet Training
*Information Access
Instructor’s Manual with Participant Materials
2 Instructor Notes Hands-On Pollution Prevention Internet Training
Table of Contents
Module 1: Introduction .............................................................................................................................................................. 12Module 2: Internet Overview ..................................................................................................................................................... 16
Section I: Basic Browser Commands ................................................................................................................................... 16Section II: Optimizing Your Browser .................................................................................................................................. 22Section III: Speed and the Internet ...................................................................................................................................... 20Section IV: Copying and Pasting Information .................................................................................................................... 24
Module 3: Internet Searches ....................................................................................................................................................... 26Section I: Performing Searches ............................................................................................................................................ 26Section II: Boolean Logic ..................................................................................................................................................... 32Section III: Review Copying & Pasting Tips ....................................................................................................................... 32
Module 4: Pollution Prevention Resources ............................................................................................................................... 36Module 5: Individual Searches — Researching a P2 Question ................................................................................................ 42Module 6: Wrap-Up and Evaluation of the Training Module .................................................................................................. 46
Section I: Closing .................................................................................................................................................................. 46Section II: Evaluation ........................................................................................................................................................... 46
Hands-On Pollution Prevention Internet Training 3
Table of Contents
Module 1: Introduction .............................................................................................................................................................. 12Module 2: Internet Overview ..................................................................................................................................................... 16
Section I: Basic Browser Commands ................................................................................................................................... 16Section II: Optimizing Your Browser .................................................................................................................................. 22Section III: Speed and the Internet ...................................................................................................................................... 20Section IV: Copying and Pasting Information .................................................................................................................... 24
Module 3: Internet Searches ....................................................................................................................................................... 26Section I: Performing Searches ............................................................................................................................................ 26Section II: Boolean Logic ..................................................................................................................................................... 32Section III: Review Copying & Pasting Tips ....................................................................................................................... 32
Module 4: Pollution Prevention Resources ............................................................................................................................... 36Module 5: Individual Searches — Researching a P2 Question ................................................................................................ 42Module 6: Wrap-Up and Evaluation of the Training Module .................................................................................................. 46
Section I: Closing .................................................................................................................................................................. 46Section II: Evaluation ........................................................................................................................................................... 46
Instructor Notes
4 Instructor Notes Hands-On Pollution Prevention Internet Training
????
Icon legend
Trainer needs to
CUSTOMIZE this section to
fit region, agency, etc.Customize
Nex
t…
Trainer needs to
MOVE IMMEDIATELY to the
next page or section
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
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ParticipantExercise
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
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ParticipantHandout
HANDOUT, EXERCISE orEVALUATION
referred to in this section
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantExerciseE V A L
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
FLIPCHART
used in this section
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj#
OVERHEAD (no.)
referred to in this section
PAUSE Video
Start Video
VIDEO used in this section
STOP Video
WWWLog onto WORLD WIDE WEB
“HANDS ON” EXERCISE
“ROUND-THE-CLOCK”
EXERCISE
PAIRED, SMALL or LARGEGROUP EXERCISE
Trainer ASKS SPECIFIC
QUESTIONS at this point
6 Instructor Notes Hands-On Pollution Prevention Internet Training
Hands-on Pollution PreventionInternet Training
This course has been designed as a hands-on Internet training for pollutionprevention professionals. Participants will be able to maximize the Internet as aresearch tool for pollution prevention by learning to conduct better searches,optimize browser use, and link to pollution prevention (P2) resources. Basic toadvanced Internet techniques are taught in a manner that aids participants inovercoming barriers with PC and Internet technology. The course uses a website that is designed specifically for the target audience and maintained throughthe Toxics Use Reduction Institute. In addition to using the web site during thetraining, participants use the site subsequent to the training to performpollution prevention research and to further their learning.
Instructional Goals
1. Participants will understand the capability of the Internet as a resource inidentifying and researching P2 techniques and technologies.
2. Participants will be better able to use the Internet to identify and research P2techniques and technologies.
3. Participants will be more inclined to seek out and use Internet resources whenfaced with questions regarding P2 and guide other staff in using the Internet.
Entry Behaviors and Characteristics
1. Participants are regulatory personnel (federal, state, or local) involved inpermitting, compliance inspections, and/or enforcement.
2. Participants have varied or unsatisfactory experience with the World Wide Webas a research tool for pollution prevention.
3. Participants will have the capability to understand technical presentations andparticipate in group exercises or discussions.
4. Participants will likely have expertise in one environmental medium.
About this Course
This Internet course has been a part of the Toxics Use Reduction Institute’straining curriculum offerings since 1995. It includes a companion web sitemaintained by TURI (http://www.turi.org). The course was adapted for the P2Integration Curriculum for Environmental Agency Staff under an EPA-ETI Grantto the Massachusetts Department of Environmental Protection. These instructornotes were created as part of that project. The training site includes trainingtools, search techniques, and resource links that are periodically updated for usein this course. Instructors are encouraged to use this free resource for coursepreparation and delivery. For more information please contact Janet Clark atTURI at (978) 934-3346.
NotesParticipant Notes
Hands-On Pollution Prevention Internet Training 7
Hands-on Pollution Prevention Internet Training
This course has been designed as a hands-on Internet training for pollutionprevention professionals. Participants will be able to maximize the Internet as aresearch tool for pollution prevention by learning to conduct better searches,optimize browser use, and link to pollution prevention (P2) resources. AdvancedInternet techniques are taught in a manner that aids participants in overcomingbarriers with PC and Internet technology. The course uses a web site that isdesigned specifically for the target audience and maintained through the Toxics UseReduction Institute. In addition to using the web site during the training, partici-pants use the site subsequent to the training to perform pollution preventionresearch and to further their learning.
Instructor Notes
8 Instructor Notes Hands-On Pollution Prevention Internet Training
Performance Objectives
1. Participants will understand the basic structure of the Internet and the resourcecharacteristics of the World Wide Web.
2. Participants will be able to effectively use a web browser such as NetscapeNavigator or Internet Explorer to conduct Internet research.
3. Participants will overcome frustrations with the Internet and increase P2research efficiency through the appropriate use of the Internet.
4. Participants should increase the frequency with which they use the Internet toresearch P2 options.
Agenda
Module Format Approximate Time
1. Introduction Interactive 30 minutes
2. Internet Overview Hands-on Training 45 minutes
3. Internet Searches Hands-on Training 45 minutes
4. Pollution Prevention Hands-on Training 30 minutes
Resources
5. Researching a Self-Directed Learning 60 minutes
P2 Question
6. Closing/Evaluation Activity 10 minutes
TOTAL: approx. 4 hrs
NotesParticipant Notes
Hands-On Pollution Prevention Internet Training 9
Agenda
Module Format
1. Introduction Interactive
2. Internet Overview Hands-on Training
3. Internet Searches Hands-on Training
4. Pollution Prevention Hands-on Training
Resources
5. Researching a Self-Directed Learning
P2 Question
6. Closing/Evaluation Activity
TOTAL:
Instructor Notes
10 Instructor Notes Hands-On Pollution Prevention Internet Training
Module 1 Introduction
1. Have participants introduce themselves. Solicit a list of training
expectations from the group.
2. Flipchart: List and review the following goals of the training:
■ comfort with World Wide Web
■ understanding of Internet strengths and weaknesses
■ opportunity to use the World Wide Web
3. A survey of the participants to determine the level of
experience and knowledge will be helpful in making the
training more interesting and relevant. To determine the
participants’ familiarity with the Internet, list the following
items on a flipchart, and ask whether participants have done/
used any of the items in the list:
■ the web
■ gopher
■ ftp
■ html code
■ logged on to Internet
■ used on-line service
■ searched Internet
■ used or preferred a specific operating system: Windows 3.1,
Win 95, Mac
■ used or preferred a specific browser: AOL, Netscape,
Microsoft Internet Explorer
This exercise helps to target the training toward the
participants’ specific needs. For example, if participants are
unfamiliar with Windows, more time should be spent on how
to use the browser. If participants are more familiar with
Windows and the Internet (e.g., they have programmed in html
code), more time should be spent on developing sophisticated
searches.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Instructor Notes
12 Instructor Notes Hands-On Pollution Prevention Internet Training
Module 1 Introduction
1. Have participants introduce themselves. Solicit a list of training
expectations from the group.
2. Flipchart: List and review the following goals of the training:
■ comfort with World Wide Web
■ understanding of Internet strengths and weaknesses
■ effective use of the World Wide Web in P2 research
3. A survey of the participants to determine the level of
experience and knowledge will be helpful in making the
training more interesting and relevant. To determine the
participants’ familiarity with the Internet, list the following
items on a flipchart, and ask whether participants have done/
used any of the items in the list:
■ the web
■ gopher
■ ftp
■ html code
■ used the Internet at work
■ searched the Internet for P2 techniques and technologies
■ used or preferred a specific operating system: Windows 3.1,
Win 95, Mac
■ used or preferred a specific browser: Netscape,
Microsoft Internet Explorer, other
This exercise helps to target the training toward the
participants’ specific needs. For example, if participants are
unfamiliar with Windows, more time should be spent on how
to use a browser. If participants are more familiar with
Windows and the Internet (e.g., they have programmed in html
code), more time should be spent on developing sophisticated
searches.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Hands-On Pollution Prevention Internet Training 13
Goals of the Training:■ comfort with World Wide Web,■ understanding of Internet strengths and weaknesses,■ opportunity to use the World Wide Web
Module 1Introduction
Instructor Notes
14 Instructor Notes Hands-On Pollution Prevention Internet Training
4. Ask what kind of experiences the participants have had when
using the web (i.e., successes, frustrations). Typical answers will
include difficulty connecting, waiting for information, and
search results that are too numerous. You can then tailor the
training session to target these areas.
5. Flipchart: List and review the following ground rules for the
participants. Ground rule number one is especially important
since participants have a tendency to jump ahead and not stay
with the class.
1. stay with the class-do not jump ahead
2. ask questions as you go
3. raise your hand if you need help or are lost
Module 1
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Hands-On Pollution Prevention Internet Training 15
Module 1
Participant Ground Rules:1. Stay with the class-do not jump ahead2. Ask questions as you go3. Raise your hand if you need help or are lost
Instructor Notes
16 Instructor Notes Hands-On Pollution Prevention Internet Training
Module 2 Internet Overview
WWW Go to the training web site: http://www.turi.org/HTMLSrc/net/
Note: Assess the comfort level of the participants with a web
browser and the Internet by asking them to enter the URL for
the course. Demonstrate the options for entering an Internet
address and explain the URL components if needed.
This is the first opportunity to show the basics of using a
browser and entering an URL. When the browser and page
comes up, review basics on how to use an Internet browser. It is
important for participants to feel comfortable with the
browser early in the training.
Section I Basic Browser Commands
HANDS-ON DEMONSTRATION
In order to familiarize participants with the browser,
demonstrate the uses of the pull-down menus and the button
bar, as well as the areas where they overlap (e.g. the Back
button and the Back command under the Go pull-down
menu). When demonstrating the Back and Forward commands
it will be necessary to move between pages on the site,
preferably those pages listed above.
For each section, you should demonstrate the techniques on
the display computer, and the participants should then try the
commands on their own computers.
A demonstration of how to use a browser should cover the
following basic browser commands (you will have to modify
these commands to fit the browser being used — either MS
Internet Explorer or Netscape Navigator):
■ URL — stands for Uniform Resource Locator — which is the
standard way to identify an address or location on the
Internet.
NotesParticipant Notes
Hands-On Pollution Prevention Internet Training 17
Module 2
Click “Learning”
Click “Internet Toolsand Training”
Enter the following information in the address or location line of your Webbrowser: “http://www.turi.org/”. This is the Uniform Resource Locator (URL) forthe Toxics Use Reduction Institute web site.
Next, select the “Learning” button on the TURI home page. When the learningpage is on the browser screen, select the “Internet Tools and Training” link. You arenow ready to start the On-line training module.
Instructor Notes
18 Instructor Notes Hands-On Pollution Prevention Internet Training
■ HTTP — stands for HyperText Transport Protocol — the
protocol for moving Hypertext (web pages) files over the
Internet.
■ Back and Forward buttons — move back or forward in the
sequential list of web pages (history list) that the browser
has visited since it started. Only documents in a direct
sequential line can be retrieved using these buttons.
■ Home button — return to the preset home page (Here you
can review how to set the home page)
■ Reload — load the current page again to update data or in
the event that transfer is incomplete or interrupted
■ Find — using the Find option on web pages to identify
pertinent information.
■ Go — the Go menu in Netscape allows the user to select
from pages recently visited. It also contains the Back and
Forward commands which perform the same function as
the Back, Forward and home buttons for both Internet
Explorer and Netscape Navigator.
■ Followed Links — the color of the text of a link will not
always change after you have visited a link. This is an
opportunity to discuss the browser personalization settings
and page defined colors.
Module 2
NotesParticipant Notes
Hands-On Pollution Prevention Internet Training 19
Module 2
NetscapeNavigatorbrowser
MicrosoftInternetExplorerbrowser
Back buttonForward button
Reload/Refresh
Home
URL
Instructor Notes
20 Instructor Notes Hands-On Pollution Prevention Internet Training
Module 2
Section II Optimizing Your Browser
HANDS-ON DEMONSTRATION:
In this section, discuss browser optimization to aid in internet
research. Discuss bookmarks, or favorites, explaining how
bookmarks work (by saving addresses of frequently visited pages)
and why they are useful (save time in returning to these resources).
Note here the need to organize bookmarks for future retrieval.
Some common options for this demonstration include the
following:
■ Setting Preferences to change the look and feel of the browser
— including link colors, font sizes and browser icons. Newer
browsers continue to add aids in configuring “bookmarks” and
search pages.
■ Font size — some participants may be interested in setting
smaller fonts for computers that have small (640x480) screens.
This setting will allow them to view more data and reduce
scrolling.
■ Bookmarks (Favorites)— adding, deleting, and viewing
bookmarks.
■ Home Page — setting the default home page on the browser
■ Cookies — many participants ask about cookies. Demonstrate
how to turn cookies on or off and discuss the benefits and
drawbacks of cookies to web research.
■ History File — list of recently visited sites.
■ Multiple Browser Windows — Demonstrate the use of multiple
browser windows here or in the research module.
■ Frames, navigation, and URL parsing — Discuss the issues with
frames and navigation for research. Demonstrate the value of
deleting portions of an URL to find information sources etc.
Graphics and Load Time
NotesParticipant Notes
Hands-On Pollution Prevention Internet Training 21
Module 2
Basic Browser Commands:
■ URL — stands for “Universal Resource Locator” which is also the text on thebrowser address line.
■ http-stands for “Hyper Text Transport Protocol” — the language that is used totransport Web Pages over the Internet.
■ Back and Forward buttons — used to move sequentially through the list of webpages that you most recently visited.
■ Home — return to the preset home page. The home page can be set by you toany internet site or address.
■ Reload — load the current page again to update data or in the event thattransfer is incomplete or interrupted.
■ Go — the Go menu allows you to select from pages you have recently visited.It may also contain the Back and Forward commands which perform the samefunction as the Back and Forward buttons.
Optimizing Your Browser:
Options that can be demonstrated include the following:■ Setting Preferences to change the look and feel of the browser.■ Bookmarks (Favorites) — adding, deleting, and viewing bookmarks.■ Font size — a smaller font can be used to allow more information to fit on a
page.■ Cookies and web site personalization.
Instructor Notes
22 Instructor Notes Hands-On Pollution Prevention Internet Training
Module 2
Section III Speed and the Internet
LECTURETTE
■ Describe where information is stored and how information
travels through the Internet. Include dial-up modem speeds,
typical state government Internet connection speeds, the
Internet backbone, etc.
■ Graphics and load time. It is helpful here to briefly describe
the load time that graphics add to web pages. In many
cases when information is slow to load the primary cause is
web page graphics. Turning graphics off on the browser can
speed up research in these cases. On poorly designed web
pages, this can result in loosing navigation information.
■ The following commands can be used to turn images off on
today’s browsers. Be sure to check the browser version you
are using in the course for changes.
—For Netscape Navigator, select Edit > Preferences. The
“advanced”option in the preferences box allows you to turn
images off.
—For MS Internet Explorer, select View > Internet Options.
The “Advanced” tab has image options in the “Multimedia”
section.
NotesParticipant Notes
Hands-On Pollution Prevention Internet Training 23
Module 2
Most P2 content is contained in text on web pages and documents. To increase thespeed of your research you may wish to load only the text and not the images ofweb pages. Note, however, in some cases it will be much harder, if not impossible,to navigate a site with images off.
Use the following commands to turn images off in your browser:
For Netscape Navigator, select Edit > Preferences. The “advanced” option in thepreferences box allows you to turn images off.
For MS Internet Explorer, select View > Internet Options. The “Advanced” tab hasimage options in the “Multimedia” section.
Section III: Speed and the InternetExample: Graphics and speed
24 Instructor Notes Hands-On Pollution Prevention Internet Training
Instructor Notes
Section IV Copying and Pasting Information
HANDS-ON DEMONSTRATION:
In order to use the information found on the Internet, P2
practitioners need to save and highlight portions of
documents and files. These exercises familiarize the student
with the many ways that information can be saved off the
Internet for future review and reference.
■ File menu: saving and printing information
■ Edit menu: copying and pasting information to other
applications (word processor or text editor)
■ Handout 1: “Copying and Pasting Tips”
Have participants practice methods of saving, copying, and
pasting using the mouse, the browser, and keyboard shortcuts.
Note: Keep in mind that taking information off the Internet is just like
taking a photocopy of a published document. Unless stated
differently, the information contained on web sites is
copyrighted and is not intended for re-use, duplication, or
distribution without express permission.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantHandout
Module 2
Participant Handout
Hands-On Pollution Prevention Internet Training 25
Copying and Pasting Tips
1. SAVING FILES
To save the text on the current page displayed by your browser, from the File pulldown menu select Save As. Give your file a title.
■ Be sure to use the file extension .txt if you will be viewing the file in a texteditor or word processor. To view your file in a word processor, select Openunder the File pull down menu in the word processor. Select the title of yourfile and click OK. When given the File Conversion prompt select Text Only.
■ Give your file the extension .htm if you plan to view it later using your browser.You will be able to read the file while in your browser (minus any graphics) byselecting Open from the File menu and choosing the title of your file.
2. COPYING & PASTING
To save text from your browser into a word processor, highlight the areas you wantto copy by clicking and dragging with the mouse (if you want to copy all of the textpress Control and A simultaneously to select all). From the Edit pull down menuselect Copy to copy the item to the clipboard (you can also copy by pressingControl and C simultaneously).
If you are simultaneously running the word processor, holding the Alt key andpressing Tab will allow you to scroll to that program. Once in the word processor,you can paste the text to the file by selecting Paste under the word processor’s Editmenu.
3. MOUSE BUTTONS
The mouse has some special features in the browser. Clicking once with the righthand mouse button on a file you are viewing (other than a graphic) will give youthe Back/Forward menu. Clicking on a graphic with the right hand mouse buttonwill give you the option of saving the graphic.
4. USEFUL KEYBOARD SHORTCUTS
■ Ctrl+S = save as■ Ctrl+Z = undo■ Ctrl+X = cut■ Ctrl+V = paste■ Ctrl+R = reload■ Ctrl+D = add bookmark
Keep in mind that taking information off the Internet is just like taking a photocopy ofa published document. Unless stated differently, the information contained on websites is copyrighted and is not intended for re-use, duplication, or distribution withoutexpress permission.
Module 2
1
Instructor Notes
26 Instructor Notes Hands-On Pollution Prevention Internet Training
Module 3 Internet Searches
WWWThis module covers basic research and search engine
techniques and demonstrates the differences between the
most popular search engines. Go to the training web site and
familiarize yourself with the tools and updates for use in this
and the following sections of the training. We will be updating
the web site and instructor notes to reflect the most current
search engine characteristics.
Have participants select the “Research” tab on the “Internet
Tools and Training for Pollution Prevention” training course
home page. The next page that appears on their screens
contains links to four engines. (See “participant notes” on page
27 opposite.)
28 Instructor Notes Hands-On Pollution Prevention Internet Training
Instructor NotesModule 3
Section I Performing Searches
LECTURETTE
Give a brief background of each of the search engines and
how they catalog information. Explain why search engines
yield different results.
HANDOUT Search Engines
After reviewing the research page, direct participants to
Handout 2 “Search Engines.” Highlight portions of this
document depending on participant needs and experience.
Sample search module progression:
1. Ask participants to perform a simple search using three or four
of the search choices and the same search terms. After this has
been completed, discuss the differences between search
results.
2. Demonstrate search results and techniques for general
searching and techniques for highly specific searching.
3. Use the search excercises available at the training site to
demonstrate search techniques.
Monitor individual participant progress closely and allow
participants time for exploration.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantHandout
Participant Handout
Hands-On Pollution Prevention Internet Training 29
Search Engines
The following information is a review of a variety of search engines, which are usefulin finding resources on the Internet. It lists the strengths and weaknesses of each of thesearch engines as of January 1999.
Alta Vista www.altavista.digital.comType of search: KeywordSearch options: Simple or Advanced searchDomains searched: Web, UsenetGood points: Fast searches, capitalization and proper nouns recognized, large da-tabase; Alta Vista searches both the Web and Usenet. It will search on both wordsand on phrases, including names and titles.Bad points: Many results on simple search can frustrate first time users.
Excite www.excite.comType of search: Both concept and keywordSearch options: Simple, refinedDomains searched: Web, Usenet and classified adsGood points: Large index. Good summaries. You can view your hits in variousways — grouped by confidence or grouped by Web site.Bad points: Does not specify the format or the size in megabytes of the hits itreturns, nor does it tell you upfront exactly how many hits there are.
Lycos www.lycos.comType of search: Keyword, but Lycos is gradually becoming less of a search engine,it seems, and more of a Yahoo-like subject index.Search options: Basic or compoundDomains searched: Web, Gopher and FTP sitesGood points: Large database. Comprehensive results including the date of the docu-ment and its size. Lycos indexes the frequency with which documents are linkedto by other documents to make sure the most popular web sites are found andindexed before the less popular ones.Bad points: Not enough options to refine the search. New advanced search is ad-dressing this.
Module 3
2
Participant Handout
Hands-On Pollution Prevention Internet Training 31
Module 3
Search Engines cont’d
Yahoo www.yahoo.comType of search: KeywordSearch options: Simple, AdvancedDomains searched: Yahoo’s index, Usenet, E-mail addresses. Yahoo searches titles,URLs and the brief comments or descriptions of the Web sites Yahoo indexes.Search refining: Boolean AND and OR. Yahoo is case insensitive.Good points: Easy-to-navigate subject catalogue. If you know what you want tofind, Yahoo should be your first stop on the Web.Bad points: Only a small portion of the Web has actually been catalogued byYahoo.
Northernlight www.northernlight.comType of search: KeywordSearch Options: Simple, Power searchDomains Searched: Web, Northernlight’s Special CollectionSearch Refining: Power search supports some Boolean logic,Good points: Organizes results into labelled folders to quickly narrow searches, nobanner advertising. Special collection contains journal articles and publicationsthat can not be found elsewhere on the web. Accurate relevancy rankings.Bad points: Fees ($0–$4) for special collection documents, still indexing web.
Reviews of alta vista, yahoo, lycos, and excite began with information from MonashInformation Services (www.monash.com). Conceived by Linda Barlow. Modified andupdated here by Greiner Environmental
2 cont’d
32 Instructor Notes Hands-On Pollution Prevention Internet Training
Instructor Notes
Section II Boolean Logic
INDIVIDUAL EXERCISE
Direct the participants to Handout 3, “Understanding Boolean
Logic.” Coach the participants on Boolean logic. Participants
should now use the same search tool as in Section I narrowing
their previous searches using Boolean logic. Search engines
may provide differing interpretations of the logic used by the
participants. Be prepared to address this issue by reviewing
the search engine notes provided at the training site.
The goal of this exercise is to teach participants to target
searches and choose the search techniques that will yield
results quickly.
Section III Review Copying & Pasting Tips
Have participants use the copying and pasting techniques
discussed in Module 2 to save pertinent results. Also, instruct
participants to bookmark sites of interest on the training PC.
At the end of the training, show participants how to copy
bookmarks to their floppy disk.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantHandout
Module 3
Participant Handout
Hands-On Pollution Prevention Internet Training 33
Understanding Boolean Logic
Boolean logic is a symbolic logic system invented by French mathematician GeorgeBoole. In 1849, Boole formalized a set of rules in a paper called “An Investigation ofthe Laws of Thought,” which transformed formal logic from a philosophical disciplineto a mathematical one. These rules, known as Boolean algebra, use operators (AND,OR, NOT, and WITH) to create relationships among words and concepts. In addition,the logical operations defined in Boolean algebra make modern binary digital com-puters possible.
In addition to binary functions in computers, Boolean logic is also of supreme impor-tance to the operation of search engines. This formalized method of logical processingenhances searches that would otherwise be impractical in large search engines such asAltaVista Search. We’ll cover the basics of Boolean logic and its importance in searchengines.
OR operators
The OR operator broadens searches to include documents that contain any keywordsof a search. The search syntax is simply cat OR dog. OR operators can be useful whensearching for alternative spellings, such as color OR colour, or in order to broaden aquery when searching for synonyms, such as city OR urban. In this case, the combinedkeywords will cover the topic better than a search for either topic alone, because somedocuments may use only one of these words. The OR operator is also helpful whenyou want to search for a keyword that is commonly abbreviated, such as Kentucky ORKY.
AND operators
The AND operator narrows a search to include only documents that contain bothkeywords. The search syntax is cat AND dog. AND operators are a great way oflimiting the numbers of search results because they link two subjects to create acompound subject…only those documents in the database that include both subjects.AND operators in AltaVista Search are also denoted by a plus sign (+) before akeyword.
NOT operators
The NOT operator narrows a search to exclude certain keywords. For example, if youwant to search for synonyms of the keyword ghosts, you might use the OR operator tobroaden the search and submit the query phrase ghosts OR apparitions OR spirits, butthis search would also result in documents about moonshine. You can use the NOToperator to restrict the search, like this:
ghosts OR apparitions OR spirits NOT moonshine NOT alcohol
NOT operators in AltaVista Search are also denoted by a minus sign (-) before akeyword.
NEAR operators
NEAR operators are not found in true Boolean logic, but AltaVista created them toserve special needs in Internet searches. NEAR operators work similarly to ANDoperators, retrieving only documents that contain both keywords, but NEAR opera-
3Module 3
Participant Handout
Hands-On Pollution Prevention Internet Training 35
Module 3
tors further limit the search results by requiring that the keywords be within ten wordsof each other. This is especially helpful when searching for names. For example, thesearch john NEAR doe will also retrieve documents containing Doe, John, or John A.Doe.
Nesting Boolean operators
Nesting is a method of combining Boolean operators in a logical order. Occasionally,you may need to use more than one Boolean operator, but the hierarchy of Booleanlogic might cripple your search unless you know how to nest operators in the orderyou want. AltaVista Search evaluates Boolean operators in the order NEAR, NOT,AND, and OR. So if you enter the search hardware OR software AND Internet, thesearch results would include all documents that contain the words software andinternet, and then as almost an afterthought, all documents containing the wordhardware. But you can avoid this problem by nesting the hierarchy of Boolean opera-tors with parentheses. The nesting query for retrieving documents about Internethardware and software is (hardware OR software) AND Internet
Automatic Boolean operators
If you don’t include Boolean operators in your search queries, most searchengines(including AltaVista Search) use Boolean operators even when it isn’t obvious.For example, if you enter the search query ben jerry, most search engines will interpretthe keywords as if they contained an OR operator, as in ben OR jerry. The search willcontain all results for the word “ben” and all results for the word “jerry.”
In addition, Boolean operators are often implied in search queries using uppercaseand lowercase keywords. When you type a query in all lowercase letters, AltaVistaSearch conducts the search with an OR operator, which opens the search to include allinstances of the word in uppercase and lowercase.
For instance, when you search the keyword ben, you also get results for Ben, BEN, Ben,and so on. However, when you enter the query Ben, AltaVista Search conducts thesearch with a NOT operator to restrict the results to documents that include thekeyword with the first letter capitalized. The search ignores documents containing thekeyword in lowercase or other variations of uppercase and lowercase.
Uppercase Boolean operators
If you use Alta Vista, make sure you type Boolean operators (AND, OR, NOT, NEAR)in uppercase letters so the search engine can recognize them. About 5 percent ofsearches submitted to AltaVista Search include these Boolean operators in lowercaseletters, which makes them “stop words” instead of operators. Stop words are wordsthat a search engine ignores because they create false hits (irrelevant search results)when included in a search query. For example, if you search the word Internet inAltaVista Search, the search engine will respond with no documents match the query.That’s because the word Internet appears so often in the AltaVista Search database thatthe index administrators instructed the query program to ignore the words in SimpleSearch. Stop words are indexed, but you can’t access information with them outright.
Source: From February 1998 issue of The Cobb Group’s “Power Searching With AltaVista” article by
Bruce Spencer.
3 cont’d
Instructor Notes
36 Instructor Notes Hands-On Pollution Prevention Internet Training
Module 4 Pollution Prevention Resources
WWWDEMONSTRATION:
In this module, review various P2 resources on the net
including government sites, process-specific pollution
prevention pages, industries, and trade associations. Here you
can do a tour of certain sites of your choice to show the type of
information they contain.
38 Instructor Notes Hands-On Pollution Prevention Internet Training
Instructor NotesModule 4
Direct participants to Handout 4, “Pollution Prevention
Bookmarks,” in their manuals. Please check the training site for
an updated version of this set of bookmarks prior to the
training. Addresses change often and print versions of URL
addresses can become outdated.
The bookmarks provided with this manual and at the
companion web site are intended as samples to aid in the
training. If you feel a site should be added or deleted from this
list, please contact TURI through the training site or by calling
Janet Clark at (978) 934-3346.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantHandout
Participant Handout
Hands-On Pollution Prevention Internet Training 39
Module 4
4
Sample Pollution Prevention Bookmarks
Federal/International Government SitesEPA’s Pollution Prevention Homepage http://www.epa.gov/opptintr/p2home/Envirosense — EPA P2 Site http://es.epa.govUNEP-IETC Homepage — UN’s Cleaner Production Site http://www.unep.or.jp/Manufacturing Extension Partnership http://www.mep.nist.gov/Environmental Technology Initiative http://www.epa.gov/oppeinet/oppe/eti/eti.htmlEPA Waste Minimization Homepage http://www.epa.gov/wastemin/
Sample Non-Profit P2 SitesNational Pollution Prevention Roundtable http://www.p2.org/ILSR WWW Home Page http://www.ilsr.org/Northeast Business Environmental Network http://www.nben.org/Pacific Northwest Pollution Prevention Resource Center http://www.pprc/org/
Sample University SitesUniv. Michigan National P2 Center for Higher Education http://www.umich.edu/~nppcpub/index.htmlTechnology, Business and Environment at MIT http://web.mit.edu/ctpid/www/tbe/UC Berkeley CGDM Home Page http://euler.berkeley.edu/green/cgdm.htmlUCLA CCT Home Page http://cct.seas.ucla.edu/
Sample State Sites and ResourcesListing / Map of Regional P2 Networks (P2Rx) http://www.epa.gov/p2/p2rxdir.htmIllinois Waste Management and Research Center http://www.wmrc.uiuc.eduGreat Lakes Regional P2 Roundtable http://www.glrppr.uiuc.edu/wrmc/great1/index.htm1Waste Reduction Resource Center Home Page http://wrrc.p2pays.orgTURI Home Page http://www.turi.orgOhio Technical Assistance Resources for P2 http://www.epa.ohio.gov/opp/tarp/tarp.htmlKentucky Pollution Prevention Center http://www.kppc.org/
Sample Industry SitesMonsanto Home Page http://www.monsanto.com/Interface, Inc. http://www.ifsia.com/
Process/Sector-specific SitesNational Compliance Assistance Centers —
Agriculture, Auto, Finishing, Printing, Chemical, Local Government, Transportation,Paints & Coatings, Printed Wiring Board http://es.epa.gov/oeca/mfcac.html
Paint Coatings Net — Main Menu http://www.paintcoatings.net/pcnmain.htmSAGE — Solvents Alternative Guide http://clean.rti.org/CAGE — Coatings Alternative Guide http://clean.rti.org/cagefinishing.com — Metal finishing http://www.finishing.com/P2GEMS - Search by Process, product, waste, or management tool http://www.turi.org/P2GEMS/
Sample ISO 14000 ResourcesISO 14000 InfoCenter http://www.iso14000.com/TC 207 Environmental management http://www.iso.ch/meme/TC207.html
Participant Handout
Hands-On Pollution Prevention Internet Training 41
Module 4
4 cont’d
Other Related Bookmarks
Water SupplyEnvironmental Protection Agency’s Water Protection Homepage http://www.epa.gov/OW/Welcome to the Water Quality Association http://www.wqa.org/National Drinking Water Clearinghouse http://www.estd.wvu.edu/ndwc/ndwc_homepage.html
AirEPA OAQPS Technology Transfer Network Page http://www.epa.gov/ttnAir & Waste Management Association http://www.awma.org/EPA OAR Office of Air Quality Planning and Standards http://www.epa.gov/oar/oaqps/California Air Resources Board Information System http://www.arb.ca.gov/homepage.htm
GroundwaterNational Ground Water Association http://www.h2o-ngwa.org/Groundwater.com http://www.groundwater.com/Groundwater Remediation Technologies Analysis Center http://www.gwrtac.org/
Government Technology Transfer SitesHazardous Waste Clean-Up Information — USEPA technology innovation office site http://clu-in.com/GNET: The Global Network of Environment and Technology http://www.gnet.org/EPA Mixed Waste Home Page http://www.epa.gov/radiation/mixed-waste/EPA Superfund Innovative Technology Evaluation Home Page http://www.epa.gov/ORD/SITE/ATTIC — EPA database of innovative clean-up technology http://www.epa.gov/attic/
About This List
This sample list is intended to provide some starting points for P2 Research. Please provide suggestions,additions, and comments through the TURI Internet Training site at http://www.turi.org/
An updated list of sites for use both during and after the training is available at the above address.
42 Instructor Notes Hands-On Pollution Prevention Internet Training
Instructor NotesModule 5 Individual Searches—
Researching a P2 Question
INDIVIDUAL EXERCISE: Researching a Pollution Prevention
Question
Participants will use the search engines and web techniques
learned earlier in the training to research a question that they
brought to the training.
Direct participants to Handout 5, “Internet Search Tips,” in their
manuals.
Highlight any areas in the training and/or Handout 5 that you
feel should be stressed prior to the exercise. Have participants
search the Internet and raise their hands when they are not
finding satisfactory results.
Apply the search techniques discussed in this training to help
individual participants find results as needed.
An Internet search related to the individual participant’s area
of expertise will allow them to judge the results of their search
better.
Verify that searches are producing results and provide
assistance to participants who need more help.
Walk around the room and ask participants how they are
doing. Verify that searches are producing results and provide
assistance to participants as needed.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantHandout
Customize
????
Participant Handout
Hands-On Pollution Prevention Internet Training 43
Module 5
5Internet Search Tips
A. Basic Search Tips
1. First Examine Resources and Networks You Are Familiar With: Before you jumpon the Internet, ask colleagues, call P2 professionals (technical assistance staff,consultants, vendors, or folks from industry), and look through printed material.These resources may provide you with the information you need.
2. Search Content-Rich Sites Before Using General Search Engines: Content-richsites (such as EPA’s Envirosense) may contain the P2 information you are lookingfor.
3. Bookmark or Favorite It!: If you find it, and you plan to use it again, bookmark it.Bookmarks are the easiest and most convenient way to get to resources you planto visit more than once.
4. Read Search Engine Directions: Always read the instructions for a site you aren’tfamiliar with or haven’t visited in a while. Spending a few minutes reading direc-tions will save you hours of fruitless searching.
5. Every Tool has Different Rules. Never forget that every search engine is different,which means that every search engine has unique rules for constructing searches.Also, every catalog has its unique schematic and index vocabulary.
6. Early to Rise: When possible, avoid searching at the busiest times (in the NortheastUnited States, that’s mid-afternoon).
7. Use the Right Search Engine for the Job: Before launching off on a search, con-sider which search tool to use first. Excite and Northernlights use synonymmatching and help you to find sites with lots of content on your search criteria.Alta Vista’s advanced search tool is comprehensive but the search results mayoverwhelm you. For example, don’t use Alta Vista to locate the Federal Registerenvironmental subset—even if you forgot to bookmark it. EPA’s search tool,primitive as it is, should find it for you easily.
8. Caveat Surfer. Remember that the Internet has plenty of champagne and snake oil.Prepare to be disappointed by sites you were sure would be good and surprised bysites that don’t appear to be much at first glance. Finally, the best way to staycurrent on what’s happening on the Internet is to communicate: reading, talkingand sharing sites with colleagues is really where it’s at.
9. Be Logical: The more you know about Boolean logic, the easier it is to use searchengines. “Dogs AND cats” means “find me every document that includes refer-ences to both dogs and cats.” “Dogs OR cats” means “find me every document thatEITHER has the term ‘dogs’ OR has the term ‘cats’”.
Courtesy of Greiner Environmental (developed using content from the US EPA Region 2 Library,http://www.epa.gov/Region2/library)
Participant Handout
Hands-On Pollution Prevention Internet Training 45
B. Advanced Search Tips
1. Use Logical Extensions: .com for commercial,.gov for government, .org for non-profit, .net for service providers, .edu for educational institutions, .mil for military.For example, to search for the US EPA you might try: www.epa.gov
2. For Searching by Topic, Use Book-Length Concepts: Particularly in smallercatalogs, it is often useful to construct your search terms as if they were the title ofa book, magazine article or videotape. A search for “dog grooming” or even “pets”may retrieve more useful sites than “cocker spaniel”; “Chinese Cooking” will bebetter than “steamed dumplings”. This approach will also help you maintain asense of orientation in your searching through retrieving links to top-level siteswhere you can then search for items in context.
3. To Zero in on a Specific Item, Use the Term Itself: If, on the other hand, you arelooking for a person, place or thing—a hotel, for example—using that specificterm will often be most effective. Try this in a catalog such as Yahoo—look foryour alma mater, or a hotel you recently stayed at.
4. Find Out What Level the Search Engine or Catalog Indexes: Some search engines,such as Alta Vista, index every single document on a site. Other search engines andall catalogs seek and index top-level documents. If you are looking for an ex-tremely obscure document with a distinctive term, and you remember nothingelse about it, Alta Vista could really shine at this search, particularly if you’rewilling to invest the effort to learn how to construct advanced searches. If you’relooking for the Sheraton Hotel or some new resources on coatings, you may wantto start with Yahoo, Excite, or Northernlights.
5. Understand Search Engine Defaults: Are terms strung together without Booleanoperator (for example, “dog cats”) treated as if they are connected with OR (“dogsOR cats”)? Or does the search engine string these together as “dogs AND cats?” Oris that considered a phrase, as in “United States?”
6. Find Out How the Search Engine Indexes Documents and Returns “Hits”: Is itsearching the entire document, the first paragraph, the URL, the title...? Does ithave stopwords (words it won’t search for, usually because they occur very fre-quently, such as articles and prepositions)? Or would a search for “The Silence ofthe Lambs” search for two words or five?
7. Find Out How to Customize a Search in that Particular Tool: How are date rangesconstructed? What about truncation or wildcarding? Exact-phrase searches can beextremely precise, as well (many, but not all, search engines support exact phraseswith quotation marks, as in “Silence of the Lambs”).
8. Organize your bookmarks: When you begin gathering many, many URLs, useyour browser to organize your bookmarks or consider some of the commercialtools to enhance and maintain your bookmarks.
5 cont’d
Module 5
Instructor Notes
46 Instructor Notes Hands-On Pollution Prevention Internet Training
Module 6 Wrap-Up and Evaluation of theTraining Module
WWWHave Participants Return to: http://www.turi.org/HTMLScr/net/
Section I Closing
Make sure to remind students to revisit the Internet within a
week, so that they can remember what they have learned. For
more practice or help, participants can visit the training site in
the future.
Large Group Exercise: Use a plus/delta evaluation to solicit
feedback on the training. In a plus/delta evaluation, the trainer
writes a plus sign at the top of one flipchart and a delta at the
top of a second. The plus (+) represents what worked in the
training and the delta (∆) represents what could be improved.
The trainer quickly reviews the agenda for the training and
then solicits remarks to put on the plus page and on the delta
page. Answers should be recorded in the appropriate column
and useful feedback should be incorporated into the next
course offering.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
+ ∆
Section II
Encourage participants to go to the online “Course
Evaluation” (refer to page 47 screen shot). (See next page.)
Nex
t…
NotesParticipant Notes
Hands-On Pollution Prevention Internet Training 47
Module 6
➞
On-line CourseEvaluation
48 Instructor Notes Hands-On Pollution Prevention Internet Training
Instructor Notes
Optional: Ask participants to complete the course evaluation on
the Internet training site (refer to page 47 screen shot of the on-
line evaluation form) and submit it by e-mail. Check the correct
URL for the evaluation form.
If you do not ask participants to complete and submit a course
evaluation electronically, ask them to fill out the printed
evaluation form on the opposite page and hand it in before
they leave the training.
Evaluation
Hands-On Pollution Prevention Internet Training 49
Participant Evaluation
Hands-On Pollution Prevention Internet Training
Evaluation Form
Please complete both pages of this brief evaluation. Results will be used to improve this program. The goals ofthis training are 1. to improve participant understanding of the Internet as a resource in identifying P2 tech-nologies, 2. to improve participant ability to use the Internet for P2 research, and 3. to increase participantinclination to seek out Internet resorces when faced with P2 questions. Please rate the following elements oftoday’s workshop, both in terms of their usefulness in reaching the instructional goal and their overall quality.Please provide written comments in the space provided to explain your rating or to offer suggestions forimprovement.
1. IntroductionsComments:
2. Internet BasicsComments:
3. Internet SearchesComments:
4. Pollution Prevention ResourcesComments:
5. Researching a P2 QuestionComments:
6. Closing/EvaluationComments:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Hands-On Pollution Prevention Internet Training 51
Participant Evaluation
7. Assess the amount of time/detail devoted to each:
IntroductionsInternet BasicsInternet SearchesPollution Prevention ResourcesResearching a P2 QuestionClosing/Evaluation
Comments:
8. What was the most significant thing that you learned in today’s training?
9. In what way(s) do you expect to apply what you have learned today in your work?
10. What specific types of training would you like to see offered in the future?
11. Additional comments and suggestions for future training:
too little about right too much
cont’d
52 Instructor Notes Hands-On Pollution Prevention Internet Training
Instructor Notes
This curriculum document has been developed by staff at the Toxics UseReduction Institute (TURI) at the University of Massachusetts at Lowell.The principal curriculum and instructional designer is Jody Hensley, M.Ed.,Senior Education and Training Associate at TURI. Principal documenteditor is Anne Berlin Blackman, J.D, M.A, Education and Training Associateat TURI.
All rights to this curriculum belong to the Toxics Use Reduction Institute(TURI), the Massachusetts Department of Environmental Protection (MADEP) and the United States Environmental Protection Agency (U.S. EPA).The material may be duplicated or used with permission. A request forpermission to duplicate and use portions of the curriculum may be made atthe TURI website: http://www.turi.org.
The views expressed within this curriculum document do not necessarilyrepresent the stated policies of the above agencies nor does citing of tradenames or commercial processes constitute endorsement.
The Toxics Use Reduction Institute is a multi-disciplinary research,education and policy center established by the Massachusetts Toxics UseReduction Act of 1989. The Institute sponsors and conducts research,organizes education and training programs, and provides technical supportto governments to promote the reduction in the use of toxic chemicals inindustry and commerce. Further information can be obtained by writingthe Toxics Use Reduction Institute, University of Massachusetts Lowell,One University Avenue, Lowell Massachusetts 01854, ore-mail www.turi.org.
© Copyright 1999 by the Toxics Use Reduction Institute, University ofMassachusetts Lowell; the Massachusetts Department of EnvironmentalProtection; and the United States Environmental Protection Agency.
DEP
TOXICS USEREDUCTIONINSTITUTE
Pollution Prevention IntegrationA Training Curriculum for Environmental Agency Staff
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process/SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
Capacity building in the public environmental agency to promotecleaner, safer and more competitive industry while protecting our
natural resources.
This integrated curriculum was designed under the sponsorship of an EPA EnviromentalTechnology Initiative Grant to the Massachusetts Department of EnvironmentalProtection. The Toxics Use Reduction Institute, as contractor to the MA DEP, coordinatedthe design and publication of curriculum materials in collaboration with the MA DEPBureau of Waste Prevention and the Northeast Waste Management Officials Association.
EPA Project CX 824560-01-1
Media Cross-Training
© Copyright 1999 by the Toxics Use Reduction Institute, University of Massachusetts Lowell; the MassachusettsDepartment of Environmental Protection; and the United States Environmental Protection Agency.
2 Media Cross-Training
Media Cross-Training Contents
Why A Media Cross-Training Program? ................................................................................................................ 3What Does an Environmental Media Cross-Training Program Look Like? ......................................................... 4Initiating a Media Cross-Training Program ........................................................................................................... 6Should Your Agency Do A Media Cross-Training Program? ................................................................................ 6How to Assess Whether Your Agency Will Benefit? ............................................................................................... 7Some Final Tips for Executing A Successful Multi-Media Cross-Training Program ........................................... 7
AppendicesA. Pollution Prevention Integration: The Media Cross-Training Content Template ........................................... 9B. Annotated Agenda — Media Cross-Training Developers’ Meeting ................................................................. 12C. Train-the-Trainer Handouts
1. Key Concepts In Adult Learning .................................................................................................................. 162. Do’s and Don’ts for the New Trainer ............................................................................................................ 173. Survey: Evaluate Your Training Practices ..................................................................................................... 214. Interactive Methods ...................................................................................................................................... 235. Visual Support ............................................................................................................................................... 25
D. An Integration Exercise: Putting It All Together: The Multi-Media Context ................................................ 27Scenarios 1–4 ..................................................................................................................................................... 30
This curriculum document has been developed by staff at the Toxics Use Reduction Institute (TURI)at the University of Massachusetts at Lowell. The principal curriculum and instructional designer is JodyHensley, M.Ed., Senior Education and Training Associate at TURI. Principal document editor is AnneBerlin Blackman, J.D, M.A, Education and Training Associate at TURI.
All rights to this curriculum belong to the Toxics Use Reduction Institute (TURI), the MassachusettsDepartment of Environmental Protection (MA DEP) and the United States Environmental ProtectionAgency (U.S. EPA). The material may be duplicated or used with permission. A request for permissionto duplicate and use portions of the curriculum may be made at the TURI website: http://www.turi.org.
The views expressed within this curriculum document do not necessarily represent the statedpolicies of the above agencies nor does citing of trade names or commercial processes constituteendorsement.
The Toxics Use Reduction Institute is a multi-disciplinary research, education and policy centerestablished by the Massachusetts Toxics Use Reduction Act of 1989. The Institute sponsors and conductsresearch, organizes education and training programs, and provides technical support to governments topromote the reduction in the use of toxic chemicals in industry and commerce. Further information canbe obtained by writing the Toxics Use Reduction Institute, University of Massachusetts Lowell, OneUniversity Avenue, Lowell Massachusetts 01854, or e-mail www.turi.org.
© Copyright 1999 by the Toxics Use Reduction Institute, University of Massachusetts Lowell; theMassachusetts Department of Environmental Protection; and the United States EnvironmentalProtection Agency.
DEP
TOXICS USEREDUCTIONINSTITUTE
Media Cross-Training 3
Media Cross-Training for PollutionPrevention IntegrationA Guide to Developing a Cross-Training Program for Environmental Regulatory Staff
Why A Media Cross-TrainingProgram?
Once upon a time there was a group of people whowere tasked with trying to identify an elephant whileblindfolded. The story goes something like this: Theone who grasped the tail said, “This must be a rope.”The one who grasped the trunk said, “This must be ahose.” The one who felt the side said, “Well, surely,this is a large leather–covered wall.” The one whotouched a tusk said, “I know this is a spear.” The onewho felt a leg said, “I am standing before a great tree.”The lesson – your perception of the whole dependson which part is closest to you.
In order for this group of people to clearly identifythe creature before them, they have to take off theirblindfolds and examine not only the portion of thebody before them. They must see the whole animal.Manik Roy, Ph.D., cited this parable in an early articleon pollution prevention in the late 1980’s. It is also ametaphor for systems thinking – the ability to see thewhole system and to understand one’s own signifi-cance in it and the relationship of one’s part to theother parts of the whole. (“Grasping the LearningOrganization”, Training and Development, pp. 38 – 42,June 1994.)
Environmental protection faces these same challengeswhen trying to identify and solve environmentalproblems from a single-medium perspective of eitherair quality, water quality, or land related issues.Granted, progress in environmental protection hasbeen made for nearly three decades using a pollutioncontrol approach implemented through single-medium statutes and regulations. However, thatapproach had led to organizational structures inenvironmental agencies shaped around single envi-ronmental medium concerns. These organizationalstructures shape the way environmental officials seeand do the work of environmental protection.
It has been widely accepted that an approach thatconsiders all the environmental media simultaneouslywhen working to solve environmental problems is themost effective way to make progress in one areawithout adversely impacting another.
A whole-facility, pollution prevention approachrequires an integrated look at what materials are used,and how they are used, throughout the productionsystem. This perspective considers the source as wellas the ultimate fate of those materials, be they re-leased to the air, to water or to land, or lost or trans-formed somewhere in the production process. Thissystems perspective considers what is movingthrough the production process rather than just whatis being emitted to one environmental medium inone place as does the traditional single-mediumframework.
This integrated approach to environmental protec-tion requires changes in work design for the environ-mental official. Integrated environmental protectionrequires an expanded knowledge and skill base for theindividual and improved links among individualprograms in the organization. A growing understand-ing of multiple media regulations - regulationsoutside one’s own program - and a working under-standing of a variety of industrial sectors provide aknowledge base from which the environmentalprofessional can begin to consider pollution preven-tion as s/he interacts with regulated entities.
Cross-training among existing programs in anenvironmental agency can help form the foundationfor integrated environmental protection. The envi-ronmental media Cross-Training program describedin this guide is designed to achieve the followingobjectives:■ to provide an introductory overview of each of an
agency’s regulatory programs for staff working inother programs
■ to develop staff skills in developing and presentingprogram background and content
4 Media Cross-Training
Pollution Prevention Integration: The MediaCross-Training Content TemplateA content template was developed for use by present-ers from each environmental media subject area. Thepurpose of the template is to help in the developmentof each cross-training module’s content and to try toensure consistency of subject coverage across mediaprograms. (See the content template developed in theMassachusetts Pilot program in the Appendix.) Ofcourse, all categories on the template may not applyto a particular program, or there may be someadditional special areas for a given program that needto be included.
Cross Media Train-the-Trainer: PresentationDevelopmentOnce each regulatory unit has selected presenters fortheir programs, those presenters gather at a Cross-Training Developers Meeting. This is a day fortraining staff presenters in how to design and deliverinformation from their environmental program in away that is engaging and effective. Training specialistswill need to design and organize this one-day (or ½day) meeting. The following agendas and materialswere used in the pilot cross-training program at theMassachusetts Department of Environmental Protec-tion.
■ Sample Agenda for Train-the-Trainer
Bureau of Waste PreventionMedia Cross-TrainingDevelopers’ Meeting
9am – Noon
9:00 Introductions and Expectations for the Day
The Purpose of the Media Cross-TrainingProgram and this Train-the-Trainer Experi-ence; Schedule for the Media Cross-TrainingProgram – from development through delivery
9:30 The Cross-Training Content Template
Questions and Answers
10:15 Break
10:30 Training Tips and Interactive Training Tech-niques
11:30 Logistical Considerations and PresentationSupport
Questions and Answers
Noon Adjourn
■ to improve peer communication among agencyprograms
■ to help staff develop an integrated perspective onenvironmental protection
What Does an Environmental MediaCross-Training Program Look Like?
Pollution Prevention Integration: A TrainingCurriculum for Environmental Agency StaffEnvironmental Media Cross-Training Program(for basic cross-media literacy)
This Media Cross-Training Program was piloted atthe Massachusetts Department of EnvironmentalProtection in January and February of 1997 andrepeated three additional times in April, May andJune of 1997. The three days of training were devel-oped to provide a level of basic cross-media literacy(air, water, hazardous waste and solid waste) amongstaff in the Bureau of Waste Prevention. Since pollu-tion prevention and cleaner production options aregenerally whole system in nature, environmentalmedia Cross-Training is considered a foundation forother courses in the Pollution Prevention Integrationcurriculum.
The Media Cross-Training Program was developedusing in-house agency program staff rather thanoutside trainers. Media subject matter experts(SME’s) were selected from among the air, water andwaste programs. These presenters worked withtraining specialists to develop presentations andtraining exercises. The training specialists developed across-training template for media presenters to use inbeginning to develop their presentations. Presentersattended a train-the-trainer session conducted bytraining specialists who then convened severaladditional working meetings and coaching sessionsfor providing help in developing training talks andexercises. Agendas for each of the three daylongtraining sessions were developed in these workingmeetings. All program presentations were covered inthree days with a cross-media integration exercise onthe concluding day. A formative evaluation (dressrehearsal) was held for each of the training days. Thetraining series was offered to groups of 25–35 partici-pants.
Media Cross-Training 5
(See annotated agenda with instructor notes for the“Media Cross Training Developer’s Meeting(Train-the-Trainer) in the appendix along with handouts fortrainees)
After an initial train-the-trainer session, individualpresenters begin to develop their presentations. Oneof the challenges for cross-training program coordi-nation is fitting the various presentations together inan overall program agenda. Following are the agendasfrom the three days of training done for the pilot ofthis training program.
■ Sample Agendas From the 3-DayMassachusetts Cross-Training
Massachusetts Department ofEnvironmental Protection
Bureau of Waste PreventionDay One
Environmental Media Cross-Training
9:00 Welcome and Introduction
9:05 Overview to the Massachusetts Toxics UseReduction Act
9:40 Industrial Wastewater
10:50 Break
11:00 Industrial Wastewater continued
12:00 LUNCH
1:00 Hazardous Waste Programs
2:30 Break
2:40 Hazardous Waste Programs continued
3:10 The Toxics Use Reduction Program
4:30 Adjourn
Massachusetts Department ofEnvironmental Protection
Bureau of Waste PreventionDay Two
Environmental Media Cross-Training
9:00 Welcome and Introduction
9:05 Public Health Based Standards
9:55 History of State and Federal Air QualityControl
10:15 Assessment and Characterization of AirQuality
10:35 Break
10:45 Program and Planning to Comply with theClean Air Act
1) Stationary Source Program
2) Mobile and Area Programs
12:15 LUNCH
1:15 Inspection and Maintenance Program:Emissions Checkup
Introduction, Technology, Scenarios,Conclusion
3:05 Break
3:15 Programs and Planning to Comply with theClean Air Act
3:00 Administrative Compliance
3:40 Regional Air Quality Activities
4:05 New and Future Initiatives
4:30 Adjourn
Massachusetts Department ofEnvironmental Protection
Bureau of Waste PreventionDay Three
Environmental Media Cross-Training
9:00 Welcome and Introduction
9:05 Overview of Solid Waste Management
9:50 Compliance, Enforcement and Regulations
10:35 Break
10:45 Composting
11:15 Recycling
12:00 LUNCH
1:00 Putting It All Together: The Multi-MediaContext* (interactive exercise – see appendixH)
1:45 Scenario Activity Reports (from the exercise)
2:45 Break
2:55 Multi-Media Initiatives at the MassachusettsDEP
4:30 Adjourn
* Notes for this P2 Integration Exercise are included inAppendix H.
6 Media Cross-Training
Initiating a Media Cross-TrainingProgram
More than any of the other courses in the PollutionPrevention Integration Curriculum, the Cross-Training Program requires cross-program manage-ment alignment. Managers and supervisors will notbe devoting just one day of their staffpersons’ time asa participant in each day of training as with the othercourses. In cross-training, staff are selected from eachprogram to develop and present the content. Thismeans someone is selected from each regulatoryprogram to:■ participate in a cross-training developers
conference (1/2 to one day),
■ to spend time drafting materials and designingtheir presentation,
■ to go to presentation coaching sessions, and
■ to rehearse their near-finished presentation at a“dry-run” of their training day.
This work is done before presenters actually delivertheir presentations to 25-35 other staff members fromprograms throughout the agency. And if the programis especially successful, the cross-training agenda willprobably be presented more than once.
The “Innovative P2 Course Delivery Worksheet”provided in the Part IV of the introductory section ofthis manual can help in generating a task list forproject management of this Media Cross-TrainingProgram.
Should Your Agency do a Media Cross-Training Program?
There are advantages to developing and offering amedia Cross-Training program:■ staff become motivated and re-energized at the
prospect of telling the story of their own programto others in the agency
■ experts from within the media programs who haveyears of experience often have more credibilitywith their peers than an outside presenter
■ staff gains new skills and experience in deliveringthe message of their programs
■ new connections and relationships within theagency are built and those contacts continue afterthe training. This often results in morecomprehensive information being brought to bearon the inquiries environmental regulators dealwith on a daily basis.
■ cross-training speeds up the organizationallearning process. Participants gain perspective onthe big picture and how various units andfunctions relate to one another.
■ staff people find it useful: “I got a great deal out ofthe meeting and interacting with the live humanbeings from other programs. Being able to askquestions in an interactive forum is extremelyvaluable to me.” “By being better versed in thenames, faces, terminology of other programs, Inow know where I can go for information and Ican ask better questions.” – comments fromevaluations of the cross-training pilot inMassachusetts.
There are also challenges in delivering a cross-training program:■ Developing presenters and presentations takes a
fair amount of time for program staff memberswho are giving the training talks and for trainingstaff who are helping develop the presentationsand exercises.
■ Achieving brevity, conciseness and clarity ofpresentation requires effort, especially for staffmembers who don’t do presentations regularly.Train-the-trainer sessions and coaching will berequired to various extents depending on theexperience and comfort level of the presenter inorder to make training time most worthwhile fortraining participants.
■ Providing a tangible link between the cross-training and day-to-day activity can be tricky.Cross-training is a capacity building endeavor. Assuch, its application to staff work is less concretethan some staff are accustomed to. Seniormanagement must support and explain thesignificance of the program, connecting it tobroader agency goals and giving examples of dailyusefulness.
Media Cross-Training 7
How to Assess Whether Your AgencyWill Benefit?
Cross-training is a step on the path to what contem-porary management theory calls the learning organi-zation. Peter Senge of the MIT Center for Organiza-tional Learning has advanced this notion mostrecently and widely. Learning is considered to be theprocess of enhancing our capacity for taking effectiveaction. Levels of learning include individual, groupand team, organizational and societal. Learning at theorganizational level can be advanced through five setsof practices or “disciplines” which include systemsthinking, personal mastery, mental models, sharedvision, and team learning. Though difficult to definesuccinctly, Linda Honald, a human resources execu-tive with Johsonville Foods, describes the learningorganization as follows: “A learning organization isone whose members are continuously, deliberatelylearning new things. They apply what they learn toimprove: a) the product or service quality, b) theprocesses involved in making the product or provid-ing the service, c) the quality of the environment inwhich the employees work, and d) the performanceof members of the organization.”
A training program in and of itself will not createor guarantee improved organizational learning. Whendeciding whether to embark on a multi-media cross-training program, an agency should consider what itwants as an outcome for such a program and assesswhether it is likely to be successful. Some conditionsfor successful cross-organizational learning aredetailed in Learning Organizations, DevelopingCultures for Tomorrow’s Workplace, Chawla andRenesch, Productivity Press, 1995. (pg. 398, 401)These items might be useful to consider when assess-ing the likelihood of success for a multi-media cross-training program:
The following questions point to some conditions forthe success of collaborative learning across organiza-tional boundaries:
■ Is there recognition in the organization of thevalue of cross-organizational experiences and oflearning by teaching?
■ Does the organization have some level of maturityon the learning continuum? (i.e., experience withvision building)
■ Will senior executives and line managers committo a long-term program and involve themselvespersonally in the learning sessions?
■ Can a non-competitive atmosphere be created sothat the learning environment is safe for sharingall relevant experiences and information?
■ Will a core team of facilitators combining generaland specialized skills be involved in and betweenthe meetings to help structure a cumulativelearning experience and increasingly involve theparticipants in designing and co-leading thesessions?
■ Is there a willingness to experiment in content andformat from session to session and a commitmentto dialogue and collaboration? (i.e., to publicrefection on the experiments and learnings.)
■ Will participants be encouraged to take time forexchanges through computer networks and sitevisits between the general sessions?
■ Is there a focus on personal development and onchallenging one’s mental models or can one beadopted from the beginning and throughout thecross-training program?
Some Final Tips for Executing ASuccessful Multi-Media Cross-TrainingProgram
■ Management and Scheduling of the Cross-TrainingProgram
It is highly recommended that you refer to theworksheets in the introductory section of thiscurriculum manual to as you begin to plan thecross-training program. They include the“Innovative P2 Course Delivery Worksheet” andthe “Pollution Prevention Integration New CourseDevelopment Checklist”. The preliminary steps oneach of these worksheet involve includingappropriate agency stakeholders from the outset ofthe program and setting realistic expectationsabout the commitments required from eachprogram.
8 Media Cross-Training
■ Dry-Runs: the importance of rehearsal time
Don’t skimp on rehearsal time. Presentationpractice sessions are important as individualportions of the training program develop. But arun through of the entire training day in front of asmall audience which is similar in nature to thefinal target audience will vastly improve thequality of presentations and therefore theseriousness with which participants will considerthe information and intent of the program.
■ Evaluations: In Course and written
Getting feedback from participants directly isimportant for continuously improving the cross-training program. The feedback on evaluationscan also be an important tool for agency
management to use to get a sense of theknowledge, skill, attitude and even importantstrategic information from the staff perspective.
Both in-class feedback and written evaluation areimportant. See samples of these at the conclusionof any of the courses in the Pollution PreventionIntegration Curriculum.
■ Creating a Summary Document
Presenters will be pulling information togetherfrom programs across the agency to prepare forthis multi-medium Cross-Training program.Pulling these handouts and presentation notestogether can produce a binder which is a valuableorientation of the work of the agency.
Media Cross-Training 9
Instructor NotesThe Content Template for Presentation Development
Pollution Prevention Integration: The Media Cross-TrainingContent Template
The purpose of the following template is to help in the development of each cross-training module’s content and to try to ensure consistency of subject coverageacross media programs. Of course, all categories on the template may not apply to aparticular program, or there may be some additional special areas for a givenprogram that needs to be included. It’s important to remain flexible rather thandeveloping a firm agenda from the beginning. The presentations develop and fittogether over time and may be readjusted several times along the way for the bestresults.
Some points to keep in mind:
■ Generally these media training modules are intended to be a half-day in length(approximately three hours). Each half-day will include several programs withineach media. In some cases where the programs are particularly complex (air forexample) more time may be necessary to cover the information adequately. Asprograms select their presenters, and as presentations develop, an overall agendafor the cross-training will emerge which will include time allotted for eachmodule. Presenters need to remain flexible as this process develops.
■ The staff who will attend these modules may know something, but probably nota great deal about environmental media programs other than their own. Theaim is not be comprehensive but to provide a working knowledge of the basicsfor participants from other programs.
■ Where possible, it would be helpful to include case examples or real-worldanecdotes to illustrate the facts being presented.
■ Provide the audience with handouts that capture key points. (Copies ofoverheads, roadmaps of media contacts, further information resources, etc.)The training specialists working with this cross-training program shouldprovide production help with these materials.
■ Make sure to build question and answer sessions into each session and find waysto using interactive learning exercises in your module.
Appendix A
10 Media Cross-Training
Instructor NotesContent Template Outline for Media Cross-TrainingPresentation Development
Welcome and Introduction
Objectives of the module
Key information that the audience will gain
The Agenda for the session
Definitions and Background
What’s covered in your media program?
What is the nature of the pollution regulated in your program?
What are the environmental and health implications being addressed by yourprogram?
What do we regulate?
Why do we regulate it?
Legal Mandates
State and Federal authority
Legal requirements, thresholds, etc.
Universe of Sources
Generator status: facility types, mobile or other sources
Major kinds of violations
Major kinds of treatment systems, control equipment, recycling processes
Potential media transfers through pollution control or treatment
Quick Overview of Applicable Regulations
Regulatory Mechanisms
Overview of permit categories
Regulatory requirements such as reporting and/or planning requirements, recordkeeping, management practices, labeling requirements, certification,modifications, etc.
Compliance and Enforcement Tools and Techniques
Overview of compliance inspection protocols
Other inspection tools (sampling, monitoring, planning, certifications, etc.)
Overview of enforcement mechanisms
Compliance assistance and incentive programs
Major agency initiatives
Pollution Prevention Opportunities and Barriers
New Trends and Initiatives in the broad perspective, i.e., regulatory, technical,political, etc.
Appendix A
Content Template Outline
Media Cross-Training 11
Instructor Notes
Agency role and other stakeholders
State, local federal interaction
Environmental groups, industry associates
Consumer and public concerns
Sources of Information
Within the agency
EPA
Regional Organizations
Other library and Internet resources
Wrap-up
Agenda review
Closing Questions and Answers
Additional handouts
Additional points to keep in mind when considering the Content Template:
The content template above is very detailed and can guide your research. Much ofthe information can be provided in writing, however, and does not have to becovered orally in the training session. Since this cross-training session is intended toprovide basic literacy for your peers in other programs, the level of detail in thepresentation need not be overly deep. Too much unnecessary detail will overwhelmparticipants and they will lose interest in the presentation. Participants can pick upthe extra information they are immediately interested in during the question andanswer time. This training is intended to help others in the agency gain perspectiveon your program and its relevance and relationship to their own program. Work todesign your module to be concise (only include what you must to make your point)and engaging (pique the participant’s interest and let them interact with theinformation).
To gain perspective on your program, some information on the history of theprogram and the issues it was created to address may be interesting, but keep thisbrief. Some illustrative descriptions of the work that actually goes on in the fieldcan bring the regulatory content to life. Actual props that can be easily transportedto the classroom are another way to bring the information alive, as are photos,videos and stories. Just remember to be mindful of the time allotted and be selec-tive about what you include.
When drafting the agenda for an individual presentation or module within thecross-training program, ask, “What would I want to know when being introducedto someone else’s program?” “What questions would I ask?” Let the answers to thesequestions be a guide in creating each presentation.
A participant in the pilot of this cross-training program in Massachusetts suggestedthe following on his evaluation form: “I would like to see every program in theagency described in the same format, such as: 1) What is the environmental con-cern?, 2) What is the desired outcome after you address the concern, and 3) Whatare the tools used to get the desired outcome? I’ll bet there are “tools” used in oneprogram which might be just as useful or better than those used in another program.”
Appendix A
Content Template Outline
12 Media Cross-Training
Instructor NotesAnnotated Agenda: Media Cross-Training Developers’Meeting (Train-the-Trainer)
9:00 Introductions and Expectations for the DayBe sure to start the meeting on time. Begin with a welcome and introduceyourself to the group. Express your expectations for the day and for thisprogram and let developers know that they will have a chance to do the same ina moment.
(This would be an ideal time for a significant senior manager to voice theirvision and support for the program since the people here will probably beputting in time and effort beyond their routine duties.)
Review the agenda and elaborate a bit on how the day will proceed. (If you areoff-site, point out facilities along with break times.)
Next, invite participants to introduce themselves, name their programs, andshare their expectations for the day. (Capture expectations on a flip chart.)
The Purpose of the Media Cross-Training Program and this Train-the-TrainerExperience
Next, review the expectations for the day and see how they align with the purposeof today’s meeting. This will allow you and the other developers to adjust expecta-tions at the beginning of the day if necessary.
Schedule for the Media Cross-Training Program — From developmentthrough delivery
A project plan with prospective training delivery dates should have been developedwith managers of all participating programs. That schedule should be reviewedhere so that developers can manage their time accordingly. Six to eight weeks ofdevelopment time is not too much to plan for given that the cross-training devel-opers are generally still responsible for their routine duties during that time. Theschedule should also include any other presentation clinics or coaching time beingmade available by training specialists while training days are being developed. Adry-run or rehearsal presentation should be scheduled before the actual training isdelivered.
