Advisory Leaflet ATV - M 801 Integrated Quality and Environmental Management System For Operators of Wastewater Facilities

GERMAN ATV RULES AND STANDARDS
W A S T E W A T E R - W A S T E
ADVISORY LEAFLET
ATV - M 801
Integrated Quality and Environmental

Management System for Operators of
Wastewater Facilities
September 1997
ISBN 3-924063-51-6
ATV - M 801 – E
The “Certification” ATV ad hoc working group, which prepared this Advisory Leaflet, consists of the following
members:
Dr.-Ing. Timm Lessel, Eichenau (Spokesman)

Dipl.-Ing. Bernd Esch, Hennef
Dipl.-Ing. Peter Föller, Essen
Dr.-Ing. Peter Geis, Mannheim
Dipl.-Ing. Karl-Hinrich Hoffmann, Pirmasens
Dr.-Ing. Harald O. Howe, Cologne
Dr.-Ing. Hans-Joachim Kampe, Bonn
Dipl.-Geogr. Gert Krüger, Hennef
Dipl.-Ing. Gerolf Lenz, Wuppertal
Dr. jur. Peter Nisipeanu, Essen
Dipl.-Ing. Helmut Rademacher, Duisburg
Dr.-Ing. Sigurd van Riesen, Hennef
Dr.-Ing. Helmut Sixt, Gladbeck
Dipl.-Ing. Ralf Werner, Duisburg
The Advisory Leaflet presented here has been prepared within the framework of the ATV committee work,
taking into account the Standard ATV-A 400 "Principles for the Preparation of Rules and Standards" in the
Rules and Standards Wastewater/Waste, in the January 1994 version. With regard to the application of the
Rules and Standards, Para. 1 of Point 5 of A 400 includes the following statement “The Rules and Stan-
dards are freely available to everyone. An obligation to apply them can result for reasons of legal regula-
tions, contracts or other legal grounds. Whosoever applies them is responsible for the correct application in
specific cases. Through the application of the Rules and Standards no one avoids responsibility for his own
actions. However, for the user, prima facie evidence shows that he has taken the necessary care.
All rights, in particular those of translation into other languages, are reserved. No part of this Advisory Leaflet may be
reproduced in any form by photocopy, microfilm or any other process or transferred or translated into a language usable
in machines, in particular data processing machines, without the written approval of the publisher.
 Gesellschaft zur Förderung der Abwassertechnik e.V. (GFA), Hennef 1997
2 September 1997
ATV - M 801 – E
Contents
Notes for Users.................................................................................................................. 5
Foreword............................................................................................................................ 5
1 Introduction ................................................................................................................. 7
2 Operational forms for wastewater facilities.................................................................. 8
3 Organisation through systematic management........................................................... 9
4 Standard specifications for quality and environmental management ....................... 11
5 Build-up of the integrated quality and environmental management .......................... 14
A. Executive functions .................................................................................................14
B. Process functions....................................................................................................15
C. Process support functions.......................................................................................16
6 Adoption of standardisation requirements on quality and environmental

management for operators of wastewater facilities ................................................... 16
6.A Executive functions............................................................................................ 19
6.A.1 Executive function: Management system ................................................... 19
6.A.2 Executive function: Observance of approvals/rules & standards............... 23
6.A.3 Executive function: Communication (internal/external)............................... 24
6.A.4 Executive function: Verification documentation .......................................... 24
6.A.5 Executive function: Process evaluation ...................................................... 25
6.B Process functions .............................................................................................. 25
6.B.1 Process function: Plant operation............................................................... 25
6.B.2 Process function: Monitoring ...................................................................... 26
6.B.3 Process function: Procedure with deviations and in cases of emergency .. 27
6.B.4 Process function: Acceptance and handover of wastewater as well

as discharge of wastewater ......................................................................... 28
6.B.5 Process function: Acceptance of faecal waste, sewage sludge and

other matter ................................................................................................. 30
6.B.6 Process function: Disposal of wastes ......................................................... 30
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6.C Process support functions ................................................................................. 31
6.C.1 Process support function: Development, planning and construction of

wastewater facilities..................................................................................... 31
6.C.2 Process support function: Maintenance of plant equipment ....................... 32
6.C.3 Process support function: Provision of resources (internal/external).......... 33
6.C.4 Process support function: Provision of personnel....................................... 34
6.C.5 Process support function: Tenders and contracts ...................................... 35
6.C.6 Process support function: Customer service .............................................. 35
7 Documentation .......................................................................................................... 36
8 Certification ............................................................................................................... 37
Appendix 1: Terms........................................................................................................... 39
Appendix 2: Sources........................................................................................................ 40
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ATV - M 801 – E
Notes for Users

This ATV Advisory Leaflet is the result of honorary, technical-scientific/economic collaboration which has
been achieved in accordance with the principles applicable for this (statutes, Rules of Procedure of the ATV
and ATV Standard ATV-A 400). Here, according to precedents, there exists an actual supposition that, with
regard to content and technical aspects, it is correct.
The application of this Advisory Leaflet is open to everyone. However, an obligation for application can arise
from legal or administrative regulations, a contract or other legal reason.
This Advisory Leaflet is an important, however, not the sole source of information for correct solutions. With
its application no one avoids responsibility for his or her own action or for the correct application in specific
cases; this applies in particular for the correct handling of the margins described in the Advisory Leaflet.
Foreword
Objective of this Advisory Leaflet
Currently, integrated quality and environmental management systems are being hotly discussed in public. In
order to clarify the standard specifications, and the requirements of the standards respectively, to the opera-
tors of wastewater facilities, the ATV has, with the present Advisory Leaflet ATV-M 801E, taken up the stan-
dard series DIN EN ISO 9000 ff. and 14001 ff. and has summarised the there formulated requirements for
the special application case. The requirements of the standard specifications are indicated, explained and
allocated with regard to the area of responsibility concerning the management of wastewater facilities.
Advisory Leaflet ATV-M 801E will be amended at the necessary intervals according to developments in stan-
dardisation in this field.
Why quality and environmental management systems?

Businesses provide products or furnish services for their customers with the aim of fulfilling their require-
ments. In the past, quality requirements were guaranteed by end controls. Thus it has become increasingly
necessary to ensure quality during the planning and manufacture of a product.
To reduce or even avoid rejects at the end of production, organisational measures for the planning and the
manufacture of the products have been improved. Systematic approaches for this are drawn up in the stan-
dard series DIN EN ISO 9000 ff. The main purpose of these organisational measures is so to arrange the
organisation of the manufacture of the product that a continuous quality improvement can be achieved and
faults can be avoided. Consequently, the product and the customer represent the focal point for the quality
management system.
With a transfer of quality management systems to wastewater facilities different products can be defined
whereby treated wastewater is certainly to be mentioned as a main product. The wish of the customer with
wastewater facilities, considered in the standards, is the correct discharge and treatment of wastewater in
the most cost-effective ways.
The introduction of environmental management systems, in accordance with the standards of DIN EN ISO
14001 ff., is based on the turning away from corrective to preventative environmental protection. The aim of
the environmental management system is the obligation towards the improvement of the environmental
management system taking into account the operational organisation and the observation of valid environ-
mental laws and regulations as well as of the relevant standards.
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ATV - M 801 – E
Systematic organisation through integration

With the integration of quality and environmental management systems the relevant environmental tasks and
functions of a wastewater facility are combined in laiddown organisational operational structures as well as in
process and service instructions. As there is no standardised integration concept, every integration of quality
and environmental management systems is to be carried out individually according to the operation.
Advisory Leaflet ATV-M 801E introduces, as a "guideline", the standardisation aspects. The given require-
ments on quality and the environment are explained and food for thought is given in order better to be able
to transfer quality and environmental points of view, under standardisation aspects, into operations. This
integrated management system is not limited to the operation of wastewater facilities only but, in practice, it
is to consider interfaces to planning, financing and execution of the various tasks in order, through this, to
achieve an optimisation of operation. The Advisory Leaflet here follows a global method of consideration
and, on the basis of uniform and binding quality directives, serves all concerned as an aid.
Environmental management in accordance with the EC Eco-management and Audit Regula-

tion (EMAS)
Another standard - in addition to those stated above - which aims at the introduction of an environmental
management system is the EC Eco-management and Audit Regulation (EEC No. 1836/93). On top of this,
the EMAS audit requires to qualitatively and quantitatively present to the public environmentally relevant
aspects within the framework of an environmental statement. In contrast to DIN EN ISO 14001 cont., the EC
Eco-management and Audit Regulation applies only to the territory of the European Union (EU) and to the
European Economic Area (EEA).
Through the involvement of a wastewater facility in the system of the EC Eco-management and Audit Regu-
lation the operator of the facility submits himself in particular to continuous improvement in the environmental
protection of his business, and is committed to always applying state-of-the-art technology unless economi-
cally unreasonable. This may however result in the operator being required to explain in his environmental
statement why, for example, state-of-the-art technology has not been applied in his facility. Should the op-
erator fail to explain this, he is obliged to invest money to improve the facility’s environmental protection,
which will however remain without effect with respect to any requirements prescribed by law. This means
that the charges will rise due to a voluntary obligation.
This is the reason why we refrained from presenting the contents and objectives of the EC Eco-management
and Audit Regulation in detail in the present Advisory Leaflet. The possibility to decide in favour of participa-
tion in the system of the EC Eco-management and Audit Regulation and thus in favour of the utilisation of
potential synergy effects remains, of course, unaffected.
ATV-M 801 - and what next?

The ATV will continue to prepare a model management handbook with statements on the management sys-
tem and the process instructions for operators of wastewater facilities. This model management handbook
will be modular in make-up in order to give the operator practical information and the best possible overview
(further details in Section 7). This is not possible using the Advisory Leaflet as "guideline" as it serves only
for the introduction and interpretation of the contents of the standard specifications.
System introduction and certification: two separate steps

The ATV has prepared this Advisory Leaflet in order to offer those responsible for wastewater facilities the
possibility of estimating themselves in how far the necessary prerequisites for a certification are already
available or how great the expense is to attain these prerequisites. The ATV considers the introduction of the
quality and environmental management structures to be a suitable means of being able to show verification
of a thorough organisation to the public and customers, authorities and courts, colleagues and suppliers as
well as to insurance companies and banks. An introduction of the quality and environmental manage-
ment structures need not, however, entail a certification. If the operator decides, nevertheless, on such
a step then there are already many necessary prerequisites, documents and instructions in existence. The
source material and documents would, according to the specifications of the ATV-M 801E and the model
management handbook, need to be structured and supplemented in order to meet the requirements of the
standard specifications. After this a certification can - but must not - take place.
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ATV - M 801 – E
Solid wastes produced in wastewater facilities are only considered insofar as they come into question for an
operator as waste producer and waste utiliser. For operations which store, transport, treat, utilise or dispose
of wastes, the ATV sees special attention being paid to a certification in accordance with the Specialist Dis-
posal Operation Ordinance (German = EntsorgungsfachbetriebsVO) according to the (German) Recycling
Management and Waste Law. Therefore these areas are not included in the Advisory Leaflet.
1 Introduction
Requirements with respect to modern wastewater disposal
The damage-free disposal of municipal, industrial, and commercial wastewaters is a main constituent of the
water protection measures of each industrialised nation. Water protection is a central topic of Germany’s
environmental policy. Wastewater disposal is a sovereign task and thus the responsibility of the municipali-
ties and municipal wastewater associations. The German federal states may regulate the conditions under
which a public corporation is allowed to - whether entirely or partially limited in time and/or revocably -
charge third parties with its obligation to dispose of the wastewater produced. Numerous acts as well as
legal and administrative regulations both at federal and state level regulate, besides a vast number of tech-
nical standards, the requirements with respect to wastewater disposal. Contamination of ground and surface
waters is punishable. At European level, standards are established by directives applying to municipal sew-
age treatment plants.
The public interest in river and lake protection as well is very strong. Media reports about improved water
quality for example in the eastern federal states, due to the utilisation of state-of-the-art wastewater clarifica-
tion equipment, take turns with reports about punishable water pollutions which were caused by manage-
ment mistakes in the clarification process.
Good organisation prevents recourse

