ems elements and ems guidance manual summaryinfohouse.p2ric.org/ref/48/47501.pdfelements of an ems...

EMS Elements and EMS Guidance EMS Elements and EMS Guidance Manual SummaryManual Summary

Glenn NestelGlenn NestelPA Consulting GroupPA Consulting Group

WEF Biosolids Specialty ConferenceWEF Biosolids Specialty ConferenceSan Diego, CASan Diego, CA

February 21, 2001February 21, 2001

© PA Consulting Group 2000- GN - 01/16/2001 - 2

Linkage of NBP “Blueprint” Components� Code of Good Practice

Establishes the Principles and Commitments

� EMS Elements Establishes Management Framework -“What, Who, When, Where”

� National Manual of Good Practice Provides Technical and Engineering - “How to”

� EMS Guidance Manual Provides Management System Implementation “How to” Guidance

� 3rd Party VerificationEstablishes that the management system is working

3rd Party Verification

Code of Good Practice

Elements of an EMS for Biosolids

National Manual of

Good PracticeTechnical

NBP EMSGuidance

ManualManagement


Why Are the EMS Elements Important?� EMS Elements Establish:

� A Management System for Implementing the Ten (10) Principles in the Code of Good Practice.

� Objective, Auditable Requirements for Third Party Verification.

� Public Participation, Communications and Performance Reporting Requirements Critical to Public Acceptance.

� Process for Continually Improving your Biosolids Management Program/Practices.

� Procedures to Manage Biosolids Activities at Critical Control Points to Assure Legal, Quality, Environmental and Public Acceptance Requirements are Consistently Met.


EMS Elements Based on Quality Management Principles� Establishing Operational Control at all Critical

Control Points� Continual Improvement Apply Deming Cycle of

Plan-Do-Check-Act� Plan - Establish Requirements/Improvement Goals� Do - Implement Procedures/Practices to Meet Req’ts� Check - Measure Performance/Corrective Action� Act - Adopt What Works and Repeat Cycle

� Open Communications� Lead to Improvements in Productivity


EMS Adapts Michael Porter’s Value Chain Concept

� Understand Customers Needs/Markets and Manage Value Chain to Meet Them

� Company that Does the Best Job of Managing Value Chain Gains Competitive Advantage

SuppliersMaterials Manufacturer Transport &

DistributeMarket, Sell& Service

Each Step Adds Value to Product $$

Managing Value Chain Provides Competitive Advantage


Biosolids Value Chain

� Meeting Legal, Quality, Environmental and Public Acceptance Requirements Requires Management Throughout Biosolids Value Chain

� What Activities Need to be Managed?

Pretreatment& Collection

Treatment &Solids

Generation

Stabilize &Condition

Store &Transport

BiosolidsUse

Disposition

Managing Value Chain to Achieve Legal, Quality and Public Acceptance Requirements



EMS Foundation: Critical Control Points

� Critical Control Points are those locations, unit processes, activities or events that require active management control to assure that biosolids consistently meet legal, quality, environmental protection and public acceptance requirements

� Critical Control Points cover then entire biosolids value chain, from pretreatment to final disposition

� All Critical Control Points require Operational Controls

� Operational Controls are SOPs, process controls, ordinances, monitoring, testing, inspections, etc. to assure requirements are met


Identifying CriticalControl Points

• Significant Industrial User Discharges

• Industrial User Discharges

• Commercial User Discharges

• Residential User Discharges

• Combined Sewer Spill Incidents

• HeadworksInfluent

• Debris & Grit Removal

• Primary Treatment

• Secondary Treatment

• Solids Clarification

• Solids Storage

• Aerobic Digestion

• Anaerobic Digestion

• Chemical Stabilization

• Composting

• Air & ThermalDrying

• Solids Thickening

• Solids Dewatering

• Biosolids Storage Areas

• Truck Loading Areas

• Transportation Routes

• Receptors Along Transportation Routes

• Storage & Staging

• Beneficial Use -Sites for Land Applications

• Incineration

• Land Disposal Applications

• Sale of Biosolids for Beneficial Use(Unregulated)

