1、AWWA G400-09(First Edition)AW WA StandardEffective date: August 1, 2009.This fi rst edition approved by AWWA Board of Directors Jan. 25, 2009.Approved by American National Standards Institute June 15, 2009.6666 West Quincy Avenue Advocacy Denver, CO 80235-3098 Communications T 800.926.7337 Conferenc
2、es www.awwa.org Education and TrainingScience and TechnologySectionsSMThe Authoritative Resource on Safe WaterUtility Management SystemCopyright 2009 American Water Works Association. All Rights Reserved.iiAll rights reserved. No part of this publication may be reproduced or transmitted in any form
3、or by any means, electronic or mechanical, including photocopy, recording, or any information or retrieval system, except in the form of brief excerpts or quotations for review purposes, without the written permission of the publisher.Copyright 2009 by American Water Works AssociationPrinted in USAA
4、WWA StandardThis document is an American Water Works Association (AWWA) standard. It is not a specifi cation. AWWA standards describe minimum requirements and do not contain all of the engineering and administrative information normally contained in specifi -cations. The AWWA standards usually conta
5、in options that must be evaluated by the user of the standard. Until each optional feature is specifi ed by the user, the product or service is not fully defi ned. AWWA publication of a standard does not constitute endorsement of any product or product type, nor does AWWA test, certify, or approve a
6、ny product. The use of AWWA standards is entirely voluntary. This standard does not supersede or take precedence over or displace any applicable law, regulation, or codes of any governmental authority. AWWA standards are intended to represent a consensus of the water supply industry that the product
7、 described will provide satisfactory service. When AWWA revises or withdraws this standard, an offi cial notice of action will be placed on the fi rst page of the classifi ed advertising section of Journal AWWA. The action becomes effective on the fi rst day of the month following the month of Journ
8、al AWWA publication of the offi cial notice.American National StandardAn American National Standard implies a consensus of those substantially concerned with its scope and provisions. An Ameri-can National Standard is intended as a guide to aid the manufacturer, the consumer, and the general public.
9、 The existence of an American National Standard does not in any respect preclude anyone, whether that person has approved the standard or not, from manufacturing, marketing, purchasing, or using products, processes, or procedures not conforming to the standard. American National Standards are subjec
10、t to periodic review, and users are cautioned to obtain the latest editions. Producers of goods made in conformity with an American National Standard are encouraged to state on their own responsibility in advertis-ing and promotional materials or on tags or labels that the goods are produced in conf
11、ormity with particular American National Standards. CAUTION NOTICE: The American National Standards Institute (ANSI) approval date on the front cover of this standard indicates completion of the ANSI approval process. This American National Standard may be revised or withdrawn at any time. ANSI proc
12、edures require that action be taken to reaffi rm, revise, or withdraw this standard no later than fi ve years from the date of publication. Purchasers of American National Standards may receive current information on all standards by calling or writing the American National Standards Institute, 25 W
13、est 43rd Street, Fourth Floor, New York, NY 10036; (212) 642-4900.Copyright 2009 American Water Works Association. All Rights Reserved.iiiCommittee PersonnelTh e AWWA Standards Committee on Utility Management System, which reviewed and approved this standard, had the following personnel at the time
14、of approval:Todd A. Humphrey, ChairGeneral Interest MembersG. Bellen, Ann Arbor, Mich. (AWWA)P.F. Barron,*Standards Council Liaison, Birmingham Water Works as such, there are no major revisions.V. Comments. If you have any comments or questions about this standard, please call the AWWA Volunteer and
15、 Technical Support Group at 303.794.7711, Fax 303.794.6303, write to the group at 6666 West Quincy Avenue, Denver, CO 80235-3098, or e-mail the group at standardsawwa.org.Copyright 2009 American Water Works Association. All Rights Reserved.AW WA Standard1ANSI/AWWA G400-09(First Edition)Utility Manag
16、ement SystemSECTION 1: GENERALSec. 1.1 ScopeTh is standard covers the essential requirements for an e ective utility man-agement system.Sec. 1.2 PurposeTh e purpose of this standard is to defi ne the minimum requirements for establishing a utility management system for a water or wastewater utility
17、that will promote continuous improvement.Sec. 1.3 ApplicationTh is standard can be referenced to provide water or wastewater utilities with a basis for continuous improvement or that can be used as a component of an already existing program or e ort.SECTION 2: REFERENCESTh is standard references the