9:30 The Cross-Training Content TemplateA sample “Content Template Outline for Media Cross-Training PresentationDevelopment” is provided in an above section of this guide. This template, orone that has been developed for your agency, should be reviewed at his time.Developers will likely have questions and will want to discuss the template. It isimportant to communicate that this is a “content” guide, which is different thanwhat will necessarily be presented during their training. An engaging and usefultraining presentation will selectively choose the information and skillsappropriate for the participants and purpose of the training. The cross-trainingis aimed at basic literacy in regulatory programs other than one’s own. Detailedinformation can be presented as a handout. Training sessions will address keyconcepts in an interactive manner.
Appendix B
Annotated Agenda: Train the Trainers
Media Cross-Training 13
Instructor Notes
10:15 BreakGive participants 10-15 minutes to stretch their legs and get refreshments beforethe meeting continues.
10:30 Training Tips and Interactive Training Techniques■ Adult Learning Basics (Individual exercise, then group discussion)
The basics of adult learning theory are covered here. This section was openedwith an exercise in which participants took a few minutes to reflect on theirmost meaningful and memorable learning experience from any point in theirlife and to think about what made this lesson so powerful. Participants weregiven a few minutes to write down their thoughts. Next, recollections wereshared in the large group. A recorder captured on the flipcharts what it was thatmade these learning experiences so memorable. From this list generated on thechart, the facilitator moved into 4 concepts in adult learning.
■ Key concepts in adult learning (review and disucss appendix Handout #1)
■ Learner Styles (present and discuss the following information)
Reaching trainees may mean adjusting to the various ways people learn. Hereare just a few ideas for appealing to differing learning styles:
• Visual learners: these learners are well served with text and graphics.
• Auditory learners: read information aloud. Talk about key concepts even if theyare already written down. Include discussion.
• Kinesthetic learners: give exercises or papers to participants and make sure theyare assigned something to do with them and required to produce a response.For these learners its best if they have to move about the room or completesome other physical task while taking in the information.
• Tactual learners: encourage these learners to highlight written materials andmake notes in margins. A cutting and pasting exercise to connect ideas willallow these folks to really get their hands on the information. (post-it noteswork wonders for these learners.)
—Based on “Different Strokes: Learning in the Classroom” by Bob Filipczak,Training, March 1995
■ Do’s and Don’ts for the New Trainer (large group discussion, see AppendixHandout #2)
This portion of the session lends itself to a brainstorming session. Prepare twoflip chart pages, one with a header which reads: “The Do’s”, and one whichreads, “The Don’ts.” Let participants offer suggestions for each list based on theirexperience. (Check out the groundrules for brainstorming in the Introductionsection of this manual.) Review the responses that are generated and see howthey compare with the information provided in the handout “Do’s and Don’tsfor the New Trainer” located in the appendix of this guide.
■ Survey: Evaluate Your Training Practices
The questions on this survey – which is located in the appendix to this guide —can be used to evaluate your training practices by identifying your strengths and
Appendix B
Annotated Agenda: Train the Trainers
14 Media Cross-Training
Instructor Notes
weaknesses. Presenters are encouraged to ask a trusted colleague to sit in on oneof their sessions and review their presentation. This extra feedback can assist inachieving and maintaining confidence in one’s own performance.
■ Interactive Methods
Participants have already learned that exercises where adult learners activelyparticipate in the instruction are the most effective. At this point, seven methodsfor active learning are presented (see appendix – T-T-T Handout #?) The trainershould present each method and give an example. If time allows, it is mosteffective to let small groups experiment with each of these methods and thenreport back to the large group on the learning experience. To do that, thetraining specialists will need to develop questions or facts that participants canexplore via each method.
■ Methods covered here:
—Small group discussion
—Brainstorming in groups
—Journaling
—Dyads
—Role Plays
—Fishbowl
—Case Teaching
■ Exercise Development
Advise staff presenters that when considering what exercises to prepare,remember not to put the cart before the horse. Develop the agenda (or lessonplan) for your session first. Steps for agenda development include: 1) review theobjectives of the presentation or course, 2) consider what blocks of content orskill areas you want to cover in the time allotted, 3) the draft a sequence forthose content or skill areas, and 4) consider what methods or activities you wantto use for each block of content or each concept being presented. Put together adraft agenda. Consider the flow of the information, the balance between lectureand activities, and the amount of time it will take for the session. It’s importantto get feedback at this point before drafting a final agenda.
■ Materials
Participants generally like copies of overheads as handouts to take notes on atthe time of the training. Be sure to take the time to create copy materials for theparticipants attending the session.
■ Visual Support
Overhead projectors, slide projectors, computer projectors – all these media givehigh visual impact with both small and large groups. Refer to the tips providedin the Appendix – T-T-T handout #?.
Appendix B
Media Cross-Training 15
Instructor Notes
11:45 Logistical Considerations and Presentation Support
Many logistical issues are covered in the “Introduction” section of this manualbeginning on pg. viii, Part IV. “How To Prepare To Deliver Courses From TheComprehensive P2 Integration Training Curriculum In Your Agency.” Also onpg. ix, see the “Innovative P2 Course Delivery Worksheet”. Refer to the sectionsentitled, “Course Logistics” and “On-Site Facilities Checklist.”
Questions and Answers
This is time to respond to any questions program presenters have aboutpresentation development issues, schedules, support, etc.
Noon Adjourn
(Note: A full day of train-the-trainer would allow presenters to practice some ofthe techniques covered in this agenda. This practice can take place in follow-uppresentation development session, however.)
Appendix B
16 Media Cross-Training
Train-the-TrainerAppendix C Handout
Key Concepts In Adult Learning
■ adults learn best from their own experience
■ experience is values both in self and in the trainer
■ lessons should apply to both life and work
■ content is discovered by the learner and discussed
■ thus, learning activities structured to draw on the experience of the learner arethe most effective.
How we learn:
■ We learn:
1% through taste, 1.5% through touch, 3.5 % through smell, 11% throughhearing, 83% through sight.
■ We remember:
10% of what we read, 20% of what we hear, 30% of what we see, 50% of whatwe see and hear, 80% of what we say, 90% of what we say as we act.
It may be relatively recently that we have confirmed these facts scientifically andstatistically, but intuitively we have known them for a long time. There areancient Chinese proverbs that read: “I hear and I forget, I see and I remember, Ido and I understand.” And, “One picture is worth a thousand words.”
■ Methods of Instruction:
Studies have been done on the influence of using sound and sight, separately orcombined, as a teaching tool. Results of a R.Benschofter study concluded:
Telling, when used alone, results in 70% recall three hours later and 10% recallthree days later.
Showing, when used alone, results in 72% recall three hours later, and 20%recall three days later.
A Blend of telling and showing results in 85% recall three later and 65% recallthree days later.
Results of each study, of course, are situation specific. But similar studiesproduce similar results. This leaves little doubt about the power of audiovisualsto connect with learners with the message being communicated more effectivelyand to provide for both short term and long term retention of the content.
—adapted from materials by the National Safety Council, Itasca, Illinois.
83% through sight.
11% through hearing
3.5 % through smell
1% through taste
1.5% through touch
1
Media Cross-Training 17
Appendix CTrain-the-TrainerHandout2
Do’s and Don’t for the New Trainer
Do’s:
■ Prepare everything in advance
This means from opener to evaluation and how every piece fits together. Beingwell prepared communicates a commitment to the needs of the learners and theplanning provides the trainer with confidence and quiets any jitters.
■ Make the objective clear
Participants must know what to expect from the presentation and what newmight be expected of them because of the training. Participants may even helpdefine the objectives either before or during the session.
■ Make the session participatory
If learners take an active role in their own instruction they will retaininformation better. They must experience or reproduce the content in anexercise. Participation allows learners to take responsibility for their ownperformance.
■ Review the agenda at the outset and stick to it
The trainer minimizes distractions by providing an agenda. Include one in thematerials or post one on the wall.
■ Encourage questions
Questions mean that a trainer has succeeded in creating an open supportivelearning environment and allow the trainer to see if the audience is grasping theinformation. At the outset, make clear that questions are welcome and stopperiodically and directly solicit questions.
■ Have an opening and a closing
Your first words create a first impression and can mobilize the audience. Useyour own style. Some possible openers include a dramatic statement, ananecdote, a question, a joke or a statistic. Closing statements summarize themain objective of the program. Possible closers include an anecdote, a videoclip, an exercise, or some other inventive close to encourage enthusiasm aboutwhat participants learned.
■ Gear the session toward learners’ needs
Assess the audience to determine expectations and desires. Even if training ismandatory, you may find some personal requirements or benefits of the session.Frame the content in helpful, solution-oriented ways to increase learnermotivation.
18 Media Cross-Training
Train-the-TrainerAppendix C Handout
■ Promote networking among participants
Give participants a chance to meet each other and connect so that they canshare valuable information. Conversations about the content promote learning.Use simple introductions or shared learning goals.
■ Use visuals and varied learning techniques
Comprehension and retention increase dramatically when visual aids are used.Other interactive methods include group discussion, role-plays and games. Afew of these methods will be detailed in a following section.
■ Survey the facility in advance
Check and recheck the physical environment. (Remember Murphy’s law.) Checklights, pens, computers, cameras, audiovisual equipment, chairs, tablesflipcharts, materials, refreshments. Have backup equipment available.
■ Dress appropriately
What you choose to wear communicates that you take the trainingresponsibility seriously. A rule of thumb is to dress one step above how youexpect your participants will dress.
■ Market your training program internally
By alerting employees to the value of your training program you ensureadequate attendance. This also advertises the role you play in yourorganization’s success.
■ Incorporate transfer of training techniques
The real impact of training happens when new skills and knowledge are appliedon the job. Partner with managers and supervisors to promote transfer oftraining. Ask how they will support or reinforce what was taught in theprogram?
■ Evaluate
Evaluation is closely tied to learning objectives. You can use surveys, large groupfeedback sessions, tests, observations or other methods to ascertain whatworked in the training and what could be improved.
Don’ts:
■ Start late
Open on time and proceed after breaks on time. Some tips for gettingparticipants back on time include: setting an unusual duration for the break,i.e., 8.5 minutes, declaring that all stragglers will have to sing to regain entry,assigning one or two people to be responsible for bringing in latecomers,bribing participants with a reward.
2 Do’s and Don’ts continued
Media Cross-Training 19
Appendix CTrain-the-TrainerHandout2
■ Antagonize, condemn, loose patience with or otherwise embarrass aparticipant
This is self-explanatory. Don’t engage when antagonized. Return the focus to theintended learning. Volunteer time to answer questions outside the session ifsomeone is struggling with the content.
■ Fake it
If participants ask questions for which you don’t have the answer, acknowledgethe value of the question and promise to research the answer. You can alsopresent the question to other participants who may have insights into theanswer.
■ Imitate a statue.
Move about the training space. Your movement helps participants stayinterested.
■ Let discussion stray
Keep the objectives of the program in mind and intervene with questions thatpoint back to the main point.
■ Indulge your quirks
Consider working with another trainer to help spot some of these often-unconscious habits. Some may include clicking your pen, swaying back andforth, saying “um” and “y’know”. Identifying these quirks is the first step ineliminating them from you presentation.
■ Saturate learners with information
Deliver one segment of information at a time and do not exceed 20 minutes ofpure content delivery at one time. Follow each segment with and exercise,activity or questions.
■ Confuse the means with the end
Don’t get so carried away with the method of delivery that it overshadows yourcontent.
■ Rely one method of delivery
Vary the training methods and make the session interactive.
■ Get stale
Even if you’ve offered a training numerous times, it is new information for thelearners so its bound to be fresh and interesting for them. Let that insightrefresh your approach.
■ Try to go it alone
Work with and learn from others with more experience, both with content,training materials and training methods. It also helps to work with others whoare tasked with creating the same kind of training.
Do’s and Don’ts continued
20 Media Cross-Training
Train-the-TrainerAppendix C Handout2
■ Worry
When you become anxious about new challenges, relax. There are plenty of resources available to help you gain the knowledge and experience you need. Ifyou are enthusiastic and sincerely interested in helping your participants, theguiding principles contained among these “Do’s and Don‘ts for the NewTrainer” won’t steer you wrong.
— based on ASTD Infoline Training Basics
Do’s and Don’ts continued
Media Cross-Training 21
Appendix CTrain-the-TrainerHandout3
Evaluate Your Training Practices
■ Survey: Evaluate Your Training Practices
The following questions can be used to evaluate your training practices by identifying yourstrengths and weaknesses. Ask a trusted colleague to sit in on one of your sessions andreview your presentation. This extra feedback can assist in achieving and maintainingconfidence in your training performance.
Did you prepare everything? ❏ yes ❏ no
Did you make the objective clear? ❏ yes ❏ no
Did you make the session participatory? ❏ yes ❏ no
Did you tell your learners the agenda at the outset and did you stick to it? ❏ yes ❏ no
Did you encourage questions? ❏ yes ❏ no
Did you avoid antagonizing, condemning, losing patience with or embarrassingparticipants? ❏ yes ❏ no
Did you have an opening and a closing? ❏ yes ❏ no
Did you gear the session toward learners’ needs? ❏ yes ❏ no
Did you promote networking among participants? ❏ yes ❏ no
Did you use visuals and varied learning techniques? ❏ yes ❏ no
Did you survey the facility in advance? ❏ yes ❏ no
Did you dress appropriately? ❏ yes ❏ no
Did you market your training program internally? ❏ yes ❏ no
Did you incorporate transfer of training techniques? ❏ yes ❏ no
Did you evaluate learners’ performance? ❏ yes ❏ no
Did you start on time? ❏ yes ❏ no
Did you admit when you didn’t know the answer to a question? ❏ yes ❏ no
Did you move around the room? ❏ yes ❏ no
Did you keep discussion on track? ❏ yes ❏ no
Did you avoid your quirks? ❏ yes ❏ no
Did you give learners just the right amount of information? ❏ yes ❏ no
Did you focus on the end, not the means? ❏ yes ❏ no
Did you vary your method of delivery? ❏ yes ❏ no
Did you stay interested in the material? ❏ yes ❏ no
22 Media Cross-Training
Train-the-TrainerAppendix C Handout
Did you structure your role appropriately for the situation? ❏ yes ❏ no
Did you position yourself as an essential asset to the organization? ❏ yes ❏ no
Have you asked seasoned practitioners for help in developing your role? ❏ yes ❏ no
Did you remain calm? ❏ yes ❏ no
—from Job Aid: Evaluate Your Training Practices, ASTD
3 Survey continued
Media Cross-Training 23
Appendix CTrain-the-TrainerHandout
Interactive Methods
We’ve already established that when adult learners actively participate in theinstruction, learning is enhanced and retained more effectively. Below are sevenmethods for active learning.
Small group discussionPutting participants into groups of 5-7 encourages more active participation from agreater number of learners. The smaller group is more intimate and less intimidat-ing. When using the small group method, break the class into small groups andallow them time few minutes to get acquainted with one another. Give clear in-structions regarding the work of each small group. Watch the time allotted for theexercise and monitor discussions to see if you are needed to help some groups get“unstuck” and keep groups focused. Encourage a summary of the results from thegroup discussion and use flip charts for the report out. (For more information, seeIntroduction section of this manual, part VI, Training Methodology.)
Brainstorming in groupsThe purpose of a brainstorming exercise is to open up a group’s creative energy andproduce a large number of ideas in a short amount of time. The guidelines for thisactivity are: 1) all ideas are OK; 2) there should be no evaluation or comment onideas at this stage; and 3) participants should build on one another’s ideas. To beginthe activity, you might say, “Let’s come up with about 20 ideas on (your topic orquestion) in the next 10 minutes.”
JournalingThis activity allows participants to think on their own and encourages everyone inthe group to participate thoughtfully. For this exercise, you pause the session forabout 5 minutes while participants write down their thoughts in response to aquestion or an issue. It’s important to adhere to the time you’ve set aside and togive clear instructions about what group members should be considering as theywrite. At the end of the writing time, ask for volunteers to share their thoughts inthe large group.
DyadsBreaking into pairs is a quick and efficient way to promote participation and it’s aneasy way to achieve rapport within the group. This activity may be initiated bysaying, “Turn to the person next to you, introduce your self and talk about (yourtopic, issue or question).” Another tool for using dyads regularly to reinforcelearning is called “Around the Clock Learning Partners.” At the beginning of thesession hand out a paper prepared with a clock face and a space next to all num-bers, i.e., 1:00_______, 2:00______, etc. At the opening of the day, have participantsmill about and make an appointment with someone else in the class for the twelvedifferent time slots on their clock. Remind learners not to make an appointmentwith a partner unless they both have the same time slot open. (There must be atleast 24 in the class for all spaces on each person’s clock to be filled with different
4
24 Media Cross-Training
Train-the-TrainerAppendix C Handout
people.) Tell the group, “Every-so-often throughout the day we’ll stop to check-inwith a learning partner to consider a question about the content presented.”
Role PlaysThe role playing activity is intended to examine a problem, explore solutions andprovide insight through acting out a given situation. In role playing a hypotheticalsituation is clearly defined including the roles of the people involved. Individualsare selected to play the various roles and to act out how the situation may proceed.After a set of participants have role played for a short time, the instructor allowstime for the rest of the class to discuss and process what happened in the role play.For example: what was done well or realistically in the role-play? What rang true?What might be handled another way? After discussion, the role-play may be done asecond time incorporating feedback from the rest of the class.
FishbowlsA fishbowl exercise allows one small group to observe and learn from another smallgroups’ discussion. It also allows the observing group to offer feedback to theparticipating group. This is a useful way to gain the increased participation of asmall group discussion while allowing all participants access to the same discussiondata. To do this exercise, 5-7 chairs are placed in an inner circle. Another ring ofchairs is placed around the inner group. The inner ring “A” is the discussion group.The outer ring “B”, is an observation group. Group “A” discusses a question for agiven time. Then discussion is stopped. Group “B” then offers comment andfeedback on Group “A’s” discussion.
Case teachingIn the case method, a comprehensively developed problem is presented for studyand solution. This method is used often to improve problem-solving and strategy-related skills. In the case method, a case study must thoroughly and clearly presenta problem and include roles, responsibilities and situations which must be consid-ered in light of issues left unresolved in the case. Questions are then put before thelearners about the implications and best course of action in the case study. Encour-age participation from all class members and gear tasks associated with the case toparticipant’s backgrounds. Allow time for debriefing after a case study. Cases areopen-ended and there is often no right answer. Participants learn from each other’sthinking.
4 Interactive Methods continued
Media Cross-Training 25
Appendix CTrain-the-TrainerHandout
Visual Support
When preparing transparencies for projection, keep the following in mind:
• keep them simple
• use keywords, phrases and numbers
• use large lettering so they can be seen from the back of the room
• bring them alive with color, cartoon, and pictures
• sketch a draft before the final projection
• use a border within the frame – it looks good
• split the frame into more than one section – it makes it easier to revealinformation step-by-step
• make sure they say exactly what you mean
Following are some helpful hints on using an overhead projector.
(Some of these hints apply to computer generated presentations also.):
• Before the presentation make sure people in the back row can see the screen.When you use it don’t stand in front of it.
• Don’t point with your finger – use a pencil. Place the pencil on the screen of theoverhead projector and use it as your pointer. (for computer projectedpresentations, use the cursor.)
• Don’t allow the unit to go out of focus. Check this before you begin.
• Don’t leave the transparency (or computer image) on all the time. Use it tostimulate thought. When you have finished with an idea, turn it off.
• Don’t have the room so dark that the audience can’t see you.
• Don’t become too casual and start talking to the screen or turn your back on theaudience.
• Try using two projectors, one for your main agenda and the other for detail ofyour subpoints. (this takes a bit of practice)
• Use overlays to add dimension and progression to you message.
• Rather than exposing all your information at once, have a sheet of paper overthe transparency and slide the paper down to reveal information one line at atime.
• Use pens to highlight prepared transparencies and actually fill in blanks whileyou’re talking.
5
26 Media Cross-Training
Train-the-TrainerAppendix C Handout
Flipcharts are another active and effective visual.
A flipchart can be use to record and present information and ideas during presen-tations; to outline and reinforce key points; and to present illustrations, sketches,graphs, diagrams and other visuals. When using a flipchart, keep the following inmind:• stand to the side of the chart so it is always visible and so that you face the
audience
• place a blank sheet between each prepared page to keep pen marks comingthrough to the next page
• write clearly and quickly when creating “live” charts
• turn pages smoothly with minimum distraction
• have the easel high enough for everyone to see
• place tabs on the side of the charts you want to refer to again in your talk
• don’t reveal a chart until you are ready for it
• don’t remain silent while you present a flipchart
5 Visual Support continued
Media Cross-Training 27
Appendix DP2 Integration Exercise
P2 Integration Exercise: Putting It All Together
An Integration Exercise: Putting It All Together:The Multi-Media Context
(an exercise developed by Jody Hensley and Anne Berlin Blackman of theMassachusetts Toxics Use Reduction Institute)
Outline of the Training Exercise:
Overview of the Exercise:
“Putting it All Together: The Multi-Media Context” 5 minutes
Background Information 10 minutes
Small Group Discussions 30 minutes
Small Group Reports and Discussion 40 minutes
Recap and Conclusion 5 minutes
Learning Objectives:
After completing this exercise participants will:1. understand and articulate several cross-media pollution transfer issues
(knowledge based objective)
2. begin to identify cross-media issues while conducting regulatory activities (skillbased object)
3. consider working with facilities to undertake source reduction where possible(attitude based objective)
4. work with colleagues in other agency units to begin to build integratedapproach to environmental issues at regulated facilities (strategy basedobjective)
Background:This activity comes at the end of the individual cross-training program presenta-tions. It is assumed that an introduction to pollution prevention has been given. Atthis point briefly review the philosophy of pollution prevention and integratedenvironmental protection.
Some Key points:There should be a review of the source reduction hierarchy, from incineration, todisposal, to recycling, to reuse, to source reduction with pollution prevention (P2)being the preferred method for environmental protection. (Don’t get hung up onoverly precise definitions, but emphasize that the point is to move toward the P2end of the spectrum.)
Instructor Notes
28 Media Cross-Training
Appendix D P2 Integration Exercise
P2 Integration Exercise: Putting It All Together
Participants will be asked to consider the impacts of a given regulatory action fromseveral perspectives, i.e.,• Regulatory issues: relevant regulations, permits, reports, inspections, notices
and plans;
• Environmental issues: air quality impacts, water quality impacts from use anddisposal, hazardous waste transfer and disposal impacts, and solid wastedisposal impacts;
• Related issues: worker health and safety, consumer impacts, other parts of theenvironment, and general public health.
Some scenarios will ask the group to consider a regulated facility’s point of viewand the options that plant management may have to consider in moving towardpollution prevention. For example, the facility personnel may want to explore:
• Process characterization: to better understand where toxic substances and othermaterials are used and how they flow through the production processes.
• Materials accounting: to decipher just how much of each material in theproduction process is: input, consumed or transformed in-process, becomesnon-product output or by product, becomes finished product, or is emitted tothe environment.
With new information from these analyses, facility personnel could look foropportunities for input substitution, process modification, processmodernization, operation and maintenance improvements, productmodification, and integral recycling.
The broader questions intended to be explored through these scenarios include:
■ How can the agency’s regulatory actions be best coordinated to promoteintegrated environmental protection, such as whole facility waste prevention,source reduction, and toxics use reduction?
■ What media programs and staff functions would have to interact in order togain an integrated perspective? How might such interaction favor the selectionof the most appropriate regulatory actions and yield the best environmentalresults?
Group Exercises:Break out participants into several small groups. Groups should arrange themselvesso that each group has representatives from as many different regulatory programswithin the agency as possible.
Each group will be given a written scenario. (See the following pages for copies.)During the small group discussion period, participants should prepare for a reportout to the large group.
Instructor Notes
Media Cross-Training 29
Appendix DP2 Integration Exercise
P2 Integration Exercise: Putting It All Together
Group #1 Exercise: introduces the idea that an approach to compliance with oneregulatory program (here, retrofitting a source with a scrubber to meet air emis-sions standards) can cause increased emissions to other environmental media.Participants should be able to define the problem as multi-media in nature. Thisgroup exercise is also designed to encourage participants to formulate a multi-media solution to the problem. This exercise highlights the possibility of regulatorybarriers to taking a cross-media approach, i.e., many laws and regulations aresingle-medium and/or prescriptive with regard to acceptable compliance options.
Group #2 Exercise: points out the disconnect between the single-medium orienta-tion of the environmental regulatory framework and the multi-media nature of theproblem. This group exercise introduces the idea that a cross-media approach isbetter equipped than a single-medium orientation to analyze comparative risk andrisk-shifting (from air to water, from worker to consumer, etc.) This exercisehighlights the challenges of analyzing potential environmental impacts associatedwith the implementation of innovative technologies.
Group #3 and Group #4 Exercises: focus on changing the way regulators view oneanother and their own organizations (whereas #1 and #2 focus on changing the wayregulators approach regulated facilities.) These exercises highlight institutional andorganizational barriers that may prevent agency staff from viewing a facilityholistically.
Debriefing after the Small Group Exercises
After all small groups have reported on their discussions of scenarios #1 through#4, stimulate some discussion which might bring insight regarding the power forreaching better solutions by looking cross- media when considering environmentalproblems.
Some open questions might include:■ Why is it important to do cross-media analysis?
■ What new insights did you gain through these small group discussions andreports?
■ What are some of the information-sharing challenges associated with a multi-media perspective?
■ Is it easy or difficult to communicate with staff in other programs regarding anenvironmental problem? Tell me more about that.
■ How would you apply what you’ve learned here today in your job? What will bethe challenges in doing so?
Instructor Notes
30 Media Cross-Training
Appendix D P2 Integration Exercise
P2 Integration Exercise: Putting It All Together
Putting It All Together: The Multi-Media Context—SmallGroup Exercises
Scenario #1A manufacturing facility in this state must comply with stringent air emissionregulations that will take effect within one year. The facility’s chief environmentalengineer has indicated to your environmental agency that the facility plans to meetthe new emissions requirements by installing a scrubber. While the Clean Air ActAmendments of 1990 identify scrubber installation as an acceptable option forcomplying with this new emission limitation, the statute does not appear to pre-clude facilities (or state agencies) from adopting alternative approaches.
1a. What are some of the environmental impact issues that might arise as aresult of scrubber installation at the facility?
1b. What are some of the regulatory compliance issues that might arise as aresult of scrubber installation at the facility?
2 a,b. Imagine that you are the facility’s primary contact within your agency.In order to view the facility’s emissions holistically, what are some of thequestions you should ask of, a) the facility personnel, and b) your contacts inthe regulatory agency, about technological alternatives?
Scenario #1
Media Cross-Training 31
Appendix DP2 Integration Exercise
P2 Integration Exercise: Putting It All Together
2 c. What additional information would you want regarding the costs of suchalternatives, and the potential for cross-media pollution transfer?
3. How might this additional information affect your recommendations toand regarding the facility?
4. Can you identify any regulatory barriers to integrated pollution preven-tion solutions?
Scenario #1
32 Media Cross-Training
Appendix D P2 Integration Exercise
P2 Integration Exercise: Putting It All Together
Putting It All Together: The Multi-Media Context—SmallGroup Exercises
Scenario #2
Your manager has asked you to look into the following situation: A dry cleaningfacility with which you have worked this year (i.e., a facility that you have inspected,permitted or whose compliance questions you have answered) has indicated that itwishes to switch to “wet cleaning”. “Wet Cleaning” is a professional launderingprocess that uses water instead of perchlorethylene as a cleaning solvent. Althoughyou are not very familiar with the details of the wet cleaning process, you know thatswitching to wet cleaning would greatly increase the volume of water that thefacility uses. You also know that the facility is located in a densely populated,sewered urban area.
1. List the advantages and disadvantages of wet cleaning vs. dry-cleaning atthis facility.
2. Identify the existing environmental regulations or regulatory programsthat apply to:
a) Dry-cleaning, and
b) Wet cleaning
Scenario #2
Media Cross-Training 33
Appendix DP2 Integration Exercise
P2 Integration Exercise: Putting It All Together
3. Does the current regulatory framework favor one type of technologyover the other?
4. Are there any regulatory or organizational barriers preventing the agencyfrom taking a holistic approach to this facility’s emissions?
5. Describe the ideal working group, composed of agency staff, to work withthis facility in evaluating the environmental, human health, and economicimplications of these two garment cleaning technologies.
Scenario #2
34 Media Cross-Training
Appendix D P2 Integration Exercise
P2 Integration Exercise: Putting It All Together
Putting It All Together: The Multi-Media Context—SmallGroup Exercises
Scenario #3
A town in this state has asked the Environmental Agency Commissioner to draw upa list of all facilities within its borders that are in full compliance with environmen-tal regulations. The town is launching a publicity campaign to pressure facilities tocome into compliance with applicable environmental requirements. The Commis-sioner has asked you to compose the list that the town has requested.
1. Identify the agency resources that you would consult in order to gatherthe required data.
2. What information will these resources give you with regard to emissionslimitations, operating practices, reporting requirements, etc.?
Scenario #3
Media Cross-Training 35
Appendix DP2 Integration Exercise
P2 Integration Exercise: Putting It All Together
3. Is there any relevant information that you will not be able to obtain fromthese resources?
4. What procedures might you ideally recommend to the Commissioner thatwould enable the agency to view facilities’ compliance profiles in a holisticmanner? (Address inter-divisional communication and information sharingprotocols.)
Scenario #3
36 Media Cross-Training
Appendix D P2 Integration Exercise
P2 Integration Exercise: Putting It All Together
Putting It All Together: The Multi-Media Context—SmallGroup Exercises
Scenario #4
A member of upper manager has successfully negotiated a pollution preventioncommitment in your environmental agency’s strategic planning process. You havebeen asked to recommend policies and procedures for more firmly integrating apollution prevention ethic into the agency’s operating practices.
1. Generate a “wish list” of changes that you would recommend in agencypractices that could pave the way for a more integrated pollution preventionapproach.
2. State the basis of our recommendations: i.e., what existing needs do yourrecommendations address, and what benefits do you expect the proposedchanges to bring?
Scenario #4
Media Cross-Training 37
Appendix DP2 Integration Exercise
P2 Integration Exercise: Putting It All Together
3. Identify any barriers to implementing the changes you recommend.Suggest strategies for overcoming these barriers.
Pollution Prevention IntegrationA Training Curriculum for Environmental Agency Staff
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process/SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
Capacity building in the public environmental agency to promotecleaner, safer and more competitive industry while protecting our
natural resources.
This integrated curriculum was designed under the sponsorship of an EPA EnviromentalTechnology Initiative Grant to the Massachusetts Department of EnvironmentalProtection. The Toxics Use Reduction Institute, as contractor to the MA DEP, coordinatedthe design and publication of curriculum materials in collaboration with the MA DEPBureau of Waste Prevention and the Northeast Waste Management Officials Association.
EPA Project CX 824560-01-1
Multimedia Teams I:Making Teams Work
*Enhanced Communication
Instructor’s Manual with Participant Materials
*
© Copyright 1999 by the Toxics Use Reduction Institute, University of Massachusetts Lowell; the MassachusettsDepartment of Environmental Protection; and the United States Environmental Protection Agency.
2 Instructor Notes Multimedia Teams I: Making Teams Work
Table of Contents Including Overheads
Module 1: Program Introduction ................................................................................................................... 14
Module 2: Pet Peeves on Teams ...................................................................................................................... 20
Module 3: Differentiating Team vs. Teamwork .............................................................................................. 22
Team........................................................................................................................................................... 23
Teamwork .................................................................................................................................................. 23
Module 4: Task, Process, Relationship ............................................................................................................ 24
Team Success Depends Upon… ............................................................................................................... 33
Module 5: Setting Goals and Developing Action Plans ................................................................................. 34
S.M.A.R.T. Goals ....................................................................................................................................... 35
Stakeholders .............................................................................................................................................. 41
Examples of Stakeholders: ........................................................................................................................ 41
Decision Making Authority ...................................................................................................................... 41
Module 6: Focusing the Afternoon Session.................................................................................................... 44
Module 7: Communication Skills on Teams .................................................................................................. 46
Module 8: A Team Exercise ............................................................................................................................. 48
Module 9: Teaching and Learning on the Team............................................................................................. 54
The Peer Resource Relationship ............................................................................................................... 55
Methods For Peer Resources — Concepts ............................................................................................... 59
Methods For Peer Resources — Skills ...................................................................................................... 59
Module 10: Decision-Making on the Team.................................................................................................... 60
Four Methods of Decision Making .......................................................................................................... 61
When Selecting a Decision Making Method ........................................................................................... 65
Criteria Rating Chart ................................................................................................................................ 69
Module 11: Ending a Team and Program Conclusion .................................................................................. 70
When Ending a Team or Team Project: ................................................................................................... 71
Evaluation: ....................................................................................................................................................... 72
Multimedia Teams I: Making Teams Work 3
Table of Contents
Module 1: Program Introduction ................................................................................................................... 14
Module 2: Pet Peeves on Teams ...................................................................................................................... 20
Module 3: Differentiating Team vs. Teamwork .............................................................................................. 22
Module 4: Task, Process, Relationship ............................................................................................................ 24
Module 5: Setting Goals and Developing Action Plans ................................................................................. 34
Module 6: Focusing the Afternoon Session.................................................................................................... 44
Module 7: Communication Skills on Teams .................................................................................................. 46
Module 8: A Team Exercise ............................................................................................................................. 48
Module 9: Teaching and Learning on the Team............................................................................................. 54
Module 10: Decision-Making on the Team.................................................................................................... 60
Module 11: Ending a Team and Program Conclusion .................................................................................. 70
Evaluation: ....................................................................................................................................................... 72
Instructor Notes
4 Instructor Notes Multimedia Teams I: Making Teams Work
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Transition to NEW TOPIC ORCONCEPT
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ParticipantExercise
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ParticipantHandout
HANDOUT, EXERCISE orEVALUATION
referred to in this section
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ParticipantExerciseE V A L
Trainer ASKS SPECIFIC
QUESTIONS at this point????
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FLIPCHART
used in this section
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referred to in this section
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VIDEO used in this section
STOP Video
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“HANDS ON” EXERCISE
“ROUND-THE-CLOCK”
EXERCISE
PAIRED, SMALL or LARGEGROUP EXERCISE
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 5
The Culture of Cross-Functional Teams
The diversity of cross-functional team players creates a new culture. Therefore, it isimportant to understand that in creating a cross-functional team, you are fashion-ing a potentially powerful organizational vehicle. While it lacks the simplicity of afunctional team composed of, for example, six engineers all reporting to theengineering manager, a cross-functional team has a greater chance of realizing thepotential of that old axiom, the whole is greater than the sum of its parts. Thisgroup of allies, enemies, and strangers can weave together a cross-functional designthat is an amalgam of many cultures.
Glenn M. ParkerCross-Functional Teams: Working with Allies, Enemies and other Strategies
6 Instructor Notes Multimedia Teams I: Making Teams Work
Multimedia Teams I: Making Teams Work
Learning Objectives
Participants in this workshop will be able
1. To identify the key elements of successful teams,
2. To explore roles and responsibilities of team leaders and members,
3. To listen for understanding and to speak in ways that build agreement,
4. To develop skill in providing peer resource assistance to team members, and
5. To identify appropriate decision-making methods for team use.
Entry Behaviors and Characteristics
1. Participants are regulatory personnel (federal, State, or local) involved inpermitting, compliance inspections, and/or enforcement.
2. Participants are willing to participate in group exercises or discussions.
3. Participants have had some experience working on project teams or in smallgroups with colleagues, and are interested in how to improve the effectivenessof these teams.
4. Participants will likely have expertise in one environmental medium, but theymay not have dealt with facilities on a multi-media, sector oriented basis.
Performance Objectives
Participants in this workshop will be able
1. To identify the key elements of successful teams and how to improve a team’sfunctioning.
2. To define roles and responsibilities of team leaders and members.
3. To listen for understanding and to speak in ways that build agreement.
4. To develop skill in providing peer resource assistance to team members.
5. To select appropriate decision-making methods for team use.
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 7
Multimedia Teams I:Making Teams Work
Learning Objectives
Participants in this workshop will be able
1. To identify the key elements of successful teams,
2. To explore roles and responsibilities of team leaders and members,
3. To listen for understanding and to speak in ways that build agreement,
4. To develop skill in providing peer resource assistance to team members, and
5. To identify appropriate decision-making methods for team use.
Entry Behaviors and Characteristics
1. Participants are regulatory personnel (federal, State, or local) involved inpermitting, compliance inspections, and/or enforcement.
2. Participants are willing to participate in group exercises or discussions.
3. Participants have had some experience working on project teams or in smallgroups with colleagues, and are interested in how to improve the effectivenessof these teams.
4. Participants will likely have expertise in one environmental medium, but theymay not have dealt with facilities on a multi-media, sector oriented basis.
Instructor Notes
8 Instructor Notes Multimedia Teams I: Making Teams Work
Target Audience This program is designed for those individuals who are beginning to work on
teams or have been working on teams but with no formal training in team skills.
It is designed for participants who have expertise in one environmentalmedium, and have been or will be increasingly working with colleagues onteams with expertise in a medium other than their own.
Course length 6 hrs including (2) 15 minute breaks
Number of participants 20
Room Set-Up A room large enough to accommodate a U shape set-up with participants
sitting around the perimeter is ideal for discussion and participant involvement.
The breakouts (4 teams of five) can occur at the four corners of the U, using both
sides of the tables. If the room will not accommodate this arrangement, you will
need space for two teams to work in the main presentation room and another
classroom that will two teams to work separately without interfering with each
other.
Supply Materials neededOverhead projector and screen2 flipcharts: one to the left and right of the open space in the UColored markersMasking TapeProgram Materials Needed:Overhead SlidesHandout packets for each participant (20)2 page handout of directions and supply list forMountain Adventure Exercise (20)Do not duplicate answer sheetProgram Evaluation sheet (20)
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NotesParticipant Notes
Multimedia Teams I: Making Teams Work 9
Performance Objectives
Participants in this workshop will be able
1. To identify the key elements of successful teams and how to improve a team’sfunctioning.
2. To define roles and responsibilities of team leaders and members.
3. To listen for understanding and to speak in ways that build agreement.
4. To develop skill in providing peer resource assistance to team members.
5. To select appropriate decision-making methods for team use.
Instructor Notes
10 Instructor Notes Multimedia Teams I: Making Teams Work
Agenda
Module Approximate Time
1 Program introduction 45 min
2 Pet peeves on teams 30 min
3 Differentiating teams and teamwork 10 min
Break 15 min
4 Key elements: Task, Process, Relationships 65 min
5 Setting goals and developing action plans 15 min
Lunch
6 Focusing the afternoon session 10 min
7 Communication skills on teams 10 min
8 A team exercise 70 min
Break 15 min
9 Teaching and learning on the team 25 min
10 Decision-making on the team 25 min
11 Conclusion and summary 15 min
Plus/Delta 10 min
Total 6 hrs.
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 11
Agenda
Module
1 Program introduction
2 Pet peeves on teams
3 Differentiating teams and teamwork
Break
4 Key elements: Task, Process, Relationships
5 Setting goals and developing action plans
Lunch
6 Focusing the afternoon session
7 Communication skills on teams
8 A team exercise
Break
9 Teaching and learning on the team
10 Decision-making on the team
11 Conclusion and summary
Plus/Delta
Instructor Notes
12 Instructor Notes Multimedia Teams I: Making Teams Work
Some suggestions for the trainer
1. This program is designed to be highly interactive and to build on theexperiences of the participants. The “lecturettes” are contained in quotationmarks. Seek to draw out information from the group, and build the learningfrom the knowledge and experiences of teams they already have.
2. During the training day, reinforce those issues you have heard the participantsidentify as important to them.
3. When good questions are asked, open them for the group to respond ratherthan giving you own opinion first.
4. Be willing to go with the flow if it meets the learning objectives for the program.
5. If comments or discussion are taking the class away from the learningobjectives, acknowledge the importance of the comment or issue to theparticipant. Then refocus on the program agenda and goals, and proceed. (Youare modeling how to get things back on track at team meetings as well as atraining class.)
6. Prepare any flipchart information before the program begins.
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 13
1Module 1
Basic Definitions
Group:A collection of individuals who have something in common.
Team:A group of people who work in concert to achieve a shared goal.
Successful Team:A team that achieves its desired results, manages to work processes well, andmaintains functional team member relationships.
Program introduction
Instructor Notes
14 Instructor Notes Multimedia Teams I: Making Teams Work
Module 1 Program Introduction
a. In introducing yourself, tell something about yourself -
particularly your experience working on teams, consulting to
teams, teaching team skills, etc.
b. Introduce the focus of today’s program: Working on
Multimedia Teams.
Our beliefs and understandings of teams goes back to when
we were children. Ask participants to remember entering a
playground with a number of games going on. What were the
questions going through their heads? Record on a flipchart:
What is the game we are playing?
How do you win?
What are the rules?
How do you play?
Is this any fun?
Who are these kids?
Do I like playing with these guys/gals?
Ask participants to think about how many of these same
questions are relevant to our participation on teams today
(project teams, intact teams, management teams). This is the
purpose of our workshop today: to review and learn how to be
effective and responsible team members.
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????
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 15
Module 1
Working on multimedia teams
Our beliefs and understandings of teams goes back to when we were childrenentering the playground. Some basic questions would come to mind:
What is the game we are playing?How do you win?What are the rules?How do you play?Is this any fun?Who are these kids?Do I like playing with these guys/gals?
How many of these questions are relevant to our participation on teams today?
Purpose of Today’s WorkshopTo review and learn how to be effective and responsible team members.
Instructor Notes
16 Instructor Notes Multimedia Teams I: Making Teams Work
Flipchart: Agenda
Review the agenda and then post somewhere in the room.
c. Participant Introductions
On teams people want to know who you are. Introductions are
an important part of how team activity begins. Do not assume
everyone knows each other. For this workshop we will
introduce ourselves by
Flipchart: Name
Position
Bureau/Division
One thing you want to learn about teams
Go around the room with each person introducing himself or
herself in turn. Record the learning needs on the flipchart.
Place a check next to any item mentioned more than once.
d. Review with the participants the instructional goals found in
the participant manual on p. 9.
Flipchart: Goals
e. Review with participants the Agenda for the day, giving the
flow of the program and indicating at what time the group will
break for lunch and breaks. This is a good time to also
introduce any “housekeeping” details regarding phone access,
restrooms, etc.
Module 1
????
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 17
Module 1
What do I/we want to learn about teams?
Instructor Notes
18 Instructor Notes Multimedia Teams I: Making Teams Work
f. Guidelines for Working Together
(Propose the following ground rules, and ask the class to add
other ground rules based on their experiences within training
program. )
1. Listen to other’s points of view.
2. Be open to change/new ideas.
3. One person speak at a time.
4. Respect other’s opinions.
5. Keep our objectives in mind.
6. Attack the problem and not the people.
7.
8.
g. Personal Invitation from the Instructor
Issue an invitation similar to the following:
“Today we have an opportunity to work together. This program
will only be as good as your willingness to participate. Today I
invite you to be on my team: to get on the court and not just
be in the stands.”
????
Module 1
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 19
Guidelines for working together
1. Listen to the other’s point of view.
2. Be open to change/new ideas.
3. One person speak at a time.
4. Respect other’s opinions.
5. Keep our program objectives in mind.
6. Attack the problem and not the people.
7.
8.
Module 1
Instructor Notes
20 Instructor Notes Multimedia Teams I: Making Teams Work
Module 2 Pet Peeves on Teams
Give participants the following instructions:
“Since most of us have had some experiences working on
teams, let’s start with talking about your ‘pet peeves’. Think of
any of the experiences from previous jobs to the present when
the work on the team did not go well. There is no need to
mention people or the specific project. Choose one other
person, and take the next five minutes discussing together
your ‘pet peeves in working on a team. Also, choose one
person to record the ideas. ’”
After the pairs have finished their discussions, create a list by
going around and asking each participant to share one idea
about a pet peeve.
When you have gone around the room once, ask the recorder
in each pair to report out one new idea from their discussion
(no repeats). Write the pet peeves on a flipchart.
Summary Indicate to participants that pairing is a quick way to get many
ideas generated in an efficient and effective manner, and they
may want to use it on their working teams.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
????
Participant Exercise
Multimedia Teams I: Making Teams Work 21
Module 2
Pet peeves when working on teams
Think of any experiences from previous jobs to the present when you have been working on a team. Whatbehaviors or situations particularly irritate you?
1Pet peeves on teams
Instructor Notes
22 Instructor Notes Multimedia Teams I: Making Teams Work
Module 3 Differentiating Team vs. Teamwork
“In our work experience we have participated or led a variety of
work groups, task forces, and project teams. It is important for
our work today to differentiate what we mean by ‘teams’ vs.
‘teamwork.’ These terms can cause confusion.”
Overhead 1: Team (read definition)
Emphasize that if you throw people together without a clear
goal and without authority they will have little likelihood of
success.
Overhead 2: Teamwork (read definition)
Emphasize that teams use teamwork, but there are other
groups and meetings that count on this kind of interaction
among the members to be successful. Relate these concepts to
anything you know about how teams have worked
successfully or struggled in the organization where this
training program is being presented.
Summary: “Now that we are clearer about the definition of teams and
teamwork, let’s look at the key elements of successful teams.”N
ext…
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj1
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 23
Module 3
Teamworkoverhead 2
A style of working together that values:
■ Listening to each other
■ Recognizing various interests/interdependencies
■ Building agreement
■ Providing support
■ Acknowledging accomplishments and contributions
Teamoverhead 1
A small group of people
■ Committed to a common purpose
■ With defined goals
This group is mutually accountable
■ For achieving the goals
■ And for how they work together
Differentiating teams and teamwork
Instructor Notes
24 Instructor Notes Multimedia Teams I: Making Teams Work
Module 4 Task, Process, Relationship
“The better we understand the key elements in effective team
functioning, the more able we will be to contribute as a team
member or provide leadership for the team.”
Ask participants to turn to participant notes, pg. 25, “Previous
Team Experiences or Observations,” and take the next five
minutes to record what has worked well and contributed to
your successful experiences on teams, what hindered the
effectiveness on teams, and any impasses that totally disabled
the team.
After five minutes, ask the participants to set aside their ideas
for a moment, while you introduce them to a model for
working on teams.
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ParticipantExercise
Participant Exercise
Multimedia Teams I: Making Teams Work 25
Previous team experiences or observations
Think back to teams or projects that you have worked on, and record the following:
What worked well and contributed to the team’s success?
What hindered the effectiveness of the team?
Were there any impasses that disabled the team?
2Module 4Key elements: Task, Process, Relationships
Instructor Notes
26 Instructor Notes Multimedia Teams I: Making Teams Work
Module 4
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Task
Process Relationships
Flipchart: Write the model for the three key elements for
successful teams on a flipchart.
Use a triangle with Task at the top, process at the lower left,
and relationships at the lower right. Make the point that if any
of these key elements are weak, the effectiveness of the team
is in jeopardy.
Provide a definition of each major element, and examples of
each.
Task: What the team does
■ What is the team supposed to accomplish in general?
(i.e., product, recommendation, policy, etc.)
■ What is the team trying to accomplish at this particular
meeting? (i.e., solve a problem, plan an event, identify policy
changes, etc.)
Process: How the team goes about its work
■ What methods is the team using to get the work done? (i.e.,
agenda, discussion, defined time limits, research and report,
brainstorming, consensus decision making, etc.)
Relationships: How the team members interact with each other
■ What needs to occur between people for this experience on
the team to be a satisfying one? (for example, people
introduced to each other, non-contributor invited to
participate, conflicts recognized and addressed, people
listen to each other)
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 27
Module 4
Task
Process Relationships
When are teams successful?
Effective teams pay attention to three key elements.
Task: What the team does■ What is the team supposed to accomplish in general? (ie, product, recom-
mendation, policy, etc.)■ What is the team trying to accomplish at this particular meeting? (solve a
problem, plan an event, identify policy changes, etc.)
Process: How the team goes about its work■ What methods is the team using to get the work done? (i.e., agenda,
discussion, defined time limits, research and report, brainstorming, con-sensus decision making, etc.)
Relationships: How the team members interact with each other■ What needs to occur between people for this experience on the team to be
a satisfying one? (i.e., people introduced to each other, non-contributorinvited to participate, conflicts recognized and addressed, people listen toeach other)
Instructor Notes
28 Instructor Notes Multimedia Teams I: Making Teams Work
Module 4
????
Note that if at any point a team is not working well, this model
allows team members to look at the team and ask themselves:
■ are we clear about the task?
■ are the processes we are using effective to accomplish
the task?
■ are we paying attention to what is happening between
people?
“Now let’s look at your experience on teams.” Ask participants
to refer to the notes that they have just completed about their
experiences on teams, in order to categorize their descriptions
of successful team dynamics according to Task, Process, or
Relationship.
Ask for a few examples, and illustrate how to decide which
category is appropriate.
Ask participants to get in groups of five. Group members will
have fifteen minutes to share experiences of working on an
effective team or work group. The group decides for each idea
if it belongs under the key element of task, process, or
relationship.
All group members should record their categorizations on
page 29 under Task, Process, and Relationship. In addition, one
participant must be willing to report out for each group.
Nex
t…
Nex
t…
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ParticipantExercise
Participant Exercise
Multimedia Teams I: Making Teams Work 29
Module 4
Elements of working on an effective team or group
Task
Process
Relationship
3
Instructor Notes
30 Instructor Notes Multimedia Teams I: Making Teams Work
Module 4
After fifteen minutes, ask participants to shift their attention to
what was happening on teams where things were not working
well or something was hindering the teams effectiveness (Note
that they may even find some ideas in the pet peeves they
identified earlier). Ask participants to discuss what hindered
the group, and then decide what was needed to make the
team more effective. Give participants ten minutes to
categorize each idea under task, process, or relationship and
record their categorization in the worksheet for Participant
Exercise 4.
Reconvene the large group. Ask each group for two ideas (no
repeats)about what successful teams do to address task issues.
When finished, elicit ideas about process, then relationships.
Do not write them on a flipchart, but encourage participants to
take notes in the appropriate column if they hear ideas not
presented in their own group. Do not struggle with the
attendees about a particular category, but rather focus on how
important it is that they identified the appropriate issue.
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ParticipantExercise
????
Participant Exercise
Multimedia Teams I: Making Teams Work 31
Module 4
Elements of working on an ineffective team or group
Task
Process
Relationship
4
Instructor Notes
32 Instructor Notes Multimedia Teams I: Making Teams Work
Ask:
“Which of these key elements are the responsibility of the
leader ?”
“Which of these key elements are the responsibility of the
participants?”
*Challenge the assumption that most of these issues are the
responsibility of the leader and encourage that all team
members assume responsibility for the task, process and
maintaining relationships. Refer back to pet peeves if
appropriate. It is common for participants to believe that the
leader is responsible and to be angry when the leader does
not “fix” it. Highlight how team members can help the team to
address issues that will increase its success.
Ask participants to reflect for a moment on your involvement
in this group activity (they do not have to say anything out
loud).
”How much were you on the court?” (pause)
”How much were you in the stands?”(pause)
”What attracted you or kept you on the court”?(pause)
”If you were in the stands, what was needed to bring you on the
court?”(pause)
”What is one thing you would be willing to be more
accountable for at the next team meeting you attend?”
Conclude this Module by reading Overhead 3 (“Team Success
Depends Upon…”).
Module 4
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj3
????
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 33
Module 4
Team Success Depends Upon…overhead 3
■ Achieving Our Goal or Objectives
■ Effective Processes for Getting the Work Done
■ Relationships that build mutual respect and rapport
Each Team member is responsible for the success of each dimension.
Instructor Notes
34 Instructor Notes Multimedia Teams I: Making Teams Work
Module 5 Setting Goals and DevelopingAction Plans
Introduce this Module with a statement similar to the
following:
“I would like to say a few things about goals. You mentioned
how important clear goals were when talking about the tasks
that get completed by the team. Here are some characteristics
of goals that are “S.M.A.R.T.” (that is, they help get the task
done).”
Overhead 4: Smart Goals
Review the “S.M.A.R.T.” acronym as explained on Overhead 4.
Give examples of SMART Goals:
■ By January 1 I will lose 10lbs, and walk a mile in less than 20
minutes (rather than I would like to get into shape).
■ By December 15 we will have a procedure developed for
conducting multimedia interviews with a specific industry
(rather than we need interview guidelines for working with
multimedia issues).
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj4
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 35
Module 5
S.M.A.R.T. Goalsoverhead 4
■ Specific
■ Measurable
■ Attainable
■ Relevant
■ Time-trackable
Setting goals and developing action plans
Instructor Notes
36 Instructor Notes Multimedia Teams I: Making Teams Work
“To achieve the goals, the team needs to build an action plan.
And since often there are multiple goals you may need a plan
for each goal. It is important that all members of the team
contribute/comment on the action plan so that a realistic
timetable for work can be developed.”
Refer participants to Participant Handout 4, “Creating a Team
Focus,” on p. 37. Review the three main items on the handout.Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
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ParticipantHandout
Module 5
Multimedia Teams I: Making Teams Work 37
Participant Handout
Creating a Team Focus
1. What is the team’s charter or mission?
2. What are the team’s goals?
I.
II.
III.
3. To achieve the goals, what specific action plans/steps need to be created or taken?
Goal IAction Plan
1.
2.
3.
4.
Goal IIAction Plan
1.
2.
3.
4.
4Module 5
Instructor Notes
38 Instructor Notes Multimedia Teams I: Making Teams Work
Module 5
Refer participants to Participant Handout 5, “Action Plan
Worksheet,” on p. 39. The Worksheet is a useful way to record
who will be completing a task and when it will be completed.
Note that if obstacles and barriers are encountered, team
members should be encouraged to bring these issues back to
the team rather than struggling with them alone.
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ParticipantHandout
Multimedia Teams I: Making Teams Work 39
Participant Handout
Action Plan Worksheet
An action plan is a prioritized checklist of what must be done to accomplish the stated goal.
Goal:
Actionstep/Task Who Assigned Completion Date Result
Module 5
5
Instructor Notes
40 Instructor Notes Multimedia Teams I: Making Teams Work
Review Overheads 5 and 6. Examples of stakeholders are the
internal leadership team, EPA, governor’s office, citizens’ groups,
private industry councils, etc.
“If goals and an action plan are developed early on, they can be
presented to key stakeholders for approval or confirmation
that the team is heading the an appropriate direction.”
“It is easy for a team to have an entirely different concept from
management or its stakeholders of what needs to be done and
how to do it. Seeking buy-in before the team is too far along
reduces the possibility that the end points will be
unsatisfactory or meet debilitating resistance.”
Discuss how a team can identify all the stakeholders. First, a
review of everyone who may be significantly involved with the
work of the team and their roles can be useful. These people
are often not on the team, but will be interacting with team
members; some have decision making authority for the
agency.
Note that different team members may have different ideas
about who has authority within the team, which stakeholders
have decision making authority and which stakeholders have a
“comment only” involvement (Overhead 7). Second, it is
important for the team to clarify not only who the
stakeholders are, but if any of these stakeholders have decision
making authority or need to be kept informed. Frequently
there is confusion about the authority to make decisions. It is
best to bring these issues to the surface and get clarity while
the group is working, rather than risk a team seeing its work
undone at the end of the process because a key decision-
maker was not brought into the process early enough.
Module 5
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj5
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj6
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj7
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 41
Module 5
Stakeholdersoverhead 5
* Stakeholders are all those individual people or groups who may be
significantly impacted by the outcome of the group’s efforts.
Examples of Stakeholders:overhead 6
■ Internal leadership team
■ EPA
■ Governor’s office
■ Citizens’ groups
■ Private industry councils
Decision Making Authorityoverhead 7
■ Within the team
■ From Stakeholders
Get clarity early in the group’s work on levels of input and decision making.
Instructor Notes
42 Instructor Notes Multimedia Teams I: Making Teams Work
Module 5
Optional: If there is time, ask participants: Have you had some experiences(positive or negative) that have led you to understand theimportance of including key stakeholders in the setting of goals orthe developing of action plans?
Conclusion: Just before lunch read the “Ralph and the Gophers” story aloudto the participants (ask them to turn to Participant Handout6). Ask participants to be prepared to interpret it for you. Thestory can be prefaced with a remark that some environmentalmeetings sound like the “Ralph” story. This humorous storyreinforces the importance of knowing the goals in order forthe strategies to make sense.
“Ralph’s team first let loose a pack of gophers. The planbackfired when a dog chased them away. They then threw aparty but the guests failed to bring their motor cycles.Furthermore, Ralph’s stereo system was not loud enough. Theteam spent the next day looking for a Peeping Tom in theYellow Pages. It was the installation of the blinking neon lightsacross the street that finally did the trick. And Ralph framed theads from the classified section where the team found the neonlight company. Ralph now has the framed ad hanging on hiswall.”
Ask participants:
Did you understand the words? Was the grammar accurate?
“Oh, I guess I left out one important point... Ralph was trying toget rid of his obnoxious neighbors.”
Reread the story. Ask participants what was missing (answer:the goal or objective). Note that the goal tells us why we aredoing what we are doing right now.
*When announcing lunch, remind participants that effectiveteams begin and end on time, and ask them to reconvenepromptly.
Lunch
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ParticipantHandout
????
Nex
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Multimedia Teams I: Making Teams Work 43
Participant HandoutModule 5
“Ralph and the Gophers”
“Ralph’s team first let loose a pack of gophers. The plan backfired when a dogchased them away. They then threw a party but the guests failed to bring theirmotor cycles. Furthermore, Ralph’s stereo system was not loud enough. The teamspent the next day looking for a Peeping Tom in the Yellow Pages. It was the instal-lation of the blinking neon lights across the street that finally did the trick. AndRalph framed the ads from the classified section where the team found the neonlight company. Ralph now has the framed ad hanging on his wall.”
What is missing here?
6
Instructor Notes
44 Instructor Notes Multimedia Teams I: Making Teams Work
Module 6 Focusing the Afternoon Session
Review what was covered in the morning: the importance of
understanding task-process-relationships in working on teams,
and the importance of developing goals and action plans with
the input of key stakeholders so the team members know
where they are and where they are going.
Ask participants to reflect for a moment on their involvement
in this morning’s group activities. Ask them:
■ How much were you on the court?
■ How much were you in the stands?
■ What attracted you or kept you on the court?
■ If you were in the stands, what was needed to bring you on
the court?
Outline for participants the three parts of the afternoon
portion of this training course:
■ An exercise to illustrate the value of team functioning when
dealing with complex tasks.
■ Examination of their role both as teacher and learner when
they bring their media expertise to the team.
■ Focus on a variety of decision making methods that can
help the team move its work forward.
Nex
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NotesParticipant Notes
Multimedia Teams I: Making Teams Work 45
Module 6
Individual reflection on the morning’s group activities:■ How much was I on the court?■ How much was I in the stands?■ What attracted me or kept me on the court?■ If I was in the stands, what was needed to get me on the court?
Coming-up for the remainder of the day:■ An exercise to illustrate the value of team functioning when dealing with
complex tasks.■ An examination of one’s role as both a teacher and a learner when bring one’s
expertise to a team.■ A focus on a variety of decision-making methods that can help the team move
its work forward.
Focusing the afternoon session
Instructor Notes
46 Instructor Notes Multimedia Teams I: Making Teams Work
Module 7 Communication Skills on Teams
Ask participants to think about team leaders and team
members who are most valuable on teams. In addition to
bringing expertise to the task, the most valuable team
members bring three process skills to the work. They know
how to:
(write on flipchart)
■ Listen
■ Speak Up
■ Build to Agreement
(Keep this flipchart visible during the team exercise that
follows.)
Explain each of these process skills:
■ Active listening means paraphrasing and clarifying, and
asking questions that explore for understanding rather than
criticize.
■ Speaking up means saying what is on one’s mind in a direct
way (rather than waiting and wishing the conversation
would go in a different direction).
■ Building to agreement means intentionally building links
and looking for similarities. Point out that for engineers, the
attention to detail frequently makes them look critically at
ideas and break them apart looking for ways that things will
not work. This talent makes them do their work well, but it
can make life on a team difficult if they do not also learn
how to build for agreement.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
????
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 47
Module 7
Communication Skills on the Team
■ Listen
■ Speak up
■ Build agreement
Communication skills on teams
Instructor Notes
48 Instructor Notes Multimedia Teams I: Making Teams Work
Module 8 A Team Exercise
Introduce the Mountain Adventure Survival Exercise on p. 49
in the following manner:
“I have a task that you are going to be asked to do individually
and then to work on as a team. You will have ten minutes to
work on the task individually and then I am then going to ask
you to join your team and work together for 20 minutes.”
Assign participants to teams with five or six members per
team. One method is to have each person count off 1,2,3,4, for
the number of teams you will need to accommodate everyone
in the class. All the 1’s become Team 1, all 2’s become Team 2,
etc. Designate at which corner of the room or in which
breakout room the teams will gather. Do not let the
participants go to their team location until you have reviewed
the instructions and they have completed their individual
tasks.
Read the instructions aloud for the whole group. Ask the
participants to complete the exercise individually without
discussing it with anyone else.
After ten minutes ask participants to stop, and instruct them to
join their teams and do the task as a group. Reinforce that the
goal stays the same — to choose those items they will carry
with them off the mountain. Remind them of the process skills
that make for good team communication, which are posted on
the flipchart (listen, speak up, and build for agreement.) Tell
them they will have twenty minutes to work together.
Give a two minute alert before the twenty minutes are up.
Because the group will be eager to know the correct answers,
read the correct list aloud, and indicate the rationale provided.
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ParticipantExercise
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Participant Exercise
Multimedia Teams I: Making Teams Work 49
Module 8
Mountain Adventure
You are members of a mountaineering expedition to the top of Mount McKinley in Alaska (20,320 feet).You are about halfway to the peak. A snow slide has injured two team members and a storm is moving in.
The group has decided to stay where it is.
One of you has volunteered to start down for help. You believe he/she can make some progress before thestorm hits. He/she will have to bivouac (spend the night on the mountain alone). The volunteer must travelquickly and therefore lightly.
He/she can carry 14 items. As a group, select the items he/she should take with him/her from the 37 items he/she is now carrying.
Assume that he/she will also be carrying all of the essential climbing gear, including ropes, slings, ice ax andhammer, climbing harness, rock pitons, etc.
He/she is wearing:Plastic climbing boots with padded innersGaiters (to keep snow out of boots)Fleece jacketFleece trousersFleece Balaclava hatWaterproof mittens with fleece linersThermal underwearSocks
Select 14 items from the following list:Shovel TarpWaterproof trousers Large polythene bag (big enough for a person toSki Poles get into)Compass SunglassesLight propane stove Bivouac Brush (for brushing snow off clothes andCooking pot sleeping bags)Swiss Army knife Hand flaresLarge tin mug Instant food packsSpoon SunscreenToilet paper Spare mittsMap GlovesDown sleeping bag with waterproof exterior CameraAltimeter FilmPad for sleeping bag MatchesTent WhistleWindproof jacket with hood Wineskin with wineFirst Aid Kit Chocolate barsPied d’elephant (half a sleeping Water bottle bag to cover lower limbs) Hot chocolate in packagesHeadlamp with lithium batteries Pencil and paper in polythene bag
A team exercise
Instructor Notes
50 Instructor Notes Multimedia Teams I: Making Teams Work
Module 8
Mountain Adventure: The solution
Tell participants that experts recommended the following 14
items:
compass
map
instant food packs
headlamp with lithium batteries
sunglasses
sunscreen
down sleeping bag with waterproof exterior
water bottle
propane stove
large tin mug
Swiss army knife
matches
waterproof trousers
windproof jacket with hood
Tell participants that experts used the following decision
making criteria in selecting items in this type of
mountaineering situation:
■ keeping dry
■ keeping warm (maintaining internal body temperature)
■ knowing where you are
■ ensuring you are prepared for possible damaging sun or
snow glare
Note: wine should not be on the list because alcohol worsens
hypothermia
Participant Exercise
Multimedia Teams I: Making Teams Work 51
Module 8
Mountain Adventure Exercise Worksheet
The 14 items I select are: (individual exercise)
1. 2.
3. 4.
5. 6.
7. 8.
9. 10.
11. 12.
13. 14.
The 14 items we select are: (group exercise)
1. 2.
3. 4.
5. 6.
7. 8.
9. 10.
11. 12.
13. 14.
Instructor Notes
52 Instructor Notes Multimedia Teams I: Making Teams Work
Ask participants: which team had all the correct items? How
many were off by one item? By two items? Etc. This will let you
know how much success each of the groups had.
Ask participants to turn to the discussion questions on page
53 of their manuals and to spend 10 minutes with their teams
discussing the questions.
Ask each team to share two learnings from its experience
working together. Remind participants that we can learn from
what did not work well as well as from what was done
effectively.
Record learnings on the flipchart. Reinforce and clarify any
content learned earlier. If teams got stuck in the task, ask the
large group what they might have recommended for the team
to do to get unstuck. Draw comparisons to how the same
dilemmas present themselves in everyday team work.
Note that the members of any team should ask themselves:
■ How am I contributing on this team?
■ What am I wishing would happen? Am I willing to act to
make the team aware of what I believe is needed?
Pose the following questions to participants(they do not need
to answer out loud):
How did you contribute to the team task in the Mountain
Adventure Exercise? What did you observe about yourself on
this team and how does it fit with what you know about how
you behave on other teams at work?
Break
????
Module 8
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Multimedia Teams I: Making Teams Work 53
Participant HandoutModule 8
Questions for Discussing the Team Exercise
Do you feel your team was successful? Why?
How well did the team complete the task?
How well did the team attend to its process?
Listening to each other
Speaking up
Building for agreement
How did the team deal with its differences?
Who assumed the leadership role?
Did the leadership shift during your work together?
What other roles emerged on the team to deal with the task and the process?
Did these roles help or hinder the process?
How were the decisions made?
How did you know when you were finished?
If you worked on a similar team task, what would you do differently?
7
Instructor Notes
54 Instructor Notes Multimedia Teams I: Making Teams Work
Module 9 Teaching and Learning on the Team
This Module focuses on the importance of becoming a peer
resource and an assertive learner on the multimedia team.
“When you come to work on a multimedia team, you will be
bringing your expertise and years of working experience in a
single media. You know the regulations, the alphabet soup,
how the laws have changed over time, etc. But others on the
team may not have your wealth of experience and possess a
background in a totally different media.
The challenge is for you to become a teacher in those areas in
which you have expertise, and for you to become an assertive
learner in those areas in which you need to build your
competence. Your team meetings will only be as successful as
your willingness to be a peer resource in your area of expertise.
It becomes your job to teach.”
Display and review Overhead 8.
Identify a work-related location (waste site, EPA location,
industrial polluter, etc.) at some distance from where you are
holding the training (a little complexity helps the exercise).
Ask the group: Is there anyone here who does not know how
to get to ?
Ask this person if he/she would be willing to volunteer to be
our learner for this exercise.
Ask the group: Who can provide directions for this person to ?
Ask both volunteers to come to the front of the room so
everyone can see and hear. Tell the two volunteers to “just go
ahead.” Provide no instructions. Allow the volunteers ten
minutes to do the exercise in whatever way they wish. If they
ask for guidance, respond, “do anything you think would be
useful.”
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj8
????
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 55
Module 9
The Peer Resource Relationshipoverhead 8
What Is It?
A relationship between a guide or mentor and a learner. The goal of the
relationship is for the mentor(with an area of expertise) to help the learner
learn new information or skills.
At any point in time we may be either the peer resource or the learner.
“Communicate with the other person that which you would want communicated
if your positions were reversed.” —Aaron Goldman
Teaching and learning on the team
Instructor Notes
56 Instructor Notes Multimedia Teams I: Making Teams Work
Interrupt the process and say “Let’s stop here.” Thank the
volunteers and ask them to return to their seats.
Ask the large group:
■ What did the “teacher” do that helped the learning?
1. Record on a Flipchart: Tips for being a Peer Resource
Suggest that participants take notes in their workbooks as you
chart the responses. If a disagreement arises over a suggested
tip, note that we tend to blame teachers for inadequate
learning. However, the goal is also to become an assertive
learner so that our teachers give us all we need to easily grasp
the information. It is important to take responsibility for what
we need even if the teacher is not giving information to us in
the right way.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Module 9
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 57
Tips for peer resources: the teacher
1.
2.
3.
4.
5.
6.
Tips for the assertive learner
1.
2.
3.
4.
5.
6.
Module 9
Instructor Notes
58 Instructor Notes Multimedia Teams I: Making Teams Work
2. Ask a second question:
What did the learner do to get his/her learning needs met?
