IDENTIFY CURRENT RESOURCES USED WITHIN THE WORKPLACE

Introduction

The growing concern for conservation and the wellbeing of our environment is now firmly
established in the public arena. We are urged to engage in environmentally sustainable practices
both inside and outside of our homes and within our workplace.

For those who work in the tourism, hospitality and events industry our workplace has a broad
scope and dimension. The tourism, hospitality and event workplace can be an office, one of the
various means of transportation, a hotel, a caravan park, a theme park or any one of countless
manmade and natural attraction sites.

No matter what our workplace we have the responsibility of ensuring that we manage our own
behaviour in our workplace in order to support and participate in environmentally sustainable
practice.

In this first topic we will discuss how to identify current resource usagein the workplace and
measure that in terms of appropriate practice.

Identify workplace environmental and resource efficiency issues

There is a great deal of literature and information available that can provide a basis for you to
identify environmental and resource efficiency issues in your workplace. It is suggested that you
research such information, as it relates to your particular tourism, hospitality and events
workplace, and prepare a checklist of all those factors that may be relevant, and formulate
appropriate questions in order to obtain concise and incisive information. You will then use the
checklist as a tool to keep you focused on the task as you seek to identify issues.

Generally speaking the issues that arise in most workplaces are related to finding ways to
minimise environmental risks such as waste and pollution and maximise the organisation’s
ability to improve its environmental performance.

The management of waste is an issue in every tourism, hospitality and events workplace. The
type and amount of waste will vary e.g. from paper in an office to the rubbish that results from
an event. Each year we are witness to the massive clean up that certain councils in Sydney need
to perform after events such as the Christmas Day Event at Bondi Beach, the Big Day Out and
Carols in the Domain.

Despite the wide range of types of waste, the Waste Management Hierarchy can be utilised to
guide and direct activities that are environmentally responsible. The Waste Management
Hierarchy is a nationally and internationally accepted guide for prioritising waste management
practices with the objective of achieving the optimal environmental outcome. It sets out the
preferred order of waste management practices from the most preferred to the least preferred.

We can recycle or reuse, reduce or avoid altogether. According to the hierarchy, reuse requires
less energy than recycling. We have already established outlets for reuse and we can build upon
these.

Reducing waste refers to designing waste out before it is created. For example we can design our
product in such a way that we actually think about what we can cut out that would ultimately
become waste. Perhaps we could cut out more of the paper used in producing office documents
or prepare environmentally friendly food and survival packs for clients undertaking treks or
walks, which participants will be required to purchase in lieu of taking their own supplies.
Avoiding waste is the ultimate challenge – the highest point in the hierarchy.

In your workplace you will be seeking to identify environmental and resource issues as they
apply in the particular tourism, hospitality and event context. You will be looking for evidence of
efficient energy use, efficient water use and the demonstrated support for and understanding of
what factors constitute environmentally efficient workplace practice. Of course, what you might
actually identify is inefficient usage of resources. SAMPLE

Identify resources used in own work role

Having identified environmental and resource issues in the context of the organisation, and
having gained some insight into the scope of same, it is now appropriate for you to conduct an
assessment of the resources that are used by you in your work role and your own approach to
environmental efficiency.

If you work in an office environment, you may consider such things as all paper, cardboard,
glass and plastic containers, toner cartridges and mobile phones. What do you do when these are
used? Do you order environmentally friendly resources? You might also consider electronics,
fluorescent tubes, and food waste and so on and how the residue from these is disposed of.

You will be asking whether the resources you use on a daily basis are being used as effectively
as possible. Do you actually need all the materials and resources you use? Could the resources be
replaced with recycled materials or other more eco-friendly systems? Could you change your
work practice to reduce the use of materials and resources?

If you work in another of the other tourism, hospitality and event industry businesses, the
resources you use on a day-to-day basis may consist of the land, flora and fauna, the powering
and maintenance of rides at an attraction or fair, the linen and napery in a hotel or the materials
used to make exhibits for a trade show or other event.

In each of the above examples there will be efficiencies that can be made to reduce waste.
Exhibition material is an area of great wastage where stands and displays are made just for one
event. Think of how this problem could be addressed by an event organisation in terms of the
waste management hierarchy.

IMPROVING RESOURCE EFFICIENCY IN YOUR BUSINESS

EPA Victoria has assembled a range of hints and tips aimed at assisting you to improve the
resource efficiency inyour business.
These tips will help identify ways to improve business environmental performance while
increasing productivityand reducing costs of production. Resource efficiency is often a
cheap and fast way to solve problems asreducing waste will reduce the size and cost of any
subsequent treatment process and/or disposal costs.
Your business can look forward to:
• Increased cost saving
• Process efficiency
• Improved occupational health and safety management
• Enhanced shareholder relations
• Improved reputation.
The hints and tips have been grouped for ease of reference and the broad categories are listed
below. They areintended to help you focus on specific areas in your business and guide your
subsequent actions.
The impacts of any actions on other resources should always be assessed prior to
implementation. Please use thisdocument in conjunction with the Environment Resource
Efficiency Program Toolkit, which can be found on EPA

WASTE ASSESSMENT
If it's your factory, it's your waste and it's your money!
One way of assessing your current environmental performance is to conduct a waste assessment.
A waste assessmentwill help you to better understand where your efforts will gain most value.
What is the purpose of a waste assessment?
The main aims of a waste assessment are to:
• Identify each waste stream on or leaving the site.
• Quantify and characterise each waste stream to establish benchmark data.
• Establish how and why each waste stream is generated.
• Calculate costs incurred with treatment, storage, handling and disposal of wastes, including
quantifyingassociated labour, energy, water and lost raw material costs where possible.
• Determine liabilities associated with waste generation.
• Identify options for more efficient and effective waste management (for example identify
reduction/diversionopportunities).
What's involved?
The following are the key tasks involved in a waste assessment:
• Select waste assessment team — this should include at least one company employee.
• Determine audit scope — this depends on size of assessment required and parameters set.
• Collect available data.
• Identify and characterise waste streams.
• Evaluate data.
• Identify and prioritise options.
• Prepare a report and plan of action.
What happens?
There are three main stages involved in a waste assessment. These are:
1. Preliminary assessment – aims to identify major environmental issues, major opportunities for
improvementand major economic issues.
2. Detailed study and improvement plan – aims to find the best options for minimisation in the
site.
3. Monitoring and review – aims to monitor and confirm the indicators and targets previously
established.
Waste involves the manufacture and discharge or disposal of things that cannot be sold at a
profit. The cost ofwaste management and disposal is almost always much less than the
value entrained in the waste. By finding the lost dollars, you will identify the waste
reduction and profit increasing opportunities.

