1、Utility Management System Operational Guide to AWWA Standard G400 James F. Ginley and Todd A. Humphrey G400 The Authoritative Resource on Safe Water Advocacy Communications Conferences Education and Training Science and Technology SectionsOperational Guide to A WW A Standard G400 Utility Management
2、System Copyright 2009 American Water Works Association All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, elec- tronic or mechanical, including photocopy, recording, or any information or retrieval system, except in the form of brief excerp
3、ts or quotations for review purposes, without the written permission of the publisher. Disclaimer The authors, contributors, editors, and publisher do not assume responsibility for the validity of the content or any consequences of its use. In no event will AWWA be liable for direct, indirect, speci
4、al, incidental, or consequential damages arising out of the use of information presented in this book. In particular, AWWA will not be responsible for any costs, including, but not limited to, those incurred as a result of lost revenue. In no event shall AWWAs liability exceed the amount paid for th
5、e purchase of this book. AWWA Publications Manager: Gay Porter De Nileon Project Manager: Martha Ripley Gray Copy Editor: Bill Cobban Production: Glacier Publishing Services, Inc. Library of Congress Cataloging-in-Publication Data Ginley, James F .Operational guide to AWWA standard G400 : utility ma
6、nagement system / by James F . Ginley and Todd A. Humphrey.p. cm.Includes bibliographical references.ISBN 978-1-58321-733-71. Water-supply engineering-Standards-United States. 2. Water utilities-Standards-United States. I. Humphrey, Todd A. II. Title. TD353.G56 2009 628.1068-dc222009015787 Printed i
7、n the United States of America American Water Works Association 6666 West Quincy Ave. Denver, CO 80235iii Contents SeCti On 1: ACkn OWled GMent S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 SeCti On 2: FOre WOrd . . . . . . . . . . . . . . . . . . . .
8、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 SeCti On 3: i ntr Od UCti On . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 SeCti On 4: r eq Uire Ment S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9、. . . . . . . . . . . . . . . . . . . . . 14 Sec. 4.1 Commitment to Resources, 14 4.1.1 Responsibilities, 14 Sec. 4.2 Legal, Regulatory, and Other Requirements, 18 4.2.1 Requirements, 18 4.2.2 Procedures, 18 4.2.3 Other Requirements, 18 Sec. 4.3 Standard Compliance, 23 4.3.1 Responsibility and Autho
10、rity, 23 4.3.2 Policy Development, 23 4.3.3 Documentation, 23 4.3.4 Maintenance, 24 4.3.5 Authority, 24 Sec. 4.4 T racking and Measuring Improvement, 27 4.4.1 Purpose and Scope, 27 4.4.2 Responsibilities, 27 4.4.3 Requirements, 27 Sec. 4.5 Communication, 31 4.5.1 Evaluation, 31 4.5.2 Communication A
11、bout Utility Management System Standard and Series, 31 Sec. 4.6 T raining, 34 4.6.1 Certification and Competency , 34 4.6.2 Maintaining and Documenting Competency, 34 Sec. 4.7 Emergency Preparedness, 36 SeCti On 5: Veri Fi CAti On . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
12、 . . . . . . . . . . . . . . . . . . 40 Sec. 5.1 Documentation, 40 5.1.1 Record Keeping, 40iv Operational Guide to AWWA Standard G400 5.1.2 Examples of Documentation, 40 5.1.3 Control of Documents, 40 5.1.4 Control of Records, 41 Sec. 5.2 Human Resources, 45 5.2.1 General, 45 5.2.2 Competence, Aware
13、ness, and T raining, 45 SeCti On 6: Gl OSSAry OF ACr Ony MS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 SeCti On 7: r e Feren Ce S And r e SOUr Ce S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 SeCti On 8: AUdit Che Ckli St . . . .
