Understanding the ETP assessment

The assessment is split into three KPI areas: ETP process design, ETP operation control and team competence.

These KPIs are scored by the ZDHC Approved ETP Reviewer to give a final socre which is documented in the ETP Assessment Report. 

KPIs

Assessment of ETP process design 

There are 3 KPIs that should be checked to ensure efficient ETP process design:

1. The design of the ETP to meet conventional parameter foundational level limits for key parameters (pH, temperature, oil and grease, DO, COD, TSS) as per the ZDHC Wastewater and Sludge Guidelines.)
2. ETP piping is as per the original ETP design.
3. ETP capacity can meet peak production demands.

 Assessment of ETP operation control

There are 16 KPIs that should be checked to ensure efficient operation control:

1. Written standard operating procedure (SOP) where operating parameters to be monitored daily, weekly, monthly, bi-monthly, or quarterly are identified with methods.
2. Review the log book records of testing of identified parameters on a daily, weekly, monthly, bi-monthly or quarterly basis for each treatment step.
3. Key parameters at each treatment step are monitored through sampling and testing or real-time online monitoring.
4. Applicable parameters at each treatment step are controlled within an optimal operating range.
5. Corrective actions and adjustments are implemented (if any) and control ranges or test results are non-conformant.
6. ETP operation history, loading trends, process performance and effluent quality are tracked and recorded.
7. Written records of ETP operations and history are communicated between shifts among operators and the Head of the ETP department.
8. Operations of each treatment unit and equipment in the ETP are documented in an SOP that is accessible to the ETP team members.
9. The maintenance schedule and methods are well documented for machines and equipment used in the ETP, including calibration of in-house lab testing equipment.
10. An inspection schedule and method are documented and implemented with review mechanisms of the inspection findings.
11. Critical standby machinery, equipment, and spare parts for treatment units are maintained at the site.
12. Early warning automated systems or alarms are installed at critical treatment stages to indicate a process is starting to fail.
13. An emergency response plan and problem-solving measures are in place to cover potential ETP disruptions or weather disasters.
14. An SOP is in place to restart the ETP after a maintenance schedule or if it is shut down for a longer period.
15. In case any parameter in the permit or the ZDHC Wastewater and Sludge Guidelines is not met, a root cause analysis (RCA) and corrective action plan (CAP) are performed.  _{(Not applicable if there are no non-conformities in the last two testing cycles’ ClearStream Reports)}
16. Sludge management is done in a correct manner, and sludge documentation is maintained

Assessment of team competence

There are 3 KPIs that should be checked to ensure team competence:

1. A team of qualified people is responsible for operating the facility's ETP.
2. Commitment and involvement of top management in ETP operations.
3. ETP Team qualification, training and skill sets.

Scoring methodology

For reporting the final outcome of the on-site assessment, the ZDHC Approved ETP Reviewer should allocate points for the achievement of KPIs given in the on-site ETP assessment requirement as shown below:

Based on the points scored for each KPI, a facility is categorised at Alert, Level 1, Level 2 or Level 3 in the ETP Assessment Report, as per the total score shown below: 

• Alert: Do not meet ETP design and Level 1 requirements are not met
• Level 1:  1 point for each KPI met
• Level 2: 2 points for each KPI met
• Level 3: 3 points for each KPI met

Download the assessment report template 

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Alert (no scoring)

ETP process design KPIs are not met.

If the ZDHC Approved Reviewer categorises the facility as “Alert” based on the ETP Design KPIs, further assessment of KPIs related to operational control and team competence may still be conducted.

However, this additional assessment will only serve to highlight potential areas for improvement and will not be scored at Levels 1, 2, or 3. In such cases, the final outcome will remain classified as “Alert".

Level 1 (19 - 29 points)

ETP process design KPIs are met, and the total score is between 19 - 29.

Level 2 (30 - 45 points)

ETP process design KPIs are met, and the total score is between 30 - 45.

Level 3 (46 - 57 points)

ETP process design KPIs are met, and the total score is between 46 - 57.

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If the ZDHC Approved Reviewer categorises the facility as “Non‑Alert” based on the ETP design KPIs, the assessment continues with the review of KPIs related to operational control and team competence.

Each KPI is then evaluated and scored at Level 1, Level 2, or Level 3, as appropriate. If a KPI does not meet the minimum requirement for Level 1, a score of “0” is assigned.

The final outcome is determined from the overall scoring and classified as Level 1, Level 2, or Level 3.