A companion document to the Primer
                    for Effective Utility Management
Effective Water and Wastewater

Utility Management Case Studies

Columbus Water Works (Georgia)
Green Bay Metropolitan Sewerage District (Wisconsin)
Gwinnett County Department of Water Resources (Georgia)
Massachusetts Water Resources Authority (Massachusetts)
 April 2009
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               N ACWA & NAWC
                ^1* »V»- V V/ \ ^KS i"*!IO«*.Al!«*TiON
          American Water Works
          Association

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Foreword

In 2007, the U.S. Environmental Protection Agency (EPA), Water Environment Federation (WEF), American
Water Works Association (AWWA), National Association of Clean Water Agencies (NACWA), Association of
Metropolitan  Water  Agencies (AMWA),  American Public  Works  Association (APWA),  and  National
Association of Water Companies (NAWC) (the Collaborating Organizations), signed an historic agreement to
promote effective utility management across the water sector based on  a series of  Ten Attributes of
Effectively Managed Utilities (Attributes) and Five Keys to Management Success (Keys).  In  2008, these
partners produced "Effective Utility Management:  A Primer for Water and Wastewater Utilities."  This
Primer highlights the Attributes and Keys, example utility performance measures, and a  simple utility self-
assessment methodology.
Now, the Collaborating Organizations are pleased to present
a series of case studies on four utilities (Columbus Water
Works, Green Bay Metropolitan Sewerage District, Gwinnett
County Department of Water Resources, and Massachusetts
Water Resources Authority) that have applied all or part of
the Primer concepts and tools.  The case studies document
is a companion to the Primer,  providing concrete examples
and "how to" assistance for utility  managers applying the
Primer concepts and tools.
 Effective Utility Management:
    A Primer for Water and
Wastewater Utilities is available
   at the following website:

  http://watereum.org
The case studies document the experiences of utilities applying the concepts and tools contained in the
Primer and provide information on how other utility managers can best use the Primer in their own
organizations.  The case study examples demonstrate how the utilities used the Attributes, Keys, example
measures, and self-assessment tool to ensure they were on the right track with managing improvement
priorities and to make effective improvements in areas needing more attention.  The utilities faced a range
of challenges  in their management improvement efforts, and found that the Primer concepts and tools
significantly aided their efforts.

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Effective Utility Management Collaborating Organizations
Representatives
Julia Anastasio
American Public Works Association

John Anderson
American Water Works Association

Peter Cook
National Association of Water
Companies

Tom Curtis
American Water Works Association

Chris Hornback
National Association of Clean Water
Agencies
Jim Home
U.S. Environmental Protection Agency

Eileen O'Neill
Water Environment Federation

Jackie Leclair
U.S. Environmental Protection Agency

Carolyn Peterson
Association of Metropolitan Water
Agencies

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Acknowledgements

The Collaborating Organizations wish to thank the managers and executives of
the four participating utilities for their contributions to these case studies:

Utilities in the Case Studies
Jim Patterson and Beth Bickerstaff
Columbus Water Works (GA)

Tom Sigmund
Green Boy Metropolitan Sewerage
District (Wl)
  Tyler Richards
  Gwinnett County Department of
  Water Resources (GA)

  Marian Orfeo
  Massachusetts Water Resources
  Authority (MA)
The Collaborating Organizations would also like to thank the Utility Advisory
Group members for their contribution to the development of this document:
Utility Advisory Group

Greg DiLoreto
Tualatin Valley Water District

Dan Hartman
City of Golden Public Works

Ed McCormick
East Bay Municipal Utility District

Eric Olsen
Shorelands Water Company

Tyler Richards
Gwinnett County Dept. of Water Resources
Thomas Sigmund
Green Bay Metropolitan Sewerage
District

Diane Taniguchi-Dennis
City of Albany Dept. of Public Works

Donna Wies
Union Sanitary District

John Young
American Water

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Ten Attributes to Effectively Managed Water Sector
Utilities and Five Keys to Management Success

Ten Attributes to Effectively Managed Water Sector Utilities

1.  Product Quality
2.  Customer Satisfaction
3.   Employee and Leadership Development
4.   Operational Optimization
5.  Financial Viability
6.  Infrastructure Stability
7.  Operational Resiliency
8.  Community Sustainability
9.  Water Resource Adequacy
10. Stakeholder Understanding and Support

