AWWA M5-2017 Water Utility Management (Third Edition).pdf

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1、Water Utility Management Manual of Water Supply Practices M5 Third Edition Ideal crop marks Ideal crop marks M5 I ncreasing demands, changing technologies, uncertain costs, and aging systems complicate every utility managers role. M5 Water Utility Management was collaboratively developed by leaders

2、in the utility profession who have successfully met the challenges of managing water utilities. It is designed for both new and experienced managers who seek to better understand all aspects of public utility management, including: Regulatory Issues Utility Management Overview Strategic Planning Wor

3、kforce Issues Information Management Infrastructure Management Financial Management Communication and Stakeholder Engagement Environmental Health M5 | Previous editions by American Water Works Association. | Includes bibliographical references and index. Identifiers: LCCN 2017049003 | ISBN 978162576

4、2474 (alk. paper) Subjects: LCSH: Water utilities-Management-Handbooks, manuals, etc. | Waterworks-Management-Handbooks, manuals, etc. Classification: LCC HD4456 .G56 2018 | DDC 363.6/1068-dc23 LC record available at https:/lccn.loc.gov/2017049003 Copyright 2017 American Water Works Association. All

5、 Rights Reserved. Ideal crop marks iii AWWA Manual M5 Contents List of Figures, v List of Tables, vii Acknowledgments, ix Acronyms and Abbreviations, xi Introduction . 1 The New M5: Facilitating Success for Water and Wastewater Utility Managers, 1 A Go-To Reference for What Is Important to You, 1 Up

6、dating M5, 2 Chapter 1 Utility Management and Regulation 3 Looking for Law in All the Right Places, 3 History in Your Lifetime, 4 References, 6 Chapter 2 Utility Management Overview . 7 What Everyone Faces Today, 7 Planning and Strategy, 8 Dealing With the Realities of the Changing Workforce, 8 Mana

7、ging Information and Assets, 8 Value of Water in Light of Varying Abundance and Scarcity, 9 Statutory, Regulatory, and Policy Issues, 10 Everyday Management Excellence, 10 General References, 11 Chapter 3 Strategic Planning for Water Sector Utilities . 13 Why Do We Need a Strategic Plan?, 13 Not Jus

8、t a Written PlanA Process, Too, 14 Strategy and Strategic Planning: What Utilities Are Doing, 17 Resources for Strategic Planning and Organizational Improvement, 24 Chapter 4 Workforce Issues: How to Get, Grow, Keep, and Replace the Best Staff Possible 29 Understanding Workforce Issues, 30 Attractin

9、g Talent to the Water Industry, 34 Employee Development and Succession Planning, 37 Employee Resource Pools, 38 Knowledge Management and Succession Planning, 40 Needs Assessment, 42 Implementation of Knowledge Management, 43 Stick With It, 45 References, 45 Copyright 2017 American Water Works Associ

10、ation. All Rights Reserved. iv WATER UTILITY MANAGEMENT AWWA Manual M5 Chapter 5 Information Management: Whoever Manages Information the Best Wins! . 49 Data Flows, 50 You Cannot Manage What You Do Not MeasureData Management and the Business Process, 53 Trends and Their Impacts, 63 References, 72 Co

11、ntributors/Authors, 73 Chapter 6 Taking Care of Your Assets: A Commitment to Infrastructure Management 75 Effective Utility Management, 76 Formal Asset Management, 76 References and Resources, 86 Chapter 7 Managing Funding, Operations, and Stakeholders . 89 Managing in an Era of Declining Subsidies,

12、 91 Strategic Financial Planning, 92 Rates/Cost-of-Service Analysis, 92 Utility Budgeting, 93 Opportunities for Efficiency, 96 Securing Stakeholder Support“Silent Service” No More, 97 References, 98 Chapter 8 The Issue: Utility Communication and Stakeholder Engagement 99 What Utility Managers Can Do

13、 to Establish a Successful Outreach Program and Improve Relations With Their Communities, 100 Case Studies, 103 References for Documents and Programs at AWWA and Elsewhere, 105 Chapter 9 Environmental Health and Safety 107 Environmental Legislation, 109 Risk Management and Insurance, 110 Public Comm

14、unication and Notifications, 110 Emergency Preparedness Planning, 115 Occupational Health and Safety, 116 References, 117 Appendix A Information Technology Security: K.M. Morleys Perspective 119 Risk Governance, 120 Moving Forward, 121 About the Author, 123 References, 123 Index, 127 AWWA Manuals, 1

15、31 Copyright 2017 American Water Works Association. All Rights Reserved. Ideal crop marks v AWWA Manual M5 Figures Figure 2-1 Strategic management of information, 9 Figure 3-1 The three steps to a plan, 14 Figure 3-2 Components of SWOT analysis, 19 Figure 3-3 Multi-association development of Effecti