What might he/she have done?
Record on a Flipchart: Tips for the Assertive Learner
Next, write the following on a new sheet of flipchart paper:
“Regardless of whether you are the learner or the peer
resource, you are 100% responsible for the learning.” (Aaron
Goldman)
Note that we each must be fully responsible for learning to
occur, instead of counting on a 50–50 sharing, because not
everyone may do the job equally well.
Reiterate that this exercise was a simple way to have
participants pay attention on the importance of two way
communication and the need to ask for feedback.
In summary, review Overhead 9, “Methods for Peer Resources
(concepts)”, and Overhead 10, “Methods for Peer Resources
(skills).”
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Module 9
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj10
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 59
Module 9
Methods For Peer Resources — Conceptsoverhead 9
When teaching concepts/knowledge:
1. Introduce the concept WIIFM — What is in it for me to know this
information?
2. Assess current level of understanding
3. Explain the concept
4. Test the learner or ask for the learner to communicate their understanding
of the concept. Provide feedback and clarification to increase
understanding.
5. Summarize
Methods For Peer Resources — SkillsOverhead 10
When teaching a skill:
1. Introduce the skill WIIFM —What is in it for me to be able to do this?
2. Assess previous experience using the skill
3. Demonstrate the skill
4. The learner practices the skill
5. Provide feedback and coaching on mastering the skill
6. Summarize
Instructor Notes
60 Instructor Notes Multimedia Teams I: Making Teams Work
Module 10 Decision-Making on the Team
Note for participants that the training has covered the
components of being on a team and teaching and learning,
and it is focusing finally on decision-making.”
Display Overhead 11, “Four Methods of Decision Making.”
Decribe each method and give an example.
Authoritative
■ The leader is usually the decision maker; however, an
authoritative team member can also become controlling
and insist that his or her recommendation be followed.
Example: “The conference will be held on the last weekend
of October. Be there!”
Consultative
■ Polls individuals and makes the decision using the
information collected.
■ This can occur either within or outside of the team meeting.
Example: “I have talked to each of the committee members
and heard recommendations to hold the conference on the
last two weekends in October. There was compelling
information that we would not be competing with other
event dates if we went with the last weekend in October.”
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NotesParticipant Notes
Multimedia Teams I: Making Teams Work 61
Module 10
Four Methods of Decision Makingoverhead 11
■ Authoritative
— Decide and announce
— Discuss, decide and announce
■ Consultative
— Polls individuals and decides
— Polls the team and decides
■ Majority
— Team votes
■ Consensus
— Team decides on an option that all can support
Decision-making on the team
Instructor Notes
62 Instructor Notes Multimedia Teams I: Making Teams Work
Majority
■ Team members vote and choose the option receiving more
than half of the votes.
Example: “We have three recommendations for our weekend
conference: the last weekend in October, and the first or
second weekend in November. Each of you may vote for the
weekend you prefer. We will total the votes and the weekend
with more than half will be our choice. If necessary we will
take the top two selections, and vote a second time.”
Consensus
■ The team finds an option that all can support, even if it is not
the first choice of some team members.
Example: “We need to come to agreement about the dates
and location of our conference. Let’s talk about the
possibilities and see if we can come to an agreement about
the date. It is important that we make our decision on those
factors that are critical to our conference success.”
Refer participants to page 63 in their Manuals for “Consensus
Guidelines.” Instruct participants to read guidelines.
Module 10
Nex
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ParticipantHandout
Multimedia Teams I: Making Teams Work 63
Participant HandoutModule 10
Consensus Guidelines
Seek to understand; Ask clarifying questions.
Express your point of view.
Try not to talk others out of their opinions.
Listen hard to opposing viewpoints.
Make sure everyone gets “air time.”
Consider any parameters on the decision that may be imposed by external forces.
Choose collaboration when you can; consider compromise when necessary.
Hold out if you don’t agree; try to modify a decision so that it is more acceptable toyou.
Don’t argue; agree to disagree.
Remember, you don’t have to be totally convinced a decision is right to go alongwith it.
Ask yourself: can I live with and support this decision?
8
Instructor Notes
64 Instructor Notes Multimedia Teams I: Making Teams Work
Ask participants to think about the Mountain Adventure
exercise. What method(s) of decision making were used by
their team?
(Frequently the teams will indicate that they used some
authoritative decision making because someone in their group
is a mountain hiker.)
Emphasize:
■ There is no intrinsically right or wrong method.
■ The goal is to use the decision making method that is most
appropriate to the situation.
■ The challenge to the leader and the team is to be intentional
and explicit about how they will make decisions, and then to
have the flexibility to change the decision making method
when the circumstances warrant.
Display Overhead 12, “When Selecting a Decision Making
Method.”
Module 10
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj12
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 65
Module 10
When Selecting a Decision Making MethodOverhead 12
Factors to consider in selecting a decision making method include:
■ The need for “buy-in”
■ History of the group’s operating methods
■ Types of issues that are on the table
■ Time it takes to reach a decision
■ Importance to team development
Multimedia Teams I: Making Teams Work 67
Participant Handout
Advantages and disadvantages of each of the four methods ofdecision making
Advantages Disadvantages
Authoritative
focus limited ownershiptime efficient prevents other inputdecision is achieved allows definition of agenda by one person
resentment over carrying out someone else’s decision
Consultative
different viewpoints taken into account costly and time-consumingget outside perspective participants feel pressured
process can be abusedresentment by those not consulted
Majority/Voting
quick and cost-effective encourages discussion to deathdemocratic faster may not be betterculturally based majority is not always rightencourages discussion blurs responsibility and encourages “group think”
there are losers
Consensus
issues are truly resolved watered-down decisiontotal buy-in some ideas may never be heardimproves commitment takes more timenot intended to be power-based easier to misinterpret final consensus
9
Instructor Notes
68 Instructor Notes Multimedia Teams I: Making Teams Work
Display Overhead 13, “Criteria For Decision Making: Criteria
Rating Chart.”
Explain that this is also an effective rating chart that can be
used by teams when making a decision.
It allows the team to make a decision using a defined set of
criteria. This chart can be useful when there are several
different proposals on the table, and a decision needs to be
made. The group first decides the criteria for making the
decision. If the criteria are not equal in value to the group, a
percentage value can be assigned to a specific criteria. The
total value of all criteria needs to equal 100%.
Optional: Demonstrate how to use the criteria rating sheet with
the example of buying a new vehicle (comparing a 4X4, a van, and
a station wagon). List those vehicles under consideration in the
side column. Across the top, put as many criteria as apply. The
criteria might include price under $25,000, seats 5 or more
passengers, gas mileage, hauls a boat, etc. But these criteria might
not be equal. The cost factor may be worth 55% and all other
criteria 15%. Or the ease of hauling the boat may be the
overriding factor. This type of chart allows one to make
comparisons as well as to assign a value to those comparisons.
(Do not include those criteria that are important and are met by
all the vehicles under consideration, such as air conditioning or
power windows).
Module 10
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj13
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 69
Module 10
Criteria Rating Chartoverhead 13
Decision Options Total 100%
Assign a percentage to each criteria. Criteria total 100%Rate each option against each criteria, assigning a value of the percentage.Total the score for each option
Criteria Rating Chart: Optional Exampleoverhead 13a
Criteria 1 Criteria 2 Criteria 3 Criteria 4Items underconsideration
Criteria 5
Instructor Notes
70 Instructor Notes Multimedia Teams I: Making Teams Work
Module 11 Ending a Team and Program Conclusion
Display Overhead 14, “When Ending a Team or Team Project.”
Emphasize the importance of teams’ celebrating their
successes and recognizing the contributions of individual
members. Emphasize the importance of teams’ reflecting on
what contributed to their success and what hindered their
performance so that individuals can continue to learn how
teams function effectively.
Tell participants that, to reinforce what they have learned
today, they are going to do one more activity.
“I would like you to acknowledge to yourself one thing you
already do well that contributes to your success on a team.
And I would like you to identify one learning or skill you
gained from today’s program that you are willing to apply to
your work on teams.”
There are two suggestions for how to share this
acknowledgment.
Option 1. Go around the room and have each person report
the one learning or skill they will make a commitment to use
while working on teams.
Option 2. Choose a partner and for one minute each, share the
one learning or skill they will make a commitment to use while
working on teams. (This takes less time.)
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj14
NotesParticipant Notes
Multimedia Teams I: Making Teams Work 71
Module 11
When Ending a Team or Team Project:overhead 12
■ Acknowledge individuals: recognize and celebrate accomplishments.
■ Document individual’s performance and contribution to team’s success for
inclusion in appraisal process (copy to employee and functional manager).
■ Summarize learnings with each other about what contributed or hindered
the team’s success.
Conclusion and summary
Instructor Notes
72 Instructor Notes Multimedia Teams I: Making Teams Work
Module 11
Evaluation: A paper evaluation form should also be provided so that
participants can note feedback specifically and confidentially.
Give participants time at the end of the course to fill in the
forms and collect them as participants depart the classroom.
Review/Closing
Large Group Exercise: Use a plus/delta evaluation to solicit
feedback on the training. In a plus/delta evaluation, the trainer
writes a plus sign at the top of one flipchart and a delta at the
top of a second. The plus (+) represents what worked in the
training and the delta (∆) represents what could be improved.
The trainer quickly reviews the agenda for the training and
then solicits remarks to put on the plus page and on the delta
page. Answers should be recorded in the appropriate column
and useful feedback should be incorporated into the next
course offering.
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+ ∆
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ParticipantWorkbookE V A L
Multimedia Teams I: Making Teams Work 73
Participant HandoutModule 11
Multimedia Teams I: Making Teams Work
Evaluation Form
Please complete all parts of this brief evaluation. Results will be used to improve this program. The goals ofthis training are: 1. to identify the key elements of successful teams, 2. to explore roles and responsibilities ofteam leaders and members, 3. to listen for understanding and to speak in ways that build agreement, 4. todevelop skill in providing peer resource assistance to team members, and 5. to identify appropriate decision-making methods for team use. Please rate the following elements of today’s workshop, both in terms of theirusefulness in reaching the instructional goal and their overall quality. Please provide written comments in thespace provided to explain your rating or to offer suggestions for improvement.
1. Program Introduction
Comments:
2. Pet Peeves on Teams
Comments:
3. Differentiating Teams vs Teamwork
Comments:
4. Task, Process, Relationships
Comments:
5. Setting Goals and Developing Action Plans
Comments:
6. Focusing the Afternoon Session
Comments:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Multimedia Teams I: Making Teams Work 75
Participant Handout
7. A Team Exercise
Comments:
8. A Team Exercise
Comments:
9. A Team Exercise
Comments:
10. A Team Exercise
Comments:
11. A Team Exercise
Comments:
8. Assess the amount of time/detail devoted to each:
Program IntroductionPet Peeves on TeamsDifferentiating Teams vs. TeamworkTask, Process, RelationshipsSetting Goals and Developing Action PlansFocusing the Afternoon SessionCommunication Skills on TeamsA Team ExerciseTeaching and Learning on the TeamDecision-Making on the TeamConclusion and Summary
Comments:
not useful OK very usefulpoor OK excellent
too little about right too much
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Multimedia Teams I: Making Teams Work 77
Participant Handout
9. What was the most significant thing that you learned in today’s training?
10. In what way(s) do you expect to apply what you have learned today in your work?
11. What specific types of training would you like to see offered in the future?
12. Additional comments and suggestions for future training:
This curriculum document has been developed by staff at the Toxics UseReduction Institute (TURI) at the University of Massachusetts at Lowell.The principal curriculum and instructional designer is Jody Hensley, M.Ed.,Senior Education and Training Associate at TURI. Principal documenteditor is Anne Berlin Blackman, J.D, M.A, Education and Training Associateat TURI.
All rights to this curriculum belong to the Toxics Use Reduction Institute(TURI), the Massachusetts Department of Environmental Protection (MADEP) and the United States Environmental Protection Agency (U.S. EPA).The material may be duplicated or used with permission. A request forpermission to duplicate and use portions of the curriculum may be made atthe TURI website: http://www.turi.org.
The views expressed within this curriculum document do not necessarilyrepresent the stated policies of the above agencies nor does citing of tradenames or commercial processes constitute endorsement.
The Toxics Use Reduction Institute is a multi-disciplinary research,education and policy center established by the Massachusetts Toxics UseReduction Act of 1989. The Institute sponsors and conducts research,organizes education and training programs, and provides technical supportto governments to promote the reduction in the use of toxic chemicals inindustry and commerce. Further information can be obtained by writingthe Toxics Use Reduction Institute, University of Massachusetts Lowell,One University Avenue, Lowell Massachusetts 01854, ore-mail www.turi.org.
© Copyright 1999 by the Toxics Use Reduction Institute, University ofMassachusetts Lowell; the Massachusetts Department of EnvironmentalProtection; and the United States Environmental Protection Agency.
DEP
TOXICS USEREDUCTIONINSTITUTE
Multimedia Teams II: Increasing theEffectiveness of Multimedia Teams
Instructor’s Manual with Participant Materials
Pollution Prevention IntegrationA Training Curriculum for Environmental Agency Staff
InnovationGathering
P2 in theJob Function
EnhancedCommunication
Industrial Process SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
Capacity building in the public environmental agency to promotecleaner, safer and more competitive industry while protecting our
natural resources.
This integrated curriculum was designed under the sponsorship of an EPAEnvironmental Technology Initiative Grant to the Massachusetts Department ofEnvironmental Protection. The Toxics Use Reduction Institute, as contractor to the MADEP, coordinated the design and publication of curriculum materials in collaborationwith the MA DEP Bureau of Waste Prevention and the Northeast Waste ManagementOfficials Association.
EPA Project CX 824560-01-1
*Enhanced Communication
*
© Copyright 1999 by the Toxics Use Reduction Institute, University of Massachusetts Lowell; the MassachusettsDepartment of Environmental Protection; and the United States Environmental Protection Agency.
Table of Contents Including Overheads
Module 1: Program Introduction ................................................................................................................... 14
Module 2: Communication Skills on Teams .................................................................................................. 20
Module 3: Assessment of a Team’s Development .......................................................................................... 24
Tuckman’s Phases of Team Development ................................................................................................ 25
Tuckman’s Team Development Wheel ..................................................................................................... 27
Tuckman’s Team Development Grid ........................................................................................................ 31
Module 4: Teams as Problem Solvers ............................................................................................................. 34
Module 5: Generating Solutions ..................................................................................................................... 62
Module 6: Selecting a Solution ....................................................................................................................... 68
Module 7: Resolving Differences on the Team ............................................................................................... 70
Module 8: Negotiation Skills on the Team ..................................................................................................... 78
Preparation for Negotiation ..................................................................................................................... 79
Preparation for Negotiation ..................................................................................................................... 83
Module 9: Clinic of Team Issues ..................................................................................................................... 92
Module 10: Program Summary ...................................................................................................................... 94
Evaluation: ....................................................................................................................................................... 96
Table of Contents
Module 1: Program Introduction ................................................................................................................... 14
Module 2: Communication Skills on Teams .................................................................................................. 20
Module 3: Assessment of a Team’s Development .......................................................................................... 24
Module 4: Teams as Problem Solvers ............................................................................................................. 34
Module 5: Generating Solutions ..................................................................................................................... 62
Module 6: Selecting a Solution ....................................................................................................................... 68
Module 7: Resolving Differences on the Team ............................................................................................... 70
Module 8:Negotiation Skills on the Team ...................................................................................................... 78
Module 9: Clinic of Team Issues ..................................................................................................................... 92
Module 10: Program Summary ...................................................................................................................... 94
Evaluation: ....................................................................................................................................................... 96
Instructor Notes
4 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Icon legend
Trainer needs to
CUSTOMIZE this section to
fit region, agency, etc.Customize
Nex
t…
Transition to NEW TOPIC ORCONCEPT
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ParticipantExercise
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ParticipantHandout
HANDOUT, EXERCISE orEVALUATION
referred to in this section
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ParticipantExerciseE V A L
Trainer ASKS SPECIFIC
QUESTIONS at this point????
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FLIPCHART
used in this section
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OVERHEAD (no.)
referred to in this section
PAUSE Video
Start Video
VIDEO used in this section
STOP Video
WWWLog onto WORLD WIDE WEB
“HANDS ON” EXERCISE
“ROUND-THE-CLOCK”
EXERCISE
PAIRED, SMALL or LARGEGROUP EXERCISE
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 5
Overview
Instructional Goals
1. In their work, participants will use a step-by-step approach to resolve differ-ences and reduce conflict among team members.
2. Participants will help team members to apply team skills to pollution preven-tion efforts.
3. Participants will be better able to promote pollution prevention in team discus-sions.
Performance Objectives
Participants in this workshop will be able
1. Participants will be able to identify phases in the development of an effectiveteam and the appropriate actions that can help the team to increase its effective-ness at each phase.
2. Participants will be able to understand and apply a problem-solving method onthe team.
Instructor Notes
6 Instructor Notes Multimedia Teams II: Solving Problems and Resolving Conflicts
Target Audience This program is designed for those individuals who have been working on
teams and want to improve their ability to solve problems and resolve conflicts
that emerge on teams. It is designed to follow the course on Multimedia Teams I
which focuses on the basics of making teams work successfully. It is designed for
participants who have expertise in one environmental medium, and have been
or will be increasingly working with colleagues on teams with expertise in a
medium other than their own. Whenever possible the instructor should
reinforce the principles and value of pollution prevention.
Course length AM: 3.5 hours including (1 )15 minute break
PM: 2.5 hours including (1) 15 minute break
Number of participants 20
Room Set-Up A room large enough to accommodate a U-shaped table set-up with
participants sitting around the perimeter is ideal for discussion and participant
involvement. The breakouts into teams can occur at the four corners of the U,
using both sides of the tables. All teams need to be working in the same room
to maximize the effectiveness of this program design.
Instructor Note The materials in this instructor’s guide were developed to be used by
experienced trainers with excellent facilitation skills. The problem-solving and
negotiation content contains exercises that involve multiple small groups
working simultaneously on different issues.
Supply Materials NeededOverhead projector and screen2 flipcharts: one each to the left and right of the open space in the
U-shaped table set-upColored markersMasking tapeGreen Dots (Presaply color coding labels)Green Post-It notes (Size: 3x5)Yellow Post-It notes (Size: 3x3)Whistle or chime used to reconvene the class
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 7
Multimedia Teams II: Increasingthe Effectiveness of MultimediaTeams
Target Audience This program is designed for those individuals who have been working on
teams and want to improve their ability to solve problems and resolve conflicts
that emerge on teams. It is designed to follow the course on Multimedia Teams I
which focuses on the basics of making teams work successfully. It is designed for
participants who have expertise in one environmental medium, and have been
or will be increasingly working with colleagues on teams with expertise in a
medium other than their own. Whenever possible the instructor should
reinforce the principles and value of pollution prevention.
Instructor Notes
8 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Place the following supplies in a plastic freezer bag for each team:
10 green dots cut in groupings of two
2 packets of 3x3 Post-It notes
packet of 3x5 green Post-It notes
One black and one color marker
Program Materials Needed
Overhead slides
Prepared Flipcharts
Prepared Flipcharts to display chart of the problem solving process on wall
Handout packets for each participant (20)
Case A: Role #1, Role # 2 (10 copies each)
Case B. Role #1, Role # 2 (10 copies each)
Participant evaluation forms (20)
Copies of Team Memory Jogger: A Pocket Guide for Team Members, publishedand distributed by Goal/QPC, 13 Branch Street, Methuen, MA 01844(1-800-643-4316).
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 9
Workshop Goals
■ Help participants identify phases in the development of an effective team andthe appropriate actions that can help the team to increase its effectiveness ateach phase.
■ Assist participants to understand and apply a problem-solving method on theteam.
■ Assist participants to use a step by step approach to resolving differences andreducing conflict among team members
■ Encourage and support participants to help team members to apply team skillsto pollution prevention efforts
Instructor Notes
10 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Flipcharts The following flipcharts should be prepared prior to the training session. See the
course materials for the details for each flipchart.
A. Program Goals — see Instructor Notes, page 12
B. Agenda — see Participant Notes, page 13
C. Guidelines for Working Together — see Instructor Notes, page 16
D. Participant Introductions — see Instructor Notes, page 18
E. Participant Expectations — see Instructor Notes, page 18
F. Communication on Teams — see Instructor Notes, page 20
G. Problem Solving Process — see Instructor Notes, page 34
H. Problem Solving Process — see Instructor Notes, page 34[note: there is no Flipchart I]
J. Problem Solving Process — see Instructor Notes, page 34
K. Root Cause — see Instructor Notes, page 62
L. Brainstorming — see Instructor Notes, page 64
M. Methods for Evaluating Alternatives — see Instructor Notes, page 68
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 11
What It Is Like to Work in a Team
As the workplace makes the transition to team systems over the next decade,American workers will encounter significant changes in the work environment.Hiring, training, orientation, and other practices will be greatly altered. So will theday-to-day work experience. Many, if not most, of the rules enterprising Americanshave followed for success will fundamentally change. The skills and abilities Ameri-cans need to be successful in a team-oriented workplace are quite different fromthose required for success in the traditional American business. Here are some ofthe more significant differences…
—Joseph H. Boyett and Henry P. Conn Workplace 2000: The Revolution Reshaping American Business
On Teamwork
When geese fly in formation, they travel 70% faster than when they fly alone.
Geese share leadership. When the lead goose tires, He (or she) rotates back into the“V,” and another flies forward to become the leader
Geese keep company with the fallen. When a sick or weak goose drops out of theflight formation, at least one other goose joins to help and protect.
Being part of a team, we accomplish more, faster. Support, compassion and caring(honking from behind) inspire those on the front lines, helping them to keep pacein spite of pressure and fatigue. It is a reward, a challenge, and a privilege to be acontributing member of a team.
© Copyright 1988–1995, Enlightened Leadership International, Inc.
Instructor Notes
12 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Workshop Goals
■ Participants will be able to identify phases in the development
of an effective team and the appropriate actions that can help
the team to increase its effectiveness at each phase.
■ Participants will be able to understand and apply a problem-
solving method on the team.
■ Participants will be able to use a step by step approach to
resolving differences and reducing conflict among team
members
■ Participants will be able to help team members to apply team
skills to pollution prevention efforts
Agenda
Module Approximate Time
1 Program Introduction 30 min
2 Communication Skills 10 min
3 Assessment of a Team’s Development 30 min
4 Teams as Problem Solvers
Defining the Problem 70 min
Causes of the Problem 30 min
AM Summary 10 min
5 Generating Solutions 25 min
6 Selecting Solutions 10 min
7 Resolving Differences on the Team 35 min
8 Negotiating Skills on the Team
9 Clinic of Team Issues 15 min
10 Program Summary 10 min
Plus/Delta 10 min
11 Program Evaluation 10 min
Total 5 hours
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 13
Agenda
Module Format
1 Program Introduction
2 Communication Skills
3 Assessment of a Team’s Development
4 Teams as Problem Solvers
Defining the Problem
Causes of the Problem
AM Summary
5 Generating Solutions
6 Selecting Solutions
7 Resolving Differences on the Team
8 Negotiating Skills on the Team
9 Clinic of Team Issues
10 Program Summary
Plus/Delta
11 Program Evaluation
Instructor Notes
14 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 1 Program Introduction
Welcome Welcome the group and share your enthusiasm about working
with the participants. Relate a personal experience of how your
own life has been increasingly impacted by your involvement
on teams in planning, delivering or evaluating training
programs. Emphasize that work on teams inevitably leads to
the need to solve problems collaboratively and to resolve
conflicts among the team members. Indicate that the primary
focus of Multimedia Teams II is problem solving and conflict
resolution.
a. Program goals
Flipchart A: Program Goals
Review the goals for the program on the flip chart. Remind
students that these goals are in their handout materials. Note
that the tools learned today also can be used in non-team
experiences as well. Alert students to be thinking of how
conflicts have emerged on their real-life teams so that in the
day’s exercises actual problems can be addressed.
b. Agenda for the Day
Flipchart B: Agenda
Review the general flow of the day and indicate where breaks
and lunch will take place. State at what time the program is
expected to end.
Communication on teams
Phases in Team Development
Break
Problem Solving Process (this will be finished in the early
afternoon)
Lunch (specify time)
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NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 15
Module 1
Multimedia Teams II: Solving Problems andResolving Conflicts
Program Goals
Program Introduction
Instructor Notes
16 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Assessment of Conflict Style
Break
Resolving Differences through negotiations
Clinic of Team Issues (this is a time to deal with any team issues
addressed in either the Teams I or Teams II Modules of this
curriculum, and to use your expertise and that of participants
to address those concerns)
c. Guidelines
Flipchart C. Guidelines
Ask: “What guidelines do you want to set as the norm for how
we will work together today?”
Stress how important it is that team members explicitly define
the guidelines for how they will be working together. Write the
guidelines on the flipchart in numerical order.
Guidelines may include some of the following, but should be
solicited from the group:
■ Respect for each other’s point of view
■ Stay focused…keep on track (respect the time)
■ Take responsibility for your own learning
■ Speaking up in turn…watch that we do not
interrupt…watch for multiple conversations occurring at
the same time
■ Take one idea at a time
■ Listen to everyone’s ideas
■ Have fun
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj ????
Module 1
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 17
Module 1
Guidelines for the Workshop
Instructor Notes
18 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
d. Participant Introductions
Flip chart D (on left hand flipchart)
Name
Position
Where in the organization s/he works
Ask each person to state his or her name, position, place in the
organization, and one thing that s/he would like to learn about
working on teams.
Flip chart E. Expectations (on right hand flipchart)
“I would like to learn…”
Write each participant’s expectations on the flipchart. Note
any expectation that is not likely to be addressed during the
training. If appropriate, you may include any such expectation
in the Team Clinic module. Tape this flipchart on a wall.
????
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Module 1
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 19
Module 1
Participant Introductions
Name
Position
Where in the organization you work
One thing I would like to learn about working on teams
Instructor Notes
20 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 2 Communication Skills on Teams
Flip chart F
Listen
Speak Up
Build for Agreement
Remind participants that effective communication skills are
the cornerstone of effective team functioning. As team
members, they will want to work on being able to use all three
communication skills at the appropriate time. Review the
following information:
Listen
One way for a team member to let another team member
know that s/he is being heard is to actively paraphrase. (“What
I hear you saying is…“ “As I understand it you are saying…”)
Another way is to ask questions that explore for
understanding, rather than criticize or evaluate what has been
said (i.e., “Do you mean that if we delay the implementation of
this program we will lose 25% of the grant monies?”; “Do you
mean that we have no way currently to measure the release of
that chemical in the environment?”)
Speak up
It is important that each team member contribute his or her
ideas to the work of the team. To get the attention of the team,
use an introductory comment like: “I have an idea…I have
some concerns… I have experience in this area on another
project…”
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 21
Effective Communication on Teams
Listen
Each team member actively paraphrases to let another team member know thatthey are heard.
“What I hear you saying…”
“You believe it is important to…”
“You sound annoyed by the response you received to…”
“We see this differently. From your perspective you think…”
Speak up
Each team member contributes her or his ideas to the work of the team.
“Help me to understand how you came to this conclusion?”
“I have another idea about what is contributing to this problem.”
“I believe we will make a mistake if we do not speak with stakeholders about thisissue.”
Build for Agreement
Each team member seeks to build the relationships between common ideas.
“Let’s focus first on those areas where we agree on our approach to this issue.Then we can list the areas where we disagree.”
“Let’s break this issue down into some of its parts. Then we can see where weagree and where we disagree.”
Module 2Communication Skills
Instructor Notes
22 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Build for Agreement
Team members should look for what different ideas or
recommendation have in common, not just what is different.
Note for participants that this can be difficult for an
engineering organization, which is accustomed to breaking
things down and finding differences. This analytic skill is
important to participants” work on teams, and they will
consciously need to look for ways to build on each other’s
ideas to reach agreement.
Summary: Ask participants to use these communication skills
during the training session as well on their work teams.
Indicate that during the training session, you will identify when
a participant uses effective communication skills to increase
the participant’s awareness of the importance of these skills.
Introduce the next concept. Read aloud the text on the
opposite Participant Notes page: “Team success depends
on…”
Achieving our goal or objectives
Effective processes for getting the work done
Relationships that build mutual respect and rapport
Module 2
????
Nex
t…
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 23
Team success depends on…
■ Achieving Our Goal or Objectives
■ Effective Processes for Getting the Work Done
■ Relationships that build mutual respect and rapport
Each Team member is responsible for the success of each dimension.
Module 2
Relationships
Goals
Processes
Instructor Notes
24 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 3 Assessment of a Team’s Development
Introduce this module in the following way:
“When we are working on teams it can be useful to know that
teams have been observed to have phases of development.
Tuckman developed a model to illustrate those stages and
classifies them into four phases.”
Display Overhead 1, Tuckman’s Phases of Team Development.
Review Tuckman’s Stages.
Forming
Storming
Norming
Performing
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj1
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 25
Module 3
Tuckman’s Phases of Team Developmentoverhead 1
Forming
Storming
Norming
Performing
Assessment of a Team’s Development
Instructor Notes
26 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Display Overhead 2, Tuckman’s Team Development Wheel.
Review the key words listed for each phase, as well as the
additional information presented on the following Instructor
Notes page.
Note for participants that this information is useful to have
because as we move from team to team it is easy for us to
compare one team experience with another. This gives us a
systematic way to understand in what ways they may be
different.
Emphasize that these are normal, predictable stages. It is not
possible to be a fully productive working team all the time.
Point out that the development of the team is not necessarily
linear. For example, a team can be very productive and then
return to a “storming” phase because the work on the team is
changing and the power and control of the group are being re-
negotiated.
Module 3
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj2
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 27
Module 3
Tuckman’s Team Development Wheeloverhead 2
Performance
Mature closenessResourcefulFlexibleOpenEffectiveClose and supportive
Forming
TestingPoliteImersonalWatchfulGuarded
Norming
Getting organized
Developing skillsEstablishing proceduresGiving feedbackConfronting issues
Storming
InfightingControlling conflictsConfronting peopleOpting outFeeling stuck
Phase Four Phase One
Phase Three Phase Two
Instructor Notes
28 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Phase One: Forming
Here, the team members are trying to get a sense of each
other. Often they are overly pleasant. They are trying to figure
out how this team will function and what will be in it for them.
Phase Two: Storming
Team members struggle for power and control. “Camps” will
establish themselves. Some team members may decide to
leave because they are dissatisfied with what or how the team
is functioning. This is not an undesirable phase, although it can
be uncomfortable. It is a necessary phase so that teams can
move to a working, productive, and highly effective phase.
Phase Three: Norming
Team members come to agreement about how they will be
working together. There is new clarity about the goals for the
team and the role that each member will play. Members
become more honest about what they need and what they
will contribute to the team.
Phase Four: Performing
The team becomes productive and establishes an esprit de
corps. Team members are willing to work hard to accomplish
their goals and support each other in getting the work done,
and they become flexible in their roles. The team may do some
fun things together. Many teams never reach this stage, and it
would be unrealistic to think that all teams would become
high performing teams.
Module 3
Instructor Notes
30 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Refer participants to “Tuckman's Team Development Grid”
(Overhead 3) in their Participant Notes. Indicate that the
discussion will now turn to characteristics of team phases and
action steps to move the team forward.
Ask: Think of a team that you are currently working on or a
team you have worked on in the past at a specific moment in
time. What characterizes the behavior of the team members at
this point in time? Turn to pg. 33, and list the behaviors you see
and the phase you would consider the team to be in.
Note for participants that it can be useful to know strategies
that will help move the team toward a higher level of team
development. Ask the class to turn to pg. 33 in the workbook
and read through the recommendations for action steps to
move the team forward.”
After the class has had the opportunity to read through the
action steps, highlight one or two steps for each stage and
ask for questions.
Ask: “ Now go back to the team you were thinking about a few
minutes ago. Which of these strategies might have helped
move the work of the team forward at this point in time? “
Module 3
????
????
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj3
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 31
Module 3
Tuckman’s Team Development Gridoverhead 3
Stag
e
Cha
ract
eris
tics
Act
ion
Step
s to
Mov
eth
e Te
am F
orw
ard
Stag
e I
Form
ing
Intr
odu
ctio
n a
nd
cou
rtes
yIn
form
atio
n S
har
ing
Ster
eoty
pin
gH
igh
nee
d fo
r gr
oup
appr
oval
Low
nee
d fo
r gr
oup
iden
tity
No
con
flic
t“W
hy w
e’re
her
e” d
ecis
ion
sB
egin
nin
g st
ruct
ure
Nee
d to
feel
pu
rpos
e is
impo
rtan
tN
o h
idde
n a
gen
das
evid
ent
Wri
te m
issi
on s
tate
men
t/pu
rpos
eSe
t go
als
Ass
ess
capa
bilit
ies
of le
ader
and
mem
ber
Est
ablis
h r
oles
Dev
elop
gro
un
d ru
les
Iden
tify
res
ourc
es a
nd
tool
sC
lari
fy …
exp
ecta
tion
sTa
ke r
isks
Do
“get
acq
uai
nte
d” a
ctiv
itie
s
Stag
e II
Stor
min
g
Com
peti
tion
beg
ins
Mar
keti
ng
of te
rrit
ory
Cliq
ues
form
an
d ch
ange
Posi
tion
s ar
e ra
tion
aliz
edSo
me
mem
bers
are
qu
iet
Som
e m
embe
rs a
reag
gres
sive
Litt
le te
am s
piri
tC
han
gin
g di
rect
ion
&pr
iori
ties
Faci
litat
e w
ins
Cre
ate
pos
itiv
e en
viro
nm
ent
Lis
ten
Take
ext
ra t
ime
tow
ork
toge
ther
Req
ues
t an
d ac
cept
feed
back
Hon
or c
omm
itm
ents
Mak
e co
nn
ecti
ons
wit
h a
llte
am m
embe
rsC
lari
fy b
oun
dari
es o
ffu
nct
ion
al m
anag
er a
nd
team
Stag
e III
:
Nor
min
g
Rol
es e
stab
lish
ed in
form
al &
form
al r
ule
s es
tabl
ish
edSt
eady
cliq
ues
are
evi
den
tTe
am id
enti
ty e
stab
lish
edP
rogr
ess
tow
ard
goal
is s
how
nC
reat
ivit
y em
erge
sN
ew m
embe
r en
try
is d
iffi
cult
Mem
ber
s av
oid
rock
ing
the
boat
Lim
ited
dis
agre
emen
t:“G
rou
p T
hin
k” a
dan
ger
Gro
up
hie
rarc
hy e
stab
lish
ed
Kee
p u
p te
am w
ins
Shar
e le
ader
ship
Use
goa
ls to
dri
ve d
iscu
ssio
n-
mak
ing
Del
egat
e fr
eely
Def
ine
hig
her
goa
lsC
aref
ully
sel
ect
new
mem
ber
sR
ein
forc
e “s
yner
gy”
Self
eva
luat
eP
rais
e ea
ch o
ther
Mai
nta
in t
radi
tion
sC
oach
an
d in
tegr
ate
new
mem
bers
Stag
e IV
:
Hig
h Pe
rfor
min
g
Req
uir
es u
nan
imou
s su
ppor
tto
be
her
eH
igh
mor
ale
Inte
nse
loya
lty
All
grou
p m
embe
rs a
ccep
ted
Agr
eem
ent
to d
isag
ree
New
mem
bers
cau
se r
egre
ssio
nto
pre
viou
s st
age
Cliq
ues
are
abs
ent
Supe
rb g
oal a
chie
vem
ent
Wh
en E
nd
ing
a t
eam
or
Team
Pro
ject
:
Ack
now
ledg
e in
divi
dual
s,
reco
gniz
e ac
com
plis
h-
men
ts, c
eleb
rate
su
c-
cess
es, a
nd
docu
men
t
perf
orm
ance
.
Instructor Notes
32 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Ask participants to choose a partner and each take five
minutes to describe the team and the phase s/he believes the
team is in right now based on the characteristics that
distinguish the team. In addition, each partner should indicate
which of the strategies just reviewed s/he believes might be
useful for the team to consider or adopt at this time to improve
its functioning. Each person should ask his or her partner to
suggest additional ideas for strategies.
Call time after five minutes and remind everyone to give the
opportunity to their partner to speak if they have not already
done so.
After ten minutes, reconvene the whole group. Ask for two or
three examples.
Ask: “What phase did you believe your team is in? What
stratety did you or your partner believe might be helpful to
improve the team’s functioning?”
Emphasize the key learnings.
Break (15 min)
During the break, post the Problem-Solving Process
(Flipcharts G, H, J) on the wall.
????
Module 3
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 33
Assessing behaviors on my team
I see these behaviors on my team.
My team is currently functioning in Phase .
I can take the following actions to help improve my team’s functioning.
Module 3
Instructor Notes
34 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 4 Teams as Problem Solvers
Lecturette: Problem Solving Process
Introduce this Module as follows:
“Teams are put together because there are complex issues toresolve. We give simple problems to individuals with themessage, ‘take care of it.’ However, tasks that are given to teamsoften have multiple layers that no one person can easilyresolve him/herself. It is the synergy of team problem-solvingcapability that leads to a solution greater than what any oneindividual can produce as a solution. These tasks given toteams may also be challenges to do things in a new way. Thismorning we are going to learn a problem-solving method thatis effective when working on teams.
This problem-solving method involves taking time to definethe problem and to determine the causes. Our hope in usingthis method is to increase the probability that our solutionswill be successful.
When we become aware of a problem or a problem is broughtto our attention, we proceed with the following steps.”
Display and review Flipchart G.
1. Defining the problem to be solvedSymptomsFacts
Display and review Flipchart H.
2. Determining the causes of the problemSelecting the root causeDisplay and review Flipchart I.
3. Generating solutions to the root causeDeveloping criteria for choosing a solutionChoosing the best solution based on the criteria
4. Developing and implementing an action plan.
5. Following up on the plan and checking on problem resolution.
(Note that the text of these flipcharts is reproduced in
Participant Notes on page 35.)
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 35
The Problem Solving Process involves
1. Defining the problem.■ Facts■ Symptoms
2. Determining the causes of the problem.■ Selecting the root cause
3. Generating solutions to the root cause.■ Developing criteria for choosing a solution■ Choosing the best solution based on the criteria
4. Developing and implementing an action plan.
5. Following-up on the plan and checking on problem resolution.
Module 4Teams as Problem Solvers
Instructor Notes
36 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Lecturette
“The first step in the problem-solving process is to define the
problem. To get an accurate definition of the problem, we need
to identify the symptoms of the problem or present the facts
as we know them. Often when we do problem-solving we have
a tendency to make two mistakes.
1. First, we embed the solution in the problem. This is easy to do.
Most of us pride ourselves on being problem-solvers. We like
feeling competent and capable. So we prescribe in our
statement of the problem what we want done.
2. Second, we embed the cause in the problem without having
focused on symptoms and facts.”
To illustrate these mistakes, use your own examples from
everyday life, or use the example of "The Condo Leak", which is
in Participant Notes on page 39. Read this example aloud.
Module 4
Nex
t…
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 37
Module 4
Problem-Solving
When defining the problem■ state the facts■ list the symptoms
Avoid■ embedding the solution in the problem statement■ embedding the cause in the problem statement
Instructor Notes
38 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Ask for a volunteer to create the problem statement and
record it on the flip chart along with all of the relevant facts.
“The maintenance staff wanted the facts. What are the facts?”
(Read the following information)
The owner’s vaulted ceiling began leaking at the highest point
and rivulets of water ran down the long ceiling dripping from
the highest point to the midpoint. The water came down the
ceiling approximately 12–14 ft. The remaining six feet of
slanted ceiling showed no evidence of water. The owner also
observed another rapid drip from a rafter in the basement
about one foot in from the outside wall. The basement drip
was below the area of the first floor ceiling drips but the carpet
was not wet. Four inches of water had collected in the pail in
the basement.
Based on the facts, the maintenance staff determined that the
leak in the basement was actually coming from the roof as
well. But they just could not see the water running into the
wall and down to the basement rafters. However, the leak in
the basement was directly below the water line on the first
floor.”
Thank the volunteer and ask him or her to take a seat.
Module 4
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 39
Module 4
The Condo Leak
“One winter when ice dams were particularly severe my condo developed a leak. Ilive in a modern unit that has a vaulted ceiling that is two stories high. This meansthat the ceiling has a long dramatic pitch. The water was running in rivlet fashiondown 3/4 of this ceiling and then dropping to the floor. I collected the water in pansin the living room so the carpet was not wet. However, I also had a leak in mybasement with water dropping from a rafter about 1 foot in from the outside wallbelow the area where the leak was occurring on the first floor. The floorboard wasnot wet. The pail in the basement collected about four inches of water.
I called the condo maintenance office and told them I needed to have my roofrepaired and my siding repaired due to leaks. I told them what solution I wanted.
This is what many of us do—tell others the solution we want. This is a commonerror.
The maintenance staff asked me to describe what I had seen, so they coulddecide on the cause and their own solution.”
Instructor Notes
40 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Medical Example
Present a second example of problem description:
“Jane goes to the doctor and asks for medication for migraine
headaches. She asks Jane what makes her think that she is
having migraine headaches. The doctor wants to know what
symptoms Jane is having so that she can diagnose the
problem. Jane makes another common mistake in defining the
problem. She embeds the probable cause in the statement of
the problem.
Jane describes how sometimes after a meal, she gets a
headache and then get an upset stomach. The headache gets
so bad she has to rest quietly.
The doctor tells Jane she does not believe Jane is having
migraines. She believes Jane is having a food allergy. If you
were having migraines, these symptoms would appear after
exercise, but not after eating. Her recommendation was for
Jane to collect more data by keeping a journal to see what
foods Jane was eating when the headaches came on.”
With input from participants, create the problem statement on
the flipchart.
Module 4
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Nex
t…
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 41
Module 4
Examples of Problem Statements
1. What are the facts in the condo leak example
2. What are the symptoms in the medical example?
Instructor Notes
42 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Nex
t…
Ice Cream Shop
Present a second example of problem description:
“Now let’s take another example. I run an ice cream shop andnotice that I have a lot of chocolate ice cream in the store.
If I describe my problem as: (Write on a flipchart)
“…we are not selling enough chocolate ice cream”
…then I will look to sales for the answer. I may focus ondiscounting, promotions, etc. as my solution.
If I describe my problem as: (Write on a flipchart)
“…we are making too much chocolate ice cream”
…then I will look to slowing down production as the solutionto my problem.
However, If I say I have a problem and begin by stating thefacts as I know them, it sounds like this: (Write on flipchart)
Problem: Too much chocolate ice cream
■ I only want to carry a 10% inventory of any single flavor, andI am carrying a 30% inventory of chocolate ice cream.
■ The newspaper carried an article this week about chocolatenot being good for your health.
I now have a problem statement that contains facts. I maywant to gather further information, but I no longer haveembedded the solution in the problem statement.”
Ask: “From your experience on teams where have you beenpresented with a problem:
In which cases was the solution embedded in the problemstatement?
In which cases were the causes embedded in the problemstatement?”
Take examples from the class to illustrate defining the
problem.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Module 4
????
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 43
Module 4
Ice Cream Shop Example
Problems:
Here, you have been presented with a problem. From your experience on teams,have you seen:
■ A solution embedded in the problem statement?
■ A cause embedded in the problem statement?
Instructor Notes
44 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Indicate that the discussion will now turn to addressing
problems with which participants are dealing.
Direct students to page 45, and ask them to complete the
Problem-Solving Worksheet.
Ask participants to select a real problem that they are faced
with (big or small). It can be something that they are working
on or an issue facing their agency, as long as they choose
something that they are willing to talk about out loud. Ask
them to write the problem down under the heading, “I am
aware of this problem,” and then write down all the facts/
symptoms about this problem. Give participants five minutes
to complete this task.
Assign participants to teams (see next Instructor Notes page
for methodology). Designate the teams by number or name
and tell the participants the location in the room where each
team will be meeting. However, they must wait to go to these
locations until they have been given all the directions for the
next team task.
Module 4
Multimedia Teams II: Solving Problems and Resolving Conflicts 45
Participant WorksheetModule 4
Problem-Solving
Take a real problem you are dealing with(big or small). It can be something you areworking on or an issue confronting your agency, but choose something you are willingto talk about. Write the problem down as you know it. Then, write all the facts orsymptoms about the problem. Lastly, write the problem as a statement of fact.
I am aware of this problem.
Describe the symptoms or facts of the problem:
■ What have you observed or heard that makes you believe there is a problem?
Write the problem as a statement of fact.
■ Eliminate any subjective interpretation of the facts.
■ Avoid embedding a probable cause in this statement.
■ Avoid embedding a possible solution in this statement.
Instructor Notes
46 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Methodology for assigning teams
With a class of 20 participants, you will want to have four teams
with five members each. Teams can have more than five
members, but should not have less than five members. Use one
of the following methods to assign participants to a team:
a. If you know the participants, pre-assigned lists can be
developed.
b. If some participants are already working on a team together, it
is OK if they work on a real problem they are facing on the
team.
c. Teams can be formed by taking individuals with expertise in
different environmental media and putting them together.
d. Team members can be assigned randomly. The participants
can count off (1, 2, 3, 4, 1, 2, 3, 4, etc.) until all participants have a
number. All the ones form Team I, all the twos form Team II, etc.
Give each team the following tasks:
Task 1. Each team member will read in turn their statement of a
problem, and then describe the symptoms of the problem as s/
he has written them. As person reads the problem and
symptoms, other team members should not discuss or
respond.
Task 2. After each member has presented his or her problem, each
team chooses one of the problems to work on for the
remainder of the morning.
Suggestions for the instructor: Teams will need about 10
minutes to settle themselves, read the problem statements,
and choose a problem to work on. Give a 2 minute alert: “How
many teams have selected a problem statement to work on?”
You may give more time if the teams have not finished these
two tasks.
Module 4
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 47
Module 4
Team Problem Solving Task
Team Task 1. Each team member reads aloud the statement of the problem includ-ing the facts and symptoms of the problem. There is no discussion of the problem.
Team Task 2. After each team member has presented a problem, the team choosesone problem from within the team to work on as a team.
Instructor Notes
48 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Once each team has decided on a problem that it will work on,
ask each team to reexamine the problem statement and the
symptoms. Give each team fifteen minutes for the following
tasks:
Task 3. As a team, ask whether there are additional facts or symptoms
that are important to understanding this problem.
Task 4. When you have all the facts and symptoms, write a problem
statement identifying the facts and symptoms. Do not
attribute causes or embed solutions.
Give each team ten minutes for the following task:
Task 5. Write the problem statement on flipchart paper and post it on
the wall. You will have 10 minutes.
After the teams have posted their problem statements, ask for
a spokesperson from each team to read the team's problem
statement. Give each team five minutes for feedback from
others in the class.
Ask the class:
Does the problem statement contain only facts and
symptoms?
Have solutions been embedded in the problem?
Have probable causes been embedded in the problem
statement?
What suggestions would you make to the team?
*Emphasize that the purpose of this feedback exercise is not to
look for errors, but to examine as a group the complexity of
problem-solving. Be sure that individuals offering feedback
explain their contributions sufficiently so that the team
members understand. Use any of the examples reviewed
earlier to reinforce core concepts.
Module 4
????
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Nex
t…
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 49
Module 4
Team Problem Solving Task (cont’d)
Team Task 3. Examine the facts and symptoms of the problem your team hasagreed to work on.
Ask: Are there additional facts that are important to understanding this problem?
Are there additional symptoms that are important to understanding this problem?
Team Task 4. Write a problem statement including the appropriate facts and/orsymptoms.
Team Task 5. One team member will write the problem statement on the flipchartpaper and tape it on the wall for the class to read.
Wait for class discussion. Each team will read their problem statement aloud to theclass and ask for feedback from the class.
Team Task 6. The team makes modifications in their problem statement based onfeedback from the class.
The whole class will review each of the problem statements.
When reviewing problem statements presented by the teams, ask:
■ Does the problem statement contain only facts and symptoms?
■ Have solutions been embedded in the problem?
■ Have probable causes been embedded in the problem?
■ What other suggestions do you have for the teams?
Instructor Notes
50 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Give each team five minutes for the following task:
Task 6. Make modifications to your problem statement based on
feedback from the class.
Summarize the Module with the following statement:
“If we do not state the problem accurately, we will not be able
to identify critical causes nor create the needed solution. Most
organizations pay too little attention to defining the problem.
Short term fixes are then introduced as if they were the
solution.
Caution to the Instructor: Some participants may raise the issue
that in a regulatory agency or political environment, they feel
compelled to respond to a problem as it has been given to
them. Consequently, they do not feel empowered to use the
methodology described above to redefine the problem. If this
issue arises, indicate that the day’s format only allows for a
small time (5–10 minutes) to discuss it. Acknowledge the
considerable tension that this dilemma may cause a team to
feel, and indicate that problem (re)definition in such a case will
require a team to make an important judgment call. Ask
participants to offer examples of successful strategies that they
have used to redefine the problem in a political environment.
Module 4
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 51
Module 4
Summary
If we do not state the problem accurately, we will not be able to identify criticalcauses nor create the needed solution. Most organizations pay too little attention todefining the problem. Short term fixes are then introduced as if they were thesolution.
Instructor Notes
52 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Causes of the Problem
Lecturette
“We are now ready to examine what may be causing the
problem you have described.
On teams, we frequently begin a discussion of what we believe
may be causes of the problem. These conversations can be
fascinating and time-consuming. Verbal conversations are very
useful when people are new to a team and need to get to
know each other’s thoughts and values, as well as explore the
constraints and possibilities of a situation. I am going to
introduce you to a non-verbal method for examining causes
that can be used to focus the issue in a small amount of time. I
will be leading you through this step by step.” (You may want
to ring a bell or chime at the end of each step to gain the
group’s attention.)
Ask participants to rejoin their teams and, next to their
problem statement flipcharts, hang a blank sheet of flipchart
paper with their team number marked in the upper corner.
Read teams the instructions in Step One and give them ten
minutes.
Step One: “Each team has 3x3 packets of Post- It notes. All team members
are to work silently and independently to think of all the
possible causes for the problem. Write down each cause on a
separate Post-It note. When a person is finished, s/he should
post the Post-It notes randomly on the blank flipchart paper.”
Read aloud the instructions in Steps Two and Three together.
Tell participants that they have no time limit, and that each
group should sit down when it finishes the task.
Module 4
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 53
Module 4
Determine the Causes of the Problem
Each team posts a problem statement. Each team posts a blank sheet of flipchartpaper next to their problem statement.
Method
Step One: Take a 3 x 3 packet of post it notes. Think of all the possible causes forthe stated problem. Write down each cause on a separate post it note. Write onlyone cause cause on one note. When you are finished, post the notes randomly onthe blank flipshart paper designated for your team.
Instructor Notes
54 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Step Two: “When your team is ready, silently go up to the flipchart and
read all the causes that have been posted. Without speaking to
each other, begin clustering those causes of the problem that
seem to go together. You may cluster the causes in whatever
way makes sense for you. Do not share with your teammates
your reasons for clustering the causes. If one Post- It keeps
being moved from one cluster to another, write the same
cause on another Post- It and place the duplicate Post- Its in
two clusters. It is fine if a cluster consists of one Post- It.”
Step Three: “Now take the 3x5 Post- It notes that have been distributed to
each team, and begin to create/define a category for the
clusters of causes as your team has grouped them. You may
speak to other members of your team during this task. When
you have finished, sit with your team and discuss what you
have discovered about the probable causes.”
When the teams have finished the task, get their attention and
review with them what they have done. (If one group takes a
long time, tell them they will have three minutes to finish the
task.)
“You have just identified all the causes of your team’s problem.
This process is an adaptation of the Cause and Effect/Fishbone
that is used in continuous process improvement.”
Ask participants to take a minute to share observations or
learnings about generating causes in this way. (If the class
needs prompting, ask: How was this process helpful in
identifying causes? How did this process hinder identifying
causes?)
Module 4
????
Nex
t…
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 55
Module 4
Determine the Causes of the Problem (cont’d)
Step Two: When the team is ready, silently go up and read all the causes that havebeen written. Without speaking to each other begin clustering those causes of theproblem that seem to go together. You may cluster the causes in whatever waymakes sense for you. Do not share your reasons for clustering the causes. If itappears that one cause keeps being moved form one cluster to another cluster, writethe same cause on another post-it, and let the same cause to be placed in twoclusters. It is OK if some causes are in a cluster of one.
Step Three: Take the 3 x 5 post-its that have been distributed to your team. Begin tocreate a category for each cluster of causes. You may speak to other members ofyour team during this task. A single post-it can have a label, or stand alone as it is.When finished, discuss with your team what you have discovered about probablecauses.
Instructor Notes
56 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Reinforce the following if not identified by participants:
*Non-verbal processes can be valuable when you are working
with expansive parts of the process. They allow lots of data to
be generated in a short amount of time and in an organized
way. Conversations can then focus on the most important
issues rather than be diverted by scattershot ideas and
comments.
*All information generated in this way should be
understandable to the team. The team should take the time to
clarify what each member means by his/her contribution.
Give participants the final task, which is to decide upon the
root cause(s) of the problem identified.
Step Four: “Among the causes of your team problems are some root
causes that you believe would help solve the problem if they
were addressed. By addressing root problems, we make an
assumption that we will significantly eradicate or alleviate the
problem. This is different than relieving the symptom. If we
have a headache, we take aspirin or ibuprofen. However, if we
have a brain tumor, taking away the symptom will only mask
the problem. On a team, members will need to make decisions
about the root cause and how to address it. In most cases,
teams will need to create a plan to gather further information
to verify the root cause.
We will use a decision making process based on majority rule.
Module 4
Nex
t…
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 57
Module 4
Determine the Causes of the Problem (cont’d)
Step Four: Deciding on the Root Cause.
The team identifies the root cause because if the root cause is addressed we assumethat we will eradicate the problem or make significant progress in reducing theproblem.
In most cases the team will need to gather further information to verify the rootcause, and a plan will be needed to be created to collect the information.
Instructor Notes
58 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Each member of the team will receive two adhesive dots. You
are to place a dot next to the cause(s) you believe are the root
causes of the problem your team is addressing. Remember that
the root cause may be a single Post-It note rather than a
cluster of Post-It notes. We are going to vote on a root cause
because we need to narrow down our approach to the
problem, and we want our solution to address the root cause
of the problem.”
Module 4
Summary of AM Summarize the morning’s content. Note that we use a process
of expanding and focusing when we identify problems and
create solutions.
Review the steps in problem solving on the wall chart. Mark
the wall chart to indicate places in the problem solving process
where we expand our thinking and places in the process
where we focus our thinking.
1. Defining the problem to be solved
Symptoms
Facts
Writing a statement of facts and symptoms
2. Determining the causes of the problem (<Expand>)
Selecting the root cause (>Focus<)
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 59
Module 4
Determine the Causes of the Problem (cont’d)
Task: Each member of the team will receive two dots. Place a dot next to the causesthat you believe are the root cause of the problem your team is addressing.
List the root causes of the problem identified by the majority vote of the membersof your team.
Instructor Notes
60 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
3. Generating solutions to the root cause (<Expand>)
Developing criteria for choosing a solution
Choosing the best solution based on the criteria (>Focus<)
4. Developing and implementing an action plan
5. Following up on the plan and checking on problem
resolution
Remind participants that it is especially important for team
members to alert each other when they are in an expanding
phase (i.e., “it’s important for us to consider all possible ideas
here”) or in a focusing phase (i.e., “we need to limit or select
what we can respond to”), so that members are contributing in
a way that helps the problem solving task move forward. Often
team members become invested in their own agenda and can
miss the cue that the team has shifted from expanding to
focusing, or vice versa.
Encourage participants to read, during lunch, the cluster
categories and problem cause on which other teams have
been working.
Lunch Break
Module 4
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 61
Module 4
Summary of AM
1. Defining the problem to be solved
Symptoms
Facts
Writing a statement of facts and symptoms
2. Determining the causes of the problem (<Expand>)
Selecting the root cause (>Focus<)
3. Generating solutions to the root cause (<Expand>)
Developing criteria for choosing a solution
Choosing the best solution based on the criteria (>Focus<)
4. Developing and implementing an action plan
5. Following up on the plan and checking on problem resolution
Instructor Notes
62 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 5 Generating Solutions
When participants return from lunch, ask them to sit with their
teams.
Problem-Solving: Causes of the Problem
“The green dots on each of the charts of causes generated this
morning represent the clusters that each team believes to be
the root cause of its identified problem. In most circumstances,
the team would then need to answer the two questions you
see here.”
Display Flipchart K: Root Cause
For each Root Cause:
■ What information do you need to verify this cause?
■ How will you collect this information?
“We will not be taking the time to identify or collect this
information today. We are going to proceed as if the root
causes you have selected are the most appropriate on which
to focus to generate a solution to the problem.
Now you are ready to brainstorm solutions to the root cause.
We are going to do this using a method called “silent
brainstorming with round robin report out.” You will be
developing a solution for the root cause that received the most
votes from your team this morning.
Before we do this, I would like each of you to go back and have
the team member read his/her original statement of the
problem, as well as the problem statement as defined by the
team. It is important when we focus on solutions that we
reground ourselves in the original problem.
Then, read the root cause the team has selected.”
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 63
Module 5
Problem Solving
Causes of the Problem.
In the last exercise we worked on:
A. What may be the causes of the problem? (list all that apply, but do not describein detail).
B. Which causes do you want to investigate as “root causes” or the most probablecause of the problem?
The next step would be to ask:
For each “root cause”?■ What information do you need to verify this cause?■ How will you collect the information?
We will not be collecting this information today. We’ll proceed as if the root causesyou’ve selected (with dots) are the most appropriate to focus on for generatingsolutions.
Generating Solutions
Instructor Notes
64 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
After a few minutes, resume the directions:
“Now we are ready to brainstorm solutions. Rather than doing
this out loud, I would like each member of the team to create a
list of possible solutions for the root cause. Remember the
rules for brainstorming (whether you are talking to yourself or
to another member of the team).”
Display Flipchart L: Brainstorming — the Groundrules
■ hitchhike ideas (let one idea generate another)
■ no criticism (don’t dismiss your idea until you have had a
chance to share it with others)
■ think creatively
■ no judgments or evaluation
“You have five minutes to create your lists of possible solutions.
Then, in your group, have each team member give one idea at
a time. Do not repeat ideas that have already been mentioned.
Keep going around until all the ideas are shared (up to ten
minutes). Ask someone on your team to record the ideas on
the flipchart.”
Optional: If trying to save time, you can have participants write
on a sheet of paper instead of a flipchart. This is useful because
often the participants will generate ideas that they will want to
take with them to apply back on the job.
Give a two-minute alert and reconvene the group.
Module 5
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 65
Module 5
Problem solving
Methods for Generating Solutions
Silent Brainstorming with Round Robin Report Out
Rules for Brainstorming■ hitchhike ideas■ no criticism of ideas■ think creatively■ no judgments or evaluation of the idea
Tasks:
Silently brainstorm possible solutions for the root cause of your team’s problem.(Make a list of your possible solutions.)
Report Out
When each team member has finished generating solutions to the root causesilently, go around the team and ask each member to give one idea until all ideashave been presented.
Team members do not repeat ideas spoken aloud by another team member.
Instructor Notes
66 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Ask: What advantages and disadvantages do you see in
generating ideas through “silent brainstorming with round
robin report out”?
Record the advantages on a flipchart. State the advantages
listed below if not mentioned by the participants:
■ gives quieter members an opportunity to contribute.
■ reduces the team member who may tend to dominate and
not realize that other team members have equally good or
the same ideas.
■ increases each team member’s sense of value.
■ provides motivation and appreciation.
Record the disadvantages on a flipchart. State the
disadvantages listed below if not mentioned by the
participants:
■ reduces the interaction among the team members (may not
be as useful in early stages of the team).
■ team leader may need to reinforce that only one idea may
be shared at a time.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Module 5
????
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 67
Problem Solving
Methods for Generating Solutions
Advantages and Disadvantages of Silent Brainstorming with Round Robin Report
Advantages:
Disadvantages:
Module 5
Instructor Notes
68 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 6 Selecting a Solution
Indicate that the discussion is now going to “focus,” after
“expanding,” in order to select a solution. Refer particpants to
page 69 of their Manuals for a list of appropriate methods for
evaluating alternative solutions.
Display Flipchart M: Methods for Evaluating Alternatives
■ Rank choices against each other.
This means comparing solutions, deciding which among
them is the best choice, second best, etc., and giving our
reasons.
■ Rate choices against a set of criteria.
This means that our solution must address certain criteria.
The criteria can be decided upon by the team, but
frequently include timeframe, cost, level of effort involved,
likelihood of stakeholder “buy-in,” etc.
■ Rate choices against a weighted set of criteria.
Same as above, except that after the team decides what the
criteria should be, it assigns values to the criteria.
“We are going to stop here for today. Your next step would be to
select a solution and then develop an action plan to
implement the solution. Remember that your materials from
the Teams I Module contain forms for developing an action
plan and assigning roles.
This completes the problem-solving process. It involves all the
steps we have done together. I hope you will introduce it to
your teams at work and use it.”
Refer to the wall chart and read the steps aloud.
Break
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 69
Module 6
Problem Solving
Methods for Evaluating Alternatives
■ Rank choices against each other
■ Rate choices based on a set of criteria
■ Rate choices against a weighted criteria
Selecting Solutions
Instructor Notes
70 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 7 Resolving Differences on the Team
Introduce this Module in the following manner:
“When a group of people are working together it is common for
differences to arise. It is important that we understand how we
behave when we are ‘in conflict’ and to understand that others
may behave very differently than we do. First, we are going to
look at common behavior patterns that occur in conflict, and
give you an opportunity to assess your own behavioral style.
Then, we will discuss some negotiation strategies to help
reduce or resolve conflict.”
Flipchart
There are two dimensions that Thomas Kilman has identified
as being important to our behavior when we are in conflict.
One is how uncooperative or cooperative we become.
On the flipchart, draw a horizontal axis with the following two
words.
uncooperative cooperative
The other dimension is how unassertive or assertive we become
when we are in a situation of conflict.
On the flipchart, draw a vertical axis with the following two
words.
assertive
unassertive
Ask participants to redraw these two axes in their notes.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 71
Module 7
Conflict Management Model
Self Assessment of Your Behavior in Conflict
Plot the point on the continuum that is most descriptive of you in a conflictsituation at work.
■ First, place an “X” on the horizontal axis to indicate how cooperative/uncoop-erative you are.
■ Second, place an “X” on the vertical axis to indicate how assertive/unassertiveyou are.
■ Then draw a straight, dotted, horizontal and vertical lines from each “X”, to findthe point where they intersect.
Resolving Differences on the Team
Assertive
UnassertiveUncooperative Cooperative
Instructor Notes
72 Instructor Notes Multimedia Teams II: Solving Problems and Resolving Conflicts
Module 7
Self Assessment of Your Behavior in Conflict
“We are now going to assess how each of us behaves when we
encounter a conflict in the workplace. Think about how you
behave when you and a colleague “bump heads” at work…”
“Do you become ‘super cooperative’ (hanging in their at all
costs, going to great lengths to try and make it all work out,
trying to appease the other so that you will both get along), or
are you “uncooperative” (digging your heels in, not responding
to the other party, taking an attitude of “prove me wrong,”
resisting, “if they are going to get me there they will have to
carry me there.”)
Place an X at the point on the continuum that is most
descriptive of you in conflict at work.
■ The other dimension is the unassertive — assertive dimension.
You are familiar with the concept of assertiveness. The
unassertive individual is more passive ( ie they tend to
withdraw in the face of conflict, avoid the other person, miss
the meeting so they do not have to engage); the assertive
person is clear, direct and focused on what they want and
need( ie, they state exactly what they are looking for and by
when; they state the conditions under which they are willing to
go forward, etc)
■ Place an X at that point on the continuum that is most
descriptive of you in conflict at work.
■ Draw a straight dotted line from each of the X’s until you find
the point at which they intersect. Mark that spot with an X.
Consider this location on the grid as a zone of behavior.
■ Instructor draws an oval to indicate the zones and writes the
appropriate zone label in the oval.
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 73
Avoids
Compete
Compromise
Collaborate
Accommodate
Assertive
UnassertiveUncooperative Cooperative
Module 7
Conflict Management Model
Instructor Notes
74 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
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ParticipantHandout
Module 7
Zone 1 lower left area: Avoids
Usually will not engage
See things: I lose, you lose
Easily feel victimized
Zone 2 lower right area: Accommodates
Tend to go along to be cooperative
See things: I lose, you win to keep peace
Zone 3 middle of the grid: Compromise
Seeks solutions
See problem solving as give and take
Work to help others save face
See things: win-win if we both give something up
Zone 4 upper left area: Compete
I have a goal
I want what I want
Stops listening to other’s points of view
See things: I win, you lose
Zone 5 upper right area: Collaborate
Strong wishes and beliefs
Seeks to build coalitions up, down, and across the organization;
Sees things win-win if we can get creative about our needs
and interests
Turn to Handout pg. 75 and read more about what these styles
look like and when they are appropriate to use.
Multimedia Teams II: Solving Problems and Resolving Conflicts 75
Participant HandoutModule 7
Conflict Management Styles and Uses
AvoidProblem is never really acknowledged because participants are reluctant to get involved; parties try to solve theproblem by denying its existence.
Appropriate To Use When:■ someone is better able to resolve the conflict;■ the obvious conflict masks the real problem;■ more important issues demand attention;■ the odds are against satisfying any of your concerns.
AccomodateParticipants try to smooth over the conflict by emphasizing positive/common elements that appeal to bothparties. Differences are played down.
Appropriate To Use When:■ preserving the relationship is very important;■ the issue is of greater importance to the other party;■ maintaining harmony is especially important;■ other party has greater power, status, etc.
CompromiseProblem is solved through exchanging concessions and “splitting the difference.” Participants strive for asolution where everyone wins something.
Appropriate To Use When:■ a temporary settlement is desired;■ time is short and a solution is necessary;■ both parties are powerful and committed to very different goals;■ the outcome is important, but not critical enough to warrant the time and energy of the other approaches.
1
Instructor Notes
76 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 7
Now think about a situation that you are currently in or have
been in recently where there was a conflict with one of your
colleagues. Are you playing your traditional role? What role is
the other party in? Are these the best roles for resolving this
particular conflict?
Instructor takes Questions and Answers on this assessment
tool. Discussion.
The goal is to be able to develop the skill to use different styles
strategically for any given situation. The style that many find
the most challenging to act on is the Collaborator style.
Collaborators are excellent negotiators, and we are now going
to spend time looking at how to improve your negotiations
skills.
????
Multimedia Teams II: Solving Problems and Resolving Conflicts 77
Participant HandoutModule 7
Conflict Management Styles and Uses (cont’d)
CompeteRelies on authority, position or power to force a solution, which results in a win/lose situation.
Appropriate To Use When:■ immediate action is necessary;■ an unpopular action is needed;■ you know you are right;■ dealing with people who take advantage of non-competitive approach.
CollaborateIssues are faced openly and parties look for creative solutions. Emphasis is on a solution that deals with theconcerns of all parties.
Appropriate To Use When:■ people are committed to solving the problem together;■ the issue is too important to solve by compromise;■ enough time is available to complete the problem-solving process;■ the goal is to integrate the needs of the participants who have very different perspectives.
1
Instructor Notes
78 Instructor Notes Multimedia Teams II: Solving Problems and Resolving Conflicts
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Module 8 Negotiation Skills on the Team
When any of us approach a negotiation it is because two or
more people want different things or have different solutions
to a shared problem. Think of a vacation—I may want to go to
a beach resort and you want a metropolitan area with
museums, gourmet restaurants, etc. We easily become locked
into our position. If we are compromiser’s we may even be
willing to say, “I’ll go to the city this year, if you will go to the
beach resort next year.” If we are collaborators, we work
together to find a creative solution that meets both of our
needs. For example, locating beach resorts that are in
proximity to metropolitan areas.
Overhead 2: Negotiation: Position, interests, and options
Instructor: Review the key parts of preparing for negotiation
We begin with our separate positions, become clear about the
interest or need behind the position, generate options that
meet both interests, and identify an alternative of what you
intended to do if you cannot work this out.
Let’s take an example.
I am alone in a small study room in the local library. You enter
the room, and sit at the other end of the table. You go and
open the window. I want the window kept closed. If I am an
accomodator, I put on my sweater and put books on my papers
so the papers do not blow around. If I am competitive, I get up
and shut the window you have opened.