IMPROVE PURCHASING
Cleaner production starts with cleaner procurement
By improving your purchasing, your resource use and waste output will be reduced. Buying
recycled materials canreduce the amount of waste sent to landfill.
Improve purchasing to...
Reduce waste production
• Match package quantities to your batch sizes to avoid over ordering of raw materials.
• Investigate whether a different raw material would produce less waste.
• Set environmental standards for your suppliers, their products and services, and request
substantiation of their claims. There should be no premium for this.
• Check for damaged or tainted goods when received as these are a source of costly waste.
• Ask your suppliers to accept their empty drums in return for full ones.
Reward waste minimisation
• Purchase recycled materials where possible, if you do not 'buy recycled', you're not recycling.
• Give preference to products that are designed for long life, are reusable or recyclable, and are
made andpackaged with minimum material.
• Consider service contracts with a definable process outcome (for example, a clean, safe,
efficient coolingtower) rather than chemical inputs regardless of effect.
• Ask your supplier to help you reduce chemical usage, and share the savings.
• Produce efficiency benchmarks for the use of raw materials with the help of your suppliers.
• Avoid buying new products or services, which will increase the risk to your business.
IMPROVING STORAGE
Improvements can be made to...
Storage
• Only store what you need. Good inventory management can save money.
• Keep all storage areas uncluttered, clean and clearly labelled.
• Ensure that materials in storage cannot collect, contaminate or mix with rainwater.
• Ensure storage tanks, including those underground, are not leaking.
• Store all materials and wastes in separate clearly designated areas.
• Store hazardous materials undercover and on a sealed surface, ideally in a bunded area. A bund
is a humparound a work or storage area that prevents oil, water, and other fluids from escaping to
stormwater drains.Bunds are usually permanent installations made from concrete or steel, but
they can also be portable plastic or rubber construction.
• Keep storage areas well ventilated.
• Ensure chemicals cannot react with others stored nearby. For example, battery acid should not
be stored beside brake fluid as they can react violently.
• Ensure that your store always operates on a ’first in, first out’ basis, so that old materials and
packages do not accumulate in your store.
• Check expiry dates for all stored materials.
• Use drum pumps and/or tilters to completely drain drums before their return to the supplier,
alternatively triple rinse drums and other containers and recycle them.
• Avoid keeping empty containers, unless they have a specific use.
• Establish clearly signed, segregated areas for appropriate storage of all equipment, materials
and wastes.
• Ensure storage of materials only occurs in designated areas.
Housekeeping
• Establish and enforce standards for housekeeping.
• Identify activities that add value to your business to improve time efficiency.
Minimise waste
• Only stockpile wastes if this enables more cost effective recycling.
• Avoid accumulation of unnecessary items – if you do not need it, get rid of it.
• Ensure all employees are responsible for the waste they produce.
• Make sure your staff know what to do with any wastes they produce.
• Look at what other industries, or companies within your industry, are doing.
Spill response
• Keep a spill kit easily and quickly accessible in your chemicals storage area.
• Ensure spills are cleaned immediately with a spill kit, and recycled or disposed of correctly.
If you manage storage properly you can improve workplace safety, reduce risks to the
environment and save money through reduced storage losses.
CONSERVING ENERGY
Using less costs less
If you reduce your energy consumption you can save money and reduce greenhouse gases caused
by burning fossil fuels.
Improvements can be made...
In the workplace
• Turn off all lights and equipment when they do not need to be operating.
• Use energy efficient office equipment and power saving functions where they will be most
effective.
• Use the most efficient motors, make sure equipment is the right size for the job, that is, not too
big.
• Use the most efficient lights — triphosphor tubes are cheaper to run than fluorescent lights.
• Replace incandescent globes with fluorescent tubes to save power as well as reduce air
conditioning loads and reduce labour needed to change globes.
• Install skylights in the roof or walls to reduce the need for artificial lighting.
• Minimise expenditure on space heating. At 20 °C, a 1 °C increase can cost about 20 per cent
more.
• Insulate rooms to minimise energy waste.
• Fit self closing doors to reduce heat (or cold) loss from draughts.
• Consider installing a co-generation plant to reduce energy costs and increase energy efficiency.
• Minimise the use of hot water as it costs much more than cold water.
In the process
• Improve insulation of all hot process items and steam lines to minimise simple heat loss.
• Remove frost on refrigerated coolant lines through better insulation. This will keep the ice
where you need it
and where it can add value to your business.
• Avoid steam leaks. A 1 kg/min steam leak costs about $1/hour and $2/hour in an air-
conditioned space.
• Find ways to transfer heat from hot process streams into cold streams.
• Ensure your boiler is tuned properly and that blowdown losses are minimised. Improved
feedwater quality (for example rainwater) may help reduce blowdown losses.
• Require suppliers to quote the energy consumption and costs of a new piece of equipment.
When choosing energy sources
• Investigate alternative energy sources such as solar hot water, waste, bio-ethanol and wind
energy.
• Use a clean fuel such as LPG or methanol.
• Use fuels with the least greenhouse impact.
•
Methane LEAST
||
LPG |
||
Oil |
||
Diesel |
||
Black coal |
||
Brown coal MOST
CONSERVING WATER
Don't spend money like water, spend water like money
The way you use it or waste it, water is in your hands...
To save water...
Reduce
• Determine the minimum volume of water you need. Compare your performance to others and
make improvements where possible.
• Fix dripping taps and leaking pipes — a dripping tap wastes more than $100 a year.
• Install water saving accessories around your business, contact your local water authority for
ideas.
• Compare water usage on volume per unit production, not per unit time (for example, use
litres/bottle of soda, not litres/minute).
• Avoid using water wherever possible — use a dry technique such as a broom, vacuum cleaner
or compressed air jet.
• Use a dry method as a materials conveyor instead of water.
• Use counter flow rinsing with as many rinse stages as possible, as most contaminants are
removed in the first rinse. Two short rinse stages are much more water efficient than one long
one.
• Minimise contaminant ‘drag out’ to additional rinse stages by optimising your counter flow
rinse system.
Reuse
• Determine the cheapest way to treat wastewater. It may be more profitable to treat the water for
reuse rather than disposal.
• Investigate the possibility of rainwater harvesting for use as boiler feed or cooling tower
makeup. This can be a cost effective way of reducing water related costs such as reducing the
size of drainage systems in new structures.
• Account for all losses involved in the disposal of water. Heat, chemicals, labour and plant
capacity may also be thrown away.
• Consider using wastewater for lower grade uses where water quality does not have to be so
high (check, however, that it does not compromise product quality).
PRESERVING WATERWAYS
To preserve the waterways...
Protect the drains
• Ensure that all stormwater drains and sewer entry points are correctly and clearly marked, and
protected where appropriate.
• Ensure that all staff know the difference between stormwater and sewer.
• Fit litter traps onto stormwater inlets to stop rubbish going to the local creek.
• Identify stormwater drains to reduce accidental discharges to the local creek.
• Prevent sediment from construction sites entering stormwater drains by using straw bales or
fabric filters.
• Ensure that all waste streams including wash pads, triple interceptor traps, and filter separators
are not connected to stormwater drains but are connected to the sewer, where appropriate, in
accordance with the trade waste agreement with your sewer authority.
• Make sure all rainwater downpipes connect to stormwater and not to the sewer.
• Prevent contamination of rainwater by roofing over areas where spills can occur.
Control washing and spills
• Avoid washing equipment, transferring chemicals, opening liquid containers and filling tanks
where spillage could flow to a creek or stormwater drain.
• Use a broom and dust pan (that is, dry methods) instead of hosing down paved areas.
• Keep large exterior work areas clean to significantly improve water quality.
• Never tip oils, paints, solvents or any pollutant onto the ground or down a drain.
• Prevent spilt materials or wastewater from flowing into stormwater drains.
• Store wastes, oils and chemicals where spills cannot contaminate stormwater.
• Ensure your staff can quickly and effectively block your stormwater drains in an emergency.
• Be prepared for spills and respond to them immediately (do not hose them away).
• Use a tray or bucket to catch spills under work areas.
• Keep machinery clean to identify and rectify faults or leaks.
• Keep a spill kit on site for cleaning up any spills.
Unless you ensure that only clean stormwater flows from your site you could be causing
pollution in nearby creeks and rivers.
REDUCING WASTE
Segregated waste can often be recycled and may be a valuable product for another business
Remember the 3 Rs...
Reduce
• Quantify the waste you produce. Waste is the difference between the materials you pay for and
the materials your customer pays for.
• Account for the difference between the tonnage of raw materials and the tonnage of products
you produce.
This will allow you to identify reduction opportunities.
• Examine each process step to determine where wastes are produced and to devise measures for
waste prevention or reduction. Many wastes occur because of process inefficiency.
• Calculate the theoretical minimum waste production from your processes. You should aim to
keep within 10 per cent of this figure.
• Devise ways of reducing your waste with your employees and suppliers so they too can share in
the savings, for example rewards for employees and suppliers who reduce waste.
• Remember, your waste management contractor is a key supplier for assisting with waste
minimisation. Ask them how they can help and work in partnership.
• Keep a running tally of waste production so you can track your improvement. Make sure you
include internal wastes such as rework and recycle streams.
Reuse
• Reuse drums and containers where possible. Ask suppliers to exchange empties.
• Identify ways of reusing materials in the process at different stages, for example recirculating
cooling water.
• Identify possible ways of selling your waste to other organisations for their production
processes. This information can be found through Sustainability Victoria.
Recycle
• Segregate wastes wherever possible — this will aid recycling and provide an indication of why
waste is forming (do not mix waste streams).
• Investigate alternative uses for organic waste that cannot be reduced or reused, for example
compost or convert the waste to energy.
• Divert recyclable wastes from the general waste bin, identify recyclers or waste disposal
contractors and organise regular collections.
• Join with neighbouring businesses to get common wastes recycled cost effectively and talk to
your waste contractor about cost off-sets by efficient serving of the area.
Less waste = less pollution = less effort = less cost
REDUCING RISK
Prevent pollution and minimise risk by...
Improving management
• Keeping up-to-date and accurate records.
• Regular maintenance programs.
Assessing chemical use
• Substituting toxic materials with non-toxic materials where possible.
• Insist on a material safety data sheet (MSDS) from suppliers before accepting and new batches
of chemicals.
This will explain the safety and environmental measures that are required to store and use the
product properly.
Training
• Train staff to handle materials as directed by the information on the MSDS.
• Ensure staff know who to contact if they encounter an environmental problem beyond their
capability.
• Provide adequate training to employees in all aspects of their roles including environmental
management skills and obligations.
Using correct storage techniques
• Ensure lighting is adequate to avoid accumulation of mess and to allow fault detection.
• Store materials where a spill cannot contaminate the soil.
• Store liquids indoors or undercover, on a sealed surface and within a bunded area.
• Store oils and chemicals in closed containers.
• Maintain stock levels of raw materials and wastes below one month's production needs.
• Keep a list of all chemicals stored, together with their material safety data sheets MSDS.
• Ensure chemicals cannot react with others stored nearby. For example, acids should not be
stored beside alkalis as they can react together violently.
• Include planning for fire and other emergencies when planning storage locations.
Correct handling and disposal techniques
• Make sure you know where every type of waste should go – talk to your waste contractor,
neighbouring companies or contact EPA if you are unsure of your environmental responsibilities.
• Develop a management or removal plan for any asbestos or polychlorinated biphenyls (PCBs)
that maybe in the structure or equipment of your factory.
• Dispose of materials using a reputable and correctly licensed contractor.
• Ensure unwanted substances are disposed of promptly, in accordance with EPA guidelines.
• Organise a specialist contractor to remove old/suspect stock.
• Develop handling methods for chemicals that minimise potential for spillage.
• Ensure that all staff have an appropriate level of induction and operational skills training to
fulfil their duties safely and efficiently.
By identifying the risks in your business due to the storage of oils, fuels and chemicals, the
potential costs and chance of air, water or soil pollution can be reduced.