18、 following documents. In their latest editions, they form a part of this standard to the extent specifi ed within the standard. In any case of confl ict, the requirements of this standard shall prevail.Copyright 2009 American Water Works Association. All Rights Reserved.2 AWWA G400-09AWWA Manual M5W
19、ater Utility Management.ISO*9001: 2000Quality Management SystemsRequirementsISO 14001: 2004Environmental Management SystemsRequirements with Guidance for UseISO 14004: 2004Environmental Management SystemsGeneral Guide-lines on Principles, Systems and Support TechniquesDWQMS: 2007Drinking Water Quali
20、ty Management Standard.NSF/ANSI 60Drinking Water Treatment ChemicalsHealth E ects.NSF/ANSI 61Drinking Water System ComponentsHealth E ects.SECTION 3: DEFINITIONSTh e following defi nitions shall apply in this standard.1. Certifi cation: Government tested and licensed assurance of compe-tency.2. Day:
21、 One 24-hr period.3. Resources: Include, but are not limited to, human resources, special-ized skills, organizational infrastructure, technology, and fi nancial resources.4. Stakeholders: A group, organization, person, or agency that has an interest in, decision-making responsibility for, or authori
22、ty over a process and is a ected by or will benefi t from the outcome of a process.5. Top management: A person or group of persons at the highest man-agement level within the utility that makes decisions respecting the utility manage-ment system.SECTION 4: REQUIREMENTSTh e minimum requirements for a
23、 utility management system can be divided into seven major categories, including commitment to resources; legal, regulatory, and other requirements; standard compliance; tracking and measuring improvement; communication; training; and emergency preparedness. Th is standard requires that * Internatio
24、nal Organization for Standardization, Customer Service Division, 545 Washington Boulevard, Jersey City, NJ 07310. Drinking Water Management Division, Ministry of the Environment, 2 St. Clair Avenue West, Toronto, ON M4V 1L5. NSF International, 789 North Dixboro Road, Ann Arbor, MI 48105.Copyright 20
25、09 American Water Works Association. All Rights Reserved.UTILITY MANAGEMENT SYSTEM 3the utility establish measurable goals for each category, implement a monitoring sys-tem to measure performance against the goals, employ an optimization strategy to identify opportunities for improvement, and mainta
26、in consistent operation that sat-isfi es the goals under operating conditions.Sec. 4.1 Commitment to ResourcesManagement shall provide evidence of its commitment to develop, imple-ment, maintain, and continually improve the utility management system by ensur-ing the availability of adequate resource
27、s. 4.1.1 Responsibilities. Top management shall appoint a specifi c manage-ment representative who, irrespective of other responsibilities and duties, shall have defi ned roles, responsibilities, and authority for1. Ensuring that the utility management system is developed, implemented, and maintaine
28、d in accordance with the requirements of this standard. 2. Reporting to top management on the performance and opportunities for improvement of the utility management system.Sec. 4.2 Legal, Regulatory, and Other RequirementsTh e utility shall establish, implement, and maintain a procedure to ensure t
29、hat applicable legal and other requirements to which the utility is subject are taken into account in establishing, implementing, and maintaining its utility manage-ment system.4.2.1 Requirements. Th e utility shall identify and have access to the appli-cable legal, regulatory, and other requirement
30、s to which the utility is subject or subscribes, relative to each standard.4.2.1.1 Operations. Th e utility shall determine how these requirements apply to the operation of the utility.4.2.1.2 Compliance. Th e utility shall maintain a state of currency and compliance with respect to the legal and ot
31、her requirements.4.2.1.3 Review. Th e utility shall conduct periodic reviews of legal, regu-latory, and other requirements.4.2.2 Procedures. Th e utility shall ensure that the procedure specifi cally addresses the requirements of the operating permit issued by its primary regulat-ing agency and assi
32、gns responsibility within the utility for each requirement of the permit.4.2.3 Other requirements. Other requirements shall be treated as equiva-lent to legal requirements by the utility in terms of their application to the utility. Copyright 2009 American Water Works Association. All Rights Reserve
33、d.4 AWWA G400-09Other requirements may include1. Agreements with public authorities.2. Agreements with customers.3. Nonregulatory guidelines.4. Voluntary principles or codes of practice (including voluntary drinking water management practices).5. Voluntary environmental labeling or product stewardsh