Operators of wastewater facilities see themselves confronted with a multitude of social requirements, com-
pliance with which would require a huge number of staff and equipment to be employed.
From a technical point of view, Germany is recognised to have reached a very high level of wastewater dis-
charge and wastewater clarification technology. This plant technology allows to dispose of wastewaters to
the quality standard required and in a manner as safe as necessary. However, the organisation in particular
still offers a substantial potential for optimisation. Studies have revealed that in many cases the cause why
businesses neglected their duties, for example in the area of environmental protection, goes back to inade-
quate organisation.
Increased attention is therefore paid to the organisation of wastewater disposal including the operation of
wastewater facilities. In this respect, the increasing importance of self-control or self-monitoring of the waste-
water facilities, for example, should be mentioned, which the operator has to ensure also from an organisa-
tional point of view.
Operators of wastewater facilities too may be reproached for organisational faults, if they have not taken
appropriate measures to protect their staff, the environment and material assets. A verifiable quality and
environmental management system offers the opportunity to effectively refute reproaches of organisational
faults and thus the assumption of liability therefor, for example. Recourse claims may thus be averted.
Quality and environmental management is economical

The introduction of an integrated quality management / environmental management system allows modifica-
tions to and/or adaptations of the operational organisation which will result in a reduction of the operating
costs.
Experiences from industry and public utilities during the past years showed that businesses have success-
fully established internationally recognized management systems. This trend towards quality management
systems can be noted in particular since the end of the 1980s. In the past time, the trend towards environ-
mental management even increased. Quality management and environmental management systems allow
businesses to comply with the requirements of their customers and of society. Both producing enterprises
September 1997 7
ATV - M 801 – E
and service undertakings have come to realise that their efficiency may enormously be increased through a
systematic management and a much stronger emphasis on preventive measures. The internal processes
are improved this way, and transparency, the confidence to act and, in the end, even motivation is promoted.
Quality and environmental management are confidence-building measures

Quality management and environmental management systems are suited to allow compliance with any cur-
rent requirements. The proof of the entrepreneurial duties to take due care in liability matters is eased, and
transparency towards the customers, the public and the state authorities is established. Management sys-
tems are thus a substantial confidence-building measure as well.
2 Operational forms for wastewater facilities

The municipalities are granted the right and assigned the obligation to dispose of their municipal estate
wastewaters in an environmentally compatible and damage-free manner, by the Water Act of the respective
federal state (German: Landeswassergesetz). The municipalities are however free to select the organisa-
tional form in which their wastewater facilities will be operated, provided that they comply with their obligation
to ensure good and economical housekeeping.
The operational organisation may be realised in the form of a publicly owned enterprise, a municipal under-
taking or a company established under private law, i. e. a GmbH [private limited company] or AG [public
limited company], for example. The various operational forms including the respective requirements are ex-
plained in more detail in the ATV Information Sheet “Operational forms of municipal wastewater disposal”.
The introduction and scope of an integrated quality and environmental management system is substantially
influenced by the responsibilities which are taken on by the company itself and the tasks it has assigned to
other companies.
It is to be noted in this respect that the deployment of external companies at the investment stage (develop-
ment, planning and construction of wastewater facilities) and/or at the actual operating stage (commission-
ing, adjustment, operation, maintenance and shut-down of wastewater facilities) varies in dependence on the
operational form selected. Any requirements with respect to quality assurance and environmental protection
should be passed on to the external companies charged with municipal wastewater disposal, in dependence
on their tasks and scopes of responsibility. The selection, coordination, and monitoring of these external
companies must be regulated within the framework of the integrated quality and environmental management
system. From this point of view, the operational form has a substantial influence on the integrated quality
and environmental management system.
Publicly owned enterprises and municipal undertakings

A municipality, for example, which has organised its wastewater disposal in the form of a publicly owned
enterprise or municipal undertaking, will usually avail itself predominantly of external companies (engineering
offices and building firms) in order to solve its tasks at the investment stage, i. e. in the development, plan-
ning, and construction of its wastewater facilities, while the municipality itself will take on selection, coordina-
tion, and monitoring responsibilities. At the operating stage, the municipality will then use its own staff to
carry out substantial tasks of plant operation. Individual work such as the preventive and corrective mainte-
nance of plant components, for example, may be given out to external companies.
Operator Model
If, however, the municipality has concluded one or several disposal agreements with an operating company,
as in the case of the Operator Model, the municipality is, for example, within the framework of its selection
obligation entitled to require the company to provide evidence (e. g. in the form of a certificate) that is has an
integrated quality and environmental management system. On the basis of this evidence, but also directly on
site, the municipality can check whether the operating company is capable of complying with the require-
ments in respect of wastewater disposal. In addition, the municipality is both entitled and obliged to monitor
the services furnished by the operating company which it has charged with tasks.
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ATV - M 801 – E
The integrated quality and environmental management system of an operating company may thus be a de-
cisive advantage over a competitor in municipal invitations to tender.
Assignment of claims to third parties

Due to the different scopes of participation of external companies, the operational form is of importance for
the integrated quality and environmental management system. The expenses incurred by the operator in
connection with the introduction of a quality and environmental management system may be reduced by
giving individual work out to third parties. It must however be ensured in this case that the third parties se-
lected are capable of complying with the operator’s quality and environmental aims.
3 Organisation through systematic management

At international level, a trend towards defining a business’s organisation in its management system can be
noted. Therefore the necessity to organise wastewater disposal in addition is beyond any doubt. The man-
agement of wastewater facilities, maintenance of plant equipment, and compliance with the legally pre-
scribed obligations to submit reports and evidence require a systematic and purposeful approach.
The ATV Standards for Wastewater & Waste developed by the ATV provide the experts with comprehensive
support in determining organisational regulations, e. g. with respect to plant operation, maintenance and
emergency management (see Figure 1).
Quality and environmental management: A necessary idea of integration!

The internationally recognised standards DIN EN ISO 9000 cont. on quality management and DIN EN ISO
14001 cont. on environmental management form another basis for a systematic management. They contain
elements which are suited to establish a systematic and careful organisation as well as information on how
to put this into practice. The standards mentioned above do however not prescribe how a company is to
implement these elements. Management systems are characterised by fixed, documented structures and
regulations, which make them understandable and practicable. The structures of the two management sys-
tems, which are contained in the above mentioned standards individually, do however not allow to com-
pletely integrate the other standard, respectively. The introduction of two different management systems
would lead to an inevitable rise in the costs incurred, unless the systems are adjusted to each other. There-
fore an integrated quality and environmental management system should be developed for operators of
wastewater facilities, which would allow them a handy and efficient organisation. The two international stan-
dards should be equally combined in this integrated quality and environmental management system.
Integration through process orientation: Efficiency and safety

The introduction and maintenance of such an integrated quality and environmental management system
must be achievable at economically justifiable costs and allow to be implemented in small businesses as
well. An analysis and determination of all processes should form the basis of the integrated quality and envi-
ronmental management system.
The integration of quality management and environmental management can only be achieved by planning
the management elements directly into the processes of wastewater disposal. The organisation to be estab-
lished is thus a necessary investment in order to comply with the requirements both of legislation and the
public, i. e. society, as well as of the customers and to ensure efficient operation at the same time. Through
the implementation of this organisation in an integrated quality and environmental management system the
operator of the wastewater facility can in addition prove that he has fulfilled all his obligations with respect to
his organisational and environmental liability (see Figure 2). Subject of these organisational obligations is the
proper performance of all duties, authorities and responsibilities within a predetermined structural and opera-
tional organisation as well as the proof of the careful selection, instruction and monitoring both of the em-
ployees and external firms deployed.
September 1997 9
ATV - M 801 – E
In alphabetical order:
Alarm- und Einsatzpläne für Notfälle nach Emergency alarm and action plans in accordance
ATV-M 141 with ATV-M 141
Anlagenbetrieb Plant operation
Betriebsanweisung nach ATV-M 108 Operating instruction in accordance with ATV-M
(Maßnahmen gegen gefährdende Stoffe) 108 (Measures against hazardous substances)
Dienstanweisung für das Personal von Kanal- Service instruction for the personnel of sewer net-
netzen nach ATV-A 140 works in accordance with ATV-A 140
Dienst- und Betriebsanweisung für das Perso- Service and operating instruction for the personnel
nal von Abwasserpumpwerken, -druckleitungen of wastewater pumping facilities, pressurised pipe-
und Regenbecken nach ATV-A 148 lines and rain basins in accordance with ATV-A
148
Dienst- und Betriebsanweisung für das Perso- Service and operating instruction for the personnel
nal von Kläranlagen nach ATV-A 124 of clarification plants in accordance with ATV-A
124
Instandhaltung Maintenance
Kläranlage Clarification plant
Kläranlage mit Schlammbehandlung Clarification plant with sludge treatment
Notfallmanagement Emergency management
Pumpanlage Pumping station
Regenbecken Rain basin
Wartungs- und Inspektionssystem, Maintenance and inspection system,
z. B. ATV-A 147/I e. g. ATV-A 147/I
Figure 1: Organisation of wastewater disposal in the ATV Standards - Example
Dienstleistung Abwasserentsorgung Service of wastewater disposal
Forderungen der Gesellschaft (Beispiele) Requirements of society (examples)
Forderungen der Kunden Requirements of the customer
Kanalnetz/Kläranlage Sewer network / clarification plant
kostengünstig Cost-effective
Kunde (Abwassererzeuger) Customer (wastewater producer)
sicher Safe
umweltfreundlich Environmentally friendly
Validierte Organisation durch integriertes Validated organisation through integrated quality
Qualitäts- und Umweltmanagementsystem and environmental management system
Validierter Prozeß durch Qualitätsmanagement Validated process through quality management
Legend:
- WHG (Wasserhaushaltsgesetz, Water Resources Policy Law)
- KrW/AbfG (Kreislaufwirtschafts- und Abfallgesetz, Recycling Management and Waste Law) including implementing
ordinances and the implementing regulations of the respective federal state’s laws
- BlmSchG (Bundes-Immissionsschutzgesetz, Federal Immission Protection Law) including implementing ordinances
and the implementing regulations of the respective federal state’s laws
- AbwAG (Abwasserabgabengesetz, Wastewater Charge Law) including the implementing regulations of the respec-
tive federal state’s laws
- LWG (Landeswassergesetze, State Water Laws) including implementing ordinances, e. g.:
Ordinances for indirect introducers
Ordinances on self-monitoring and/or self-control
- HPflG (Haftpflichtgesetz, Third Party Liability Law)
- BGB (Bürgerliches Gesetzbuch, Civil Code)
- ArbSchG (Arbeitsschutzgesetz, Industrial Safety Law)
- DüngemittelG (Düngemittelgesetz, Fertiliser Law)
Validation: Confirmation that particular requirements have been fulfilled, based on an examination and through the
submission of evidence.
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ATV - M 801 – E
Figure 2: Uniform rules and regulations applying to wastewater disposal