IMPROVING INFORMATION
Improvements can be made to...
Measurement
• Measure and track your usage rates for energy, water and ingredients.
• Ensure that your suppliers measure, and are accountable for, the quality of their product or
service, including environmental impacts.
• Define the optimum start up conditions for each process, and train staff to minimise start up
losses.
• Measure what you sell or package and ensure you do not give your product away.
• Assess your environmental performance regularly.
Recording
• Keep maintenance/material safety data sheet manuals in an easily accessible place (and keep
them up-todate).
• Keep current records up to date and manage your historical records effectively.
Reporting
• Devise reports in terms of products that you sell. For example, litres of water per tonne of
product, or kilograms of waste per tonne of product.
• Track usage rates of raw materials, for example, product yields, number of spills and waste
output rates.
• Develop a system to record your measurements, and determine full cost attribution for each
waste product (that is, know how much each waste really costs).
• Be consistent when taking and recording measurements.
• Establish regular reports for major resource consumables including water and energy. Report
all consumption by a per unit production basis, not by time (for example, litres of water/unit of
production not litres of water/minute).
By measuring the rate at which resources are consumed and wastes produced, you will be
able to manage improvement in your business, particularly in increasing efficiency and
reducing waste…and proving it!

IMPROVING SYSTEMS
Managing compliance is managing waste, managing efficiently will ensure compliance
By developing and documenting sound work systems and procedures (such as an environmental
management system), you can ensure that you are in control of your business and are less likely
to experience failures, unexpected wastage or non-compliances.
Improvements can be made to...
Systems management
• Identify and assess environmental impacts of your business activities – a good way to start is to
conduct a waste assessment.
• Review the effectiveness of all existing controls and work instructions.
• Identify what issues that need to be addressed and what practices need to be changed, and
record this information.
• Develop an effective waste management plan as a minimum.
• Devise procedures and plans to reduce environmental impacts.
• Establish an environmental policy (that is achievable in your business) and communicate it to
staff and external stakeholders such as suppliers and customers.
• Consider integrating environmental management activities into existing systems such as quality
and/or safety.
• Plan for emergencies, develop contingency plans for potential incident scenarios.
• Measure and monitor your environmental performance on a regular basis.
• Involve staff, suppliers, customers, local community and other stakeholders in developing a
long-term environmental improvement plan for your business.
• Consider establishing an environmental management system to ISO 14001 standard.
Staff responsibilities
• Ensure environmental management is an integral part of your business responsibilities.
• Form a cleaner production team and nominate a team leader.
• Brainstorm with the team (and other staff if possible) to develop a list of improvement options
for eliminating or reducing wastage.
• Integrate environmental responsibilities such as for materials and energy efficiency into
position descriptions.
• Use trained staff (or train your staff if required) to undertake monitoring of environmental
performance and to review your systems on a yearly basis.
REDUCING ODOUR AND AIR EMISSIONS
There are simple ways to reduce or eliminate odour and/or other air emissions, including...
• When working with solvents and odorous materials, use a fume hood or spray booth to reduce
the vapours leaving the area.
• Closing doors and windows of the premises when using odorous materials.
• Using low odour products and materials.
• Minimising the quantities of solvents and other volatile materials used.
• Seeking advice on reducing odour emissions or other such air emission issue.
• Remembering that odours can be irritating to neighbours and other commercial/industrial
premises in the vicinity, so improve communication with neighbours to avoid conflict.
• Improving housekeeping.
• For dust, improve communication with neighbours and 'damp down' dusty surfaces/materials.
Many air emissions may be negligible in terms of quantity, but they may still provide an odour
that is irritating to others nearby.
Waste management hierarchy

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The three chasing arrows of the international recycling logo. It is sometimes accompanied by the text
"reduce, reuse and recycle".

