CSA PLUS 4010-2009 TECHNICAL GUIDE Performance improvement for small & medium sized water utilities《中小水务公司的绩效改进技术指南》.pdf

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1、TECHNICAL GUIDEPerformance improvement for small Canadian Water and Wastewater Association (CWWA);Ontario Municipal Benchmarking Initiative (OMBI);Ontario Ministry of the Environment (MOE); The Report of the Walkerton Inquiry;Indian and Northern Affairs Canada (INAC); Statistics Canada (StatCan);Env

2、ironment Canada (EC); andInterviews with experts in the field.Note: For more information see “Bibliography”, p. 34.The CSA Technical Committee on Water Quality Management Systems gratefully acknowledges the financial support of Infrastructure Canada, the Canadian Water and Wastewater Association, an

3、d the other organizations listed inside the front cover in the development of this document. The Committee thanks Daniel Pelletier for preparing the first draft of this guide, and it also recognizes the important contribution of the Canadian Advisory Committee to ISO Technical Committee 224 towards

4、the ISO standards, under the leadership of Mr. Duncan Ellison and with the support of the Standards Council of Canada.CSA is a not-for-profit membership-based association serving industry, government and consumers. It has been a leader in standards development since 1919. Accredited by the Standards

5、 Council of Canada, CSA has published over 2000 standards for safety, design or performance of a wide range of products and services. Members are the heart of the CSA process for the development of standards. They come from all walks of life and include scientists, academics, environmentalists and t

6、echnicians. They represent government, industry, labour and consumers. All of the CSA standards are the result of the knowledge and expertise shared by these members.iiiTECHNICAL GUIDEPerformance improvement for small improve water quality and availability;investigate the need for changes or correct

7、ive action to improve procedures and productivity; monitor the effect of changes; measure resource use;provide key information to support proactive decision making; and facilitate benchmarking both internally and externally. In this way utility managers can continuously improve their systems and ser

8、vices.5TECHNICAL GUIDEPerformance improvement for small context information; and variables.Each performance indicator should be defined to quantitatively measure a particular aspect of the utilitys performance or standard of service in a true and unbiased way. Performance indicator Units Process rul

9、e CodeAverage treatment cost per megalitre of drinking water $/ML Total water treatment O Meting users needs Providing services under normal and emergency situations;Sustaining the water utility;Promoting the sustainable development of the community; andProtecting the environment.The performance ind

10、icators in this Guide were selected based on the following requirements:(1) to reflect the overall performance of a water utility (i.e., a set of core performance indicators, rather than highly specific or detailed indicators);(2) to incorporate the relevant aspects required to express management ob

11、jectives and top level results in terms of the utilitys performance;(3) to be clearly defined, with a concise and unequivocal interpretation;(4) to be assessed from variables that are easily and reliably measured at a reasonable cost;(5) to measure actual performance in relation to a facilitys objec

12、tives;(6) to be related in context to a defined geographic area;(7) to be related to a specific and well-defined time period (one year is generally the basic assessment period recommended);(8) to allow for a clear comparison with targeted values to simplify an otherwise complex analysis;(9) to be ve

13、rifiable, simple, and easily understood;7TECHNICAL GUIDEPerformance improvement for small (11) to focus on the essentials by choosing a core set of indicators that are manageable for small and medium sized facilities.It is recognized that the core set of indicators may not fit all situations. For in

14、stance, it may be difficult to have only one indicator to establish a diagnosis and some utilities may wish to have many more. It is however, possible to select just the core number presented in this Guide to provide a general overview of the efficiency and effectiveness of a utility. Then, if the u

15、tility wishes to look deeper and expand their analysis, it is free to develop or adopt additional performance indicators keeping in mind the above list of requirements. Appendix 1 includes suggestions for additional indicators that can be considered beyond the core set.83 THE LINK BETWEEN PERFORMANC

16、E INDICATORS AND WATER UTILITY OBJECTIVESIntroductionSome performance evaluation systems using performance indicators are developed based on the components of a water system (e.g., treatment or distribution) or the activities of the utility (e.g., operation and maintenance or construction). The inte

