performance-based ems: from output to outcomes · performance-based ems: from output to outcomes. 2...

29th Environmental & EnergySymposium & Exhibition

April 8, 2003

Performance-based EMS: FromOutput to Outcomes

Performance-based EMS: FromPerformance-based EMS: FromOutput to OutcomesOutput to Outcomes

2

• EMS and Readiness – the link• EMS Design – enhancing management

capacity throughout the organization• Using performance measurement to drive

outcomes• Example application – waste water• Expansion plans – building out the EMS

3

Management Results

Environmental Costs

The goal of environmental operations:

EMS supports readiness by identifying and actingupon opportunities to improve results and reducecosts

§ Lost training opportunities§ Responding to avoidable environmental

problems§ Over-paying to meet environmental

objectives§ Paying non-compliance fines

§ Compliance record§ Degree of access to ranges§ Environmental impacts§ Resource use efficiency§ Community relations

4

Planning for Risk Mgt.

Operations

ManagementReview

Self-audit/checking

Policy &Pre-Planning

EMS

• Senior managementperformance evaluationof policy, goals &objectives

• Policy Statement (mission & vision)• Team selection & training• “Gap Analysis”

• Identify processes, aspects(e.g. air emissions, landuse), impacts (e.g. airpollution, habitatdestruction)

• Legal requirements• Goals & Objectives• Planning, programming and

budgeting process

• Structure & responsibilities• Training, awareness,

competence• Communication• Documentation• Document control• Operational controls• Emergency prep & response

• Internal audit• Monitoring & measuring• Root cause analysis &

corrective action• Records

5

Planning

Operations

Mgmt.Review

Self-audit

Policy

EMS

What points along the processchain pose the highest costs?

Which issues present thegreatest compliance challenge?

Are we meeting ourgoals & objectives?

Should ES re-evaluate its goals & objectives?

What should departmental goals& objectives be?

What is the cost ofgaining access toranges?

What measurable goalsare achievable?

Which aspects & practicespose the greatest risk?

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Regulator

Management Review

DatabasesDatabases

Activities/OpsActivities/Ops

DataData

TrackCompliance

TrackCompliance

Track MaterialsTrack Materials

ReportReport

ReportReport

Planning Operations Checking/Monitoring

ProgramsPrograms

ComplianceObjectives

ComplianceObjectives

HQ OrdersHQ Orders Command

QA

QC/Supervisor

Owner/Ops

Regulator(s)

7

Management Review

DatabasesDatabases

ProgramsPrograms Activities/OpsActivities/Ops

DataData

Issue policyIssue policy

ID Sig. AspectsID Sig. Aspects

Goals/objs.Goals/objs.

ReportReport

ReportReport

ReportReport

ReportReport

Take action?

Take action?

NO

Change mgt.or tech.

Change mgt.or tech.

Modify Goals/objs

Modify Goals/objs

YES

Planning Operations Checking/Monitoring

Track goals/objsTrack goals/objs

TrackCompliance

TrackCompliance

Track ops &EMS perf.

Track ops &EMS perf.

AnalyticalResults

AnalyticalResults

Command

QA

QC/Supervisor

Owner/Ops

Regulator

Regulator(s)

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Outcomes

Outputs

Regulatory

Reports

HSMS WWTGISEIRS ECE

Performance Tracking & Analysis

Com. General

Dept/Div/Branch

Facilities

OperatorsOperations & Activities

Supervisor

QA

Command

QC/

Regulator

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• Automatically receives data from existingexistingdatabasesdatabases in order to maximize data utility(“data productivity”)

•• Routinely Routinely analyzesanalyzes performanceperformance based onindicators at four levelsOperations/QC/QA/Command).

• Provides graphical and narrative contentcontent forreports, guidelines and orders.

• Allow managers to focus on value-addedfocus on value-addedEMS activitiesEMS activities vice mundane, transactionalactivities

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•# of targets met/not met•# of major/minor findings•# of training hours withoutencumbrances

•Frequency of audits•# of external complaints•# of NOVs/non-complianceevents

•Cost of complianceassurance

•Cost of meeting objectives

•Total haz. material footprint•Total air emissions•Total water releases•Total # of accidental releases•Total time spent oncompliance

•Total toxic releases•Environmental impacts

QA/Command(outcomes)Operations/QC (output)

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ManagementManagementHierarchyHierarchy

IndicatorIndicatorHierarchyHierarchy

Key QuestionsKey Questions SpecificSpecificIndicatorsIndicators

• Command • Overall WaterQuality

Overall Objective: Minimize incidence of violation for waste watertreatmentOverall ObjectiveOverall Objective: Minimize incidence of violation for waste water: Minimize incidence of violation for waste watertreatmenttreatmentTarget: Achieve 100% or higher compliance rate for all treatmentplants combinedTargetTarget: Achieve 100% or higher compliance rate for all treatment: Achieve 100% or higher compliance rate for all treatmentplants combinedplants combined

Performance Indicators Framework:Performance Indicators Framework:Performance Indicators Framework:

• What is the overallcompliance level (alltreatment plantscombined)?