The evaluation of processes that protect the environment alongside resource and energy consumption to
most favourable to least favourable actions.[1] The hierarchy establishes preferred program priorities
based on sustainability.[1] To be sustainable, waste management cannot be solved only with technical
end-of-pipe solutions and an integrated approach is necessary.[2]

The waste management hierarchy indicates an order of preference for action to reduce and manage waste,
and is usually presented diagrammatically in the form of a pyramid.[3] The hierarchy captures the
progression of a material or product through successive stages of waste management, and represents the
latter part of the life-cycle for each product.[3]

The aim of the waste hierarchy is to extract the maximum practical benefits from products and to generate
the minimum amount of waste. The proper application of the waste hierarchy can have several benefits. It
can help prevent emissions of greenhouse gases, reduces pollutants, save energy, conserves resources,
create jobs and stimulate the development of green technologies.[4]

All products and services have environmental impacts, from the extraction of raw materials for
production to manufacture, distribution, use and disposal. Following the waste hierarchy will generally
lead to the most resource-efficient and environmentally sound choice but in some cases refining decisions
within the hierarchy or departing from it can lead to better environmental outcomes.[5]

Life cycle thinking and assessment can be used to support decision-making in the area of waste
management and to identify the best environmental options. It can help policy makers understand the
benefits and trade-offs they have to face when making decisions on waste management strategies. Life-
cycle assessment provides an approach to ensure that the best outcome for the environment can be
identified and put in place.[5] It involves looking at all stages of a product’s life to find where
improvements can be made to reduce environmental impacts and improve the use or reuse of resources.
[5] A key goal is to avoid actions that shift negative impacts from one stage to another. Life cycle
thinking can be applied to the five stages of the waste management hierarchy.

For example, life-cycle analysis has shown that it is often better for the environment to replace an old
washing machine, despite the waste generated, than to continue to use an older machine which is less
energy-efficient. This is because a washing machine’s greatest environmental impact is during its use
phase. Buying an energy-efficient machine and using low- temperature detergent reduce environmental
impacts.[5]
The European Union Waste Framework Directive has introduced the concept of life-cycle thinking into
waste policies.[5] This duality approach gives a broader view of all environmental aspects and ensures
any action has an overall benefit compared to other options. The actions to deal with waste along the
hierarchy should be compatible with other environmental initiatives.

Relatively new activity, introduced for the first time in 2015 by IBCSD LAB Ltd. is the systematic
industrial waste prevention. The process has been named INDUSTRIAL UPCYCLING "IU" and it is
based on 6R principles, which means significant expansion of original 3R cycle. The 6R add 3 more
steps, and build strong WASTE PREVENTION tool. The 6R is abrevation for RECOGNIZE -
RECONSIDER - REALIZE - REDUCE - REUSE - RECYCLE.

In 1975, The European Union’s Waste Framework Directive (1975/442/EEC) introduced for the first time
the waste hierarchy concept into European waste policy.[6] It emphasized the importance of waste
minimization, and the protection of the environment and human health, as a priority. Following the 1975
Directive, European Union policy and legislation adapted to the principles of the waste hierarchy.

In 1989, it was formalized into a hierarchy of management options in the European Commission's
Community Strategy for Waste Management and this waste strategy was further endorsed in the
Commission's review in 1996.[7]

In 2008, the European Union parliament introduced a new five-step waste hierarchy to its waste
legislation, Directive 2008/98/EC, which member states must introduce into national waste management
laws.[6] Article 4 of the directive lays down a five-step hierarchy of waste management options which
must be applied by Member States in this priority order.[6]

Waste prevention, as the preferred option, is followed by reuse, recycling, recovery including energy
recovery and as a last option, safe disposal.

Challenges for local and regional authorities[edit]

The task of implementing the waste hierarchy in waste management practices within a country may be
delegated to the different levels of government (national, regional, local) and to other possible actors
including industry, private companies and households. Local and regional authorities can be particularly
challenged by the following issues when applying the waste hierarchy approach.[1]

A coherent waste management strategy must be set up

Separate collection and sorting systems for many different waste streams need to be established.

Adequate treatment and disposal facilities must be established.

An effective horizontal co-operation between local authorities and municipalities and a vertical co-
operation between the different levels of government, local to regional and when beneficial, also at the
national level need to established

Finding financing for the establishing or upgrading of expensive sustainable waste management
infrastructure to address the needs of managing waste

A lack of data available on waste management strategies must be overcome and monitoring requirements
must be met to implement the waste programs

The enforcement and control of business plans and practices be established and applied to maximize
benefits to the environment and human health

A lack of administrative capacity at the regional and local level. The lack of finances, information, and
technical expertise must be overcome for effective implementation and success of the waste management
policies.

Source reduction involves efforts to reduce hazardous waste and other materials by modifying industrial
production. Source reduction methods involve changes in manufacturing technology, raw material inputs,
and product formulation. At times, the term "pollution prevention" may refer to source reduction.

Another method of source reduction is to increase incentives for recycling. Many communities in the
United States are implementing variable-rate pricing for waste disposal (also known as Pay As You
Throw - PAYT) which has been effective in reducing the size of the municipal waste stream.[8]

Source reduction is typically measured by efficiencies and cutbacks in waste. Toxics use reduction is a
more controversial approach to source reduction that targets and measures reductions in the upstream use
of toxic materials. Toxics use reduction emphasizes the more preventive aspects of source reduction but,
due to its emphasis on toxic chemical inputs, has been opposed more vigorously by chemical
manufacturers. Toxics use reduction programs have been set up by legislation in some states, e.g.,
Massachusetts, New Jersey, and Oregon. The 3 R's represent the 'Waste Hierarchy' which lists the best
ways of managing waste from the most to the least desirable. Many of the things we currently throw away
could be reused again with just a little thought and imagination.
 Waste Management Hierarchy and Homeland Security Incidents

EPA Reuse and Recycling Resources

Planning for Natural Disaster Debris Guidance

EPA developed a four-tiered waste management hierarchy to guide waste management decision-making.
During any incident, an important goal of waste management should be to reduce the amount of
disposable waste and preserve valuable, limited landfill space. This goal can be met by reusing and
recycling as much material and waste as possible. Many incidents, including those involving chemical,
biological or radiological agents, may present opportunities for waste minimization, reuse and recycling
to decrease the amount of waste requiring disposal. Prior planning for potential incidents should include
identifying opportunities for waste minimization and developing criteria and options for reuse and
recycling. Options available for each type of incident should be documented in a pre-incident waste
management plan.

Reduce

Before an incident occurs, communities can take steps to reduce the amount and toxicity of incident-
generated waste. For example, the community can minimize waste and mitigate the hazards in their
neighborhoods by updating building codes or retrofitting PCB transformers. Communities can limit the
possible spread of contamination by sealing access points to the sewer or water system with drain covers.
The initial planning and preparation efforts communities take to minimize the amount and toxicity of
incident-generated waste have several environmental benefits (e.g., reducing the amount of new materials
needed to rebuild), as well as economic benefits (e.g., shortening the recovery timeline).