Five Keys to Management Success

1.  Leadership
2.  Strategic Business Planning
3.  Organizational Approaches
4.  Measurement
5.  Continual Improvement Management Framework

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Table of Contents
Introduction	1

Case Study: Columbus Water Works (Georgia)	8

Case Study: Green Bay Metropolitan Sewerage District (Wisconsin)	16

Case Study: Gwinnett County Department of Water Resources (Georgia)	24

Case Study: Massachusetts Water Resources Authority (Massachusetts)	333

Appendix A: Columbus Water Works 2008 Strategic Planning - Strategies, Goals, Objectives	41

Appendix B: Columbus Waterworks Self-Assessment Results	46

Apprendix C: Columbus Waterworks 2008 Strategic Planning Benchmarks	48

Appendix D: Green Bay Metropolitan Sewerage District 2008 Strategic Plan Goals, Objectives and
Investment Strategies	50

Appendix E: Gwinnett County Department of Water Resources - Achievement of Attributes and
Importance of Attributes Ranking	58

Apprendix F: Gwinnett County Department of Water Resources - Strategic Planning Achievement and
Importance Graph	59

Appendix G: Gwinnett County Department of Water Resources - Example of Balanced Scorecard
Perspectives	60

Apprendix H: Massachusetts Water Resource Authority Business Plan Fiscal Years 2009 to 2013	61

Appendix I: Massachusetts Water Resource Authority Business Plan Strategy #2	63

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   Effective Water and Wastewater Utility Management
                              Case Studies 2009
          A Companion Document to the Primer for Effective Utility Management
Introduction
Water  and wastewater  utilities are confronted  with  many challenges as they  strive to  make
organizational improvements. Water sector utility managers must consider a wide range of issues in
their  management  improvement   initiatives.    General  economic  conditions,  staff  turnover,
communication between internal management and external stakeholders, involvement of staff across
the organization, aging infrastructure, rate issues, and limited staff resources are some of the issues
managers address.

The Primer concepts and tools, which include the Attributes, Keys, examples of performance measures,
and self-assessment tool, provides utility managers with straightforward tools for tackling management
improvement efforts within the context of today's challenges.  A group of utility advisors developed the
Primer concepts and tools, which have been endorsed and released by the Collaborating Organizations.
The Primer is available for use at the following website: http://watereum.org/.

The utilities  in the  case studies found  that the Primer concepts and tools  made  a  substantial
contribution to their management improvement efforts, bringing a crisp and cost effective focus to their
initiatives and aiding both their internal and external communications. The utility managers involved in
these case studies  reported a range of important benefits from using the Primer concepts and  tools,
including:

    •   External validation of utility management  improvement priorities by using a nationally
       recognized framework for effective utility  management endorsed by the Collaborating
       Organizations.
    •   Support to  ensuring that management efforts focus on an effective balance between internally-
       oriented (e.g., operational optimization) and externally-oriented (e.g., stakeholder
       understanding and support) priorities.
    •   A timely means to initiate or update strategic planning (the self-assessment tool provided a
       simple, but not simplistic, means to identify high and low performing management areas and
       affirm existing or establish new goals and objectives for each).
    •   A coherent and comprehensive management improvement framework that acts to focus
       ongoing or planned efforts, enhance dialogue, and build consensus among utility management,
       oversight bodies, stakeholders, and staff across the organization.

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    •  A flexible set of tools that apply to a range of utilities at different stages in the management
       improvement process.
    •  A cost free ready-to-use management improvement tool that utility managers can implement in
       as much or as little depth as they find appropriate for their organizations.

Overall, the experiences of these utilities indicate that the Primer provides a highly cost effective and
easy-to-implement set of tools  and  concepts  for undertaking  and improving upon existing utility
management improvement efforts. The remainder of this introduction provides further background on
the case  study utilities and their experiences drawing  on the Primer concepts and tools.  The individual
case studies provide a  more detailed depiction  of each utility's experience and the application of the
Primer concepts and tools.

