AWWA M5-2005 Water Utility Management (Second Edition)《水效用管理 第2版》.pdf

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1、Water Utility ManagementAWWA MANUAL M5Second EditionScience and TechnologyAWWA unites the entire water community by developing and distributing authoritative scientific and technologicalknowledge. Through its members, AWWA develops industry standards for products and processes that advance publichea

2、lth and safety. AWWA also provides quality improvement programs for water and wastewater utilities.MANUAL OF WATER SUPPLY PRACTICESM5, Second EditionWater Utility ManagementCopyright 2005 American Water Works AssociationAll rights reserved. No part of this publication may be reproduced or transmitte

3、d in any form or by anymeans, 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 ofthe publisher.DisclaimerThe authors, contributors, editors, and publ

4、isher do not assume responsibility for the validity of thecontent or any consequences of their use. In no event will AWWA be liable for direct, indirect, special,incidential, or consequential damages arising out of the use of information presented in this book. Inparticular, AWWA will not be respons

5、ible for any costs, including, but not limited to, those incurred as aresult of lost revenue. In no event shall AWWAs liability exceed the amount paid for the purchase of thisbook.Project Manager: Neal HydeProduction Editor: Neal HydeLibrary of Congress Cataloging-in-Publication DataAmerican Water W

6、orks Association.Water utility management.2nd ed.p. cm. (AWWA manual ; M5)Includes index.ISBN 1-58321-361-91. WaterworksManagement. I. Title. II. Series.TD491.A49 no. M5HD4456628.1 sdc22363.610682005048284Printed in the United States of AmericaAmerican Water Works Association6666 West Quincy AvenueD

7、enver, CO 80235-3089ISBN 1-58321-361-9Printed on recycled paperContentsiiiList of Figures, viiList of Tables, ixAcknowledgments, xiChapter 1 Introduction, 1Chapter 2 Managing the Utility, 7Overview, 7The Management Process, 9Governance and Governing-Board Relationships, 11Stewardship and Ethics, 15O

8、rganization Structure and Change Management, 16Building Utility Leadership, 19Regionalization, 20Chapter 3 Effective Public Communications, 23Overview, 23Who Are the Utilitys Publics?, 23Routine Communications, 24Internal Communications, 25External Communications, 26Public Involvement, 27Community R

9、elations, 28Effective Media Relations, 29Chapter 4 Utility Financial Management, 33Overview, 33Funding, 34Funding Alternatives, 37Accounting, 37Management Controls, 38Budgeting, 38Chapter 5 Customer Service, 41Overview, 41Fundamental Principles, 43Key Customer Service Functions, 44Customer Service P

10、olicies, 45Consumer Confidence Reports, 45Customer Interaction, 46Continuous Improvement, 48ivChapter 6 Operations and Maintenance, 51Overview, 51Record Keeping, 52Mapping, 53Safety, 53Training, 54Preventive Maintenance, 55Scheduling, 56Planning, 56Human Resources, 57Technology, 58Communications, 58

11、Equipment and Tools, 59Policies and Procedures, 60Outsourcing, 60Specifications and Standards, 60Professional Memberships, 61Support Services, 61Regulatory, 62Chapter 7 Environmental Health and Safety, 65Overview, 65Environmental Legislation, 65Risk Management and Insurance, 66Public Notification, 6

12、7Occupational Health and Safety, 71Training, 72Record Keeping, 73Incentive Programs, 73Chapter 8 Security, 75Overview, 75Emergency Response Plans, 75Improving Utility Security, 76Integrating Plans and Responses, 78Resources Available, 79Chapter 9 Crisis Communications, 81Overview, 81Crisis Stages, 8

13、1Media and the Utility, 83Chapter 10 Human Resource Management, 85Overview, 85Staffing the Utility, 86Training and Development, 88Performance Management, 88vEmployee Relations, 90Disciplinary Actions, 91Policies and Procedures, 92Succession Planning and Professional Development, 93Chapter 11 Informa

14、tion Systems and Services, 95Overview, 95Key Elements of IT, 96IT Strategies, 97IT and IS Infrastructure, 99Web Technology, 100Managing Data, 101Supporting IT, 102Standards, 103Implementing New Systems, 103Emerging Issues, 107Chapter 12 Legal Issues, 109Overview, 109Selecting the Appropriate Counsel