Reuse

Reuse refers to materials that can be used again in their original form. These items typically are not
removed from the site. Communities should evaluate their reuse program to ensure it can be scaled up to
handle incident-generated materials, if necessary. To maximize reuse opportunities for different materials
during an incident, a viable reuse infrastructure, such as end markets for salvaged products, should be in
place prior to an incident. In addition, communities should establish and document guidelines in their pre-
incident waste management plans for salvaging and reusing various materials. Risk communication
should be a part of waste-related community outreach plans to help ensure public acceptance of the
salvaged materials.

Recycle

Recycling is the process of collecting and processing materials that would otherwise be disposed of as
waste and turning them into new products. Items usually are recycled off-site. However, in some
circumstances, waste can be recycled on-site (e.g., asphalt recycling or breaking up and grinding concrete
on-site for immediate use in backfill). Communities should evaluate their recycling program for everyday
wastes to ensure it can be scaled up to handle incident-related wastes, if necessary. To maximize
recycling opportunities for different waste streams during an incident, a viable recycling infrastructure,
such as recycling facilities and end markets for recycled products, needs to be in place prior to an
incident. For example, green building programs, local waste management ordinances and building code
requirements can encourage the creation and help maintain a robust and functioning recycling
infrastructure. In addition, communities should establish criteria for recycling various waste streams. Risk
communication should be addressed in waste-related community outreach plans to help ensure public
acceptance of recycled products made from incident-related wastes.

Sustainable Materials Management: Non-Hazardous Materials and Waste Management Hierarchy

EPA developed the non-hazardous materials and waste management hierarchy in recognition that no
single waste management approach is suitable for managing all materials and waste streams in all
circumstances. The hierarchy ranks the various management strategies from most to least environmentally
preferred. The hierarchy places emphasis on reducing, reusing, and recycling as key to sustainable
materials management.

Source Reduction and Reuse

Source reduction, also known as waste prevention, means reducing waste at the source, and is the most
environmentally preferred strategy. It can take many different forms, including reusing or donating items,
buying in bulk, reducing packaging, redesigning products, and reducing toxicity. Source reduction also is
important in manufacturing. Lightweighting of packaging, reuse, and remanufacturing are all becoming
more popular business trends. Purchasing products that incorporate these features supports source
reduction.

Source reduction can:

Save natural resources,

Conserve energy,

Reduce pollution,

Reduce the toxicity of our waste, and

Save money for consumers and businesses alike.

Recycling and Composting

Recycling is a series of activities that includes collecting used, reused, or unused items that would
otherwise be considered waste; sorting and processing the recyclable products into raw materials; and
remanufacturing the recycled raw materials into new products. Consumers provide the last link in
recycling by purchasing products made from recycled content. Recycling also can include composting of
food scraps, yard trimmings, and other organic materials.

Benefits of recycling include:

 Preventing the emission of many greenhouse gases and water pollutants;

 Saving energy;
 Suppling valuable raw materials to industry;
 Creating jobs;
 Stimulating the development of greener technologies;
 Conserving resources for our children's future; and
 Reducing the need for new landfills and combustors.

Energy Recovery

Energy recovery from waste is the conversion of non-recyclable waste materials into useable heat,
electricity, or fuel through a variety of processes, including combustion, gasification, pyrolization,
anaerobic digestion, and landfill gas (LFG) recovery. This process is often called waste-to-energy (WTE).
Converting non-recyclable waste materials into electricity and heat generates a renewable energy source
and reduces carbon emissions by offsetting the need for energy from fossil sources and reduces methane
generation from landfills. After energy is recovered, approximately ten percent of the volume remains as
ash, which is generally sent to a landfill.

Treatment and Disposal

Prior to disposal, treatment can help reduce the volume and toxicity of waste. Treatments can be physical
(e.g., shredding), chemical (e.g., incineration), and biological (e.g., anaerobic digestor). Landfills are the
most common form of waste disposal and are an important component of an integrated waste
management system. Modern landfills are well-engineered facilities located, designed, operated, and
monitored to ensure compliance with state and federal regulations. Landfills that accept municipal solid
waste are primarily regulated by state, tribal, and local governments. EPA, however, established national
standards that these landfills must meet in order to stay open. The federal landfill regulations eliminated
the open dumps (disposal facilities that do not meet federal and state criteria) of the past. Today’s
landfills must meet stringent design, operation, and closure requirements. Methane gas, a byproduct of
decomposing waste, can be collected and used as fuel to generate electricity. After a landfill is capped,
the land may be used for recreation sites such as parks, golf courses, and ski slopes.

Waste Management Hierarchy

The waste management hierarchy is a nationally and internationally accepted guide for prioritising waste
management practices with the objective of achieving optimal environmental outcomes. It sets out the
preferred order of waste management practices, from most to least preferred.

The waste management hierarchy is one of the guiding principles of the Zero Waste SA Act 2004, and is
regarded in South Australia’s Waste Strategy 2015 – 2020 as a key element for guiding waste
management practices in South Australia, while still recognising the need for flexibility based on local
and regional economic, social and environmental conditions.

Higher Up the Hierarchy

The further activity moves up the waste management hierarchy, the more greenhouse gains there are to be
made.

Reuse requires less energy than recycling, although designs which are both adaptable and durable are
essential to its success. Other factors, such as the consumer desire for ‘newness’, can conspire against
reuse. There are many ways that clothes, cars, books, buildings and other materials are currently reused,
such as:

Reuse is already part of our society, so there is an existing precedent to build on.

Reduce requires less energy again, by designing out waste before it is created. Waste, in all its guises, is
an indicator that systems and processes could be designed better. It makes no sense to pay both financial
and energy/greenhouse costs for waste twice – first to create it, then to dispose of it.

Avoid is the ultimate zero waste challenge; the highest point on the hierarchy. The volume and rate at
which resources are being channelled through the human economy needs to be slowed, along with a
recognition that all our material goods have an energy 'price tag'.

To effectively address the zero waste and climate change agenda, there needs to be a move beyond
recycling into the largely uncharted territory of the higher end of the hierarchy, to reuse, reduce and
avoid, with a particular emphasis on eco-efficiency (the same or greater utility from less material input).
what is the Process of Minimizing Waste?

Every year, millions of tons of waste is generated from both households and building construction, most
of which ends up in landfills with a small percentage being recycled. Thus, there is a great need for waste
minimization as this will not only have a huge environmental impact but also present substantial
economic and social benefits.

Waste minimization entails limiting the amount of waste that is generated thereby helping to eliminate the
production of persistent and harmful wastes effectively supporting efforts that promote a society that is
sustainable. Thus, waste minimization involves a change of societal patterns that relate to production and
consumption as well as redesigning products to eliminate the generation of waste.

According to University of California,

“Waste Minimization is reduction in the quantity of hazardous wastes achieved through a conscientious
application of innovative or alternative procedures. Simple adjustments to a process producing wastes
(e.g. a teaching lab experiment, a vehicle cleaning operation, etc.) may be the only requirement to achieve
some results. However, looking at the broader picture in the University environment, it is often difficult to
recognize waste reductions due to the complex and changing growth patterns within the campus
community. Reductions are often offset by increased staff and student growth and/or building
construction.”