Overview of Utilities
The Collaborating Organizations and Utility Advisory
Group members selected four  utilities from a list of
sixteen  nominees.   The utilities were  selected  to
represent a range of characteristics, including a variety
of  geographical  locations,  water  and  wastewater
services, and  population  sizes  served.   The utilities
have recent experience applying the Primer concepts
and   tools   to   new   or  existing   management
improvement   initiatives.    Senior   managers  and
executives from each  utility were interviewed for the
case studies and provided background information  on
management  initiatives,  application  of  the Primer
concepts  and  tools  to  the  utility's  management
improvement  efforts,  results of the application,  and
lessons learned from the process.
"By using the Attributes you can
develop a great strategic plan,
goals, and measures, or you can
very simply and inexpensively
update your existing plan, as we
—Tyler Richards, Deputy Director of
Operations and Environmental
Services, Gwinnett County Dept.
Water Resources
The utilities selected for case study profiling represent a range in size, budget, and approach to applying
the Primer concepts and tools.  Table 1 highlights some of the  key characteristics among the  four
utilities.

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Table 1: Characteristics of the Utilities
Utility
Columbus Water
Works
Green Bay
Metropolitan
Sewerage District
Gwinnett County
Department of Water
Resources
Massachusetts Water
Resources Authority
Geography
Southeast
Midwest
Southeast
Northeast
Water/
Wastewater
Combined
Wastewater
Combined
Combined
Average
Wastewater
Flow
70 - 84 mgd
39mgd
45 mgd
320 mgd
Average
Water
Demand
27.5 mgd
n/a
86.9 mgd
214 mgd
Residential
Population
Served
227,000
219,000
750,000
2.5 million
Application of the Primer Concepts and Tools

The case studies provide a  range of examples for utilities considering using the Primer concepts and
tools, including the Attributes, Keys, example measures, and self-assessment method. Depending on
the status of the utility management improvement initiatives, application of the Primer varied across the
case study utilities.
Management Initiatives

The case study utilities applied the Primer concepts and tools to  improvement  initiatives at various
stages in  their  management  improvement  initiatives.   Columbus  Water  Works  (CWW)  and
Massachusetts Water Resources Authority (MWRA) used the concepts and tools to support the review
of existing strategic plans that had  been in place for many years.  These utilities had already invested
substantial time and resources in their management improvement initiatives.

Gwinnett County Department of Water Resources (DWR) applied the Primer to the review of a two year
old strategic plan.  DWR used the Primer concepts and tools as a simple, cost effective framework for
the strategic planning review process.  Green Bay Metropolitan Sewerage District (GBMSD) applied the
Primer to a new strategic planning process that for the first time involved a full range of managers and
executive staff in addition to the District's Commissioners. This utility used the concepts and  tools  as a
framework for developing goals, objectives, and strategic investments.

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Approaches to the Primer Concepts and Tools
The case studies profile different approaches to applying
the Primer  concepts and  tools.   CWW, GBMSD,  and
MWRA utilized the concepts and tools as a framework for
the  planning  process analysis  and   discussion  that
occurred in workshops and  planning  meetings.   DWR
applied the Primer concepts and tools to a strategic plan
review  process that  did  not  involve  workshops  or
meetings   but   instead   used   email   and  standing
management team meetings.  For each type of approach,
the utilities found the Primer concepts easy to apply
within  the  context  of  their   existing  management
initiatives.

Self-Assessment Tool
"During strategic planning, if
you are not careful, you can get
lost in the weeds where
management tactics become the
focus.  Everyone needs to back
up every once in a while and
look at the big picture and the
Attributes help you to do that."
 —Jim Patterson, V.P. Strategic
Planning Implementation,
Columbus Water Works

Three utilities—CWW, DWR, and GBMSD—used the Primer self-assessment tool. This resulted in the
identification of areas of achievement and growth, as well as areas needing more focus.  Information
from the self-assessment results was then used in their strategic planning processes, to help prioritize,
develop, and revitalize  management  initiatives.   The  utilities  took different approaches to the
application of the self-assessment tool.  CWW used a survey approach with a mathematical compilation
of the results, using average scores.  GBMWD used the results of manager responses as a consensus
building exercise within a meeting context. Like CWW, DWR used a survey approach but took a slightly
different approach to compile the results.

DWR also tracked the results  of the  self-assessment tool  by  division, finding similarities  between
participants across the organization. This  approach provided reassurance that the participants were in
agreement regarding priorities and achievements.  This case study highlights the potential use of the
self-assessment tool  for  tracking results across  diverse groups, such as divisions or,  in the future,
possibly stakeholder  interest areas.   The  approach can help to reveal  disparities or similarities in the
sense of priorities and achievement between participants. It can provide an effective basis for dialogue
to explicitly reconcile differences or to offer reassurance about having a unified sense of utility priorities.