Advantages of integrated management systems
- Both the requirements prescribed by law and defined by the standard specifications can be complied
with in one single organisational system through the combination of the environmental and quality
management into an integrated management (see Fig. 3);
- This ensures that equal processes will lead to equal results of a constant quality with the level of safety
remaining unchanged;
- In addition, problems and thus possibilities of improvement are revealed through the transparency of
the processes.
The aim of these management systems is to achieve continuous improvement of the organisation and in-
creasing satisfaction both of customers and the public.
Forderungen des Qualitätsmanagements Requirements on quality management
* Normenreihe DIN EN ISO 9000 ff. * DIN EN ISO 9000 cont. standard series
Forderungen des Umweltmanagements Requirements on environmental management
* Normenreihe DIN EN ISO 14001 ff. * DIN EN ISO 14001 cont. standard series
Gesellschaft Society
Integriertes Qualitäts- und Umweltmanage- Integrated quality and environmental management
mentsystem system
Kunde Customer
Planung/Bau/Betrieb Planning / construction / operation
ATV-Regelwerk ATV Standards
Produkt/Dienstleistung Product / service
Standort/Anlage Location / plant
Ziele und Forderungen erfüllt durch Targets and requirements fulfilled by
Figure 3: The road to an integrated quality and environmental management system
4 Standard specifications for quality and

environmental management
Quality management systems...
... are described by the DIN EN ISO 9000 cont. standard series (see Fig. 4). DIN EN ISO 9000 cont. is a
guide and contains instructions concerning the adaptation of the requirements of the standard specifications
in terms of the scope and degree of their presentation. The DIN EN ISO 9001, 9002 and 9003 standards
describe one model of quality assurance / quality management presentation each. Only these standards are
applied between the customer and the supplier, on the one hand, and within the framework of certification
procedures, on the other hand. DIN EN ISO 9004 describes all elements of quality management systems,
paying special attention to customer satisfaction.
September 1997 11
ATV - M 801 – E
DIN EN ISO 9000

Standard specifications for quality management and quality assurance /
quality management presentation
Part 1: Guide for selection and application
DIN EN ISO 9001

Quality management systems - Model of quality assurance /
quality management presentation in design, development,
production, installation and maintenance
DIN EN ISO 9002

quality management presentation in production, installation and maintenance
DIN EN ISO 9003

quality management presentation in final inspections
DIN EN ISO 9004

Quality management and elements of a quality management system
Part 1: Guide
Figure 4: Substantial standard specifications for quality management
DIN EN ISO 9001 constitutes the most comprehensive model in order to externally present a quality man-
agement system, if required.
A quality management system introduced in accordance with these standards may consist of up to 20 ele-
ments (see Fig. 5). The DIN EN ISO 9001 standard (as per August 1994) contains specific requirements for
each one of these 20 elements, which the business has to implement in its organisation. It is thus necessary
to adapt the requirements of these standard specifications and interpret them from the business’s point of
view, when introducing a quality management system.
The DIN EN ISO 9002 and 9003 standards both contain reduced requirements, i. e. certain elements are
omitted since they are not relevant for the respective business.
1 Responsibility of the management

2 Quality management system
3 Contract verification
4 Design control
5 Control of documents and data
6 Procurement
7 Control of products provided by the customer
8 Identification and traceability of products
9 Process control
10 Tests and inspections
11 Test equipment monitoring
12 Test status
13 Control of defective products
14 Corrective and preventive measures
15 Handling, storage, packaging, conservation and shipment
16 Control of quality records
17 Internal quality audits
18 Training
19 Maintenance
20 Statistical methods
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Figure 5: The 20 elements of the DIN EN ISO 9001 standard (as per August 1994)
If a business has introduced a quality management system in accordance with the DIN EN ISO 9001, 9002,
or 9003 standard, it may have its system verified by a certifier. The certifier will check the compliance of the
quality management system introduced with the requirements of the respective standard as well as the im-
plementation of the system, and will issue a certificate to confirm this.
Environmental management systems...
are described by the DIN EN ISO 14001 cont. standard series (see Fig. 6). On the basis of a comprehensive
environmental assessment an environmental management system is developed which aims at continuous
improvement of the environmental protection. DIN EN ISO 14001 (as per October 1996) contains 5 elements
consisting of specific requirements, which the business has to implement in its organisation when building up
an environmental management system (see Fig. 7). This is the only environmental standard which is valid
worldwide and contains the possibility to have one’s system certified by an agency accepted in Germany.
DIN EN ISO 14001

Environmental management systems
Specification including instructions for use
DIN EN ISO 14002

Environmental management - Specification of core elements
Special conditions and needs of small and medium-sized enterprises
(German: KMU, kleine und mittlere Unternehmen)
DIN EN ISO 14010

Guidelines for environmental audits:
General basics
DIN EN ISO 14011

Auditing procedure - Auditing of environmental management systems
DIN EN ISO 14012

Qualification criteria for environmental auditors
Figure 6: Substantial standard specifications for environmental management
1 Environmental policy
2 Planning
3 Implementation and execution
4 Control and corrective measures
5 Assessment by the top management
Figure 7: The five elements of DIN EN ISO 14001 (as per October 1996)
September 1997 13
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5 Build-up of the integrated quality and environmental

management
The target determines the way

It is not very useful for a business, which intends to comply with its responsibilities towards its customers,
society and the environment, to introduce a quality management system at first and subsequently an envi-
ronmental management system - or vice versa - and to maintain the two systems independently of each
other. It is, on the contrary, effective and logical to find out the aspects the two systems have in common and
to introduce a uniform system in the business which would integrate both quality management and environ-
mental management and fulfil the respective requirements of the standard specifications (see Section 4).
Such a system is called an “integrated quality and environmental management system”.
The purpose of integrating both quality and environmental management in an integrated quality and envi-
ronmental management system is to fulfil both the requirements defined by DIN EN ISO 9001 and those of
DIN EN ISO 14001 and to take advantage of the cost reduction which will result from the parallel introduction
of quality and environmental management. Another aim is to ensure clarity and comprehensibility on the
basis of one single management system.
An integrated quality and environmental management system which is suited for operators of wastewater
facilities should fulfil the following objectives:
- Compliance with the requirements;

- Integratability;
- Ease of use;
- Economic efficiency.
Process structure:
One common solution for quality management and environmental management
Neither DIN EN ISO 9000 cont. nor DIN EN ISO 14001 cont. prescribe a specific system structure; the
proper implementation of all requirements defined by these standards is decisive. An integrated quality and
environmental management system for operators of wastewater facilities should be structured on the basis
of the present activities and operations (processes) within the business.
The integrated quality and environmental management system for operators of wastewater facilities should
comprise the structural organisation, i. e. the tasks, competencies, responsibilities and hierarchical alloca-
tion, as well as the operational organisation, i. e. the activities and processes.
All the requirements of DIN EN ISO 9001 and DIN EN ISO 14001 allow to be fulfilled through an integrated
quality and environmental management system (see Fig. 8) that includes three main functions, which can be
classified as follows:
A. Executive functions
B. Process functions
C. Process support functions
A. Executive functions
Executive functions are management functions which are of general importance for the performance of the
process functions and process support functions as well as for the introduction, maintenance, evaluation and
further development of the integrated management system.
14 September 1997
ATV - M 801 – E
The executive functions include:
1. Management system;
2. Observance of approvals, rules & standards and current findings;
3. Communication (internal/external);
4. Verification documentation;
5. Process evaluation.
Executive
functions
● Management system
● Observance of approvals/rules & standards
● Communication
● Verification documentation
● Process evaluation
Process
functions
Plant operation -> Monitoring -> Procedure with deviations and
in cases of emergency -> Acceptance and handover of wastewater
-> Acceptance of matter -> Disposal of wastes
Process
support
functions
● Development / planning / construction ● Provision of personnel
● Maintenance ● Tenders and contracts
● Provision of resources ● Customer service
Figure 8: Model of the integrated quality and environmental management system
B. Process functions
Process functions are functions which regulate the processes of wastewater disposal from an organisational
point of view.
The process functions include:
1. Plant operation;
2. Monitoring;
3. Procedure with deviations and in cases of emergency;
4. Acceptance and handover of wastewater as well as discharge of wastewater;
5. Acceptance of faecal waste, sewage sludge and other matter;
6. Disposal of wastes.
September 1997 15
ATV - M 801 – E
C. Process support functions

Process support functions are functions which provide the preconditions for or support the implementation of
the process functions.
The process support functions include:
1. Development, planning and construction of wastewater facilities;

2. Maintenance of plant equipment;
3. Provision of resources (internal/external);
4. Provision of personnel;
5. Marketing and sales;
6. Customer service.
These functions, which must be individually adapted to and described for the respective business, allow to
fulfil all the requirements of DIN EN ISO 9001 as well as of DIN EN ISO 14001. This results in an integrated
quality and environmental management system which overcomes the interfacing problems between the indi-
vidual standardisation requirements.
The system-controlling “management system” function is centrally integrated in the existing organisation,
from which it is then prescribed, controlled and documented accordingly.
All other functions orient themselves by the respective operational sequences, which must be allocated ac-
cordingly and be documented in process instructions. The provisions concerning the management system
constitute in conjunction with the process instructions the management manual. This way a practically ori-
ented, well manageable management system is achieved which allows to be easily implemented by the op-
erators of wastewater facilities.
6 Adoption of standardisation requirements on quality

and environmental management for operators of
wastewater facilities
As explained above, the requirements of the DIN EN ISO 9001 and DIN EN ISO 14001 standards allow to
be transferred to the functions of the integrated quality and environmental management system and to be
interpreted for the operators of wastewater facilities.
Figures 9 and 10 show the allocation of the requirements of these two international standards to the func-
tions of the integrated quality and environmental management system for operators of wastewater facilities.
This connection will be explained in more detail in this section.
The requirements of the standards on quality and environmental management are allocated to the functions
of the integrated quality and environmental management system in the form of a matrix. The standardisation
requirements are listed as sub-items of the respective standard (DIN EN ISO 9001 or DIN EN ISO 14001,
respectively). The crosses in a matrix show in which function of the integrated quality and environmental
management system the standardisation requirement concerned has been taken into account. Insofar as
individual lines do not contain any crosses, these are subtitles of the respective standard which do not con-
tain independent requirements (example: 4.1 Responsibility of the management).
Subsequent to the Figures 9 and 10, the functions of the integrated quality and environmental management
system are explained in detail, including the associated standardisation requirements. The explanations of
the individual functions consist of three sections, the first of which contains one or several brief guiding prin-
ciple(s) on the respective contents. On the basis of these, the DIN EN ISO requirements on quality and envi-
16 September 1997
ATV - M 801 – E
ronmental management, which are relevant for the respective function, are presented in brief summary form.
The regulations which the operators of wastewater facilities have to define in order to implement the stan-
dardisation requirements are presented in the subsequent, the last section.
Integrated quality and environmental 1. Management system A Executive