Benefits of Waste Minimization

While it is obvious that waste minimization supports sound business and economic practices in addition
to protecting the environment, other benefits include the following:

Improved product quality – New technological practices and innovation will not only reduce generation
of waste but also contribute to improved input quality that translates to improved products.

Economic benefits – Efficiency in product use translates to reduced costs when purchasing materials thus
significantly affecting financial performance.

Efficiency of production practices – Waste minimization will attain more output of the product for every
part of raw material.

Environmental responsibility – eliminating or minimizing generation of waste will make it easy for you
to achieve environmental policies, standards and regulations.
Public image – Embracing waste minimization will boost the reputation of your company, as it is a
reflection of proactive movement in the quest to protect the environment.

3 R’s of Waste Minimization

 Waste minimization revolves around three R’s as follows:

Reduce

This calls for using resources that are just enough to cater to your needs for instance building a smaller
house. This is an effective way of conserving resources as it also lowers the costs. This can be achieved
through attaining accuracy when ordering to ensure that there is no waste or no material is sitting on the
site for long periods that it is damaged.

Reuse

Here, you will do well to reuse existing materials and buildings effectively reducing the need for
resources while lowering waste volumes and saving money. A huge percentage of resources are
incorporated in the construction of homes owing to the mixed materials that are used yet the end
destination for most of them are landfills. Thus, renovating a house is a much better option than bringing
it down to put up another one because a negligible fraction of the old house may be reused/recycled.

Recycle

Using left over resources or those resources that have reached the end of their life minimizes the need for
new materials as well as lowers the volume that ends up in landfills. Thus, it is advisable to use materials
that are recyclable as this creates a market for the resources that are recycled while also raising the price
that recyclers pay for resources that are recovered even as the recycling viability increases.

 Waste Minimization Techniques

Optimization of resources

In order to reduce the quantity of waste that is produced by individuals or organizations calls for the
optimization of raw materials used in production. For instance, a dressmaker will do well to arrange the
pieces of pattern in a certain way along the length of the fabric to use a small portion of the fabric.

Scrap metal reuse

Incorporating scraps into the initial stages of manufacturing is a surefire way of ensuring that they do not
end up in landfills as waste products. A majority of industries embrace this process effectively returning
rolls that are damaged to the initial production line and in the manufacturing of off cuts, plastic items so
that scrap is re-incorporated in the new commodities.

Quality control improvement and process monitoring

Measures can be put in place to control the number of rejects and ensure it is at a minimum. This may be
achieved through increased frequency of inspection as well as increasing the number of inspection points.
For instance, installation of continuous monitoring device that is automated will help in identifying
production problems before they get to an advanced stage.

Exchange of Waste

Here, the waste products from one process are used as raw materials for other processes. Exchange of
waste is another means of minimizing waste disposal volumes especially for waste that may not be
eliminated.

Shipping to the point of use

Here, raw materials as well as other components are directly delivered at the point of assembly or
manufacturing plant ostensibly to minimize handling and use of enclosures and protective wrappings.

Zero waste

This systems approach is designed to eliminate waste from the source as well as at every point of the
supply chain to ensure that no waste is produced. This design philosophy places emphasis on waste
prevention and not waste management at the end of production line.

Waste Minimization for Households

Households can practice waste minimization by employing various techniques. One of the ways to
achieve this is through purchasing adequate sizes and amounts of food. Purchasing large containers of
paint when taking small decorating jobs or purchasing large volumes of food than you need will result in
wastage. In instances where cans or packs may be thrown the remains of the containers should be
removed to allow for recycling of the container.

Home composting, thoughtful use of electricity as well as reducing the number of car journeys is also a
great way of waste minimization. Generally, buying fewer products or products that last longer, mending
worn or broken equipment or clothing can also minimize household waste. Additionally, households can
also minimize wastage of water and cycle or walk to various destinations as opposed to using cars thereby
saving on fuel. Overall, personal waste reduction will have an effect on the general waste volumes.
Consumers may also shun products without eco-labeling.

Waste Minimization in Building Construction

An assessment of streams of waste shows that energy savings may be achieved at minimal cost or no cost
within the construction sector. Consequently, the environmental impact of materials may be reduced
significantly with reuse.

While at it, it is important to ensure you work with the concerned authorities that include local councils,
regional waste authorities, landfill operator or waste recycling contractors. Some of the construction
materials that may be recycled include steel, aluminum, gypsum plasterboard, timber, concrete, glass,
carpet, plastics as well as bricks and tiles.

It is important to put in place waste minimization strategies that have been agreed upon by both the
parties. A team approach is highly effective in reducing waste.

Six Practices to Help Ensure Continued Corporate Compliance

Running a business today is a far cry from what it was even five years ago. Government regulations have
mandated strict policies that have changed the way that companies staff their businesses and keep their
records. Whether HIPAA, Gramm-Leach-Bliley, Sarbanes-Oxley, FERPA, the USA PATRIOT Act, or
other compliance measures dictate your procedures, chances are good that within the past several years,
your company has had to scramble to address a multitude of requirements prior to mandated deadlines.

At times, these measures can seem bewildering. Compliance is no longer the sole responsibility of a
select few businesses. Smaller companies—which are usually subject to the same constraints as larger
organizations—have difficulty addressing regulations if they do not have the manpower or resources to
do so. Larger companies also struggle with compliance, as their infrastructure may be scattered and
regulation management may be difficult. Compliance measures sometimes vary from state to state, which
further complicates the scenario.

Failure to comply with industry regulations can result in criminal penalties (including imprisonment) for
public companies doing business in the United States. Private companies that do not demonstrate
compliance can be subject to significant civil penalties that potentially could result in substantial
monetary fees and irreparable damage to an organization’s reputation. Most compliance-related
requirements dictate the implementation of administrative, physical and technical precautions, but they do
not necessarily recommend specific measures to take.
Ideally, you are already well aware of the regulations that apply to your business. Your organization has
probably implemented control measures to facilitate compliance and has tested those controls. But once
you have achieved compliance, how can you be assured that your organization will remain compliant? In
a perfect world, compliance measures should be incorporated as part of your day-to-day business process.
Below are six suggestions to help you to achieve that aim.

1. Collaborate and coordinate.

In order to ensure continued success, it is essential that different departments work together and
communicate about whether business processes fulfill compliance requirements. Involve IT in your
compliance measures, but do not delegate it solely to your IT department. These days business processes
transcend individual departments; it is critical to have involvement from all areas that are affected by
regulations. As you implement new processes to facilitate efficiency, consider whether your existing
compliance efforts will cover those processes.

Try to identify isolated compliance measures, and determine whether you can integrate them enterprise-
wide. If different departments have implemented measures to address compliance requirements,
integrating response efforts into one approach will eliminate the incidence of redundant systems. Often,
your electronic document management system (EDMS) can be configured to use the same reporting tools
to address different compliance requirements. A coordinated, holistic strategy will be much more
effective than one made up of separate, disparate responses.

2. Evaluate security measures.

Regularly encourage people from different departments to brainstorm about hypothetical ways in which
information could be compromised, and take appropriate measures to ensure that security is not breached.
If flaws exist within your system that put your company at risk, they are probably more apparent to your
employees than to outsiders.