14、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 Appendix A: Additi On Al e x AMple S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 611 G400 Operational Guide Se Cti On 1: ACkn OWled GMent S As authors, we would like to tha
15、nk a host of individualsand the utilities that employ themfor contributing their time and talent in the creation of this operational guide. All of the samples and examples used in the guide have been donated by these generous people, and for that we are truly indebted. Please respect the effort that
16、 each of them and their respective organizations put into both creating the documents and offering them for your use. We hope their sample templates, policies, and memos serve as your guide in developing your own versionsbe sure to give them credit in your documentation as well. Kanwal Oberoi, Charl
17、eston Water System, Charleston, S.C. Dan Roberts, City of Palm Bay, Palm Bay, Fla. Bob Miller (retired) and Carl Blanton, Louisville Water Company, Louisville, Ky. Wayne Stiver, Peterborough Utilities Services Inc., Peterborough, Ont. Kathy Casson, Portland Water Bureau, Portland, Ore. Mike Caston,
18、Startex-Jackson-Wellford-Duncan (SJWD) Water District, Lyman, S.C. Donna Wies, Union Sanitary District, Union City, Calif. We also want to recognize a large number of other individuals (and their respec- tive organizations) who participated in various developmental steps sponsored by the American Wa
19、ter Works Association (AWWA). These include service on volunteer Utility Management System2 Operational Guide to AWWA Standard G400 committees, participation in two pilot studies, and participation in two pivotal work- shops that were held in Denver in 2007, all which contributed to the foundation f
20、or both the utility management system standard and this operational guide. We are proud and honored to have worked with all of you every step of the way. Thanks for the countless hours and unwavering and collaborative spirit. American W ater W orks Association, d enver, Colo ., and W ashington, d .C
21、 . (current and former) John Anderson Ed Baruth Molly Beach Tom Curtis Gay Porter De Nileon Jack Hoffbuhr Angela Lafferty Bill Lauer Lynn Lobb Tim McCandless Paul Olson Mary Alice Parmelee Stephanie Passarelli Alan Roberson John Stubbart Jim Wailes t own of Bath, Bath, Mich . Clyde Dugan (retired) B
22、enton r egional public W ater Authority, r ogers, Ark . Scott Borman Birmingham W ater W orks Board, Birmingham, Ala . Patty Barron Stacy Finch Darryl Jones Sonny Jones Reginald Nall Cary Prather Joel Rhaly Doug Stockham Mac Underwood Black that is, are they useful as documents?6 Operational Guide t
23、o AWWA Standard G400 Are the requirements fair and reasonable for a utility as small as WCSA (staff of 50, serving 50,000 people), as large as Birmingham (staff of several hundred, serving more than 700,000 people), and for other utilities? Do the participating utilities see any value in the process
24、 of adopting and using these standards, and if appropriate, any additional value in being recognized for doing so? The pilot process revealed that not only were the new management standards clear, understandable, and usable, but they were on target in identifying the right things to be doingin sourc
25、e protection, at the treatment plant, and in the distri- bution systemto properly protect public health, public safety, and the environ- ment, and to properly and responsibly run the utility. In addition, the pilot participants explained some of the key benefits they thought would come from using th
26、e standards and from any recognition that might come with their use. First, they thought that implementing the standards would have a direct and positive impact on their everyday operations. Even the process of sim- ply identifying the gap between what the standards call for and what they had in pla
27、ce gave them the information they needed to make many opera- tional improvements, which, when implemented, would make them both more effective and more efficient in many areas. Second, they thought that being able to say that they had successfully adopted and implemented the standards would give the
28、m more credibility as an organization, and further, give them the confidence to handle the tough questions that come from the media, the utilitys governance, or customers. Third, they felt that being recognized (especially if it was by an organization of AWWAs stature) for using these standards woul
29、d enhance their public image as responsible stewards of the natural, fiscal, and human resources entrusted to their care, and this image would serve as a source to attract businesses and people to their communities. Fourth, and perhaps most unexpected, they felt that implementing these standards wou
30、ld be a great way to capture the immense quantity of institu- tional knowledge possessed by their utility employees. During the pilot process, the utility managers requested that AWWA develop some type of guidance or how-to documents to go along with the standards. These guidance documents would ser
31、ve two purposes: (1) to help utility managers Utility Management System 7 understand the purpose and function of these new standards, and (2) to help them implement and incorporate the standards into everyday operations. From this sug- gestion resulted the series of guides (AWWA 2006). Se Cti On 3:
32、i ntr Od UCti On How to Use This Guide This guide is designed primarily as an organizing tool, that is, a mechanism from which a water and/or wastewater utility manager can craft a framework for systematic continuous improvement. This framework can lead to the development of a utility management sys
33、tem (UMS), which in turn, will help that manager with the everyday operations and management of his/her utility. The UMS has component parts, all of which are outlined in G400, the Util- ity Management System standard (UMSS). This guide is set up to help one build a UMS. A quick summary is presented
34、 showing how each part of the guide can be used to build a unique UMS. Table of Contents Not only does this outline the contents of the guide, but it can also serve as the outline for a UMS. Each piece of this guide can, in some way, become a com- ponent of the system. Overview and Purpose This intr
35、oductory part of the guide can be used to help a manager articulate why he/she is developing the system, where it has its origins, and what one hopes to get out of it. This is a good place to find words for a mission and vision. Requirements and Verification These parts of the guide mirror Sec. 4 an
36、d 5 of the actual standard. There are nine subsections total and a corresponding minichapter in the guide (see table of contents) for each subsection. Each minichapter has four parts: Standard LanguageThe Standard Language is wording from a section of AWWA G400, as written in the latest standard document. In this guide, the stan- dard language is shaded in gray. RationaleThe Rationale provides background on the topic in each section of the standard and relevance to why the requirements are important for water distribution utilities.