management system - Business presentation and policy functions
- Organisational structure and responsibilities
- Targets and programmes
- System structure
- Documentation of performance targets
- System evaluation
2. Observance of approvals / rules & standards / current findings
3. Communication (internal / external)
4. Verification documentation
5. Process evaluation
1. Plant operation B Process
2. Monitoring functions
3. Procedure with deviations / emergencies
4.+ 5. Acceptance / handover and discharge
6. Disposal of wastes
1. Development / planning / construction C Process
2. Maintenance support
Standardisation requirements on 3. Resources (internal / external) functions
quality management resulting from 4. Personnel
DIN EN ISO 9001 (August 1994)
5. Tenders and contracts
6. Customer service
4.1 Responsibility of the
management
4.1.1 Quality policy
4.1.2 Organisation
4.1.3 QM evaluation
4.2 QM system
4.2.1 General
4.2.2 QM process instructions
4.2.3 Quality planning
4.3 Contract verification
4.4 Design steering
4.5 Steering of documents and
data
4.6 Procurement
4.7 Products provided by the Not applicable
customer
4.8 Identification and traceability
4.9 Process control
4.10 Tests and inspections
4.10.2 On-receipt inspection
4.10.3 Intermediate inspections
4.10.4 Final inspections
4.10.5 Test records
4.11 Test equipment monitoring
4.12 Test status
4.13 Control of defective products
4.14 Corrective and preventive
measures
4.15 Handling/storage/packaging/
conservation/miscellaneous
4.16 Steering of quality records
4.17 Internal quality audits
4.18 Training
4.19 Maintenance
4.20 Statistical methods
Figure 9: Allocation of the standardisation requirements on the integrated quality and

environmental management system (DIN EN ISO 9001 [August 1994])
September 1997 17
ATV - M 801 – E
Integrated quality and 1. Management system A Executive

environmental management - Business presentation and policy functions
system - Organisational structure and responsibilities
- Targets and programmes
- System structure
- Documentation of performance targets
- System evaluation
2. Observance of approvals / rules & standards / current findings
3. Communication (internal / external)
4. Verification documentation
5. Process evaluation
1. Plant operation B Process
2. Monitoring functions
3. Procedure with deviations / emergencies
4.+ 5. Acceptance / handover and discharge
6. Disposal of wastes
1. Development / planning / construction C Process
2. Maintenance support
Standardisation requirements on 3. Resources (internal / external) functions
quality management resulting 4. Personnel
from DIN EN ISO 14001
5. Tenders and contracts
(October 1996)
6. Customer service
4.1 General requirements
4.2 Environmental policy
4.3 Planning
4.3.1 Environmental aspects
4.3.2 Statutory and other
requirements
4.3.3 Target setting and
individual objectives
4.3.4 Environmental manage-
ment programme
4.4 Implementation and
execution
4.4.1 Organisational struc-
ture and responsibility
4.4.2 Training, conscious-
ness and competence
4.4.3 Communication
4.4.4 Documentation of the
environmental manage-
ment system
4.4.5 Steering of documents
4.4.6 Process control
4.4.7 Emergency prevention
and measures
4.5 Control and corrective
measures
4.5.1 Monitoring and meas-
urement
4.5.2 Deviations, corrective
and preventive meas-
ures
4.5.3 Records
4.5.4 Environmental man-
agement audit
4.6 Evaluation by the top
management
Figure 10: Allocation of the standardisation requirements on the integrated quality and
environmental management system (DIN EN ISO 14001 [October 1996])
18 September 1997
ATV - M 801 – E
6.A Executive functions

In this section, the executive functions will be explained. These are divided into the following individual sec-
tors:
6.A.1 Management system

6.A.2 Observance of approvals/rules & standards
6.A.3 Communication (internal/external)
6.A.4 Verification documentation
6.A.5 Process evaluation
6.A.1 Executive function: Management system

The management system describes the structure and handling of the management system of the business
concerned.
The management system includes regulations on the following subject areas:
- Business presentation and policy;

- Organisational structure and responsibilities;
- Targets and programmes;
- System structure;
- Documentation of performance targets for the system;
- System evaluation.
These subject areas are presented below.
6.A.1.1 Business presentation and policy
In accordance with this function, the business is to be presented in general, and its superordinate
policy is to be described.
Requirements of the DIN EN ISO 9001 and DIN EN ISO 14001 standards
The policy is determined and documented by the top management. As far as its content is concerned, it
should be relevant and appropriate in respect of the type, scope and environmental effects of the activities,
products or services as well as in respect of the business’s own organisational objectives and the expecta-
tions and/or requirements of its customers. It contains all superordinate objectives and obligations to achieve
continuous improvement in particular as far as environmentally relevant aspects are concerned, to ensure
quality, to avoid environmental pollution as well as to comply with any relevant statutory and other require-
ments. Furthermore, the top management has to ensure that this policy is put into and maintained in practice
and is disclosed to all employees and communicated in an intelligible manner. It must be disclosed to the
public, at least insofar as environmentally relevant aspects are concerned.
Implementation for operators of wastewater facilities
Operators of wastewater facilities should formulate a few brief and comprehensible sentences in order to
present their business. This presentation should contain the following contents:
September 1997 19
ATV - M 801 – E
- Business name;
- Address;
- Operational form;
- Business management;
- Organisational structure;
- Wastewater facilities operated;
- Information on the catchment area;
- Short summary of the business history.
The following principles should be defined with respect to the business policy:
- Importance of wastewater disposal for the catchment area;

- Information of the public on the business’s activities;
- Cooperation with authorities as well as compliance with and implementation of the regulations provided
by environmental law;
- Obligation to continuously improve the environmental protection and avoid environmental impacts;
- Further treatment of substances, which are formed upon wastewater discharge and treatment;
- Avoidance of environmental impact groups, e. g. emissions;
- Energy utilisation such as biogas extraction and utilisation, for example;
- Self-control or self-monitoring procedures, respectively;
- Promotion of the employees’ sense of responsibility;
- Cooperation with partner businesses (neighbourhoods of clarification plants);
- Relationship to suppliers, e. g. of plant equipment and chemicals.
The objective is to present the business as a quality-oriented service provider in the sector of environmental
protection.
6.A.1.2 Organisational structure and responsibilities
The structural composition and connections within the business in respect of competencies and
effects are to be presented in accordance with this function.
The tasks, competencies and responsibilities of the staff as well as the organisational structure, from which
the mutual relationships of the individual organisational units or employees, respectively, can be drawn, are
to be presented. This includes that one or several Environmental and Quality Representative(s) of the top
management must be nominated, and it is to be ensured that the means required to implement, maintain
and monitor the respective aspects of the management system are available to them.
A representative of the top management has to provide a summary of the services of the management sys-
tem as a basis for its improvement.
The structural and operational organisation of the business must be unambiguously defined and docu-
mented in an appropriate manner. As far as the structural organisation is concerned, this can be done in the
form of organisational charts or organigrams, respectively, schedules of responsibilities, function and job
descriptions or responsibility matrices, for example.
Processes and activities are to be defined in instructions. As far as the actual plant operation is concerned,
the following worksheets are to be complied with:
20 September 1997
ATV - M 801 – E
- ATV-A 124 “Service and operating instruction for the staff of clarification plants”;
- ATV-A 140 “Rules for sewer operation”;
- ATV-A 148 “Service and operating instruction for the staff of wastewater pumping facilities, pressurised
pipes and rainfall basins”.
A “representative of the top management” is to be nominated from the business management. This repre-
sentative has to ensure, besides his other tasks, that the integrated quality and environmental management
system is indeed implemented, evaluated and maintained. He has to report to the top management on the
services of the management system.
A System Officer may be appointed for the introduction of the management system as well as the control
and monitoring of its application and effectiveness, who will, as a staff function, report directly to the busi-
ness management.
The responsibilities of the System Officer include in particular:
- Monitoring of the application, effectiveness and optimisation of the management system;

- Report to the business management (in particular to the “representative of the top management”);
- Organisation and execution of internal audits as well as preparation of the management evaluation.
6.A.1.3 Targets and programmes
This function requires specific performance targets for environmental and quality aspects, which are
to be maintained and/or achieved.
Both the targets and the procedure for their achievement with respect to environmental and quality aspects
must be defined for each function and level, taking the facilities to be operated, e. g. clarification plants,
sewer network, into account. Any relevant statutory and other requirements as well as the positions of any
relevant external groups and the general obligation to avoid environmental impacts must be complied with.
In addition, the technical options (e. g. “state of the art”), the environmental aspects as well as the respective
financial, operational and commercial frame conditions must be taken into account when defining the above
stated targets and procedure. Their general aim is to ensure continuous improvement.
The business objective of operators of wastewater facilities is to process and discharge wastewaters in a
defined area of responsibility in compliance with the quality standards, combined with an economical man-
agement of plant operation and in compliance with and observance of the requirements of the environmental
laws and regulations. Each business has a specific programme to achieve this objective, e. g. with respect to
the utilisation of wastewater facilities, compliance with the limit values required by law, or future investment.
Each business should define this programme for a reasonable period of time (five years, for example). The
topic might be: “This is what we want to achieve within the next five years”.
6.A.1.4 System structure
This function contains performance targets concerning the structure of the management system.
A management system has to be built up and introduced which takes all requirements of the standards into
account and processes them. Its structure must be presented and the user be referred to more far-reaching
or supplementary documents. This is to be documented and maintained in the form of a manual and process
instructions, whether in hardcopy or electronic form.
September 1997 21
ATV - M 801 – E
The system structure is more or less predetermined through the model of the integrated quality and envi-
ronmental management system (see Section 5, Fig. 8). The individual functions of the management system
are to be described on the basis of the organisational structure and responsibilities and to be documented in
a management manual (see Section 7). Cross references to service and operating instructions (in accor-
dance with the ATV-A 124, ATV-A 140 and ATV-A 148 worksheets) are to be taken into account.
6.A.1.5 Documentation of performance targets (instructions)
This function comprises the handling of the management manual, the process instructions as well
as any more far-reaching and/or supplementary instructions (such as service and operating instruc-
tions, for example).
Documents which have a steering or directive character, whether in hardcopy or electronic form, must be
controlled. They must be identified, verified and approved, distributed and monitored in order to ensure that,
on the one hand, the relevant departments are always in possession of an up-to-date issue of the released
version and, on the other hand, instructions that are out of date or inapplicable to the department concerned
are not applied. It is useful to have all documents amended and/or revised always by the same person or
department. These documents include, among others, information which has a directive character (such as
shift plans, for example).
The documentation of the system is independent of the system structure. The documentation of the inte-
grated quality and environmental management system consists of
- the management manual (see Section 7);