Performance Measures

All of the case study utilities used the  list of example performance measures provided in the Primer.
The utilities already had performance measurement systems in place and used the examples as a means
to check for completeness relative to each of the Attribute areas.   As a result of the  comparison
exercise, two utilities identified a need to  further  develop performance measures in certain areas.  One
utility validated the completeness of its existing measurement efforts, and the fourth  utility will use the
list of measures to support further development efforts later this year.

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Table 2: Utility Application of Primer Concepts and Tools
Utility
Columbus Water
Works
Green Bay
Metropolitan
Sewerage District
Gwinnett County
Department of
Water Resources
Massachusetts
Water Resources
Authority
Management
Initiatives
Reviewed existing
long-term
strategic plan
Reviewed existing
short-term
strategic plan
New strategic
planning process
involved full range
of staff for the first
time
Reviewed existing
long-term
strategic plan
Approach to
Primer Concepts
Used Primer as
framework for
strategic planning
workshops
Used Primer as
framework for
strategic planning
workshops
Used Primer as
framework for
plan review by
email and standing
meetings
Used Primer as
framework for
strategic planning
workshops
Self-Assessment
Tool
Completed the
self-assessment;
identified areas of
achievement and
importance
Completed the
self-assessment;
identified areas of
achievement and
importance
Completed the
self-assessment;
identified areas of
achievement and
importance
Did not complete
self-assessment.
Considered results
of a previous
assessment
Performance
Measures
Compared list of
example measures
in Primer with
existing measures
Compared list of
example measures
in Primer with
existing measures
Compared list of
example measures
in Primer with
existing measures
Compared list of
example measures
in Primer with
existing measures
Lessons Learned

The utility managers and executives interviewed for the case studies shared lessons learned from their
application of the Primer concepts and tools to their utilities' management improvement initiatives.

External Validation Lends Credibility to Utility Management Priorities: The case study utilities found that
having a  succinct management improvement framework endorsed  by the Collaborating Organizations
lent substantial credibility to their management improvement initiatives and helped validate their goals
and strategies. For example, the MWRA management team operating in the context of relatively new
Board members, found the nationally-recognized  concepts  and tools helped them to generate Board
member support for their management improvement efforts.

A Simple Means to Identify Management Improvement Opportunities: The case study utilities found the
Primer concepts and tools provided a simple approach to identifying areas needing more focus, as well
as areas  on the right track.  The utilities  mapped the  Attributes to their management initiatives to
identify where existing efforts needed improvement, and  where initiatives were providing effective,
overall management coverage. The utility managers found the mapping process fairly straightforward

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and easy to introduce to management teams and into
existing and new management initiatives.  For example,
CWW managers and strategy teams were easily able to
correlate specific goals, objectives, and strategies from
their  existing  strategic  plan  with each  of the  ten
Attributes.   During  a  strategic plan review  workshop,
CWW strategy teams discovered that they were  not
achieving the  Employee and  Leadership  Development
Attribute at a level they considered effective and made
changes to the revised strategic plan to address this area
more comprehensively.
                                                          "We were able to show our
                                                          Board members that our
                                                          management improvement
                                                          priorities are fully consistent
                                                          with a nationally recognized and
                                                          endorsed utility management
                                                          framework.  That was
                                                          validating and should help
                                                          generate solid Board support for
                                                          our efforts over the five-year
                                                          timeframe of the Business Plan."
                                                          — Marian Orfeo, Director of
                                                          Planning and Coordination,
                                                          Massachusetts Water Resources
                                                          Authority
Lower  Cost Strategic Plan  Updates:   Utility managers
found the Primer concepts and tools to provide a cost-
effective, easy-to-implement approach.  Their application
helped the utilities to lower management improvement
initiative costs and to focus resources  more efficiently.
For example,  DWR lowered  its costs for  a  strategic
planning update by completing the plan review process
without the  use of workshops or strategy  planning
meetings. The Primer concepts and tools helped make it possible for DWR to conduct its review by
email and standing management team meetings. Using the self-assessment tool in the Primer, DWR
gathered input from managers in all divisions regarding the utility's level of achievement and priorities.
The self-assessment tool proved to be a very low cost and timely means  to establish a sense of
management initiative priorities.
Maintaining a Focus on "The Bid Picture" and Critical Outcomes: Managers in the case studies returned
to the Primer concepts throughout the planning process as a way to direct the dialogue, focus on the
"big picture" of overall management effectiveness, and take on a fresh way of viewing improvement
initiatives. This helped the utilities maintain a balance among "inside the fence" and "outside the fence"
management improvement initiatives.
For example, the Primer concepts provided a high-level framework for discussions between the GBMSD
management  team and  its Commissioners.   GBMSD reported  that  the  self-assessment results
substantially  contributed to shifting  management  perception regarding the  need for increasing
emphasis on external-oriented  management efforts.  The self-assessment results provided a  compact
and  clear depiction  of  where GBMSD  had management strengths  and where opportunities  for
improvement existed. This  clear depiction  contributed to a productive dialogue between  GBMSD
managers and Commissioners, and resulted in consensus on a balanced strategic plan.