34、ip commitments.6. Requirements of trade associations.7. Agreements with community groups or nongovernmental organizations.8. Public commitments of the organization or its parent organization.9. Corporate requirements.Sec. 4.3 Standard Compliance Th e utility shall establish and maintain a procedure
35、to develop and docu-ment the core business functions of the standard with which the utility is attempt-ing to comply and how those functions interrelate.4.3.1 Responsibility and authority.4.3.1.1 Delegation. Th e top management of a utility may delegate the responsibility and authority to the approp
36、riate level of senior management based on the utilitys organizational structure (e.g., department head, division manager, or even top-level supervisors) for developing, documenting, and maintaining the utility management system.4.3.1.2 Responsibility. Th e designated member(s) of the utility manage-
37、ment team shall have the responsibility and authority to document, in paper or electronic form, the core elements of the utility management system and how they interrelate.4.3.2 Policy development. Th e utility shall develop and maintain a policy within the defi ned scope of its utility management s
38、ystem that1. Is appropriate to the nature and scale of its activities, products, and services.2. Includes a commitment to continual improvement.3. Includes a commitment to comply with applicable legal requirements and with other requirements to which the organization subscribes.4. Provides the frame
39、work for setting and reviewing objectives.5. Is documented, implemented, and maintained.6. Is communicated to persons working for or on behalf of the organization.7. Is available to the public.Copyright 2009 American Water Works Association. All Rights Reserved.UTILITY MANAGEMENT SYSTEM 54.3.3 Docum
40、entation. Th e utility shall develop and maintain a compre-hensive document(s) describing the scope of the utility management system and how the core elements relate to the successful implementation.4.3.4 Maintenance. Th e utility shall develop procedures to periodically review and update the utilit
41、y management system and supporting documents. Th e supporting documents shall be reviewed periodically for continued suitability, adequacy, and e ectiveness.4.3.5 Authority. A representative of top management will authorize docu-ments and any subsequent revisions.Sec. 4.4 Tracking and Measuring Impr
42、ovementTh e utility shall establish, implement, and maintain a procedure(s) to moni-tor and measure, on a regular basis, the key characteristics of its operations relative to each standard that is adopted and implemented as part of the overall utility management system. 4.4.1 Purpose and scope. Th e
43、 utility shall establish and maintain a docu-mented procedure to monitor and measure key characteristics of operations. Th e procedure(s) shall include the documenting of information to monitor perfor-mance, applicable operational controls, and conformity with the organizations objectives and target
44、s.4.4.2 Responsibilities. Th e utility shall defi ne the monitoring needs of the organization.4.4.2.1 Equipment. Th e utility shall ensure that the necessary equipment used to monitor and measure is calibrated and properly maintained.4.4.2.2 Performance. Associates shall be responsible for performan
45、ce of assigned monitoring and measurement activities and for correcting and/or report-ing any nonconformance, exceedence, or escape as observed.4.4.3 Requirements. Th e utility shall identify the key characteristics of operations and activities and develop a method, process, or system to monitor and
46、 track the performance. Th is may be accomplished and documented through for-mal reports to regulators and/or periodic inspection for conformance.4.4.3.1 Measurable method. Th e utility shall develop and implement an objective, measurable method for tracking the achievement of identifi ed, current o
47、bjectives. Th is may be accomplished and documented through formal reports, tracking, periodic assessments, inspections, evaluations, and/or other appropriate methods.Copyright 2009 American Water Works Association. All Rights Reserved.6 AWWA G400-094.4.3.2 Audits. Monitoring and measuring may also
48、be accomplished through internal audits and management reviews.Sec. 4.5 Communication Th e utility shall establish, implement, and maintain a procedure(s) for com-municating internally with employees, contractors, or those working on behalf of the utility, and externally to the customers, governance
49、, regulatory agencies, and other relevant stakeholders. Also, see AWWA Manual M5, Water Utility Management.4.5.1 Evaluation. Th e utility shall consider the methods to communicate, internally and externally, and document and implement those methods. Th e util-ity shall periodically evaluate the e ectiveness of its communication programs and seek input from stakeholders.4.5.2 Communication about utility management system standard and series. Th e utility should develop a specifi c document(s) that addresses and explains the relevance, importance, and