- the process instructions on the internal operational procedures and processes, and
- supplementary instructions such as service and operating instructions in accordance with the ATV-A
124, ATV-A 140 and ATV-A 148 worksheets.
It is to be determined for each document by whom it will be prepared, checked and released, and how it is to
be kept (place and time). These processing steps must be evident from the document.
The updating service is to be regulated for each document. Invalid documents must be marked unambigu-
ously as such and be destroyed. Compliance with the requirements contained in the documents is to be
monitored by the managerial staff.
6.A.1.6 System evaluation
This function requires procedures for the examination and improvement of the management system
The procedure for the regular evaluation of the management system for its suitability and effectiveness with
respect to the achievement of the business’s policy and objectives as well as of the requirements of the
standards must be determined also in respect of any corrective and preventive measures resulting there-
from. System audits must be scheduled and executed, which serve the purpose of examining the manage-
ment system and its implementation. System faults resulting therefrom or from other sources must be reme-
died by defined and monitored corrective (in the case of actual faults) or preventive measures (in the case of
potential faults), respectively. In addition, the management system must be regularly evaluated by the top
management as well, which will also examine the policy, objectives and environmental aspects defined by
22 September 1997
ATV - M 801 – E
the business and determine the results as well as any amendments, if required. The results of this evaluation
must be documented and published internally.
The integrated quality and environmental management system defined and introduced will never be com-
plete. It will change as the business changes and must continuously be adapted to its changing environment.
Potential gaps in the definitions concerning the management system must be recognised and new and
amended requirements, e. g. of the ATV Standards, be taken into consideration. The entire management
system will thus continuously be developed.
In order to ensure this, the system must be evaluated. Audits are to be performed in order to check how the
requirements of the management system are put into operational practice. These audits must then be evalu-
ated and any necessary corrective and preventive measures be derived from their results. It is advisable to
check the effectiveness of the corrective and preventive measures introduced, on the background of system
optimisation. The business management too has to regularly evaluate the system on the basis of such au-
dits, for example. The standard of evaluation are the internally defined targets.
The results of the system evaluation and the optimisation possibilities identified will result in continuous fur-
ther development of the organisation.
6.A.2 Executive function: Observance of approvals/rules & standards
This function contains requirements on the determination, achievement, tracing and control of the
implementation of the approvals required, as well as of any relevant statutory and other steering
requirements.
Within the framework of this function, compliance with the statutory industrial safety regulations and
accident prevention rules is to be ensured as well.
The statutory and other relevant requirements, e. g. the imposition of duties by competent authorities, must
be identified, made available and complied with. Invalid documents are to be marked appropriately, insofar
as they are still kept. The respective procedures are to be defined.
Operators of wastewater facilities have to observe and comply with a multitude of acts, ordinances, regula-
tions and rules. In addition, the operation of wastewater facilities is subject to approval. The competent au-
thorities may impose specific duties on the operators of wastewater facilities. The requirements resulting
therefrom determine the quality of wastewater disposal, among others. They must therefore be recorded
systematically and continuously be updated.
The transmission of these requirements to the operational staff in charge thereof and their implementation
into operational practice must be regulated.
Non-observance of statutory or other relevant requirements may, besides the damage to the business’s
reputation, have consequences under criminal or liability law or consequences under the administrative of-
fence law for the business and its responsible employees, as well as result in direct environmental impacts
(e. g. water pollution). Organisational precautions within the management system will protect the business
against the reproach of an organisational fault in addition.
September 1997 23
ATV - M 801 – E
6.A.3 Executive function: Communication (internal/external)
This function comprises the identification, determination and execution of the communication meas-
ures required, both externally with authorities and other relevant groups and internally within the
own business organisation.
Procedures for the internal communication between the functions and levels as well as for the external
communication with relevant groups and authorities must be introduced. This communication should take
place in the form of a dialogue.
Operators of wastewater facilities have to ensure the information exchange within their businesses up to the
business management, as well as public relations. The treatment of environmentally relevant events and
incidents, which must be reported to the competent authorities, is to be regulated as well.
Information and notification obligations for these and other specific events, but also for various operating
states, e. g. within the framework of maintenance, must be defined. Information for authorities and the public
must be checked and released.
It is advisable to define in writing any cooperation in committees and associations.
6.A.4 Executive function: Verification documentation
This function requires definitions concerning the handling of records that serve as evidence of the
activities carried out, characteristics determined and events within the processes (such as test re-
cords, for example) or the system (e. g. system audits).
Records of activities, characteristics and events, whether in hardcopy or electronic form, must be marked in
an identifiable, traceable manner, be kept in an available place for a predetermined period of time, and then
be destroyed. Records of tests must contain, besides the evidence of the relevant test’s execution, the result
in relation to the acceptance criteria. The records prove the compliance with the requirements of the stan-
dards, as specified within the management system. Therefore, any records of suppliers or supplying cus-
tomers, respectively, which are associated with products, activities or services are a constituent part of these
records too.
The procedures required therefor are to be defined.
All records must be systematically marked so that each individual document can unambiguously be identified
and allocated to other documents or records, samples, materials, plant components and the like, respec-
tively. The records are to be confirmed and the date and signature of the person in charge is to be included.
The periods for which the records must be preserved are to be determined.
All records are to be kept in a systematic order and to be destroyed as soon as the period for which they
have to be preserved has elapsed. Any regulations and standards applying to specific records, e. g. to test
specifications, are to be complied with. This applies, in particular, for:
24 September 1997
ATV - M 801 – E
- Records on wastewater quality;

- Records on sewage sludge disposal;
- Company’s log book records;
- Volumes of the wastewater discharged;
- and the like.
6.A.5 Executive function: Process evaluation

This function comprises procedures for the verification and improvement of the processes and func-
tions.
Process evaluation is the basis for continuous improvement of the processes. Its objective is, pri-
marily, to increase the efficiency of these processes and completely fulfil all requirements with re-
spect to the process.
The procedures for the regular evaluation of the suitability and effectiveness of the processes and functions
with respect to the achievement of the business’s policy and objectives as well as of the requirements of the
standards must be determined also in respect of any corrective and preventive measures resulting there-
from. Audits must be scheduled and executed in order to check whether the activities (processes) and asso-
ciated results (products) achieve the performance targets planned. Insofar as this is required or necessary,
statistical methods must be identified and used for the determination, monitoring and verification both of the
process-suitability and product characteristics. Faults of the activities (processes) and their results (products)
resulting therefrom or from other sources must be remedied by defined and monitored corrective (in the case
of actual faults) or preventive measures (in the case of potential faults), respectively, in order to prevent re-
peated deviations from the performance targets planned. The evaluation of the processes and functions,
also with respect to quality and environmental aspects, is to be performed by the top management, which
will also determine any amendments, if required.
Similarly to the system evaluation, the process evaluation may be based on audits, however, not the effec-
tiveness of the management system is checked in this case, but the activities within a process. By analogy
with the system evaluation, corrective and preventive measures are to be derived, implemented and their
implementation and efficiency be checked in the case of process evaluation too.
6.B Process functions

In this section, the process functions will be explained. These are subdivided into the following individual
sectors:
6.B.1 Plant operation

6.B.2 Monitoring
6.B.3 Procedure with deviations and in cases of emergency
6.B.4 Acceptance and handover of wastewater as well as discharge of wastewater
6.B.5 Acceptance of faecal waste, sewage sludge and other matter
6.B.6 Disposal of wastes
6.B.1 Process function: Plant operation

Planning and control of the processes of wastewater discharge, wastewater treatment and the
treatment of substances, which are produced during wastewater discharge and wastewater treat-
ment, have a direct influence on the quality of wastewater disposal as well as on the interaction with
the environment (water, earth, air).
September 1997 25
ATV - M 801 – E
The respective processes are to be planned and realised and must take place under controllable conditions.
Appropriate process instructions are to be prepared therefor.
Procedures must be defined, which ensure the unambiguous traceability of the products, insofar as such
traceability is advisable or required due to contractual, legal or technical regulations.
The development, planning and construction of wastewater facilities in order to comply with the statutory
requirements is based on the ATV Standards, which are supplementary and give final form to these re-
quirements, and other technical standards. Appropriate process instructions and automation concepts both
for individual and integrated operational sequences, by which the processes are controlled, result therefrom
when realising plant operation. These are, substantially, functional descriptions, operating instructions,
safety notes, which are based on process and piping & instrument flow diagrams (P&I drawings) in accor-
dance with DIN 28004, as well as component-related maintenance, operating and repair instructions. These
steering instruments must be prepared and documented in full detail for operation.
These object-related instruments concerning the control of plant operation are supported by the following
generally valid, transferable contributions to the Standards, among others:
- ATV-A 148 “Service and operating instruction for the staff of wastewater pumping facilities, pressure
pipes and rainfall basins”;
- ATV-A 140 “Rules for sewer operation”;
- ATV-M 268 “Control and regulation of the N elimination during the aeration process”;
- ATV-M 704 “Operating methods for the self-monitoring of wastewater facilities”;
as well as other contributions to the Standards, which are prepared at present.
Operators of wastewater facilities have to manage the business’s affairs in accordance with the object-
related steering instruments, the requirements of the Standards and other technical standards. The object-
related steering instruments must be checked for compliance with the requirements of the Standards. Op-
timisations, adjustments and improvements of process flows are to be documented and attached to the ex-
isting steering instruments.
Any data which are necessary for plant operation and in order to ensure traceability, if required, must be
recorded and documented.
6.B.2 Process function: Monitoring

This function requires to monitor the processes of wastewater discharge, wastewater treatment and
the treatment of wastes from wastewater facilities, in order to comply with the quality and environ-
mental requirements.
Decisive parameters of process flows, activities and processes, which may involve effects on the wastewa-
ter’s quality and/or environmental effects, are to be regularly monitored and measured. Documented proce-
dures are to be defined for this purpose, which include any records of information. The objective is to allow
the reader to directly recognise that tests - whether with a positive or negative result - were carried out.
Monitoring devices must be verifiably calibrated, i. e. calibration is to be documented, and be maintained in

proper working order (refer to 6.C.2 Maintenance of plant equipment).
26 September 1997
ATV - M 801 – E
A documented procedure for the evaluation of the compliance with any relevant regulations is to be defined
as well.
The type and scope of monitoring of the operation of wastewater facilities depend on the requirements de-
scribed in the notices of approval given under the water laws, as well as on the comments to the country-
specific regulations on self-control or self-monitoring, respectively.
The persons in charge of the individual tasks have to execute the steering and control measures in accor-
dance with the service instructions. This includes the organisation of personnel placement (sufficient number
and qualification of staff), the monitoring and documentation of the analyses (procedures, equipment opera-
tion and measurement results) as well as the conclusions from the data acquired (control, trouble shooting,
alarm triggering, ...).
Repeated further training of the staff will usually be required in order to be able to use and operate the exist-
ing and/or new process and measurement-control equipment in the best possible way.
6.B.3 Process function: Procedure with deviations and in cases of emergency

