1、Designation: E3096 17Standard Guide forDefinition, Selection, and Organization of Key PerformanceIndicators for Environmental Aspects of ManufacturingProcesses1This standard is issued under the fixed designation E3096; the number immediately following the designation indicates the year oforiginal ad
2、option or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 This guide addresses Key Performance Indicators(KPIs) for environmenta
3、l aspects of manufacturing processes.1.2 This guide provides a procedure for identifying candi-date KPIs from existing sources for environmental aspects ofmanufacturing processes.1.3 This guide provides a procedure for defining newcandidate KPIs that are not available from existing sources forenviro
4、nmental aspects of manufacturing processes.1.4 This guide defines a methodology for selecting effectiveKPIs from a list of candidate KPIs based on KPI criteriaselected from Appendix X3 or defined by users.1.5 This guide provides a procedure for normalizing KPIs,assigning weights to those KPIs, and a
5、ligning them to envi-ronmental objectives.1.6 KPIs of Manufacturing Operation Management activi-ties as defined in IEC 62264-1 are out of the scope since theyare specifically addressed in ISO 22400-2.1.7 How to evaluate environmental impacts is out of thescope since it is addressed in Guide E2986.1.
6、8 This guide can be used to complement other standardsthat address environmental aspects of manufacturingprocesses, for example, Guide E2986, Terminology E2987/E2987M, and Guide E3012.1.9 This guide does not purport to address the security risksassociated with manufacturing and environmental informa
7、tion.It is the responsibility of the user of this standard to followpractices and establish appropriate information technologyrelated security measures.1.10 This standard does not purport to address all of thesafety concerns, if any, associated with its use. It is theresponsibility of the user of th
8、is standard to establish appro-priate safety and health practices and determine the applica-bility of regulatory limitations prior to use.1.11 This international standard was developed in accor-dance with internationally recognized principles on standard-ization established in the Decision on Princi
9、ples for theDevelopment of International Standards, Guides and Recom-mendations issued by the World Trade Organization TechnicalBarriers to Trade (TBT) Committee.2. Referenced Documents2.1 ASTM Standards:2E2114 Terminology for Sustainability Relative to the Perfor-mance of BuildingsE2986 Guide for E
10、valuation of Environmental Aspects ofSustainability of Manufacturing ProcessesE2987/E2987M Terminology for Sustainable ManufacturingE3012 Guide for Characterizing Environmental Aspects ofManufacturing Processes2.2 IEC Standard:3IEC 62264-1 Enterprise-control system integrationPart 1:Models and termi
11、nology2.3 ISO Standards:4ISO 14001 Environmental managementRequirements withguidance for useISO 14044 Environmental managementLife cycle assess-mentRequirements and guidelinesISO 20140-1 Automation systems and integrationEval-uating energy efficiency and other factors of manufactur-ing systems that
12、influence the environmentPart 1: Over-view and general principles1This guide is under the jurisdiction ofASTM Committee E60 on Sustainabilityand is the direct responsibility of Subcommittee E60.13 on Sustainable Manufac-turing.Current edition approved July 1, 2017. Published August 2017. DOI: 10.152
13、0/E3096-17.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.3Available from International Electrotechnical Com
14、mission (IEC), 3, rue deVaremb, 1st Floor, P.O. Box 131, CH-1211, Geneva 20, Switzerland, http:/www.iec.ch.4Available from International Organization for Standardization (ISO), ISOCentral Secretariat, BIBC II, Chemin de Blandonnet 8, CP 401, 1214 Vernier,Geneva, Switzerland, http:/www.iso.org.Copyri
15、ght ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United StatesThis international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for theDevelopment of Internation
16、al Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.1ISO 22400-1 Automation systems and integrationKey Per-formance Indicators (KPIs) for manufacturing operationsmanagementPart 1: Overview, concepts, and terminol-ogyISO 22400-2
17、Automation systems and integrationKey Per-formance Indicators (KPIs) for manufacturing operationsmanagementPart 2: Environmental performance evalua-tion process2.4 NSF Standard:5NSF/GCI/ANSI 355 Greener Chemicals and Processes In-formation3. Terminology3.1 DefinitionsDefinitions of terms shall be in
18、 accordancewith terminology in Terminology E2114, Guide E2986, Termi-nology E2987/E2987M, Guide E3012, ISO 20140, and ISO22400.3.2 Definitions of Terms Specific to This Standard:3.2.1 KPI criterion, na norm or characteristic of a KPIthat is used to determine whether the KPI is capable ofassessing an