17、rnational community that is involved with the ISO standards has chosen to focus on the utility objectives. The CAN/CSA-Z24500 series describes this approach and outlines the use of principal objectives in the evaluation process. This approach is valid for any water (i.e., drinking water and wastewat

18、er) utility. This Guide has been developed for Canadian utilities based on the ISO/CSA methodology. The methodology is explained in the Introduction to this guide. The PLAN-DO-CHECK-ACT (PDCA) improvement process uses an approach that defines fundamental objectives, establishes performance indicator

19、s, assesses performance, and then encourages making improvements through the loop back to the objectives. The following list of core utility objectives focuses on major issues facing water utility managers. Clearly, there are many other sub-objectives that a utility may wish to develop to further de

20、fine and assess its performance. However, this Guide focuses on objectives that are relevant to the overall performance of a water utility. From there it is possible to define a core list of performance indicators that can be assessed based on these objectives. The six core objectives outlined in th

21、e following pages have been derived from theCAN/CSA-Z24511 and CAN/CSA-Z24512, drinking water and wastewater standards. ISO also developed a separate standard on service to users (CAN/CSA-Z24510) and this Guide therefore includes six additional sub-categories under OBJECTIVE B Meeting users needs an

22、d expectations.9TECHNICAL GUIDEPerformance improvement for small CCME Federal, Provincial and Territorial Co-operation; Canada-wide Strategy for the Management of Municipal Wastewater Effluent).Special precautions should be taken if the wastewater effluents or residues are reused (e.g., the use of b

23、iosolids as fertilizer). Some local and provincial/territorial governments have regulations governing the safe reuse of biosolids. Utilities should also consult available guidelines for safe management practices and precautions. Such precautions may include additional treatment and minimization of r

24、isk to the public. Canadian Standards Association10OBJECTIVE B: Meeting users needs and expectationsThe objective of a drinking water or wastewater utility is to ensure service activities meet users needs and expectations. A “user” is defined as any person, group, or organization that benefits from

25、drinking water delivery and related services or from wastewater service activities. The quality of service provided to the users depends on the ability of the utility providing the water services to meet users needs and expectations under sustainable conditions.The following sub-objectives relate to

26、 users needs and expectations of drinking water and wastewater services unless otherwise indicated. In addition to the needs and expectations listed in the sub-objectives below, the users expect that all applicable laws and regulations are met at all times.SUB-OBJECTIVES to Meeting users needs and e

27、xpectations Access to water services;Providing services;Contract management and billing;Promoting a good relationship with users;Protecting the environment; andSafety and emergency management.The standard CAN/CSA-Z24510, Activities relating to drinking water and wastewater services Guidelines for th

28、e assessment and for the improvement of the service to users provides detailed descriptions of these sub-objectives.OBJECTIVE C: Providing service under normal and emergency situationsThe objective of a water utility is to ensure that drinking water and wastewater services are available on a continu

29、ous basis under normal conditions, and that essential services are provided with minimal interruption during emergency situations.The objective includes being able to provide drinking water to critical customers or critical service areas during emergency situations and to restore service as quickly

30、as possible when interruptions have occurred. For wastewater the objective includes, where emergency conditions apply, emergency plans and response actions that should be initiated.11TECHNICAL GUIDEPerformance improvement for small generating/releasing pollutants such as gases, noise, odours, and im

31、properly managed residues; depleting or adversely changing water resources;impacting plants and animals;contributing to climate change (i.e., through the release of greenhouse gases)1; and any other negative environmental impacts.Environmental effects can be addressed in a number of ways. Solutions

32、can be social/behavioural (e.g., conservation efforts), or technological (e.g., collection and use of methane byproducts for energy generation or industrial use). Because of their potentially greater impacts on the environment, wastewater utilities may choose to consider their impact on the natural

33、environment and their impact on the built or public environment separately, and set out objectives in these two categories as follows:(1) Protecting the natural environment Objectives can include:preserving/conserving natural resources;controlling outflows;preserving plants and animals; andpreventin

34、g any other negative impacts to the natural environment.(2) Protecting the built/public environment Objectives can include: maintaining value to users and user safety; maintaining asset value;preventing pollution;controlling/minimizing flooding; andprotecting amenity value of land/wetlands/water (e.