This function requires determinations with respect to the planning of the approach in the case of
deviations and/or emergencies. Deviations and emergencies in wastewater discharge, wastewater
treatment and the treatment of substances, which are produced during wastewater discharge and
wastewater treatment, may, on the one hand, result in the discharge and/or clarification parameters
prescribed being exceeded (quality characteristics) or lead to personal damage or damage to build-
ing structures. In specific circumstances, the consequences of deviations and emergencies may also
affect the environment, e. g. lead to water pollutions.
Procedures including the responsibilities for the prevention and limitation of environmental impacts due to
faults as well as the approach in accidents and cases of emergency are to be defined. The measures deter-
mined must be regularly reviewed and updated, if necessary.
Faults must be examined and evaluated. Corrective and preventive measures are to be defined in order to
remove the causes and prevent actual or potential deviations and emergencies, respectively.
In addition, procedures must be defined which ensure that defective products are not unintentionally used
any further.
Customer complaints are to be accepted and processed in accordance with a predetermined procedure.
Deviations occurring during wastewater discharge and clarification are not always faults, in other words:
Such situations do not always result in faulty products (e. g. insufficiently clarified wastewater). Any devia-
tions from the set values must be documented and analysed. They should be immediately removed, if possi-
ble, before a fault occurs. The competent authorities are to be notified, if applicable. The authorities must be
notified in any case, if a limit value has been exceeded. A deviation is deemed to be an operational situation,
the process of which is within the tolerances of a given system (e. g. indication of a pump fault -> the spare
power unit is switched on and the fault is cleared).
If a faulty product was produced, its suitability for further use is to be checked on the basis of the product
type. “Real” products (sewage sludge, precipitants or the like) can be disposed of by or returned to the sup-
plier. Clarified wastewater, however, which does not comply with the limit values, allows to be retained - if
possible at all - only to a very limited extent. Deviations may be caused by various reasons.
September 1997 27
ATV - M 801 – E
It is impossible to foresee the occurrence, extent and order of events of an accident or emergency. What we
can do is, however, to consider how the consequences of an emergency might be diminished. All measures
must be adjusted to the local conditions.
Besides structural preventive measures, which depend on the local conditions and plant size, operational
preventive measures, such as keeping spare power units, spare parts and equipment in stock, must be
taken in order to be able to quickly counteract deviations and emergencies.
Internal alarm and action plans for deviations and emergencies are to be prepared for closed or operationally
connected drainage territories. These plans should also determine the responsibilities and authorities to
issue directives, besides the respective measures. The notification and report path up to the business man-
agement as well as an instruction concerning the behaviour in cases of operating troubles are to be defined
by a respective service and operating instruction in order to allow the staff to act in a case of a fault indica-
tion or operating trouble in the best possible way (also during on-call standby service).
The preparation of service and operating instructions as well as of emergency, alarm and action plans will be
based on the following rules & standards and work reports in dependence on the subject, besides the rec-
ommendations of the Federal Ministry of the Interior, e. g. on intra-company disaster services and proce-
dures:
- ATV-A 140 “Rules for sewer operation”, Part I: Sewer network;
- ATV-A 148 “Service and operating instruction for the staff of wastewater pumping facilities, pressure
pipes and rainfall basins”;
- ATV-M 108 “Measures against hazardous substances in wastewater facilities - Notes for an operating
instruction”;
- ATV-M 141 “Preventive measures for emergencies in public wastewater facilities”;
- ATV Work Report “Operational troubles at clarification plants”;
- ATV Work Report “On call standby service in municipal sewerage”;
- ATV Work Report “Important information for the operation of wastewater treatment plants in the case of
an emergency situation caused by radioactive substances”.
The organisational charts are to be regularly reviewed and coordinated with the competent authorities as
well as the respective police department, fire brigade, disaster service and other important institutions, if
applicable.
Any failures and emergencies occurred must be recorded in an appropriate way and documented (e. g. com-
pany’s log book).
6.B.4 Process function: Acceptance and handover of wastewater as well as discharge of

wastewater
This function comprises the acceptance and handover of wastewater as well as the discharge of
wastewater. This is where the most important interfaces between the customer, the operator of the
wastewater facility and the environment occur. The quality of the wastewater accepted by the opera-
tor of the wastewater facility substantially influences the quality of wastewater treatment. The quality
of the sewage sludges and wastes produced during wastewater treatment too depends on the in-
coming wastewater’s quality. Legislation prescribes strict quality requirements for these two inter-
faces (acceptance and handover) in the form of limit values of the water constituents.
As far as traceability of products is required by contract or from a legal or technical point of view, procedures
must be defined to unambiguously identify these products. Products supplied by others must not be treated
until checked for their compliance with the quality requirements determined (on-receipt inspection). The final
products are to be checked in order to verify that they fulfil the quality requirements which were defined for
28 September 1997
ATV - M 801 – E
final products (final inspection). The inspection status of a product after on-receipt inspection and after final
inspection must be identifiable in order to prevent further treatment of products which did not pass the in-
spection tests.
Operators of wastewater facilities have to ensure that these facilities are erected and operated in compliance
with the legal requirements, in particular those of the notices of approval and the provisions of the water
laws. An instrument which is indispensable in this respect is to legally and actually guarantee that the waste-
water volumes and wastewater qualities admitted by the competent authorities are observed. This is done
via conditions of use of the wastewater facilities by third parties, which are adjusted to the capacity and state
of approval of the wastewater facilities (“municipal draining regulations”, “sewerage utilisation licences”,
“disposal agreements”), on the one hand, and by supervision of compliance, on the other hand, as well as
permanent control of the facility’s operability (“self-monitoring”, “water protection officer”), which completes
the official monitoring procedure and makes its results foreseeable.
Own initiatives, optimisations of the facilities used for wastewater discharge and treatment as well as of the
operation executed - which will however usually have to be coordinated with the competent authorities - may
increase the process stability and lead to better clarification results. These improvements may have positive
effects on the equipment used, the staff’s motivation as well as the acceptance of the wastewater facility in
society. This may help to avoid costly extensions, reduce the amount of the wastewater charges to be paid
and open up new scopes for the development of water economy and urban planning.
In any other respect, the operator has to ensure by information, inspections and measures within the catch-
ment area of his wastewater facility that no substances are discharged which would render the wastewater
treatment applied impossible. If this is not possible, he has to - in consideration of the appropriateness - ei-
ther provide suitable treatment methods or modify those available so that these substances are eliminated or
transformed into harmless forms.
The following supporting measures are helpful:
- Preparation of municipal draining regulations, taking into account:

ATV-A 105 “Information on the selection of the draining method (mixed sewage system / separate
sewage system)”;
ATV-A 115 “Introduction of non-domestic wastewater into a public wastewater facility”;
ATV-A 116 “Special draining methods - vacuum drainage / pressure drainage”;
ATV-A 140 “Rules for sewer operation”
and granting:
Rights of control and rights to obtain access;

Provisions concerning liability and the shifting of costs;
etc.
- Preparation of an operating instruction in terms of rules for sewer operation (e. g. in accordance with
ATV-M 143 “Inspection, repair, reconstruction and renewal of sewers and sewage pipes”) including ac-
cident prophylaxis;
- Preparation of a register of indirect introducers (in accordance with ATV-A 163 “Indirect introducers”,
Part 1 and 2);
- Preparation of a register of wastewater facilities (in accordance with ATV-A 145 “Build-up and applica-
tion of a sewer database”);
- State classification and state evaluation of the wastewater facilities;
- Registration, evaluation and updating of the assets of municipal sewerage systems (in accordance with
ATV-A 133 “Registration, evaluation and updating of the assets of municipal sewerage systems”);
- Ensuring of sample collection at and control of the clarification plant inlet and discharge;
- Annual examination of organisational and regulative danger points (e. g. via the water protection offi-
cer);
September 1997 29
ATV - M 801 – E
- Mandatory annual report to the legally responsible operator of the facility (e. g. via or in cooperation
with the water protection officer).
6.B.5 Process function: Acceptance of faecal waste, sewage sludge and other matter
This function comprises the acceptance of faecal waste and sewage sludge as well as of other mat-
ter (e. g. the contents of separation plants). This is an important interface between the customer, the
operator of the wastewater facility and the external firms, if any, charged with delivering faecal waste
to the wastewater facility for example. The quality of the matter accepted by the operator of the
wastewater facility substantially influences the quality of wastewater treatment. The quality of the
sewage sludges and other wastes produced during wastewater treatment too depends on the quality
of the incoming matter.
As far as traceability of products is required by contract or from a legal or technical point of view, procedures
must be defined to unambiguously identify these products. Products supplied by others must not be treated
until checked for their compliance with the quality requirements determined (on-receipt inspection). The final
products are to be checked in order to verify that they fulfil the quality requirements which were defined for
final products (final inspection). The inspection status of a product after on-receipt inspection and final in-
spection must be identifiable in order to prevent further treatment of products which did not pass the inspec-
tion tests.
Operators of wastewater facilities have to ensure that these facilities are erected and operated in compliance
with the legal requirements, in particular those of the notices of approval and the provisions of the water
laws. Provided that these requirements allow, or do not exclude, cotreatment of faecal waste, sewage sludge
and other matter which is discontinuously produced, it must be legally and actually guaranteed that the
wastewater volumes and wastewater qualities admitted by the competent authorities are complied with even
in the case of such cotreatment. This is done via conditions of use of the wastewater facilities by third par-
ties, which are adjusted to the capacity and state of approval of the wastewater facilities (“sludge removal
regulations”, “facility utilisation agreements”, “disposal agreements”, etc.). From an organisational point of
view, receiver basins or homogenisation basins must be provided, reserved samples be ensured and ex-
aminations be carried out whether the matter delivered is, on the one hand, available for treatment in the
clarification plant and, on the other hand, does not disturb the operation of the clarification plant and subse-
quent sludge treatment and sludge utilisation. As far as legal aspects are concerned, reacceptance obliga-
tions are to be agreed for the case that the matter delivered might not be suited for common treatment. Noti-
fication duties and licence requirements, if any, are to be fulfilled. The type and amount of the matter deliv-
ered as well as its producer(s) must be recorded in the company’s log books. Reserved samples and the
results of the analyses must allow to be allocated.
In any other respect, the statements provided in 6.B.4 shall apply accordingly.
6.B.6 Process function: Disposal of wastes

This function comprises the sewage sludge produced during wastewater treatment, which must be
utilised or properly disposed of, e. g. by application of sewage sludge to agricultural areas or dump-
ing of sand trapping residues and ashes from sewage sludge incineration, or of rakings. Utilisation
is to be preferred to disposal as a matter of principle. The operator of the wastewater facility will pre-
dominantly charge external service providers with the utilisation and/or disposal. The requirements,
which must be complied with in this respect, are in particular prescribed by the waste legislation.
The operator of the wastewater facility has to fulfil his obligations as a waste disposer, in this re-
spect.
30 September 1997
ATV - M 801 – E
If wastes are modified so that they can be marketed or sold, this is considered to be a “product develop-
ment”. The procedures required therefor are to be defined (see Section 6.B.1).
Insofar as sewage sludges and wastes are disposed of by third parties, these businesses must be evaluated
whether they comply with the quality requirements determined. Sewage sludges or wastes, the traceability of
which is legally prescribed, are to be identified accordingly. This identification is to be documented.
If sewage sludges and wastes are utilised or disposed of by the operator of the wastewater facility himself,
the requirements of the standards with respect to plant operation (see Section 6.B.1) shall apply. The proce-
dures for handling, storage, packaging, conservation and shipment of wastes are to be defined.
The development, planning, construction of and operating instructions for wastewater treatment facilities
provide the substantial boundary conditions in terms of process engineering in order to ensure the utilisation
and/or disposal paths for sewage sludge and wastes which are defined at the realisation stage. The running
processes are to be carefully supervised in order to ensure the required quality of the sewage sludge and/or
wastes. This is to be checked by samples and analyses, to be evidenced and documented. The operator is
recommended to continuously check his wastewater treatment process whether the sewage sludge or waste
resulting from wastewater treatment allows to be securely utilised or disposed of, taking changing statutory
and/or technical developments/requirements (Recycling Management and Waste Law, Fertilizer Law, and
others) into account. New equipment or process modifications can also be useful in order to achieve the aim
of improving safety in the long term or promoting or enabling wastes to be fed back into the material cycle in
accordance with the above stated “product development”.
6.C Process support functions

In this section, the process support functions will be explained. These are subdivided into the following indi-
vidual sectors:
6.C.1 Development, planning and construction of wastewater facilities