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 79
Module 8
Position
(Mine) (Theirs)
Interests or Needs
(Mine) (Theirs)
Options ( Be Creative)
1.
2.
3.
4.
What is the alternative if this cannot be resolved?
(Mine) (Theirs)
Preparation for Negotiationoverhead 2
Negotiating Skills on the Team
Instructor Notes
80 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 8
Position (mine): I want the window closed
Position (theirs): I want the window opened.
Behind every position there are interests and needs.
Sometimes we need to get clear with ourselves what our need
or interest is; and we need to consider what the other person’s
need or interest might be.
Interest (mine): I get stiff necks easily and avoid sitting in a
direct draft. I do not want my papers blowing around and
getting mixed up.
Interest (theirs): I may guess at their interest to be that they like
fresh air. If I ask them what their need is I may find out that
they are hot blooded and get less sleepy if they work in cool
temperatures.
A collaborator begins a conversation by acknowledging that
we seem to want different things.” You want the window
closed; I want the window open.” POSITION
The collaborator then asks about the interest or need of the
other person and shares their own. Why is it important to you
that the window be open? The collaborator uses reflective
listening to acknowledge the need: “You tend to get sleepy if
you do not have fresh air and like cooler temperatures.” My
needs are different: “I dislike sitting in a direct draft because it
gives me a stiff neck. I also do not want to get these papers
mixed up which may happen if they get blown around.”
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 81
Module 8
Example Scenario for Negotiation:“Reading Room at the Local Library”
I am alone in a small study room in the local library. You enter the room and sit athe other end of the table. You go and open the window. I want the window keptclosed.
If I am an accommodater, I put on my sweater and put books on my papers so thepapers will not blow around. If I am competitive, I get up and shut the window.
Let’s prepare to negotiate more productively.
Instructor Notes
82 Instructor Notes Multimedia Teams II: Solving Problems and Resolving Conflicts
????
????
Module 8
Interests or Needs
Instructor note for the class that there is no difference about
the cool temperature. It is important to one party but not a
significant issue to the other party. We often assume that the
other person’s needs are the opposite of what we want. )
How about if we consider ways in which both of our needs/
interests could be met?
Ask the participants: What options are available to these two
library users? OPTIONS
Some responses may include: Open window from the top; Ask
the librarian to turn on the air conditioner; keep the door open
and open a window in the hall providing fresh air without a
draft.
The two library users decide which of the options will work for
them.
If no option is agreed upon, then it is important to know what
alternatives you have?
Alternatives
Ask: what alternatives are available to these library users?
You might decide to go to another place in the library to work.
You might explain your dilemma to the librarian and ask that
another place in the library be found for the person who
entered your room.
Now, let’s try it out.
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 83
Module 8
Position
(Mine) (Theirs)
Interests or Needs
(Mine) (Theirs)
Options (Be Creative)
1.
2.
3.
4.
What is the alternative if this cannot be resolved?
(Mine) (Theirs)
Preparation for NegotiationExample Scenario for Negotiation: “Reading Room at the Local Library”
■ They could go to another place in the library.■ I could go to another place in the library towork.
■ I could explain my dilemma to the librarianand ask that another place be found for theperson who entered my room.
1. Open window from the top.
2. Ask librarian to turn on the air conditioner.
3. Keep a door open and open a window in the hall to provide fresh air without a draft.
(guess) They like fresh air.
(After asking them) They are hot-blooded and getless sleepy if they work in cool temperatures.
I get a stiff neck easily so I avoid sitting in adirect draft. I do not want my papers blowingaround and getting mixed up.
They want the window open.I want the window closed.
Instructor Notes
84 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 8
Instructor: Decide ahead of time which one of the case studies
(A) or (B) (see Participant pp. 85, 87) would be appropriate for
your group (or write a new case study). Use only one case
study because your time is limited. Carefully monitor the time
as they do the following tasks to keep the group moving
quickly. Ask participants to count off 1,2,1,2, etc. Assign all the
ones, Role 1 of the case study and all the twos Role 2 of the
case study. Ask the participants to read the case study, and
individually answer the five questions as best they can. Give
them 5 minutes)
Now, find a partner; all ones find a two. Now each one-two set
join with another one-two set; making a group of four.
(20 minutes)
Step A. Each of the #1’s talk first about how they defined their position
and how they defined the other’s position.
(Take 1 minute each. Just give your statements. Do not discuss
as yet.)
Instructor call stop after 2 minutes. Give the next directions.
Step B. Each of the #2’s talk now about how they defined their
position and how they saw the other position.(Take 1 minutes
each.. Do not get into solutions.)
Instructor call stop after 2 minutes. Give the next directions.
Step C. #2’s talk about your interest and what you think the other’s
interest is. Take 2 minutes each. The listener’s use reflective
listening and seek to understand.)
Instructor call stop after 4 minutes.
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 85
Module 8
Case A
Role #1Role: Team Member carrying the heaviest part of the project
You have been working on a project team for the last four months. In the beginningeveryone pitched in and shared the workload. You and a fellow team membervolunteered to work on some materials that would assist the compliance efforts inthe regions. They are due in two weeks and over the last two weeks your fellowteam member has not done any more work on them. You are resentful of the loadyou are carrying, and are worried that s/he is backing off entirely. There is aboutanother 10 hours of work to be done to complete the task. You have a team meetingtomorrow.
You need to address the issue with your team member.
Take 5 minutes and respond to the following questions.What is your position? How will you find out their position?What is your interest? What do you imagine their interest might be?What options might be possible?
Role # 2Role: Team Member who has been backing off the project team
You have been working on a project team for the last four months. In the beginningeveryone pitched in and shared the workload. You and a fellow team membervolunteered to work on some materials that would assist the compliance efforts inthe regions. They are due in two weeks. Over the last month you have not done anywork on the project. You have avoided returning phone calls, and respond to E-mailwith a short note, “I am working on it.” In truth you have two other projects thatneed to be done for your boss, and home responsibilities that make it impossible tospend any extra time on the team project. You know your fellow team member isvery responsible and you can count on him/her to pick up the slack.
You wish your boss had never volunteered you for this team in the first place.You not sure how much work is left on the project because you have not checked inwith your team mate, but you suspect its about 10-20 hours. You have a teammeeting tomorrow and are unsure if you will attend. You would like to havesomeone else finish the work with you team partner.
You are hoping your partner will continue to say nothing. If he/she brings it up,you will tell them that you will get to it next week. You believe the project is valu-able, but it is no longer a priority for you at this time.
Take 5 minutes and respond to the following questions.What is your position? How will you find out their position?What is your interest? What do you imagine their interest might be?What options are available?
Instructor Notes
86 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 8
????
Step D. #1’s talk about your interests and what you think the other’s
interest is. Take 2 minutes each to share your interests.
Now as a group discuss what you have observed about
positions and interests. Do not discuss options as yet.
Instructor calls stop after 4 minutes.
Step E. Now its time to generate some creative options that will meet
the needs of both parties. Take another 3 minutes and go
around the group and read one of the options you have
written. Keep going around until all the options have been
shared. If you think of additional options, share those with the
group as well. After all the options have been shared, the
group chooses the one or two that you feel will lead to the
best win-win solution.
Instructor asks each group to quickly report out the one or
two options that will work best. Caution the group to ask
themselves as they listen: are these solutions creative? Are
these solutions win-win?
As you have been having your conversations you been
following some of the steps in negotiation. This is the work of
William Ury in Getting Past No.
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 87
Module 8
Case B
Role #1Role: Team member preparing outreach materials
You are at team member preparing materials for outreach to an industry sector. Youlike this work as it allows you to use your expertise in developing graphics, usingnew computer programs, getting out of the office. Although you have only workedon something like this once before, you are excited to be part of this effort. Youagreed to work on the text and presentation materials for this project.
However, there is a new education group who came to your last team meeting.They are now say that they will develop the overall strategy, and select the appropri-ate way educate on this regulation. You see that as your job. You have some goodideas which they seemed to walk right past. You do not want this group taking overyour turf.
You need to address the issue with your team member.
Take 5 minutes and respond to the following questions.What is your position? How will you find out their position?What is your interest? What do you imagine their interest might be?What options might be possible?
Role #2Role: Education and Outreach Expert
You have taken a position in the new Education and Outreach unit in your organi-zation. You are an expert putting together interesting materials and using sophisti-cated computer programs to make them appear effective. You believe that DEPcould be much more effective if they concentrated more resources in this area.
You are consulting to a team that is preparing a major outreach effort. You knowexactly how they should proceed. There is a team member who has an interest inthis area, but not much experience. You are eager to show the team that the rightperson was picked to be in the education and outreach unit.
Take 5 minutes and respond to the following questions.What is your position? How will you find out their position?What is your interest? What do you imagine their interest might be?What options might be possible?
Instructor Notes
88 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 8
Steps in Negotiation
Instructor reviews the steps on the participant handout
“Steps in Negotiation.”
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ParticipantHandout
Multimedia Teams II: Solving Problems and Resolving Conflicts 89
Participant HandoutModule 8
Steps in Negotiation
Adapted from William Ury, Getting Past No
Keep Yourself Grounded■ Monitor you self-talk■ Know your “hot buttons”■ Keep breathing■ Keep your interest in mind■ Gain time/distance/clarity
Use silenceAsk for time to think or considerNever make an important decision on the spot
Step to Their Side■ Use reflective listening■ Acknowledge the other’s point of view and stand up for your own…
“You are wanting me to… and I am wanting…”■ State where you agree and where you differ
“We agree that… and we differ about…”■ Use “yes, and” rather than “yes, but.”■ Make “I” statements rather than “You” statements
Explore the Options■ Ask: “Are there other ways we might be able to work this out?”■ Share your interest and invite them to share theirs
“What is important to me is…”“What is most important to you…?”
■ Begin to package: “I am willing to do this…, if you are willing to….”
Reframe When You Meet Resistance“To change the game, change the frame”
■ Treat the other person as a partner rather than an opponent“I think we can find a way together to work this out.”
■ Ask: “Why do you want that?” or “Why is that so important?”(Ask even when you assume you know the answer)
■ Say: “Help me to understand the problem you are trying to solve…”■ Ask “What would happen if…?”■ Ask: “How would you suggest I approach my supervisor with this?”■ Agree where there were problems in the past, and acknowledge that you too
want to avoid those kind of problems in the future
2
Instructor Notes
90 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 8
Multimedia Teams II: Solving Problems and Resolving Conflicts 91
Participant HandoutModule 8
Steps in Negotiation (cont’d)
Bridge the Gap Between Their Interests and Your Own■ Rather than pushing when you meet resistance, build a bridge.■ Help the other save face.■ Break your proposal down into smaller steps they can agree with.■ Consider an “if–then” approach
Reach Agreement■ Restate and summarize
“So we have agreed to….” (state the terms of the agreement specifically)■ Identify any unresolved areas■ Acknowledge your appreciation for any progress made■ If necessary, identify the next steps:
Who?Does What?With Whom?When?
Monitor the Agreement■ Establish a way to check that the agreement is working■ Establish a way that either party can call attention to problems that arise with the agreement
2
Instructor Notes
92 Instructor Notes Multimedia Teams II: Solving Problems and Resolving Conflicts
????
Module 9 Clinic of Team Issues
Ask the group to identify those issues that they are concerned
about when working on a team, and would like to take a few
minutes to discuss. Use the expertise within the group to
provide helpful assistance on these issues. This session can be
expanded if you have additional time.
Instructor: Common concerns raised at this point are:
■ how to get a team started
■ the relationship of the team and its outcomes/products to
management
■ getting agreement from management
■ how members of team get recognized for their
contributions
■ how to deal with team members who do not do their fair
share.
NotesParticipant Notes
Multimedia Teams II: Solving Problems and Resolving Conflicts 93
Module 9
Issues on Concerns with Working on TeamsIn your experience, what issues have you encountered when working on teams?
What do others here suggest might be helpful in addressing these concerns?
Clinic of Team Issues
Instructor Notes
94 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Module 10 Program Summary
With all the new learning about teams, you will observe and
become more aware when things are not going well on the
team and know that there are strategies that can make a
difference. You can find reminders of the strategies in a
number of places.
1. The last page of the handout identifies some common
problems and the recommendations that will help.
2. You will find useful tips in the Team Memory Jogger available at
www.turi.org. A copy should be distributed to each participant.
Encourage them to keep this in their desk drawer or to carry it
in their briefcase for a quick read on the subway. There are
many tips they could use at team meeting tomorrow. Special
reference can be made to:
pg.31 Keys for a good start
pg. 15 Guidelines for interacting on a team
pg. 136 Checklist of common problems
3. You now have the resources of each person in this room who
shares the same understandings about the importance of
teams. Use each other. You do not have to be alone in figuring
out how to improve the functioning of the team.
Instructor: Thank participants for their involvement, questions
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ParticipantHandout
Multimedia Teams II: Solving Problems and Resolving Conflicts 95
Participant HandoutModule 10
Why Teams Don’t Work
Adapted from Harvey Robbins, Why Team Don’t Work
3Program Summary
Solution
Get hidden agendas on the table byasking what people personally wantfrom working on the team
Clarify the reason the team hasbeen formed; define its purpose andexpected outcomes; clarify how theteam’s goal is aligned with thecompany’s goals
Clarify with team members what isexpected of them; define roles andresponsibilities and provide writtencopy for all team members;check that manager expectationsare consistent with team roleexpectations
Choose the decision makingapproaches appropriate to eachdecision
Learn what team members expectand want form one another, whatthey prefer, how they differ, startvaluing and using differences
The leader must learn to serve theteam and keep its vision alive
Create system of free flow of usefulinformation to and from all teammembers
Symptom
People with private agendasworking at cross purposes
People don’t know what they’resupposed to do, or the task makesno sense
Team members are uncertainwhat their job is
Teams may be making the rightdecisions, but the wrong way
Team members do not get along
Leadership is tentative orinconsistent
Team members are groping inthe dark
Problem
Mismatched Needs
Confused Goals,Cluttered Objectives
Unresolved Roles
Poor Decision Making
Personality Conflicts
Poor Leadership
Insufficient Feedback andInformation
Instructor Notes
96 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Evaluation: A paper evaluation form should also be provided so that
participants can note feedback specifically and confidentially.
Give participants time at the end of the course to fill in the
forms and collect them as participants depart the classroom.
Module 11 Review/Closing
Large Group Exercise: Use a plus/delta evaluation to solicit
feedback on the training. In a plus/delta evaluation, the trainer
writes a plus sign at the top of one flipchart and a delta at the
top of a second. The plus (+) represents what worked in the
training and the delta (∆) represents what could be improved.
The trainer quickly reviews the agenda for the training and
then solicits remarks to put on the plus page and on the delta
page. Answers should be recorded in the appropriate column
and useful feedback should be incorporated into the next
course offering.
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+ ∆
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ParticipantWorkbookE V A L
Multimedia Teams II: Solving Problems and Resolving Conflicts 97
Participant HandoutModule 11
Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Evaluation Form
Please complete all parts of this brief evaluation. Results will be used to improve this program. The goals ofthis training are: 1. identify phases in the development of an effective team and the appropriate actions thatcan help the team to increase its effectiveness at each phase; 2. understand and apply a problem-solvingmethod on the team; 3. use a step by step approach to resolving differences and reducing conflict among teammembers; and 4. help team members to apply team skills to pollution prevention efforts. Please rate thefollowing elements of today’s workshop, both in terms of their usefulness in reaching the instructional goaland their overall quality. Please provide written comments in the space provided to explain your rating or tooffer suggestions for improvement.
1. Program Introduction
Comments:
2. Communication Skills
Comments:
3. Assessment of a Team’s Development
Comments:
4. Teams as Problem Solvers
Comments:
5. Generating Solutions
Comments:
6. Selecting Solutions
Comments:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Review/Closing
Instructor Notes
98 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Multimedia Teams II: Solving Problems and Resolving Conflicts 99
Participant Handout
7. Resolving Differences on the Team
Comments:
8. Negotiating Skills on the Team
Comments:
9. Clinic of Team Issues
Comments:
10. Program Summary
Comments:
11. Assess the amount of time/detail devoted to each:
Program IntroductionCommunication SkillsAssessment of a Team’s DevelopmentTeams as Problem SolversGenerating SolutionsSelecting SolutionsResolving Differences on the TeamNegotiating Skills on the TeamClinic of Team IssuesProgram Summary
Comments:
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
too little about right too much
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Instructor Notes
100 Instructor Notes Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Multimedia Teams II: Solving Problems and Resolving Conflicts 101
Participant Handout
12. What was the most significant thing that you learned in today’s training?
13. In what way(s) do you expect to apply what you have learned today in your work?
14. What specific types of training would you like to see offered in the future?
15. Additional comments and suggestions for future training:
This curriculum document has been developed by staff at the Toxics UseReduction Institute (TURI) at the University of Massachusetts at Lowell.The principal curriculum and instructional designer is Jody Hensley, M.Ed.,Senior Education and Training Associate at TURI. Principal documenteditor is Anne Berlin Blackman, J.D, M.A, Education and Training Associateat TURI.
All rights to this curriculum belong to the Toxics Use Reduction Institute(TURI), the Massachusetts Department of Environmental Protection (MADEP) and the United States Environmental Protection Agency (U.S. EPA).The material may be duplicated or used with permission. A request forpermission to duplicate and use portions of the curriculum may be made atthe TURI website: http://www.turi.org.
The views expressed within this curriculum document do not necessarilyrepresent the stated policies of the above agencies nor does citing of tradenames or commercial processes constitute endorsement.
The Toxics Use Reduction Institute is a multi-disciplinary research,education and policy center established by the Massachusetts Toxics UseReduction Act of 1989. The Institute sponsors and conducts research,organizes education and training programs, and provides technical supportto governments to promote the reduction in the use of toxic chemicals inindustry and commerce. Further information can be obtained by writingthe Toxics Use Reduction Institute, University of Massachusetts Lowell,One University Avenue, Lowell Massachusetts 01854, ore-mail www.turi.org.
© Copyright 1999 by the Toxics Use Reduction Institute, University ofMassachusetts Lowell; the Massachusetts Department of EnvironmentalProtection; and the United States Environmental Protection Agency.
DEP
TOXICS USEREDUCTIONINSTITUTE
Pollution Prevention in the Job Function:Regulation and Policy Development
Instructor’s Manual with Participant Materials
Pollution Prevention IntegrationA Training Curriculum for Environmental Agency Staff
Capacity building in the public environmental agency to promotecleaner, safer and more competitive industry while protecting our
natural resources.
This integrated curriculum was designed under the sponsorship of an EPA EnviromentalTechnology Initiative Grant to the Massachusetts Department of Environmental Protection.The Toxics Use Reduction Institute, as contractor to the MA DEP, coordinated the designand publication of curriculum materials in collaboration with the MA DEP Bureau of WastePrevention and the Northeast Waste Management Officials Association.
EPA Project CX 824560-01-0
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process/SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
*P2 in the Job Function:
*
© Copyright 1999 by the Toxics Use Reduction Institute, University of Massachusetts Lowell; the MassachusettsDepartment of Environmental Protection; and the United States Environmental Protection Agency.
Table of Contents and List of Overheads
Module 1: Introduction/Review of Workshop Objectives ......................................................................... 10Workshop Goals ..................................................................................................................................... 11Pollution Prevention in Regulations and Policies ................................................................................ 11
Module 2: Definition of Pollution Prevention and Toxics Use Reduction ................................................ 12What is Pollution Prevention? ............................................................................................................... 13What Does Pollution Prevention Mean? ............................................................................................... 13Waste Prevention Hierarchy .................................................................................................................. 15Who Benefits from Pollution Prevention? ............................................................................................ 15How Does Pollution Prevention Benefit Businesses? ........................................................................... 17Implementing P2.................................................................................................................................... 17Why/How Should Government Agencies Implement P2? ................................................................... 19
Module 3: Process for Policy and Regulatory Development ...................................................................... 20What is an Effective Regulation/Policy Development Process? ........................................................... 21Model of a Regulation and Policy Development Process ..................................................................... 23Define the Problem ................................................................................................................................ 25Team Building ........................................................................................................................................ 25Scoping ................................................................................................................................................... 27Development of Solutions ..................................................................................................................... 27Internal Consensus Building ................................................................................................................. 29External Consensus Building ................................................................................................................. 31External Consensus Building ................................................................................................................. 33Promulgation ......................................................................................................................................... 35Promulgation ......................................................................................................................................... 35Implementation and Evaluation ........................................................................................................... 37Example One: Pollution Prevention Regulation for Auto Finishing Operations ............................... 39Example Two: Pollution Prevention PolicyNON Cover Letter .................................................................................................................................. 41
Module 4: Building Pollution Prevention into the Regulatory Process ..................................................... 44P2 Opportunities During Problem Definition ..................................................................................... 45Problem Definition Stage: Example ...................................................................................................... 47P2 Opportunities During Teambuilding .............................................................................................. 49Opportunities During Scoping ............................................................................................................. 49P2 Opportunities during Development of Solution ............................................................................ 51P2 Opportunities during Internal Consensus Building ....................................................................... 53P2 Opportunities during External Consensus Building ...................................................................... 53P2 Opportunities during Promulgation ............................................................................................... 55P2 Opportunities during Implementation and Evaluation ................................................................. 55
Module 5: Pollution Prevention Information Resources ............................................................................ 58Information Resources........................................................................................................................... 59
Module 6: Case Study Activity — Applying the Lessons from the Workshop .......................................... 61Working Case: Instructions ................................................................................................................... 61Working Case: Overview........................................................................................................................ 61Working Case: Overview........................................................................................................................ 63Working Case: Overview........................................................................................................................ 63Working Case: Overview........................................................................................................................ 65Working Case: Questions to Address .................................................................................................... 65
Module 7: Review/Closing ........................................................................................................................... 70Evaluation: .................................................................................................................................................... 71
Table of Contents
Module 1: Introduction/Review of Workshop Objectives ......................................................................... 11
Module 2: Definition of Pollution Prevention and Toxics Use Reduction ................................................ 13
Module 3: Process for Policy and Regulatory Development ...................................................................... 21
Module 4: Building Pollution Prevention into the Regulatory Process ..................................................... 45
Module 5: Pollution Prevention Information Resources ............................................................................ 59
Module 6: Case Study Activity — Applying the Lessons from the Workshop .......................................... 61
Module 7: Review/Closing ........................................................................................................................... 71
Evaluation: .................................................................................................................................................... 71
Instructor Notes
4 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Icon legend
Trainer needs to
CUSTOMIZE this section to
fit region, agency, etc.Customize
Nex
t…
Transition to NEW TOPIC orCONCEPT
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ParticipantExercise
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ParticipantHandout
HANDOUT, EXERCISE orEVALUATION
referred to in this section
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ParticipantExerciseE V A L
Trainer ASKS SPECIFIC
QUESTIONS at this point????
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FLIPCHART
used in this section
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj#
OVERHEAD (no.)
referred to in this section
PAUSE Video
Start Video
VIDEO used in this section
STOP Video
WWWLog onto WORLD WIDE WEB
“HANDS ON” EXERCISE
“ROUND-THE-CLOCK”
EXERCISE
PAIRED, SMALL or LARGEGROUP EXERCISE
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 5
DRAFT VERSION:
NOT OFFICIAL COPY
6 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Instructional Goals
1. Participants will gain an understanding of the current policy and regulatorydevelopment process in their state.
2. Participants will be more motivated to and more capable of promotingpollution prevention through policies, regulations, and programs.
3. Participants will become familiar with the available resources and tools they canuse to identify options for promoting P2 via regulations and policies.
4. Participants will be able to use these resources and tools to integrate pollutionprevention into regulations and policies.
Training Audience
The audience will include:
1. Policy and regulation writers who develop new or revised regulations andpolicies.
2. Representatives from operations staff who participate in policy and regulationdevelopment.
3. Division directors and deputy directors responsible for steering, reviewing, and/or signing off on new or revised regulations and policies.
4. Attorneys involved in developing policies and regulations.
Performance Objectives
1. Participants will be able to identify information and other resources available tohelp them integrate pollution prevention into regulations and policies.
2. Participants will be able to identify and incorporate pollution preventionoptions into the process of developing regulations and policies.
Pollution Prevention in the Job Function: Regulation and Policy Development
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 7
Instructional Goals
1. Participants will gain an understanding of the current policy and regulatorydevelopment process in their state.
2. Participants will be more motivated to and more capable of promotingpollution prevention through policies, regulations, and programs.
3. Participants will become familiar with the available resources and tools theycan use to identify options for promoting P2 via regulations and policies.
4. Participants will be able to use these resources and tools to integrate pollu-tion prevention into regulations and policies.
Performance Objectives
1. Participants will be able to identify information and other resources availableto help them integrate pollution prevention into regulations and policies.
2. Participants will be able to identify and incorporate pollution preventionoptions into the process of developing regulations and policies.
Pollution Prevention in the Job Function:Regulation and Policy Development
Instructor Notes
8 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Agenda
Module Approximate Time
1 Introduction/Review of Workshop Objectives 15 min
2 Definition of Pollution Prevention and TUR 30 min
3 Process for Policy & Regulatory Development 60 min
4 Pollution Prevention in the Regulatory Process 45–60 min
5 Pollution Prevention Information Resources 45–60 min
6 Case Study Activity 60–75 min
7 Review/Closing 15 min
Total 6–7 hours
Additional Instructor Notes
1. Overhead numbering system: Overheads are numbered sequentially andreferred to (by number) in both the “Instructor Notes” section and the“Participant Notes” section.
2. Space is provided in the student handbook for taking notes and following thediscussion.
3. The instructor should read through the training to identify areas that need to bemodified to suit his or her particular state. This training was designed inMassachusetts for its agencies. Other states may have to engage in a designprocess where management in the agency considers its expectations for howthe staff that is developing policies and regulations should incorporate P2 intotheir activities. Participants in the training need to receive a clear message aboutwhat management expects them to do differently in their jobs as a result ofhaving participated in the training.
Participant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 9
Agenda
Module
1 Introduction/Review of Workshop Objectives
2 Definition of Pollution Prevention and TUR
3 Process for Policy & Regulatory Development
4 Pollution Prevention in the Regulatory Process
5 Pollution Prevention Information Resources
6 Case Study Activity
7 Review/Closing
Instructor Notes
10 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 1 Introduction/Review of WorkshopObjectives
Module One should be introduced by a senior manager in the
agency (e.g., a commissioner, secretary, or his or her deputy).
1. Display Overhead 1. The presenter of this section should
acknowledge the progress made by the agency so far in
building P2 into regulatory activity such as regulations,
enforcement, inspections, and permits. The leader should also
do the following:
■ address why this workshop focuses on regulations and
policies — regulations and policies set the foundation for
other agency staff work, and yet more should be done in
this area with regard to P2;
■ challenge the audience to go further in building P2 into
regulatory activities; and
■ lay out the expectations from senior staff regarding P2 in
regulations and policies — such as when P2 should be
incorporated, and how and when senior managers will look
for P2.
Optional: If time allows, the leader might cover reasons why P2 is
a good strategy; if not, this topic will be addressed in the next
section.
2. Overhead 2 summarizes the goals of this workshop. The
training is intended to provide inspiration, tools, and resources
for staff to build pollution prevention into regulations and
policies.
3. Introduce the presenter of the next section.
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NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 11
Module 1
Pollution Prevention in Regulations and Policiesoverhead 1
A Workshop for Regulatory Agency Staff
■ Why P2 for regulations and policy staff?
■ A challenge to go further in building P2 into regulatory activities
■ Expectations from senior staff
Workshop Goalsoverhead 2
■ Review the pollution prevention definition and the waste prevention
hierarchy.
■ Review basic policy and regulation development process.
■ Help participants identify pollution prevention opportunities during
regulation/policy development.
■ Familiarize participants with P2 resources.
Introduction/Review of Workshop Objectives
Instructor Notes
12 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 2 Definition of Pollution Preventionand Toxics Use Reduction
This module is intended as both a refresher on what pollution
prevention is for those who are already familiar with the
concept and a brief introduction to pollution prevention for
the uninitiated.
1. Review the definition of pollution prevention shown on
Overhead 3 and Overhead 4. This is a broad definition
intended to help participants think about any and all pollution
prevention ideas.
Feel free to substitute the federal definition or your state’s
definition of pollution prevention.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj3
Customize
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 13
What is Pollution Prevention?overhead 3
Pollution prevention is any activity which prevents pollution from being
created in the first place, versus pollution control, which deals with waste
after it has been generated.
■ Pollution Prevention is an umbrella term that covers:
— Toxics use reduction
— Reduction of waste oil, solid waste, etc.
— Water and energy conservation
What Does Pollution Prevention Mean?overhead 4
■ The following practices would be considered pollution prevention:
— equipment or technology modifications
— process modifications
— reformulations or redesign of products
— substitution of raw materials
— improvements in housekeeping, maintenance, training or
inventory control
Module 2Definition of Pollution Prevention and TUR
Instructor Notes
14 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
2. Overhead 5 presents the waste prevention hierarchy, which is
a tool for demonstrating the preferability of various means of
addressing pollution. As the hierarchy shows, pollution
prevention is the optimal method, where it is available,
because it prevents waste from being generated in the first
place. Make sure, however, that you acknowledge to
participants that all of the options for addressing
environmental pollution are useful and necessary at this time.
Module 2
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj5
3. In showing Overhead 6, describe how pollution prevention is a
win-win situation for business and government.
■ Business can be more environmentally friendly and improve
community relations as well as realize financial benefits.
■ Government agencies will be able to regulate better
because less pollution means less monitoring, permitting,
and enforcement.
■ The environment and public health benefit because of
reduced exposure to toxins.
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NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 15
Module 2
Waste Prevention Hierarchyoverhead 5
■ Pollution Prevention
■ Re-use/Recycling
■ Treatment
■ Disposal
Pollution Prevention
Re-use/Recycling
Treatment
Disposal
Who Benefits from Pollution Prevention?overhead 6
■ Business
■ Government Agencies
■ Environment and Public Health
Instructor Notes
16 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
4. Overhead 7 lists reasons why pollution prevention is an
effective strategy for businesses. Businesses that decrease their
toxic use, or that switch to less toxic material, can decrease
their costs of disposal, permitting, compliance, and other fees.
Module 2
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj8 5. Overhead 8 shows ways that businesses can implement
pollution prevention.
■ Process-related techniques include input changes and
similar concepts.
■ Managerial techniques include incentives, attitude changes,
and total quality management.
■ Design techniques include designing for pollution
prevention in the process, designing products to be more
recyclable and reusable, incorporating less toxic elements in
production, and engineering better facility layout to achieve
P2.
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 17
Implementing P2overhead 8
■ Businesses implement P2 in three major ways:
— process-related techniques
— managerial-related techniques
— design-related techniques
How Does Pollution Prevention Benefit Businesses?overhead 7
■ For business, P2 can be a way to save money in terms of:
— Materials management
— Operating cost reductions
— Environmental risk avoidance
— Worker safety/reduced liability
Module 2
Instructor Notes
18 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Review Overhead 9, which lists ways that government
agencies can implement pollution prevention strategies.
Module 2
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NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 19
Module 2
Why/How Should Government AgenciesImplement P2?
overhead 9
■ For regulatory agencies, P2 is a better way to protect the environment
■ P2 can be included in:
— Development of policies and regulations
— Permits, inspections and enforcement
— Technical assistance/outreach
— New protection strategies
Instructor Notes
20 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 3 Process for Policy and RegulatoryDevelopment
This module is intended to walk participants through the
regulatory and policy development process. In the
Massachusetts DEP pilot, senior management took the
opportunity to lay out a number of specific elements of
regulatory/policy development that they wanted to
emphasize. This should be customized to suit individual states’
needs.
Ask participants what makes an effective regulatory process.
On a Flipchart, record their answers. Then, display Overhead
10 which lists some characteristics of an effective regulatory
process. Mention that during the regulatory process, an agency
should be looking for opportunities to leverage pollution
prevention, and that later in this workshop participants will
talk about ways to build P2 into the regulatory process.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj10
Customize
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 21
What is an Effective Regulation/PolicyDevelopment Process?
overhead 10
■ Clarifies real problem(s)
■ Anticipates potential controversies and builds consensus problem solving
■ Engages the right people at the right time at the right level of detail
■ Minimizes delays and major reworks
■ Satisfies legal requirements
■ Identifies collateral support necessary for implementation
■ Supports implementation measures success
■ Fundamentally consistent across the department for type of product
Module 3Process for Policy and Regulatory Development
Instructor Notes
22 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
List the steps involved in a generic regulatory process.
Overhead 11 presents a model of a regulatory process that
was drawn up by Massachusetts DEP staff.
You may want to customize this model by adding or
subtracting steps, depending on how regulation is
promulgated in your state.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj11
Module 3
Customize
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 23
Module 3
Model of a Regulation and Policy Development Processoverhead 11
6. Promulgation/Finalization
7. Implementation and Evaluation
1. Problem Definition
2. Team Building
3. Scoping
4. Development of Solution
5. a. Internal Consensus/Feedback on Draft Regulation/Policy
b. External Consensus/Feedback on Draft Regulation/Policy
Instructor Notes
24 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
2. Team-Building (Overhead 13): Getting the different internal
stakeholders engaged in leadership roles and draft
development can be important when it comes to
implementation of a regulation or policy. This is because more
investment in the drafting and developing phase translates to
more investment in the implementation phase. Team-building
across bureaus, offices, and regions means more than just
soliciting approval from different parts of the agency —
it means involving them in the process. (Note that Overhead
13 refers to administrative units within Massachusetts state
government; customize this overhead to make it appropriate
for your state.)
1. Defining the problem (Overhead 12): This is where the
regulatory/policy development process starts, and it is also
where the pollution prevention consciousness should take
hold. When defining the problem, staff should keep in mind
the waste prevention hierarchy and the preferred methods of
addressing waste. Considering the source of the problem
before jumping into control options can help agency staff
identify pollution prevention solutions to a problem.
Module 3
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj12
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj13
Customize
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 25
Module 3
Define the Problemoverhead 12
■ Pollution prevention & hierarchy
■ Source problem rather than a control problem
Team Buildingoverhead 13
■ BWP and cross bureau
■ Regional
■ EOEA staff
■ External stakeholders
Instructor Notes
26 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
4. Development of Solution: Once a variety of solutions are
identified, agency staff must select one option. The solution
should contain key signoffs, development milestones, and an
effectiveness evaluation plan (see Overhead 15). The
effectiveness evaluation plan should consider how the success
will be evaluated and by whom (i.e., stakeholders).
■ At this stage, the proposed solution should be circulated
within the agency for evaluation. Broader distribution to
outside stakeholders should also be considered.
3. Scoping: Overhead 14 lists key steps in developing the scope
of the regulation or policy.
■ Many policy development attempts can go awry because
the policy developers did not define the problem clearly or
correctly.
■ Involving the stakeholders can help define the problem and
identify solutions.
Module 3
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj14
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj15
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 27
Module 3
Scopingoverhead 14
What should be in the scope?
■ Problem definition
■ Solution options
■ Identification of goals (e.g., regulatory streamlining)
■ Team membership resource needs
■ Development milestones and key signoffs
■ Stakeholders/public impact and potential controversies
■ Program implementation plan
■ Effectiveness evaluation plan
Development of Solutionsoverhead 15
■ Key signoffs within agency
■ Program implementation plan
■ Effectiveness evaluation plan
Instructor Notes
28 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
5. Internal Consensus Building (Overhead 16): The consensus
process is dependent upon whether the item being developed
is a regulation or policy. A regulation generally requires more
formal consensus building than a policy. The need for
consensus also depends on the potential “noise” factor, that is,
who is involved, how they are impacted, and how invested
parties are in the status quo that is being changed.
Internal partners to involve during consensus building include:
■ bureaus/programs/divisions
■ regional/field offices
■ staff attorneys
6. Optional: Ask participants whether/how the presence of pollution
prevention issues affects the potential “noise” factor.
Module 3
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj16
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 29
Module 3
Internal Consensus Buildingoverhead 16
■ Need to gauge potential “noise” factor
■ Involve internal partners
— bureaus/programs/divisions
— regional/field offices
— staff attorneys
■ “buy-in” from middle managers
Instructor Notes
30 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
7. External Consensus Building (Overhead 17): External
consensus building involves partners (e.g., EPA and other
agencies) and stakeholders (e.g., environmental, business and
community groups). Note: You will need to customize
Overhead 17 to reflect how your state works with its external
partners.
External partners may include EPA and other federal agencies.
They may also include other state agencies or offices. In
Massachusetts, for instance, external partners for a DEP
regulation would include the Executive Office of
Environmental Affairs and the Office of Administration and
Finance.
8. Optional: It may be necessary to obtain the approval, not just the
buy-in, of certain external partners. For example, in
Massachusetts, where this training was developed, the
Massachusetts Environmental Protection Act (MEPA) governs the
revision or development of environmental regulations. MEPA
currently requires the submittal of an Environmental Notification
Form (ENF) if a regulatory change will lessen the stringency of any
standard for environmental protection. You should research the
laws of your home state to see if they contain a MEPA-like statute.
If so, you might want to include an overhead here that describes
the role played by such a statute in the overall regulatory
development cycle. You should mention to participants that it is
important to consider whether pollution prevention-oriented
changes to a regulation will trigger an ENF submission or a similar
requirement.
Module 3
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj17
Customize
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 31
Module 3
External Consensus Buildingoverhead 17
A. External Partners
■ federal agencies: e.g., EPA
■ other state agencies
— EOEA
— Administration and Finance
— MEPA review
Instructor Notes
32 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
9. One way to build consensus on a regulation with external
stakeholders is through the Public Notice and Comment Cycle
(Overhead 18). The notice and comment cycle is iterative —
agency staff draft a regulation, receive comments, and redraft
as necessary based on the comments.
Note: You will need to customize Overhead 18 to reflect how
your state works with its external stakeholders.
■ Review the process for drafting a regulation within your
agency. Note that public notice and comment requirements
might not apply to the development of policies.
■ Public information sessions provide an opportunity for
agency staff to gauge stakeholders’ perceptions and
responses before agency management formally signs off on
a draft regulation. Drafters of regulation can also find out if
they need to clarify the issues further — i.e., whether the
regulation’s intended audience is interpreting its language
correctly.
■ Alternative Dispute Resolution (ADR) and Regulatory
Negotiation (RegNeg) are alternatives to the traditional
public notice and comment process. With ADR and RegNeg,
agency staff bring stakeholders together physically and
mediate a regulatory solution.
Module 3
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj18
Customize
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 33
Module 3
External Consensus Buildingoverhead 18
B. External Stakeholders
■ Public Notice and Comment
— public information sessions
— “interested party list”
— Environmental Justice outreach
■ Alternative processes
— Alternative Dispute Resolution (ADR)
— Regulatory Negotiation (RegNeg)
Instructor Notes
34 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
10. Promulgation (overhead 19): During promulgation, the
regulation is made available to the public. Promulgation
involves a variety of steps, including: assembly of supporting
documentation, and public notice.
■ Supporting documents may be necessary in order to make a
regulation or policy “official.” Overhead 20 lists the
supporting documentation that is required in
Massachusetts to promulgate an environmental regulation.
Customize this overhead to reflect your state’s
requirements.
11. Regulatory staff occasionally need non- traditional means to
reach their intended audiences. In Massachusetts, the
Environmental Monitor is a good alternative to newspapers
because it can provide an agency with the opportunity to
explain the proposed regulation or policy. Massachusetts also
has an “interested party list,” a consolidated list of people
interested in changes to certain regulations and policies.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj19
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj20
Module 3
Customize
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 35
Promulgationoverhead 19
■ Need to make regulation or policy available and accessible
— publication in Environmental Monitor
— outreach to community through non-English speaking press
— trade associations
— Internet
Promulgationoverhead 20
■ Prepare supporting documentation (for rules and regulations)
— cost-benefit analysis (required under Executive Order 384)
— approval from Office of General Counsel
— cover memo on final draft approval must show how regulation affects:
• efficiency and streamlining
• pollution prevention
• resource implementation
• staff training and policy development
— Commissioner’s sign-off
— memo to EOEA requesting approval to promulgate
— Memo responding to public comments on draft regulation
Module 3
Instructor Notes
36 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
12. Implementation and evaluation (Overhead 21): If a regulatory
process builds in implementation from the beginning,
implementation will proceed more smoothly.
■ Evaluation works best if the people giving the feedback
have been a part of the team from the beginning. During
the evaluation stage, stakeholders should provide feedback
as to whether the goals set out by the original stakeholders
and drafters have been met by the regulation or policy.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj21
Module 3
Indicate to participants that you are now going to present two
examples of an agency considering P2 opportunities during
the development of 1) a regulation and 2) a policy.
The examples given describe the experience of the
Massachusetts Department of Environmental Protection. You
may wish to customize by substituting examples and
participant handouts that summarize your state’s experiences.
Nex
t…
Customize
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 37
Implementation and Evaluationoverhead 21
■ Implementation issues should be addressed up-front during design phase
■ Implementation process should involve the stakeholders who will provide
evaluation feedback
Module 3
Instructor Notes
38 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
13. Overhead 22 presents an example of an agency considering
P2 opportunities during the development of a regulation. Refer
participants to Participant Handout 3 at the back of their
Manuals for a more complete description of this example.
In reviewing Overhead 22, address the following points:
■ The Massachusetts Department of Environmental
Protection (DEP) needed a method for limiting the release
of Volatile Organic Compounds (VOCs) from automotive
refinishing facilities. It wanted to limit the release of the
VOCs at the source rather than attempt to capture VOCs
already in the air.
■ DEP adopted a new regulation that went straight to the
source of the VOC emissions. The “end-of-pipe” controls
were replaced by various P2 strategies (see Overhead 22,
bullet point 2).
■ Successes: In this case, the Massachusetts DEP succeeded in
■ defining the problem being addressed as a P2 problem
rather than a pollution control problem, and
■ putting together a regulation development team that
included key outside stakeholders.
■ Lessons learned for the development of future regulations: DEP
is now working on making information on the regulation
easily accessible to the public and to industry by continuing
community outreach programs and assembling an
autobody regulatory compliance handbook.
Optional: Discuss with participants any suggestions for improving how the
Massachusetts DEP might consider P2 in developing another
regulation.
Module 3
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj22
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 39
Module 3
Example One: Pollution Prevention Regulation forAuto Finishing Operations
overhead 22
■ Problem: MA DEP wanted to reduce the amount of VOCs from the large
number of small auto shops
■ Solution: Prevent releases at all the sources in a small shop
• Product formulation — limit VOC in per unit volume
• Equipment design — high volume/low pressure sprayer
• Equipment maintenance — enclosed cleaning and waste recycling
• Equipment operations — keeping paint can closed
■ Lessons learned: Make the regulation accessible and available
• Initial outreach — to community and industry networks
• Input — invite stakeholders to help with the drafting
• Follow through — workbooks
See Participant Handout #3 in this Manual for a more complete description.
Instructor Notes
40 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
14. Overhead 23 presents an example of an agency considering
P2 opportunities during the development of a policy. Refer
participants to Participant Handout 4 at the back of their
Manuals for a more complete description of this example.
In reviewing Overhead 23, address the following points:
■ The Massachusetts Department of Environmental
Protection (DEP) wanted a way to leverage P2 in lower-level
enforcement actions by its Bureau of Waste Prevention
(BWP) via Notices of Non-Compliance (NONs). It already had
a mechanism for requiring P2 in the penalty phase of a
higher-level enforcement action, but most of the agency’s
enforcement actions are lower-level. To accomplish this
objective, the agency incorporated language into the
standard cover letter accompanying every NON, including:
— A statement that P2 is the preferred method for
returning to compliance, and
— A generic referral to the Massachusetts Office of
Technical Assistance (OTA), a non-regulatory state
agency that provides free and confidential P2 technical
assistance to companies.
■ During the first 6 months after finalization of this policy,
approximately 70% of all BWP NONs used the standard
cover letter. However, it has been difficult for DEP to
determine whether and to what extent companies have
taken P2 measures specifically as a result of the revised NON
cover letter language.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj23
Module 3
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantHandout
Nex
t…
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 41
Module 3
Example Two: Pollution Prevention PolicyNON Cover Letter
overhead 23
■ Problem: How to leverage P2 as the preferred means of compliance for lower
level enforcement actions
■ Solution: Policy that required the standard cover letter accompanying
Notices of Noncompliance (NONs)
• DEP policy statement — P2 is the preferred method of return to
compliance
• Assistance — referral to MA Office of Technical Assistance for on-site
P2-oriented engineering assistance
• Concrete suggestions — specific P2 recommendations with
compliance link
See Participant Handout #4 in this Manual for a more complete description.
Instructor Notes
42 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
■ Successes: In this case, the Massachusetts DEP succeeded in
■ defining the problem being addressed as a P2 problem
rather than a pollution control problem, and
■ increasing implementation by working P2 into an
already-established procedure (i.e., cover letters to
NONs).
■ Lessons learned for the development of future policies:
■ More on-going staff training and promotion of the
importance and value of P2 may be needed to increase
the effectiveness of a policy’s implementation.
■ DEP attorneys and field staff, as well as staff from the
OTA, should be more involved in the policy development
process.
Optional: Discuss with participants any suggestions for
improving how the Massachusetts DEP might consider P2 in
developing another policy.
Module 3
Participant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 43
Module 3
The Massachusetts DEP might improve how it considers pollution prevention in developing policies andregulations in the following ways:
Instructor Notes
44 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 4 Building Pollution Preventioninto the Regulatory Process
This module discusses ways of building pollution prevention
into the different steps in the regulatory process, as outlined in
Module 3:
1. Problem Definition
2. Team Building
3. Scoping
4. Development of Solution
5. a. Internal Consensus/Feedback On Draft Regulation/Policy
b. External Consensus/Feedback On Draft Regulation/Policy
6. Promulgation/Finalization
7. Implementation and Evaluation
This module walks participants through the regulatory
development cycle again in order to engage participants in a
discussion about ways to build P2 into each step.
In this module, it is important to let the participants know
what their managers expect from them at each step in the
regulatory development process, in terms of P2. Use specific
real-life examples from your state to illustrate possibilities and
expectations.
Display Overhead 24. One way of encouraging P2 through a
draft regulation is to broadly define the underlying problem
(i.e., look at the “big picture” implications of a regulation). When
drafting any regulation, agency staff should give serious
thought as to how the regulation might improve the quality of
the environment.
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj24
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 45
Module 4
P2 Opportunities During Problem Definitionoverhead 24
■ Define underlying problems broadly (in terms of environmental impact)
■ Use “true” brainstorming, then narrow the focus
■ Include P2 goals as stated objectives
Pollution Prevention in the Regulatory Process
Instructor Notes
46 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
■ During the problem definition stage a common tendency is
to offer solutions immediately, before the problem is agreed
upon and understood. Reaching a clear and shared
definition of the problem at the outset can save time and
effort spent on reworking policies or regulations. The
instructor should explain to participants that “true”
brainstorming involves the generation of as many ideas as
possible, without evaluation or judgment. Engaging in “true”
brainstorming may increase the likelihood that P2 solutions
will be identified.
■ Example (Overhead 25): In Massachusetts, the DEP drafted a
regulation to streamline the hazardous waste (HW)
recycling permit process. The initial goal of this regulation
was to reduce the level of agency effort in reviewing certain
HW on-site recycling permits by streamlining the HW
permitting process (from a case-by-case review to a
presumptive approval). The staff developing this regulation
did not identify P2-oriented solutions because they did not
define the problem in terms of pollution prevention. By
contrast, other agency staff members whose job it was to
promote P2 via all of the agency’s activities took a broader
view and saw the underlying problem as the amount of
hazardous waste being released to the environment. In their
view, one goal of the regulation should be to reduce
facilities’ need for recycling permits by encouraging the
reduction of waste generated in the first place. These staff
members suggested requiring facilities to write P2 plans if
they wanted streamlined recycling permits. Unfortunately,
this suggestion was not incorporated into the final
regulation.
Module 4
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj25
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 47
Module 4
Problem Definition Stage: Exampleoverhead 25
■ Massachusetts DEP drafted a regulation to streamline the hazardous waste
(HW) recycling permit process
■ Staff had competing views of goals of regulation:
— encourage facilities to recycle rather than discard HW, versus
— reduce facilities’ need for recycling permits by encouraging the reduction
of waste generated in the first place
Instructor Notes
48 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Display Overhead 26.
The scoping phase begins after agency staff has built
consensus on the problem identification, has analyzed some of
the underlying causes, and is beginning to look for solutions.
Overhead 27 lists some ways that are useful in identifying P2
solutions. The key questions that arise in the draft
development phase are: Which regulatory tools should be built
in to the regulation? Who should select these tools?
■ Numerous regulatory tools exist for integrating P2 into draft
policies or regulations.
■ Optional: Conduct a group exercise in which workshop
participants draw up a list of tools for promoting P2 via
regulations and policies. If they need help, get them started
with an example such as “Requiring P2 Planning.” Record these
tools on a flipchart. Afterwards, refer participants to the list of
regulatory tools in Handout 1, which is located towards the
end of the Manual, for a comparison with the list generated by
participants.
OR
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj27
Module 4
Nex
t…
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantHandout
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj26
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 49
Opportunities During Scopingoverhead 27
■ Use brainstorming first, then narrow the focus
■ Use P2 resources available to identify P2 solutions
■ Consult with stakeholder groups; empower those being regulated
Module 4
P2 Opportunities During Teambuildingoverhead 26
■ Include “forward-thinking” agency staff who have had P2 training
and experience
■ Include staff from a P2 office/bureau, if one exists
■ Seek input from external stakeholders?
Instructor Notes
50 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
■ Refer participants to the list of regulatory tools in
Participant Handout 1, which is located on page 57 of the
Manual. Briefly review this list with participants.
■ The regulated community can be useful in helping agency
staff to identify and select solutions because it has technical
and empirical knowledge. Other pollution prevention
resources exist which can help agency staff identify which
regulatory tools to use for a particular policy or regulation
(see Module 5).
3. Display Overhead 28. Discuss with participants how the waste
prevention hierarchy shown in Module 3 can be a useful tool
for narrowing down and prioritizing the list of potential
solutions generated in the brainstorming stage. At the same
time, the instructor should remind participants that
management does not expect agency staff to eliminate good
ideas just because they do not fall under the category of
“pollution prevention”.
Ideally, P2 measures of success should be built in to the
regulation or policy during the solution development process.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj28
Module 4
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 51
P2 Opportunities during Development of Solutionoverhead 28
■ Consider P2 as a selection criterion, and reductions in pollution as a success
measure
■ Use the waste prevention hierarchy to help prioritize possible solutions
Module 4
Instructor Notes
52 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Display Overhead 30.
■ Feedback from pollution prevention groups and resources
will be helpful in making sure that agency staff have
explored all of the P2 angles available.
■ Outside stakeholders can help agency staff think through
the implementation issues. They will also be able to help
identify the barriers to implementation and whether or not
the regulation will work from a facility standpoint.
Module 6
4. Display Overhead 29.
■ Before agency management signs off on a draft regulation
or policy, it should ask agency staff how the regulation or
policy promotes pollution prevention. [Note: This review
procedure is required in Massachusetts.] If the regulation or
policy does not promote pollution prevention, agency
management should ask agency staff how it explored P2
opportunities and why P2-oriented solutions were rejected.
■ Agency staff should be required to indicate which P2
resources they have consulted. This type of accountability
gives agency staff the message that management values P2
and views it as an integral part of regulation drafting and
policymaking.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj29
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj30
Module 4
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 53
P2 Opportunities during Internal Consensus Buildingoverhead 29
■ Consult with P2 office/bureau, if one exists, to ensure that P2 has been
adequately incorporated
■ Management should promote P2 by routinely asking the following
questions:
— Where is the P2?
— Were the P2 opportunities explored?
— Is there an implementation plan to support the P2 elements?
P2 Opportunities during External Consensus Buildingoverhead 30
■ Consult with external partners (EPA, other state agencies, P2 resources) to
ensure that P2 has been adequately incorporated
■ External stakeholders can provide a “reality check”
Module 4
Instructor Notes
54 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Display Overhead 32.
■ Implementing pollution prevention requires staff training in
P2, staff and facility incentives to do P2, and P2-friendly
supporting procedures.
■ In order to evaluate a regulation’s effectiveness, agency staff
should ask the following questions:
■ How much pollution did the regulation prevent?
■ Did the benefits of preventing the pollution outweigh
the costs?
■ Was the regulation technically feasible? Enforceable?
■ An evaluation of the regulation will require the
quantification and gathering of the proper data.
Display Overhead 31.
■ Even after a draft regulation has been finalized,
opportunities exist to promote P2:
■ In the supporting documents that must be included in a
final regulation package, agency staff should indicate that a
P2 options analysis was done and should summarize the
results of such analysis.
■ The memorandum that agency staff must draft in response
to public comments should address the P2 impact and
implications of the new regulation.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj32
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj31
Module 4
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 55
P2 Opportunities during Promulgationoverhead 31
■ Supporting documents should indicate that a P2 options analysis was done
■ Agency memo responding to public comments should address the P2
impace and implications of the new regulation
P2 Opportunities during Implementation andEvaluation
overhead 32
■ Ensure adequate staff training, incentives, supporting procedures,
infrastructure
■ Enlist assistance from outside P2 resources and stakeholders
■ Try to answer: How much pollution did the regulation prevent?
■ For evaluation, identify data to be quantified
Module 4
Instructor Notes
56 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 4
Participant Handout
Pollution Prevention in the Job Function: Regulation and Policy Development 57
Tools for Integrating P2 into Regulations/Policies
1. Incentive-type tools■ fee waivers/fee differentials■ fee modification■ amnesty from enforcement■ exemption from requirements■ reporting modification/streamlining (e.g., unified reporting)■ permit modification/streamlining (e.g. whole facility/bubble permitting)■ penalty mitigation
2. Technical Assistance■ voluntary referrals to OTA, TURI, etc. (with or without incentives). This
can be a pre-requisite for benefits and/or as an example of good faith
3. Not requiring specific control technologies and encouraging P2 mecha-nisms
4. P2 planning requirements■ Voluntary (with or without incentives)■ Mandatory (required P2 planning, required hierarchy evaluation, imple-
mentation of options)■ enforcement
5. Specific P2 Techniques■ Voluntary (with or without incentives)■ Mandatory
6. Awards and Recognition■ the “good doobie” sticker
7. Whole facility/multi media approaches■ including the consideration of cross-media transfers
Implementation Mechanisms
1. Certification Requirements
2. Applications (permit applications)
3. Cover Letters (enforcement document cover letter)
4. Guidance
1Module 4
Instructor Notes
58 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 5 Pollution Prevention InformationResources
The focus of the presentation on information resources should
be how these resources assist a regulatory agency staff person
when trying to promote P2 via regulations and policies.
1. Information Resources: Overhead 33 lists the information
resources that were covered in this training in Massachusetts.
You will want to identify resources, agencies, or associations
that provide technical information and policy assistance to the
regulating agency in the appropriate state. Ideally, you could
arrange for a representative of these resources to briefly speak
(5–10 min. each) about what assistance they can provide to the
regulatory agency. You might also want to research electronic
resources (i.e., on the internet), publications, and other
databases that will be useful for the regulatory agency when it
is developing pollution prevention in rules and regulations.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj33
Customize
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 59
Information Resourcesoverhead 33
■ DEP TURA Unit
■ DEP’s Massachusetts Environmental Library
■ Toxics Use Reduction Institute (TURI)
■ Office of Technical Assistance
■ Northeast Waste Management Officials’ Association (NEWMOA)
Module 5Pollution Prevention Information Resources
Instructor Notes
60 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 6 Case Study Activity — Applying theLessons from the Workshop
1. Small Group Case Study (refer participants to Participant
Handout #2 later in this module): This is a sample of a working
case and instructions that was used when this training was
developed in Massachusetts. You may want to develop a
similar working case based on a policy or regulation that is
currently being developed in your home state.
Using Overhead 34 through Overhead 39, give the
instructions as seen in overhead # 32, explain the case as
outlined in overhead #’s 33 through 36, and outline the
questions to address in the working case as detailed in
overhead # 37.
After groups have addressed all three questions, reconvene
the large group and have small group spokespersons report
out the results of their group’s discussions.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj34–39
Customize
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 61
Working Case: Instructionsoverhead 34
■ Break into small groups, select recorder and reporter
■ Understand the case
■ Brainstorm P2 opportunities (use tools list)
■ Brainstorm potential resources
■ Select recommended P2 option(s)
■ Report out
Working Case: Overviewoverhead 35
■ The Environmental Results Program replaces minor permits with
— Performance standards
— Compliance assistance
— Annual self-certification compliance
■ Goals of ERP
— Improve performance (including finding scofflaws)
— Smartest use of staff (permitting vs compliance/enforcement)
— Promote P2
Module 6Case Study Activity
Instructor Notes
62 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 6
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 63
Working Case: Overviewoverhead 36
■ Industrial Wastewater (IW) is any wastewater other than sanitary.
■ IW Sewer Discharge System before ERP consisted of:
— DEP discharge permit
— DEP Pre-treatment Approval
— Local Discharge Permit and/or Standards
Working Case: Overviewoverhead 37
■ Legacy of Pre-ERP Sewer Discharge Program:
— Most dischargers are without DEP sewer discharge permits
— DEP sewer permits are often redundant with local sewer permits
Module 6
Instructor Notes
64 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 6
NotesParticipant Notes
Pollution Prevention in the Job Function: Regulation and Policy Development 65
Working Case: Questions to Addressoverhead 39
■ What options were brainstormed?
■ What information resources would you pursue?
■ What is your recommended option?
Working Case: Overviewoverhead 38
■ ERP approach for sewer dischargers
— certify compliance with all local and federal permits
— certify compliance with new statewide general standards/prohibitions
Module 6
Instructor Notes
66 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 6
Participant Handout
Pollution Prevention in the Job Function: Regulation and Policy Development 67
Case Study Activity #1: P2 in ERP for Massachusetts SewerDischargers
ERP Background:
The Environmental Results Program (ERP) is a new regulatory approach for smalland mid-sized commercial and industrial facilities in Massachusetts. ERP replaces therequirement to obtain certain “minor” permits with:■ performance standards,■ easy to use compliance assistance materials,■ and an annual self-certification of compliance (signed by a senior company
official).
The goals of ERP include improving company environmental performance andcompliance, bringing scofflaws into the system, and shifting Massachusetts Depart-ment of Environmental Protection (DEP) staff time out of low value-added permit-ting into more beneficial areas such as increased compliance and enforcement. ERPhas already been implemented for the photoprocessing and dry-cleaning industrialsectors and ERP for commercial printers is nearing roll-out.
ERP for Sewer Dischargers:
The next ERP target is the current Massachusetts permitting requirements for dis-chargers of industrial wastewater to the sewer. Currently, any entity who dischargesany amount of industrial (i.e., non-sanitary) wastewater to the sewer must obtain astate industrial discharge permit from DEP. If the entity also pretreats that wastewaterprior to discharge it is expected to obtain a permit from DEP for its pretreatmentoperation (called a pretreatment plan approval). In addition to these state require-ments, there are also federal standards that apply to the most significant types ofdischarges. The local sewer authority (also called Publicly Owned Treatment Works, orPOTW) also has regulatory jurisdiction over these discharges. The POTW’s oftenrequire the most significant dischargers to obtain local discharge permits and mayhave sewer ordinances that lay out other performance standards for dischargers.
Of the 14,000 suspected industrial wastewater sewer dischargers in Massachusetts,fewer than 1,000 have obtained state sewer discharge permits and plan approvals.When state permits are issued they are often redundant with the locally issued permit.Under ERP, DEP will eliminate state sewer discharge permits and state pretreatmentplan aProval requirements. Under one scenario being considered for sewer discharg-ers, these permits will be replaced with a requirement that the discharger certifyannually to DEP that it is in compliance with all local and federal sewer rules andpermits. The discharger must also certify that is in compliance with some new generalstandards and prohibitions (such as a prohibition against disposing of hazardouswaste down the sewer).
2Module 6
Instructor Notes
68 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 6
Participant Handout
Pollution Prevention in the Job Function: Regulation and Policy Development 69
2 cont’d
The Challenge — Incorporating P2 into ERP for Sewer Dischargers:
Pollution prevention is one of the major goals of ERP. The present permit system hasseen limited incorporation of P2 during the pretreatment plan approval and sewerdischarge permit process. The ERP Design Group has urged DEP to incorporate P2into ERP Sewer Discharges in order to reduce pollutant loading to the POTW’s andtheir receiving water bodies.
Using the skills you brought with you to today’s workshop as well as what you havelearned today (including the list of tools for integrating P2 into regulations andpolicies), your team should:
1. Brainstorm options for how to promote P2 via ERP for sewer dischargers.
2. Identify information resources you would pursue to help you with this task.
3. Select a recommended option for P2 in ERP sewer dischargers.
4. For your selected option, identify:■ What are the environmental benefits?■ What are the likely economic impacts on the sewer dischargers?■ What “noise” is likely?
Module 6
Instructor Notes
70 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Module 7 Review/Closing
Large Group Exercise: The trainer will use a plus/delta
evaluation to solicit feedback on the training. In a plus/delta
evaluation, the trainer writes a plus sign at the top of one
flipchart and a delta at the top of a second. The plus (+)
represents what worked in the training and the delta (∆)
represents what could be improved. The trainer quickly
reviews the agenda for the training and then solicits remarks
to put on the plus page and on the delta page. Answers should
be recorded in the appropriate column and useful feedback
should be incorporated into the next course offering.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
+ ∆
Evaluation: A paper evaluation form should also be provided so that
participants can note feedback specifically and confidentially.
Give participants time at the end of the course to fill in the
forms and collect them as they depart the classroom.
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ParticipantWorkbookE V A L
Pollution Prevention in the Job Function: Regulation and Policy Development 71
Participant Evaluation
Pollution Prevention In Job Function: Regulation and Policy Development
Evaluation Form
Please complete all parts of this brief evaluation. Results will be used to improve this program. The instruc-tional goals of this P2 in job function training are: 1) to review the process for developing policies and regula-tions, 2) to improve participant ability to identify and maximize opportunities to build pollution preventioninto the process for developing policies and regulations, and 3) to increase participant inclination to workpollution prevention into their policymaking and regulation drafting activities. Please rate the followingelements of today’s workshop, both in terms of their usefulness in reaching the instructional goal and theiroverall quality. Please provide written comments in the space provided to explain your rating or to offersuggestions for improvement.
1. Introductions/Review of Workshop ObjectivesComments:
2. Review of Definition of P2 & TURComments:
3. Process for Policy & Regulatory DevelopmentComments:
4. P2 in the Regulatory ProcessComments:
5. P2 Information ResourcesComments:
6. Case Study ActivityComments:
7. Review/ClosingComments:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Module 7: Review/Closing
Instructor Notes
72 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Pollution Prevention in the Job Function: Regulation and Policy Development 73
Participant Evaluation
8. Assess the amount of time/detail devoted to each:
Introductions/Review of Workshop ObjectivesDefinition of Pollution Prevention and Toxics Use ReductionProcess for Policy and Regulatory DevelopmentP2 in the Regulatory ProcessP2 Information ResourcesCase Study ActivityReview/Closing
Comments:
9. What was the most significant thing that you learned in today’s training?
10. In what way(s) do you expect to apply what you have learned today in your work?
11. What specific types of training would you like to see offered in the future?
13. Additional comments and suggestions for future training:
too little about right too much
cont’d
Instructor Notes
74 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Participant Handout
Pollution Prevention in the Job Function: Regulation and Policy Development 75
Case Study (Massachusetts): P2 in Automotive Refinishing Regulations
1. Problem
The Bureau of Waste Prevention (BWP) of the Massachusetts Department of Environmental Protection (DEP)needed a method for limiting the release of Volatile Organic Compounds (VOCs) from automotive refinishingfacilities. BWP wanted to limit the release of the VOCs at the source rather than attempt to capture VOCsalready in the air. Also, BWP lacked an efficient method of controlling the amount of VOCs present in thepaints/lacquers.
2. Prior Status
The DEP had limited authority over automotive refinishing facilities releases of VOCs. There were a few largefacilities with permits for VOC releases, but the vast majority of facilities were too small to require a permit. Atthe large facilities holding permits the regulatory method was end-of-pipe restrictions, typically met by carbonadsorption devices.
3. New Policy Solutions
The new regulation went straight to the source of the VOC emissions. The “end-of-pipe” controls were re-placed by emission control strategies requiring the following:
■ The use of High Volume Low Pressure (HVLP) spray equipment and electrostatic applicationequipment.
■ The cleaning of spray guns in an enclosed device that minimizes solvent evaporation, reuses thesolvent when possible and disposes properly of spent solvent.
■ Keeping any solvent containers that are not being used sealed at all times to eliminate spillage andevaporation.
■ Restriction on the amount of VOCs, per unit volume, in various coating products.
Along with these requirements the facilities are now required to train their employees on proper spray gun andspray gun cleaning practices. A “good neighbor” policy was also established which requires the facility toprevent emissions of particulates or odors which create a nuisance or condition of air pollution.
4. Lessons Learned
A. BWP Gains
The DEP is now able to regulate all facets of automotive refinishing down to the smallest facility. Throughemission limitations, per unit volume, the DEP can now regulate production of the paints and lacquers. TheDEP has also established the ability to check the compliance of the facilities through testing proceduresdescribed by the EPA. The requirements are typically met by most facilities inspected by the DEP since theinstallation of the new regulation.
The regulation aimed at reducing VOC emissions by 40%, but this is yet to be demonstrated by the DEP.
3
Instructor Notes
76 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Participant Handout
Pollution Prevention in the Job Function: Regulation and Policy Development 77
B. Implementation Lessons■ The language used in the regulation must be universal so that the rules can be applied to all members
of the community regardless of facility size and practices.■ Small businesses must be able to understand the requirements, so keep the language simple.■ Make the information on the regulation easily accessible to the public and continue on-going commu-
nity outreach programs. The DEP is currently assembling an autobody regulatory compliance hand-book.
C. Process Lessons■ Input from stakeholders with working knowledge of the on-site problems must be brought into the
regulation’s development (e.g., DEP inspectors, the Massachusetts Office of Technical Assistance, andautobody shop owners/operators).
3 cont’d
Instructor Notes
78 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Participant Handout
Pollution Prevention in the Job Function: Regulation and Policy Development 79
Case Study (Massachusetts): P2 Cover Letters for Notices ofNon-Compliance (NONs)
1. Problem:
For the Bureau of Waste Prevention (BWP) of the Massachusetts Department of Environmental Protection(DEP), Notices of Non-Compliance (NONs) are the first level of enforcement action for all but serious viola-tions. BWP wanted a simple method for using NONs issued to industrial and commercial facilities to leverageP2. However, BWP lacked the legal authority to require via NON the use of P2 to correct violations.
2. Prior Status:
All NONs were required to include a cover letter with standard language outlining when the violations werediscovered violations. The NON itself outlines the violation observed and the corrective actions requested.This cover letter made no reference to P2.
3. New Policy Solution:
The new policy mandated that all BWP NONs must use a standard cover letter. This standard cover letterincludes the following components:
■ Standard language promoting P2 as a preferred means of achieving compliance.■ Standard language encouraging the violator to voluntarily seek the P2 assistance of the Massachusetts
Office of Technical Assistance (OTA), the Massachusetts Toxics Use Reduction Institute (TURI), and/or DEP.
■ A “placeholder” paragraph in which BWP staff can suggest that the violator consider specific P2opportunities that were identified by the BWP.
■ A “placeholder” paragraph in which BWP staff can state possible connections between implementingthese P2 options and correcting the violations observed.
■ Copies to OTA.
After BWP adopted this policy, OTA began selectively contacting many of the facilities after OTA received itscarbon copy of the NON in order to offer its services.
4. Lessons Learned:
A. BWP Gains
During the first 6 months after finalization of this policy, approximately 70% of all BWP NONs used thestandard cover letter. (Many of the non-compliant NONs were likely to have been issued to non-industrial ornon-commercial facilities, such as landfills or asbestos abatement operations.) While tracking is inadequate,BWP enforcement (95% of which is NON-level) appeared to be the driving force behind an average of about23 site visits per year by OTA — 18% of OTA’s total annual site visits. OTA estimates that half of all facilitiesthey visit go on to implement P2, and that these facilities reduce their generation of toxics by a conservativeestimate of 37,000 pounds per year. (Note that the success rate of these NON-driven referrals dropped after thefirst year of implementation of the BWP policy.)