In order to become compliant, you probably had to examine and improve your security measures. What
procedures can you apply that will ensure future security? If your system is still paper-based, it is
important to make sure that your information will continue to be sufficiently protected in the future.
Document your security procedures and continually reevaluate them. Have you implemented a means to
authenticate who has accessed which files, and when? It is important to recognize the difficulty associated
with ensuring continued security of paper files, and to look to technology to help your business ease that
burden. Consider implementing a budgeting timeline that will help to alleviate a future transition to
electronic files.
If your organization has already transitioned to an EDMS, make sure that accessibility to sensitive
information is restricted to authorized users. The ability to monitor and report upon who has accessed
files should be inherent within your EDMS, as should the ability to alert administrators if security has
been compromised.

3. Examine privacy measures.

Privacy is inexorably linked to security. A breach in one usually results in the compromise of the other. It
is important to implement measures that eliminate the potential for protected information to be
jeopardized. Using a paper-based system, it is almost impossible to guarantee the privacy of your
customers’ information, or even that of your employees. EDMS is more secure, but again, it must have
stringent encryption and protection capabilities—especially if your company is doing business over the
Web.

4. Automate compliance measures.

One aspect of compliance involves identifying weak internal controls. A good way to improve upon those
control measures is to automate them where possible. With automation, you eliminate the potential for
human error and loss of documentation. Automation also provides a quantifiable trail, identifying each
step of the processes involved. After you have implemented, tested, and verified the validity of controls,
determine which processes can be launched into automated workflows.

Some EDMS systems even allow organizations to automate retention and destruction of documents. This
ability ensures that information that is integral to business processes will be preserved, and that non-
essential information will not consume storage space.

5. Document your efforts.

At the heart of compliance measures is corporate responsibility. Duties should be segregated, and
management should provide documented policies that outline employee responsibilities. Measures should
be implemented to ensure that requirements and ethical practices are followed.

One common mistake that organizations make is documenting processes as they should be rather than as
they currently exist. Even if there is room to improve your processes, it is important to portray them
accurately. This sets a baseline, and provides outside auditors with a well-defined picture.

6. Manage your information.

Regardless of whether your processes are paper-based or electronic, you must be able to both
access and control your information. Management will ultimately be accountable for any documentation
that is lost or misfiled. If auditors should request specific information, often it will have to be produced
within a twenty-four hour timeframe. Can your current system fulfill that requirement?

Information should be transparent; outside auditors should be able to trace and account for any financial
interactions. The challenge is to implement far-reaching controls that can fulfill these requirements and at
the same time be applied to new processes. If your organization is still using paper files, a transition to an
EDMS will significantly ease your compliance efforts.

If you have already implemented EDMS, consider strengthening your current system by incorporating
broad-spectrum controls. Do you have controls that are currently successful in isolated areas that can be
applied to your enterprise? What reporting capabilities are available with your software? Does your
current EDMS allow you to automate the capture and control of email messages? When you investigate
the benefits of indexing and automated workflow as they apply to efficiency, consider ways in which
those tools can improve your compliance measures. If you are serious about incorporating and
demonstrating ethical business practices, you can ensure the continuity of your checks and balances long
after your initial efforts to comply with regulations.

5. steps to ensur compliancy with policies and producers

Establishing effective policies and procedures does not begin and end with regulations. It takes the right
amount of collaboration, the right types of distributive mediums, and the right methods to measure
understanding. All of these things take an enormous amount of time and energy, but automating them
with a software solution can increase efficiency, and ensure compliance with your policies and
procedures. Here are 5 steps to ensure compliance, and what software features to look for to choose the
best possible solution.

1. Meet with divisional leaders to ensure the policies and procedures being created are feasible for
individual departments.

2. Determine the best format of policies for your different audiences.

3. Make Policies and Procedures easily accessible to your employees.

4. Set deadlines for each policy and procedure to be acknowledged.

5. Determine the best way to measure the understanding your employees have of policies and procedures.

How To Ensure Employees Follow Procedures—Without Babysitting Them

Employees want the freedom to do their jobs without someone breathing down their necks. For some, it
becomes burdensome when they have to follow strict and established procedures every time, but it’s gotta
be done.

As a manager, this is one great Herculean task. In a workplace where procedures haven’t been used
before, it’s hard to introduce it. Why? Humans are naturally resistant to change.

Case in point: Just try moving to a new neighborhood from an old one you’ve lived in and loved for over
ten years. You may feel awkward. You may feel excited but hesitant. You’ll probably shed a few tears.
Change is hard!

And introducing a new method of working is hard! But if your company must grow and deliver results,
then it’s what you must do. (Also, if you already have company procedures that are often ignored by
employees, then you need to find out the reason for the lack of compliance and adapt.)

It’s not as difficult as it may seem. Here are some simple ways to ensure employees follow your
established procedures without you babysitting them:

1. Write your procedures down. Assumption (they say) is the lowest level of knowledge. And as
humans, we can only recall so much. What this means is that just instructing your employees to follow
verbal procedures is ineffective.

When Paula Baake, owner and founder of Dancing Mind, wanted to systematize her company, she
created a lot of procedures. Customers weren’t getting a consistent experience, employees were “winging
it,” and resources were being wasted. She could have buckled down to do the tiresome work. Instead, she
hired someone to take on the role of writing down procedures for every single task carried out—from
welcoming customers into the studio to how to fold the face towels.

When your procedures are written down in a way that’s easy to understand and implement, you
automatically remove the opportunity for excuses.

If your procedures are perceived as extra work, employees won’t take them seriously.

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2. Re-tell employees why procedures are necessary. If your procedures are perceived as “extra work,”
employees won’t take them seriously. Give your employees a deeper reason to adhere to those
procedures. Let them know why you have procedures.
For two or three days, Paula locked herself and a group of passionate team members in a room to nail
down their values. Then when procedures were created, she helped her team realize that the purpose of
the procedures was to help deliver the mission and the values they developed. Every single line in the
procedures had a part to play in making the mission and values of Dancing Mind a reality.

When creating your own, you don’t necessarily have to go on a three-day lockdown, but make sure your
employees know how important the procedures are to your overall success.

3. Make your procedures easily accessible. Your employees have spent years and years of their lives
reading thick books to pass exams. The last thing they want is another 300 page manual full of procedures
and “things to do.” We’re in the digital age. You already use software to manage and engage your
employees so instead of making them follow rules from another thick book, make your procedures are
easily accessible to every employee—both online and offline.

When Tara Brouwer, CEO and Creative Strategist of Shovel Creative Inc., first created her procedures,
she had a hard time ensuring her employees followed them.

Since she was already using Basecamp to manage client projects with her team, she simply made the
procedures available there. This way, she didn’t have to babysit and instruct them to always have
procedures open because they could access the procedures with just a click of the mouse.

4. Reward compliance and guide stragglers. Recognizing and rewarding correct behavior is a great
motivator for employees. Don’t restrict your reward system only for times when employees meet certain
results. You can reward them just for following the procedures. How? Checklists go hand-in-hand with
procedures. With checklists, an employee can simply tick off a certain task in a procedure after it has
been completed.

Tara Brouwer did this with her employees. Instead of always asking employees whether or not they
followed the procedures, she simply viewed their checklists. An un-ticked step in a procedure showed
what was happening. Checklists don’t lie. It’s clear who should be rewarded, and that will help direct
others who aren’t as compliant. Perhaps those who are more compliant can even help coach the others!

Procedures can be an important part of a successful company. Take a close look at your company. Could
your people (and your company) be more successful by making procedures easily accessible and
introducing checklists into the mix?

