1、ANSI/AWWA G410-09(First Edition)AW WA StandardEffective date: Sept. 1, 2009.First edition approved by AWWA Board of Directors Jan. 25, 2009.Approved by American National Standards Institute July 10, 2009.6666 West Quincy Avenue Advocacy Denver, CO 80235-3098 Communications T 800.926.7337 Conferences
2、 www.awwa.org Education and TrainingScience and TechnologySectionsSMThe Authoritative Resource on Safe WaterBusiness Practices for Operation and ManagementCopyright 2009 American Water Works Association. All Rights Reserved.iiAWWA StandardThis document is an American Water Works Association (AWWA) s
3、tandard. 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 contain options that must be evaluated by the user of the standard. Until each
4、 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 any product. The use of AWWA standards is entirely voluntary. This standar
5、d 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 described will provide satisfactory service. When AWWA revises or withdr
6、aws 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 Journal AWWA publication of the offi cial notice.American National StandardAn
7、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. The existence of an American National Standard does not in any respect p
8、reclude 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 subject to periodic review, and users are cautioned to obtain the latest editio
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10、merican 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 procedures require that action be taken to reaffi rm, revise, or withdraw thi
11、s 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 West 43rd Street, Fourth Floor, New York, NY 10036; (212) 642-4900.All rig
12、hts reserved. No part of this publication may be reproduced or transmitted in any form 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 permis
13、sion of the publisher.Copyright 2009 by American Water Works AssociationPrinted in USACopyright 2009 American Water Works Association. All Rights Reserved.iiiCommittee PersonnelTh e AWWA Standards Committee on Business Practices for Operation and Management, which reviewed and approved this standard
14、, had the following personnel at the time of approval:Nick Pealy, ChairRobert K. Miller, Vice-ChairGeneral Interest MembersJ.C. Anderson, Stou ville, Ont. (AWWA)P.F. Barron,*Standards Council Liaison, Birmingham Water Works as such, there are no major revisions.V. Comments. If you have any comments
15、or questions about this standard, please call the AWWA Volunteer and Technical Support Group at 303.794.7711, Fax at 303.794.6303, write to the group at 6666 West Quincy Avenue, Denver, CO 80235, or e-mail the group at standardsawwa.org.Copyright 2009 American Water Works Association. All Rights Res
16、erved.AW WA Standard1ANSI/AWWA G410-09(First Edition)Business Practices for Operation and ManagementSECTION 1: GENERALSec. 1.1 ScopeTh is standard describes the critical elements of e ective business practices for the operation and management of water and wastewater utilities. It encom-passes the ma
17、jor functions necessary to sustain a successful utility and information management.Sec. 1.2 PurposeTh e purpose of this standard is to establish criteria for how water and waste-water utilities develop, measure the performance of, and improve the strategic planning, resource management, and support
18、functions necessary to create and sustain a high-performing organization. Th is standard describes the framework that successful utilities should use in developing and improving the performance of these business practices, including the establishment of policies and performance standards, the creati
19、on of functions and practices, the development of organization capacity and technology, and integration of functions and practices with the larger organization and its strategies.Copyright 2009 American Water Works Association. All Rights Reserved.2 AWWA G410-09Sec. 1.3 ApplicationTh is standard can
20、 be referenced in the development and evaluation of the business practices described in Sec. 1.1. Th e stipulations of this standard apply when this document has been referenced and then only to business practices described in Sec. 1.1.SECTION 2: REFERENCESTh is standard has no applicable informatio
21、n for this section.SECTION 3: DEFINITIONSTh is standard has no applicable information for this section.SECTION 4: REQUIREMENTSSec. 4.1 Strategic Planning4.1.1 Policies and performance standards. To meet this standard, an orga-nization must demonstrate that it has in place policies and performance st
22、andards for strategic planning as follows:4.1.1.1 Mission development. Th e governing body of an organization shall clearly identify the mission of the organization, including how the success of the organization in fulfi lling that mission will be measured.4.1.1.2 Policies for developing and updatin
23、g the strategic plan. Policies and procedures for developing and updating the organizations strategic plan shall be identifi ed.4.1.1.3 Policies related to expectations of management. Th e policies related to strategic planning shall clearly communicate the expectation for man-agement to implement n
24、ecessary programs, services, and projects to accomplish the mission of the organization.4.1.1.4 Policies related to strategic planning processes and performance measurement. An organization shall establish policies describing the process for developing the strategic plan, key participants, time fram
25、es for developing the plan, and how the plan objectives will be established, measured, and reported.Copyright 2009 American Water Works Association. All Rights Reserved.BUSINESS PRACTICES FOR OPERATION AND MANAGEMENT 34.1.2 Functions and practices. To meet this standard, an organization must demonst
26、rate that it has in place functions and practices for strategic planning as follows:4.1.2.1 Strategic plan development. An organization shall develop, and periodically update, a strategic plan that guides the delivery of the organizations core services, maintenance of and investment in infrastructur
27、e, hiring and devel-opment of employees, and customer service. Th e strategic plan shall describe the organizations mission, vision, and core values; key constituencies and their objec-tives; and key assumptions and environmental infl uences. Th e strategic plan shall identify long-term goals and me
28、asurable objectives. Th e strategic plan shall identify the strategies and tactics for achieving these objectives.4.1.2.2 Strategic plan updates. An organization shall update the strategic plan on a regular basis, no more than annually and no less than every fi ve years, depending on the rate of cha