• % violation rate(annual andmonthly)

Narrative: In the period 2000-02 thecompliance rate has improved by 10% to 87%but remains short of the target of 100% or less.

Root Cause: The improvement in compliancewas achieved through improvement inperformance of Plants 1 and 2.

Compliance Rate-Annual

78% 77%87%

0%

20%

40%

60%

80%

100%

2000 2001 2002

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• QA/QC andSupervisor

• Plant LevelCompliance

• What is the overallcompliance level forindividual plants ?


Compliance Rate by Plant (Annual)

83% 81%86%

80% 82%88%

67% 64%

87%

69%63%

86%

0%

20%

40%

60%

80%

100%

2000

2001

2002

2000

2001

2002

2000

2001

2002

2000

2001

2002

Plant-1 Plant-13 Plant-2 Plant-3

Narrative: All plants show improvementtrend but remain short of the 100%compliance target. The averageimprovement per year for the period 2000-03 is around 6-7%.

Root Cause: Plants 1 and 2 improvedbecause of the following reasons:

• Increase in training events foroperators






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• QA/QC andSupervisor

• Compliance byConstituents

• What is the overallcompliance level forindividual constituents ?


Non Compliance by Constituents-2002

100%

100%

100%

97%

49%

25%

5%

4%

Total Dissolved Solids (mg/L)

Total Phosphorous (mg/L)

Total Nitrogen as N

Total Chlorine Residual (mg/L)

Total Chlorine Residual (#/day)

Sulfate (mg/L)

Total Nitrogen as N #/day

Total Phosphorus (#/day)

Narrative: Constituents that are of mostconcern are Total Dissolved Solids, TotalPhosphorous, Total Nitrogen and TotalChlorine. These constituents are virtuallyalways in violation.

Root Cause: These constituents are not incompliance due to:

• Antiquated treatment planttechnology






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• Operationsand Activities

• Total ChlorineViolation Pattern

Overall Objective: Minimize incidence of violationOverall ObjectiveOverall Objective: Minimize incidence of violation: Minimize incidence of violation

Target: Achieve 100% or higher compliance rate for all treatmentplants combinedTargetTarget: Achieve 100% or higher compliance rate for all treatment: Achieve 100% or higher compliance rate for all treatmentplants combinedplants combined

Performance Indicators FrameworkPerformance Indicators FrameworkPerformance Indicators Framework

• What’s the long-term trendand violation characteristicsof total chlorine ?

• MonthlyAverages

Narrative: Total chlorine shows a cyclicalpattern where the effluent values surge inthe months of January and February everyyear. The values decline in other months toaround 0.15 mg/l. The cycles are alsoshowing declining peak values.

Root Cause: The reasons for cycles andthe decline in peak values are:

• Recurring personnel turnover

Total Chlorine (mg/l): Monthly Values with 3-Month Moving Average

0

0.2

0.4

0.6

0.8

1

1.2

1--0

0

2--0

0

3--0

0

4--0

0

5--0

0

6--0

0

7--0

0

8--0

0

9--0

0

12--0

0

1--0

1

2--0

1

3--0

1

4--0

1

5--0

1

6--0

1

1--0

2

2--0

2

3--0

2

4--0

2

5--0

2

6--0

2

7--0

2

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• Operationsand Activities

• Trend of TotalDissolved Solids

• What’s the long-term trendand violation characteristicsof total chlorine ?

• MonthlyAverages

Narrative: Total dissolved solids shows aslow but worsening trend. This constituenthas remained in continual violation for threeyears. The slow but the declining trend needsto be understood. Could it be associated withtreatment plant conditions? A sudden dip inthe value could be due to data entry error.

Root Cause: Antiquated treatment planttechnology

Total Dissolved Solids (mg/l): Monthly Values with 3-Month Moving Average

0

200

400

600

800

1000

1200

1--0

0

2--0

0

3--0

0

4--0

0

5--0

0

6--0

0

7--0

0

8--0

0

9--0

0

12--0

0

1--0

1

2--0

1

3--0

1

4--0

1

5--0

1

6--0

1

1--0

2

3--0

2

4--0

2

6--0

2

7--0

2






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• Conduct database review:§ What data is captured?§ What format?§ What is is used for?

• Develop performance indicators• Customize performance measurement

system• Generate baseline report• Incorporate findings into decision

process

performance-based ems: from output to outcomes · performance-based ems: from output to outcomes. 2...

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