Helping your employees understand the relevance of the procedures to your overall goal and mission as a
company will them take ownership of the business. You won’t have to breathe down their necks to ensure
they’re following instructions.
It’s not babysitting. You should be creating a group of leaders who will run with your mission as if it
were their own. When you do this, employees will follow procedures acutely. Also, when your
procedures are calculated steps towards your goal, and a group of people are passionately taking those
steps, you’ll get results.

Compliance Management Framework: Breach Reporting - Procedures

1. General guidelines

The procedures that follow outline the University’s process for managing potential compliance failures
and must be read in association with the Compliance Management Framework – Governing Policy and
other related procedures.

2. Intent and objectives

The intent of this procedure is to:

a) provide a systematic process for the reporting and investigation of compliance breaches or potential
breaches to enable proactive prevention in the future;
b) encourage all staff members to be proactive and raise compliance issues that are of concern as soon as
possible to prevent escalation;

c) enable the gathering of information to facilitate monitoring and reporting of compliance performance
within the University; and

d) ensure that no staff member is penalised or disadvantaged as a result of reporting a compliance breach
and that repercussions of breaches themselves are determined on a case-by-case basis, in accordance with
the University’s Public Interest Disclosures – Governing Policy.

3. Exclusions

3.1 A number of processes are established across the University to manage complaints relating to
compliance or breaches of laws and regulations, and these are dealt with at the operational management
level, and covered in various University Policies, such as:

a. Staff Code of Conduct – Governing Policy

b. USC Enterprise Agreement

c. Health, Safety and Wellbeing – Governing Policy

d. Critical Incident Management – Managerial Policy

e. Anti-Discrimination and Freedom from Harassment – Governing Policy

f. Equity and Diversity – Governing Policy

g. Fraud and Corruption Control – Governing Policy

h. Financial Management Practices – Managerial Policy

i. Information Management Framework – Governing Policy

j. Public Interest Disclosures – Governing Policy

k. Acceptable Use of Information Technology Resources – Governing Policy

l. Research Misconduct – Governing Policy

m. Student Academic Integrity – Governing Policy

3.2 Any University policy or legislation which includes dedicated processes for handling compliance
failures will take precedence over the following procedures. Please refer to the specific subject area
policy or legislative provisions in the first instance.

4. Procedure steps and actions

4.1 It is essential that all parties involved in breach reporting, investigation and rectification act in good
faith to obtain a satisfactory outcome. Good faith includes acting sincerely without malice and being
truthful.

4.2 No blame should be attached to the reporting of accidental breaches or those identifying process
errors.

4.3 It should be noted that staff committing deliberate or negligent breaches may be subject to the
University’s disciplinary processes or regulatory/criminal actions (where applicable and/or appropriate).

4.4 The required steps and actions to be followed for reporting and investigating compliance breaches, or
potential breaches, are detailed in Table 1 below:

Table 1: Breach Reporting Procedures

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Procedure (including Key Points) Responsibility Timeline

1. Initial identification and notification

a. Staff should notify their supervisor or appropriate line manager of the breach or potential breach. b. If a
staff member feels they are unable to discuss the breach with their supervisor, contact the Cost Centre
Manager, or alternatively the relevant Human Resources Client Contact officer or Director of Human
Resources for further advice. c. Breaches or potential breaches can be reported anonymously. d. Upon
receiving notification of a breach or potential breach, the supervisor should notify the Cost Centre
Manager by telephone or email. Staff member who notices the breach or potential breach / failure
Supervisor/Manager Within 24 hours

2. Breach containment

a. The supervisor should take immediate, common sense steps to limit or contain the breach. Depending
on the nature of the breach, different actions may be required e.g. stop the unauthorised practices; recover
any records; suspension of employment in consultation with Human Resources; etc. b. Do not
compromise the ability to investigate the breach. Do not destroy evidence that may be valuable in
determining the cause or allow corrective action to be taken. Supervisor/Manager or Cost Centre
ManagerImmediately or as soon as is practicable

3. Breach assessment and escalation

a. Assess the complaint to substantiate if there is a prima facie case that a breach has occurred. b.
Evaluate the risk level in accordance with the USC’s Risk Management Procedures. c. High risk
breaches: i) A high risk breach is one with the potential to have a serious impact on the University,
including: an investigation by a regulator or statutory body; the potential for a sanction, enforceable
undertaking, fine, penalty, compensation payment or criminal prosecution; or a potential impact to
business processes or continuity. ii) High risk breaches must be elevated to the appropriate Pro Vice-
Chancellor (PVC), Deputy Vice-Chancellor (DVC), Chief Operating Officer (COO) or equivalent for
action. iii) If the breach is likely to receive adverse media attention, it should also be reported to the Vice-
Chancellor and President (VCP). d. Breaches involving personal or identifying student information
should be reported to USC’s Privacy Officer – Director, Information Services. d. Breaches involving
personal or identifying staff information should be reported to USC’s Privacy Officer – Director,
Information Services, as well as the Director, Human Resources. e. If a breach constitutes a critical or
significant incident, the USC Critical Incident Management Procedure should be followed. f. Determine
the necessity for an investigation and the appropriate avenue for investigation, i.e. either by the manager,
COO/DVC/PVC (or equivalent), Director of Human Resources or Internal Audit. Manager or Cost Centre
Manager Immediately or as soon as is practicable

4. Investigation

a. If necessary, an investigation should be undertaken. The level of investigative effort should reflect the
seriousness of the breach. b. Investigations should: i) Determine the root causes; ii) Identify whether it
was a systemic breach, an isolated incident or a deliberate act; iii) Identify and gain agreement of
appropriate actions to prevent the breach recurring or escalating to a more serious level; iv) Apply the
principles of natural justice; and v) Be completed in a timely manner. c. The investigation outcome
should be reported to the appropriate manager or DVC/PVC (or equivalent), and to the Chief Operating
Officer. d. Where breaches involve criminal activity, this should be referred to appropriate law
enforcement agencies or authorities for investigation. Designated investigator Vice-Chancellor and
President Commence investigation immediately the breach has been assessed and contained

5. Implementation of corrective action

a. Recommended corrective and/or preventative actions will identify appropriate persons responsible for
implementation and target completion timelines. b. Where systemic issues are identified, an improvement
plan should be developed to address policy and/or process improvement. c. Monitoring by the appropriate
manager should be undertaken to ensure corrective actions are completed. d. Monitoring of corrective
action effectiveness will be undertaken by the Chief Operating Officer as part of annual compliance
reporting process. Investigator / Staff identified as responsible for corrective action implementation
Chief Operating Officer As recommended or agreed Annual

6. Breach recording/register

a. A central register of compliance breaches or potential breaches will be maintained in an approved and
secure recordkeeping system, in accordance with the Privacy Act 2014 and the University’s Information
Management Framework – Governing Policy and associated procedures. b. The register will include a full
record of all reported breaches/potential breaches, investigations, corrective actions undertaken, and
include breaches referred for external resolution. Chief Operating officer Continuously

7. Complaint and appeal process

a. If a person, who was a party to the complaint, is not satisfied with the investigation outcome or
recommended actions, they may lodge an appeal with USC’s Student Ombudsman, Director of Human
Resources, the Vice-Chancellor and President or an external agency as appropriate. b. The role of the
Student Ombudsman is detailed in USC’s Student Ombudsman - Managerial Policy. Appellant