15、, 109Managing the AttorneyClient Relationship, 113Specialized Matters, 114Chapter 13 Support Services, 117Overview, 117Engineering Services, 117Procurement Services, 119Other Services, 119Keys to Successful External Working Relationships, 119Chapter 14 Gaining a Competitive Edge, 121Overview, 121Man

16、aging With Best Management Practices, 122Marketing, 125Developing Organizational Alternatives, 126Index, 129This page intentionally blank.Figuresvii1-1 Management is a challenging opportunity, 42-1 The management process can shield managers and provide more freedom, 82-2 The single most important jo

17、b requirement for a utility manager may be the management of his or her governing body, 123-1 Successful communication with the public is essential for a water utilitys success, 294-1 The public can be best provided water service by self-sustained enterprises adequately financed with rates based on

18、sound accounting, engineering, financial, and economic principles, 385-1 Delivering quality water to customers is a utilitys core business, but delivering excellent customer service is what makes a utility successful, 416-1 Preventive maintenance allows a utility to have a long-term future, 557-1 Wa

19、ter utilities are at risk and must carry insurance, 677-2 A sample Boil Water order issued by Maricopa County, Ariz., 69708-1 Security is more important than ever before to utility managers, 769-1 The seven stages of crisis communications, 829-2 Components of a crisis response team, 839-3 Always des

20、ignate a primary spokesperson in crisis communications, 8410-1 Ongoing education and certification programs are an investment in the utility, 8911-1 Outline for an IT strategic plan, 9912-1 A utilitys attorney may be a managers best asset, 11012-2 Fee arrangements, 11212-3 Billing disclosure require

21、ments, 11312-4 Managercounsel communication, 11513-1 Engineering services are essential to a utility, 11814-1 Managers must be sure to select the right partner, 127This page intentionally blank.Tablesix1-1 Skill areas, 27-1 Safety training programs, 749-1 Crisis communications checklist, 8210-1 Samp

22、le interview questions, 87This page intentionally blank.xiAcknowledgmentsThis manual was authored by Kay Kutchins, of Kay Kutchins and Associates Inc.,San Antonio, Texas. Her experience includes work in utility organization structuresand behavior, administration, human resource management, and inter

23、nal andexternal communication. She is an Honorary Member, past national Vice President,and council member of the American Water Works Association. She is also a memberof the Association for Women in Communication, the Society for Human ResourceManagement, a Fuller Award recipient, and recipient of t

24、he AWWA OutstandingService to the Water Industry recognition. The author gives special thanks and recognition to the following individuals whosecontributions aided in the development of this manual:Carolyn Ahrens-Weiland, Booth Ahrens Werkenthen, LLP, Austin, TexasCharles F. Anderson, City of Arling

25、ton, Arlington, TexasJ. Paul Blake, Seattle Public Utilities, Seattle, Wash.Michael K. Dutton, Kay Kutchins and Lois Sherry, management division staffsecretary, who provided guidance, detailed information, encouragement, and motiva-tion through the writing and editing processes; also, Linda Reekie,

26、who, with theAwwa Research Foundation staff, provided linkages to research projects that exploremanagement issues.1AWWA MANUALM5Chapter 1IntroductionBookstores contain rows of academic treatises, quick-study manuals, and discourseson management, motivation, leadership, and a host of other topics. Th

27、eir shelves arefull of books on leadership and management that may not fit the water utilityindustry. Various authors write that management is either an art or a science orboth, and some infer that it is neither.The American Water Works Association (AWWA) publishes Manual M5, WaterUtility Management

28、, because utility managers are in a challenging profession, andmanagerial leadership is key to successful utility operations. Utility managers guideorganizations that fulfill a need essential to the public health of the communitiesthey serve. Utility managers are responsible for environmental qualit

29、y and quality-of-life issues in their communities. These managers face continuing demands toprovide excellent service to customers, and what they provide is compared with thetypes of customer services offered by nonutility businesses and industries. Utilitymanagers are expected to perform their task

30、s within budgets based on generatedrevenues that are difficult to increase. Utility managers are asked to ensure thelifeblood of communities that often do not know or understand the value of the waterthey receive.AWWA is uniquely positioned to share managerial experience and knowledgefrom and among

31、its members. This manual provides a ready reference for waterutility management and leadership. The manual contains information to helpimprove the managerial skills described in Table 1-1.Throughout this manual, several terms are repeated: visiona clear understanding by managers of where a utility i