4
Instructor Notes
80 Instructor Notes Pollution Prevention in the Job Function: Regulation and Policy Development
Participant Handout
Pollution Prevention in the Job Function: Regulation and Policy Development 81
B. Implementation Lessons■ Adding P2 onto an already-established procedure (e.g., cover letters to NONs) increases implementa-
tion.■ Offering standard language increases implementation.■ More on-going staff training and promotion of the importance and value of the P2 NON may be
needed to increase the use of the cover letter and the OTA referral effectiveness.■ Better feedback system on OTA site visit outcomes is needed.■ In drafting NONs, BWP staff rarely use the option of linking P2 to the violation remedy, and most do
not even identify specific P2 opportunities.■ DEP could consider offering an incentive to violators who implement P2 and/or utilize OTA’s services.■ DEP could follow up with violators to see if P2 was implemented (e.g., when it verifies that the facility
has complied with the enforcement action).
C. Process Lessons■ More OTA involvement in the policy development process may have been warranted.■ DEP attorneys should have been involved in the policy development process.■ More field staff should have been involved in the policy development process.■ Building P2 into the already existing NON cover letter process was a good idea.
4 cont’d
This curriculum document has been developed by staff at the Toxics UseReduction Institute (TURI) at the University of Massachusetts at Lowell.The principal curriculum and instructional designer is Jody Hensley, M.Ed.,Senior Education and Training Associate at TURI. Principal documenteditor is Anne Berlin Blackman, J.D, M.A, Education and Training Associateat TURI.
All rights to this curriculum belong to the Toxics Use Reduction Institute(TURI), the Massachusetts Department of Environmental Protection (MADEP) and the United States Environmental Protection Agency (U.S. EPA).The material may be duplicated or used with permission. A request forpermission to duplicate and use portions of the curriculum may be made atthe TURI website: http://www.turi.org.
The views expressed within this curriculum document do not necessarilyrepresent the stated policies of the above agencies nor does citing of tradenames or commercial processes constitute endorsement.
The Toxics Use Reduction Institute is a multi-disciplinary research,education and policy center established by the Massachusetts Toxics UseReduction Act of 1989. The Institute sponsors and conducts research,organizes education and training programs, and provides technical supportto governments to promote the reduction in the use of toxic chemicals inindustry and commerce. Further information can be obtained by writingthe Toxics Use Reduction Institute, University of Massachusetts Lowell,One University Avenue, Lowell Massachusetts 01854, ore-mail www.turi.org.
© Copyright 1999 by the Toxics Use Reduction Institute, University ofMassachusetts Lowell; the Massachusetts Department of EnvironmentalProtection; and the United States Environmental Protection Agency.
DEP
TOXICS USEREDUCTIONINSTITUTE
Pollution Prevention IntegrationA Training Curriculum for Environmental Agency Staff
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process/SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
Capacity building in the public environmental agency to promotecleaner, safer and more competitive industry while protecting our
natural resources.
*
This integrated curriculum was designed under the sponsorship of an EPA EnviromentalTechnology Initiative Grant to the Massachusetts Department of EnvironmentalProtection. The Toxics Use Reduction Institute, as contractor to the MA DEP, coordinatedthe design and publication of curriculum materials in collaboration with the MA DEPBureau of Waste Prevention and the Northeast Waste Management Officials Association.
EPA Project CX 824560-01-1
P2 in Regulatory Enforcement atCommercial and Industrial Facilities
*P2 in the Job Function
Instructor’s Manual with Participant Materials
© Copyright 1999 by the Toxics Use Reduction Institute, University of Massachusetts Lowell; the MassachusettsDepartment of Environmental Protection; and the United States Environmental Protection Agency.
Table of Contents and List of Overheads
Module 1: Welcome ................................................................................................................................... 12
Pollution Prevention in Enforcement ................................................................................................ 13
Module 2: Introduction and Review of Workshop Objectives ................................................................ 14
Workshop Goals .................................................................................................................................. 15
Module 3: Definition of Pollution Prevention and Toxics Use Reduction ............................................. 16
What is Pollution Prevention? ............................................................................................................ 17
What Does Pollution Prevention Mean? ............................................................................................ 17
Waste Prevention Hierarchy ............................................................................................................... 19
Who Benefits from P2? ....................................................................................................................... 19
How Does P2 Benefit Business? ......................................................................................................... 21
How Does Business Implement P2? ................................................................................................... 21
Why/How Should Government Agencies Implement P2? ................................................................ 21
Module 4: Review of Pollution Prevention Opportunities in the Field .................................................. 22
P2 Tips: Schematic of Typical Industrial Operation ........................................................................ 23
Module 5: Review Regulatory EnforcementProcess; Brainstorm Opportunities for Pollution
Prevention Activities ........................................................................................................................... 26
Compliance Inspection & Enforcement Process ............................................................................... 27
Module 6: Using Pollution Prevention Information Resources .............................................................. 28
Module 7: Available Pollution Prevention Information Resources ......................................................... 33
P2 Information Resources .................................................................................................................. 33
Module 8: Review Case Study and Brainstorm P2 Options .................................................................... 34
Module 9: Discussion of Case Study P2 Options ..................................................................................... 48
Module 10: Brainstorm Compliance Enforcement and P2 Strategy for Case Study Facility ................ 58
Module 11: Discussion of Small Group Recommendations and Enforcement Resource Constraints . 64
Negotiation of P2 in Settlement ......................................................................................................... 67
Oversight and Implementation of P2 Settlement ............................................................................. 67
Trade-Offs in Value to Agency ............................................................................................................ 69
Module 12: Discussion of Proposed Method for Building an Internal Pollution Prevention
Enforcement Case Information Resource .......................................................................................... 70
Module 13: Wrap-up and Evaluation of the Training Module ............................................................... 76
Evaluation: ................................................................................................................................................. 77
Table of Contents
Module 1: Welcome ................................................................................................................................... 13
Module 2: Introduction and Review of Workshop Objectives ................................................................ 15
Module 3: Definition of Pollution Prevention and Toxics Use Reduction ............................................. 17
Module 4: Review of Pollution Prevention Opportunities in the Field .................................................. 23
Module 5: Review Regulatory EnforcementProcess; Brainstorm Opportunities for Pollution
Prevention Activities ........................................................................................................................... 27
Module 6 Using Pollution Prevention Information Resources ............................................................... 29
Module 7: Available Pollution Prevention Information Resources ......................................................... 33
Module 8: Review Case Study and Brainstorm P2 Options .................................................................... 35
Module 9: Discussion of Case Study P2 Options ..................................................................................... 49
Module 10: Brainstorm Compliance Enforcement and P2 Strategy for Case Study Facility ................ 59
Module 11: Discussion of Small Group Recommendations and Enforcement Resource Constraints . 65
Module 12: Discussion of Proposed Method for Building an Internal Pollution Prevention
Enforcement Case Information Resource .......................................................................................... 71
Module 13: Wrap-up and Evaluation of the Training Module ............................................................... 76
Evaluation: ................................................................................................................................................. 77
Instructor Notes
4 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Icon legend
Trainer needs to
CUSTOMIZE this section to
fit region, agency, etc.Customize
Nex
t…
Transition to NEW TOPIC ORCONCEPT
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ParticipantExercise
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ParticipantHandout
HANDOUT, EXERCISE orEVALUATION
referred to in this section
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ParticipantExerciseE V A L
Trainer ASKS SPECIFIC
QUESTIONS at this point????
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
FLIPCHART
used in this section
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj#
OVERHEAD (no.)
referred to in this section
PAUSE Video
Start Video
VIDEO used in this section
STOP Video
WWWLog onto WORLD WIDE WEB
“HANDS ON” EXERCISE
“ROUND-THE-CLOCK”
EXERCISE
PAIRED, SMALL or LARGEGROUP EXERCISE
Instructor Notes
6 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
ETI Pollution Prevention in Regulatory Enforcement atCommercial and Industrial Facilities
Instructional Goals
1. Participants understand which types of activities are “pollution prevention”and which are not.
2. Participants understand the scope of their authority to require pollutionprevention outcomes in regulatory enforcement cases.
3. Participants are better able to identify enforcement situations where pollutionprevention outcomes are possible.
4. Participants are better able to use existing enforcement tools and policies toobtain pollution prevention outcomes.
5. Participants identify shortcomings in existing enforcement tools and policies,and in regulations, which prevent or hinder further instances of pollutionprevention outcomes.
Entry Behaviors and Characteristics
■ Participants are regulatory personnel with experience in compliance inspec-tions and/or enforcement.
■ Participants have introductory knowledge of pollution prevention and toxicsuse reduction concepts, and are interested in more job-specific training.
■ Management has clearly articulated the expectations of regulatory personnelwith regard to pollution prevention.
■ Most participants previously will NOT have systematically applied pollutionprevention principles in their jobs.
■ Participants will have the capability to understand technical presentations, andto participate in technical discussions.
■ Participants will have regulatory expertise in at least one environmentalmedium (air, wastewater, hazardous waste, solid waste, toxics use reduction).
■ Participants will be a mix of staff and first-level managers.
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 7
Participant NotesETI Pollution Prevention in RegulatoryEnforcement at Commercial andIndustrial Facilities
Instructional Goals
1. Participants understand which types of activities are “pollution prevention”and which are not.
2. Participants understand the scope of their authority to require pollutionprevention outcomes in regulatory enforcement cases.
3. Participants are better able to identify enforcement situations where pollutionprevention outcomes are possible.
4. Participants are better able to use existing enforcement tools and policies toobtain pollution prevention outcomes.
5. Participants identify shortcomings in existing enforcement tools and policies,and in regulations, which prevent or hinder further instances of pollutionprevention outcomes.
Instructor Notes
8 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Note: This training is designed for staff who both conduct inspections andundertake enforcement actions. In some states, these functions are performedby different staff. This training course should be modified as appropriate toaccurately reflect the job functions of the the training audience.
Instructor Tools
A key to successful training is involving attendees in the learning processthrough interactive techniques. One can never avoid the lecture methodentirely, however, especially when delivering detailed information. This moduleutilizes common tools for involving learners, and was designed and tested as aninteractive, informal, “workshop-style” day rather than only a formal series ofpresentations. Each module allows time for discussion among learners, andpresenters should make a point of facilitating as much discussion as time willallow.
Common tools for involving learners used in this training include:
Round the Room Discussion of Accomplishments
Each participant was asked to name a pollution prevention project on whichthey have already worked. This encourages learners to see that they are alreadyfamiliar with the topic and gives them confidence to contribute their expertisethroughout the remaining activities.
Brainstorming
In large groups (with a facilitator capturing comments on a flip chart), in smallgroups (with participants capturing comments on several flip charts or notepaper), or individually (with participants capturing thoughts on note paper),brainstorming is used extensively throughout the workshop. Brainstormingallows learners time to process information they have already received, andstimulates confidence, creativity, and interest in the topic.
Case Study
A case study was prepared and tested in this workshop module. You may wish toinvent your own case study, more specific and relevant to the needs of yourlearners, or modify the one included here.
Short, Active Lecture Modules
Formal lecture-style presentations are a necessary element of most trainingevents. Lecture modules are kept as short as possible, overhead materials arehanded out to learners in advance to facilitate note-taking, and interactivequestioning and discussion are actively facilitated.
Customize
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 9
Performance Objectives
1. Participants will be able to direct industrial/commercial facilities’ personnel,through specific and clarifying questions or through descriptive statements, toincreased awareness of and responsibility for undertaking pollution preventionsolutions to regulatory compliance problems.
2. Participants will increase the frequency with which they direct facilities’ per-sonnel to pollution prevention outcomes during compliance inspections.
3. Participants will increase the frequency with which they require pollutionprevention outcomes in regulatory enforcement.
4. Participants will identify and participate in removing roadblocks to pollutionprevention in enforcement tools, policies, and regulatory language.
Instructor Notes
10 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Training Agenda
Module Approximate Time
1. Welcome 15 min.
2. Introduction and Review of Workshop Objectives 45 min.
3. Definition of Pollution Prevention (P2) and 15 min.
Toxics Use Reduction
4. Review of P2 Opportunities in the Field 30 min.
5. Review Regulatory Enforcement Process 15 min.
and Brainstorm Opportunities for P2 Activities
6. Using P2 Information Resources 15 min.
7. Available P2 Information Resources 60 min.
8. Review Case Study and Brainstorm P2 Options 20 min.
9. Discussion of Case Study P2 Options 15 min.
10. Brainstorm Compliance Enforcement and 50 min.
P2 Strategy for Case Study Facility
11. Discussion of Small Group Recommendations and 50 min.
Enforcement Resource Constraints
12. Discussion of Proposed Method for Building an 25 min.
Internal P2 Enforcement Case Information Resource
13. Wrap Up: Summary and Evaluation 35 min.
TOTAL 6.25 hours
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 11
Participant Notes
Training Agenda
Module
1. Welcome
2. Introduction and Review of Workshop Objectives
3. Definition of Pollution Prevention (P2) and
Toxics Use Reduction
4. Review of P2 Opportunities in the Field
5. Review Regulatory Enforcement Process
and Brainstorm Opportunities for P2 Activities
6. Using P2 Information Resources
7. Available P2 Information Resources
8. Review Case Study and Brainstorm P2 Options
9. Discussion of Case Study P2 Options
10. Brainstorm Compliance Enforcement and
P2 Strategy for Case Study Facility
11. Discussion of Small Group Recommendations and
Enforcement Resource Constraints
12. Discussion of Proposed Method for Building an
Internal P2 Enforcement Case Information Resource
13. Wrap Up: Summary and Evaluation
Instructor Notes
12 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 1 Welcome
Display Overhead 1 and have participants assemble and get
seated.
A senior-level manager in your agency should welcome
participants to the training. As an example, when this training
was pilot-tested at the Massachusetts Department of
Environmental Protection (MADEP), the Deputy Commissioner
for Operations and Program Planning delivered the welcome.
(In Massachusetts, the Deputy Commissioner for Operations
and Program Planning oversees both the central and Regional
activities for the agency’s three bureaus.) Having recently
returned from a sister-city trip to Sao Paulo, Brazil, with EPA-
New England (Region One) officials, he spoke movingly of the
poverty he had witnessed and the spectacular industrial
growth that had recently been initiated. The Deputy
Commissioner was particularly enthusiastic in reporting that
Brazilian officials were looking to American officials to advise
them on instituting pollution prevention regulations and
policies in order to avoid the sorts of environmental disasters
which befall industrialized countries. He conveyed to
participants the message that MADEP is now even more
committed to requiring pollution prevention outcomes in
regulatory enforcement cases.
The Assistant Commissioner for the MADEP Bureau of Waste
Prevention also added his welcome to participants. He spoke
passionately of his longstanding commitment to the
philosophy of pollution prevention, and he asked participants
to help identify, articulate, and remove barriers to achieving
pollution prevention outcomes in enforcement cases.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj1
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 13
Pollution Prevention in Enforcementoverhead 1
An Environmental Technologies Initiative (ETI) Workshop for Regulatory
Compliance and Enforcement Staff
Module 1Welcome
Instructor Notes
14 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 2 Introduction and Review ofWorkshop Objectives
Show Overhead 2 and briefly review the goals for the
workshop. Emphasize that this is a workshop, not just a training
session, because the participants are the enforcement process
experts who can best determine the P2 opportunities.
Acknowledge the progress made by the agency so far in
building P2 into regulatory activity such as regulations,
enforcement, inspections, and permits.
Go around the room and ask each participant to state their
name and which regional office they are from, and to identify
an enforcement case involving pollution prevention on which
they have worked.
Record brief information about each enforcement case (facility
name, violations, outcome) on a flip chart at the front of the
room. Post the flip chart with these P2 enforcement examples
on a wall to refer back to in Module 5.
Note: Module 5 will deal with how participants obtained the
specific P2 knowledge and information they needed to
complete these enforcement cases and what sources of P2
information they may have consulted. If this activity begins to
bring those data to the surface prematurely, ask participants to
hold their thoughts for a few minutes until that topic is
reached.
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NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 15
Module 2
Workshop Goalsoverhead 2
■ Review P2 definition and the waste prevention hierarchy
■ Review the basic enforcement process
■ Help participants I.D. P2 opportunities in enforcement
■ Familiarize participants with P2 information resources
Introduction and Review of Workshop Objectives
Instructor Notes
16 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 3 Definition of Pollution Preventionand Toxics Use Reduction
This module is intended as both a refresher on what pollution
prevention is for those who are already familiar with the
concept and a brief introduction to pollution prevention for
the uninitiated.
1. Review the definition of pollution prevention shown on
Overhead 3 and Overhead 4. This is a broad definition
intended to help participants think about any and all pollution
prevention ideas. Feel free to substitute the federal definition
or your state’s definition of pollution prevention.
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NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 17
Module 3
What is Pollution Prevention?overhead 3
■ Pollution Prevention is any activity which prevents pollution from being
created in the first place, versus pollution control, which deals with waste
after it has been generated.
■ P2 is an umbrella term that covers:
— Toxics use reduction
— Reduction of waste oil, solid waste, etc.
— Water and energy conservation
What Does Pollution Prevention Mean?overhead 4
■ The following practices would be considered pollution prevention:
— Equipment or technology modifications
— Process modifications
— Reformulations or redesign of products
— Substitution of raw materials
— Improvements in housekeeping, maintenance, training or inventory
control
Definition of Pollution Prevention (P2) and Toxics Use Reduction
Instructor Notes
18 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Overhead 5 presents the waste prevention hierarchy, which is
a tool for demonstrating the preferability of various means of
addressing pollution. As the hierarchy shows, pollution
prevention is the optimal method, where it is available,
because it prevents waste from being generated in the first
place. Make sure, however, that you acknowledge to
participants that all of the options for addressing
environmental pollution are useful and necessary at this time.
In showing Overhead 6, describe how pollution prevention is a
win-win situation for business and government.
■ Business can be more environmentally friendly and improve
community relations as well as realize financial benefits that
were discussed earlier.
■ Government agencies will be able to regulate better
because less pollution means less monitoring, permitting,
and enforcement.
■ The environment and public health benefit because of
reduced exposure to toxins.
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Module 3
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 19
Module 3
Waste Prevention Hierarchyoverhead 5
■ Pollution Prevention
■ Re-use/Recycling
■ Treatment
■ Disposal
Pollution Prevention
Re-use/Recycling
Treatment
Disposal
Who Benefits from P2?overhead 6
■ Business
■ Government Agencies
■ Environment and Public Health
Instructor Notes
20 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Overhead 7 lists reasons why pollution prevention is an
effective strategy for businesses. Businesses that decrease their
toxic use, or that switch to less toxic material, can decrease
their costs of disposal, permitting, compliance, and other fees.
Module 2 Module 3
Overhead 8 shows ways that businesses can implement
pollution prevention.
■ Process-related techniques include input changes and
similar concepts.
■ Managerial techniques include incentives, attitude changes,
and total quality management.
■ Design techniques include designing for pollution
prevention in the process, designing products to be more
recyclable and reusable, incorporating recycled products in
production, and engineering better facility layout.
Review Overhead 9, which lists ways that government
agencies can implement pollution prevention strategies.
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NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 21
Module 3
Why/How Should Government AgenciesImplement P2?
overhead 9
■ For regulatory agencies, P2 is a better way to protect the environment
■ P2 can be included in:
—Development of regulations and policies
—Permits, inspections, and enforcement
—Technical assistance and outreach
—New protection strategies
How Does Business Implement P2?overhead 8
■ Business implements Pollution Prevention in 3 major ways:
— Process-related techniques
— Managerial-related techniques
— Design-related techniques
How Does P2 Benefit Business?overhead 7
■ For business, P2 can be a way to save money in terms of:
—Materials management
—Operating cost reductions
—Environmental risk avoidance
—Worker safety/reduced liability
Instructor Notes
22 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 4 Review of Pollution PreventionOpportunities in the Field
In this module, review with participants generic P2
opportunities in the field.
Overhead 10 presents a schematic of a typical industrial
operation. It is included in the workbook with some additional
text as a refresher for staff to use when examining possible P2
options at a facility. Acknowledge that this schematic is
probably familiar to participants from previous P2 training.
Briefly review with participants the text on the opposite page
that accompanies Overhead 10. Note that the questions
presented are questions to ask about P2 options when dealing
with a facility in an inspection and enforcement context. They
are meant to serve as a diagnostic tool, not as an exhaustive
analysis of a facility’s P2 opportunities.
Optional: Depending on participants’ experience and familiarity
with P2 in industrial operations, this Module could be interactive.
Instead of reviewing the text on the opposite page with
participants as outlined in the paragraph above, go through each
step of the schematic and have participants identify P2 options.
Record their suggestions on a flip chart.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 23
Module 4
P2 Tips: Schematic of Typical Industrial Operationoverhead 10
Raw Materials
Storage
Production Operations
Maintenance Operations
By-Products
Emissions
Intermediate orFinished Product
Storage
Fugitive Emissions
Questions to ask about P2 options when dealing with afacility in an inspection and an enforcement context
The following are some questions to ask about P2 options when dealing with afacility in an inspection and enforcement context. These questions are not meant tohelp enforcement personnel conduct an exhaustive analysis of a facility’s P2 oppor-tunities. Instead, they are intended to serve as a diagnostic tool to assist enforce-ment personnel in determining the nature and extent of a facility’s examination ofits P2 options.
Raw Materials, Storage■ How comprehensive are supply purchase records?■ Are paints, oils, etc. standardized across process lines, i.e., does the facility
purchase and store a greater variety of materials than is necessary?
Examples of potential P2 opportunities:— improve inventory control to avoid overpurchasing, material spoilage, and
material obsolescence due to expired shelf life— centralize all material purchase records to facilitate easy tracking
Review of P2 Opportunities in the Field
Instructor Notes
24 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 4
Optional: Review the specifics of the accompanying text in the
workbook, and facilitate active discussion or question-and-
answer on these materials.
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 25
Questions… (cont’d)
Production Operations■ Why is a facility using a particular toxic in a process line? Has the facility looked
at modifying the process line to reduce or eliminate the need for that toxic?■ How sophisticated are a facility’s process control systems? Are they automated?
High-performance?■ How familiar are the employees in one process line with the P2 opportunities/
challenges associated with upstream and downstream process lines?■ What is the source of a facility’s P2 information? Does it have any information
sources other than a trade association or solvent supplier?
Examples of potential P2 opportunities:— substitute vegetable-based fluids for oil-based cutting fluids, aqueous
cleaners for solvents, water-based paints for oil-based paints— install countercurrent rinsing systems, drip racks, dragout recovery tanks— install high performance nozzles, brushes, applicators
Maintenance Operations■ Is a facility’s approach to equipment maintenance reactive or proactive? How
frequently does the company tune up its equipment?■ Is there floor space available to accommodate process line modifications?
Examples of potential P2 opportunities:— tighten and repair all faucets, gaskets, and couplings to eliminate leaks— install lids on process tanks to reduce evaporation and spills
Fugitive Emissions, By-Products■ Can a facility eliminate any cleaning or rinsing steps from its process lines? Can
it use a less toxic cleaning agent or replace chemical cleaners with air blastsystems or thermal alternatives?
Examples of potential P2 opportunities:— schedule production to reduce equipment cleaning (e.g., sequence batch
mixes from light to dark to avoid intermediate cleaning steps)— replace solvent-based paint strippers with mechanical processes (e.g.,
abrasion or high velocity plastic bead guns)
Module 4
Instructor Notes
26 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 5 Review Regulatory EnforcementProcess; Brainstorm Opportunities forPollution Prevention Activities
Show Overhead 11. (You may need to customize the
enforcement schematic beforehand in order to display a revised
Overhead 11 if your agency’s enforcement process is significantly
different.) Indicate that this is a schematic of a model
compliance inspection and enforcement process. Ask the
group to help review the schematic and modify it as necessary
to accurately reflect your agency’s work practices. Mark up the
overhead to show the group’s recommended changes.
Ask the group to indicate where and how pollution prevention
principles are currently considered during these work
practices. Record the P2 practices currently in use in the
agency on Overhead 10 using an asterisk (*) to separate these
thoughts from the schematic diagram changes suggested
above.
Ask the group to identify additional opportunities for working
pollution prevention into these work practices. Record these
additional suggestions of P2 practices in a different color on
the slide, or if the overhead is too crowded, on a flip chart.
Optional: After the workshop, you may wish to reproduce a
clarified version of the modified schematic plus all P2 suggestions
to distribute to participants as a reminder.
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Customize
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 27
Module 5
Compliance Inspection & Enforcement Processoverhead 11
Inspection Targeting—determine which industries—determine which facilities
Perform Inspection—Note violations—Inspection Close-out Conference
Prepare Enforcement Case—specify violations—recommend enforcement action—recommend application of specific
policies (as necessary)
Prepare for Inspection—records, maps, file data—consult other Agency staff—Agency enforcement history
Request Additional Informationfrom Facility (if necessary) andDetermine Applicability of Regulations
Follow Agency Procedures forIssuing Enforcement ActionAgainst Facility
1.
3.
5.
2.
4.
6.
Review Regulatory Enforcement Process and Brainstorm Opportunities for P2 Activities
Instructor Notes
28 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 6 Using Pollution PreventionInformation Resources
This Module discusses actual and potential ways that
regulatory staff can use P2 information resources in
enforcement actions.
Indicate that the discussion will now return to the around-the-
room activity from the Introduction. Refer to the flip charts
that participants generated describing existing enforcement
cases on which they had worked that used pollution
prevention. Ask the appropriate participants to identify the
sources of information and knowledge they used to explore
the P2 options and determine the P2 outcome. Record their
comments on a flip chart.
During this discussion, facilitate active thinking and
participation in the large group by asking questions such as:
■ Did anyone else here ever use that source of information?
Does everyone have access to (or a copy of ) that source?
■ Did you consider turning to the Internet, EPA, other state
agencies, or other non-governmental organizations for
more information? Why or why not?
■ Do you engage consultants or the facility’s personnel in
your thinking?
■ What else would have been helpful to you?
■ Did you run into any barriers within our agency in trying to
achieve a pollution prevention outcome in an enforcement
action? Has anyone else had that experience? (Try to elicit
the following examples of barriers: insufficient sharing of
information among agency staff, and staff perception that
P2 solutions in enforcement actions cannot be shared
internally due to confidentiality issues.)
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 29
Module 6
Using Pollution Prevention Information Resources: Notes
In my work on enforcement cases,
1. Do I consider turning to the Internet, EPA, other state agencies, or other non-governmental organizations for more P2 information? Why or why not?
2. Do I engage consultants or the facility’s personnel in my thinking?
3. What other P2 information would have been helpful to me?
Using P2 Information Resources
Instructor Notes
30 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 6
Indicate to participants that the Worksheet provided on the
opposite page is for their note-taking benefit only (not for a
group Exercise).
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 31
Module 6
P2 Information Resources Worksheet
P2 resources used in our enforcement cases include:
Barriers to working P2 solutions into our enforcement actions include:
Instructor Notes
32 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 7 Available Pollution PreventionInformation Resources
This module includes presentations by several internal and
external speakers, each of whom can offer services to the
agency’s compliance inspection and enforcement staff. The
services may include database access or searches, Internet
searches, written materials, professional expertise and advice,
or no-cost “consulting” on P2 opportunities at facilities typical
of those undergoing inspection or enforcement.
To make this Module successful, arrange for the participation
of one or more “P2 Information Service Providers.” Potential
speakers might include a P2 representative from the
appropriate EPA Regional office, a P2 expert from a nearby
office of a national or regional environmental organization, or
a P2 official from your agency or another state agency. Each
speaker should prepare and deliver a presentation of
approximately 15-20 minutes, preferably including slides or
handouts, that explains the following topics: the services
offered by his or her organization, any limitations on such
services, and the point of contact for such services.
Note: The agency that employs the workshop participants
should have specific agreements (preferably in place
beforehand) with each of the speakers’ organizations as to
what services will be offered to agency personnel, how the
delivery of services will be managed and monitored, and what
limits (if any) will be placed on these services.
Overhead 12 is a “placeholder” overhead which should be
replaced with an appropriate substitute such as an overhead
providing the names and phone numbers for the P2
Information Service Providers who are participating in this
Module.Customize
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NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 33
Module 7
P2 Information Resourcesoverhead 12
■ Internal resources include:
■ External resources include:
Available P2 Information Resources
Instructor Notes
34 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 8 Review Case Study andBrainstorm P2 Options
Direct participants’ attention to their training workbook, and to
the presentation of the Case Study. Ask participants to read
the case study individually, and to individually write down as
many pollution prevention opportunities and options as
possible for this hypothetical case. Explain that group work
regarding this case study will be completed after lunch, after
the participants have had a little more time to think about the
case.
The key aspects of this case study are to provide a realistic yet
simple scenario with violations in several regulatory areas.
Taken together, the violations should constitute a serious case
requiring a moderate to severe penalty. The scenario should
allow for several P2 options to be completed by the firm, either
as compliance measures, or as supplemental projects in return
for some penalty mitigation. The case study should be for a
hypothetical firm in an industry with which the participants
are relatively familiar.
Note: This case study shows violations discovered in multiple
regulatory programs (air, hazardous waste, etc.) through a
multi-media inspection. If your organization conducts single-
medium inspections, you may need to customize this case
study so that it presents a single-medium inspection and
single-medium violations.
Customize
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 35
Module 8
Case Study Exercise
The following is a description of a fictitious Massachusetts company that is basedon several real wood products manufacturers in New England.
Company Background
Carver Company was founded in 1922 by William A. Carver III, son of a Bostonshipping magnate. Expelled from Harvard in 1918 for ungentlemanly conduct,William III left Boston in disgrace and moved to northern New England to seek hisfortune. After a few false starts, he purchased a small lumber business that suppliedrough-sawn wood to the Boston area market. To increase profit margins, Carversoon moved the company into more value-added products, such as fine-milledlumber, doors, and specialty moldings. In the pursuit of expansion, Carver pur-chased a small, local company that manufactured wooden bleacher seating. De-mand was increasing sharply for such seating, and Carver saw a natural synergybetween the two operations. Within five years, the seating business had become thelargest and most profitable part of the enterprise.
Growth and expansion into new product lines continued over the years as thecompany moved from wooden bleachers into many types of multiple seating forstadiums, arenas, classrooms and theaters. In 1972, Carver acquired another smalllocal manufacturer, Peterson Wood Furniture Company, which had long been agood customer of the Carver lumber mill. Peterson produced high quality officefurniture and had a good reputation, but the company had been driven to near-bankruptcy by inept management. In 1980, these companies were merged into asingle corporate structure with four divisions.
Like many in the business community, the Carver Company greeted the advent ofenvironmental regulations in the 1970’s with antagonism, and responded withminimal efforts aimed at achieving compliance as cheaply as possible and as late aspossible. Carver employed many local residents who were more worried about thestability of their jobs than the environmental performance of the company. Overthe past few years, however, there had been growing concern in the town about realand potential environmental problems caused by the lumber and manufacturingoperations. The lumber mill and the seating plant were next to the OskawaneshawRiver and reports of drums in old, inadequate containment areas, combined withother issues, prompted the formation of the CORN — Clean the OskawaneshawRiver Now. The group had only a few dozen members, but with a strong connec-tion to the local newspaper and other regional environmental groups, its influencewas much greater than its size. A recent edition of the Oskawaneshaw Gazette hadincluded a front page article featuring Carver’s environmental releases. This public-ity attracted the attention of the regional office of the Massachusetts Department ofEnvironmental Protection and they conducted a multi-media inspection of thefacility. This inspection focused on the company’s spray painting operations andVOC and RCRA compliance.
Review Case Study and Brainstorm P2 Options
Instructor Notes
36 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 8
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 37
Finishing Operations
The Carver plants employed two basic types of finishing operations: manualapplication for the flat boards used in the bleacher seating and spray application forthe wood components of the other multiple seating and the furniture. Finishing ofthe arms, backs and seats of the non-bleacher seating was the highest volumefinishing operation of the company. Prior to finishing, lumber arrived from theCarver lumber mill and was stored in racks in a storage shed. The wood was movedfrom storage into the production area where it was cut to the correct length,shaped, drilled, sanded and stored in a large holding area on one side of the shopfloor prior to finishing.
All multiple seating was custom-made to order with different finishing specifica-tions requiring varied finishing times and quantities of materials. The woodencomponents of multiple seating were assembled onto metal frames prior to finish-ing and then carried into a large ventilated spraybooth. Figure 1 at the end of thiscase study (p. 47) presents a process flow diagram of the spray painting operation.Carver paints with traditional nitrocellulose coatings.
The spray paints and solvents used by Carver have high VOC content and containtoluene, xylenes, methyl isobutyl ketone (MIK), methyl ethyl ketone (MEK), andmethanol. While these chemicals are not classified as carcinogens, they have well-documented serious long-term health effects including neurological damage,developmental damage in offspring, damage to major organs, and other effects.Breathing these VOCs can also cause headaches, fatigue, and nausea.
Although the number and type of coats varied somewhat depending on the specifi-cations of the customer, typically three or four coats — stain, sealer, and one or twolacquer topcoat(s) — were applied with high volume, low pressure (HVLP) sprayguns. After each coat, the seating was carried to a flash-off area to dry, then to aprep area for sanding before being returned to the spray booth for the next coat.The spray gun parts, including lines and nozzles, were cleaned with a chlorinatedsolvent at the end of each shift and when lacquer pigments were changed. Thespraybooth had a strippable liner that was replaced as needed.
The coating materials were purchased in 55-gallon drums that were moved to theproduction area as needed and the contents transferred into the spray dispensers.Employees were responsible for cleaning the spray equipment after each shift or forcoating changeovers, and they obtained solvent from a 55-gallon drum stored nearthe work area. When a drum was used up, the person who emptied it contacted thestore room for a replacement. Used solvent was dumped into an open drum, whichwas sealed when full and sent to a centralized waste disposal holding area. Con-taminated rags and spraybooth liners were also drummed for disposal.
Module 8
Instructor Notes
38 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 8
Individual Exercise
Have participants fill in answers on their own to the following
questions (which are repeated in the participant notes) in the
blank spaces provided on the opposite page:
1. What are the major wastes and pollutants generated at this
facility?
2. Please brainstorm P2 options for this coating operation.
3. How would these P2 options help this facility address the
violations described in the text (or other violations you noted)?
Allow 15–20 minutes for this individual exercise.
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 39
Module 8
Compliance Violations
The DEP inspection of the Carver wood coating facility initially identified thefollowing compliance violations:1. Hazardous Waste: Carver improperly managed the dried nitrocellulose residue
waste by not labeling the barrels properly, leaving them open, and storing themfor more than 90 days without a permit.
2. VOC Limitations: Carver violated the Massachusetts VOC regulations for woodcoating operations. Carver has the potential to emit more than 50 tons per year,but had not submitted an emissions control plan to DEP for approval. Addition-ally, some of the coatings Carver was applying exceed the Massachusetts VOClimits.
[Note that the MACT standard applicable to Carver’s wood finishing operationshas not yet taken effect.]
The Carver Company is not currently subject to Massachusetts Toxics Use Reduc-tion Act (TURA) planning and reporting requirements and therefore has neverprepared a Toxics Use Reduction (TUR) plan.
Individual Exercise
Answer the following questions in the blank spaces provided:
1. What are the major wastes and pollutants generated at this facility?
2. Please brainstorm P2 options for this coating operation.
3. How would these P2 options help this facility address the violations described inthe text (or other violations you noted)?
Instructor Notes
40 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 8
Note to Trainer: Optional: The following “Pollution Prevention Options/
Opportunities” (opposite page) may be held in reserve in case the
participants have difficulty brainstorming P2 options. Or it may be
handed out with or following the case study, if desired.
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 41
Pollution Prevention Options/Opportunities
The following pollution prevention options or opportunities are available for woodfinishing operations:
A. High-Solids Coatings with HVLP spray guns
Carver could switch from sealer and lacquer coatings that average 26-percent solidsto coatings with 35 percent solids. To enable proper application of the material withHVLP guns, Carver would have to heat the coatings in-line and would need towork with its equipment supplier to modify the spray gun caps, nozzles and tips.The new coatings would contain approximately 40 percent fewer VOC’s and 80percent fewer HAP’s and would have costs and savings as listed below.
Coating materials: The higher-solids coatings are about double the cost of the lowsolids coatings on a per gallon basis but less material is used to achieve thesame finished thickness. Combined with the elimination of the second topcoat,total quantity of coating purchased by Carver would decline but the total cost isprojected to be about 10 percent more. The supplier expects the price differen-tial to decrease as more companies switched to higher solids coatings.
Production Labor: The higher solids coating would eliminate the need for a secondtopcoat in most cases and thus would reduce labor by about 4500 hours peryear on constant volume. The sealer coat, however, would be more difficult tosand, requiring orbital rather than block sanders, and an additional 1000 hoursof labor per year.
Cleaning solvent: Carver would consume 30 per cent more solvent due to the higherviscosity of the material.
Solvent disposal: one-half increase of solvent use -15%
Rag & spraybooth liner disposal: No significant change.
Electricity: Heating the coatings — additional $1000; increased air flow in the sealerflash-off area — additional $500
Heating oil: Increased air flow in the sealer flash-off area — $3000
Training: Extra production training in first 3-6 months of operations: $5000
Rework: Increased rework because there is less margin for error with a single,heavier topcoat: $15000 per year
Plant and Equipment: $30,000 to upgrade flash-off area and modify spray-gunequipment
Module 8
Instructor Notes
42 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 8
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 43
B. Aqueous-Based Coatings
Another option would be for Carver to switch from nitrocellulose coatings toaqueous (water)-based coatings. While the potential environmental gains aresignificant, the financial benefits are less certain, and Carver is concerned aboutquality issues. Some customers have made it clear that they preferred the high glossof the conventional nitrocellulose lacquer. Nevertheless, use of the aqueous coatingswould reduce VOC’s and HAP’s more than 75% and would eliminate the need touse chlorinated solvents for cleanup. The water used for cleaning the spray equip-ment would require some type of treatment to allow its discharge under Carver’sexisting NPDES permit. The following cost items are estimated:
Coating materials: The aqueous-based coatings cost approximately 10 percent morethan what Carver is currently using, but the relative difference is expected todecrease.
Production Labor: No change — the same number of employees would be requiredto apply the aqueous-based formulations.
Cleaning Solvent: Chlorinated solvent use would be eliminated. Aqueous-basedcleaner @ 20% of cost.
Rag & spraybooth liner disposal: 20% of former cost.
Electricity: The ventilation requirements would be reduced by 25%
Heating Oil: Reduced by 25%
Training: Extra production training in first 3-6 months of operations: $5000;annual training costs cut in half
Water treatment: Initial costs: $75, 000 for lines and tankage. Chemicals: $2000 /yr.
Module 8
Instructor Notes
44 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 8
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 45
Participant NotesModule 8
C. Ultra-Violet Coatings
Carver could install a state-of-the art ultra-violet coating system. Although suchsystems have been installed in the industry primarily to coat flat boards, such asthose used on the bleacher seating, new equipment has been introduced by onevendor to enable the use of ultra-violet coating on the more complex dimensions ofother multiple wood seating and furniture. The technology looks promising butdoes not yet have an extensive track record for the type of application Carver isconsidering. Moreover, an automated system would require a significant upfrontinvestment. It does, however, have the potential to generate major savings inmaterials and labor and also provide significant environmental advantages. Thecosts and savings are estimated to be the following:
Coating Materials: The U-V coatings cost more on a per gallon basis but consider-ably less would be used because the coatings have a higher percentage of solids.Moreover, over-spray is captured and recirculated into the spray equipment,eliminating waste. A reduction of about 30% in the cost of coating materials isprojected.
Production Labor: The automated system would enable the reassignment of at leasttwo employees to other operations.
Cleaning Solvent: UV coatings would reduce the amount of solvent required forclean-up by 90%.
Solvent disposal: Same reduction as solvent use — 90%
Rag & spraybooth liner disposal: Same reduction as solvent use — 90%
Electricity: The ventilation requirements would be reduced by 25%. UV lampswould costs about $5000 annually to operate.
Heating Oil: The ventilation requirements would reduce heating oil use by 25%.
Training: Extra training in first 3-6 months of operations: $10000. More productiontraining on an annual basis — $3000.
Plant and Equipment: $350,000 for equipment and $150,000 for installation, phasedstart-up and lost production during changeover.
Instructor Notes
46 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 8
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 47
Participant NotesModule 8
Air Emissions— Leaks— Coating transfer to
smaller containers— Uncovered containers— Spills
Solid and/orHazardous Waste— Empty coating containers
Solid and/orHazardous Waste— Used rags— Used adsorbants
Air Emissions— Coating on furniture*— Overspray*— Used rags— Used adsorbants— Spills— Uncovered containers— Flushing guns and lines
with coating upon starup
Air Emissions— Leaks— Coating transfer to
smaller containers— Uncovered containers— Spills
Solid and/orHazardous Waste— Empty solvent containers
Solid and/orHazardous Waste— Used solvents— Disposable filters (if used)— Dried overspray/lacquer dust— Strippable spraybooth coating
Air Emissions— Gun/line cleaning— Metal filter cleaning (if used)— Uncovered containers— Spills— Application of strippable
spraybooth coating
Air Emissions— Coating on furniture
Furniture Piece
CoatingMaterials
Rags andAdsorbants
CleaningSolvent
StrippableSpraybooth
Coating
CoatingApplication
Cleaning**
Flashoff
Drying Oven
Sanding
* Quantity dependant onapplication equipment andother factors
** Frequency dependanton coating type andapplication equipment
Number of repetitions dependant on Number of Coating Operations
Spraybooth
Figure 1Waste Generation from Coating and Cleaning Operations
Wood Furniture: The Clean air Act Amendments of 1990 and Pollution Prevention Opportunities,NEWMOA and NESCAUM, September, 1997.
* Quantity dependent onapplication equipment andother factors
** Frequency dependent oncoating type and applicationequipment
Instructor Notes
48 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 9 Discussion of Case Study P2 Options
In this Module, participants return to a large group to review
P2 options available for enforcement actions against the case
study facility. This review involves a discussion of relevant
enforcement policies and procedures. Because this course was
piloted with Massachusetts DEP enforcement staff, the text of
the Participant Notes for this Module summarizes a
Massachusetts-specific policy dealing with P2 and
enforcement.
You may wish to remove the MADEP material presented below
and in the Participant Notes for this Module and replace it
with material relevant to your agency’s P2 and enforcement
tools, policies and procedures. You may want to model your
presentation on the MADEP material presented in this Module.
Alternatively, you may discuss MADEP’s approach as a
hypothetical example. If so, use the Instructor Note text below
“as-is”.
Summary of Massachusetts example
The Massachusetts DEP (MADEP) is constrained by statute in
many enforcement situations to issuance of a Notice of
Noncompliance (NON). The NON, which is a form of first-level
“warning,” gives the violating facility an opportunity to correct
all noted violations within a reasonable time frame without
penalty. MADEP must issue an NON to a facility except in the
case of egregious or willful violations or a prior enforcement
history within a specified time limit.
Because the NON is a very straightforward document without
room for the negotiated language typical of a consent order,
and because the NON is used so extensively in first-offense
situations, MADEP devised a policy requiring a cover letter to
help promote P2 in these situations (see opposite page).
Customize
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 49
Standard Cover Letter for All Notices of NonCompliance
Massachusetts Department of Environmental Protection
Bureau of Waste Prevention
Policy #BWP-95-012
Signed by: Lee Dillard, Assistant Commissioner (Acting)
August 4, 1995
Policy Statement
Attached are two standard formats for cover letters for Notices of Noncompliance(NON) and Field Notices of Noncompliance (FNON) issued by the Bureau.Attachment 1 is the standard format for cover letters for Notices of Noncomplianceissued from the office after a facility inspection has occurred. Attachment 2, thecover letter for FNONs, should be used for the follow-up copies of FNONs distrib-uted from the office after an FNON has been issued at the facility.
The letters includes language to identify potential source reduction opportunities(paragraph seven [7]). This language will be used whenever enforcement action istaken against a facility where there may be ways of coming into compliancethrough the implementation of source reduction or toxics use reduction.
Background Statement
As the Bureau of Waste Prevention increases the emphasis on waste prevention incompliance, the need has arisen for NON language that encourages violators toconsider source reduction as a tool for coming into compliance. A draft version ofthis NON cover letter was presented in BWP FIRST training that has occurred todate and has been in use broadly for the last two years.
Additionally, a new enforcement tool, the Field NON (FNON) has been intro-duced. The FNON will be issued to the facility at the time of the inspection. A copyof the FNON will be sent via certified mail to the facility owner. An appropriatecover letter will serve to remind violators that source reduction should be consid-ered.
It will be necessary to include this document in FIRST training, and to make itavailable to all compliance and enforcement staff. The Compliance and Enforce-ment Team will evaluate the use of this document and recommend changes asnecessary to ensure that source reduction is considered whenever possible as a toolfor coming into and remaining in compliance.
Module 9Discussion of Case Study P2 Options
Instructor Notes
50 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Ask participants to list some of the simple and more obvious
pollution prevention options, i.e., those which could be
incorporated into MADEP’s first-level enforcement response,
the NON. Record these suggestions on a flip chart.
Refer participants to the MADEP policy on P2 in cover letters
for NONs (in Participant Notes, starting on opposite page).
Remind them that it is MADEP policy to:
1. include a boilerplate paragraph on the benefits of P2 in a
cover letter attached to the NON;
2. suggest that the facility contact the Massachusetts Office of
Technical Assistance, a non-regulatory state agency
providing P2 assistance; and
3. copy the NON to the Massachusetts Office of Technical
Assistance for follow-up and tracking.
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Module 9
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 51
Participant Notes
ATTACHMENT 1
CERTIFIED RE: BWP - (location)Noncompliance with M.G.L.Chaptersand 310 CMR
(Name of Entity) ° MAD #(Mailing Address of Entity) hazardous waste(City, Town, and Zip Code of Entity) classificationATTN:(Name of Individual) ° SR #
air qualityclassification
Enforcement Document No. ° NPDES or MA#wastewaterclassification
° DEP Facility ID #large quantity toxics user
° MA Sewer Connect#° AQ Stage II ID#
RE: NOTICE OF NONCOMPLIANCE
THIS IS AN IMPORTANT NOTICE. FAILURE TO TAKE ADEQUATE ACTION INRESPONSE TO THE NOTICE COULD RESULT IN SERIOUS LEGAL CONSEQUENCES.
Dear (Name of Individual)
Department personnel have observed that on (date)(activity) occurred atyour facility located on (street address) in (city), Massachusetts, in noncompliancewith one or more laws, regulations, orders, licenses, permits, or approvalsenforced by the Department. Specifically, Department personnel observed activitiesin noncompliance with applicable {Hazardous Waste Management, Air Quality,Industrial Wastewater, Solid Waste Management, and the Toxics Use Reduction Act}regulations.
Attached is a written description of (1) each activity referred to above,(2) the requirements violated, (3) the action the Department now wants you totake, and (4) the deadline for taking such action. An administrative penalty maybe assessed for every day from now on that you are in noncompliance with therequirements described in this Notice of Noncompliance. {Use the followinglanguage only if the NON includes failure to pay a Toxics Use Reduction Fee:Additionally, failure to pay toxics use fees could result in referral of thismatter to the Attorney General’s office and/or legal action taken by the AttorneyGeneral’s office on behalf of this Department.}
Notwithstanding this Notice of Noncompliance, the Department reservesthe right to exercise the full extent of its legal authority in order to obtainfull compliance with all applicable requirements, including, but not limitedto, criminal prosecution, civil action including court-imposed civil penalties,or administrative penalties assessed by the Department.
cont’d
Module 9
Instructor Notes
52 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 9
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 53
Participant Notes
SOURCE REDUCTION OPPORTUNITIES
You may be able to reduce environmentally driven costs and possiblyreduce the regulatory requirements and fees applied to your firm if youeliminate or reduce the use of toxic materials or other inputs, or thegeneration of wastes, through decreased chemical use or increased processefficiency. As a result, you may save money and improve quality and productivity.
While inspecting your facility, Department personnel observedpotential source reduction opportunities associated with your
operation(s). Source reduction options you may want to evaluate for this(these) operation(s) include but are not limited to___________________________________________________. It is also possible thatimplementation of source reduction options may correct violations associatedwith your ___________________________ operation(s). Changes to your processcould alter the requirements, including notification (and/or permitting)requirements, imposed on you by any of the laws and regulations that theDepartment enforces.
Moreover, tracking annual usage of each toxic substance or other input,if you are not already doing so, may lead to identification of additionalsource reduction opportunities.
For further information on source reduction of toxic and other waste youmay contact:
° the Office of Technical Assistance (617-727-3260) for FREE, CONFIDENTIALtechnical assistance including on-site assessments, financial evaluations,the handbook “The Practical Guide to Toxics Use Reduction”, and other resources.
° the Toxics Use Reduction Institute (978-934-3275) for courses for certified“Toxics Use Reduction Planners”.
° DEP’s Toxics Use Reduction Implementation Team (617-292-5870) for guidancematerial on the Toxics Use Reduction Act requirements.
If you have any questions regarding this matter, please contact_____________________________ of this office at (###) ###-####.
Very truly yours,
DATE:___________________ _______________________
Regional EngineerBureau of Waste Prevention
enclosurecc: Christine Ayers, OE, DEP Boston
__________________, Board of Health__________________, Publicly Owned Treatment Works__________________, USEPA (If joint inspection)__________________, Regional Contact Person, OTA, EOEA, Boston
cont’d
Module 9
Instructor Notes
54 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 9
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 55
Participant Notes
ATTACHMENT 2
CERTIFIED RE: BWP - (location)Noncompliance with M.G.L.Chaptersand 310 CMR
(Name of Entity) ° MAD #(Mailing Address of Entity) hazardous waste(City, Town, and Zip Code of Entity) classificationATTN:(Name of Individual) ° SR #
air qualityclassification
Enforcement Document No. ° NPDES or MA#wastewaterclassification
° DEP Facility ID #large quantity toxics user
° MA Sewer Connect#° AQ Stage II ID#
RE: FIELD NOTICE OF NONCOMPLIANCE
THIS IS AN IMPORTANT NOTICE. FAILURE TO TAKE ADEQUATE ACTION INRESPONSE TO THE NOTICE COULD RESULT IN SERIOUS LEGAL CONSEQUENCES.
Dear (Name of Individual)
Department personnel have observed that on (date)(activity) occurred atyour facility located on (street address) in (city), Massachusetts, innoncompliance with one or more laws, regulations, orders, licenses, permits,or approvals enforced by the Department. Specifically, Department personnelobserved activities in noncompliance with applicable {Hazardous Waste Management,Air Quality, Industrial Wastewater, Solid Waste Management, and the Toxics UseReduction Act} regulations.
A Field Notice of Noncompliance (FNON) including a written descriptionof (1) each activity referred to above, (2) the requirements violated, (3) theaction the Department now wants you to take, and (4) the deadline for takingsuch action was issued to (Mr./Ms. Name of Individual) of your facility at thetime of inspection. A copy of this Field Notice is attached. An administrativepenalty may be assessed for every day from now on that you are in noncompliancewith the requirements described in this Notice of Noncompliance.
Notwithstanding this Field Notice of Noncompliance, the Department reservesthe right to exercise the full extent of its legal authority in order to obtainfull compliance with all applicable requirements, including, but not limitedto, criminal prosecution, civil action including court-imposed civil penalties,or administrative penalties assessed by the Department.
cont’d
Module 9
Instructor Notes
56 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 9
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 57
Participant Notes
SOURCE REDUCTION OPPORTUNITIES
You may be able to reduce environmentally driven costs and possiblyreduce the regulatory requirements and fees applied to your firm if youeliminate or reduce the use of toxic materials or other inputs, or thegeneration of wastes, through decreased chemical use or increased processefficiency. As a result, you may save money and improve quality and productivity.
While inspecting your facility, Department personnel observedpotential source reduction opportunities associated with your
operation(s). Source reduction options you may want to evaluate for this(these) operation(s) include but are not limited to___________________________________________________. It is also possible thatimplementation of source reduction options may correct violations associatedwith your ___________________________ operation(s). Changes to your processcould alter the requirements, including notification (and/or permitting)requirements, imposed on you by any of the laws and regulations that theDepartment enforces.
Moreover, tracking annual usage of each toxic substance or other input,if you are not already doing so, may lead to identification of additionalsource reduction opportunities.
For further information on source reduction of toxic and other waste youmay contact:
° the Office of Technical Assistance (617-727-3260) for FREE, CONFIDENTIALtechnical assistance including on-site assessments, financial evaluations,the handbook “The Practical Guide to Toxics Use Reduction”, and other resources.
° the Toxics Use Reduction Institute (978-934-3275) for courses for certified“Toxics Use Reduction Planners”.
° DEP’s Toxics Use Reduction Implementation Team (617-292-5870) for guidancematerial on the Toxics Use Reduction Act requirements.
If you have any questions regarding this matter, please contact_____________________________ of this office at (###) ###-####.
Very truly yours,
DATE:___________________ _______________________
Regional EngineerBureau of Waste Prevention
enclosurecc: Christine Ayers, OE, DEP Boston
__________________, Board of Health__________________, Publicly Owned Treatment Works__________________, USEPA (If joint inspection)__________________, Regional Contact Person, OTA, EOEA, Boston
Module 9
Instructor Notes
58 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 10 Brainstorm Compliance Enforcementand P2 Strategy for Case Study Facility
This is the key learning module for the day. In this Module, the
participants practice “creative assertiveness” in formulating
pollution prevention requirements to address the
noncompliance observed at the facility. For many participants,
this will be an intellectual and emotional stretch, as the
standard responses to violations generally do not involve
pollution prevention solutions. There may be heated
discussions within and between small groups. The trainer will
have to use judgment in determining how to direct and
facilitate such discussions.
Included in the Participant Notes on the opposite page are
base penalty recommendations which MADEP uses to develop
an enforcement case. These base penalty numbers may be
mitigated downward or escalated upward by specific factors
according to MADEP policy criteria.
You may wish to remove the MADEP material in the Participant
Notes for this Module and, using this material as a model,
replace with penalty information that is specific to your
Agency.
Customize
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 59
Preliminary List of Violations and AssociatedRecommended Base Penalties
Violation Citation Base PenaltyPenalty Class
Haz Waste
Labelling 310 CMR 30.340(1)(b) $750.00 II
Open Barrels 310 CMR 30.340(1)(a)1.c. $750.00 IIref. 30.685(1)
>90 day storage 310 CMR 30.340(2) and $20,000.00 I30.801
VOCs
VOC emission limits 310 CMR 7.18(23)(b) and (e) $8,000.00 I
No emission control plan 310 CMR 7.18(23)(f) $750.00 II
Record keeping 310 CMR 7.18(23)(h) $750.00 IIsee 7.18(23)(g) and (i)
HAPs
No emiss. contr.plan appl. 310 CMR App.C.(3) b $5,000.00 I
Operating w/o a permit 310 CMR App.C.(3) d $5,000.00 I
Operating w/o a permit 310 CMR App.C.(3) f $5,000.00 I
Others?
Total Base Penalties $46,000.00
Module 10Brainstorm Compliance Enforcement and P2 Strategy for Case Study Facility
Instructor Notes
60 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Ask (or assign) participants to form small groups to agree
upon a strategy for requiring the case study facility to return to
compliance with Agency regulations under a consent
agreement or a unilateral order.
Direct participants to the Participant Notes in this Module,
which contain some preliminary lists of violations and their
associated recommended base penalties. Refer participants to
the questions on the following Participant Notes pages for
determining the case strategy. Ask participants to capture their
recommendations in their workbooks or on note paper for
presentation to the large group in the next Module.
Along with any other available P2 “experts” or invested
managers in the room, circulate among the small groups to
monitor progress and facilitate as needed.
Note: The purpose of the participant questions in this Module differs
from the purpose of the participant questions in Module Eight
(the Case Study reading). Whereas the questions in Module
Eight were meant to initiate thinking about P2 and
enforcement options at the facility, the questions in this
Module are meant to direct participants to devise a
negotiation strategy for implementing an enforcement action
at the hypothetical firm. Unlike the earlier questions, which
were meant to “get the juices flowing”, these questions are
meant to assist participants in strategizing a final approach.
Module 10
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ParticipantWorkbook
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 61
Questions for Small Group Discussion of “Carver” CaseEnforcement:
1. What penalty exposure (the maximum appropriate penalty) do you have tobegin with? (This is your bargaining chip.)
2. What is your goal for this facility in terms of return-to-compliance?What specific actions must the facility take?
3. What is your goal for this facility in terms of Pollution Prevention?What specific actions do you desire at this facility?
Module 10
Cont’d
Instructor Notes
62 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 10
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 63
4. For each element below, what is your enforcement strategy:A. What is the “bottom line” you must walk away with?B. What is the best situation you would most prefer to walk away with?Note: you may include P2 actions within an enforcement order and/or in aSupplemental Environmental Project (SEP).
■ violations?A. must have:
B. would prefer:
■ base penalty amounts?A. must have:
B. would prefer:
■ assessed penalty option selected? (e.g., assessed, payment plan, mitigated,stipulated)A. must have:
B. would prefer:
■ SEP? (DEP can encourage and suggest to facility, but cannot direct)A. must have:
B. would prefer:
5. What are 3 key elements or oversight obstacles for an effective but low-DEP-resource Pollution Prevention enforcement project or SEP? Are there other waysto create an effective P2 project but further reduce DEP’s resource allocation?
Module 10
Instructor Notes
64 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 11 Discussion of Small GroupRecommendations and EnforcementResource Constraints
Ask each small group to explain the enforcement case
strategy it selected. Referring back to Module Ten, each group
should explain its most-preferred outcome (the first
negotiating strategy offered to the facility) and its bottom-line
outcome (the least preferred outcome that will be acceptable
to the Agency). Briefly capture these recommendations on a
flip chart.
After each group has had an opportunity to report its
recommendations, facilitate a larger group discussion of
similarities and differences between the recommendations.
“Coax” the group toward the most complete P2
recommendations suggested, but acknowledge roadblocks
present in the Agency, which may include:
■ lack of staff P2 expertise and experience,
■ lack of Agency authority,
■ lack of Agency policies,
■ weak regulations,
■ weak support among senior managers or external Agency
watchdogs, or
■ a strong and organized industrial community.
Note: The large group discussion may raise issues regarding
conflicting or ambiguous Agency regulations, policies, or
authority. To foster a discussion that keeps within the time
frame for this Module, it may be helpful to capture such issues
on a separate flip chart and secure some volunteers to carry
the issues back to policy and rulemaking groups within the
Agency.
Indicate to participants that the Worksheet provided on the
opposite page is for their note-taking benefit only.
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NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 65
Enforcement Recommendations for the Case Study Facility:P2 Worksheet
The best enforcement strategy is:
The best P2 options include:
Module 11Discussion of Small Group Recommendations and Enforcement Resource Constraints
Instructor Notes
66 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Acknowledge the staff members’ individual resource
limitations as a lead-in for presenting Overheads 13–15.
Display Overhead 13. Acknowledge that more thought and
activity to build pollution prevention outcomes into
enforcement actions will probably divert staff resources from
other activities they are currently engaged in. This demand on
Agency resources should be minimized to the greatest extent
possible. Some ways to do that include limiting the research
and review activities the Agency will undertake during the
settlement negotiation phase, and negotiating only a few
major milestones and timeframes.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj14 Display Overhead 14. Similarly, Agency oversight of the
facility’s implementation of a P2 project may require more or
less resource-demand. Possible ways to limit the demand on
Agency resources during the oversight enforcement period
include limiting the interim review and approvals, and tracking
only specific P2 milestones as measures of the facility’s
compliance with the enforcement action.
Module 11
Nex
t…
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 67
Less Resources
Company proposes P2 project.Agency negotiates timeframes and a few milestones.
Agency reviews info to help company develop P2 project proposal.Agency negotiates substance of project, time-frames and milestones.
More Resources
Agency completes research and thorough company review to develop P2 project proposal.Agency negotiates sub-stance, timeframes, and milestones.
Enforcement — P2 Resource Demand Continuum
Negotiation of P2 in Settlementoverhead 13
Less Resources
P2 milestones tracked by Agency simply as compliance milestones of the settlement during the enforcement period.
Agency reviews and approves defining aspects of the project as well as milestones during the enforcement period.
More Resources
Agency reviews and approves operational aspects (e.g., evaluation of alternatives), defining aspects, and milestones during the enforcement period.
Enforcement — P2 Resource Demand Continuum
Oversight and Implementation of P2 Settlementoverhead 14
Module 11
Instructor Notes
68 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj15 Display Overhead 15. Finally, exerting staff resources to
achieve more P2 outcomes in enforcement actions results in
various value trade-offs for the Agency. Low resource
expenditure (that is, undertaking only a few P2 cases or
limiting activities to simplistic projects) can result in
completing more cases and obtaining higher penalty dollars,
and will maintain a staff focus on regulatory and enforcement
basics. However, higher resource expenditure (that is, more —
or more complex — P2 cases) can result in increased staff
knowledge of P2 options and industrial processes, increased
data from facilities, increased assurance that P2 will be
considered and implemented by more facilities, long-term
benefits to the economy through industrial cost-savings, and
short- and long-term benefits to the environment through
removing or reducing a future area of noncompliance,
weighed against any increased demand on the Agency
resources.
Module 11
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 69
Low P2 ResourceExpenditure Increases:
(+) No. of cases that Agency can complete(+) Possible total penalty dollars assessed
(if penalties mitigated for P2 outcomes)
(+) Focus on regulatory and enforcement basics
High P2 ResourceExpenditure Increases:
(–) Demand on Agency staff resources(+) Staff knowledge and involvement in
P2 options and industrial processes(+) P2 and other data from facilities(+) Assurances of P2 consideration by
more facilities(+) Possible cost-savings by industry for
implementing P2 return-to-compliance (long-term benefit to economy)
(+) Future noncompliance possibly avoided
Enforcement — P2 Resource Demand Continuum
Trade-Offs in Value to Agencyoverhead 15
Module 11
Instructor Notes
70 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 12 Discussion of Proposed Methodfor Building an Internal PollutionPrevention Enforcement CaseInformation Resource
The data collection model presented in the Participant Notes
of this Module describes a proposal still under development at
the Massachusetts DEP.
If a similar data collection process is ongoing at your Agency,
you may wish to remove the MADEP material presented in this
Module and replace it with material relevant to your
Agency’s model. Alternatively, you may discuss MADEP’s
proposed approach as a hypothetical example. If so, use the
Instructor Notes and Participant Notes of this Module “as-is.”
Note: This module is most useful if senior managers at the Agency
have already: (1) committed resources to developing a P2-in-
Enforcement information resource, and (2) reviewed and
approved the proposed data elements and collection
procedures. If these commitments and approvals have not
occurred, you should facilitate the discussion as a
“recommendations gathering” session, rather than a “final
polishing” review. Next, lead the large group through the
following discussion.
Acknowledge that building pollution prevention projects into
enforcement cases occurs much more frequently at some
Agencies than others, and suggest that building an
information resource within this Agency will be beneficial in
tracking the extent to which P2 is being incorporated into
enforcement activities, and can also serve as a valuable
resource to Agency staff looking for ideas and suggestions for
future cases.
Customize
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 71
MADEP/BWP ENFORCEMENT-P2PROJECT DATA COLLECTION PROCEDURE: PROPOSAL
1. Periodically (frequency to be determined), the Bureau’s Planning and EvaluationDivision (PED) Pollution Prevention Branch (P2 Branch) will obtain a listing fromthe MADEP Facility Master File (FMF) of all higher level enforcement cases(enforcement action more severe than a Notice of Noncompliance or NON) forsome prior period. These cases include Administrative Consent Orders (ACOs),Administrative Consent Orders with Penalty (ACOPs), Unilateral AdministrativeOrders (UAOs), and Penalty Assessment Notices (PANs).
For example, the P2 Branch will obtain a quarterly listing of all higher level en-forcement cases from the quarter ending 3 months prior.
2. The P2 Branch will review copies of each higher level enforcement documentfrom the MADEP Office of Enforcement (OE) files in Boston for pollution preven-tion activities included within the enforcement action or in any SupplementalEnvironmental Project (SEP) document referenced in the enforcement action. Ifpollution prevention activities are included, a copy of the enforcement documentand SEP document (if applicable) will be obtained for the Enforcement-P2 ProjectData files.
3. Using the FMF pre-inspection report and the enforcement document(s) ob-tained from OE for each facility, the P2 Branch will complete the MADEP/BWPEnforcement-P2 Project Data Collection Form to the greatest extent possible.
4. To obtain the remaining information on the MADEP/BWP Enforcement-P2Project Data Collection Form, the P2 Branch will telephone the BWP RegionalOffice or Boston inspector who prepared the enforcement action and obtain theremaining information, if possible.
5. The inspector who prepared the enforcement action will try to provide allremaining information where reasonably possible.
RECOMMENDATION: Require the facility to complete the MADEP/BWP En-forcement-P2 Project Data Collection Form as an action within the enforcementagreement.
6. The P2 Branch will maintain the data and records collected so as to provideinformation to future inspectors contemplating similar P2 projects or enforcementfor similar violations, and to provide aggregated data for MADEP senior managersin presentations and in evaluating progress in encouraging pollution prevention inthe regulated community.
RECOMMENDATION: The P2 Branch should establish an electronic database tocapture information on the MADEP/BWP Enforcement-P2 Project Data CollectionForm to allow for ease in aggregating data and in searching for particular projectinformation. This database may be a stand-alone system to be made available to allMADEP offices through a central server, or may be a subportion of the FacilityMaster File (FMF).
Module 12Discussion of Proposed Method for Building an Internal P2 Enforcement Case Information Resource
Instructor Notes
72 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Also, acknowledge that expanding an existing data system, or
developing a new data system to house the data, is a difficult
task and may require the input and cooperation of two or
more divisions within the Agency.
Finally, explain that other Agencies may make the contents of
their P2-in-Enforcement data systems available. For example,
EPA-New England (Region 1) has shared its data with the New
England states and with non-governmental organizations in
the Northeast. Likewise, non-governmental organizations may
collect information from one or more states and may make it
available to Agencies if requested.
Direct the participants’ attention to their workbooks. A list of
data elements useful to collect, and a proposed procedure for
collecting and maintaining the data, are contained in the
workbooks. Facilitate two separate and consecutive
discussions:
1. Are the listed data elements
— useful?
— complete?
— essential?
2. Is the proposed procedure workable as a trial policy?
Module 12
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 73
Module 12
MADEP/BWP Enforcement-P2 Project Data Form: Proposal
Attach copy of enforcement document, SEP (if applicable), and FMF pre-inspectionreport to this form.
I. Facility InformationFacility Name:(***)Address:(***)Inspector:(***)Enforcement No:(***) (includes code for enforcement type:ACO, ACOP, UAO,PAN)Industrial DescriptionSIC CodeType Of Violations: reg citation & brief description (^^^)
II. P2 Project InformationSEP Type(s): if a SEP, choose one or more as applicable1. Public Health2. Pollution Prevention3. Pollution Reduction4. Environmental Restoration & Protection5. Assessments and Audits6. Environmental Compliance Promotion7. Emergency Planning & Preparedness
Project Description:(^^^)Associated Media (AIR, IWW, LAND, HW, SW, OTHER) (^^^)Associated Statute — which programs does the project affect? — AQ, HW, SW,IWW, TURA, Other)
III. Penalty InformationDate Of Order:(***)Proposed (Initial) Penalty Amount: (may be in SEP document)SEP Credit Amount: (may be in SEP document)Final Penalty Amount Assessed:(***) (equals proposed penalty minus SEPcredit amount)Penalty Due Date:(***)
Instructor Notes
74 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Module 12
NotesParticipant Notes
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 75
Module 12
MADEP/BWP Enforcement-P2 Project Data Form: Proposal(cont’d)
IV. SEP Cost/Credit Information (may be in SEP document)Present Value After Tax Project Cost
(Initial & Annual Operations/Maintenance)(may be >> credit amount):
Net Present Value of Investment to Facility (may be positive or negative):Period Of Calculation (usually in number of years):Payback Period of SEP to Facility (if any):
V. Environmental Benefit Of P2 ProjectPollutant:Projected Quantity: Unit Of Measure:Projected Percent Reduction:Medium: (air, wastewater, land, HW, SW, other)Pollutant:Projected Quantity: Unit Of Measure:Projected Percent Reduction:Medium: (air, wastewater, land, HW, SW, other)
Other Comments:
(***) Data already collected in MADEP Facility Master File database (FMF)
(^^^) Data already present in MADEP enforcement document and/or SEPdocument
Boldface: Data to be obtained from inspector (inspector may require facility toprovide)
Instructor Notes
76 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Evaluation: A paper evaluation form should also be provided so that
participants can note feedback specifically and confidentially.