6.C.2 Maintenance of plant equipment
6.C.3 Provision of resources (internal/external)
6.C.4 Provision of personnel
6.C.5 Tenders and contracts
6.C.6 Customer service
6.C.1 Process support function: Development, planning and construction of wastewater

facilities
The fulfilment of the requirements on quality and environmental protection starts with the develop-
ment, planning and construction of the wastewater facilities. The requirements on and procedures
for the development, planning and construction already must be determined in order to allow the
wastewater facilities erected to be properly operated.
Development and planning procedures are to be defined. The activities required and the responsibilities
determined for their execution must be documented in charts. The performance targets of development and
planning are to be determined, documented and checked.
Organisational and technical interfaces between the persons involved in the development and planning are
to be regulated.
September 1997 31
ATV - M 801 – E
The results of development and planning are to be documented. The documentation of these results is to be
checked before it may be released.
Checks of the results are to be planned, carried out and documented at appropriate stages of development
and planning. Examinations are to be performed at appropriate stages of development and planning in order
to confirm that the requirements were complied with, and respective evidence is to be provided. The product
is to be examined in order to confirm that the specific requirements of the user concerning its intended use
are complied with, and evidence is to be submitted.
Changes in development and planning are to be identified, documented, verified and approved by the per-
sons authorised thereto.
All processes connected with the construction or erection of the facility, which directly influence the facility’s
quality, must be identified, planned and executed under controlled conditions.
The regulation of the functions of the development, planning and construction of wastewater facilities is not
only relevant to the operators of these wastewater facilities, insofar as these perform activities themselves:
External engineering offices, building subcontractors and service providers too must comply with the quality
standards set. If external businesses are charged with development, planning and/or construction, the op-
erators of the wastewater facilities are obliged to check whether the external businesses are able to fulfil the
requirements of the standards before they may place an order with them. Fulfilment of the requirements
must be checked by the operators also while and after the services are or were provided.
If the operators develop, plan and construct their wastewater facilities themselves, the requirements of the
standards are to be unrestrictedly complied with as well. This applies, for example, to the development of
wastewater discharge and treatment processes, which are required in order to fulfil specific tasks of waste-
water disposal, to the development and selection of the necessary process equipment, the planning and
dimensioning of the plant equipment and the erection and installation of the wastewater facilities.
As far as the quality of the complete facilities or projects in the area of wastewater disposal is concerned, not
only the technical requirements must be fulfilled, but funding and feasibility be considered as well.
The requirements of the standards also apply to modifications and/or extensions of wastewater facilities
including equipment.
6.C.2 Process support function: Maintenance of plant equipment

The requirements on the quality and the environmental protection in wastewater disposal can only
be fulfilled if the facilities and operating equipment are in a proper working condition (desired condi-
tion). The proper working condition of the facilities and operating equipment is ensured by mainte-
nance work. Maintenance includes any measures required to keep and restore the desired condition
as well as to determine and examine the actual condition of the facilities and operating equipment or
their components, respectively (in accordance with DIN 31051). Requirements on the quality and the
environmental protection must also be fulfilled when performing maintenance work.
Maintenance measures may directly influence the quality of the wastewater disposal and/or initiate or lead to
interactions with the environment, respectively. Appropriate maintenance measures must be identified,
planned and executed under controlled conditions.
In addition, procedures are to be defined for the monitoring, calibration and maintenance of the test equip-
ment. This applies insofar as the test equipment serves the verification of the quality requirements deter-
mined for the wastewater disposal and the operation of wastewater facilities.
32 September 1997
ATV - M 801 – E
The requirements on the maintenance of wastewater facilities are generally prescribed by the Water Act of
the respective federal state and the regulations derived therefrom, if any, such as self-control regulations (e.
g. “Auto-monitoring Ordinance”, German: “Selbstüberwachungsverordnung” - SüwVKan - of the federal state
of North Rhine-Westphalia).
The operator of the wastewater facilities has to ensure maintenance on this basis. Maintenance may be per-
formed both by own staff and outside placing of orders. If maintenance work is allocated to external busi-
nesses, it is to be checked whether these businesses are able to fulfil the requirements of the standards
before they may be charged with any work. The operator has to check their compliance with the standards
and requirements both during and after the services are or were furnished. All operational and maintenance
measures must be documented in the form of an operational report / company log book. More information on
this topic is contained in ATV-A 124, ATV-A 140, ATV-A 147 and ATV-A 148, among others.
As far as the sewerage system is concerned, the test equipment must be adjusted to the plant type (e. g. TV
camera for the inspection of impassable sewers, magnetic-inductive flow measurement for the determination
of the pump capacity, operating-hours meter).
Special requirements on the test equipment are prescribed by the safety and accident prevention rules (e. g.
“Local Drainage”, German: “Ortsentwässerung”; “Safety Rules for Work in Enclosed Rooms of Wastewater
Facilities - Operation -“, German: “Sicherheitsregeln für Arbeiten in umschlossenen Räumen von ab-
wassertechnischen Anlagen - Betrieb -“) and relevant DIN and VDE standards as well as the maintenance
instructions of the suppliers.
It applies both to the areas of “sewerage” and “clarification plants” that faults of the plant equipment, which
affect the quality of the wastewater introduced in the preclarifier, must be reduced to the absolutely unavoid-
able degree via the following organised and documented maintenance steps
- Inspection;
- Maintenance and
- Repair.
The consequences of faults are to be minimised by organising immediate response to any potential faults.
A useful organisation is based on an inventory file (manual card index or EDP-assisted file) and keeping
sufficient spare and wear parts or entire power units in stock.
The adaptation of the staff’s qualification to new requirements (new technologies, new appliances, ...) must
be ensured by further training and be documented.
6.C.3 Process support function: Provision of resources (internal/external)

This function comprises the procurement and handling of goods (raw materials and manufacturing
supplies), energy, water, and the like as well as the procurement of services.
The procedures how to determine the requirements on the goods and services procured and how to ensure
that these are fulfilled and complied with by the supplier are to be defined. This includes documented evalua-
tion and selection of suppliers. The businesses must be able to fulfil their contractual as well as any envi-
ronmentally relevant and quality-related requirements of the business, due to their qualification. The manner
how and the extent to which the requirements determined are complied with is to be monitored. Potential
tests are therefore to be defined in addition, which must be carried out by the business itself or by the end-
user before an order may be placed. While procuring goods and services, the documents used (e. g. specifi-
cations) are to be treated as directives.
September 1997 33
ATV - M 801 – E
Operators of wastewater facilities have to check their suppliers (building contractors, engineering offices,
and others) whether these are able to comply with the environmentally relevant and quality-related require-
ments (e. g. of the respective DIN standards), which specifically apply to wastewater disposal. During the
selection of materials (raw materials, manufacturing supplies), their environmental compatibility must be
considered appropriately. The business has to define and document the procedures to be applied to select
and monitor its contractors in this respect. The requirements of the Contracting Regulations for Award of
Public Works Contracts (German: Verdingungsordnung für Bauleistungen, VOB) and of the Contracting
Regulations for Award of Service Contracts (German: Verdingungsordnung für Leistungen, VOL) as well as
of the Contracting Regulations for Award of Professional Services (German: Verdingungsordnung für
freiberufliche Leistungen, VOF) are to be observed within the framework of the tendering and contracts
awarding procedure.
Contractors who fulfil the respective requirements are deemed to be eligible and must be included in a “list of
eligible contractors”. The contractors included in this list are to be considered during the contract awarding
procedure. The services furnished by these contractors are to be checked by the employer as well, e. g. in
the form of inspections of the incoming goods in the case of material or chemical deliveries. If deviations
from the requirements determined are detected during these inspections, the supplier must be notified. He is
then obliged to take appropriate steps against these deviations.
In addition, the business has to control the materials and spare parts kept in stock as well as their storage
conditions. This includes, among others, the determination of the minimum stocks, which are on top of this
required to immediately remove any fault occurring during wastewater discharge or clarification.
In terms of the law on environmental protection, any relevant legal requirements (e. g. “Ordinance on Facili-
ties Carrying Water-endangering Substances”; German: “Verordnung über Anlagen zum Umgang mit
wassergefährdenden Stoffen”, VAwS) as well as the licenses granted and conditions imposed, if any, must
be complied with when storing substances.
The provisions of the advisory leaflet ATV-M 601 “Quality Assurance During the Planning and Supervision of
the Construction of Wastewater and Waste Disposal Facilities” are to be observed.
6.C.4 Process support function: Provision of personnel

This function contains performance targets for the provision of qualified personnel through appro-
priate selection, training and further training.
The management has to ensure that all employees who perform activities which might affect the environ-
ment or quality, or hold a respective responsibility, are sufficiently qualified. In this respect, the management
has to define procedures for the determination of the actual need and for the execution of training courses.
On top of this, the management must achieve that the employees’ awareness of the possibilities to exercise
influence on the environment, which they are provided by their activities or the processes in their areas of
responsibility, respectively, as well as of their tasks and responsibilities in the implementation of the man-
agement system is raised.
During the operation of wastewater facilities, sufficiently qualified personnel must be deployed. Training of
these employees is partially regulated by training ordinances (e. g. “Ordinance on the Training for the Pro-
fession of Supply and Disposal Technician”, German: “Verordnung über die Berufsausbildung zum (zur) Ver-
und Entsorger(in)”). Applicants are to be chosen for vacant positions within the business who are appropri-
ately qualified. New employees must be introduced to their work. The training required to maintain or extend
the staff’s qualification is to be determined, and training measures are to be planned, executed and docu-
mented on the basis of this. Within the framework of the introduction of the integrated management system,
the employees are to be trained in quality and environmental management.
34 September 1997
ATV - M 801 – E
If external personnel is charged with the above stated activities and responsibilities, their compliance with
the qualification requirements is to be ensured as well.
The qualification of the officers who must be appointed (e. g. the water protection officer) depends on the
provisions of the respective rules & standards.
6.C.5 Process support function: Tenders and contracts

This function contains provisions concerning the handling of tenders and contracts which are to be
provided by the operator of the wastewater facility.
When preparing a tender or utilisation agreement, the business has to check whether it is able to fulfil the
requirements contained therein. Before submitting a tender or contract, the business has to check whether
their provisions are fair and have been amicably agreed upon, whether any deviations between the tender
and the agreement have been cleared up, and whether they contain a procedure for the execution and sub-
mission of amendments to the agreements. The procedures required therefor are to be defined.
Operators of wastewater facilities have to ensure that each and every offer to conclude a contract, such as
- Agreements on the acceptance of faecal waste and sewage sludge;

- Extensions of the association’s territory;
- Maintenance of third parties’ sewer systems, and
- Other services offered to third parties (customers),
is comprehensively checked for its feasibility. In this respect, both the requirements of the customer and any
legal boundary conditions which may influence the feasibility of the contract are to be completely recorded.
The contract must not be concluded until all requirements are checked for feasibility and all deviations be-
tween the customer’s requirements and the tender submitted, if any, are cleared up.
6.C.6 Process support function: Customer service