Clear Illustration and More Focused Discussion of Management Improvement Opportunities: Managers
found the Primer self-assessment tool provided a clear illustration of the utilities'  level of current

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achievement and where improvement opportunities reside.  The table and graphic, produced by the
utilities using the self-assessment tool, were helpful for communicating with staff, managers, and Board
members about where a utility was and where it wanted to be, in a format that was easy to understand.
Applicability   Across   a   Range    of  Management
Improvement  Experience  and Sophistication:    Utility
managers found  the Primer  concepts  and tools offer
utilities flexibility in application. The tools can be applied
by utilities with a range of experience and investment in
utility management improvement initiatives.  In  the case
studies, CWW and MWRA  had gone through  multiple
strategic planning cycles. GBMSD recently completed its
first, fully inclusive strategic planning effort, and DWR has
a two  year old strategic planning process and used the
Attributes to review and update that process. Even with
the diversity of experience, all of the utilities in  the case
studies were  able to  implement the tools easily  and
effectively.
"Another real benefit to using
the Primer is the graphical
illustration of the utility's
achievement rating for the
Attributes and importance
ranking. This is a good way for
the management team and staff
to understand where we are and
where we want to be."
— Tom Sigmund, Executive
Director, Green Bay Metropolitan
Sewerage District
Overall, the case study utilities found that the Primer
concepts and tools provide a cost-effective, easy to
implement approach to exploring utility management improvement opportunities, as well as identifying
areas providing effective management. The case studies show how four successful utilities applied the
Primer to improvement initiatives in a new and straightforward way, while addressing the current
challenges common  to water sector utilities across the country.

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Case Study: Columbus Water Works (Georgia)
This  case study profiles Columbus Water Works, in  Columbus, Georgia, and  its  application of the
Attributes and Keys based on interviews with the Vice President of Strategic Planning Implementation
and  the  Manager of Communications and  Continuous  Improvement.  The  organization  used the
Effective Utility Management Primer for Water and Wastewater Utilities (Primer), as a guide for applying
the Attributes and Keys.

Utility Overview

Columbus Water Works (CWW) is  an enterprise operation serving a population of approximately
227,000 with drinking water treatment and distribution, and wastewater collection  and treatment
operations. CWW is an executive department of the consolidated governments of the City of Columbus
and Muscogee County and is funded through ratepayer fees.

Source water for CWW  is provided by the Chattahoochee  River and is treated at the North Columbus
Water Resources Facility, which has a capacity of 90 million gallons per day (mgd). The plant averages
32 mgd, but during periods of high demand for water has hit a peak usage of 54.5 mgd. The treatment
plant was originally built in 1915 and has been updated  and modified numerous times to meet new
regulations and accommodate technology advances.

          CWW Wastewater Treatment Plant
Wastewater is treated at the South Columbus Water Resources Facility.  Built in 1964, the plant has
been through several upgrades to keep pace with advancing technology and  new regulations. The plant
originally operated using primary treatment, but added secondary treatment  in 1974.  During wet
weather events, when stormwater may enter the system, the plant can treat up to 84 mgd.