Give participants time at the end of the course to fill in the
forms and collect them as participants depart the classroom.
Module 13 Wrap-Up and Evaluation of theTraining Module
Large Group Exercise: Use a plus/delta evaluation to solicit
feedback on the training. In a plus/delta evaluation, the trainer
writes a plus sign at the top of one flipchart and a delta at the
top of a second. The plus (+) represents what worked in the
training and the delta (∆) represents what could be improved.
The trainer quickly reviews the agenda for the training and
then solicits remarks to put on the plus page and on the delta
page. Answers should be recorded in the appropriate column
and useful feedback should be incorporated into the next
course offering.
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+ ∆
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ParticipantExercise
Participant EvaluationRegulatory Enforcement at Commercial and Industrial Facilities
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 77
Pollution Prevention (P2) In Job Function Training: P2 in Enforcement
Evaluation Form
Please complete all parts of this brief evaluation. Results will be used to improve this program. The instruc-tional goals of this P2 in job function training are: 1) to review the enforcement process, 2) to improve partici-pant ability to identify and maximize opportunities to build pollution prevention into the enforcementprocess, and 3) to increase participant inclination to work pollution prevention into inspection and enforce-ment activities. Please rate the following elements of today’s workshop, both in terms of their usefulness inreaching the instructional goal and their overall quality. Please provide written comments in the space pro-vided to explain your rating or to offer suggestions for improvement.
1. Introductions/Review of Workshop Objectives
Comments:
2. Definition of P2 & TUR
Comments:
3. Review of P2 Opportunities in the Field
Comments:
4. Review Regulatory Enforcement Process andBrainstorm P2 Opportunities
Comments:
5. Using P2 Information Resources
Comments:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Instructor Notes
78 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Participant EvaluationRegulatory Enforcement at Commercial and Industrial Facilities
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 79
6. Available P2 Information Resources
Comments:
7. Review Case Study
Comments:
8. Discussion of Case Study P2 Options
Comments:
9. Brainstorm Compliance Enforcement and P2 Strategy forCase Study Facility
Comments:
10. Discussion of Small Group Recommendations andEnforcement Resource Constraints
Comments:
11. Building a “P2 in Enforcement” Information ResourceWithin the Agency
Comments:
12. Summary and Wrap-up
Comments:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Instructor Notes
80 Instructor Notes P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Participant EvaluationRegulatory Enforcement at Commercial and Industrial Facilities
P2 in Regulatory Enforcement at Commercial and Industrial Facilities 81
13. Assess the amount of time/detail devoted to each:
Introductions/ObjectivesReview of Definition of P2 & TURReview of P2 Opportunities in the FieldReview Regulatory Enforcement ProcessUsing P2 Information ResourcesAvailable P2 Information ResourcesReview Case StudyDiscussion of Case Study P2 OptionsBrainstorm Strategy for Case Study FacilityDiscussion of RecommendationsBuilding a “P2 in Enforcement” Info. ResourceSummary and Wrap-up
Comments:
13. What was the most significant thing that you learned in today’s training?
14. In what way(s) do you expect to apply what you have learned today in your work?
15. What specific types of training would you like to see offered in the future?
16. Additional comments and suggestions for future training:
too little about right too much
This curriculum document has been developed by staff at the Toxics UseReduction Institute (TURI) at the University of Massachusetts at Lowell.The principal curriculum and instructional designer is Jody Hensley, M.Ed.,Senior Education and Training Associate at TURI. Principal documenteditor is Anne Berlin Blackman, J.D, M.A, Education and Training Associateat TURI.
All rights to this curriculum belong to the Toxics Use Reduction Institute(TURI), the Massachusetts Department of Environmental Protection (MADEP) and the United States Environmental Protection Agency (U.S. EPA).The material may be duplicated or used with permission. A request forpermission to duplicate and use portions of the curriculum may be made atthe TURI website: http://www.turi.org.
The views expressed within this curriculum document do not necessarilyrepresent the stated policies of the above agencies nor does citing of tradenames or commercial processes constitute endorsement.
The Toxics Use Reduction Institute is a multi-disciplinary research,education and policy center established by the Massachusetts Toxics UseReduction Act of 1989. The Institute sponsors and conducts research,organizes education and training programs, and provides technical supportto governments to promote the reduction in the use of toxic chemicals inindustry and commerce. Further information can be obtained by writingthe Toxics Use Reduction Institute, University of Massachusetts Lowell,One University Avenue, Lowell Massachusetts 01854, ore-mail www.turi.org.
© Copyright 1999 by the Toxics Use Reduction Institute, University ofMassachusetts Lowell; the Massachusetts Department of EnvironmentalProtection; and the United States Environmental Protection Agency.
DEP
TOXICS USEREDUCTIONINSTITUTE
Pollution Prevention IntegrationA Training Curriculum for Environmental Agency Staff
InformationAccess
P2 in theJob Function
EnhancedCommunication
Industrial Process SectorInnovative Technologies
Multimedia EnvironmentalProgram Awareness: Cross Training
Capacity building in the public environmental agency to promotecleaner, safer and more competitive industry while protecting our
natural resources.
This integrated curriculum was designed under the sponsorship of an EPA EnviromentalTechnology Initiative Grant to the Massachusetts Department of EnvironmentalProtection. The Toxics Use Reduction Institute, as contractor to the MA DEP, coordinatedthe design and publication of curriculum materials in collaboration with the MA DEPBureau of Waste Prevention and the Northeast Waste Management Officials Association.
EPA Project CX 824560-01-1
Surface Coatings*Industrial Process Sector:
Instructor’s Manual with Participant Materials
*
© Copyright 1999 by the Toxics Use Reduction Institute, University of Massachusetts Lowell; the MassachusettsDepartment of Environmental Protection; and the United States Environmental Protection Agency.
2 Instructor Notes Surface Coatings
Table of Contents with List of OverheadsModule 1: Introductions/Expectations ............................................................................................................................................................................. 10Module 2: Coating Process Introduction ......................................................................................................................................................................... 16
The Coating Process ................................................................................................................................................................................................... 17Process Steps ................................................................................................................................................................................................................ 17Preparation & Application Methods ......................................................................................................................................................................... 17Preparation & Application Methods ......................................................................................................................................................................... 19Curing & Process Support .......................................................................................................................................................................................... 19Two-Stage Primer Topcoat System ............................................................................................................................................................................ 21Pretreatment Processes ............................................................................................................................................................................................... 21Process Input-Output Analysis .................................................................................................................................................................................. 23Coating Process Regulation ........................................................................................................................................................................................ 25
Module 3: Surface Preparation and Pretreatment ........................................................................................................................................................... 26Adhesion, Phosphating and Rinsing ......................................................................................................................................................................... 29Adhesion ...................................................................................................................................................................................................................... 29Adhesion — Corrosion .............................................................................................................................................................................................. 31Adhesion — Contaminants ....................................................................................................................................................................................... 31P2-Options .................................................................................................................................................................................................................. 33Phosphating ................................................................................................................................................................................................................. 35Phosphating ................................................................................................................................................................................................................. 35Cleaning and Rinsing .................................................................................................................................................................................................. 37Pretreatment Processes ............................................................................................................................................................................................... 37Counter Current Rinsing ........................................................................................................................................................................................... 39Sealing after Phosphating ........................................................................................................................................................................................... 39Wash Primer ................................................................................................................................................................................................................ 41
Module 4: Spray Coating Pollution Prevention ............................................................................................................................................................... 42Conventional Spray ..................................................................................................................................................................................................... 49Spray Bounce-back ..................................................................................................................................................................................................... 49HVLP Spray ................................................................................................................................................................................................................. 51Airless Spray ................................................................................................................................................................................................................ 51Air-Assisted Airless ..................................................................................................................................................................................................... 53Electrostatic Spray ....................................................................................................................................................................................................... 53Electrostatic Spray ....................................................................................................................................................................................................... 55Expected Transfer Efficiency ...................................................................................................................................................................................... 55Transfer Efficiency ...................................................................................................................................................................................................... 57Transfer Efficiency ...................................................................................................................................................................................................... 57Transfer Efficiency ...................................................................................................................................................................................................... 59Financial Implications ................................................................................................................................................................................................ 59
Module 5: Liquid Coating Pollution Prevention ............................................................................................................................................................. 60Coating Composition Basics ...................................................................................................................................................................................... 61Resin Types .................................................................................................................................................................................................................. 61Pigments ...................................................................................................................................................................................................................... 63Coating Terms ............................................................................................................................................................................................................. 63Typical Coatings .......................................................................................................................................................................................................... 65Water-Borne vs High Solids Solvent Borne Coatings .............................................................................................................................................. 65Air/Force Dry Versus Bake ......................................................................................................................................................................................... 67Water & Solvent Borne Coatings ............................................................................................................................................................................... 67Comparing Systems .................................................................................................................................................................................................... 69
Module 6: Viscosity and Pollution Prevention ................................................................................................................................................................. 70Viscosity Control ......................................................................................................................................................................................................... 73Solvent Reduction & Viscosity ................................................................................................................................................................................... 73Solvents & Viscosity .................................................................................................................................................................................................... 75Viscosity and Temperature ......................................................................................................................................................................................... 75
Module 7: Regulatory Integration Activity ....................................................................................................................................................................... 76Module 8: Review Activity ................................................................................................................................................................................................. 88Module 9 Alternative Coating ........................................................................................................................................................................................... 90
Electrostatic Powder Coating ..................................................................................................................................................................................... 93Electrostatic Spray Gun .............................................................................................................................................................................................. 93Powder Fluidized Bed .................................................................................................................................................................................................. 95Supercritical CO
2......................................................................................................................................................................................................... 95
Supercritical CO2
......................................................................................................................................................................................................... 97Radiation Cured Coatings ........................................................................................................................................................................................... 97Ultraviolet Curing System ........................................................................................................................................................................................... 99Radiation-Cured Coatings .......................................................................................................................................................................................... 99
Module 10: Gun and Line Cleaning, Paint Stripping .................................................................................................................................................... 100Minimizing Gun & Line Cleaning ........................................................................................................................................................................... 101Minimizing Gun & Line Cleaning ........................................................................................................................................................................... 101Paint Stripping .......................................................................................................................................................................................................... 103
Module 11: Resource Review ........................................................................................................................................................................................... 118Module 12: Site Visit ......................................................................................................................................................................................................... 122Module 13: Closing and Evaluation ................................................................................................................................................................................ 126
Surface Coatings 3
Table of Contents
Module 1: Introductions/Expectations ..................................................................................................... 11
Module 2: Coating Process Introduction .................................................................................................. 17
Module 3: Surface Preparation and Pretreatment .................................................................................... 27
Module 4: Spray Coating Pollution Prevention ........................................................................................ 43
Module 5: Liquid Coating Pollution Prevention ...................................................................................... 61
Module 6: Viscosity and Pollution Prevention ......................................................................................... 71
Module 7: Regulatory Integration Activity ............................................................................................... 77
Module 8: Review Activity ......................................................................................................................... 88
Module 9 Alternative Coating ................................................................................................................... 91
Module 10: Gun and Line Cleaning, Paint Stripping ............................................................................. 101
Module 11: Resource Review ................................................................................................................... 119
Module 12: Site Visit ................................................................................................................................. 123
Module 13: Closing and Evaluation ........................................................................................................ 127
Instructor Notes
4 Instructor Notes Surface Coatings
Transition to NEW TOPIC orCONCEPT
Icon legend
PAUSE Video
Start Video
VIDEO used in this section
STOP Video
“ROUND-THE-CLOCK”
EXERCISE
Nex
t…
Trainer needs to
CUSTOMIZE this section to
fit region, agency, etc.Customize
“HANDS ON” EXERCISE
WWWLog onto WORLD WIDE WEB
Trainer ASKS SPECIFIC
QUESTIONS at this point????
PAIRED, SMALL or LARGEGROUP EXERCISE
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj#
OVERHEAD (no.)
referred to in this section
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
FLIPCHART
used in this section
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ParticipantExercise
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
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ParticipantHandout
HANDOUT or EXERCISE
referred to in this section
Instructor Notes
6 Instructor Notes Surface Coatings
Instructor Tools
A key to successful training is to involve attendees in the learning processthrough the use of interactive techniques. However, one can never getcompletely away from lecture — especially when delivering detailed technicalinformation. This training utilizes four tools to engage participants in thelearning process and increase retention of technical information presented vialecturettes and written materials. Each of these tools is discussed below.
Summarizing to Reinforce Learning
Summarizing content immediately following a lecturette can dramaticallyincrease retention and reinforce key concepts. In this training, we use asummarizing tool called the “10–2.” When using the “10–2,” the trainer lecturesfor approximately 10 minutes, and then instructs the participants to pair off for 2minutes to review the material. During the two minute review, participantspair off with each other to discuss a question that the trainer provides. It is VERYimportant that the trainer give the participants a good question — one thatstimulates an interesting discussion and serves as a review of the key conceptsjust presented. Participants should take turns answering the question for oneminute each. Following the two-minute discussion, the training continues. The“10–2” is used in Modules 3, 8, and 9 in this course.
Around the Clock Learning Partners.
In order to get participants into pairs, we use a tool called “Around the ClockLearning Partners.” At the onset of the training (during Module 1 in this training)participants make written appointments on a “clock” with other participants.
Activators
This training also makes use of Activators. Activators are brief activitiesscheduled prior to a reading or lecturette. The purpose of an activator is to helpparticipants learn new information by developing their interest and building ontheir current knowledge. Three specific activators are outlined in this trainingare:
1. “Things I Know, Think I Know, Want/Need to Know,” a small groupbrainstorming tool used in Module 3;
2. “Word Splash,” a large group brainstorming tool used in Module 4; and
3. “Carousel Brainstorming,” designed to get small groups to examine anumber of questions and build on one another’s ideas. This tool is used inModule 6.
NotesParticipant Notes
Surface Coatings 7
Surface Coatings
Instructional Goals
1. Participants will be able to identify and describe metal surface coating options.
2. Participants will be better able to identify opportunities for facilities to imple-ment alternative metal surface coating technologies
3. Participants will be more inclined to work metal surface coating technologiesinto their interactions with facility personnel (i.e., during permitting review,compliance inspections, and enforcement actions).
Performance Objective
1. Participants will be able to ask specific and clarifying questions during aninspection, permit review, or enforcement action. These questions will helpmake the facility aware of opportunities to implement alternative metal surfacecoating technologies.
2. Participants should increase the frequency with which they bring alternativemetal surface coating options to industry’s attention.
3. Participants will be able to describe basic metal surface coating processes andP2 options.
Surface Coatings
Instructor Notes
8 Instructor Notes Surface Coatings
Overhead Numbering System
Overheads are numbered in sequential order. Overhead I–1 stands for Instructornotes, overhead number one.
Written Resources
Several written reports and publications were used to prepare this training.Most of these documents are available at no or low cost to public agencies. Thefirst two documents on the list below were found to be especially helpful inpreparing the training and should be referenced by the trainer. Trainers maywant to consider making these publications available to participants at thetraining by ordering them in advance.
1. Pollution Prevention in the Paints and Coatings Industry. EPA/625/R-96/003
2. Pollution Prevention in Paints and Coatings Processes — A Manual forPollution Prevention Technical Assistance Providers. NEWMOA. Boston, MA1997
3. EPA Guide to Cleaner Technologies: Organic Coating Replacements. EPA/625/R-94/006
4. Pollution Prevention Tips. NC Pollution Prevention Program. 1993
5. Maine Paints and Coatings Technology Conference Resource Guide. 1995
6. Protective Coatings. Clive H. Hare. Technology Publishing Co. Pittsburgh, PA1994
Additional Instructor Notes
Get Spray Guns
The trainer should try to get spray guns to display during the training. Spray gunmanufacturers and distributors may have sample spray guns, non-spec guns, orunreparable guns that the trainer can borrow for this purpose.
Table Arrangement
Participants should sit at tables in groups of five orsix. Circular tables work well for these groups.Rectangular tables should be arranged in a chevronshape with the speaker at the front.
6' x 3'
X
X XX
XX
X
XXX
XX
X
X XX
XX
X
XXX
XX
X
X XX
XX
X
XXX
XX
NotesParticipant Notes
Surface Coatings 9
Written Resources
Several written reports and publications were used to prepare this training. Most ofthese documents are available at no or low cost to public agencies.
1. Pollution Prevention in the Paints and Coatings Industry. EPA/625/R-96/003
2. Pollution Prevention in Paints and Coatings Processes — A Manual for Pollu-tion Prevention Technical Assistance Providers. NEWMOA. Boston, MA 1997
3. EPA Guide to Cleaner Technologies: Organic Coating Replacements. EPA/625/R-94/006
4. Pollution Prevention Tips. NC Pollution Prevention Program. 1993
5. Maine Paints and Coatings Technology Conference Resource Guide. 1995
6. Protective Coatings. Clive H. Hare. Technology Publishing Co. Pittsburgh, PA1994
To order copies of these materials, contact Janet Clark at www.turi.org.
Instructor Notes
10 Instructor Notes Surface Coatings
Module 1 Introductions/Expectations
1. INTRODUCTION: The trainer begins by introducing himself/
herself and discussing the purpose of the training and its
content (in general terms).
2. Flipchart: The trainer next asks participants to state their
names, affiliations, what reactions they have gotten when
recommending P2 in their regulatory roles (in general and
specifically in paint and coating operations), and what they
hope to learn during the course. As participants are discussing
their experiences, the trainer should take notes on a flipchart.
3. AGENDA: The trainer should review the agenda on overhead 1
and refer to the flipchart notes. The trainer should highlight
the areas the training will cover while referring to the topics
listed on the flipchart. The trainer can review the wealth of
experience in the room and point out that participants can
expect to benefit from the knowledge of their colleagues.
Nex
t…
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NotesParticipant Notes
Surface Coatings 11
Module 1
Agenda
Day 1
Module 1 Introductions/Expectations
Module 2 Coating Process Introduction
Module 3 Surface Preparation and Pretreatment
Module 4 Spray Coating Pollution Prevention
Module 5 Liquid Coating Pollution Prevention
Module 6 Viscosity & Pollution Prevention
Module 7 Regulatory Integration Activity
Module 8 Review Activity
Module 9 Alternative Coating
Module 10 Gun and Line Cleaning, Paint Stripping
Module 11 Resource Review
Module 12 Site visit
Module 13 Closing and Evaluation
Introductions/Expectations
Instructor Notes
12 Instructor Notes Surface Coatings
Training Agenda
Day 1 Approximate Time
Module 1 Introductions/Expectations 20 minutes
Module 2 Coating Process Introduction 50 minutes
Module 3 Surface Preparation and Pretreatment 40 minutes
Module 4 Spray Coating Pollution Prevention 75 minutes
Module 5 Liquid Coating Pollution Prevention 45 minutes
Module 6 Viscosity & Pollution Prevention 30 minutes
Module 7 Regulatory Integration Activity 90 minutes
Plus Delta on Day 1 10 minutes
Total 6 hours
Day 2
Module 8 Review Activity 15 minutes
Module 9 Alternative Coatings 40 minutes
Module 10 Gun Cleaning & Paint Stripping 40 minutes
Module 11 Resource Review 20 minutes
Module 12 Site Visit Preparation 15 minutes
Site Visit 2.5 hours
Site Visit Debriefing 20 minutes
Evaluation 15 minutes
Total 5 hours
Module 1
NotesParticipant Notes
Surface Coatings 13
Agenda
Day 2
Module 8 Review Activity
Module 9 Alternative Coatings
Module 10 Gun Cleaning & Paint Stripping
Module 11 Resource Review
Module 12 Site Visit Preparation
Site Visit
Site Visit Debriefing
Evaluation
Module 1
Instructor Notes
14 Instructor Notes Surface Coatings
4. Small group exercise: The trainer refers to the learning clock
on the opposite page and asks participants to make
appointments on their clock. Participants are instructed to
make an appointment with 12 different people — one for each
hour of the clock. Participants should be sure they both record
the appointment on the clocks. Make an appointment only if
there is an open slot at that hour on both of your clocks.
Around the Clock Learning Partners
In order to get participants into pairs, we use a tool called
“Around the Clock Learning Partners.” At the onset of the
training (during Module 1 in this training) participants make
written appointments on a “clock” with other participants until
all twelve hours on the clock are scheduled. The trainer
instructs participants to schedule a different person for each
hour, and reminds participants that they should both record
the appointment on their clocks. At various points in the
training — typically following a lecturette of approximately
ten minutes — the trainer directs the participants to “stand up
and find their one o’clock partner.” (After the next 10-minute
lecturette they get together with their two o’clock partner, and
so on.) The trainer gives a specific question for the participants
to discuss with their partner during the two-minute period.
Following the two-minute discussion, the participants return
to their seats.
Module 1
NotesParticipant Notes
Surface Coatings 15
Around the Clock Learning Partners
Make an appointment with 12 different people — one for each hour on the clock. Besure you both record the appointments at the same time on your clock. Only makethe appointments if there is an open slot at that hour on both of your clocks.
12
6
9 3
210
8 4
111
7 5
12:00
11:00 1:00
10:00 2:00
9:00 3:00
8:00 4:00
7:00 5:00
6:00
Module 1
Instructor Notes
16 Instructor Notes Surface Coatings
Module 2 Coating Process Introduction
Section 1 Overview of Coating Processes
The trainer should explain that he/she is going to review the
myriad of different coatings, application methods, and curing
processes.
1. LARGE GROUP DISCUSSION: Display Overhead 1 and discuss
the simplified coating process flow diagram and review the
steps in the diagram. Ask participants the following questions:
1. What kinds of substrates are coated?
(Answers include metal, wood, plastic, paper, and fabric.)
2. What are the chief types of coatings used to coat metal
surfaces?
(Typical answers will include conventional, high solids, water
borne, powder, UV-curable, two-part or plural coatings, etc.)
2. LARGE GROUP DISCUSSION: Display Overhead 2 and ask
participants to list application methods, curing systems, and
coating systems in a large group interactive format.
Ask the following questions and record responses on a
flipchart.
1. How are metal surfaces prepared for coating? The trainer
may want to group the responses on the flipchart into
several categories (Overhead I–1 (p. 19) lists possible
responses)
1. phosphating (including iron and zinc phosphating)
2. chemical cleaning/surface preparation:
a. solvents (e.g., semi-aqueous and chlorinated organic
solvents),
b. aqueous cleaners with and without mechanical action
such as ultra sonics
c. acidic cleaners
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiajI-1
NotesParticipant Notes
Surface Coatings 17
The Coating Processoverhead 1
Surface prep. Application & Curing
Process support
Un-coatedproduct Coated product
• cleaning• stripping
• equip. cleaning• maintenance• inv. control
Process Stepsoverhead 2
Surface Pretreatment
Application Methods
Curing Methods
Process Support
Module 2
Preparation & Application Methodsoverhead I-1
Preparation Application
Coating Process Introduction
Instructor Notes
18 Instructor Notes Surface Coatings
3. Non-chemical cleaning/surface preparation:
a. oxidizing, abrasion, tumbling, de-burring, sanding, CO2
blasting, steel shot, baking soda, corn starch, and
plastic media
2 What are different types of coating application methods?
(Overhead I–1 (p. 19) lists possible responses)
1. Spray, electrostatic, rolling, dipping, printing, powder
coating, curtain coating
3 What are different types of curing methods? (Overhead I–2
lists possible responses)
1. heat, air dry, UV, and chemical curing
4 What ancillary operations come into play? (process support)
(Overhead I–2 lists possible responses)
1. Cleaning: spray guns, lines, over-spray areas, spills, storage
areas
2. Misc.: inventory management, hydraulic oil waste, rags,
equipment maintenance
Optional: this discussion can be run as a small group discussion
followed by a report back from each group. However, small group
activities generally require more time than large group
discussions.
Module 2
NotesParticipant Notes
Surface Coatings 19
Module 2
Preparation & Application Methodsoverhead I-1
Preparation Application
■ phosphatizing ■ spray
■ caustic cleaning ■ powder
■ acid cleaning ■ roll
■ thermal cleaning ■ flow
■ deburring ■ curtain
■ electrostatic
Curing & Process Supportoverhead I-2
Curing Methods Process Support
■ air dry ■ gun cleaning
■ baking oven ■ line cleaning
■ radiation (UV/IR) ■ maintenance
■ vapor-injection
■ two-component
Instructor Notes
20 Instructor Notes Surface Coatings
3. LARGE GROUP DISCUSSION: Upon completing the discussion,
the trainer should review the process flow diagrams in
Overheads 3 and 4.
Overhead 3 covers priming and coating as a two stage
process. In this process, the incoming raw material is cleaned.
The cleaning removes contaminants that could undermine the
integrity of later processes (i.e., welding, painting, etc.). The
material is then primed, assembled, re-primed (if and where
necessary), and finally topcoated. In this process, the priming
and topcoating take place in two separate stages. Priming and
topcoating as a single stage process is possible when products
require little or no assembly before shipping. In a single stage
process, the painting operation is not interrupted for assembly
between priming and topcoating.
Overhead 4 reviews surface preparation processes, specifically
phosphating and conversion coating. Iron phosphating is
usually a three step process. Enhanced corrosion protection is
provided by a five step process, especially when using zinc
phosphate. Pieces can either be immersed or sprayed
depending on their size. For aluminum applications, chromate
oxide formulations are used to apply conversion coatings,
although non-chromate formulations can be used.
Module 2
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NotesParticipant Notes
Surface Coatings 21
Module 2
Two-Stage Primer Topcoat Systemoverhead 3
Welding and Fabrication
steam cleaning incoming rawmaterial
dry-off ovenmetal pretreatment priming spraybooth
curing oven
curing ovencuring ovenprepping area
vapor degreasing
assembly area
Pretreatment Processesoverhead 4
C. Schematic of typical conversion coating process for aluminum work pieces.
A. Schematic of three-stage iron phosphating process.
B. Schematic of five-stage iron or zinc phosphating process.
degrease (hot)
1
water rinse(ambient)
2
deoxide(120°F)
3
water rinse(ambient)
4
chromate ornonchromat
conversion coating
5
water rinse(ambient)
6
seal rinse(ambient)
7
degrease (hot)
1
water rinse(ambient)
2
iron or zincphosphate (hot)
3
water rinse(ambient)
4
seal rinse(ambient)
5
degrease/ironphosphate (hot)
1
water rinse(ambient)
2
seal rinse(ambient)
3
Instructor Notes
22 Instructor Notes Surface Coatings
Section 2 Coating Processes Input-Output Process
1. SMALL GROUP EXERCISE: The trainer should display
Overhead 5 and explain that participants are to work in small
groups preparing a coatings input-output analysis. The trainer
should instruct participants to do three things in their small
groups:
1. choose a particular process for coating metal, although they
can choose other processes such as continuous roll coating
of paper
2. perform an input-output analysis on the process, and
3. list the various regulations (federal and state) that impact
coating processes.
The trainer should write the following directions on a flipchart:
1. Purpose: To identify the inputs, outputs, and losses in the
process. Identify the regulations that affect the coating
process.
2. Definitions:
1. Input — any raw materials that go into the process (e.g.,
sheet metal, solvents, paints, energy, etc.)
2. Output — The end products of the process.
3. Losses — any waste material, by-products, or other
emissions.
3. Directions:
1. study the process flow diagram,
2. list inputs on the diagram (see Overhead 6),
3. list outputs on the diagram, and
4. list the losses on the diagram.
Module 2
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj5
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Surface Coatings 23
Module 2
Process Input-Output Analysisoverhead 5
Process Inputs Process Outputs Process Losses
SurfacePreparation
Application andCuring
ProcessSupport
Input-Output Analysis
1. Purpose: To identify the inputs, outputs, and losses in the process. Identify theregulations that affect the coating process.
2. Definitions:■ Input — any raw materials that go into the process (e.g., sheet metal, solvents,
paints, energy, etc.)■ Output — The end products of the process.■ Losses — any waste material, by-products, or other emissions.
3. Directions:■ Study the process flow diagram,■ List inputs on the diagram (see Overhead 6),■ List outputs on the diagram, and■ List the losses on the diagram.
Instructor Notes
24 Instructor Notes Surface Coatings
5. after the input-output analysis, list all applicable fed/state
regulations, and
6. discuss which regulations have the greatest potential
impact on P2 in the process you have chosen
The trainer should proceed around the room and check the
small groups to see whether the groups are discussing the
assigned topic and that all group members are getting a
chance to speak, etc.
When the groups have completed the input-output analysis
and listed the main federal and state regulations, the trainer
should reconvene the training and ask participants to debrief
their small group discussions.
■ The debriefing should first discuss the input-output process —
the trainer may fill in Overhead 5 with an overhead marker or
record responses on a flipchart.
■ The trainer may choose to display Overhead 6 and fill it in with
an overhead marker or record responses on a flipchart. The
trainer should mention that regulations play a large role in a
firm’s decision to make pollution prevention changes and that
these issues will be explored in greater detail in subsequent
parts of the training.
Module 2
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj6 Asdf fklkjas ss a dfkj s
fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Surface Coatings 25
Module 2
Coating Process Regulationoverhead 6
■ CAA
■ OSHA
■ RCRA
■ CWA
■ Other
Instructor Notes
26 Instructor Notes Surface Coatings
Module 3 Surface Preparation and Pretreatment
1. ACTIVATOR ACTIVITY
As a large group, participants should list what “They Know,
Think they Know, and Need or Want to Know” (see below for
more information about this activator) about the following
questions and record answers on a flipchart:
■ What affects coating adhesion?
■ How do coatings protect against corrosion?
■ What is phosphating and how does it work?
■ What are the typical P2 options in the cleaning and rinsing
operations that occur prior to coating?
During the brainstorming phase, emphasis should be placed
on getting lots of ideas rather than debating or discussing the
ideas as they are generated. Debate, clarification, and
discussion of ideas should occur once the brainstorming phase
is over. Following the activity, the trainer can review the
questions and present the brainstorming ideas, or proceed to
the following lecturettes followed by a large group review of
the material.
Instructor Tool: Under this first activator, “Things I Know, Think I Know, Want/
Need to Know”, participants brainstorm in small groups for five
minutes on all the things they know, think they know, and want or
need to know about the topic they will be studying. A paper with
three headings — “know,” “think I know,” and “want/need to know”
— should be prepared to record the responses. The responses can
be presented to the larger audience in one of two formats. Each
group can prepare its responses on a piece of flipchart paper and
present the results to the larger group. Alternatively, the groups
can prepare their answers on regular paper and the trainer, in a
large group format, can solicit the results from each group and
write them on a flipchart at the front of the room.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
NotesParticipant Notes
Surface Coatings 27
Module 3
Group Activity
I know:
I think I know:
I want/need to know:
Instructor Notes
28 Instructor Notes Surface Coatings
2. LECTURETTE: Overheads 7 through 11
Explain and discuss surface preparation and adhesion using
Overheads 7 through 11 in Module Three. A brief summary of
surface preparation follows. (For more detailed information,
see the Surface Preparation section of the resource package.)
Overhead 7 is an overview overhead to introduce the module.
The trainer should mention that good coating adhesion
reduces rework and recoating requirements therefore
reducing chemical use and waste generation. Good adhesion
depends upon proper cleaning of the substrate and
phosphatizing of metal substrates. Proper cleaning promotes
coating-substrate adhesion and removes grease, scale, and
welding byproducts. Phosphating provides cathodic
protection against corrosion and a surface for the coating to
adhere to.
Overhead 8 reviews the major threats to adhesion —
corrosion on metal substrates and mold releases on plastic
substrates. The Right-First-Time concept should be
emphasized as well. Under this concept, firms can avoid many
costs while reducing waste generation.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj7
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj8
Module 3
NotesParticipant Notes
Surface Coatings 29
Adhesion, Phosphating and Rinsingoverhead 7
Adhesion
■ prevents corrosion and coating failure
Cleaning
■ promotes coating-substrate adhesion
■ removes oil, grease, scale, welding byproducts, etc.
Phosphating
■ cathodic protection against corrosion
■ surface for coating to adhere to
Adhesionoverhead 8
Adhesion Threats
■ metal: corrosion
■ plastics: mold releases (waxes & silicon)
Right-First-Time
■ avoidable costs: labor, materials, energy, time
■ reduce waste: strippers, coating, energy, etc.
rustmoistureoxygen
Module 3Surface Preparation and Pretreatment
Instructor Notes
30 Instructor Notes Surface Coatings
Overhead 9 reviews the actual process of corrosion in greater
detail. The trainer should emphasize that corrosion occurs in
an electrolyte and is a reaction between iron ions and hydroxyl
groups (formed from the breakdown of water). Corrosion can
be prevented through the use of moisture and oxygen barriers,
good adhesion, and sacrificial or cathodic protection. For a
more detailed review of the corrosion process on metal
substrates, see “Chapter 3: Adhesion as a Critical Factor” in
Pollution Prevention in the Paints and Coatings Industry. EPA/
625/R-96/003 pp. 16–22.
Overhead 10 reviews the types of contaminants that reduce
adhesion. For metal substrates there are three main types of
contaminants: oil and grease, scale, and welding byproducts.
Oil and grease prevent wetting of the metal substrate by the
coating since the surface tension of the coating is greater than
the surface tension of oil and grease. As a result, the cohesive
forces of the coating tend to dominate over adhesive forces to
the substrate. The result is poor wetting (and poor adhesion).
Scale, which is a metal oxide, is a byproduct of metal forming
operations (i.e., forging or heat treating). The flaky film can act
as a cathode and therefore accelerate corrosion and cause
coating failure. Scale also may contain electrolytes, such as
acids or bases, that speed corrosion. Welding byproducts, such
as slag, also contain corrosive substances . Spatter, another
welding byproduct, tends to have an irregular profile that
protrudes through the coating. Lastly, the welding seam is
typically alkaline. Alkaline conditions accelerate corrosion (and
therefore coating failure).
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj9
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj10
Module 3
NotesParticipant Notes
Surface Coatings 31
Module 3
Adhesion — Corrosionoverhead 9
Electrochemical Process
■ in electrolyte, iron dissolves (anodes) to form iron ions (Fe+)
■ electrons from iron react w/ H2O and O2 to form OH- (cathodes)
■ reaction between Fe3+ and OH- forms Rust (Fe2O3)
■ corrosion rate = f (difference in oxidation potential) e.g. Cu & Fe
Corrosion Prevention
■ C2 and moisture barriers
■ superior adhesion to restrict anode-
cathode flow
■ sacrificial or cathodic protection
anodearea
cathodearea
iron ions rust
Adhesion — Contaminantsoverhead 10
1. Oil & Grease
■ prevent wetting if surface tension of coating is > oil or grease
2. Scale (oxides)
■ flaky film, can act as a cathode, contains electrolytes (acid, base, etc.)
3. Welding Byproducts
■ slag: contain corrosive substances
■ spatters: irregular profile, may protrude
■ seam: alkaline
slag weld spatter
Instructor Notes
32 Instructor Notes Surface Coatings
Overhead 11: A number of good business practices and P2
options can reduce the premature coating failure caused by
corrosion. They include proper material storage, such as low
humidity environments protected from rain. Protective
coatings (oils) may be applied to the metal substrates to
reduce corrosion. Such oils, typically applied by the metal stock
manufacturer, should be compatible with no-clean or aqueous
cleaning systems. Just-in-time delivery also reduces the chance
of corrosion in storage and offers many other benefits to the
facility.
SUMMARIZING Lecture on these overheads for approximately ten minutes
with 2 minutes after Overhead 11 for the summarizing exercise
“Around the Clock Learning Partners.” Ask the paired
partners to discuss the following question:
■ What affects adhesion and what can be done (in a P2 sense)
to prevent rejects (coating failure due to poor adhesion)?????
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj11
Module 3
NotesParticipant Notes
Surface Coatings 33
Module 3
P2-Optionsoverhead 11
1. Material Storage
■ indoor storage prevents corrosion
2. Protective Coating
■ rolling oils, corrosion preventatives
■ compatible with simple cleaning steps
3. Just-in-Time Delivery
■ reduce chance of corrosion in storage
■ many other benefits
Instructor Notes
34 Instructor Notes Surface Coatings
Overhead 13: Zinc phosphating offers better corrosion
protection than iron phosphating but has higher raw material
cost. Zinc phosphate produces a thicker film and the zinc offers
better sacrificial cathodic protection to the substrate when
compared to iron phosphate. Both processes must be pH and
temperature controlled to deliver sufficient film thickness.
3. LECTURETTE: Overheads 12 through 18
Explain and discuss phosphating and rinsing while referring to
Overheads 5 through 11. A brief summary of each overhead
follows. (For more information on phosphating and rinsing see
the Surface Preparation section of the resource package.)
Overhead 12: Phosphating increases coating adhesion by
reducing the likelihood of electrolytic corrosion or rust.
Phosphating provides a barrier to water and oxygen and also
helps restrict anode-cathode flow. There are two basic types of
phosphating solutions: zinc phosphate and iron phosphate.
While phosphating enhances corrosion protection, it reduces
cycle time (in terms of an extra step to the process) and
increases labor and chemical costs.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj13
Module 3
NotesParticipant Notes
Surface Coatings 35
Module 3
Phosphatingoverhead 12
Types: Purpose:■ iron phosphate “increase coating adhesion by■ zinc phosphate reducing electrolytic corrosion■ wash primers reaction”
Enhances Performance:barrier to oxygen & moisturedielectric film (insulator)rough surface for gripping
Tradeoffsa. adds costs — extra step, labor & chemicalsb. applicable to high value added partsc. not used on plastics
Phosphatingoverhead 13
iron zinc comments
conc: 3 – 5% 3 – 5% range important
temp: 120 – 140; 90°F 120 – 140; 90°F deposition = f(temp)
pH (spray): 3 – 6 1.8 – 2.4 precipitation = f(pH)
pH (imm): 3–6 3.0
iron phosphate25-80 mg/ft2
zinc phosphate100-1,000 mg/ft2
■ immersion deposition■ spray deposition
Instructor Notes
36 Instructor Notes Surface Coatings
Overhead 15: This overhead depicts typical phosphating
systems. The trainer should briefly review each schematic and
the function of each step in the process.
Overhead 14: One can reduce or eliminate the need to clean
metal parts by coating substrates with materials such as water-
soluble or phosphate-based anti-corrosion agents. Part design
often affects what chemicals must be used to clean metal parts
— for example small, tight geometry’s may require solvent
degreasing. Designing out these tight geometry’s often makes
aqueous cleaning an option. Cleaning the substrate prior to
phosphating is also important so that the phosphating bath
can leave a sufficiently thick deposit. Rinsing in all steps of the
coating process is critical to good coating adhesion and
reducing metal pH to minimize potential corrosion.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj14
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Module 3
NotesParticipant Notes
Surface Coatings 37
Module 3
Cleaning and Rinsingoverhead 14
Reducing/eliminating the need to clean
■ compatible protective oils and coatings
■ redesigning parts
Cleaning prior to phosphating key
■ alkaline type, easily rinsed
Rinsing
■ reduce pH of metal prior to phosphatizing
■ minimize alkaline salts & grime contaminating phosphating bath
■ excess phosphates that effect primer
Pretreatment Processesoverhead 15
C. Schematic of typical conversion coating process for aluminum work pieces.
A. Schematic of three-stage iron phosphating process.
B. Schematic of five-stage iron or zinc phosphating process.
degrease (hot)
1
water rinse(ambient)
2
deoxide(120°F)
3
water rinse(ambient)
4
chromate ornonchromat
conversion coating
5
water rinse(ambient)
6
seal rinse(ambient)
7
degrease (hot)
1
water rinse(ambient)
2
iron or zincphosphate (hot)
3
water rinse(ambient)
4
seal rinse(ambient)
5
degrease/ironphosphate (hot)
1
water rinse(ambient)
2
seal rinse(ambient)
3
Instructor Notes
38 Instructor Notes Surface Coatings
Overhead 17: Facilities often immerse or spray sealers onto
metal substrates following phosphating operations. The sealers
act to harden the phosphate coating. Such sealers may be
chromate based or non-chromate based. The non-chromate
sealers are newer products and, from an environmental
standpoint, are more desirable than chromate sealers.
Overhead 16: This overhead reviews counter current rinsing.
Counter current rinsing can dramatically reduce water use
without sacrificing product cleanliness. The figure shows that
for a dilution ratio of 100:1, a three stage counter current rinse
reduces water use by ~95% . In this example, the dilution ratio
refers to a hypothetical case where 100 parts water are needed
to sufficiently dilute 1 part of solution (be it cleaner or
phosphating solution). With a one stage rinse system, one
would need 99 parts water to dilute the 1 part solution. A two
state system requires 9.5 parts water. A three part system
requires only 4.3 parts water. Counter current rinsing reduces
water use because the water is used several times in a single
rinsing operation.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj16
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj17
Module 3
NotesParticipant Notes
Surface Coatings 39
Module 3
Sealing after Phosphatingoverhead 17
Hardens the deposited phosphate coating
Chromate based (contains Cr 3+ and Cr6+)
■ fills phosphate voids
■ chemical reaction with base metal
■ rinsing and treatment often required
Non-chromate based (polymer sealer)
■ form a protective layer over exposed areas (no reaction)
■ post sealer rinse not required
Counter Current Rinsingoverhead 16
Counter current rates for parts with a 1 gal/min drag-in:
dilution ratio stage 1 stage 2 stage 3
100:1 99 9.5 4.3
degrease (hot)
1
CCR(ambient)
2
iron or zincphosphate (hot)
3
CCR(ambient)
4
di rinse(ambient)
5
process flow
counter current rinse flow
Instructor Notes
40 Instructor Notes Surface Coatings
Overhead 18: An alternative to phosphating metal substrates
to increase adhesion is to apply wash primers. These wash
primers may be solvent-based solutions with 6.5 grams VOC
per liter of coating, or they may be water-borne with less than
3.5 grams VOC per liter of coating.
SUMMARIZING After Overhead 18, use 2 minutes with “Around the Clock
Learning Partners.” Ask the paired partners to discuss one of
the following questions:
■ What role does phosphating play in adhesion?
■ What are typical P2 approaches to the cleaning, rinsing, and
phosphating steps in a painting process?
????
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj18
Module 3
NotesParticipant Notes
Surface Coatings 41
Module 3
Wash Primeroverhead 18
Alternative to phosphates
VOC’s 6.5g/l
■ ethyl alcohol or IPA
■ phosphoric acid
■ zinc chromate
■ water, pigments, resin
water-borne < 3.5 g/l
Instructor Notes
42 Instructor Notes Surface Coatings
Module 4 Spray Coating Pollution Prevention
1. Introduction
The trainer should mention that the next part of the training
will concern spray coating application. To introduce the topic,
the class will view a spray painting video.
2. Video
Show Section 2 of the video “Wood Furniture Finishing” by
Graco. Section 2, which is titled “Fluid Handling and Finishing
Equipment,” will introduce the topic of spray coating. We chose
this video because it contains excellent demonstrations of
spray techniques and transfer efficiency. It also shows a typical
spray painting production environment. Although the video is
not specific to metal finishing, many of the techniques are the
same, and wood furniture finishing is frequently encountered
by regulatory personnel.
NotesParticipant Notes
Surface Coatings 43
Video: “Wood Furniture Finishing” by Grace
Section 2
Air Spray Airless Spray Air Assisted Airless Spray
The three most common configurations for spraycoating systems.
A woman applying a surface coating using an airless spray configuration.
Module 4Spray Coating Pollution Prevention
Instructor Notes
44 Instructor Notes Surface Coatings
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Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Instructor Tool: The second activator used in this training is known as a “Word-
Splash.” A “Word-Splash” is a collection of key terms or
concepts selected from a reading or lecture that is about to be
presented. Selected terms are displayed at angles around the
main topic that is centered in large bold font in the middle of
the page. Participants are asked to brainstorm for two to five
minutes on how the terms relate to the main topic. Once the
ideas are generated, participants turn to the printed material
to check the accuracy of their statements and revise where
necessary.
On a flipchart, the trainer should write down the key terms
and phrases as they are mentioned and defined in the video.
These terms include:
transfer efficiency overspray tip size
fluid pressure air pressure heaters
atomization spray pattern bounceback
spray technique air lead/air lag electrostatic spray
Module 4
NotesParticipant Notes
Surface Coatings 45
Close-up view of a spray application onto a cabinet.
A technician applies a surface coating to tables.
Module 4
Instructor Notes
46 Instructor Notes Surface Coatings
The following three types of spray equipment mentioned in
the video should also be written down on the flipchart.
Electrostatic spray coating (a fourth type of spray coating
equipment) will probably come up later in discussion and
should be added to the list at that time.
conventional (airspray)
airless
air-assisted airless
(electrostatic)
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Following the video, the trainer should review the definitions
of these terms or phrases with regard to their effect on
preventing pollution.
Module 4
NotesParticipant Notes
Surface Coatings 47
Table being coated with an air assisted spray gun.
A technician applies a surface coating to furniture.
Module 4
Instructor Notes
48 Instructor Notes Surface Coatings
Overhead 20: This overhead depicts how high air pressure in
conventional spray guns causes exploding and blasting at the
surface where the coating is applied. These effects cause
turbulence in the air and result in significant overspray and
coating migration in addition to bounceback from the
substrate.
3. Lecturette: Overheads 19 through 26
The trainer quickly reviews Overheads 19 through 26. (Training
notes: For more information on these overheads, see the article
“How Are Coatings Applied” by Carl Izzo in the resource
package.)
Overhead 19: This overhead reviews conventional spray guns.
Such guns use compressed air to atomize the coating at air
pressure ranges of 40 to 70 psi. Conventional spray systems
have many advantages including high production rates and
excellent atomization. However, such systems have extensive
overspray, high emission rates, and high booth clean-up costs.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj19
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj20
Module 4
NotesParticipant Notes
Surface Coatings 49
Module 4
Conventional Sprayoverhead 19
Compressed air atomized paint
Pressures range from 40 to 70 psi
Advantages
■ high production rates
■ excellent atomization — high quality finish
Disadvantages
■ extensive overspray
■ booth clean-up cost
■ filter clean-up cost
■ high VOC and HAP emissions
Spray Bounce-backoverhead 20
Exploding and blasting effects cause turbulence resulting in: overspray,
migration, bounceback
HVLPLVHP
Instructor Notes
50 Instructor Notes Surface Coatings
Overhead 21: HVLP (high volume low pressure) spray guns are
designed to minimize the overspray, migration, and
bounceback effects that plague conventional systems. HVLP
guns spray well into recessed cavities, have lower VOC
emissions and paint waste, and are portable and easy to clean.
However, HVLP system cannot be used in every application
since they do not atomize coatings as well as conventional
systems. HVLP guns also spray at lower rates making their
application in high volume production operations difficult.
Overhead 22: Airless spray guns use high fluid pressure (500 to
6,500 psi) to atomize the coating (as opposed to using air
pressure to aid atomization). Airless spray has many
advantages including high rates of coating flow and high
transfer efficiency. However, airless spray offers relatively poor
atomization and increased hazard of skin injection as a result
of high fluid pressure.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj21
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj22
Module 4
NotesParticipant Notes
Surface Coatings 51
Module 4
HVLP Sprayoverhead 21
Compressed air atomizes paint @ 10 psi
Advantantages Disadvantages
■ sprays well in recesses/cavities ■ atomization unsufficient for
■ reduced paint waste fine finishes
■ lower booth clean-up costs ■ lower production rates
■ lower filter replacement costs
■ lower overspray, VOC, and HAPs
Airless Sprayoverhead 22
■ high fluid pressure (500 to 6,500 psi)
■ no pressurized air flow
Advantages Disadvantages
■ high rates of paint flow ■ relatively poor atomization
■ relatively high transfer efficiency ■ expensive nozzles
■ gun handling versatility ■ reduced fan pattern control
■ can apply highly viscous fluids ■ tendency for tip plugging
■ skin injection danger
■ increased operating training
required
■ increased maintenance required
Instructor Notes
52 Instructor Notes Surface Coatings
Overhead 24: In electrostatic spray, the atomized coating
droplets are charged at the gun tip. These charged particles are
attracted to the electrically grounded substrate coating.
Because of the electrostatic charge on the coating droplets,
transfer efficiency is relatively high. However, electrostatic
systems have high equipment and maintenance costs. In
addition, parts must be conductive in order to electrostatically
coat them.
Overhead 23: Air-assisted airless systems use a combination of
fluid pressure and compressed air to atomize the coating.
These systems offer very good atomization, excellent fluid
delivery and fan pattern control, and have high transfer
efficiency. However, such systems are capital intensive and
increase hazards due to skin injection as a result of high fluid
pressure.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj23
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj24
Module 4
NotesParticipant Notes
Surface Coatings 53
Module 4
Air-Assisted Airlessoverhead 23
■ ~150 to 800 psi of fluid pressure
■ 5 to 30 psi of compressed air
Advantages Disadvantages
■ good atomization ■ capital cost
■ varied fluid delivery ■ skin injection danger
■ low bounceback ■ increased operating training
■ increased maintenance
Electrostatic Sprayoverhead 24
■ atomized paint droplets charged at gun tip
■ part electrically neutral
Advantages Disadvantages
■ uniform film thickness ■ guns tend to be bulky
■ good wrap around and delicate
■ good edge cover ■ extra cleanliness essential
■ high transfer efficiency ■ faraday cage effect
■ safety/fire hazard
■ parts must be conductive
■ high equipment and
maintenance costs
Instructor Notes
54 Instructor Notes Surface Coatings
Overhead 26 illustrates transfer efficiency ranges of different
coating systems. Note that actual transfer efficiency depends
not only on the type of system, but also on proper spray
technique and proper maintenance of the spray system.
SUMMARIZING Participants should pair up with “Around the Clock Learning
Partners” and discuss one of the following questions:
■ What are the physical operating differences between HVLP,
airless, air-assisted airless and electrostatic guns?
■ What are the advantages/disadvantages of HVLP versus
electrostatic air-assisted airless?
Overhead 25 illustrates the wrap around effect of electrostatic
spray.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj25
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj26
Module 4
NotesParticipant Notes
Surface Coatings 55
Module 4
Electrostatic Sprayoverhead 25
Expected Transfer Efficiencyoverhead 26
Application Type vs Expected Transfer Efficiency (%)
30 40 50 60 70 80 90 100
Electrostatic, rotary
atomizer
Electrostatic, airless
Electrostatic, air atomized
HVLP
Air-assisted Airless
Conventional
Instructor Notes
56 Instructor Notes Surface Coatings
4. Small Group Activity Using Overhead 27
Perform a “Word-Splash” on phrases relating to transfer
efficiency. (For more information on “Word-Splash” see
Instructor Tools section.)
■ In small groups, participants should discuss how the phrases
given relate to transfer efficiency — the topic of the article.
■ Participants then read sections 9.1.1 and 9.5.1 (on pages 74
and 81–83) of “Chapter 9: Transfer Efficiency as It Affects Air,
Water and Hazardous Waste Pollution” in Pollution Prevention
in the Paints and Coatings Industry. EPA/625/R-96/003
p. 16–22.
■ After reading, the small groups should discuss how the
article helps them to better understand the relationship
between the phrases and transfer efficiency.
■ The trainer then asks if there are any questions.
5. Lecturette: Overheads 28 through 30
Lecture on these three overheads.
Overhead 28 explains how coating thickness affects transfer
efficiency. For example, in Part A of this overhead the coating
appears to be acceptable. However because the specified
coating thickness is half of what is delivered, the extra paint
delivered would represent a waste of fifty percent of the paint.
Transfer efficiency would then be only fifty percent.
In Part B, the donut shaped pattern means there is extra paint
being sprayed around the edges. In building the coating to the
specified thickness, about 25 percent of the paint is wasted in
the donut shaped pattern. In an even shaped fan pattern,
building the coating to the specified thickness would not
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj27
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj28
Module 4
NotesParticipant Notes
Surface Coatings 57
Module 4
Transfer Efficiencyoverhead 27
leading edge50% overlap dry film
thickness
lagging edge
fluid flow rate
air pressurehook spacing
office size
spray angleemits VOC in
coating
fan width
distance to target
Transfer Efficiency
Transfer Efficiencyoverhead 28
A. thickness of applied film
■ 1 mil film specified; 2 mil film delivered
■ transfer efficiency = 50%
B. spray pattern
■ fan-shaped pattern versus donut~
■ if 1 mil thickness specified ~ donut
wastes 25% of paint
C. electrostatic faraday effect
■ edges attract extra paint
■ limits paint in recessed areas therefore
— over painting non recessed area
— manual touch-up
Instructor Notes
58 Instructor Notes Surface Coatings
require excess paint to be sprayed, since the coating would be
delivered evenly until it reached the specification.
In Part C, the Faraday Cage Effect is illustrated. The faraday
cages occur in electrostatic spraying. The charges tend to build
on corners and edges of pieces thereby attracting more paint.
Paint is also prevented from flowing past these areas into
recesses that need to be coated. Because these areas tend not
to be covered, manual touch up may be necessary. Extra paint
that builds on the edges also will lower transfer efficiency.
Overhead 29: This chart shows transfer efficiency as a function
of VOC emissions. The chart indicates that coatings that are
lower in solvents (which are emitted as VOC’s) tend to have
higher transfer efficiency. This is because more solids are
sprayed onto the part with a smaller percentage of the paint
(i.e., solvents) being wasted. In comparison, a conventional
coating that is high in solvent content, would have low transfer
efficiency as most of the coating is evaporated as VOC
emissions.
Overhead 30 shows the financial savings realized as a result of
an improvement in transfer efficiency. In this example, all
factors remain the same except transfer efficiency. (see
Appendix C of the EPA manual “Pollution Prevention in the
Paint and Coatings Industry” September, 1996) Improvements
in transfer efficiency of 15% are achievable and contribute
considerably to pollution prevention.
Hand out sections 9.1.1 and 9.5.1 (on pages 74 and 81–83) of
“Chapter 9: Transfer Efficiency as It Affects Air, Water and
Hazardous Waste Pollution” in Pollution Prevention in the Paints
and Coatings Industry. EPA/625/R-96/003.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj29
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj30
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jklkjuu fkd. Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd, asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba.
ParticipantHandout
Module 4
NotesParticipant Notes
Surface Coatings 59
Module 4
Transfer Efficiencyoverhead 29
90.080.070.060.050.040.030.020.010.0
0.0200 40 60 80 100
VC
O E
mis
sion
s
(lb.
/1,0
00ft
2 coa
ted)
Transfer Efficiency
Financial Implicationsoverhead 30
Annual Savings by Improving TE from 30% – 45%
Costs w/ Costs w/ Savings Due toTE = 30% TE = 45% TE Improvement
Cost of waste $29,649 $15,530 $14,119filters + labor
Cost of wasted $73,101 $38,291 $34,810paint
Total cost of $102,750 $53,821 $48,929waste
Instructor Notes
60 Instructor Notes Surface Coatings
Overhead 32 covers the first component—resins. Resins fall
into three types:
■ Lacquers (e.g., vinyls, acrylics, and chlorinated rubber) are
long chain polymers. These polymers entangle as the
material is applied and dries to form protective coating.
■ Dispersions (e.g., latex, vinyls, and acrylics) are polymers that
are encapsulated in micelles which chemically react and
dissipate upon coating application leaving behind an
interlaced protective coating.
■ Chemically curing (e.g., epoxies and urethanes) coatings
consist of short chain polymers that chemically combine
with the help of the addition of a catalyst. Such coatings
generally have superior physical and chemical properties
but are more expensive and difficult to apply.
Module 5 Liquid Coating Pollution Prevention
1. Lecturette: Overheads 31 through 37
Present Overheads 1–6 in the 10–2 format.
Overhead 31 covers the four main components of a coating
which will be reviewed.Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj31
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj32
NotesParticipant Notes
Surface Coatings 61
Module 5
Coating Composition Basicsoverhead 31
Four main components
■ resins (also polymer or binder)
■ solvents
■ pigments
■ additives
Resin Typesoverhead 32
Lacquers
■ high molecular weight
■ long chains attract & entangle
■ highly viscous solution
■ e.g. vinyls, acrylics, & chlorinated rubber
Dispersions (also emulsions or oxidizing coatings)
■ high molecular weight in discrete micelles
■ combine when solvent (water) evaporates
■ low viscosity
■ e.g. latex; resins include vinyls & acrylics
Chemically Curing
■ low molecular weight polymers
■ produce large MW chains upon curing
■ e.g. epoxies and urethanes
Liquid Coating Pollution Prevention
Instructor Notes
62 Instructor Notes Surface Coatings
Overhead 33: This overhead explains the third component of
coatings — pigments. A hiding pigment is one that provides
color and opacity to the coating. An extender pigment
provides neither color nor opacity but can control gloss, add
strength, or lower permeability. Extender pigments are usually
low cost and are used to adjust pigment for solvent volume.
Overhead 34: This is a list of common coating terms. For more
information on their meaning see the glossary in the resource
package. This overhead will be used for the summarizing
exercise in this module.
SUMMARIZING Participants should pair up with “Around the Clock Learning
Partners” and discuss define the coating terms in Overhead 34.
Following the summarizing activity, the trainer should ask if
there are terms whose definitions need further clarification or
definition.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj33
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj34
Module 5
NotesParticipant Notes
Surface Coatings 63
Module 5
Pigmentsoverhead 33
Hiding Pigment
■ e.g. TiO2, red iron oxide, chromium oxide
■ add color and opacity to the coating
■ other functions: corrosion and blistering resistance, fire retardancy, and UV
protection to improve weathering
Extender Pigments
■ e.g. talc, clay, barium sulfate
■ provide neither color nor opacity
■ may control gloss, add mech. strength, or lower permeability
■ low cost material — used to adjust pigment to solvent volume
Coating Termsoverhead 34
■ plasticizer
■ catalyst (drier)
■ wetting agents
■ dispersants
■ biocides
■ freeze-thaw stabilizers
■ coalescents (film forming aids)
■ flow and leveling agents
■ resin (vehicle, polymer, binder)
Instructor Notes
64 Instructor Notes Surface Coatings
2. Small Group Exercise: In small groups of five or six,participants should fill out Overhead 36.
The overhead should be filled out from the viewpoint of a
company that is planning to make the switch from
conventional coatings to either water borne or high solids
coating. The trainer should instruct participants to discuss
which coating (water borne or high solids) has a relative
advantage over the other coating. The purpose of this exercise
is for the participants to understand the advantages and
disadvantages of the different coatings in the context of a
production process/pollution prevention decision that many
metal coating facilities must contend with. The trainer should
lead a facilitated discussion between the groups so that the
groups can arrive at the appropriate answers. Trainers should
refer to information on the advantages and disadvantages for
the two coating types in Tables 10–4 and 10–5 on pages 91–93
of the EPA Pollution Prevention in the Paints and Coatings
Industry. EPA/625/R-96/003.
Overhead 35 shows how solvent content varies by coating
type.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj35
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj36
Module 5
NotesParticipant Notes
Surface Coatings 65
Module 5
Typical Coatingsoverhead 35
100%90%80%70%60%50%40%30%20%10%
0%
legend
legend
legend
Water-borneEnamels
Water-borneSpray Coatings
Electro-Deposition
PowderCoatings
High Solids
Water-Borne vs High Solids Solvent Borne Coatingsoverhead 36
Aspect Water-borne High Solids Coatings
VOC Emissions
Drying Factors
Film Thickness
Safety Profile
Dip Coating
Appearance Defects
Application Flexibility
Surface Preparation
Viscosity Management
Electrostatic Application
Direction of Lower Solvent ContentSolid
Solvent
Water
Instructor Notes
66 Instructor Notes Surface Coatings
4. Lecturette: Overheads 38 and 39 cover high solids andwater borne coatings. The differences between these twosystems are illustrated.
Overhead 38 Summarizes some of the main attributes of high
solids and water borne coatings. High solids coatings (which
are typically 50–70% solids by weight), result in lower VOC
emissions per gallon of solids applied. High solids coatings are
similar to low solids coatings in application, curing, and
performance — although they do tend to be higher in
viscosity. Water borne coatings typically have lower VOC
content than solvent coatings. However, water borne coatings
are by no means “solvent free” and my contain as much as 30%
solvent by volume.
3. After completing the Overhead 36 exercise, participantsshould be asked to perform the same type of analysis onOverhead 37.
The overhead should be filled out from the viewpoint of a
company has chosen its coating (i.e., water borne) and now
must decide they type of curing system to put in place (air
force/dry or bake). The trainer should instruct participants to
discuss which curing method (air force/dry or bake) has a
relative advantage over the other. The purpose of this exercise
is for participants to understand the advantages and
disadvantages of different curing methods in the context of a
production process/pollution prevention decision that many
metal coating facilities must contend with. Trainers should
refer to information on the advantages and disadvantages of
the air/force dry versus bake in Table 10–6 on pages 93 of the
EPA Pollution Prevention in the Paints and Coatings Industry. EPA/
625/R-96/003.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj37
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj38
Module 5
NotesParticipant Notes
Surface Coatings 67
Module 5
Air/Force Dry Versus Bakeoverhead 37
Aspect Air/Force Dry Bake
Substrate Versatility
RACT Regulations
Heating Requirements
Physical/Chemical Properties
Appearance Defects
Curing Times
Clean-up Requirements
Water & Solvent Borne Coatingsoverhead 38
High Solids Solvent Borne Coatings
■ lower MW polymers w/ additives to enhance x-linking
■ contain 2.3 to 3.5 lb VOC per gal
■ 50-70% solids
■ similar to low solids coatings in application, curing, and performance
■ higher viscosity
Water Borne Coatings
■ VOC content ~ 3.5 lb/gal less water
■ Contain organic co-solvent (2 to 30%) to dissolve the resin
Instructor Notes
68 Instructor Notes Surface Coatings
Overhead 39 illustrates how coating solids and transfer
efficiency affect solvent emissions in a coating operation. The
example assumes that a “widget” requires a gallon of solids to
be sufficiently coated. Note that as percent solids in the
coating and transfer efficiency increase, the paint required to
cover the coating and solvent emissions decrease.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj39
Instructor Tool: The third activator used in this training is known as “Carousel
Brainstorming.” “Carousel Brainstorming” is an innovative tool used to
help participants brainstorm what they already know about a topic
they are going to learn more about. “Carousel Brainstorming” will be
used next to explore “cutting,” or changing viscosity in coatings. (See
next small group activity.)
The directions for “Carousel Brainstorming” are as follows:
1. The trainer attaches paper to the walls around the room — one piece
of paper for each group. The trainer writes a question or topic on each
piece of paper.
2. Each group starts with a different colored marker and stands in front
of one of the questions.
3. Each group chooses a recorder to write their responses.
4. Quickly brainstorm responses to the posted question or topic
5. When the trainer gives the signal after 2 minutes, move one sheet to
your right. Brainstorm quickly and add to the material brainstormed
by the previous group (2 minutes).
6. At the signal, move to your right and repeat the process.
7. Continue until each group has brainstormed responses to all the
questions.
8. Optional last step: Each group ends up at the chart where they began
with a few minutes to:
■ look it over and see what developed after they left it;
■ group the ideas into categories, eliminating repeated ideas.
Module 5
NotesParticipant Notes
Surface Coatings 69
Module 5
Comparing Systemsoverhead 39
Assume: 1 gal of solids required to cover widget
Coating Transfer Paint SolventSolids (%) Efficiency (%) Required Emissions
(gal) (gal)
100 30 3.33 0
50 30 6.66 3.33
50 70 2.85 1.43
75 70 1.9 0.95
70 Instructor Notes Surface Coatings
Instructor NotesModule 6 Viscosity and Pollution Prevention
1. Small Group Exercise
Have participants brainstorm the following questions using
the “Carousel Brainstorming” technique described on the
previous page.
■ What effect does cutting (changing coating viscosity) have
on coating properties? (Too low a viscosity can make the
film insufficient to hide substrate, increase transparency,
increase runs and sags, and increase the likelihood of
premature corrosion.)
■ Why do firms cut coatings (change coating viscosity) prior
to application? (Firms cut coatings to save money by
decreasing paint use, improve atomization and ease of
application, decrease drying time, or impart certain
characteristics to the coating)
■ What materials do firms use to cut (change coating
viscosity) their coatings? (solvents—toluene, xylene,
acetone, MEK, MIBK, water) Do all materials effect viscosity
similarly? (No, they can effect viscosity differently because of
their different surface tensions, etc.)
■ How can a firm control viscosity without excessive cutting?
(Viscosity can also be controlled by applying heat, using a
diluent, adding air, stirring continuously, decreasing time
paint spends on the shelf, using a catalyst, etc.)
Surface Coatings 71
Participant ExerciseModule 6
What effect does cutting(changing coating viscosity)have on coating properties?
Why do firms cut coatings(change coating viscosity)prior to application?
What materials do firmsuse to cut (change coatingviscosity) their coatings?
How can a firm controlviscosity without excessivecutting?
Viscosity & Pollution Prevention
Instructor Notes
72 Instructor Notes Surface Coatings
2. Lecturette: Overheads 40 through 43
After the carousel brainstorming session, review and discuss
Overheads 40–43.
Overhead 40 reviews why controlling viscosity is important.
Reasons include controlling film thickness and hiding, runs and
sags, and coating atomization. The overhead also reviews how
viscosity is controlled. Firms measure viscosity using tools such
as a Zahn cup or viscometer. Viscosity is controlled by adding
solvents to the coating and controlling the temperature of the
coating and the spray booth.
Module 6
Overhead 41 shows a graph of viscosity vs. solvent reduction.
When using the same solvent to cut two different coatings, the
results can be very different. Adding solvent to Coating A
achieves a small reduction in viscosity. Adding the same
amount of solvent to Coating B achieves a much greater
viscosity reduction. If a paint sprayer used the same amount of
solvent for Coating B that s/he usually used for Coating A,
Coating B would be much too thin to use.
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj40
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj41
NotesParticipant Notes
Surface Coatings 73
Module 6
Viscosity Controloverhead 40
Why Control Viscosity?
■ proper film thickness to control hiding
■ runs and sags
■ atomization/quality
How Do You Control Viscosity?
■ measure (Zahn cup, viscometer)
■ maintain constant booth and coating temperature
■ specify acceptable viscosity range
Solvent Reduction & Viscosityoverhead 41
Solvent reductions can affect different coatings differently.
Vis
cosi
ty
Reduction
Coating A
Coating B
Preferred Application Viscosity
Instructor Notes
74 Instructor Notes Surface Coatings
Overhead 43 illustrates the effectiveness of temperature in
controlling viscosity. Increasing the temperature can achieve
the desired application viscosity. Using temperature increases
can help decrease the use of solvents in reducing viscosity. The
use of in-line heaters to reduce viscosity, lower VOC emissions,
and improve coating atomization is a pollution prevention
option for many spray painting operations.
Overhead 42 illustrates how different solvents can affect the
same coating differently. Using the proper solvent for a given
coating can help to reduce VOC emissions because it will take
less solvent to achieve the proper application viscosity.
However, some coatings do require the use of diluents to
achieve certain properties that are desirable in the coating.
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Module 6
NotesParticipant Notes
Surface Coatings 75
Module 6
Viscosity and Temperatureoverhead 43
Viscosity varies with temperature.
Vis
cosi
ty
Temperature
Application Viscosity
Coating A
Coating B
Initial Viscosity
Solvents & Viscosityoverhead 42
Vis
cosi
ty
Reduction
Diluent #1
Diluent #2
True Solvent
Instructor Notes
76 Instructor Notes Surface Coatings
Module 7 Regulatory Integration Activity
1. Small Group Exercise: Handout: “Young Engineering”
The trainer will introduce attendees to the activity which
centers around a fictitious company called Young Engineering.
Detailed information on coatings and VOC emissions is
supplied to participants. In small groups of five or six
participants, review company data and determine how the
firm would be regulated. Participants will then discuss
methods for requiring/encouraging the facility to implement
P2. Following the small group exercises, participants will report
back to the entire group on their findings.
The next two Instructor pages provide solutions to the case
study.
■ Participants will break into small groups of 5–6 people.
■ Together, groups will review company data and determine
how the company would be regulated.
■ Participants will then discuss methods for requiring/
encouraging the facility to implement P2.
■ Following small group exercise, participants will report fact
findings to entire group.
Following , you’ll find a 5-page participant handout for the
case study.
Conclude the Activity with groups reporting their findings.