Operators of wastewater facilities may furnish other services, e. g. maintenance work, for their cus-
tomers. This function contains the performance targets required therefor.
Insofar as the customer service constitutes a defined requirement, the procedures for the execution and
control of the customer service as well as for the reporting on the compliance with the requirements deter-
mined for the customer service are to be defined.
Customer service is relevant to the operators of wastewater facilities only if it has been expressly agreed as
a service to be furnished in accordance with the contract. In this case, the requirements of the standards
must unrestrictedly be complied with by the operators of the wastewater facilities. If this service is, however,
not offered by the operator, the “customer service” process support function is to be identified as “not appli-
cable” within the documentation of the integrated quality and environmental management system. No further
statement on this subject is required in this case.
In accordance with the standard, customer service (note: this term is replaced by “maintenance” since the
amendment of DIN EN ISO 9001 in 1994) can be interpreted as cleaning third parties’ sewer systems or
road inlets for a consideration, for example.
September 1997 35
ATV - M 801 – E
As far as the implementation of the customer service is concerned, the operator has to provide written in-
structions which define the exact procedure of service provision. This applies both to the exact data of the
performance specification (for example: manpower planning for the customer service, reporting on the scope
of services furnished, time sheets, etc.) as well as to the inspections required, with the employees responsi-
ble therefor being stated. The documentation of the services furnished and inspections performed must allow
to identify whether the customers’ requirements were complied with in accordance with the contractual
agreement. Since the employees of the customer service are frequently in direct contact with the customers,
they constitute an important source of information on the customers’ satisfaction with the services offered,
and should be instructed accordingly.
7 Documentation
The integrated quality and environmental management system is documented in a management manual
(see Figure 11). This manual contains all basic performance targets for quality and environmental manage-
ment and regulates their implementation. The management manual consists of provisions concerning the
management system and process instructions. The provisions on the management system include the per-
formance targets of the correspondent function, which steer the system, including the structural organisation.
All other functions of the management system are constituent parts of the operational organisation. They are
described in process instructions in dependence on the subdivision of the processes they consist of.
Insofar as required, they are supplemented by further, more precise work instructions for specific activities. It
is recommended to define a uniform composition of all process and work instructions in order to achieve a
uniform structure and thus a user-friendly operability and acceptance.
Quality and environmental management manual
Determination
of the
management
system
QM and EM
process instructions
Work instructions
and
operating instructions
Figure 11: Documentation of the management system
36 September 1997
ATV - M 801 – E
8 Certification
Why certify management systems?
First of all it is to be noted that the certification of management systems is on principle performed on a volun-
tary basis, i. e. it is not required by law.
Operators of wastewater facilities who have introduced an integrated quality and environmental manage-
ment system in their businesses, are provided with the opportunity to have their business certified. Through
this certification the business may obtain the verification that the management system it has introduced and
the documentation relating thereto are in conformity with the respective standards. The following perform-
ance targets are connected with the certificate issued:
- The certificate states that the organisation is adjusted to international scales, which strengthens its
competitiveness;
- Such evidence may be required in particular for public invitations to bid;
- A certificate of an accredited certifying agency may be submitted as an independent verification, in
order to avoid time-consuming individual tests by different employers;
- The certificate serves to improve the business’s image, since the business can prove this way that it
complies with the “state of the art” in organisational matters.
Integrated certification
Both an environmental management system in accordance with DIN EN ISO 14001 and a quality manage-
ment system in accordance with DIN EN ISO 9001 may be certified by agencies which are approved by the
Trägergemeinschaft für Akkreditierung GmbH, TGA (Association for Accreditation, a limited liability com-
pany). Operators of wastewater facilities who develop neither equipment nor processes or products on the
basis of sewages sludge treatment may also comply with DIN EN ISO 9002 to have their quality manage-
ment system certified.
When selecting the certifying body, attention should be paid to the requirement that the evaluation of the
quality and environmental management system must be based on an integrated certification procedure.
After the conclusion of a contract (see Fig. 12) each business will usually receive a list of short questions
concerning all environmental management and quality management elements, for the purpose of audit
preparation. The certifying body will then, on the basis of the answers given, evaluate whether the integrated
quality and environmental management system of the business is sufficiently developed to allow it to be
subjected to a certification audit.
At the business’s request, a pre-audit may be carried out to take inventory and settle all open questions on
presentation and structure, if any.
If the preconditions for performing a certification audit are deemed sufficient, a detailed review of the man-
agement manual and other documents, if required, for their compliance with the requirements of the stan-
dard specifications will follow.
Subsequently the actual certification audit within the business will be carried out on the basis of a compre-
hensive list of questions. For this purpose, the certifying agency will talk to the most different contacts from
all levels of the business’s hierarchy and check the implementation of the requirements of the standard
specifications on the basis of the documentation, in addition.
The results of the certification audit will be included in an audit report.
Should any danger points or deviations be revealed, any steps required to correct them must be taken and a
re-audit be performed or appropriate documents be submitted to check them.
If the application and effectiveness of the integrated quality and environmental management system audited
has been proven, the certifying body will issue the certificates for both areas on the basis of the comprehen-
sive audit report and the auditor’s recommendation. These certificates are valid for three years each, pro-
September 1997 37
ATV - M 801 – E
vided that no deviations are determined within the framework of subsequent continuous supervision (see
Section 6 and Figure 12).
The certifying body will perform at least one monitoring audit per year in order to supervise the business
certified (see Section 7 and Figure 12).
A re-certification is required after three years in order to renew the certificates.
---------------------- Conclusion of a contract -----------------------
1st stage - Evaluation on the basis of a list of short questions Information
2nd stage - Pre-audit, if desired Pre-audit
3rd stage - Submission of the management manual Documentation

- Submission of further documents, if any verification
- Evaluation of these documents
- Preparation of an audit programme
4th stage - Execution of the audit within the business Certification audit
- Analysis of the audit’s results
5th stage - Evaluation of corrections, if any Evaluation of cor-

● Re-audit, if required rective
● Documentary evidence measures
6th stage - Preparation of an audit report Certification docu-

- Internal evaluation of the audit report ments
- Issuance of the certificates (each valid for 3 years)
7th stage - A monitoring audit is carried out after each year (to- Monitoring audit
gether two times)
- A re-certification can be performed after 3 years, with Re-certification

a new contract being concluded
38 September 1997
ATV - M 801 – E
Figure 12: Certification flow chart
Appendix 1: Terms
Wastewater facilities
Wastewater facilities include:
- Facilities for wastewater discharge, e. g.:

Sewers and sewage pipes;
Rainfall relieve facilities (rain basins);
- Facilities for wastewater treatment, e. g.:

Clarification plants.
Deviations
The change of a product’s condition or quality in comparison with a defined value or determined figure.
Audit
Systematic and documented examination in order to obtain and evaluate objective evidence which allows to
determine whether the management system of an organisation is in conformity with the practice, including
the submission of the results to the organisation’s management.
Document
The following is referred to as document:
- Records containing a performance target for an activity of the quality and environmental management
and/or a quality or environmental requirement (requirement documents);
- Records within the framework of the quality and environmental management system (evidence docu-
ments).
A document may also be formless and be saved on any medium, e. g. as a hardcopy, on microfilm, on mag-
netic tape or video tape.
Fault (non-conformity)
Non-compliance with a requirement determined.
Conformity
Compliance with a requirement determined.
Management of an organisation
Usually the body of the company (board of directors, business management), the municipal administration
(town or borough council) or the public body (meeting of the association). The management of an organisa-
tion may also be referred to as top management.
Management system
The organisational structure, responsibility, methods, processes and funds required for the realisation of a
systematic management.
Emergency
An order of events which led or may lead to the occurrence of a concrete danger or personal injuries and/or
damage to material values or the environment, unless interrupted.
September 1997 39
ATV - M 801 – E
Product
Products in the meaning of this Advisory Leaflet are the wastewaters to be discharged and/or treated, the
matter resulting from such treatment, as well as any other substances which must be additionally introduced
in the discharge and/or treatment process.
Process
The entirety of all activities within the framework of a defined workflow.
Test
Activities such as measuring, examining, measuring one or several parameters of a unit to compare the re-
sults with the requirements defined in order to determine whether conformity has been achieved for each
and every parameter.
Quality
The entirety of the parameters of a unit with respect to its suitability to comply with the requirements deter-
mined and assumed.
A unit may be, for instance:
- an activity or process;
- a product;
- an organisation;
- a system, or
- a person, or
any combination thereof.
Environment
The environment, in which an organisation is acting; this includes the air, water, earth, natural resources,
flora, fauna and man as well as their interactions.
Environmental aspect
The constituent part of the activities, products or services of an organisation, which may interact with the
environment.
Environmental and quality policy

Comprehensive intents, objectives and basic principles of an organisation with respect to its environmental
and quality performance, which are formally expressed by the organisation’s management.
Target
A detailed performance target for the organisation or its subdivisions, which is as precisely as possible de-
fined in terms of quality and quantity and results from the objectives set and must be determined and fulfilled
in order to realise them.
Appendix 2: Sources
- ATV Standards on Wastewater & Waste
- DIN standards
Gesellschaft zur Förderung der Abwassertechnik e.V. (GFA, Association for the Promotion of Waste-
water Engineering, a registered society)
Theodor-Heuss-Allee 17
D-53773 Hennef
40 September 1997

Advisory Leaflet ATV - M 801 Integrated Quality and Environmental Management System For Operators of Wastewater Facilities

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Advisory Leaflet ATV - M 801 Integrated Quality and Environmental Management System For Operators of Wastewater Facilities

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GERMAN ATV RULES AND STANDARDS

Integrated Quality and Environmental

Dr.-Ing. Timm Lessel, Eichenau (Spokesman)

 Gesellschaft zur Förderung der Abwassertechnik e.V. (GFA), Hennef 1997

2 Operational forms for wastewater facilities.................................................................. 8

3 Organisation through systematic management........................................................... 9

4 Standard specifications for quality and environmental management ....................... 11

5 Build-up of the integrated quality and environmental management .......................... 14

A. Executive functions .................................................................................................14

C. Process support functions.......................................................................................16

6 Adoption of standardisation requirements on quality and environmental

6.A Executive functions............................................................................................ 19

6.A.1 Executive function: Management system ................................................... 19

6.A.2 Executive function: Observance of approvals/rules & standards............... 23

6.A.3 Executive function: Communication (internal/external)............................... 24

6.A.4 Executive function: Verification documentation .......................................... 24

6.A.5 Executive function: Process evaluation ...................................................... 25

6.B Process functions .............................................................................................. 25

6.B.1 Process function: Plant operation............................................................... 25

6.B.2 Process function: Monitoring ...................................................................... 26

6.B.3 Process function: Procedure with deviations and in cases of emergency .. 27

6.B.4 Process function: Acceptance and handover of wastewater as well

6.B.5 Process function: Acceptance of faecal waste, sewage sludge and

6.B.6 Process function: Disposal of wastes ......................................................... 30

6.C Process support functions ................................................................................. 31

6.C.1 Process support function: Development, planning and construction of

6.C.2 Process support function: Maintenance of plant equipment ....................... 32

6.C.3 Process support function: Provision of resources (internal/external).......... 33

6.C.4 Process support function: Provision of personnel....................................... 34

6.C.5 Process support function: Tenders and contracts ...................................... 35

6.C.6 Process support function: Customer service .............................................. 35

Notes for Users

Why quality and environmental management systems?

Systematic organisation through integration

Environmental management in accordance with the EC Eco-management and Audit Regula-

ATV-M 801 - and what next?

System introduction and certification: two separate steps

Good organisation prevents recourse

Quality and environmental management is economical

Quality and environmental management are confidence-building measures

2 Operational forms for wastewater facilities

Publicly owned enterprises and municipal undertakings

Assignment of claims to third parties

3 Organisation through systematic management

Quality and environmental management: A necessary idea of integration!

Integration through process orientation: Efficiency and safety

Figure 1: Organisation of wastewater disposal in the ATV Standards - Example

Figure 2: Uniform rules and regulations applying to wastewater disposal

Figure 3: The road to an integrated quality and environmental management system

4 Standard specifications for quality and

Quality management systems...

DIN EN ISO 9000

DIN EN ISO 9001

DIN EN ISO 9002

DIN EN ISO 9003

DIN EN ISO 9004

Figure 4: Substantial standard specifications for quality management

1 Responsibility of the management

Environmental management systems...

DIN EN ISO 14001

DIN EN ISO 14002

DIN EN ISO 14010