Examples of Critical Control Points


WastewaterPretreatment & Collection

WastewaterTreatment & Solids

Generation

Solids Stabilization,

Conditioning &Handling

SolidsStorage &

Transportation

Biosolids Use & DispositionAlternatives



Examples of Operational Controls

WastewaterPretreatment & Collection

WastewaterTreatment & Solids

Generation

Solids Stabilization,

Conditioning &Handling

SolidsStorage &

Transportation

Biosolids Use & DispositionAlternatives

• Pollution Prevention

• Pretreatment/SIU Permits

• Spill Response Plan

• Sewer Use Ordinances

• User Discharge & Collection System Monitoring

• Education and Outreach

• Influent Monitoring

• Debris/Grit Removal

• Treatment Processes -SOPs

• Process control -Primary & Secondary Treatment

• Process Monitoring

• Solids Clarification SOPs/ Process Control

• Aerobic Digestion SOPs

• Anaerobic Digestion SOPs

• Chemical Stabilization SOPs

• Composting SOPs

• Air & ThermalDrying SOPs

• Solids Thickening SOPs

• Solids DewateringSOPs

• Biosolids Storage Areas SOPs

• Truck Loading Areas SOPs

• Transportation Routes SOPs

• Receptors Along Transportation Routes SOPs

• Accident/Spill/Incident SOPs

• Storage & Staging SOPs

• Beneficial Use -Land Applications SOPs

• Incineration SOPs and Process Controls

• Land Disposal Applications SOPs

• Product Quality SOPs - Biosolids Sold for Beneficial Use (Unregulated)

Operational Controls at Critical Control Points


The Elements of an EMS for Biosolids

� Policy� Documentation of EMS for Biosolids� Biosolids Management Policy

� Planning� Critical Control Points (CCPs)� Legal & Other Requirements� Goals & Objectives for Continual Improvement� Public Participation in Planning

� Implementation� Roles & Responsibilities� Training� Communications� Operational Control of Critical Control Points� Emergency Preparedness and Response� Documentation, Document Control & Recordkeeping

� Measurement & Corrective Action� Monitoring & Measurement� Nonconformances: Preventive and Corrective Action� Biosolids Management Program Performance Report� Internal EMS Audit

� Management Review� Periodic Management Review of Performance

Plan

Implement

Check

Review

Policy


EMS Elements:Policy Elements� Element 1: Documentation of

EMS for Biosolids Establishes requirements for EMS Manual that describes the EMS Framework

� Element 2: Biosolids Management PolicyCommitment to 10 Principles of NBP Code of Good Practice

Plan

Implement

Check

Review

Policy


EMS Manual� Biosolids Program Overview� Biosolids Policy� EMS Programs/Plans/Procedures

� ID/Update Critical Control Points� Track Legal/Other Requirements� Establish Goals and Objectives� Public Participation Plan� Defines Roles & Responsibilities� Training Program/Procedures� Communications Program� Operational Control Creation/Update� Emergency Response Plans/Procedures� Documentation/Document

Control/Records� Monitoring and Measurement� Corrective Action� Periodic Performance Report� Internal EMS Audit� Periodic Management Review

� List of EMS Documents

EMS ManualEMS

Manual


EMS Elements: Planning� Element 3: Critical Control Points

Process for identifying critical control points throughout biosolids value chain

� Element 4: Legal and Other Requirements Procedure for tracking and updating legal and other requirements

� Element 5: Goals and Objectives for Continual ImprovementProcess for establishing/updating goals and objectives with input by Interested Parties

� Element 6 Public Participation in Planning Proactive process for public participation by interested parties in biosolids program planning

Plan

Implement

Check

Review

Policy


EMS Elements:Implementation

� Element 7: Roles and ResponsibilitiesAssigns biosolids roles and responsibilities