This concludes Day I of the training. Review the day with a brief
discussion of what worked, what could have been improved in
this training day.
Preview the next day’s agenda. Adjourn.
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ParticipantHandout
NotesParticipant Notes
Surface Coatings 77
Case Study
Young Engineering
The following five pages present a case study centered around a fictitious companynamed Young Engineering providing detailed information on coatings and VOCemissions.
Participants will break into small groups of 5–6 people.
■ Together, groups will review company data and determine how the companywould be regulated.
■ Participants will then discuss methods for requiring/encourging the facility toimplement P2.
■ Following the small group exercise, participants will report fact findings toentire group.
Module 7Regulatory Integration Activity
78 Instructor Notes Surface Coatings
Instructor NotesInstructor Guide to Young Engineering
This section contains:
1. A completed input-output chart
Cleaning
solvent, rags, energy, wire brushsolvent emissions, rags,spent brushesSolvent hand-wipe,
wire brush cleaning
Surface Preparation (steel shelving only)
phosphate soln, energybatch dumps ofphosphate solutionDegrease/Iron Phosphate
(Hot)
water (5 gpm)phosphate solution,waterWater Rinse
(Ambient)
phosphate solution, chromate chromateSeal rinse(Ambient)
energy, air waste heatForce HotAir Dry
Coating Operation
coating (VOCs, HAPs, etc.)coating (VOCs, HAPs, etc.)reject parts
Primer Coating
coating (VOCs, HAPs, etc.)coating (VOCs, HAPs, etc.)reject parts
Top Coat
Cleaning
methylene chloridemethylene chloride,striped paint
Paint Stripping Operation
xylenewaste xylene, xylene air emissionsGun, Line, and Booth
Cleaning
Module 7
Surface Coatings 79
Participant Handout
Case Study: Young Engineering
Introduction
Two weeks ago inspectors performed an inspection at Young Engineering located inSalem, Massachusetts. A file review on the company turned up air permits and a TitleV restriction on operations to keep the firm below a 50 ton major source threshold(known as an RES or Restricted Emissions Status). Upon their arrival, inspectorsfound the facility lacking in key record keeping information. During the inspection,inspectors took numerous notes and requested that the facility send plant operatingand coatings data to aid the Department in determining the standards and regulationsthe company must comply with.
Company Description
Young Engineering, fabricates and coats dumpsters, trash compactors, and othermiscellaneous metal components. The company was founded in 1981 when it pur-chased the operations of a sheet metal fabricator that had been fabricating and coatingmetal parts at the Salem location since 1973. Young Engineering employs 14 full timeemployees. Its standard industrial classification (SIC) code is 3490. Young Engineeringoperates its facility nine hours per day, five days per week, 51 weeks per year (totalhours per year = 2,295 hrs).
Process Description
Young Engineering manufactures and coats heavy gauge steel shelving, dumpsters, andtrash compactors. Its operations include:■ metal cutting, forming, and welding operations■ degreasing and cleaning■ wire-brush rust, scale, and grime removal■ cutting and forming operation■ coating (priming and top coating) in two large spray booths (openings are 18’x50’
and 12’x20’)■ paint stripping
The company uses three different process flows to make its products:
1. new dumpsters and compactors are fabricated from heavy gauge steel and coated(products are not phosphated);
2. old dumpsters and compactors are stripped and recoated (there is no fabricationstep and parts are not phosphated); and
3. heavy gauge steel shelves are fabricated, phosphated, and coated.
Module 7
80 Instructor Notes Surface Coatings
Instructor Notes
2. A completed VOC Emissions Calculations table
Completed VOC Emission Calculations
MSDS Coating Used VOC type % VOC Coating Density lbs VOC/gal VOC VOC(gal) (lb/gal) solids applied (tons – actual) (tons – potential)
1 2,624 toluene, xylene 44.08% 7.99 7.94 4.6 17.6
2 2,421 toluene, xylene 58.85% 7.97 6.6 5.7 21.7
3 1,093 toluene, xylene 63.62% 8.34 6.9 2.9 11.1
4 652 toluene, xylene 55.96% 8.77 5.4 1.6 6.1
5 674 toluene, xylene 55.84% 9.2 4 1.7 6.6
6 1,829 toluene, xylene 56.84% 8.49 5.3 4.4 16.8
7 654 toluene, xylene 57.62% 8.3 8.5 1.6 6.0
8 275 toluene, xylene 48.25% 8.73 7 0.6 2.2
9 64 toluene, xylene 55.65% 8.47 5.3 0.2 0.6
10 1,277 toluene, xylene 57.20% 9.26 8.5 3.4 12.9
Cleaner 1,200 toluene, xylene, MEK 100.00% 7 na 4.2 16.0
Totals 30.8 117.6
3. A listing of possible P2 options
1. storing stuff inside, not outside2. better surface preparation:
■ how about media blasting?■ phosphoric wiping of welds■ phosphate the dumpsters and compactors? — need drying capability
3. better set up for phosphating process to go to zero discharge4. why not HVLP or at least air-assisted airless?5. what types of filters — we don’t have that data yet6. operator training7. water-borne coatings8. better viscosity control9. humidity control???10. gun cleaner or better procedures11. high solids coatings
4. A listing of possible ways regulatory staff could promote P2 at
Young Engineering
There are numerous methods for promoting P2 including regulatoryinspections and enforcement procedures.
Module 7
Surface Coatings 81
Participant Handout
Case Study: Young Engineering (cont’d)
Sheet metal steel is delivered and stored inside. Fabricated dumpsters and compactorswhich are to be recoated are delivered to Young Engineering and stored outside. Priorto coating, dumpsters and compactors are cleaned using a combination of wirebrushes, solvent rags, and hand rotary wire brushes. Product that is being recoatedrequires more effort than newly fabricated dumpsters and compactors. Surfacepreparation for steel shelving involves a three stage iron phosphating process on aconveyorized line that includes cleaning/phosphatizing, rinsing, sealing, and dryingsteps. Wastewater from the phosphating line is piped to an evaporator. Waste from theevaporator passes TCLP and is landfilled.
Dumpsters, compactors, and steel shelving are coated in one of the company’s twospray booths. Dumpsters and compactors are transported using a fork lift or dolly andsuspended using a hoist. Parts are then primer-coated using solvent borne coatingsapplied with airless spray guns. After the primer cures (~24 hours), the parts receive asolvent borne top coat using the same airless spray application equipment. Both theprimer and top coats air-dry without the aid of hot forced air or baking ovens.
Inspection Results
During a review of the process, the inspector noticed the following:■ there were no daily logs to tract coatings use or VOC emissions;■ there was no gun cleaning equipment observed, the inspector suspected the firm
simply sprayed xylene through the guns to clean them;■ there seemed to lots of rework for dumpsters and compactors that were coated
improperly, problems included orange peel and solvent popping;■ the company has no wastewater discharge;■ the company had proper air permits for their operation; and■ the company has a hazardous waste program that seems to be operating properly.
The facility manager also noted that its customers were complaining about corrosionproblems (especially near the welds but other places too) with the dumpsters andcompactors and that the company’s customers were complaining about quality andthe price of the units. The manager stated he was having a hard time keeping the pricecompetitive and that any DEP-forced changes that increase cost might put the com-pany out of business.
The company has no water discharge. Its NOx, SOx, CO, and PM-10 emissions haveall averaged under 1 ton per year for the last six years. Young’s RES places a 49 tonannual (12-month rolling) and 6.9 ton monthly cap on VOC emissions from thefacility. HAP emissions are limited to 24 tons per rolling 12-month period. In the RES,Young has restricted its use to only 3 HAPs (toluene, xylene, and MEK). However,emissions of any individual HAP is limited to 9.5 tons per rolling 12-month period.
Module 7
Surface Coatings 83
Participant Handout
Case Study: Young Engineering (cont’d)
VOC & HAP Data
To determine VOC emission rates, Young Engineering prepared a table listing eachcoating used at the facility, the amount used, and other relevant coating informationfrom the material safety data sheets (MSDS) (see Table 1 on following page). The tablecan be used to calculate actual and potential VOC emissions. To calculate VOC actualand potential emissions, the formulas below were used1.
Actual VOC (tons) = coating used (gal) * %VOC * coating density (lb/gal) *1/2000 (lb/ton)
Potential VOC (tons) = Actual VOC (tons) * 8,760 (hrs) ( 2,295 (hrs)
Your Tasks
1. Complete Process Analysis:■ Review the process flow diagram on the following page and fill in the portions
of the input-out analysis that are incomplete.
2. Regulatory Analysis:■ Complete the calculations in Table 1 and determine whether the facility must
comply with Reasonable Available Control Technology Standards. If so, is thecompany in compliance?
■ Determine what other, if any, environmental regulations Young Engineering islikely to have to comply with. What additional information do you need tomake this determination?
3. Pollution Prevention AnalysisYoung Engineering has many potential pollution prevention options available tothem. Use the following procedure to brainstorm possible options:
■ for each part of the process, identify material use and losses;■ in your group, brain storm possible ways to substitute materials, minimize
use, and prevent waste generation (please note that it is unlikely that YoungEngineering can use powder coatings for dumpsters and compactors give theirlow value);
■ prioritize the options your group came up with; and■ discuss how you in your role as a regulatory staff could promote P2 at Young
Engineering.
1 Actual operating hours = 9 hrs/day * 5 days/wk * 51 wks/yr = 2,296 hrs
Potential operating hours = 24 hrs/kay * 7 days/wk * 52 wks/yr = 8,760 hrs
Module 7
Surface Coatings 85
Participant Handout
MSDS Coating Used VOC type % VOC Coating Density lbs VOC/gal VOC VOC(gal) (lb/gal) solids applied (tons – actual) (tons – potential)
1 2,624 toluene, xylene 44.08% 7.99 7.94 4.6 17.6
2 2,421 toluene, xylene 58.85% 7.97
3 1,093 toluene, xylene 63.62% 8.34 6.9 2.9 11.1
4 652 toluene, xylene 55.96% 8.77 5.4 1.6 6.1
5 674 toluene, xylene 55.84% 9.2 4 1.7 6.6
6 1,829 toluene, xylene 56.84% 8.49 5.3 4.4 16.8
7 654 toluene, xylene 57.62% 8.3 8.5 1.6 6.0
8 275 toluene, xylene 48.25% 8.73
9 64 toluene, xylene 55.65% 8.47 5.3 0.2 0.6
10 1,277 toluene, xylene 57.20% 9.26 8.5 3.4 12.9
Cleaner 1,200 toluene, xylene, MEK 100.00% 7 na 4.2 16.0
Totals
Case Study: Young Engineering (cont’d)
Table 1: VOC Emission Calculations
Module 7
Surface Coatings 87
Participant Handout
Cleaning
solvent, rags, energy, wire brushsolvent emissions, rags,spent brushesSolvent hand-wipe,
wire brush cleaning
Surface Preparation (steel shelving only)
phosphate solution, energybatch dumps ofphosphate solutionDegrease/Iron Phosphate
(Hot)
water (5 gpm)phosphate solution,waterWater Rinse
(Ambient)
phosphate soln, chromate Seal rinse(Ambient)
energy, air Force HotAir Dry
Coating Operation
coating (VOCs, HAPs, etc.)coating (VOCs, HAPs, etc.)reject parts
Primer Coating
coating (VOCs, HAPs, etc.)Top Coat
Cleaning
methylene chloridePaint Stripping Operation
xylene Gun, Line, and BoothCleaning
Case Study: Young Engineering (cont’d)
Module 7
Instructor Notes
88 Instructor Notes Surface Coatings
Module 8 Review Activity
Day 2 Training
1. Lecturette
Take ten minutes to briefly review what the topics of
discussion from the previous day.
2. Summarizing
During the two minute session, participants should go to their
around the clock partner and discuss two things they learned
yesterday, and two things they are unsure of. They should try to
gain more understanding of these topics with their partner.
NotesParticipant Notes
Surface Coatings 89
Day Two
Surface Coating Training
This second part of Pollution Prevention in Surface Coating Training will begin
with a review of the first part.
1. What are two things I learned in the first day of training.
2. What are two things I am still unsure of?
Instructor Notes
90 Instructor Notes Surface Coatings
Module 9 Alternative Coatings
1. Video: A 10 minute video, “Powder Coating — Technologyof the Future … Here Today,” will introduce participants tothis technology and the topic of alternative coatings.
2. Optional Small Group Exercise
In small groups of five or six, the participants should fill out the
table comparing liquid coatings to powder coatings using the
information about powder coatings from the video.
NotesParticipant Notes
Surface Coatings 91
Powder vs. Liquid Coatings
Aspect Liquid Powder
Color Tinting, Changes Matching
Possible Substrates
VOCs and Haz Waste
Operator Training
Coating Performance
(thickness, durability, etc.)
Surface Preparation
Operating Cost
Floor Space
Curing Temperature
Module 9: Alternative Coatings
Instructor Notes
92 Instructor Notes Surface Coatings
3. Lecturette
Overheads 44 through 51
Present Overheads 2–11 in a brief lecture.
Overhead 44: In electrostatic powder coating operations, the
substrate is unheated but must be electrically conductive. To
charge the powder, the operator uses a gun that contains a
high-voltage electrode. Upon pulling the gun trigger, the high
electrical potential around the electrode ionizes the
surrounding air, causing a corona. As powder particles leave
the gun and pass though the charged air, the electrostatic
charges transfer to the powder particles, which then become
attracted to the grounded part. The powder is then cured in a
convection oven at a temperature of 325F – 400F. The
electrostatic attraction between powder and substrate can be
mitigated by two factors: the faraday cage effect and air ions
entrapped in the coating.
Overhead 45: Tribocharged powder application guns have
plastic sheath on the inside that, due to friction, charges
powder particles as they exit the gun. When the particles leave
the gun, they seek the grounded substrate via electrical
attraction. The powder is then cured in a convection oven at a
temperature of 325F–400F.
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Module 9
NotesParticipant Notes
Surface Coatings 93
Module 9
Electrostatic Powder Coatingoverhead 44
Unheated substrate
Substrate or primer coat electrically conductive
High-voltage, low current (~100 kV)
Powder wraps on part — follows electric field lines
However:
■ Faraday Cage effect yields uneven powder coating
■ air ions can can become trapped
ground
Electrostatic Spray Gunoverhead 45
Tribocharging:
■ friction between powder and spray gun — electrostatic powder
■ substantially smaller electric field — reduced Faraday effect
■ smoother finish, thicker films possible, better coverage of intricate parts
charging electrode
part to be coated
powdersupply
high voltagesupply powder wrap around
Instructor Notes
94 Instructor Notes Surface Coatings
Overhead 46 A fluidized bed coating system utilizes a tank
with a membrane at the bottom through which air is forced.
The air acts to suspend the powder in the tank in a cloud. The
preheated part (usually around 400F) is immersed into the
fluidized bed. Powder particles melt and stick upon contact
with the substrate. The powder is then cured in a convection
oven at a temperature of 325F–400F.
Overhead 47: A Super-critical CO2 system is designed to use
liquefied carbon dioxide as a solvent for coatings. The system
mixes the CO2 and a high solids coating in the spray gun,
producing excellent atomization. System advantages include
fewer VOC emissions (reductions of 50 to 80 percent) and
increased transfer efficiency, and less worker exposure. The
system however has high capital expense and requires training
of workers on spray techniques and system maintenance.
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Module 9
NotesParticipant Notes
Surface Coatings 95
Module 9
Powder Fluidized Bedoverhead 46
Fluid-like powder
Workpiece preheated to ~ 500F; powder melts upon contact
Used mainly for thermoplastic coatings (10–30 mils)
Electrostatic bed common also but limited to 2-D parts
air permeable membrane
part to be coated
fluidized powder
Supercritical CO2
overhead 47
Supercritical CO2 fluid replaces organic solvents
CO2 gas heated > 88F and compressed to ~1,100 psi
CO2 compatible with many resins, painting facilities and procedures
CoatingMaterial
CO2
part to be coatedmixing valve
spray gun
Instructor Notes
96 Instructor Notes Surface Coatings
Overhead 48: Super-critical CO2 system advantages include
fewer VOC emissions (reductions of 50 to 80 percent),
increased transfer efficiency, and less worker exposure. The
system however has high capital expense and requires training
of workers on spray techniques and system maintenance.
Overhead 49: Radiation cured coatings cure when they are
exposed to specific wavelengths of ultraviolet (UV) or electron
beam (EB) radiation. Their VOC emissions are very low,
approaching zero for some formulations. Since UV radiation is
low energy, the polymers of UV curable coatings contain
special photo-initiators to promote polymer cross-linking. EB
coatings differ from UV coatings in that EB delivers high
energy — therefore polymers can cross-link without the need
for photo-initiators. UV cured coatings are used in the paints
and coatings industry more often than EB coatings (which
tend to be used in applications such as the manufacture of
printing inks).
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Module 9
NotesParticipant Notes
Surface Coatings 97
Module 9
Supercritical CO2
overhead 48
CO2 replaces solvents used to spray-apply coatings
Advantages Disadvantages
■ reduced VOC and HAP emissions ■ limited experience
■ thick coatings ■ royalty costs
■ reduced toxicity and odor ■ bulky gun and supply tubing
■ reduced hazardous waste ■ lower fluid delivery rates
■ high transfer efficiency
■ easy clean-up
Radiation Cured Coatingsoverhead 49
Coating sprayed on the object
Object subject to UV or EB radiation
Curing takes place almost instantaneously
Instructor Notes
98 Instructor Notes Surface Coatings
Overhead 51: There are numerous environmental (VOC and
energy) advantages of UV curable coatings over conventional
coatings. Safety is a major concern with the coatings since the
vapors from the coating application process can be hazardous.
Overhead 50: UV cured coatings are typically spray applied on
flat substrates. Parts then pass within a few inches of a UV
radiation source (typically mercury arc lamp). This explains why
the substrate must have a very simple geometry — such as a
flat or uniformly round shape. Most UV coatings are clean in
nature and are applied as over varnishes on beverage cans,
lipstick containers, etc. Adding color pigments to the
formulation retards curing and extends curing time.
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Module 9
NotesParticipant Notes
Surface Coatings 99
Module 9
Ultraviolet Curing Systemoverhead 50
UV Radiation Source
Air Ventilation
UV Curing Paints Wood Panels onConveyor Belt
ConveyorMotion
Radiation-Cured Coatingsoverhead 51
Advantages Disadvantages
■ virtually no VOC or HAP emissions ■ limited to flat or cylindrical
■ good stain and abrasion resistance materials
■ reduced toxicity and odor ■ polymers can cause skin
■ low temp, small ovens required irritation
■ reduced fire hazard ■ high raw material costs
■ increased production rates ■ no FDA approval for food
■ low energy costs (24x acrylic resin) products
■ limited use in high-build
applications
■ shrinkage and adhesion problems
Instructor Notes
100 Instructor Notes Surface Coatings
Module 10 Gun and Line Cleaning, Paint Stripping
1. Lecturette: Overheads 52 through 54
Review and discuss the overheads on gun cleaning.
Overhead 52: HVLP guns can be cleaned using the following
procedure. First, turn down the fluid pressure but leave the
valve open. Next, set the gun air pressure at ~40 psi. Then cover
the gun orifice with a cloth. Pull the trigger. The air will push
the fluid back into the reservoir. Finally, flush the line with a
small amount of solvent into a grounded drum. Note: This
procedure should not be used on airless or air assisted airless
guns.
Overhead 53: Other methods to minimize waste and solvent in
gun cleaning operations include the use of enclosed gun
cleaning systems and the use of disposable plastic covers over
guns to keep coatings from curing while the gun is not in use
(i.e., during shift breaks or overnight). Proper scheduling can
also prevent P2. Such scheduling includes running light colors
at the start of a shift, followed by darker colors (less cleaning is
required when running a darker color after a lighter color than
vice versa). Other scheduling methods include making the
end-of-day clean-up coincide with the end of a job and
scheduling jobs with similar colors consecutively.
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NotesParticipant Notes
Surface Coatings 101
Module 10
Minimizing Gun & Line Cleaningoverhead 52
HVLP Guns (not airless or air assisted airless)
■ turn down fluid pressure but leave valve open
■ set gun air pressure ~40 psi
■ cover orifice with cloth & pull trigger
■ air pushes fluid back into reservoir
■ flush line with small amount of solvent into grounded drum
Airless & Air-assisted Airless
■ close air compressor valve
■ remove fluid orifice carefully
■ flush air & fluid lines with solvent into grounded drum
Minimizing Gun & Line Cleaningoverhead 53
Enclosed gun cleaners
Disposable plastic covers
Scheduling
■ light to dark colors
■ end-of-day clean-up coincide w/ end of job
■ jobs with similar colors
Gun and Line Cleaning, Paint Stripping
Instructor Notes
102 Instructor Notes Surface Coatings
2. Small Group Activity: Paint Striping
The trainer should start this activity by displaying Overhead 54
and explaining that there are a host of new paint stripping
technologies that have come on the market in the last few
years. The new technologies are environmentally preferable to
traditional solvent stripping. These methods include:
■ Impaction Methods (plastic media, wheat starch, and water
blasting)
■ Thermal Methods (burn-off and molten salt bath)
■ Abrasion Methods (baking soda blasting)
■ Cryogenic Methods (CO2 pellets and liquid N
2 blasting)
The trainer should briefly review these technologies in
preparation for the small group activity. Following the review,
the trainer should write up on a flipchart the following terms:
■ steel/rack hooks
■ dumpsters
■ automotive paint for refinishing
■ plastic components
The trainer should explain that the groups will be given a brief
article that reviews the various “cleaner” paint stripping
technologies. The group should assign different persons to
read sections of the hand out (i.e., one person for each of the
four types of technologies). After reading the article, the group
should discuss which “cleaner” stripping technologies would
be suited to the substrates listed on the flipchart. For the sake
of clarity, the trainer may want to write these directions on
another sheet of flipchart paper so that participants can
review the directions and make sure they understand them.
Module 10
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asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj54
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NotesParticipant Notes
Surface Coatings 103
Module 10
Paint Strippingoverhead 54
Impaction Methods Thermal Methods
■ Plastic media blasting ■ Burn-off
■ Wheat starch blasting ■ Molten salt bath stripping
■ High & medium pressure washing
Abrasion Methods Cryogenic Methods
■ Baking soda blasting ■ CO2 pellet blasting
■ Liquid N2 blasting
Instructor Notes
104 Instructor Notes Surface Coatings
Next, the trainer should distribute Section 14.4 “Cleaner”
Technologies: Alternatives to Conventional Methods in
Pollution Prevention in the Paints and Coatings Industry. EPA/
625/R-96/003 pp. 142–146.
After the groups have read reviewed the article, the trainer
should ask the group: “Which technologies would appear to
work best on the different substrates?”
The chart below can be use as a guide for the instructor. The
instructor should encourage a larger group discussion:
“What are the relative benefits of the various technologies and
their application in a variety of paint stripping and substrate
cleaning operations?”
Substrate Technology
steel/rack hooks thermal, cryogenic, and
impaction
dumpsters impaction methods
automotive paint impaction and abrasion
for refinishing
methods
plastic components impaction methods
Participant Notes 1. Handout Section 14.4 “Cleaner” Technologies: Alternatives to
Conventional Methods in Pollution Prevention in the Paints and
Coatings Industry. EPA/625/R-96/003 pp. 142–146.
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ParticipantHandout
????
????
Module 10
Surface Coatings 105
Participant HandoutModule 10
14.4 “Cleaner” Technologies: Alternatives toConventional Methods
This section briefly describes a selection of alternativepaint stripping approaches and lists their respectiveadvantages and potential drawbacks. Approaches arepresented according to their mechanism of action. Itis unlikely that any one of these approaches will offera broadly applicable means of stripping coatings inindustrial processes. Nonetheless, facility operatorsshould consider such cleaner technologies whendeveloping a strategy for minimizing pollutiongeneration. A number of newer approaches notcovered in this document also show promise forreducing process-related pollution in paint strippingoperations. Certain of these emerging technologies inparticular are promising and thus bear watching,including laser heating, flashlamp heating, and icecrystal blasting. (For information on these methods,see Refs. 1 and 2.)
14.4.1 Impaction Methods
14.4.1.1 Plastic Media Blasting
Plastic media blasting (PMB) is an impaction methodthat is capable of removing a coating without damag-ing the substrate of a delicate workpiece. The ap-proach involves projecting plastic media at aworkpiece’s surface either pneumatically with a hose-and-nozzle system (usually in manual operations) orcentrifugally from rotating wheels (in automatedoperations within a cabinet). After the coating hasbeen removed, the workpiece is vacuumed or sub-jected to high-pressure air to remove residual plasticdust. Because PMB is a completely dry process thatrelies on a nontoxic media to remove coatings, nowastewater or VOCs are generated.
In most applications, the plastic media are collectedand cleaned, using an air cyclone or vibrating screens,and then reused several times before being discarded.
Depending on the particular coating being removed,however, debris cleaned from the media may containhazardous metals or unreacted resins that requirespecial handling. In general, spent media are notrecyclable or biodegradable, although research isbeing conducted on beneficial approaches to manag-ing spent media.
The PMB approach has been widely used in both themilitary and commercial sectors. While PMB issufficiently sensitive to selectively remove individualcoating layers, with larger and harder media thisapproach also can be used to remove such resistantfinishes as polyurethane and epoxy coatings. ThePMB method is applicable for metal substrates as wellas plastic surfaces. PMB is used in the aerospaceindustry to remove coatings without damagingsensitive underlying substrates (e.g., the aluminumskins of aircraft).
Key advantages of the PMB approach include:
■ Minimizes pollution generation. Avoids generationof wastewater and VOCs.
■ Recyclability. If the correct plastic media isselected, they can be recycled up to 30 times.
■ High throughput. Can be effective at a highercoating removal rate than is possible using somesolvents.
■ Broad applicability. For example, it can be used onsteel, aluminum, plastic, fiberglass, glass, printedcircuit boards, and aluminum clad materials.
■ Sensitivity Avoids. Damaging substrates oraltering the dimensions of critical components;can remove individual coatings.
■ Limited masking required. Less than for otherconventional stripping processes, such as chemi-cal stripping or sand blasting.
“Cleaner” Technologies: Alternatives to Conventional Methods
from Pollution Prevention in the Paints and Coatings Industry. EPA/625/R-96/003. pp. 142–146.
Surface Coatings 107
Participant Handout
Principal limitations of the PMB approach include:
■ Conventional sand or grit blasting can be faster.
■ Less effective than other methods for cleaningprocess equipment with a heavy buildup ofcoatings.
■ Less effective than other methods for removingrust and corrosion from metals.
■ Larger and harder media can damage plastic andcomposite substrates.
■ Contaminants remaining in the recycled mediacan damage substrates.
■ Capital and startup costs can be higher than forconventional abrasive blasting.
14.4.1.2 Wheat Starch Blasting
Wheat starch blasting is an impaction method thatinvolves use of generally the same techniques andprocess equipment as PMB. The principal distinctionbetween these two methods is the blast media: Wheatstarch is even more gentle than plastic. Additionally,because wheat starch is 100 percent carbohydrate, thespent media is biodegradable. Using aerobic wastemanagement processes, the media can be digestedinto a liquid that can then be separated from thecoating debris. Also, wheat starch is a renewableagricultural resource that, for certain applications,can be used effectively in place of petroleum-basedmedia.
Although wheat starch is relatively soft, it can berecycled several times before the particles become toosmall to be effective. As the media breaks down, dust-like particles must be stripped from coarser particlesin the recycling process.
Wheat starch blasting is of interest primarily for itsgentle stripping action. Thus, application and testingof this method have been focused on sensitive sub-strates, such as thin aluminum (e.g., in the aircraftindustry) and fiberglass and certain plastics (e.g., inthe automotive industry).
Key advantages of the wheat starch blasting approachinclude:
■ Sensitivity. Avoids damaging substrates; recom-mended particularly for substrates such asaluminum, soft alloys, anodized surfaces, andcomposites.
■ Selectivity. Individual coatings can be removed(e.g., only the topcoat).
■ Minimizes pollution generation. Avoids generationof VOCs and excess wastewater.
■ Recyclability. If the correct plastic media isselected, they can be recycled up to 30 times.
■ Moderate throughput. Can be effective at amoderate coating removal rate.
■ Low-cost, biodegradable media. Wheat starch is aninexpensive, renewable resource; spent media canbe biodegraded from sludge.
Principal limitations of the wheat starch blastingapproach include:
■ Stripping action can be slow, depending oncoating hardness.
■ Media are sensitive to moisture and can requirethe addition of an air drying system in humidenvironments.
■ Removal of the media dust and paint chipsrequires a somewhat extensive media recoverysystem.
■ Dust generation can present an explosion poten-tial unless precautions are taken.
■ May not be appropriate for workpieces that areassemblies because media particles can becomeentrapped.
■ Less effective than other methods for cleaningprocess equipment because of the heavy buildupof coatings.
“Cleaner” Technologies cont’d
Module 10
Surface Coatings 109
Participant Handout
■ Less effective than other methods for removingrust and corrosion from metals.
■ Contaminants remaining in the recycled mediacan damage substrates.
14.4.1.3 High- and Medium-Pressure Water Blasting
Water blasting is a well-established impactionmethod for high-throughput surface cleaning that hasemerging applications for coating removal processes.This blasting approach involves subjecting workpiecesto jets of water delivered at sufficient pressure fromrotating nozzles to strip surface material without thebenefit of an abrasive media. For high-pressureblasting operations, water is pumped at a rate rangingfrom 15,000 to 30,000 psi. Medium-pressure blastingis performed with water jets operating in the range of3,000 to 15,000 psi.
This blasting approach generally avoids the genera-tion of VOCs and other air quality issues associatedwith some wet blasting media. For some operations,however, workpieces first undergo a presoak withalcohol or a similar inorganic solvent. Water used inblasting operations can be recycled after if has beenprocessed to remove debris.
In the automotive industry, medium-pressure waterblasting is used for stripping overspray coatings frompart support hooks used in water wall spray paintbooths. Also, a German airline has used this approachwith presoaking to strip aged coatings from planes.High-pressure water blasting is being developed bythe U.S. Air Force for paint stripping operations onlarge aircraft. (Ultra high-pressure water blasting-from 30,000 to 50,000 psi-reportedly has been usedselectively to remove resistant coatings in the auto-motive, aircraft, ship building, and nuclear industries[2J].)
Key advantages of the water blasting approachinclude:
■ High throughput. Can yield a high rate of coatingremoval.
■ Minimizes pollution generation. Avoids generationof VOCs, dust, and spent media; wastewater canbe treated in a conventional treatment system.
■ Recyclability. Water can be recycled after filteringout debris.
■ Low cost. Medium-pressure operations can havelow capital and operating costs.
■ Broad size applicability. No workpiece size restric-tions unless blasting cabinets are used; theprocess can be used indoors or outdoors and inmobile operations.
Principal limitations of the water blasting approachinclude:
■ Capital costs can be high if sophisticated systemsare used (i.e., high-pressure systems wouldtypically involve the use of robots).
■ High volumes of water are necessary.
■ A filtration system is required to recycle blastingwater.
■ Pressurized water jets can present a hazard toworkers.
14.4.2 Abrasion Method
14.4.2.1 Sodium Bicarbonate Wet Blasting
Sodium bicarbonate wet blasting is an abrasionmethod that is similar in many respects to wheatstarch blasting. The principal distinction is that theespecially fine media used for this method (bakingsoda) scours the surface, rather than breaking up thecoating by impaction. As with wheat starch blasting,this method is sufficiently gentle to remove coatingswithout damaging the substrate.
The media is delivered to the workpiece from a nozzlegenerally at low pressure with a wet blast system (i.e.,in water at from 20 to 70 psi, although the system candeliver the media at up to 500 psi). As with other wetblasting approaches, the use of water avoids possible
Module 10
“Cleaner” Technologies cont’d
Surface Coatings 111
Participant Handout
damage to the substrate from heat buildup and helpscontrol dust generated by shattering of the media.Typically, a water rinse step follows the blasting step.Although the media cannot be recycled, they can bedissolved, leaving the coating debris to be filtered outfor disposal.
Coatings can be removed by this method usingmodified sandblasting equipment. If the process isoperated indoors, an exhaust ventilation system witha cyclone separator and intake piping must be addedto control blast media overspray.
Sodium bicarbonate wet blasting has been used toremove both friable and elastomer organic coatingson sensitive workpieces, such as thin metal parts andmachinery. This method is effective on both metal,plastics, and wood.
Key advantages of the sodium bicarbonate wetblasting approach include:
■ Sensitivity. Avoids damaging substrates; recom-mended particularly for thin metals (e.g., alumi-num, anodized aircraft skins), plastics andcomposites, and wood; in particular, heat sensi-tive substrates can be stripped because the blastwater keeps the surface cool.
■ Selectivity. Individual coatings can be removed(e.g., only the topcoat).
■ Minimizes pollution generation. Avoids generationof VOCs and excess wastewater.
■ Process efficiency. Because the media are notrecycled, the workpiece does not need to becleaned prior to blasting.
■ Moderate throughput. Can be effective at amoderate coating removal rate.
■ Low-cost media. Sodium bicarbonate is inexpen-sive; spent media can be dissolved from sludge.
Principal limitations of the sodium bicarbonate wetblasting approach include:
■ The media cannot be recycled.
■ Operator safety measures and equipment must beincluded in the process (e.g., an exhaust ventila-tion system).
■ Uninhibited sodium bicarbonate and waterresidue can corrode substrate.
■ May not be appropriate for areas where water isin short supply.
14.4.3 Thermal Methods
14.4.3.1 Burnoff
Burnoff is a thermal method that involves a combina-tion of volatilization, pyrolysis, and oxidation. Thismethod of paint stripping is both fast and especiallyeffective for resistant or accumulated coatings.Coating burnoff can be achieved using one of threemethods, each of which requires subjectingworkpieces to extremely high temperatures.
In direct burnoff, workpieces are passed through anoven in which high-temperature flue gas (1 ,000˚ to1,200˚F) ignites the coating. Workpieces then mightbe subjected to an afterburner step before undergoinga step for removing inorganic residues. Anotherburnoff approach involves direct heating in anabrasive fluidized bed, where the coating is thermallydegraded through pyrolysis and partial oxidation at atemperature of 900˚ to 950˚F. This approach requiresthe use of an after-burner to oxidize the intermediateorganic products. The third approach relies onpyrolysis to volatilize the coating. The organic fumesgenerated by this process are treated in an after-burner, which converts hydrocarbons to carbondioxide and water. Workpieces must then undergo astep for removal of inorganic residues. In the burnoffcoating removal process, afterburners are generallycapable of minimizing the generation of VOCs.
Other than monitoring, operation of a burnoffcoating removal line involves mechanical or manualloading of workpieces. Systems are typically auto-mated, however.
Module 10
“Cleaner” Technologies cont’d
Surface Coatings 113
Participant Handout
Burnoff is widely used to strip thick overspraybuildup from a variety of process equipment used inpaints and coatings operations. Burnoff technologymay be useful for removing coatings from workpiecesin certain operations, but limitations apply. Forexample, metals with a melting point below 900Fgenerally are not appropriate for this approach.
Key advantages of the burnoff approach include:
■ Performance. Effective for rapid removal of heavy,resistant coating deposits.
■ Minimizes pollution generation. Avoids generationof VOCs and excess wastewater.
■ Applicable for a wide range of part sizes. Applicableto all shapes; limitations relate only to the size ofthe burnoff unit.
Principal limitations of the burnoff approach include:
■ Temperatures are too high for parts made ofplastics, composites, or metals with relatively lowmelting points (e.g., zinc-bearing materials).
■ Coatings that contain chlorinated compoundscan emit hydrochloric acid; when part surfacescool, hydrochloric acid together with atmo-spheric moisture can cause severe corrosion.
■ Products of incomplete combustion containingheavy metals or other compounds may begenerated, requiring disposal as a hazardouswaste.
■ Resulting gases can present risk of fire.
■ Abatement equipment (e.g., scrubbers or filters)may be required for offgas treatment.
14.4.3.2 Molten Salt Bath Stripping
Molten salt bath stripping is a process that, likeburnoff, is currently used primarily for fast removalof heavy coating deposits from process equipmentused in paints and coatings operations. The moltensalt process involves immersing parts (either inbaskets or suspended from hooks) into a heated bath
(from 5500 to 900˚F) containing inorganic salts (e.g.,sodium carbonate). The salt functions as a heattransfer medium, subjecting immersed parts touniformly high temperatures that result in chemicaloxidation of the coating. Carbon and hydrogen in thecoating are oxidized to carbon dioxide and water. Theexothermic reaction that occurs in the molten saltbath minimizes the loss of heat that might otherwiseresult from the immersion of cool parts. In general,metals from the coating pigments are retained in themolten salt bath, entering the offgas only in smallamounts.
After the reaction has ceased, parts are removed fromthe bath and allowed to cool. A thin coating of saltwill have formed on part surfaces and must beremoved.
This is accomplished by rinsing the parts in a tapwater bath at ambient temperature.
Along with sludge containing primarily metal salts,the process generates offgases and wastewater fromthe rinsing step. Thus, operators must make provi-sions for sludge disposal and include offgas abate-ment equipment and wastewater treatment in theirprocess line.
Molten salt bath stripping is used primarily forsupports and fixtures used in coating applicationlines. The approach is relatively fast (bath dwell timesrange from seconds to minutes) and particularlyeffective on heavy, resistant coatings. It can be used toremove a variety of organic coatings, including nylon,polyester, and epoxies.
Key advantages of the burnoff approach include:
■ Performance. Effective for rapid removal of heavy,resistant coating deposits.
■ Pollution prevention. No VOCs (or odors) aregenerated.
■ Applicable for a wide range of part sizes. Applicableto all shapes; limitations relate only to the size ofthe bath.
Module 10
“Cleaner” Technologies cont’d
Surface Coatings 115
Participant Handout
■ Not time-critical. If the metal substrate canwithstand immersion in the molten bath, thesubstrate will not be harmed by overexposure(e.g., applies to most steels and to aluminum).
■ Long bath life. Sludge must be removed, but thebath itself does not need to be dumped andreplenished.
■ Minimal treatment required for waste rinse water.After making minor pH adjustments with amineral acid, rinse water can be discharged;alternatively, because of its high pH, the watercan be used beneficially to neutralize wastewaterfrom other acidic operations (e.g., from an acidpickling or phosphating process).
Principal limitations of the molten salt bath approachinclude:
■ Generated sludge must be disposed of and rinsewastewater treated.
■ Abatement equipment (e.g., scrubbers or filters)is required for offgas treatment.
■ Temperatures are too high for parts made ofplastics, composites, or metals with relatively lowmelting points (e.g., some die-cast alloys).
■ Not appropriate for parts with sealed tubingbecause internal pressure buildup can cause tubeor weld failures and pose a threat of explosion.
■ Operator safety measures and equipment must beincluded in the process (e.g., a fume hood mustbe installed to remove smoke generated by theprocess).
14.4.4 Cryogenic Methods
14.4.4.1 Carbon Dioxide Pellet Blasting
Carbon dioxide (C02) pellet blasting is a cryogenicmethod capable of removing coatings from specifiedareas of a workpiece while minimizing the amount ofresidue left on the piece’s surface. The approachinvolves projecting dry ice pellets at a workpiece’s
surface (at from 75 to 1,000 ft/sec) from a nozzle. (Acentrifugal projection system is in. development.)
The equipment for this technology includes a systemfor converting refrigerated liquid C02 into thepelletized blasting media. The media remove coatingsby a combination of impact, embrittlement, thermalcontraction, and gas expansion. After the pellets strikethe workpiece surface, they revert to a gaseous state,both enhancing coating removal and avoidingsignificant residue buildup. After blasting, workpiecesare subjected to jets of air to remove coating frag-ments.
Because the approach can strip coatings selectively(i.e., specific areas of a workpiece as well as individualcoating layers), it has broad application for industriesprocessing sophisticated parts and components.Applications include the aerospace, automotive,electronics, and food processing industries. Forexample, this method can be used on surfaces nearmoving parts and on sensitive electronic pieces.
Key advantages of the C02 pellet cryogenic blastingapproach include:
■ Selectivity/sensitivity. Can be used on specificareas of a workpiece and to remove individualcoatings.
■ Process efficiency. Minimizes residue on workpiecesurfaces. Also, the need for masking is eithereliminated or reduced to a minimum.
■ Pollution prevention. Generates only smallamounts of solid waste; also avoids handling ofspent media and wastewater.
■ Broad applicability. Can be used on a variety ofsubstrates (e.g., steel, aluminum, printed circuitboards, fiberglass, plastics).
■ Minimized hazards. Uses a nonflammable,nonconductive blast media.
Principal limitations of the C02 pellet cryogenicblasting approach include:
Module 10
“Cleaner” Technologies cont’d
Surface Coatings 117
Participant Handout
■ Media cannot be recycled.
■ Process equipment is relatively expensive.
■ Throughput can be slow for workpieces withresistant coatings.
■ Condensation can occur on the workpiecesurface.
■ Safety equipment must be included in the process(e.g., a ventilation system for C02 gas).
14.4.4.2 Liquid Nitrogen Blasting
Liquid nitrogen cryogenic blasting is a variation ofthe PMB method that involves chilling the workpieceto embrittle the coating before subjecting it toimpaction with a plastic media. The piece is sprayedwith liquid nitrogen as it rotates on a spindle within acabinet, and then is blasted with the impactionmedia, which are projected into the cabinet by throwwheels.
After chilling the coating (to about -320˚F), the liquidnitrogen warms to ambient temperatures and evapo-rates into a gaseous form. This harmless gas can bevented to the atmosphere, leaving the media to becollected, separated from coating debris, and recycled.
The liquid nitrogen cryogenic blasting approach isused primarily to remove coating buildup fromcertain types of process equipment used in paints andcoatings operations (e.g., paint hangers, coating racks,floor gratings). Operations in the automotive andappliance industries have used this method withsuccess.
Key advantages of the liquid nitrogen cryogenicblasting approach include:
■ Minimizes pollution generation. Avoids generationof wastewater and VOCs; because the process isdry, no water is used.
■ Recyclability. If the correct plastic media isselected, they can be recycled numerous times.
■ High throughput. Can be effective at a relativelyhigh coating removal rate.
■ Low operating costs. Compressed air and electric-ity requirements are low.
Principal limitations of the liquid nitrogen cryogenicblasting approach include:
■ Capital and startup costs can be high.
■ Not appropriate for thin coatings and less effec-tive on epoxies and urethanes.
■ The stripping cabinet restricts the size of partsthat can be processed.
14.5 References
1. U.S. Environmental Protection Agency. 1993.Guide to Cleaner Technologies: Organic coatingRemoval. EPA/625/R-93/015. Cf-fice of Researchand Development, Cincinnati, OH (November).
2. U.S. Environmental Protection Agency. 1991.Reducing Risk in Paint Stripping: Proceeding ofan International Conference. Wash ington, DC,February 12–13. NTIS PB91-224-303. Office ofToxic Substances, Washington, DC.
Module 10
“Cleaner” Technologies cont’d
Instructor Notes
118 Instructor Notes Surface Coatings
Module 11 Resource Review
1. Lecturette
The trainer will briefly review the indexed reference section
that accompanies the training package. The reference section
contains case studies, articles and a glossary of key coating
terms. It is important for participants to quickly review the list
of articles as well as the index. By becoming familiar with the
reference section during the training, participants are more
likely to turn to it when searching for coatings related P2
information. Special reference should be made to the
government and non-profit research publications on P2 in
coatings located on page 6 of the reference section. The trainer
should recommend that participants obtain these documents
as they are typically free for government employees.
The trainer should also briefly review the internet as a
pollution prevention research tool. The handout on general
pollution prevention and coating bookmarks should be
handed out at this time. The trainer can also refer interested
participants to the ETI Internet Training, which is part of the
curriculum that includes this training.
Handouts: 1. Pollution Prevention Bookmarks
2. For a bibliography of paint and coating reports and
publications, contact Janet Clark at www.turi.org.
NotesParticipant Notes
Surface Coatings 119
Pollution Prevention Bookmarks
Federal/International Government SitesEnvirosense — EPA’s Flagship P2 Site http://es.inel.gov
UNEP-IETC Homepage — UN’s Cleaner Production Site http://www.unep.or.jp/
EPA’s Pollution Prevention Homepage http://www.epa.gov/opptintr/p2home/
Manufacturing Extension Partnership Source http://www.mep.nist.gov/
Pacific Northwest Pollution
Prevention Resource Center http://pprc.org./pprc/index.html
Industrial Clean Production and
Environmental Management http://www.epic.net/CTEM/
EPIC Home Page — Department of Energy P2 Site http://146.138.5.107/EPIC.htm
University Sites
Univ. Michigan National P2 Center
for Higher Education http://www.umich.edu/~nppcpub/index.html
Technology, Business and Environment at MIT http://web.mit.edu/ctpid/www/tbe/
UC Berkeley CGDM Home Page http://euler.berkeley.edu/green/cgdm.html
UCLA CCT Home Page http://cct.seas.ucla.edu/
U.S. EPA Oil Spill Program http://www.epa.gov.oilspill/index.htm
Paper Coating SitesTAPPI http://www.tappi. org
Pulp & Paper Catalog Homepage http://www.pulp-paper.com
AET Home Page: Paper industry environmental consortium http://aet.org
PulpandPaper.Net Jumplist http://www.pulpandpaper.net/ppn.acgi$jumplist
Textile Coating Links
School of Textile & Fiber Engineering http://www.gatech.edu/textile/tfehome.html
NCSU College of Textiles Homepage http://www.tx.ncsu.edu
Textile Web http://www.textileweb.com
National Textile Center Home Page http://ntc.tx.ncsu.edu
Process/Sector-specific SitesPaint Coatings Net — Main Menu http://www.paintcoatings.net/pcnmain.htm
National Metal Finishing Resource Center Home Page http://www.nmfrc.org/
SAGE — Solvents Alternative Guide http://clean.rti.org/
CAGE — Coatings Alternative Guide http://clean.rti.org/cage
finishing.com http://www.intac.com/~finish/
Printers’ National Environmental
Assistance Center http://www.inhs.uiuc.edu/pneac/pneac.html
Wood Furniture and Fixtures Industry
Sector Notebook http://www.csa.com/routenet/epan/wdfurnsn.html
Powder Coating Net http://www.powdercoat.com
Printers’ National Environmental Assistance Center http://www.pneac.org
Module 11Resource Review
NotesParticipant Notes
Surface Coatings 121
State Government SitesIllinois Waste Management and
Research Center http://www.wmrc.uiuc.edu
Great Lakes Regional P2 Roundtable http://www.glrppr.uiuc.edu/wrmc/great1/index.html
Waste Reduction Resource Center
Home Page http://wrrc.p2pays.org
P2GEMS Home Page http://www.uml.edu/TURI/
Technical Assistance Resources for P2 http://www.epa.ohio.gov/opp/tarp/tarp.html
California Air Resources Board
Information System http://www.arb.ca.gov/homepage.htm
MA Toxics Use Reduction Institute http://turi.org
Search EnginesNorthernlight http://www.northernlight.com
Altavista http://www.digital.altavista.com
Excite http://www.excite.com
Yahoo http://www.yahoo.com
Module 11
122 Instructor Notes Surface Coatings
Instructor NotesModule 12 Site Visit
1. Selecting a site visit candidate
When selecting a site visit candidate, the trainer should
consider whether the visit should focus on a company that has
made investments in pollution prevention technologies and
practices or on a company that has not made such
investments. Firms that have made P2 investments offer
participants an opportunity to observe new technology and
efficient work practices. Firms that have not made such
changes offer participants an opportunity to practice their
observation and communication skills (by observing P2
opportunities and communicating them to facility personnel).
2. Site Visit Preparation:
To prepare participants for the site visit, the trainer should
introduce the site visit by presenting the following:
■ the firm’s products, main processes, and experience with
pollution prevention;
■ any process flow diagrams or input-output analysis available
from the facility
■ what participants will be observing during the plant tour;
and
■ how to communicate P2 options observed during the tour
with facility staff.
3. Site Visit
Surface Coatings 123
Participant HandoutModule 12
Industry Process/Sector Training for Environmental Regulators
Surface Coating Site Visit Questionnaire
The goal of the site visit is to provide familiarity with and understanding of the operations of the typicalsurface coating shop.
Before Site Visit1. What do I expect to see at the surface coating
shop? (describe, e.g., employees, equipment, level ofknowledge re: agency, attitude, other)
After Site Visit1. What was different than what I expected?
2. Were any questions left unanswered?2. What questions will I want to get answers toduring the site visit? (list)
3. What compliance issues do I think I am mostlikely to encounter?
3. What compliance issues did I encounter?
Site Visit
Instructor Notes
124 Instructor Notes Surface Coatings
4. Large Group Discussion: Site Visit Debriefing
The trainer should facilitate a large group discussion following
the site visit. The discussion should be tailored to the specific
visit, the production processes observed, and the interaction
with facility personnel. For example, the trainer could lead a
large group discussion to evaluate
■ whether and how participants identified P2 opportunities at
the facility;
■ success or frustration participants had when
communicating P2 opportunities to facility representatives;
and
■ any other observations.
Participant Notes: Any literature that the facility might distribute including
company literature, process flow diagrams, and/or input/
output analyses.
Module 12
NotesParticipant Notes
Surface Coatings 125
Module 12
Site Visit Debriefing:
4. What was the most important thing I learned at today’s site visit?
Suggestions or comments which could improve future site visits:
126 Instructor Notes Surface Coatings
Instructor NotesModule 13 Closing and Evaluation
Large Group Exercise: The trainer will use a plus/delta
evaluation to solicit feedback on the training. In a plus/delta
evaluation, the trainer writes a plus sign at the top of one
flipchart and a delta at the top of a second. The plus (+)
represents what worked in the training and the delta (∆)
represents what could be improved. The trainer quickly
reviews the agenda for the training and then solicits remarks
to put on the plus page and on the delta page. Answers should
be recorded in the appropriate column and useful feedback
should be incorporated into the next course offering.
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
Asdf fklkjas ss a dfkj s fdfk askd fd jkl; thj a jk jklkjuu fkd
asdf uriwq th fhtoiu as chio wk oiu asd I wauun fakc ndar os dba a nac state rhe fjk ti apoiu djk ak weruioiaj
Evaluation: A paper evaluation form should also be provided so that
participants can note feedback specifically and confidentially.
Give participants time at the end of the course to fill in the
forms and collect them as they depart the classroom.
+ ∆
Surface Coatings 127
Participant Handout
Surface Coatings
Evaluation Form
Please complete all parts of this brief evaluation. Results will be used to improve this program. The goals ofthis process sector training are: to provide an industry specific overview (including history, processes andpollution prevention opportunities); and to develop familiarity with and understanding of the operations of atypical shop. Please rate the following elements of today’s workshop, both in terms of their usefulness inreaching the instructional goal and their overall quality. Please provide written comments in the space pro-vided to explain your rating or to offer suggestions for improvement.
1. Introductions/Expectations
Comments:
2. Coating Process Introduction
Comments:
3. Surface Preparation and Pretreatment
Comments:
4. Spray Coating Pollution Prevention
Comments:
5. Liquid Coating Pollution Prevention
Comments:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Day 1
Closing and Evaluation
Surface Coatings 129
Participant Handout
6. Viscosity and Pollution Prevention
Comments:
7. Regulatory Integration Activity
Comments:
Day 2
8. Review Activity
Comments:
9. Alternative Coatings
Comments:
10. Gun Cleaning and Paint Stripping
Comments:
11. Resource Review
Comments:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Surface Coatings 131
Participant Handout
12. Site Visit Preparation
Site Visit
Site Visit Debriefing
Evaluation
Comments:
13. Assess the amount of time/detail devoted to each:
Day 1
Introductions/ExpectationsCoating Process IntroductionSurface Preparation and PretreatmentSpray Coating Pollution PreventionLiquid Coating Pollution PreventionViscosity and Pollution PreventionRegulatory Integration Activity
Day 2
Review ActivityAlternative CoatingsGun Cleaning and Paint StrippingResource ReviewSite Visit Preparation…Site Visit…Site Visit Debriefing…Evaluation
Comments:
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
not useful OK very usefulpoor OK excellent
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
Usefulness: 1 2 3 4 5Quality: 1 2 3 4 5
too little about right too much
Surface Coatings 133
Participant Handout
14. What was the most significant thing that you learned in this two-day training?
15. In what way(s) do you expect to apply what you have learned in your work?
16. What specific types of training would you like to see offered in the future?
17. Additional comments and suggestions for future training:
This curriculum document has been developed by staff at the Toxics UseReduction Institute (TURI) at the University of Massachusetts at Lowell.The principal curriculum and instructional designer is Jody Hensley, M.Ed.,Senior Education and Training Associate at TURI. Principal documenteditor is Anne Berlin Blackman, J.D, M.A, Education and Training Associateat TURI.
All rights to this curriculum belong to the Toxics Use Reduction Institute(TURI), the Massachusetts Department of Environmental Protection (MADEP) and the United States Environmental Protection Agency (U.S. EPA).The material may be duplicated or used with permission. A request forpermission to duplicate and use portions of the curriculum may be made atthe TURI website: http://www.turi.org.
The views expressed within this curriculum document do not necessarilyrepresent the stated policies of the above agencies nor does citing of tradenames or commercial processes constitute endorsement.
The Toxics Use Reduction Institute is a multi-disciplinary research,education and policy center established by the Massachusetts Toxics UseReduction Act of 1989. The Institute sponsors and conducts research,organizes education and training programs, and provides technical supportto governments to promote the reduction in the use of toxic chemicals inindustry and commerce. Further information can be obtained by writingthe Toxics Use Reduction Institute, University of Massachusetts Lowell,One University Avenue, Lowell Massachusetts 01854, ore-mail www.turi.org.
© Copyright 1999 by the Toxics Use Reduction Institute, University ofMassachusetts Lowell; the Massachusetts Department of EnvironmentalProtection; and the United States Environmental Protection Agency.
DEP
TOXICS USEREDUCTIONINSTITUTE
Electroplating and Surface Coating Finishing Sector Training
Overhead #
Module 11 Welcome ................................................2
2 Agenda ...................................................3
Module 23 Straight Talk on Metal Finishing ......... 4
4 Why Are Things Plated? ....................... 5
5 Surface Finishing Processes ................. 6
6 Five Basic Processes ..............................7
7 Two types of shops ...............................8
8 Characteristics of Captive Shops ......... 9
9 Characteristics of Job Shops ..............10
10 Work Handling Methods ...................11
11 Three General Steps in Plating .......... 12
Module 312 Flow Chart ..........................................13
13 Flow Chart ..........................................14
Module 414 Pollution Prevention Opportunities .15
15 P2 Opportunities in SolventDegreasing ..........................................16
16 Cause and Effect Diagram forDragout ...............................................17
17 Reducing Dragout ..............................18
18 Rinsing Over Plating Tank ................. 19
19 Common Rinsing Configurations ..... 20
20 Drip Boards ........................................21
21 Reactive Rinsing .................................22
22 Dragout Prevention ............................23
23 More on Drag Out Amounts ..............24
24 Estimation of Drag Out .....................25
25 Solvent Replacement ..........................26
26 Pollution Prevention Opportunitiesin Processing .......................................27
27 Pollution Prevention Opportunitiesin Processing .......................................28
28 Some Pollution PreventionOpportunities .....................................29
29 Hi-Tech Methods for MaterialRecovery ..............................................30
30 Diffusion Dialysis ...............................31
31 Vacuum Evaporators for ChemicalRecovery ..............................................32
32 Reverse Osmosis Nickel RecoveryApplication .........................................33
33 Ion Exchange .......................................34
Module 634 Metal Finishing Resources ................. 35
35 Web Sites .............................................36
36 List servers ..........................................37
Electroplating and Surface Finishing Sector Training Module 1 2
Welcomeoverhead 1
By the end of the day, we hope you will be able to:
■ Gain a better understanding of the plating process
■ Identify pollution prevention opportunities in plating facilities
■ Develop skills to work with a facility to encourage the use of P2 as a tool for
compliance
■ Integrate P2 into your current job
Module 1
Electroplating and Surface Finishing Sector Training Module 1 3
Agendaoverhead 2
■ Introduction
■ Straight talk on metal finishing
■ Video: Facility tour
■ Pollution prevention opportunities
■ Identify the waste
■ Resources for metal finishing
■ Incorpoating P2 into your job
■ Review/Closing
Electroplating and Surface Finishing Sector Training Module 2 4
Straight Talk on Metal Finishingoverhead 3
Overview
In this session, we are going to cover background information on the metal
plating industry.
Information included in this module:
■ Types of shops
■ Characteristics of the shops
■ Overview of the Plating Process
Module 2
Electroplating and Surface Finishing Sector Training Module 2 5
Why Are Things Plated?overhead 4
■ Aesthetics
■ Economics
■ Lubricity
■ Conductivity
■ Corrosion Protection
■ Plating on non-conductors
Electroplating and Surface Finishing Sector Training Module 2 6
Surface Finishing Processesoverhead 5
PolishingBuffingGrinding
EtchingElectroetching
PVDCVD
SurfaceFinishes
OrganicTechnologies
LiquidCoatings
PowderCoatings
Anodizing Chromating Phosphating AqueousProcesses
PhysicalProcesses
MetalDeposition
RemovalTechnologies
ConversionTechnologies
AqueousProcesses
ElectroplatingElectrolessPlating
DryProcesses
Electroplating and Surface Finishing Sector Training Module 2 7
Five Basic Processesoverhead 6
■ Plating
■ Polishing/Bright Dipping
■ Passivating
■ Anodizing
■ Chromating
Electroplating and Surface Finishing Sector Training Module 2 8
Two types of shopsoverhead 7
■ Captive shops
■ Job Shops
Electroplating and Surface Finishing Sector Training Module 2 9
Characteristics of Captive Shopsoverhead 8
■ Usually greater resources to invest in P2
■ Expertise in finishing operations varies widely
■ Greater ability to influence how parts are engineered
Electroplating and Surface Finishing Sector Training Module 2 10
Characteristics of Job Shopsoverhead 9
■ Vary greatly in technical expertise
■ Process controls inconsistently used or understood
■ Process knowledge is usually gleaned from vendors
Electroplating and Surface Finishing Sector Training Module 2 11
Work Handling Methodsoverhead 10
■ Rack
■ Barrel
Electroplating and Surface Finishing Sector Training Module 2 12
Three General Steps in Platingoverhead 11
Pre-cleaning Process
Plating
Post-Process
Electroplating and Surface Finishing Sector Training Module 3 13
Flow Chartoverhead 12
1. Pre-cleanAlkaline cleaner
1a. Rinse
2. Acid PicklingHydrochloric Acid Pickle
2a. Rinse
3. PlatingElectroless Nickel
3a. Rinse
4. Stain Free DryingWater Shedding Liquid
5. DegreasingVapor Degreasing
NaOH
Water
HCI
Water
NiSO4Organic Acids
Water
StoddardSolvent
Trichlorethylene
NaOH, Oils, Dirt
Spent Rinsewater,Dragout
HCI, Metal
Spent Rinsewater
NiSO4Organic Acids
Spent Rinsewater
TrichlorethyleneStoddard SolventsOils, Greases, etc.
Barrel electroless Nickel Line
Module 3
Electroplating and Surface Finishing Sector Training Module 3 14
Flow Chartoverhead 13
Copper/Nickel Plating Over Aluminum
Sodium Tetraborate Sodium TetraborateDirt
1. Pre-cleanSoak Clean
Sodium Hydroxide NaOH, Al2. Surface PrepCaustic Etch
Water Spent Rinsewater2a. RinseSame as 1a
Sulfuric, Nitric,Hydroflouric Acids H2SO4/HNO3/HF/Al3. Surface Prep
Desmut
Zinc CyanideSodium Hydroxide ZnCn, NaOH4. Conversion Coating
Zincate
Sulfamic AcidNickel Sulfamate
Sulfamic AcidNickel Sulfamate
6. PlatingNickel Sulfamate Plate
Potassium Copper CyanideCopper Cynide
Potassium CyanidePotassium Hydroxide
KCuCn, CuCn, KCn, KOH5. PlatingCopper Cyanide Strike
Water Spent Rinsewater1a. Rinse
Water Spent Rinsewater3a. Rinse
Water Spent Rinsewater4a. Rinse
Water Spent Rinsewater5a. Rinse
Water Spent Rinsewater6a. Rinse
Electroplating and Surface Finishing Sector Training Module 4 15
Pollution Prevention Opportunitiesoverhead 14
In this section we will cover information on P2 techniques and technologies for
plating. These include
■ P2 Opportunities in Solvent Degreasing
■ P2 Opportunities in Processing
■ Hi-Tech methods for P2
Module 4
Electroplating and Surface Finishing Sector Training Module 4 16
P2 Opportunities in Solvent Degreasingoverhead 15
■ Improve degreaser efficiency
— keep degreaser covered
— spray wand tip below vapor level
— remove parts slowly
■ Use highest possible amount of freeboard
■ Use refrigeration coils
Electroplating and Surface Finishing Sector Training Module 4 17
Board Angle
Board Overlap Drainage Time
Dragout TankTemperature
Evaporation Rate Drainage Boards
Rack Design Removal Rate
Concentration Tank Spacing
Parts Orientation Worker Practices
Process BathConditions
Process LineLayout
DragoutLoss
Cause and Effect Diagram for Dragoutoverhead 16
Electroplating and Surface Finishing Sector Training Module 4 18
Reducing Dragoutoverhead 17
During Workpiece Removal
■ Increase drip times
■ Rinse over the plating tank
■ Run rinses back to the plating tank
■ Use dragout tanks
■ Use drip boards
■ Use reactive rinsing
Electroplating and Surface Finishing Sector Training Module 4 19
Rinsing Over Plating Tankoverhead 18
Evaporation
DIWater
DIWater
Step 1: Plating Process Step 3: Immersion Rinse
Plating Tank Rinse Tank
Evaporation
Step 2: Recovery/Spray Rinse Step 4: DI Water Spray
Plating Tank Rinse Tank
Electroplating and Surface Finishing Sector Training Module 4 20
Common Rinsing Configurationsoverhead 19
Work Flow
Drag Out
PlatingBath
Rinse
FreshWater
To Treatment
Rinse Type: Single OverflowWater Use Rate: HighApplications: All Process BathsRecovery Rate: None
Work Flow
Drag Out
PlatingBath
Rinse
To Treatment
Rinse
FreshWater
To Treatment
Rinse Type: Two Stage ParallelWater Use Rate: ModerateApplications: All Process BathsRecovery Rate: None
Work Flow
Drag Out Drag Out
PlatingBath
Rinse
To Treatment To Treatment
To Treatment
Rinse
FreshWater
Rinse Type: Two Stage CounterflowWater Use Rate: LowApplications: All Process BathsRecovery Rate: None
Work Flow
Drag Out Drag OutDi Water
PlatingBath
Drag OutTank
Rinse
Drag Out
Rinse
FreshWater
Rinse Type: Single Stage Recovert/Two Stage Counterflow RinseWater Use Rate: LowApplications: Most Heated Baths, Especially PlatingRecovery Rate: Low (70–90F), Moderate (90–120F), High (120F+)
Work Flow
Drag Out & Return Drag Out
Di Water
PlatingBath
Drag OutTank
Drag In
Drag InTank
Rinse
Drag Out
Rinse
FreshWater
Rinse Type: Drag In Drag Out Recovery/Two Stage Counterflow RinseWater Use Rate: LowApplications: Most Process Baths, Especially Ambient to Low Temp. Plating SolutionsRecovery Rate: Low (70–90F), Moderate (90–120F), or Higher (120F+)
Electroplating and Surface Finishing Sector Training Module 4 21
Drip Boardsoverhead 20
Plating Bath
Type of Drip Board
Drip Board Rating
Rating
Type of Drip Board
Type of Drip Board
Type of Drip Board
Type of Drip Board
Plating Bath
Rinse Tank
DragOut
DragIn
Plating Bath
Plating Bath
Plating Bath
Plating Bath
Plating Bath
Plating Bath
Plating Bath
Part
Electroplating and Surface Finishing Sector Training Module 4 22
Reactive Rinsingoverhead 21
AlkalineCleaner
AlkalineCleaner
Rinse
To Wastewater Treatment Plant
Fresh Water
Fresh WaterTo Wastewater Treatment Plant
NickelPlate
Rinse
AcidPickle
AcidPickle
Rinse
Nickel Plating Line
RinseRinse
Electroplating and Surface Finishing Sector Training Module 4 23
Dragout Preventionoverhead 22
During the Process Step
■ Use lowest possible concentration of chemicals
■ Operate baths at highest possible temperatures
■ Remove racks slowly and smoothly
■ Rack properly
Electroplating and Surface Finishing Sector Training Module 4 24
More on Drag Out Amountsoverhead 23
gal dragout/1,000 sq.ft. processed
Solution Type Flat Contoured
Brass 0.95 3.3
Cadmium 1.00 3.1*Chromium (33 oz) 1.18 3.0*Chromium (53 oz) 4.53 11.9Copper Cyanide 0.91 3.2Watts Nickel 1.00 3.8Silver 1.20 3.2Stannate Tin 0.83 1.6Acid Zinc 1.30 3.5Cyanide Zinc 1.20 3.8
* <2x increase in chemical concentration results in 4x increase in dragout. This isdue to viscosity.