19、 environmental aspect of manufacturing processes.3.2.2 KPI effectiveness, na measure of how well a KPIevaluates the impact of an environmental aspect of a manufac-turing process on the environment.3.2.3 KPI normalization, na procedure to adjust KPIs ondifferent scales to a common scale.4. Significan
20、ce and Use4.1 This guide provides methods for developing environ-mental sustainability KPIs at the manufacturing process level.4.2 This guide provides standard approaches for systemati-cally identifying, defining, selecting, and organizing KPIs fordetermining the impact of manufacturing processes on
21、 theenvironment.4.3 This guide is intended for those who need effective KPIsto assess manufacturing process performance, raiseunderstanding, inform decision-makers, and establish objec-tives for improvement.4.4 If the number of stakeholders is small and the manufac-turing processes are simple, KPI d
22、evelopers can follow the firsttwo steps (5.2 Establishing KPI Objectives and 5.3 Definingneeded KPIs) of this guide. The steps that follow include KPIselection, normalization and weighting, and KPI organization.They can be applied to larger groups of stakeholders and morecomplex manufacturing proces
23、ses. Users of this guide candetermine the number of steps they will follow because thedecision is highly dependent upon the products that they makeand the processes that they use.4.5 The guide enables the development of tools for KPImanagement and performance evaluation that will supportdecision-mak
24、ing capabilities in a manufacturing facility, in-cluding the development and extension of standardized data,performance information, and environmental knowledge.4.6 Procedures outlined in this guide are intended forenvironmental KPIs, and they also can be applied to broadersustainability KPIs as in
25、Guide E2986.5. Procedure for KPI Definition, Selection, andOrganization5.1 This section provides a procedure to establishobjectives, identify/define candidate KPIs, select effectiveKPIs, and organize them into a set. Fig. 1 shows a workflowchart describing the procedure to develop KPIs. The followin
26、gsubsections describe the activities represented in each box inFig. 1.5.2 Establish KPI Environmental ObjectivesA KPI objec-tive is a threshold of achievement to improve certain environ-mental aspects of manufacturing processes. An objectiveshould (1) reflect environmental performance, (2) set a nor
27、ma-tive standard for assessment in the organization, (3) be opera-tional and applicable to all stakeholders, (4) be quantitative andmeasurable, (5) be easy to understand and communicate, (6)have a specific time frame, and (7) respect local, state/provincial, and national policies, and international
28、priorities.For sustainability improvements, a KPI objective will supporta sustainability objective as stated in Guide E2986, 5.2 SettingSustainability Objective.NOTE 1KPI Environmental Objective ExampleReduce CO2emis-sion 20 % within a year in a concrete-making process.5.3 Identification and Definit
29、ion of Candidate Environmen-tal KPIsWhen choosing candidate KPIs, stakeholders iden-tify the necessary metrics to address the KPI objective.Examples of metrics include, but are not limited to, energyconsumption in kJ, water consumption in liters, material use inkg, emissions in metric ton, etc. Thes
30、e metrics can either bemeasured directly or estimated through physics-based equa-tions (see examples in Notes 2 and 3). KPI developers shoulddetermine what new metrics are necessary to address the KPIobjective. When a new metric is selected, KPI users shouldconsider measurement methods (such as sens
31、ors or humaninput), cost to measure, and implementation time in decidinghow to proceed. If applicable KPIs are available from literaturesources, those KPIs can be adopted. 5.3.1 describes a proce-dure to identify sources of KPIs. If appropriate KPIs are notavailable, new KPIs may be defined. 5.3.2 d
32、escribes how userscan define new KPIs.NOTE 2Metric ExampleEnergy consumption measured with apower meter.NOTE 3Physics-based Equation ExampleEnergy required for ametal cutting process on a steel workpiece, such as E (cutting energy) =F (cutting force) S (cutting speed) T (duration).5.3.1 Identificati
33、on of Sources of Standards and Literaturefor KPIsCandidate KPIs can be defined using availableinformation from literature. Some examples of literaturesources are in Appendix X1. Initial candidate KPIs should bedeveloped using the format in ISO 22400-1 for ease ofcommunication among stakeholders. Som
34、e example KPIs aredescribed in Appendix X2.5Available from NSF International, P.O. Box 130140, 789 N. Dixboro Rd., AnnArbor, MI 48105, http:/www.nsf.org.E3096 1725.3.2 Procedure for Defining New Environmental KPIsIfapplicable KPIs cannot be found in literature sources orAppendix X2, new KPIs must be