� Element 8: Training Training requirements to ensure awareness, skills and knowledge to perform duties

� Element 9: CommunicationsCommunications with interested parties, employees, contractors

� Element 10: Operational ControlsSOPs and other controls to manage biosolids at critical control points

� Element 11: Emergency Preparedness and Response Plan/Procedures for responding to emergencies

� Element 12: Documentation, Document Control and Recordkeeping

Plan

Implement

Check

Review

Policy


EMS Documents & Records � Level 1 - Establishes

policies, values, mission and vision

� Level 2 - EMS programs/plans/ procedures that define the EMS requirements and management processes

� Level 3 - SOPs/Management methods at critical control points to meet legal, quality and public acceptance requirements as well as improvement goals

� Level 4 - Records on training, monitoring and measurement documenting conformance with requirements

Policies/Mission/Vision

Level 1

EMS ProceduresLevel 2

SOPs, Operational ControlsLevel 3

Records/RecordkeepingLevel 4


EMS Elements: Measurement Corrective Action� Element 13: Monitoring and

Measurement SOPs for monitoring, measurement, testing and inspection at critical control points

� Element 14: Nonconformance: Preventive and Corrective ActionProcess to identify root causes and implement corrective action of nonconformances,

� Element 15: Biosolids Management Program Performance Process to develop and issue periodic performance reports (e.g., annually)

� Element 16: Internal EMS AuditInternal auditing process to systematically self-assess performance of EMS

Plan

Implement

Check

Review

Policy


EMS Elements:Management Review

� Element 17: Periodic Management Review of Performance Periodic review of overall biosolids management program Performance with senior management� Compliance� Progress toward goals and

objectives� Periodic performance

summary� Results of internal EMS

auditing� Target areas for resources

and EMS improvements

Plan

Implement

Check

Policy

Review


EMS Guidance Manual� Provides Step by Step Guidance on How to

Implement all 17 EMS Elements� Serves as a Training Guide and Reference for

EMS Implementation Team to assist them� Create their EMS Manual� Identify their Critical Control Points � Establish SOPs for Operational Control, Monitoring

and Measurement, Corrective Action Process� Establish Public Participation and Communications

Plans� Establish Documentation, Document Control and

Recordkeeping Systems� Establish Internal EMS Audit and Management Review


NBP EMS Guidance Manual� Front Matter -- Title page, Table of Contents,

Foreword, Acknowledgments,

� Chapter 1 -- Introduction to NBP Program

� Chapter 2 -- EMS Fundamentals

� Chapter 3 -- Benefits of EMS for Biosolids

� Chapter 4 -- Summary of Biosolids Common Procedures and EMS Requirements

� Chapter 5 -- Step by Step Implementation Approach and Process

� Chapters 6-10 -- Element by Element Implementation Guidance

� Chapter 11 - Biosolids Program/EMS Third Party Verification (Reserved)

� Appendices -- EMS Elements, EMS Assessment Questionnaire, Glossary, EMS Documents/Forms Prototype & Example EMS Manual, References

NBP EMS Guidance

Manual

NBP EMS Guidance

Manual


EMS Implementation Plan:

ID

1

2

3

4

5

6

7

8

9

10

11

12

15

17

Task Name

Step 1 - Management Commitment to EMS

Step 2 - Appoint EMS Project Manager

Step 3 - Form Cross-functional EMS Team

Step 4 - Orient and Train EMS Team

Step 5 - Prepare for Gaps Analysis

Step 6 - Conduct Gaps and Analyze Results

Step 7 - Develop EMS Implementation Plan

Step 8 - Develop Policy and Planning Elements

Step 9 - Develop Implementation Elements

Step 10 - Develop Measurement & CorrectiveAction and Management. Review ElementsStep 11 - Complete EMS Manual, Documentation,Document Control and Recordkeeping