29、nge in the organization.4.1.2.3 Capital improvement plan to support the strategic plan. An orga-nization shall have in place a capital improvement plan that identifi es the capital investments needed over the strategic plan time frame as well as a fi nancial plan that adequately funds the strategies
30、, construction, operation, and maintenance of facilities and programs outlined in the strategic plan.4.1.2.4 Annual reporting of strategic plan progress. Each year, an orga-nization shall report progress toward accomplishing the goals and objectives of the strategic plan to employees, its governing
31、body, customers, and other key stakeholders.4.1.3 Organizational capacity and technology. To meet this standard, an organization must demonstrate that it has in place the organizational capacity and technology for strategic planning as follows:4.1.3.1 Sta capacity. An organization shall have in plac
32、e the administra-tive and management personnel and capability to conduct and monitor the strate-gic planning and implementation process. 4.1.3.2 Technology. An organization shall have access to enabling tech-nologies commensurate with the level of complexity and needs of the organization.4.1.4 Integ
33、ration of functions and practices. To meet this standard, an organization must demonstrate that its functions and practices for strategic plan-ning are integrated into the organization as follows:4.1.4.1 Integration with performance management. An organization shall have management and employee perf
34、ormance goals, objectives, and action Copyright 2009 American Water Works Association. All Rights Reserved.4 AWWA G410-09items that are linked to the organizations strategic plan. Annual performance appraisals shall reference achievement of the objectives of the strategic plan.4.1.4.2 Integration wi
35、th strategic and operational plans. An organization shall have mechanisms in place for the integration of the strategic plan into the departmental operational plan, budgets, work plans, goals, and objectives.Sec. 4.2 Capital Improvement Program4.2.1 Policies and performance standards. To meet this s
36、tandard, an orga-nization must demonstrate that it has in place policies and performance standards for its capital improvement program (CIP ) as follows:4.2.1.1 Capital improvement planning policies. To ensure acceptable performance of its infrastructure over the long run (including the ability to m
37、eet current and emerging regulatory requirements, population growth), an organiza-tion shall have in place a policy of developing a multiyear capital improvement program that specifi es in detail the organizations plans for replacing, rehabilitat-ing, and/or expanding its system infrastructure.4.2.1
38、.2 Policies for utilizing consultants. An organization shall have in place a policy or strategy for utilizing consultants to support the planning and execution of its CIP. Th e policy or strategy shall consider the cost-e ectiveness and risk associated with hiring individuals with highly specialized
39、 skills versus contracting for those same skills.4.2.1.3 Performance measurement. An organization shall have in place performance standards and metrics for the execution of its capital improvement program to ensure that the scope, schedule, and budget of individual projects, as well as the CIP as a
40、whole, meet the organizations standards for performance. Th ese standards and metrics shall be used to monitor the execution of the CIP, to assist in making course corrections where necessary, and to compare the perfor-mance of the organizations CIP with that of other similar organizations.4.2.1.4 P
41、olicies for project selection. An organization shall have in place policies that stipulate how CIP project alternatives will be developed, evaluated, and selected. Such policies may call for the use of costbenefi t analysis, multi-objective decision-making tools, committee-based evaluation processes
42、, and value-engineering, among others.4.2.1.5 Policies for fi nancing system growth. An organization shall have in place policies that establish how system growth and expansion will be fi nanced (that is, the role of developers fees, etc.). An organization shall also have in place standards for desi
43、gn and construction of system infrastructure that is fi nanced and Copyright 2009 American Water Works Association. All Rights Reserved.BUSINESS PRACTICES FOR OPERATION AND MANAGEMENT 5construction by private developers, and policies that clearly establish the responsi-bility for maintaining that in
44、frastructure in the future.4.2.2 Functions and practices. To meet this standard, an organization must demonstrate that it has in place functions and practices to support its capital improvement program as follows:4.2.2.1 Accountability for program execution. An organization shall establish clear acc
45、ountability for its CIP with a single individualeither a capi-tal improvement program director/manager, or in the case of smaller systems, the general manager, or another management-level employee with adequate engineer-ing and system planning experience and the ability to e ectively manage contract
46、 resources.4.2.2.2 Stakeholder involvement. Th e process of developing an organi-zations CIP shall include key stakeholders, including engineering, maintenance, fi nance, customer service, and other stakeholders as necessary. 4.2.2.3 Consideration of costs in selecting among alternatives. An organi-
47、zations process for selecting between capital improvement project alternatives shall consider each alternatives life-cycle costs (that is, long-term maintenance costs, as well as capital costs), environmental costs, and community impacts (“social” costs).4.2.2.4 Supporting tools. An organization sha
48、ll have in place robust pro-grams/tools for supporting the development of its CIP, including condition assess-ment programs, and tools for forecasting future population and consumption.4.2.2.5 Practices for updating the CIP. An organization shall review and update its capital improvement program ann
49、ually, and perform “major” updates approximately every fi ve years.4.2.2.6 Community and stakeholder communication. An organization shall have in place an ongoing communications program for communicating its capital improvement plans to community stakeholders, regulators, and other key stakeholders. Th is program shall insure a proper level of involvement of stakeholders in siting decisions.4.2.3 Organizational capacity and technology. To meet this standard, an organization must demonstrate that it has in place the capacity and technology for developing and