35、 defined to measure environ-mental aspects of manufacturing processes. This procedure isdescribed in the following two subsections (5.3.2.1 and5.3.2.2).5.3.2.1 Identify Gaps in Currently Used KPIsKPI devel-opers should analyze KPIs that are currently in use for themanufacturing process and identify
36、gaps in the KPIs necessaryto monitor a defined sustainability objective. If all the candi-date KPIs are found in literature sources, the KPI developerscan skip the step of defining new KPIs and go to the step ofevaluating the candidate KPIs. If gaps are identified and KPIsthat address the need canno
37、t be found, then a new KPI shouldbe created.5.3.2.2 Define New KPIsThere are two approaches todefining a new KPI: bottom-up and top-down. The bottom-upapproach starts with identifying current and necessary metricsand then assembling them into a new KPI. The top-downapproach focuses on defining a new
38、 KPI and then identifyingthe necessary metrics to calculate that KPI. The method chosenwill be based on the manufacturers situation. The bottom-upapproach is useful if addressing the improvement of a singleprocess, and the top-down approach is driven by organizationalobjectives.(1) Bottom-Up Approac
39、hOnce a gap is identified be-tween KPIs currently in use and those that are needed toachieve environmental objectives, the next step is to identifymetrics needed to fill these gaps. KPI developers should firstfocus on metrics that are already being used for the manufac-turing process. If metrics are
40、 available and can address the gapin candidate KPIs, then these metrics are used in the develop-ment of a new KPI. If no available metrics address the gaps forthe candidate KPIs, then new metrics must be developed. Thiswill be addressed in the top-down approach next. The devel-oped metrics can be ar
41、ranged into a new KPI based on the KPIobjectives.NOTE 4ExampleIf an objective is to reduce energy waste at aspecific process, then measuring both total energy and energy that isneeded to perform the task (necessary energy) can be used to form a KPIof energy efficiency.NOTE 5ExampleKPIs could be “tot
42、al energy waste = total en-ergy necessary energy” or “energy efficiency = necessary energy totalenergy.”FIG. 1 KPI Definition, Selection, and Organization Flow ChartE3096 173(a) These two example KPIs are formatted using the ISO22400 template in Tables 1 and 2.NOTE 6Example“total energy waste” provi
43、des the amount ofenergy that is being wasted in units of energy (kWh), and “energyefficiency” provides a percentage of necessary energy to total energy. Thebounds are between 0 and 100 %, with 0 % meaning that energy is totallywasted and 100 % meaning that energy is totally converted into work. Anac
44、tual energy efficiency is always less than 100 %. Both KPIs address theenvironmental objective of reducing energy waste; however, they may beranked differently in importance using the procedure of selecting effectiveKPIs.(2) Top-Down ApproachThe top-down approach isdriven by organizational objective
45、s. The organizational objec-tives are decomposed into environmental objectives. Environ-mental KPIs can then be established to meet the environmentalobjectives. With gaps already identified in current KPIs,developers create new KPIs to meet the established KPIenvironmental objectives. A new KPI is c
46、reated with a corre-sponding metric. Metrics that are currently used should bedifferentiated from new metrics that are used for any new KPI.5.4 Select Effective KPIsThis section describes a struc-tured approach to rank and select effective KPIs. The approachhelps manufacturers define criteria for se
47、lecting KPIs and usesvalue functions to weigh those criteria. Those criteria are thenused in the selection of KPIs. Any assumptions that expertsmake on creating value functions must be made clear to thedecision makers. Different KPIs may create different values.More effective KPIs create more value.
48、 Fig. 2 shows aworkflow chart describing the procedure to select KPIs. Thefollowing subsections will describe each box in Fig. 2.5.4.1 Selection CriteriaOnce candidate KPIs areidentified, experts and stakeholders are enlisted to rank theKPIs based on their effectiveness at measuring improvements.Sta
49、keholders determine a set of criteria to ensure the effective-ness of a KPI in contributing to an established sustainabilityobjective. For example, a criterion might be selecting KPIs thatare quantifiable or actionable. See Appendix X3 for additionalselection criteria. The criteria are determined independentlyfrom the KPIs themselves. Stakeholders such as line managers,supervisors, and shop floor workers make their proposals forselection criteria. This information is then aggregated. A finalset of criteria is obtained after additional