Electroplating and Surface Finishing Sector Training Module 4 25
Estimation of Drag Outoverhead 24
Nature of Work Drainage Drag-out Rate (gal/1,000 ft2)
■ Vertical
— Well Drained 0.4
— Poorly Drained 2.0
— Very Poorly Drained 4.0
■ Horizontal
— Well Drained 0.8
— Very Poorly Drained 10.0
■ Cup Shapes
— Well Drained 8.0
— Very Poorly Drained 24.0
Electroplating and Surface Finishing Sector Training Module 4 26
Solvent Replacementoverhead 25
Chlorinated Solvent Degreasing Replacements
■ Solvency
■ Solvent Purity
■ Fast Acting
■ Low Surface Tension
■ Inert to Substrate
Electroplating and Surface Finishing Sector Training Module 4 27
Pollution Prevention Opportunities in Processingoverhead 26
Chemistry
■ Alkalinity
■ Wetting Agents
■ Detergents
■ Metal Attack Inhibitors
Electroplating and Surface Finishing Sector Training Module 4 28
Pollution Prevention Opportunities in Processingoverhead 27
Physical/Mechanical Issues
■ Heat
■ Agitation
Electroplating and Surface Finishing Sector Training Module 4 29
Some Pollution Prevention Opportunitiesoverhead 28
■ Ultrasonic Agitation
■ Low Acid De-smut in Aluminum Cleaning
■ Cyanide-based Processes
■ Metal Substitution
Electroplating and Surface Finishing Sector Training Module 4 30
Hi-Tech Methods for Material Recoveryoverhead 29
■ Diffusion Dialysis
■ Evaporation
■ Reverse Osmosis/Electrodialysis
■ Ion Exchange
Electroplating and Surface Finishing Sector Training Module 4 31
Diffusion Dialysisoverhead 30
FilterWater Filter PumpAcidWater
Acid Module
Stack
Metal Contaminants
to Treatment or Recovery
Recovered Acid
Recycled to Bath
AcidBath
Electroplating and Surface Finishing Sector Training Module 4 32
Vacuum Evaporators for Chemical Recoveryoverhead 31
75° F RecoveryRinse
Condensate Return28 gph
City Water
Process Tank(60 sq.ft. ofsurface area)
RecoveryRinse
OverflowRinse
30 gph
2 gph
To Treatment
Vacuum Evaporator
SolutionPurification
Concentrated Solution (2 ghp) to Process Tank
E <1 gph D.O. = 1 gph
DI Water<1 gph
S
C
Open Rinse System
Electroplating and Surface Finishing Sector Training Module 4 33
Heated Process
Tank
To Waste Treatment 10 gph
City Water4 gph
Ni Plate27 g/l Ni
CarbonFilter
3,000 mg/l Ni 333 mg/l Ni 37 mg/l Ni
Rinse Rinse Rinse
Evaporation4 gph
Drag-out 1 gph Drag-out Drag-out
Reject (concentrate)5 gph (5.9 g/l)
Reverse Osmosis Unit
City Water 5 gph
Permeate95 gph
(32 mg/l Ni)Note: drag-in is assumed to equal drag-out (1 gph)
Feed Stream100 gph
Reverse Osmosis Nickel Recovery Applicationoverhead 32
Electroplating and Surface Finishing Sector Training Module 4 34
Ion Exchangeoverhead 33
Heated Chrome
TankRecovery
RinseRecovery
Rinse
Evaporation DI WaterDrag-out/Drag-out Recovery
FeedTank
ProductTank
Water for Dilution
Evaporator(if Required toConcentrate
Processed Bath)
Filte
r
Acid Acid
Catio
n
IX Regeneration
Duplex CationColumns
Regenerant toWaste Treatment
or Off-site Disposal
Catio
n
BathReturn Ion Exchange Feed
Electroplating and Surface Finishing Sector Training Module 6 35
Metal Finishing Resourcesoverhead 34
■ People■ Hard Copies■ Computer Resources
— Listserves— Websites
Module 6
Electroplating and Surface Finishing Sector Training Module 6 36
Web Sitesoverhead 35
■ National Metal Finishing Resource Center http:/www.nmfrc.org
■ Enviro$en$e http:/es.inel.gov
■ ESF http:/www.finishing.com
■ FSA http:/www.metal-finishing.com
■ products Finishing http:/www.gardner.com
Electroplating and Surface Finishing Sector Training Module 6 37
List serversoverhead 36
■ P2 Tech-subscribe [email protected]
■ P2 Reg-subscribe [email protected]
■ NBEN Talk-subscribe [email protected]
■ National Metal Finishing Resource Center-subscribe http:/www.nmfrc.org
Garment Cleaning Training
Overhead #
Module 22 Dry Cleaning Definition ......................2
3 Dry Cleaning Industry Profile .............3
4 Breakdown of Dry CleaningShop Expenses ......................................4
5 Garment Cleaning ProcessFlow Chart ............................................5
6 Solvents Used [1993 U.S. Data] ........... 6
7 Perchloroethylene .................................7
8 Types of Dry Cleaning Machines:Dry-to-dry vs. Transfer Machines .......8
9 Process Flow of Typical DryCleaning System ................................... 9
10 Vapor Control: Carbon Adsorption .. 10
11 Vapor Control: RefrigeratedCondenser ...........................................11
12 Water/PCE Separator .........................12
13 Distillation System ............................. 13
14 Cartridge Filter (exploded view) .......14
15 Spin Disc Filter ................................... 15
16 Powder Filter .......................................16
17 Process Flow of Typical DryCleaning System ................................. 17
18 PCE Emissions from Dry CleaningShops ...................................................18
Module 319 Acute Exposure ...................................19
20 Chronic Exposure ...............................20
21 Environmental Effects Associatedwith Exposure to PCE ........................21
22 Pathways of Exposure to PCE ............22
23 Pathways of Exposure to PCE ............23
Module 424 Six Ways to Accomplish Pollution
Prevention ...........................................24
25 Product Reformulation ...................... 25
26 Production Unit Redesign/Modification .......................................26
27 Production Unit Modernization .......27
28 Improved Operation andMaintenance .......................................28
29 Input Substitution ..............................29
30 Alternative Garment CleaningTechnologies .......................................30
31 Ultrasonic Cleaning ............................31
32 Garment Care Test Equipment .......... 32
33 Ozonation ...........................................33
34 Liquid CO2 .................................................... 34
35 Wet Cleaning .......................................35
36 Process Flow Diagram forWet Cleaning .......................................36
37 Multi-Process Wet Cleaning ...............37
38 Machine Wet Cleaning ....................... 38
39 Diagram of a Wet Cleaning Machine 39
40 Potential Barriers to Wet Cleaning .... 40
41 Why Do Garment Cleaners ChooseWet Cleaning? .....................................41
42 Cost Comparison of Dry Cleaningand Multiprocess Wet Cleaning ......... 42
Garment Cleaning Training Module 2 2
Dry Cleaning DefinitionOverhead 2
“The cleaning of fabrics in an essentially nonaqueous solvent, by means of:
■ one or more washes in solvent,
■ extraction of excess solvent by spinning,
■ and drying by tumbling in an airstream.”
(310 Code of MA Regs. § 7.01)
Module 2
Garment Cleaning Training Module 2 3
Dry Cleaning Industry Profileoverhead 3
■ SIC: 7216
■ highly competitive
■ dominated by small, family-owned businesses
■ 28% of U.S. shops have annual revenues of less than $28,000 (1991 data)
■ Massachusetts shops (1992 data):
— 4,189 employees
— $137 million in revenues
■ zero or negative growth predicted for industry
Garment Cleaning Training Module 2 4
Breakdown of Dry Cleaning Shop Expensesoverhead 4
Cost Category, % of Total Annual Expensesabor
Labor40–50%
Rent and Real Estate Taxes11–13.5%
Utilities9.5–11.5%
Supplies9.25–11.25%
New Equipment7–9%
Compliance w/Gov’t Regs2.25–4.25%
Garment Cleaning Training Module 2 5
Garment Cleaning Process Flow Chartoverhead 5
Receive & sort clothes
Pretreat clothes
Clean clothes
Dry clothes
Press clothes
Assemble clothes
Receive & sort clothes
Pretreat clothes
Clean clothes
Dry clothes
Press clothes
Assemble clothes
Garment Cleaning Training Module 2 6
Solvents Used [1993 U.S. Data]overhead 6
Perchloroethylene (PCE, perc) 92%
Petroleum Solvents 6%
CFC’s/HCFC’s/Trichloroethane <2%
Perchloroethylene (PCE, perc)92%
Petroleum Solvents6%
CFC’s/HCFC’s/Trichloroethane<2%
Garment Cleaning Training Module 2 7
Perchloroethyleneoverhead 7
Cl Cl
C = C
Cl Cl
Characteristics:
■ sweet, chloroform-like odor
■ nonflammable under normal conditions
■ low boiling point
■ easily dissolves oils and greases
■ denser than water (sinks)
Garment Cleaning Training Module 2 8
Types of Dry Cleaning Machines:Dry-to-dry vs. Transfer Machines
overhead 8
Garment Cleaning Training Module 2 9
������ ����������������
yyyyyyyyyyyyyyyy
condensercarbon
adsorber
muckcooker(still)
stillbottoms
lintfilter
filter
separator
steamchargedsolvent
puresolvent
washer/dryer
water
(vented machines only)
Condensate or liquid solventSteam
Solvent vaporWastes
Process Flow of Typical Dry Cleaning Systemoverhead 9
Garment Cleaning Training Module 2 10
������������
yyyyyyyyyyyy
������������
yyyyyyyyyyyy
Vapor-ladenair “In”
Condenser
Waste water
Solvent tostorage
Waterseparators
Blower
PneumaticDampers
Solvent vaporstrapped inCarbon Bath
Air “Out” Steam
Vapor Control: Carbon Adsorptionoverhead 10
Garment Cleaning Training Module 2 11
Vapor Control: Refrigerated Condenseroverhead 11
���������������������������������������������
Water Exhaust Airstream(Transfer Machines Only)
Dryer ExhaustAirstream
RefrigeratedCondensing Coils
Vented toAtmosphere
Condensate toSeparator
Garment Cleaning Training Module 2 12
Vapor-ladenair in
Vent
Solvent and water from Condenser
AirWaste WaterOut
Water
Perc
Solvent toStorage Tank
Water/PCE Separatoroverhead 12
Garment Cleaning Training Module 2 13
DistilledPerc
Perchloroethylene
Sparge Steam
Steam
Condenser
OutIn
Perc Vapor
Distillation Systemoverhead 13
Garment Cleaning Training Module 2 14
Cartridge Filter (exploded view)overhead 14
PaperElement
Center Post
End Cap
End Cap
Carbon
Meshed Wrap
OuterShield
CenterCylinder
Garment Cleaning Training Module 2 15
�������������������������������
��������������������
���������������������
����������
������������������������������������������������������������������������������������Disk Filters
(shaded area)
Venting toButton Trap
Solvent In
Solvent Out
Into FilterValve
Still DrainValve
Still
Spin Disc Filteroverhead 15
Garment Cleaning Training Module 2 16
1. Precoat 2. Filtration(through accumulatedprecoat)
3. “Bump off”filter cake
Clean PercandFilter Powder
Clean PercandFilter Powder
FilteredSolvent Filter waste
to muck cooker
UsedPerc
UsedPerc
Powder Filteroverhead 16
Garment Cleaning Training Module 2 17
Process Flow of Typical Dry Cleaning Systemoverhead 17
������ ����������������
yyyyyyyyyyyyyyyy
carbonadsorbercondenser
muckcooker(still)
stillbottoms
disposal
lintfilter
filter
separator
steamchargedsolvent
puresolvent
washer/dryer
water
(vented machines only)
Condensate or liquid solventSteam
Solvent vaporWastes
Garment Cleaning Training Module 2 18
PCE Emissions from Dry Cleaning Shopsoverhead 18
■ 148.5 million pounds of PCE were released to the environment by U.S. dry
cleaners in1994
■ approximately 2/3 of dry cleaning shops’ PCE emissions are to the air
(through process and fugitive loss)
■ a controlled machine might annually release:
— 2200-4300 lbs. of PCE to air
— .07-1.9 lbs. of PCE in wastewater
— 140 gallons of still bottoms, 50 filters
Garment Cleaning Training Module 3 19
Module 3
Acute Exposureoverhead 19
Observed effects of acute exposure (high dose, short duration) include:
■ irritation to skin, eyes, nose, and throat
■ superficial burns
■ depression of the central nervous system, slurred speech, impaired motor
functions, loss of consciousness
■ death
Garment Cleaning Training Module 3 20
Chronic Exposureoverhead 20
Possible effects of chronic exposure (low dose, long duration) include:
■ impaired neurobehavioral function: headaches, dizziness, sleepiness
(reversible)
■ non-carcinogenic liver and kidney damage
■ reproductive disorders (decreased sperm count, increased incidence of
spontaneous abortions)
■ cancer — bladder, cervical, esophagal (possibly liver cancer and leukemia)
Garment Cleaning Training Module 3 21
Environmental Effects Associated withExposure to PCE
overhead 21
BIOTA:
■ bladder, kidney, and liver cancers leukemias reported in rodents
■ toxic to phytoplankton populations
■ sub-acute and chronic effects in fish
■ bioaccumulation in marine organisms
AIR/WATER:
■ atmospheric half-life of 96 days
■ up to 26% of groundwater and 38% of surface water in U.S. exhibits PCE
contamination
Garment Cleaning Training Module 3 22
Pathways of Exposure to PCEoverhead 22
INHALATION:
■ working in dry cleaning shop
— current OSHA standard = 100 ppm
— proposed standard = 25 ppm
■ living in a household with a dry cleaning worker
■ visiting a dry cleaning shop
■ bringing home freshly dry cleaned clothes (offgassing)
■ residing above or adjacent to a dry cleaning shop
Garment Cleaning Training Module 3 23
Pathways of Exposure to PCEoverhead 23
INGESTION:
■ drinking PCE contaminated water
— EPA Maximum Contaminant Level standard for PCE in drinking water
is 5 micrograms/L
— measurements in Cape Cod groundwater are 16 times the MCL
■ eating PCE-contaminated food (especially dairy products and
other fatty foods)
Garment Cleaning Training Module 4 24
Module 4
Six Ways to Accomplish Pollution Preventionoverhead 24
■ Product Reformulation
■ Production Unit Redesign/Modification
■ Production Unit Modernization
■ Improved Operation and Maintenance
■ Input Substitution
■ Alternative Technologies
Garment Cleaning Training Module 4 25
Product Reformulationoverhead 25
■ In garment cleaning, the product is _______________
■ Ways of reformulating the product include ___________
Garment Cleaning Training Module 4 26
Production Unit Redesign/Modificationoverhead 26
Examples of garment cleaning production unit redesign/modification include:
■ hardpiping a PCE still to a carbon adsorber to increase the solvent
extraction rate
■ draining filters more thoroughly before disposal
(over a weekend is recommended)
■ draining filters in a closed casing
■ using multiple emission control devices in sequence
(e.g., carbon adsorber after a refrigerated condenser, a carbon filter
after a spin disc filter)
Garment Cleaning Training Module 4 27
Production Unit Modernizationoverhead 27
Examples of production unit modernization include:
■ adding or upgrading emission control devices
— installing a spin disc filter system
— installing a more efficient PCE still
■ using drip-free, airtight couplers to refill machines with solvent and therefore
minimize PCE vaporation
Garment Cleaning Training Module 4 28
Improved Operation and Maintenanceoverhead 28
Perform regular maintenance:■ Change filters regularly■ Replace gaskets regularly (aeration & deodorizer valves, button trap,
cleaning machine door)■ Clean button traps, lint screens, fan blades, condensor coils■ Desorb carbon adsorbers promptly■ Check refrigerated condenser temperaturesPerform regular inspections:■ Check for leaks at gaskets, hose couplings and connections, pumps,
air relief valves, storage containers, air vents■ Check air and exhaust vents for drips■ Check level gauge on solvent tanksCorrectly size loadsMinimize time that machine door, button trap are openProvide proper training for employees
Garment Cleaning Training Module 4 29
Input Substitutionoverhead 29
■ no “drop-in” substitutes currently available
■ Rynex
■ alternative solvents require alternative technology
Garment Cleaning Training Module 4 30
Alternative Garment Cleaning Technologiesoverhead 30
■ ultrasonic
■ ozonation
■ liquid CO2
■ wet cleaning
Garment Cleaning Training Module 4 31
Ultrasonic Cleaningoverhead 31
■ High frequency sound waves agitate garments in a liquid medium
■ Microscopic bubbles in the liquid medium implode, producing shock waves
that dislodge stain molecules from fabric
■ Mechanical action does not involve large-scale fabric movement that increases
the wear and tear on garments
Garment Cleaning Training Module 4 32
Garment Care Test Equipmentoverhead 32
32" 48"
48"
32"
Ultrasonic Generator
RinseWater
RinseTank
WashTank
Transducers
FillWater
FineFilter
Heater
Pump90 GPM, 30 PSI
SustainerDrain
Garment Cleaning Training Module 4 33
Ozonationoverhead 33
■ An onsite electrical generator produces ozone gas.
■ Wash water is ozonated (injected with ozone gas), thus solubilizing
garment soils.
■ Filters remove soils from the wash water which is recycled, reozonated,
and reused.
■ Garments remain on hangers throughout the cleaning process to avoid
dimensional change.
Garment Cleaning Training Module 4 34
Liquid CO2
overhead 34
■ A proprietary garment cleaning technology using liquid CO2 as the cleaning
solvent may become commercially viable in 1998.
■ CO2 is non-flammable, non-corrosive, less toxic than PCE, inexpensive ($.50/
lb.), and readily available.
■ Liquid CO2 is converted to gas after the garment cleaning cycle. 90% of the
CO2 can be recaptured for reuse
■ Disadvantage: Garment cleaning with CO2 requires high pressure (700 lbs per
square inch) comparable to that of CO2 in soda fountains in restaurants
Garment Cleaning Training Module 4 35
Wet Cleaningoverhead 35
■ Wet cleaning is the professional cleaning of garments in an aqueous solvent.
■ It is distinct from laundering and hand-washing.
Garment Cleaning Training Module 4 36
Process Flow Diagram for Wet Cleaningoverhead 36
Water, Soil& Additives
Washer/Extractor
MachineDry
HangDry
FiltrationSystem
RecycledWater Tank
Heated Air
• Inspect• Sort• Pretreat
Stains
Water, SoapsConditionersSoftenersSizings
DirtyClothes
Clean, WetClothes
Clean, DryClothes
Finishing &Assembly
SpentFilters
Water
DirtyWater
Garment Cleaning Training Module 4 37
Multi-Process Wet Cleaningoverhead 37
■ Labor-intensive
■ Relies heavily on manual laundering techniques such as scrubbing and gentle
hand-washing
Garment Cleaning Training Module 4 38
Machine Wet Cleaningoverhead 38
■ Uses a computerized washing machine designed to minimize agitation
■ The dryer controls heat and moisture precisely through sensors
Garment Cleaning Training Module 4 39
Diagram of a Wet Cleaning Machineoverhead 39
Dirt
Conventional Washer• Strong agitation• Linited controls• Low capital investment
Wet Clean Machine• Gentle agitation• Microprocessor controls• High capital investment
Daewoo• Microprocessor controls• Low capital investment• Air bubbles create gentle agitation• Bubbles help remove soil
Air Bubbles
Air Bubbles
Vibrations ofClothes
Clothes
Garment Cleaning Training Module 4 40
Potential Barriers to Wet Cleaningoverhead 40
■ Lack of expertise with techniques
■ Skepticism about cleaning performance
■ Fear of customer disapproval and loss of market share
■ Increased labor and water costs
■ Garment care labels marked “Dry Clean Only”
■ Disbelief regarding risks associated with PCE
Garment Cleaning Training Module 4 41
Why Do Garment Cleaners Choose Wet Cleaning?overhead 41
■ Cost Savings
■ Regulatory Relief
■ Occupational safety
■ Added garment cleaning capacity
■ Market niche
Garment Cleaning Training Module 4 42
Cost Comparison of Dry Cleaning andMultiprocess Wet Cleaning
overhead 42
Dry Clean ($) Wet Clean ($)
Annual Operating Costs 43,920 43,880
Annual Labor Costs 5,000 15,500
Capital Recovery 6,140 90
Haz Waste Disposal 1,390 0
Solvent 370 0
Filters 630 0
Permit Fee 80 0
NOTE: These cost data are for shops that do 100% wet cleaning.
EPA, 1993 (Based On 1992 Data)
Multimedia Teams I: Making Teams Work
Overhead #
Module 31 Team ......................................................2
2 Teamwork ..............................................3
Module 43 Team Success Depends Upon… .......... 4
Module 54 S.M.A.R.T. Goals ................................... 5
5 Stakeholders ..........................................6
6 Examples of Stakeholders: ...................7
7 Decision Making Authority ................. 8
Module 98 The Peer Resource Relationship .......... 9
9 Methods For Peer Resources —Concepts .............................................. 10
19 Methods For Peer Resources —Skills .................................................... 11
Module 1011 Four Methods of Decision Making .... 12
12 When Selecting a Decision MakingMethod ................................................13
13 Criteria Rating Chart ......................... 14
Module 1114 When Ending a Team or
Team Project: ...................................... 15
Multimedia Teams I: Making Teams Work Module 3 2
Module 3
Teamoverhead 1
A small group of people
■ Committed to a common purpose
■ With defined goals
This group is mutually accountable
■ For achieving the goals
■ And for how they work together
Multimedia Teams I: Making Teams Work Module 3 3
Teamworkoverhead 2
A style of working together that values:
■ Listening to each other
■ Recognizing various interests/interdependencies
■ Building agreement
■ Providing support
■ Acknowledging accomplishments and contributions
Multimedia Teams I: Making Teams Work Module 4 4
Module 4
Team Success Depends Upon…overhead 3
■ Achieving Our Goal or Objectives
■ Effective Processes for Getting the Work Done
■ Relationships that build mutual respect and rapport
Each Team member is responsible for the success of each dimension.
Multimedia Teams I: Making Teams Work Module 5 5
Module 5
S.M.A.R.T. Goalsoverhead 4
■ Specific
■ Measurable
■ Attainable
■ Relevant
■ Time-trackable
Multimedia Teams I: Making Teams Work Module 5 6
Stakeholdersoverhead 5
* Stakeholders are all those individual people or groups who may be significantly
impacted by the outcome of the group’s efforts.
Multimedia Teams I: Making Teams Work Module 5 7
Examples of Stakeholders:overhead 6
■ Internal leadership team
■ EPA
■ Governor’s office
■ Citizens’ groups
■ Private industry councils
Multimedia Teams I: Making Teams Work Module 5 8
Decision Making Authorityoverhead 7
■ Within the team
■ From Stakeholders
Get clarity early in the group’s work on levels of input and decision making.
Multimedia Teams I: Making Teams Work Module 9 9
Module 9
The Peer Resource Relationshipoverhead 8
What Is It?
A relationship between a guide or mentor and a learner. The goal of the
relationship is for the mentor(with an area of expertise) to help the learner
learn new information or skills.
At any point in time we may be either the peer resource or the learner.
“Communicate with the other person that which you would want communicated if
your positions were reversed.” —Aaron Goldman
Multimedia Teams I: Making Teams Work Module 9 10
Methods For Peer Resources — Conceptsoverhead 9
When teaching concepts/knowledge:
1. Introduce the concept WIIFM — What is in it for me to know this
information?
2. Assess current level of understanding
3. Explain the concept
4. Test the learner or ask for the learner to communicate their understanding
of the concept. Provide feedback and clarification to increase
understanding.
5. Summarize
Multimedia Teams I: Making Teams Work Module 9 11
Methods For Peer Resources — SkillsOverhead 10
When teaching a skill:
1. Introduce the skill WIIFM —What is in it for me to be able to do this?
2. Assess previous experience using the skill
3. Demonstrate the skill
4. The learner practices the skill
5. Provide feedback and coaching on mastering the skill
6. Summarize
Multimedia Teams I: Making Teams Work Module 10 12
Module 10
Four Methods of Decision Makingoverhead 11
■ Authoritative
— Decide and announce
— Discuss, decide and announce
■ Consultative
— Polls individuals and decides
— Polls the team and decides
■ Majority
— Team votes
■ Consensus
— Team decides on an option that all can support
Multimedia Teams I: Making Teams Work Module 10 13
When Selecting a Decision Making MethodOverhead 12
Factors to consider in selecting a decision making method include:
■ The need for “buy-in”
■ History of the group’s operating methods
■ Types of issues that are on the table
■ Time it takes to reach a decision
■ Importance to team development
Multimedia Teams I: Making Teams Work Module 10 14
Criteria Rating Chartoverhead 13
Decision Options Total 100%
Assign a percentage to each criteria. Criteria total 100%Rate each option against each criteria, assigning a value of the percentage.Total the score for each option
Multimedia Teams I: Making Teams Work Module 11 15
Module 11
When Ending a Team or Team Project:overhead 14
■ Acknowledge individuals: recognize and celebrate accomplishments.
■ Document individual’s performance and contribution to team’s success for
inclusion in appraisal process (copy to employee and functional manager).
■ Summarize learnings with each other about what contributed or hindered
the team’s success.
Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams
Overhead #
Module 31 Tuckman’s Phases of Team
Development......................................... 2
2 Tuckman’s Team DevelopmentWheel ....................................................3
3 Tuckman’s Team Development Grid ...4
Module 84 Preparation for Negotiation ................5
Preparation for Negotiation ................6
Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams Module 3 2
Module 3
Tuckman’s Phases of Team Developmentoverhead 1
Forming
Storming
Norming
Performing
Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams Module 3 3
Tuckman’s Team Development Wheeloverhead 2
Performance
Mature closenessResourcefulFlexibleOpenEffective
Forming
TestingPoliteImersonalWatchful
Norming
Getting organized
Developing skillsEstablishing proce-dures
Storming
InfightingControlling con-flictsConfronting people
Phase Four Phase One
Phase Three Phase Two
Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams Module 3 4
Stage
Characteristics
Action Steps to Movethe Team Forward
Stage I
Forming
Introduction and courtesyInformation SharingStereotypingHigh need for group approvalLow need for group identityNo conflict“Why we’re here” decisionsBeginning structureNeed to feel purpose is impor-
tantNo hidden agendas evident
Write mission statement/purpose
Set goalsAssess capabilities of leader
and memberEstablish rolesDevelop ground rulesIdentify resources and toolsClarify …expectationsTake risksDo “get acquainted” activities
Stage II
Storming
Competition beginsMarketing of territoryCliques form and changePositions are rationalizedSome members are quietSome members are
aggressiveLittle team spiritChanging direction & priori-
ties
Facilitate winsCreate positive environmentListenTake extra time to
work togetherRequest and accept feedbackHonor commitmentsMake connections with all
team membersClarify boundaries of func-
tional manager and team
Stage III:
Norming
Roles established informal &formal rules established
Steady cliques are evidentTeam identity establishedProgress toward goal is shownCreativity emergesNew member entry is difficultMembers avoid rocking the
boatLimited disagreement:“Group Think” a dangerGroup hierarchy established
Keep up team winsShare leadershipUse goals to drive discussion-
makingDelegate freelyDefine higher goalsCarefully select new membersReinforce “synergy”Self evaluatePraise each otherMaintain traditionsCoach and integrate new
members
Stage IV:
High Performing
Requires unanimous support tobe here
High moraleIntense loyaltyAll group members acceptedAgreement to disagreeNew members cause regression
to previous stageCliques are absentSuperb goal achievement
When Ending a team orTeam Project:
Acknowledge individuals,
recognize accomplish-
ments, celebrate successes,
and document perfor-
mance.
Tuckman’s Team Development Gridoverhead 3
Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams Module 8 5
Position
(Mine) (Theirs)
Interests or Needs
(Mine) (Theirs)
Options ( Be Creative)
1.
2.
3.
4.
What is the alternative if this cannot be resolved?
(Mine) (Theirs)
Module 8
Preparation for Negotiationoverhead 4
Multimedia Teams II: Increasing the Effectiveness of Multimedia Teams Module 8 6
Position
(Mine) (Theirs)
Interests or Needs
(Mine) (Theirs)
Options (Be Creative)
1.
2.
3.
What is the alternative if this cannot be resolved?
(Mine) (Theirs)
Preparation for NegotiationExample Scenario for Negotiation: “Reading Room at the Local Library”
I want the window closed. They want the window open.
(guess) They like fresh air.
(After asking them) They are hot-blooded and getless sleepy if they work in cool temperatures.
■ They could go to another place in the library.
I get a stiff neck easily so I avoid sitting in a directdraft. I do not want my papers blowing aroundand getting mixed up.
■ I could go to another place in the library towork.
■ I could explain my dilemma to the librarianand ask that another place be found for theperson who entered my room.
1. Open window from the top.
2. Ask librarian to turn on the air conditioner.
3. Keep a door open and open a window in the hall to provide fresh air without a draft.
Pollution Prevention in the Job Function: Regulation and Policy Development
Overhead #
Module 11 Pollution Prevention in Regulations
and Policies ...........................................2
2 Workshop Goals ................................... 3
Module 23 What is Pollution Prevention? .............4
4 What Does Pollution PreventionMean? ....................................................5
5 Waste Prevention Hierarchy ................6
6 Who Benefits from PollutionPrevention? ...........................................7
7 How Does Pollution PreventionBenefit Businesses? ...............................8
8 Implementing P2 ..................................9
9 Why/How Should GovernmentAgenciesImplement P2? ....................................10
Module 310 What is an Effective Regulation/Policy
Development Process? ........................11
11 Model of a Regulation and PolicyDevelopment Process .........................12
12 Define the Problem ............................ 13
13 Team Building .....................................14
14 Scoping ................................................15
15 Development of Solutions ................. 16
16 Internal Consensus Building .............17
(Module 3)
17 External Consensus Building .............18
18 External Consensus Building .............19
19 Promulgation ......................................20
20 Promulgation ......................................21
21 Implementation and Evaluation ........ 22
22 Example One: Pollution PreventionRegulation for Auto FinishingOperations ..........................................23
23 Example Two: Pollution Prevention PolicyNON Cover Letter ..............................24
Module 424 P2 Opportunities During Problem
Definition ............................................25
25 Problem Definition Stage: Example .. 26
26 P2 Opportunities DuringTeambuilding ......................................27
27 Opportunities During Scoping .......... 28
28 P2 Opportunities during Developmentof Solution ..........................................29
29 P2 Opportunities during InternalConsensus Building ............................ 30
30 P2 Opportunities during ExternalConsensus Building ............................ 31
31 P2 Opportunities duringPromulgation ......................................32
32 P2 Opportunities duringImplementation and Evaluation ........ 33
Module 533 Information Resources ....................... 34
Module 634 Working Case: Instructions ............... 35
35 Working Case: Overview .................... 36
36 Working Case: Overview .................... 37
37 Working Case: Overview .................... 38
38 Working Case: Overview .................... 39
39 Working Case: Questions toAddress ................................................40
Pollution Prevention in the Job Function: Regulation and Policy Development Module 1 2
Module 1
Pollution Prevention in Regulations and Policiesoverhead 1
A Workshop for Regulatory Agency Staff
■ Why P2 for regulations and policy staff?
■ A challenge to go further in building P2 into regulatory activities
■ Expectations from senior staff
Pollution Prevention in the Job Function: Regulation and Policy Development Module 1 3
Workshop Goalsoverhead 2
■ Review the pollution prevention definition and the waste prevention hierarchy.
■ Review basic policy and regulation development process.
■ Help participants identify pollution prevention opportunities during
regulation/policy development.
■ Familiarize participants with P2 resources.
Pollution Prevention in the Job Function: Regulation and Policy Development Module 2 4
What is Pollution Prevention?overhead 3
Pollution prevention is any activity which prevents pollution from being created
in the first place, versus pollution control, which deals with waste after it has
been generated.
■ Pollution Prevention is an umbrella term that covers:
— Toxics use reduction
— Reduction of waste oil, solid waste, etc.
— Water and energy conservation
Module 2
Pollution Prevention in the Job Function: Regulation and Policy Development Module 2 5
What Does Pollution Prevention Mean?overhead 4
■ The following practices would be considered pollution prevention:
— equipment or technology modifications
— process modifications
— reformulations or redesign of products
— substitution of raw materials
— improvements in housekeeping, maintenance, training or
inventory control
Pollution Prevention in the Job Function: Regulation and Policy Development Module 2 6
Waste Prevention Hierarchyoverhead 5
■ Pollution Prevention
■ Re-use/Recycling
■ Treatment
■ Disposal
Pollution Prevention
Re-use/Recycling
Treatment
Disposal
Pollution Prevention in the Job Function: Regulation and Policy Development Module 2 7
Who Benefits from Pollution Prevention?overhead 6
■ Business
■ Government Agencies
■ Environment and Public Health
Pollution Prevention in the Job Function: Regulation and Policy Development Module 2 8
How Does Pollution Prevention Benefit Businesses?overhead 7
■ For business, P2 can be a way to save money in terms of:
— Materials management
— Operating cost reductions
— Environmental risk avoidance
— Worker safety/reduced liability
Pollution Prevention in the Job Function: Regulation and Policy Development Module 2 9
Implementing P2overhead 8
■ Businesses implement P2 in three major ways:
— process-related techniques
— managerial-related techniques
— design-related techniques
Pollution Prevention in the Job Function: Regulation and Policy Development Module 2 10
Why/How Should Government Agencies Implement P2?overhead 9
■ For regulatory agencies, P2 is a better way to protect the environment
■ P2 can be included in:
— Development of policies and regulations
— Permits, inspections and enforcement
— Technical assistance/outreach
— New protection strategies
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 11
What is an Effective Regulation/PolicyDevelopment Process?
overhead 10
■ Clarifies real problem(s)
■ Anticipates potential controversies and builds consensus problem solving
■ Engages the right people at the right time at the right level of detail
■ Minimizes delays and major reworks
■ Satisfies legal requirements
■ Identifies collateral support necessary for implementation
■ Supports implementation measures success
■ Fundamentally consistent across the department for type of product
Module 3
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 12
Model of a Regulation and Policy Development Processoverhead 11
6. Promulgation/Finalization
7. Implementation and Evaluation
1. Problem Definition
2. Team Building
3. Scoping
4. Development of Solution
5. a. Internal Consensus/Feedback on Draft Regulation/Policy
b. External Consensus/Feedback on Draft Regulation/Policy
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 13
Define the Problemoverhead 12
■ Pollution prevention & hierarchy
■ Source problem rather than a control problem
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 14
Team Buildingoverhead 13
■ BWP and cross bureau
■ Regional
■ EOEA staff
■ External stakeholders
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 15
Scopingoverhead 14
What should be in the scope?
■ Problem definition
■ Solution options
■ Identification of goals (e.g., regulatory streamlining)
■ Team membership resource needs
■ Development milestones and key signoffs
■ Stakeholders/public impact and potential controversies
■ Program implementation plan
■ Effectiveness evaluation plan
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 16
Development of Solutionsoverhead 15
■ Key signoffs within agency
■ Program implementation plan
■ Effectiveness evaluation plan
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 17
Internal Consensus Buildingoverhead 16
■ Need to gauge potential “noise” factor
■ Involve internal partners
— bureaus/programs/divisions
— regional/field offices
— staff attorneys
■ “buy-in” from middle managers
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 18
External Consensus Buildingoverhead 17
A. External Partners
■ federal agencies: e.g., EPA
■ other state agencies
— EOEA
— Administration and Finance
— MEPA review
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 19
External Consensus Buildingoverhead 18
B. External Stakeholders
■ Public Notice and Comment
— public information sessions
— “interested party list”
— Environmental Justice outreach
■ Alternative processes
— Alternative Dispute Resolution (ADR)
— Regulatory Negotiation (RegNeg)
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 20
Promulgationoverhead 19
■ Need to make regulation or policy available and accessible
— publication in Environmental Monitor
— outreach to community through non-English speaking press
— trade associations
— Internet
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 21
Promulgationoverhead 20
■ Prepare supporting documentation (for rules and regulations)
— cost-benefit analysis (required under Executive Order 384)
— approval from Office of General Counsel
— cover memo on final draft approval must show how regulation affects:
• efficiency and streamlining
• pollution prevention
• resource implementation
• staff training and policy development
— Commissioner’s sign-off
— memo to EOEA requesting approval to promulgate
— Memo responding to public comments on draft regulation
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 22
Implementation and Evaluationoverhead 21
■ Implementation issues should be addressed up-front during design phase
■ Implementation process should involve the stakeholders who will provide
evaluation feedback
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 23
Example One: Pollution Prevention Regulation forAuto Finishing Operations
overhead 22
■ Problem: MA DEP wanted to reduce the amount of VOCs from the large
number of small auto shops
■ Solution: Prevent releases at all the sources in a small shop
• Product formulation — limit VOC in per unit volume
• Equipment design — high volume/low pressure sprayer
• Equipment maintenance — enclosed cleaning and waste recycling
• Equipment operations — keeping paint can closed
■ Lessons learned: Make the regulation accessible and available
• Initial outreach — to community and industry networks
• Input — invite stakeholders to help with the drafting
• Follow through — workbooks
Pollution Prevention in the Job Function: Regulation and Policy Development Module 3 24
Example Two: Pollution Prevention PolicyNON Cover Letter
overhead 23
■ Problem: How to leverage P2 as the preferred means of compliance for lower
level enforcement actions
■ Solution: Policy that required the standard cover letter accompanying Notices
of Noncompliance (NONs)
• DEP policy statement — P2 is the preferred method of return to
compliance
• Assistance — referral to MA Office of Technical Assistance for on-site
P2-oriented engineering assistance
• Concrete suggestions — specific P2 recommendations with
compliance link
Pollution Prevention in the Job Function: Regulation and Policy Development Module 4 25
Module 4
P2 Opportunities During Problem Definitionoverhead 24
■ Define underlying problems broadly (in terms of environmental impact)
■ Use “true” brainstorming, then narrow the focus
■ Include P2 goals as stated objectives
Pollution Prevention in the Job Function: Regulation and Policy Development Module 4 26
Problem Definition Stage: Exampleoverhead 25
■ Massachusetts DEP drafted a regulation to streamline the hazardous waste
(HW) recycling permit process
■ Staff had competing views of goals of regulation:
— encourage facilities to recycle rather than discard HW, versus
— reduce facilities’ need for recycling permits by encouraging the reduction
of waste generated in the first place
Pollution Prevention in the Job Function: Regulation and Policy Development Module 4 27
P2 Opportunities During Teambuildingoverhead 26
■ Include “forward-thinking” agency staff who have had P2 training
and experience
■ Include staff from a P2 office/bureau, if one exists
■ Seek input from external stakeholders?
Pollution Prevention in the Job Function: Regulation and Policy Development Module 4 28
Opportunities During Scopingoverhead 27
■ Use brainstorming first, then narrow the focus
■ Use P2 resources available to identify P2 solutions
■ Consult with stakeholder groups; empower those being regulated
Pollution Prevention in the Job Function: Regulation and Policy Development Module 4 29
P2 Opportunities during Development of Solutionoverhead 28
■ Consider P2 as a selection criterion, and reductions in pollution as a success
measure
■ Use the waste prevention hierarchy to help prioritize possible solutions
Pollution Prevention in the Job Function: Regulation and Policy Development Module 4 30
P2 Opportunities during Internal Consensus Buildingoverhead 29
■ Consult with P2 office/bureau, if one exists, to ensure that P2 has been
adequately incorporated
■ Management should promote P2 by routinely asking the following questions:
— Where is the P2?
— Were the P2 opportunities explored?
— Is there an implementation plan to support the P2 elements?
Pollution Prevention in the Job Function: Regulation and Policy Development Module 4 31
P2 Opportunities during External Consensus Buildingoverhead 30
■ Consult with external partners (EPA, other state agencies, P2 resources) to
ensure that P2 has been adequately incorporated
■ External stakeholders can provide a “reality check”
Pollution Prevention in the Job Function: Regulation and Policy Development Module 4 32
P2 Opportunities during Promulgationoverhead 31
■ Supporting documents should indicate that a P2 options analysis was done
■ Agency memo responding to public comments should address the P2
impace and implications of the new regulation
Pollution Prevention in the Job Function: Regulation and Policy Development Module 4 33
P2 Opportunities during Implementation and Evaluationoverhead 32
■ Ensure adequate staff training, incentives, supporting procedures,
infrastructure
■ Enlist assistance from outside P2 resources and stakeholders
■ Try to answer: How much pollution did the regulation prevent?
■ For evaluation, identify data to be quantified
Pollution Prevention in the Job Function: Regulation and Policy Development Module 5 34
Information Resourcesoverhead 33
■ DEP TURA Unit
■ DEP’s Massachusetts Environmental Library
■ Toxics Use Reduction Institute (TURI)
■ Office of Technical Assistance
■ Northeast Waste Management Officials’ Association (NEWMOA)
Module 5
Pollution Prevention in the Job Function: Regulation and Policy Development Module 6 35
Working Case: Instructionsoverhead 34
■ Break into small groups, select recorder and reporter
■ Understand the case
■ Brainstorm P2 opportunities (use tools list)
■ Brainstorm potential resources
■ Select recommended P2 option(s)
■ Report out
Module 6
Pollution Prevention in the Job Function: Regulation and Policy Development Module 6 36
Working Case: Overviewoverhead 35
■ The Environmental Results Program replaces minor permits with
— Performance standards
— Compliance assistance
— Annual self-certification compliance
■ Goals of ERP
— Improve performance (including finding scofflaws)
— Smartest use of staff (permitting vs compliance/enforcement)
— Promote P2
Pollution Prevention in the Job Function: Regulation and Policy Development Module 6 37
Working Case: Overviewoverhead 36
■ Industrial Wastewater (IW) is any wastewater other than sanitary.
■ IW Sewer Discharge System before ERP consisted of:
— DEP discharge permit
— DEP Pre-treatment Approval
— Local Discharge Permit and/or Standards
Pollution Prevention in the Job Function: Regulation and Policy Development Module 6 38
Working Case: Overviewoverhead 37
■ Legacy of Pre-ERP Sewer Discharge Program:
— Most dischargers are without DEP sewer discharge permits
— DEP sewer permits are often redundant with local sewer permits
Pollution Prevention in the Job Function: Regulation and Policy Development Module 6 39
Working Case: Overviewoverhead 38
■ ERP approach for sewer dischargers
— certify compliance with all local and federal permits
— certify compliance with new statewide general standards/prohibitions
Pollution Prevention in the Job Function: Regulation and Policy Development Module 6 40
Working Case: Questions to Addressoverhead 39
■ What options were brainstormed?
■ What information resources would you pursue?
■ What is your recommended option?
P2 in Regulatory Enforcement at Commercial and Industrial Facilities
Overhead #
Module 11 Pollution Prevention in Enforcement .2
Module 22 Workshop Goals ................................... 3
Module 33 What is Pollution Prevention? .............4
4 What Does Pollution PreventionMean? ....................................................5
5 Waste Prevention Hierarchy ................6
6 Who Benefits from P2? .........................7
7 How Does P2 Benefit Business? ........... 8
8 How Does Business Implement P2? .... 9
9 Why/How Should GovernmentAgencies Implement P2? .................... 10
Module 410 P2 Tips: Schematic of Typical
Industrial Operation ..........................11
Module 511 Compliance Inspection & Enforcement
Process .................................................12
Module 712 P2 Information Resources ................. 13
Module 1113 Negotiation of P2 in Settlement ........14
14 Oversight and Implementation ofP2 Settlement ......................................15
15 Trade-Offs in Value to Agency ...........16
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 1 2
Pollution Prevention in Enforcementoverhead 1
An Environmental Technologies Initiative (ETI) Workshop for Regulatory
Compliance and Enforcement Staff
Module 1
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 2 3
Module 2
Workshop Goalsoverhead 2
■ Review P2 definition and the waste prevention hierarchy
■ Review the basic enforcement process
■ Help participants I.D. P2 opportunities in enforcement
■ Familiarize participants with P2 information resources
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 3 4
Module 3
What is Pollution Prevention?overhead 3
■ Pollution Prevention is any activity which prevents pollution from being
created in the first place, versus pollution control, which deals with waste after
it has been generated.
■ P2 is an umbrella term that covers:
— Toxics use reduction
— Reduction of waste oil, solid waste, etc.
— Water and energy conservation
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 3 5
What Does Pollution Prevention Mean?overhead 4
■ The following practices would be considered pollution prevention:
— Equipment or technology modifications
— Process modifications
— Reformulations or redesign of products
— Substitution of raw materials
— Improvements in housekeeping, maintenance, training or inventory
control
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 3 6
Waste Prevention Hierarchyoverhead 5
■ Pollution Prevention
■ Re-use/Recycling
■ Treatment
■ Disposal
Pollution Prevention
Re-use/Recycling
Treatment
Disposal
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 3 7
Who Benefits from P2?overhead 6
■ Business
■ Government Agencies
■ Environment and Public Health
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 3 8
How Does P2 Benefit Business?overhead 7
■ For business, P2 can be a way to save money in terms of:
— Materials management
— Operating cost reductions
— Environmental risk avoidance
— Worker safety/reduced liability
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 3 9
How Does Business Implement P2?overhead 8
■ Business implements Pollution Prevention in 3 major ways:
— Process-related techniques
— Managerial-related techniques
— Design-related techniques
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 3 10
Why/How Should Government AgenciesImplement P2?
overhead 9
■ For regulatory agencies, P2 is a better way to protect the environment
■ P2 can be included in:
— Development of regulations and policies
— Permits, inspections, and enforcement
— Technical assistance and outreach
— New protection strategies
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 4 11
Module 4
P2 Tips: Schematic of Typical Industrial Operationoverhead 10
Raw Materials
Storage
Production Operations
Maintenance Operations
By-Products
Emissions
Intermediate orFinished Product
Storage
Fugitive Emissions
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 5 12
Module 5
Compliance Inspection & Enforcement Processoverhead 11
Inspection Targeting—determine which industries—determine which facilities
Perform Inspection—Note violations—Inspection Close-out Conference
Prepare Enforcement Case—specify violations—recommend enforcement action—recommend application of specific
policies (as necessary)
Prepare for Inspection—records, maps, file data—consult other Agency staff—Agency enforcement history
Request Additional Informationfrom Facility (if necessary) andDetermine Applicability of Regulations
Follow Agency Procedures forIssuing Enforcement ActionAgainst Facility
1.
3.
5.
2.
4.
6.
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 7 13
Module 7
P2 Information Resourcesoverhead 12
■ Internal resources include:
■ External resources include:
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 11 14
Less Resources
Company proposes P2 project.Agency negotiates timeframes and a few milestones.
Agency reviews info to help company develop P2 project proposal.Agency negotiates substance of project, time-frames and milestones.
More Resources
Agency completes research and thorough company review to develop P2 project proposal.Agency negotiates sub-stance, timeframes, and milestones.
Enforcement — P2 Resource Demand Continuum
Negotiation of P2 in Settlementoverhead 13
Module 11
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 11 15
Less Resources
P2 milestones tracked by Agency simply as compliance milestones of the settlement during the enforcement period.
Agency reviews and approves defining aspects of the project as well as milestones during the enforcement period.
More Resources
Agency reviews and approves operational aspects (e.g., evaluation of alternatives), defining aspects, and milestones during the enforcement period.
Enforcement — P2 Resource Demand Continuum
Oversight and Implementation of P2 Settlementoverhead 14
P2 in Regulatory Enforcement at Commercial and Industrial Facilities Module 11 16
Low P2 ResourceExpenditure Increases:
(+) No. of cases that Agency can complete(+) Possible total penalty dollars assessed
(if penalties mitigated for P2 outcomes)
(+) Focus on regulatory and enforcement basics
High P2 ResourceExpenditure Increases:
(–) Demand on Agency staff resources(+) Staff knowledge and involvement in
P2 options and industrial processes(+) P2 and other data from facilities(+) Assurances of P2 consideration by
more facilities(+) Possible cost-savings by industry for
implementing P2 return-to-compliance (long-term benefit to economy)
(+) Future noncompliance possibly avoided
Enforcement — P2 Resource Demand Continuum
Trade-Offs in Value to Agencyoverhead 15
Surface Coatings
Overhead #
Module 21 The Coating Process ............................. 2
2 Process Steps ......................................... 3
I-1 Preparation & Application Methods ...4
Preparation & Application Methods ...5
I-2 Curing & Process Support ...................6
3 Two-Stage Primer Topcoat System ......7
4 Pretreatment Processes ........................8
5 Process Input-Output Analysis ............9
6 Coating Process Regulation ............... 10
Module 37 Adhesion, Phosphating and Rinsing .11
8 Adhesion ............................................. 12
9 Adhesion — Corrosion ...................... 13
10 Adhesion — Contaminants ............... 14
11 P2-Options ..........................................15
12 Phosphating ........................................ 16
13 Phosphating ........................................ 17
14 Cleaning and Rinsing .........................18
15 Pretreatment Processes ...................... 19
16 Counter Current Rinsing ...................20
17 Sealing after Phosphating ..................21
18 Wash Primer ....................................... 22
Module 640 Viscosity Control ................................44
41 Solvent Reduction & Viscosity ........... 45
42 Solvents & Viscosity ........................... 46
43 Viscosity and Temperature ................ 47
Module 944 Electrostatic Powder Coating .............48
45 Electrostatic Spray Gun ...................... 49
46 Powder Fluidized Bed .........................50
47 Supercritical CO2 ....................................... 51
48 Supercritical CO2 ....................................... 52
49 Radiation Cured Coatings ................. 53
50 Ultraviolet Curing System ................. 54
51 Radiation-Cured Coatings ................. 55
Module 1052 Minimizing Gun & Line Cleaning ..... 56
53 Minimizing Gun & Line Cleaning ..... 57
54 Paint Stripping ....................................58
Module 419 Conventional Spray ............................23
20 Spray Bounce-back .............................24
21 HVLP Spray ........................................25
22 Airless Spray .......................................26
23 Air-Assisted Airless .............................27
24 Electrostatic Spray ..............................28
25 Electrostatic Spray ..............................29
26 Expected Transfer Efficiency ..............30
27 Transfer Efficiency ..............................31
28 Transfer Efficiency ..............................32
29 Transfer Efficiency ..............................33
30 Financial Implications ....................... 34
Module 531 Coating Composition Basics ..............35
32 Resin Types .........................................36
33 Pigments .............................................37
34 Coating Terms ....................................38
35 Typical Coatings .................................39
36 Water-Borne vs High Solids SolventBorne Coatings ................................... 40
37 Air/Force Dry Versus Bake ................. 41
38 Water & Solvent Borne Coatings .......42
39 Comparing Systems ............................43
Surface Coatings
Overhead #
Module 21 The Coating Process ............................. 2
2 Process Steps ......................................... 3
I-1 Preparation & Application Methods ...4
Preparation & Application Methods ...5
I-2 Curing & Process Support ...................6
3 Two-Stage Primer Topcoat System ......7
4 Pretreatment Processes ........................8
5 Process Input-Output Analysis ............9
6 Coating Process Regulation ............... 10
Module 37 Adhesion, Phosphating and Rinsing .11
8 Adhesion ............................................. 12
9 Adhesion — Corrosion ...................... 13
10 Adhesion — Contaminants ............... 14
11 P2-Options ..........................................15
12 Phosphating ........................................ 16
13 Phosphating ........................................ 17
14 Cleaning and Rinsing .........................18
15 Pretreatment Processes ...................... 19
16 Counter Current Rinsing ...................20
17 Sealing after Phosphating ..................21
18 Wash Primer ....................................... 22
Module 640 Viscosity Control ................................44
41 Solvent Reduction & Viscosity ........... 45
42 Solvents & Viscosity ........................... 46
43 Viscosity and Temperature ................ 47
Module 944 Electrostatic Powder Coating .............48
45 Electrostatic Spray Gun ...................... 49
46 Powder Fluidized Bed .........................50
47 Supercritical CO2 ....................................... 51
48 Supercritical CO2 ....................................... 52
49 Radiation Cured Coatings ................. 53
50 Ultraviolet Curing System ................. 54
51 Radiation-Cured Coatings ................. 55
Module 1052 Minimizing Gun & Line Cleaning ..... 56
53 Minimizing Gun & Line Cleaning ..... 57
54 Paint Stripping ....................................58
Module 419 Conventional Spray ............................23
20 Spray Bounce-back .............................24
21 HVLP Spray ........................................25
22 Airless Spray .......................................26
23 Air-Assisted Airless .............................27
24 Electrostatic Spray ..............................28
25 Electrostatic Spray ..............................29
26 Expected Transfer Efficiency ..............30
27 Transfer Efficiency ..............................31
28 Transfer Efficiency ..............................32
29 Transfer Efficiency ..............................33
30 Financial Implications ....................... 34
Module 531 Coating Composition Basics ..............35
32 Resin Types .........................................36
33 Pigments .............................................37
34 Coating Terms ....................................38
35 Typical Coatings .................................39
36 Water-Borne vs High Solids SolventBorne Coatings ................................... 40
37 Air/Force Dry Versus Bake ................. 41
38 Water & Solvent Borne Coatings .......42
39 Comparing Systems ............................43
Surface Coatings Module 2 2
The Coating Processoverhead 1
Surface prep. Application & Curing
Process support
Un-coatedproduct Coated product
• cleaning• stripping
• equip. cleaning• maintenance• inv. control
Surface Coatings Module 2 3
Process Stepsoverhead 2
Surface Pretreatment
Application Methods
Curing Methods
Process Support
Surface Coatings Module 2 5
Preparation & Application Methodsoverhead I-1
Preparation Application
■ phosphatizing ■ spray
■ caustic cleaning ■ powder
■ acid cleaning ■ roll
■ thermal cleaning ■ flow
■ deburring ■ curtain
■ electrostatic
Surface Coatings Module 2 6
Curing & Process Supportoverhead I-2
Curing Methods Process Support
■ air dry ■ gun cleaning
■ baking oven ■ line cleaning
■ radiation (UV/IR) ■ maintenance
■ vapor-injection
■ two-component
Surface Coatings Module 2 7
Two-Stage Primer Topcoat Systemoverhead 3
Welding and Fabrication
steam cleaning incoming rawmaterial
dry-off ovenmetal pretreatment priming spraybooth
curing oven
curing ovencuring ovenprepping area
vapor degreasing
assembly area
Surface Coatings Module 2 8
Pretreatment Processesoverhead 4
C. Schematic of typical conversion coating process for aluminum work pieces.
A. Schematic of three-stage iron phosphating process.
B. Schematic of five-stage iron or zinc phosphating process.
degrease (hot)
1
water rinse(ambient)
2
deoxide(120°F)
3
water rinse(ambient)
4
chromate ornonchromat
conversion coating
5
water rinse(ambient)
6
seal rinse(ambient)
7
degrease (hot)
1
water rinse(ambient)
2
iron or zincphosphate (hot)
3
water rinse(ambient)
4
seal rinse(ambient)
5
degrease/ironphosphate (hot)
1
water rinse(ambient)
2
seal rinse(ambient)
3
Surface Coatings Module 2 9
Process Input-Output Analysisoverhead 5
Process Inputs Process Outputs Process Losses
SurfacePreparation
Application andCuring
ProcessSupport
Surface Coatings Module 3 11
Adhesion, Phosphating and Rinsingoverhead 7
Adhesion
■ prevents corrosion and coating failure
Cleaning
■ promotes coating-substrate adhesion
■ removes oil, grease, scale, welding byproducts, etc.
Phosphating
■ cathodic protection against corrosion
■ surface for coating to adhere to
Module 3
Surface Coatings Module 3 12
Adhesionoverhead 8
Adhesion Threats
■ metal: corrosion
■ plastics: mold releases (waxes & silicon)
Right-First-Time
■ avoidable costs: labor, materials, energy, time
■ reduce waste: strippers, coating, energy, etc.
rust
moistureoxygen
Surface Coatings Module 3 13
Adhesion — Corrosionoverhead 9
Electrochemical Process
■ in electrolyte, iron dissolves (anodes) to form iron ions (Fe+)
■ electrons from iron react w/ H2O and O2 to form OH- (cathodes)
■ reaction between Fe3+ and OH- forms Rust (Fe2O3)
■ corrosion rate = f (difference in oxidation potential) e.g. Cu & Fe
Corrosion Prevention
■ C2 and moisture barriers
■ superior adhesion to restrict anode-
cathode flow
■ sacrificial or cathodic protectionanodearea
cathodearea
iron ions rust
Surface Coatings Module 3 14
Adhesion — Contaminantsoverhead 10
1. Oil & Grease
■ prevent wetting if surface tension of coating is > oil or grease
2. Scale (oxides)
■ flaky film, can act as a cathode, contains electrolytes (acid, base, etc.)
3. Welding Byproducts
■ slag: contain corrosive substances
■ spatters: irregular profile, may protrude
■ seam: alkaline
slag weld spatter
Surface Coatings Module 3 15
P2-Optionsoverhead 11
1. Material Storage
■ indoor storage prevents corrosion
2. Protective Coating
■ rolling oils, corrosion preventatives
■ compatible with simple cleaning steps
3. Just-in-Time Delivery
■ reduce chance of corrosion in storage
■ many other benefits
Surface Coatings Module 3 16
Phosphatingoverhead 12
Types: Purpose:■ iron phosphate “increase coating adhesion by■ zinc phosphate reducing electrolytic corrosion■ wash primers reaction”
Enhances Performance:barrier to oxygen & moisturedielectric film (insulator)rough surface for gripping
Tradeoffsa. adds costs — extra step, labor & chemicalsb. applicable to high value added partsc. not used on plastics
Surface Coatings Module 3 17
Phosphatingoverhead 13
iron zinc comments
conc: 3 – 5% 3 – 5% range important
temp: 120 – 140; 90°F 120 – 140; 90°F deposition = f(temp)
pH (spray): 3 – 6 1.8 – 2.4 precipitation = f(pH)
pH (imm): 3–6 3.0
iron phosphate25-80 mg/ft2
zinc phosphate100-1,000 mg/ft2
■ immersion deposition■ spray deposition
Surface Coatings Module 3 18
Cleaning and Rinsingoverhead 14
Reducing/eliminating the need to clean
■ compatible protective oils and coatings
■ redesigning parts
Cleaning prior to phosphating key
■ alkaline type, easily rinsed
Rinsing
■ reduce pH of metal prior to phosphatizing
■ minimize alkaline salts & grime contaminating phosphating bath
■ excess phosphates that effect primer
Surface Coatings Module 3 19
Pretreatment Processesoverhead 15
C. Schematic of typical conversion coating process for aluminum work pieces.
A. Schematic of three-stage iron phosphating process.
B. Schematic of five-stage iron or zinc phosphating process.
degrease (hot)
1
water rinse(ambient)
2
deoxide(120°F)
3
water rinse(ambient)
4
chromate ornonchromat
conversion coating
5
water rinse(ambient)
6
seal rinse(ambient)
7
degrease (hot)
1
water rinse(ambient)
2
iron or zincphosphate (hot)
3
water rinse(ambient)
4
seal rinse(ambient)
5
degrease/ironphosphate (hot)
1
water rinse(ambient)
2
seal rinse(ambient)
3
Surface Coatings Module 3 20
Counter Current Rinsingoverhead 16
Counter current rates for parts with a 1 gal/min drag-in:
dilution ratio stage 1 stage 2 stage 3
degrease (hot)
1
CCR(ambient)
2
iron or zincphosphate (hot)
3
CCR(ambient)
4
di rinse(ambient)
5
process flow
counter current rinse flow
Surface Coatings Module 3 21
Sealing after Phosphatingoverhead 17
Hardens the deposited phosphate coating
Chromate based (contains Cr 3+ and Cr6+)
■ fills phosphate voids
■ chemical reaction with base metal
■ rinsing and treatment often required
Non-chromate based (polymer sealer)
■ form a protective layer over exposed areas (no reaction)
■ post sealer rinse not required
Surface Coatings Module 3 22
Wash Primeroverhead 18
Alternative to phosphates
VOC’s 6.5g/l
■ ethyl alcohol or IPA
■ phosphoric acid
■ zinc chromate
■ water, pigments, resin
water-borne < 3.5 g/l
Surface Coatings Module 4 23
Conventional Sprayoverhead 19
Compressed air atomized paint
Pressures range from 40 to 70 psi
Advantages
■ high production rates
■ excellent atomization — high quality finish
Disadvantages
■ extensive overspray
■ booth clean-up cost
■ filter clean-up cost
■ high VOC and HAP emissions
Module 4
Surface Coatings Module 4 24
Spray Bounce-backoverhead 20
Exploding and blasting effects cause turbulence resulting in: overspray,
migration, bounceback
HVLPLVHP
Surface Coatings Module 4 25
HVLP Sprayoverhead 21
Compressed air atomizes paint @ 10 psi
Advantantages Disadvantages
■ sprays well in recesses/cavities ■ atomization unsufficient for
■ reduced paint waste fine finishes
■ lower booth clean-up costs ■ lower production rates
■ lower filter replacement costs
■ lower overspray, VOC, and HAPs
Surface Coatings Module 4 26
Airless Sprayoverhead 22
■ high fluid pressure (500 to 6,500 psi)
■ no pressurized air flow
Advantages Disadvantages
■ high rates of paint flow ■ relatively poor atomization
■ relatively high transfer efficiency ■ expensive nozzles
■ gun handling versatility ■ reduced fan pattern control
■ can apply highly viscous fluids ■ tendency for tip plugging
■ skin injection danger
■ increased operating training
required
■ increased maintenance required
Surface Coatings Module 4 27
Air-Assisted Airlessoverhead 23
■ ~150 to 800 psi of fluid pressure
■ 5 to 30 psi of compressed air
Advantages Disadvantages
■ good atomization ■ capital cost
■ varied fluid delivery ■ skin injection danger
■ low bounceback ■ increased operating training
■ increased maintenance
Surface Coatings Module 4 28
Electrostatic Sprayoverhead 24
■ atomized paint droplets charged at gun tip
■ part electrically neutral
Advantages Disadvantages
■ uniform film thickness ■ guns tend to be bulky
■ good wrap around and delicate
■ good edge cover ■ extra cleanliness essential
■ high transfer efficiency ■ faraday cage effect
■ safety/fire hazard
■ parts must be conductive
■ high equipment and
maintenance costs
Surface Coatings Module 4 30
30 40 50 60 70 80 90 100
Expected Transfer Efficiencyoverhead 26
Electrostatic, rotary
atomizer
Electrostatic, airless
Electrostatic, air atomized
HVLP
Air-assisted Airless
Conventional
Surface Coatings Module 4 31
Transfer Efficiencyoverhead 27
leading edge50% overlap dry film
thickness
lagging edge
fluid flow rate
air pressure
hook spacing
office size
spray angleemits VOC in
coating
fan width
distance to target
Transfer Efficiency
Surface Coatings Module 4 32
Transfer Efficiencyoverhead 28
A. thickness of applied film
■ 1 mil film specified; 2 mil film delivered
■ transfer efficiency = 50%
B. spray pattern
■ fan-shaped pattern versus donut~
■ if 1 mil thickness specified ~ donut
wastes 25% of paint
C. electrostatic faraday effect
■ edges attract extra paint
■ limits paint in recessed areas therefore
— over painting non recessed area
— manual touch-up
Surface Coatings Module 4 33
Transfer Efficiencyoverhead 29
90.080.070.060.050.040.030.020.010.0
0.0200 40 60 80 100
VC
O E
mis
sion
s
(lb.
/1,0
00ft
2 coa
ted)
Transfer Efficiency
Surface Coatings Module 4 34
Financial Implicationsoverhead 30
Annual Savings by Improving TE from 30% – 45%
Costs w/ Costs w/ Savings Due toTE = 30% TE = 45% TE Improvement
Cost of waste $29,649 $15,530 $14,119filters + labor
Cost of wasted $73,101 $38,291 $34,810paint
Total cost of $102,750 $53,821 $48,929waste
Surface Coatings Module 5 35
Module 5
Coating Composition Basicsoverhead 31
Four main components
■ resins (also polymer or binder)
■ solvents
■ pigments
■ additives
Surface Coatings Module 5 36
Resin Typesoverhead 32
Lacquers■ high molecular weight■ long chains attract & entangle■ highly viscous solution■ e.g. vinyls, acrylics, & chlorinated rubber
Dispersions (also emulsions or oxidizing coatings)■ high molecular weight in discrete micelles■ combine when solvent (water) evaporates■ low viscosity■ e.g. latex; resins include vinyls & acrylics
Chemically Curing■ low molecular weight polymers■ produce large MW chains upon curing
■ e.g. epoxies and urethanes
Surface Coatings Module 5 37
Pigmentsoverhead 33
Hiding Pigment
■ e.g. TiO2, red iron oxide, chromium oxide
■ add color and opacity to the coating
■ other functions: corrosion and blistering resistance, fire retardancy, and UV
protection to improve weathering
Extender Pigments
■ e.g. talc, clay, barium sulfate
■ provide neither color nor opacity
■ may control gloss, add mech. strength, or lower permeability
■ low cost material — used to adjust pigment to solvent volume
Surface Coatings Module 5 38
Coating Termsoverhead 34
■ plasticizer
■ catalyst (drier)
■ wetting agents
■ dispersants
■ biocides
■ freeze-thaw stabilizers
■ coalescents (film forming aids)
■ flow and leveling agents
■ resin (vehicle, polymer, binder)
Surface Coatings Module 5 39
Typical Coatingsoverhead 35
100%90%80%70%60%50%40%30%20%10%
0%
legend
legend
legend
Water-borneEnamels
Water-borneSpray Coatings
Electro-Deposition
PowderCoatings
High Solids
Surface Coatings Module 5 40
Water-Borne vs High Solids Solvent Borne Coatingsoverhead 36
Aspect Water-borne High Solids Coatings
VOC Emissions
Drying Factors
Film Thickness
Safety Profile
Dip Coating
Appearance Defects
Application Flexibility
Surface Preparation
Viscosity Management
Electrostatic Application
Surface Coatings Module 5 41
Air/Force Dry Versus Bakeoverhead 37
Aspect Air/Force Dry Bake
Substrate Versatility
RACT Regulations
Heating Requirements
Physical/Chemical Properties
Appearance Defects
Curing Times
Clean-up Requirements
Surface Coatings Module 5 42
Water & Solvent Borne Coatingsoverhead 38
High Solids Solvent Borne Coatings
■ lower MW polymers w/ additives to enhance x-linking
■ contain 2.3 to 3.5 lb VOC per gal
■ 50-70% solids
■ similar to low solids coatings in application, curing, and performance
■ higher viscosity
Water Borne Coatings
■ VOC content ~ 3.5 lb/gal less water
■ Contain organic co-solvent (2 to 30%) to dissolve the resin
Surface Coatings Module 5 43
Comparing Systemsoverhead 39
Assume: 1 gal of solids required to cover widget
Coating Transfer Paint SolventSolids (%) Efficiency (%) Required Emissions
(gal) (gal)
100 30 3.33 0
50 30 6.66 3.33
50 70 2.85 1.43
75 70 1.9 0.95
Surface Coatings Module 6 44
Module 6
Viscosity Controloverhead 40
Why Control Viscosity?
■ proper film thickness to control hiding
■ runs and sags
■ atomization/quality
How Do You Control Viscosity?
■ measure (Zahn cup, viscometer)
■ maintain constant booth and coating temperature
■ specify acceptable viscosity range
Surface Coatings Module 6 45
Solvent Reduction & Viscosityoverhead 41
Solvent reductions can affect different coatings differently.V
isco
sity
Reduction
Coating A
Coating B
Preferred Application Viscosity
Surface Coatings Module 6 46
Solvents & Viscosityoverhead 42
Vis
cosi
ty
Reduction
Diluent #1
Diluent #2
True Solvent
Surface Coatings Module 6 47
Viscosity and Temperatureoverhead 43
Viscosity varies with temperature.V
isco
sity
Temperature
Application Viscosity
Coating A
Coating B
Initial Viscosity
Surface Coatings Module 9 48
Module 9
Electrostatic Powder Coatingoverhead 44
Unheated substrate
Substrate or primer coat electrically conductive
High-voltage, low current (~100 kV)
Powder wraps on part — follows electric field lines
However:
■ Faraday Cage effect yields uneven powder coating
■ air ions can can become trapped
Surface Coatings Module 9 49
ground
Electrostatic Spray Gunoverhead 45
Tribocharging:
■ friction between powder and spray gun — electrostatic powder
■ substantially smaller electric field — reduced Faraday effect
■ smoother finish, thicker films possible, better coverage of intricate parts
charging electrode
part to be coated
powder
high voltagepowder wrap around
Surface Coatings Module 9 50
Powder Fluidized Bedoverhead 46
Fluid-like powder
Workpiece preheated to ~ 500F; powder melts upon contact
Used mainly for thermoplastic coatings (10–30 mils)
Electrostatic bed common also but limited to 2-D parts
air permeable membrane
part to be coated
fluidized powder
Surface Coatings Module 9 51
Supercritical CO2
overhead 47
Supercritical CO2 fluid replaces organic solvents
CO2 gas heated > 88F and compressed to ~1,100 psi
CO2 compatible with many resins, painting facilities and procedures
part to be coatedmixing valve
spray gunCoatingMaterial
CO2
Surface Coatings Module 9 52
Supercritical CO2
overhead 48
CO2 replaces solvents used to spray-apply coatings
Advantages Disadvantages
■ reduced VOC and HAP emissions ■ limited experience
■ thick coatings ■ royalty costs
■ reduced toxicity and odor ■ bulky gun and supply tubing
■ reduced hazardous waste ■ lower fluid delivery rates
■ high transfer efficiency
■ easy clean-up
Surface Coatings Module 9 53
Radiation Cured Coatingsoverhead 49
Coating sprayed on the object
Object subject to UV or EB radiation
Curing takes place almost instantaneously
Surface Coatings Module 9 54
Ultraviolet Curing Systemoverhead 50
UV Radiation Source
Air Ventilation
UV Curing Paints Wood Panels onConveyor Belt
ConveyorMotion
Surface Coatings Module 9 55
Radiation-Cured Coatingsoverhead 51
Advantages Disadvantages
■ virtually no VOC or HAP emissions ■ limited to flat or cylindrical
■ good stain and abrasion resistance materials
■ reduced toxicity and odor ■ polymers can cause skin
■ low temp, small ovens required irritation
■ reduced fire hazard ■ high raw material costs
■ increased production rates ■ no FDA approval for food
■ low energy costs (24x acrylic resin) products
■ limited use in high-build
applications
■ shrinkage and adhesion problems
Surface Coatings Module 10 56
Module 10
Minimizing Gun & Line Cleaningoverhead 52
HVLP Guns (not airless or air assisted airless)
■ turn down fluid pressure but leave valve open
■ set gun air pressure ~40 psi
■ cover orifice with cloth & pull trigger
■ air pushes fluid back into reservoir
■ flush line with small amount of solvent into grounded drum
Airless & Air-assisted Airless
■ close air compressor valve
■ remove fluid orifice carefully
■ flush air & fluid lines with solvent into grounded drum
Surface Coatings Module 10 57
Minimizing Gun & Line Cleaningoverhead 53
Enclosed gun cleaners
Disposable plastic covers
Scheduling
■ light to dark colors
■ end-of-day clean-up coincide w/ end of job
■ jobs with similar colors
Surface Coatings Module 10 58
Paint Strippingoverhead 54
Impaction Methods Thermal Methods
■ Plastic media blasting ■ Burn-off
■ Wheat starch blasting ■ Molten salt bath stripping
■ High & medium pressure washing
Abrasion Methods Cryogenic Methods
■ Baking soda blasting ■ CO2 pellet blasting
■ Liquid N2 blasting
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