32、s going andwhat it should be missionwhat the utility is and what its purpose is objectivesthe goals set to maintain the mission and achieve the vision goalsthe specific responsibilities of individuals and work teams thatcontribute to achieving one or more objectives2 WATER UTILITY MANAGEMENTTable 1-

33、1 Skill areasManaging the Utility The management process Governance and governingboard relationships Stewardship/ethics Organization structure andchange management Building utility leadershipRegionalizationCommunications Recognizing publics Routine communications Internal communications External com

34、munications Public involvement Effective media relations Crisis communicationsCustomer Service Fundamental principles Key customer service functions Customer service policies Consumer confidence reports Customer interaction Continuous improvementFinancial ManagementBudgetingRate design Related charg

35、es Capital financing Accounting practices and management controls Funding alternativesEnvironmental Health and Safety Utility management responsibility for safety Environmental legislation Risk management and insurance Public notification protocols Occupational health and safetyEngineering Considera

36、tionsPlanningDesign ConstructionStandards Managing contractsTrainingOperations and Maintenance Record keeping MappingSafetyTraining Preventive maintenanceScheduling Planning Human resources Technology Communication Equipment and tools Policies and procedures Outsourcing Specifications and standards

37、Professional memberships Support services Regulatory mattersInformation Systems and Services Key elements of information technology Information technology and information systems infrastructure Web technologyManaging data Supporting information technologyStandards Implementing new systemsEmerging is

38、suesLegal and Regulatory Planning Selecting appropriate counsel Managing the attorneyclient relationship Specialized mattersHuman Resources Staffing the utility Training and developmentPerformance management Employee relations Disciplinary action Policies and procedures Succession planning and profe

39、ssional developmentSecurity and Emergency Planning General security issues Vulnerability assessments Emergency response plansINTRODUCTION 3 actionsthe specific steps taken or processes that contribute to successfulachievement of goals and objectives effectivenessdoing the right thing at the right ti

40、me efficiencyrunning utility operations in the most cost-efficient, highest-producing mannerWater utility managers and leaders are challenged to learn how to effectivelyovercome organizational resistance to change. It is no secret that all human beingsare limited in their ability to change, with som

41、e more limited than others. Successfulmanagers embrace change and create a climate in which change is recognizedandperhaps welcomedas a normal way of conducting business. By studying thismanual, water utility managers learn how to cope with, and encourage, changewithin their utility.This manual is d

42、ifferent, compared to other management books, because it wasdeveloped through a collaborative effort of managers and leaders in the utilityprofession who successfully met the challenges of managing a water utility. Theydemonstrated through time and peer review the management and leadership abilityth

43、at made their organizations examples of best utility practices.Managers of municipal, nonprofit, and investor-owned water systems facecompetitive challenges. Each type of utility has its own governance system, elected orappointed boards of directors, or political or profit foundations that determine

44、 howdecisions are made, resources utilized, and policies formulated. However, utilitymanagers and leaders recognize a narrowing gap between nonprofit and for-profitorganizations, caused by the entry of global for-profit organizations into the moretraditional “nonprofit” arena through operating contr

45、acts, limited outsourcing, andoutright acquisition. A well-informed utility manager is more able to effectively leadhis or her utility to new achievements in a fast-paced, highly regulated, andtechnologically complex business environment.Being a manager and a leader is a challenging opportunity. Bei

46、ng a managerimplies the use of a processincluding planning, organizing, directing, and control-lingand communicating that process and its components to utility staff. Being aleader requires a commitment to an organizational culture that encourages respectand motivates all employees to adopt common g

47、oals and objectives and to adaptpersonal interests to the improvement of the organization and its customers.Figure 1-1 Management is a challenging opportunity4 WATER UTILITY MANAGEMENTManagers have several roles within their organizations. The roles include interpersonal roles, such as leadership, l

48、iaison, and figurehead informational roles, such as monitor, disseminator, and spokesperson decision-maker roles, such as troubleshooter, entrepreneur, resource alloca-tor, and negotiatorJust as managers have several roles within their organizations, managers alsoshare several common responsibilitie

49、s. These include staff development organization effectiveness organization relationships organization morale interpersonal relationships personal productivity self-development proactive thinking creativity assistance to higher-level and subordinate managersManagers are expected to develop and implement policies and proceduresadopted by the organizations governance structure and to review and approveorganizational policies and procedures developed to ensure consisten