35、g., recreational uses).For wastewater utility users that choose to simplify their performance measurement process, it is not necessary to divide the Environment into these two subcategories. Section 5.6 provides wastewater utility PIs for both of the above subcategories in one table.1. ISO 14064 Gre

36、enhouse gases Part 1 Specification with guidance at the organizational level for quantification and reporting of greenhouse gas emissions and removals: 2006134 CREATING AND APPLYING A PERFORMANCE INDICATOR SYSTEMPerformance indicator systemPerformance indicators are quantitative measures of a partic

37、ular aspect of a utilitys performance and are used to measure the efficiency and effectiveness of a utility in achieving its objectives. The core performance indicators presented in this guide are therefore associated with each of the utility objectives outlined in the previous section of this Guide

38、. The system of performance indicators comprises1. a set of performance indicators;2. context information; and 3. variables.Performance indicator frameworkThis Guide defines core performance indicators that are considered applicable regardless of the utility size or organizational structure, related

39、 to core objectives. The core PIs are organized into a framework, as follows: Canadian Standards Association14Performance indicator frameworkThe “Code” in the table above is an abbreviation that allows users to quickly refer to a specific performance indicator. When an indicator is developed, it is

40、assigned a code as follows: the first character (y) becomes either “d” or “w” (i.e., to show whether it applies to a drinking water or wastewater system) and the last character (x) is replaced with the number assigned to the indicator within the group. For example, if the utility is tracking three p

41、ublic health indicators for its drinking water, the first would be designated “dPH1”, the second would be “dPH2”, and so on. Performance indicators are usually expressed as ratios between variables. These ratios can be commensurate (i.e., expressed as a %) or non-commensurate (e.g., $/m3). The denom

42、inator in the ratios represent one dimension of the system (e.g., number of service connections, total volume of drinking water, wastewater treated, etc.). This allows for comparison through time. Variables that change substantially in time (e.g., the amount of grant money available for capital work

43、s), particularly if they are not under the control of the utility, should be avoided as the denominator of a PI. A clear process rule should be defined for calculating each indicator. The rule should specify all the variables required and their algebraic combination. The variables must be data gener

44、ated and managed by the utility or generated from a reliable external source. In either case, the utility must have a process for assessing the quality of the data and it should be verified by someone different from the data provider. Interpretation of the performance indicators should be carried ou

45、t considering the context information (i.e., the characteristics of the water system and the region in which the services are provided).Context informationThe interpretation of a utilitys performance cannot be assessed without taking into account the context in which it operates. Because Canada is a

46、 diverse country, it is important to recognize the differences that exist between utilities (e.g., a utility in B.C.s mountain watershed is different from a utility in an agricultural area in eastern Canada).Code Core indicators (associated with utilitys core objectives) yPHx Public healthyUNx Users

47、 needs refer to the same geographic area and period of time or reference date as the performance indicator or other context information it will be used for; andbe as reliable and accurate as the level of decisions to be made and is intended for.Selection of appropriate indicators, data accuracy, and

48、 consistency of data collection is of paramount concern to ensure that the results reflect the efficiency and effectiveness of the performance being measured and monitored.Data and informationThe quality of data is always a concern in any evaluation process. Some utilities have databases containing

49、reliable data and some do not. The time and effort required to get appropriate data is a direct function of the status of the utilitys current data base. The level of accuracy and reliability of the data should be appropriate to the level of importance of the assessment being made. This Guide lists a set of core performance indicators based on commonly collected utility data. To ensure appropriate, accurate, and reliable data, this Guide provides a useful confidence-grading methodology. See “Confidence grading for dat