The Columbus Water Board is responsible for the overall management of the utility, including hiring the
President, approving the annual budget, setting legal, financial, and personnel policies, and approving
rates.  The Board is made  up of five members, with the mayor of Columbus serving as an ex-officio
member, and the remaining four seats appointed by the Columbus City Council.
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Existing Management Initiative
                                                          "When we introduced the
                                                          Primer, it was well received.
                                                          The management team was
                                                          excited to have a new approach
                                                          to strategic planning."
                                                          - Beth Bickerstaff, Manager of
                                                          Communications and Continuous
                                                          Improvement, Columbus Water
                                                          Works
Columbus Water Works' current internal  management
initiative program, or strategic plan, was created in 2005.
This effort  built off of an  earlier  strategic  planning
initiative begun  in  1997.  In response to  the  mixed
success of the 1997 effort, the development of the 2005
strategic plan included  a structural reorganization and
the creation  of  the  Strategic  Planning Implementation
Division (SPID). CWW's vision,  as developed through the
2005 strategic planning process is "To be an outstanding
provider of utility services, dedicated to protecting the
environment,  aspiring   to  new  opportunities,  and
compelled to  excel in service  to our community."  To
support this vision,  SPID works closely with six strategy
teams  providing support and guidance, one for each  of
the organization's major strategy areas (1: Enhance  customer satisfaction, 2: Strengthen regional
economic potential,  3: Leverage information technology, 4:  Optimize  infrastructure performance, 5:
Develop sustainable workforce, and 6: Maintain financial stability).

The 2005 strategic plan and subsequent reorganization empowered the strategy teams to resolve issues
directly and carry out the plan's action items. Because  the strategy teams were  given the authority to
implement specific actions and resolve related  problems, and to act directly without needing to delay
for management approval, CWW was able to involve team leaders and  staff across the organization in
timely  and effective  management improvements.  The structural support for strategy teams made a
significant difference in  the organization's ability to implement its strategic plan, reach its associated
management goals, and move toward achieving  its vision.

CWW conducted its first  major review of the current strategic plan in 2007 and a second major review in
2008. The 2008  review took place during a Leadership  Retreat workshop in  which the Primer concepts
and tools were first utilized as part of the strategic planning process.  By mapping the relationship
between the organization's strategies and the Primer concepts, senior managers and  strategy team
leaders were able to assess organization-wide performance for the strategic plan review.

Application of the Attributes

CWW's President first shared information on the Primer with the organization in 2008, just before the
Leadership Retreat workshop.  The organization's senior managers and strategy team leaders reviewed
the primer in preparation for the workshop.  The purpose of the workshop was to re-examine and
update the organization's strategic plan. CWW  used the Primer, including the Attributes, the Keys, and
the self-assessment as the framework for this review process.

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Prior to the workshop, management staff compared the organization's existing strategic plan (the six
strategy areas and associated goals) with the Attributes, and found them to be highly correlated. Using
the Primer as a reference, specific strategies, goals, and  objectives were mapped from the existing
strategic plan to each of the Attributes.  During the workshop, the six CWW strategy teams were asked
to identify what goals or objectives should be changed or  added,  based on the Attributes and current
organizational  challenges  (See  Appendix  A:   CWW  2008 Strategic  Planning—Strategies,   Goals,
Objectives).  The workshop participants developed action plans to address the changes, additions, and
issues identified, and began work with the strategy teams immediately following the workshop to move
the actions forward.

Utility Self Assessment
In preparation  for their  Leadership  Retreat Workshop,
CWW made use of the self-assessment tool  provided in
the Primer.  Managers  and team leaders  individually
completed  the  organizational  self-assessment  in  the
Primer before the workshop to identify CWW's level of
achievement  and  importance  ranking  for each  of the
Attributes,  in addition to identifying milestones that the
teams  had  achieved.   The  self-assessment  tool was
completed  and  returned  online through a website with
the compiled results  presented at the workshop (See
Appendix B: CWW Self-Assessment Results Figure 1 and
2—Importance   Ranking  and   Achievement   Rating).
Overall, the self-assessment results showed a correlation
between what the participants thought CWW was doing
well  and   what  Attributes  they  thought  were  most
important to the organization.
At the workshop, the assessment results showed that participants ranked Product Quality as the most
important Attribute, and Financial Viability as the second most important.  Participants rated CWW very
high in achievement of Product Quality (1 on a scale of 5) and high in the area of Financial  Viability (2
out of 5).  The results showed high to very high achievement ratings for most of the Attributes, with the
lowest level of achievement (3 on a scale of 5), given to the Employee and Leadership Development
Attribute.    Employee  and Leadership Development  ranked  3-4 (very important), showing some
inconsistency when compared to its relatively low achievement rating.  The inconsistency was attributed
to the expected retirement, within the next few years, of a number of CWW's senior managers, while
having insufficient planning in place for workforce succession.
"With the limited time we had
in the strategic planning
workshop, we were able to
quickly identify issues that
needed to be addressed using
the Primer. When we got back
within our teams we were able
to discuss how to address those
—Jim Patterson, V.P. Strategic
Planning Implementation,
Columbus Water Works
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         CWW Leadership Retreat Workshop 2008
The self-assessment results confirmed that CWW was heading in the right direction with its strategic
planning approach,  but also reinforced the  need for more focus on the Employee and  Leadership
Development area in  particular.  As  a result of the inconsistency in this area, CWW managers and
strategy teams met to  discuss the issue after the workshop.  An employee training program and
succession plan were developed to begin addressing the pending turn-over of the executive team.