16、ve Utility Management manual, 20 Figure 3-4 The Ten Attributes of Effectively Managed Utilities and Five Keys to Management Success, 21 Figure 3-5 Adapting a balanced scorecard approach, 23 Figure 4-1 Workforce utility planning model, 30 Figure 4-2 Employee life cycle, 31 Figure 4-3 A four-step proc

17、ess used to address utility workforce needs, 32 Figure 4-4 Framework for collaboration to address workforce issues, 33 Figure 5-1 IDModeling: A screenshot of Sedaru command center, 52 Figure 5-2 An example heat map of water main break and repair activity, 53 Figure 5-3 Screenshot of ArcGIS viewer, 5

18、4 Figure 5-4 Evolving data gathering, 55 Figure 5-5 Meter data connectivity; Commercial Produce example, 56 Figure 5-6 IT strategic planning, 60 Figure 5-7 Sources of nonrevenue water, 62 Figure 5-8 Screenshot from AWWA Free Water Audit Software, 62 Figure 5-9 Contra Costa Water District (CCWD) data

19、 storage, 63 Figure 5-10 Hypothetical impact of AMI, 64 Figure 5-11 Global PC (desktop/notebook) and tablet shipments by quarter, 65 Figure 5-12 Architecture of sharing, 67 Figure 5-13 Cyberattack incidents reported by federal agencies, 69 Figure 5-14 Sources of data breaches, 70 Figure 5-15 The ine

20、vitability of the click, 71 Figure 6-1 USEPAs 10-step asset management approach, 78 Figure 6-2 Sample hierarchies of assets at a water system, 79 Figure 6-3 An enhanced model for capital improvement plan (CIP) development offers many benefits over the traditional model, 83 Figure 6-4 Preferred maint

21、enance scenario, 85 Figure 7-1 Three-step COSA process, 93 Figure 9-1 A sample boil-water order issued by Maricopa County, Arizona, 112 Copyright 2017 American Water Works Association. All Rights Reserved. This page intentionally blank.Ideal crop marks vii AWWA Manual M5 Tables Table 4-1 Suggested g

22、uidelines for getting started with a KM program, 42 Table 5-1 Examples of field work generated, by department, 51 Table 6-1 Examples of common levels of service and targets, 80 Table A-1 Indicators for tabulating URI, 122 Table A-2 URI data for emergency power and minimum daily demand, 123 Copyright

23、 2017 American Water Works Association. All Rights Reserved. This page intentionally blank.Ideal crop marks ix AWWA Manual M5 Acknowledgments This edition of the M5 Manual, Water Utility Management, was developed by Jim Ginley, past chair of the Strategic Management Practices Committee. His career o

24、f nearly 30 years in the water sector as a not-for-profit association professional, utility management consul - tant, regulatory compliance specialist, and active volunteer contributed to the organiza- tion of many chapters. Matthew Klein, chair of Strategic Management Practices Committee and presid

25、ent of North Carolina and Tennessee Utilities Inc., provided new and creative solutions for the updating of M5. The Strategic Management Practices Committee gives special thanks and recognition to the following individuals who contributed as primary authors and significant content contributors: Bill

26、ie Blair, Seth Garrison, Jim Ginley, David Hanes, Stuart Karasik, Matthew Klein, Jay Madigan, David McGimpsey, Kevin Morley, Peter Nardi, Eric Rothstein, Karen Snyder, Patricia Tennyson, and Pieter Van Ry. Additionally, the Strategic Management Practices Committee acknowledges with gratitude the pee

27、r review, suggestion of content, and editorial, administrative, and other contributions of the following volunteers: Lori Armstrong, Colleen Arnold, Alvin Bautista, Robert Boswell, Fred Bloetscher, Mike Caston, Julius Ciaccia, Catherine Curtis, Maria DeChellis, Tom DeLaura, Dale Jutila, Lee Anne Jon

28、es, Elizabeth Kelly, Prabha Kumar, Venus Larson, Manshi Low, Brian Mantz, Sharon Peters, Connie Schreppel, Doug Spiers, Mark Stanley, and Orville Watson. Finally, a special note of thanks to Marta Madigan for her graphic artistry. Copyright 2017 American Water Works Association. All Rights Reserved.