Step 12 -Complete EMS Training/Launch

Step 14 - Complete Corrective Action

Step 16 - Completer 3rd Party Verfication

Start Date

9/1/00

9/1/00

9/16/00

10/1/00

10/1/00

11/1/00

12/1/00

1/1/01

2/1/01

3/1/01

7/1/01

8/1/01

4/1/02

7/1/02

End Date

9/1/00

9/15/00

9/29/00

10/13/00

10/31/00

11/30/00

12/29/00

4/16/01

5/31/01

6/29/01

7/31/01

8/31/01

5/31/02

9/30/02

0d

11d

10d

10d

22d

22d

21d

76d

86d

87d

22d

23d

45d

66d

16 Step 15 -- Appy for 3rd Party Verification 6/28/026/1/02 20d

14 Step 13 - Conduct 1st EMS Internal Audit andManagement Review 4/1/023/1/02 22d

13 Step 12a - Complete f irst 6 months of EMS 9/3/01 3/1/02 130d

Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3

2000 2001 2002Duration

24 Month Process

12 Month Process


EMS Implementation Process Overview � Getting Ready - Steps 1-4

� Management Commitment� Assign EMS Project Manager� Assign and Train EMS Team� 1-2 months

� Getting Started - Steps 5-6� Prepare for the EMS Assessment� Complete EMS Assessment� 1-2 months

� Plan EMS Implementation - Step 7� Analyze & Prioritize Assessment Results� Develop Detailed Plan and Schedule� 1 month

� Policy and Planning Elements- Step 8� Develop Policy� Establish Critical Control Points� Procedures for Updating Critical Control

Points, Legal Tracking, Goals & Objectives � Public Participation Plan and begin EMS

Manual� 3-4 months

Steps 1-4 Getting Started Steps 1-4 Getting Started

Steps 5-6 EMS Assessment Steps 5-6 EMS Assessment

Step 7: EMS Implementation PlanStep 7: EMS Implementation Plan

Step 8: Policy and PlanningStep 8: Policy and Planning


EMS Implementation Process (Cont’d)� Develop Implementation Elements

-- Step 9� Linked with EMS Manual� Other Elements linked (e.g., Critical

Control Points and Operational Controls)� Can begin in parallel with Planning � 4-5 Months

� Develop Measurement and Corrective Action and Management Review Elements -- Step 10

� Linked with EMS Manual� Other Elements linked (e.g., Operational

Controls and Monitoring & Measurement)

� Can begin in parallel with Planning and Implementation

� 4-5 Months� Complete EMS Manual and

Documentation, Document Control and Recordkeeping -- Step 11

Step 9: Implementation Elements Step 9: Implementation Elements

Step 10 : Measure, Corrective Action & Mgmt. Review ElementsStep 10 : Measure, Corrective

Action & Mgmt. Review Elements

Step 11 : EMS Manual, Procedures & DocumentsStep 11 : EMS Manual,

Procedures & Documents


EMS Implementation Process (Cont’d)

� EMS Training and Launch Step 12� Training on EMS� Initial 6 months of Operation� 6-8 months

� Conduct Initial Internal EMS Audit, and Management Review - Step 13

� EMS in place for at least 6 months� Conduct Initial EMS Internal Audit and

Management Review� 1-2 months

� Complete Corrective Action - Step 14� Duration depends on # of nonconformances

found� Timeframe variable

� Apply for Third Party Verification -Step 15

Step 12: Assign & Train StaffStep 12: Assign & Train Staff

Step 13 : Operate 6 Months & Conduct First Internal Audit

Step 13 : Operate 6 Months & Conduct First Internal Audit

Step 14 : Complete Corrective Action and

Step 14 : Complete Corrective Action and

Step 15 : Apply for Third PartyVerification Program

Step 15 : Apply for Third PartyVerification Program


Benefits of an EMS for Biosolids

� Improved Compliance Management

� Improved Resource Productivity and Technology that Supports and Integrates with Competitiveness Initiatives

� Creates Sustainable Long-term Biosolids Management Strategy

� Helps Achieve Public Acceptance Locally and Nationally