Example Utility Measures

Senior managers also  compared the example performance measures provided in the Primer with the
existing ones that CWW has in place. The managers were able to correlate  example measures with
CWW measures and found each of the Attributes to be well supported by CWW's current performance
measurement system.   The managers evaluated  measures from three sources in the organization:
CWW's strategic plan, the strategy team objectives, and CWW's application of QualServe1 indicators.
The results of the comparison indicated that CWW has most of the Primer concepts well supported with
existing  performance  measures,  while  the  Community Sustainability  Attribute  needs  further
performance measure development.  As a next step, CWW plans to examine its options for developing
more robust performance measures for the Community Sustainability Attribute.

Overall, CWW managers found they have strong coverage and are getting good  results from their
current performance measurement system (see Appendix C: Columbus  Water Works, 2008  Strategic
Planning—Benchmarks).  The managers concluded that the Primer would be a good tool for those
utilities getting started in the measurement evaluation process,  while it acted as a reasonable cross-
check for their more  fully developed measurement system.   Rather than generating any significant
changes, the Primer served to confirm that CWW was on track with  its measures, having a highly
developed performance measurement system already in place.
1 QualServe is a tool offered jointly by the American Water Works Association and the Water Environment Federation. For
more information visit the website at www.qualserve.org.

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Association of Metropolitan Water Agencies Awards

The 2008 Association of Metropolitan Water Agencies' (AMWA) Awards for Utility Excellence  were
structured around  the Attributes  and Keys.   The awards were given  to utilities that  systematically
applied effective utility management approaches to improve their products and services, continuously
working to improve  product  quality, customer satisfaction, employee leadership and  development,
operational optimization, financial viability, infrastructure stability, operational resiliency,  community
sustainability, water resource adequacy and stakeholder understanding and support.

CWW applied the Primer concepts to the 2008 AMWA Award application.  In the award application the
utility demonstrated that its activities were clearly associated with the Attributes and Keys. As a result,
CWW earned the 2008 AMWA Platinum Award for Utility Excellence.
                     CWW 2008 AMWA Platinum Award
                     I
                                       Platinum Award
                                       Utility Excellence
                                    Columbus Water Works
                                             2008
Keys to Management Success

Using the  Primer,  CWW's  managers conducted  an  informal  comparison  of the  organization's
management approach with the  Keys to Management Success.  Consistent with the Leadership Key,
CWW's management approach relies on leadership teams that have evolved over time to best serve the
organization in implementing its strategic plan.  CWW's implementation of the strategic plan also
correlates with the Strategic Business Planning Key of the Primer, which calls for strategic planning to
achieve  balance and cohesion across the Attributes.  In  regard to the Organizational Approaches Key,
CWW actively engages approximately 60 employees in improvement efforts using the strategy teams
that reach across the organization to  involve staff from all departments.
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The Measurement Key calls for a system of measures to manage improvement efforts associated with
the Attributes, and CWW has placed substantial emphasis on performance measurement, as described
above.   CWW has  employed a "Scan-Plan-Do"  model/ similar to the "Plan-Do-Check-Act" approach
described in the Primer under the Continual  Improvement Management Framework Key.  In addition,
CWW has  Asset  Management3 and National  Biosolids  Partnership4 strategies in place, which are
anchored in a continual  improvement management framework. The organization has also created a
Continuous Improvement staff position for a manager to coordinate efforts in this area.