29、 This page intentionally blank.Ideal crop marks xi AWWA Manual M5 Acronyms and Abbreviations AMR/AMI automated meter reading/advanced metering infrastructure AMWA Association of Metro Water Agencies APD alternative project delivery APQC American Productivity and Quality Center ASP Association for St

30、rategic Planning AWWA American Water Works Association BI business intelligence CAA Clean Air Act CCR consumer confidence report (eCCR = electronic consumer confidence report) CERCLA Comprehensive Environmental Response, Compensation, and Liability Act CIP capital improvement plan CIS customer infor

31、mation system CMMS/EAM computerized maintenance management system/enterprise asset management CPM capital program management CSO combined sewer overflow CSR customer service representative CUPSS Check Up Program for Small Systems CWA Clean Water Act CWSRF Clean Water State Revolving Fund DCS distrib

32、uted control system DHS Department of Homeland Security DWSRF Drinking Water State Revolving Fund EPCRA Emergency Planning and Community Right-to-Know Act ERP enterprise resource planning ETA Employment and Training Administration EUM effective utility management FAQ frequently asked question FEMA F

33、ederal Emergency Management Agency FERC Federal Energy Regulatory Commission FIFRA Federal Insecticide, Fungicide, and Rodenticide Act FIS financial information system GIS geographic information system HMI human-machine interface HSE health, safety, and environment ICS Incident Command System ICS-CE

34、RT Industrial Control Systems Cyber Emergency Response Team I/I infiltration and inflow IoE Internet of Everything IoT Internet of Things IT information technology IWA International Water Assocation KM knowledge management LIMS laboratory information management system LIS laboratory information syst

35、em Copyright 2017 American Water Works Association. All Rights Reserved. xii AWWA Manual M5 LOS levels of service MCL maximum contaminant level NAAQS National Ambient Air Quality Standards NACWA National Association of Clean Water Agencies NCEES National Council of Examiners for Engineering and Surv

36、eying NIMS National Incident Management System NIST National Institute of Standards and Technology NPDES National Pollutant Discharge Elimination System ODMS operations data management system PC personal computer PLC programmable logic controller PM preventive maintenance POTW publicly owned treatme

37、nt works RCM reliability-centered maintenance RCRA Resources Conservation and Recovery Act RFID radio-frequency identification ROI return on investment RTU remote terminal unit SaaS software-as-a-service SCADA supervisory control and data acquisition SDC system development charge SDWA Safe Water Dri

38、nking Act SIMPLE Sustainable Infrastructure Management Program Learning Environment SMART specific measurable achievable relevant and time based SSO sanitary sewer overflow TSCA Toxic Substances Control Act URI Utility Resilience Index US BLS US Bureau of Labor Statistics US DOL US Department of Lab

39、or USEPA US Environment Protection Agency UST underground storage tank V A vulnerability assessment WARN Water and Wastewater Agency Response Network WaterRF Water Research Foundation WEF Water Environment Federation WERF Water Environmental Research Foundation WIFA Water Infrastructure Financing Au

40、thority Copyright 2017 American Water Works Association. All Rights Reserved. AWWA MANUAL M5 1 Introduction THE NEW M5: FACILITATING SUCCESS FOR WATER AND WASTEWATER UTILITY MANAGERS Can you imagine a city without water and wastewater utilities? Imagine whole towns drinking untreated water. Can you

41、imagine US households without access to functioning sewer systems? The simple truth is that our modern lives are built on the premise that we will have clean water and the ability to dispose of water 24 hours a day, every day of the year. The provision of water services is fundamental to usa matter

42、of public health. North American water and wastewater managers are public health providers with unparalleled track records of success. Another simple truthin the twentieth century alone, the applications of our industrys science, tools, and trades saved more lives than any other single health develo

43、pment. The people who design and manage our water pro- cesses are nothing less than heroes and our target readers of the updated M5. The M5 update is here to help water and wastewater utility managers stay heroes in the twenty- first century. Today, increasing demands, changing technologies, uncerta

44、in costs, and aging sys- tems complicate every utility managers role. Whether a utility is large or small, successful utility management requires more than single-subject expertise. High expectations are placed on established managers to improve their range of functionality. M5 will help expe- rienc

45、ed managers in North America and elsewhere broaden their perspectives. Newly minted utility managers will find here a means to untangling todays multiple water wastewater utility issues and to continue taking steps toward a fulfilling career. A GO-TO REFERENCE FOR WHAT IS IMPORTANT TO YOU Utility ma

46、nagers need a strategic process for establishing their vision, mission, and plan for achieving their most critical objectives. Chapter 3 is dedicated to utility strategy. Need a primer on performance measurement? See chapter 5. Where do you learn about estab- lishing a cycle (a culture) of plan/do/c

47、heck/act, and do that with an ethnically and educa- tionally diverse workforce? Turn to chapter 4. Want to survey your employees in accord with the 10 attributes of the effective utility management (EUM) approach? Consider chap- ter 6. The updated M5 will help locate the best management resources. T

48、his manual delivers approaches to the plans (and planning processes) that require more detail than overarching strategic planning. Managers also need to account for their specific responsibilities, which they may choose to do in a communication plan, a capital plan, a divisional business plan, and master planning of all varieties (see chapter 3). This update is designed as your road map to navigate the array of resources that are already availablein print, in electronic media, at conferences, and with peer utilities. Copyright 2017 American Water Works Association. All Rights Reserved.