Table 1 Keys to Management Success and CWW Approach
Keys
Leadership
Strategic Business
Planning
Organizational
Approaches
Measurement
Continuous Improvement
"Plan-Do-Check-Act"
CWW Approach
Leadership Teams
Strategic Plan Implementation
Strategy Teams
Performance Measures
• "Scan-Plan-Do model"
• Other management strategies
• Continuous improvement Manager
Position
Results
Implementing strategic plan
Working to achieve balance and
cohesion across the Attributes
Involving staff in improvement
efforts
Using a system of measures to
manage improvement efforts
Providing a continual improvement
management framework.
Overall, CWW found its management approach consistently matches the Keys to Management Success
as outlined in the Primer. The managers did not see the need to formally work through the Keys in the
workshop setting, but they did review them informally prior to the workshop in preparation for focusing
on the Attributes. They found that the Keys are fundamental tools for applying the Attributes, and were
useful for verifying that CWW is on track with effective management principles.

Lessons Learned

The two senior managers interviewed provided the following lessons learned from CWW's application of
the Primer concepts and tools:

    •  It was a straightforward exercise to map CWW's existing strategic plan to the Attributes.
 The Scan-Plan-Do Model was developed in the American Water Works Research Foundation project, "Strategic Planning and
Organizational Development for Water Utilities."
3 http://www.epa.gov/OWM/assetmanage/index.htm
4 http://www.biosolids.org/
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    •   The mapping exercise helped CWW to identify where their existing strategic plan goals and
       objectives could use improvement, and indicated, overall, that their strategic plan was providing
       the organization with effective, overall management coverage.
    •   Using the Primer as the overall framework for the strategic plan review helped keep workshop
       participants focused on the big picture of overall management effectiveness (and helped the
       managers to avoid becoming overly focused on specific tactics).
    •   The Primer provided a fresh way of examining CWW's strategic plan and conducting the
       strategic plan update. This helped managers be more engaged in the Leadership Workshop.
    •   The self-assessment tool provided an easy to implement, overall, high-level framework for
       evaluating organizational performance. It provided reassurance that CWW was effectively
       addressing most Attributes while highlighting one Attribute in need of further work.
    •   The example measures acted as an effective cross-check for CWW's existing measurement
       system if only to reassure the organization that it has a robust system in place.
    •   Although it has invested substantially in management systems over a several-year period, CWW
       found the Primer to be a helpful tool for characterizing its management improvement status and
       needs.
    •   Management improvements take time and evolve over several years. For example, CWW
       uncovered the need for strategy teams during its 2005 strategic planning process, several years
       before the Primer was published. The use of strategy teams was further refined during the 2007
       plan revisions. In 2008, when the Primer was published, the strategy teams were able to
       implement the Primer concepts and tools during the next strategic planning process. CWW
       management improvements occurred in stages and application of the Primer was part of the
       ongoing progress made overtime.

Overall, the  CWW  managers found that they  had no difficulty introducing the  Primer to an already
functioning management team and into an existing strategic planning process.  The managers found the
Attributes and Keys, the  self-assessment tool and example performance measures very useful and
believed the tools  helped CWW to identify areas it needed to focus on.  The CWW managers would
recommend the Primer concepts and tools to other utilities.

Conclusion

CWW is an excellent example of a utility that has used the Primer to apply the Attributes and Keys for
reviewing  and developing  management strategies, goals,  and objectives.  The  utility compared the
Primer concepts to its existing strategic plan strategies  and found a strong correlation.  CWW utilized
the Primer's self-assessment method and  identified one Attribute that needed more focus, and other
Attributes that were well supported. Areas needing a bit more focus in relation to CWW performance
measures  were identified through a comparison with the measurement strategies in the Primer. CWW
successfully applied the Primer concepts and tools through its strategic planning workshop, followed by
strategy team actions to implement the workshop findings.
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For utilities such as CWW that have invested substantial time and resources in management systems,
the Attributes,  Keys,  Measures,  and Self-Assessment  can  act as  effective  tools  for  evaluating
management strategies. According to the senior managers interviewed, the Primer can help the utility
take a step back and effectively evaluate the big picture goals it is working to achieve.

More information about CWW is available on its website at http://www.cwwga.org/default.asp.
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Case Study: Green Bay Metropolitan Sewerage District (Wisconsin)
This case study profiles Green Bay Metropolitan Sewerage District (GBMSD), in Green Bay, Wisconsin,
and its application of the Ten Attributes to Effectively Managed Water Sector Utilities (Attributes) and
Keys to Management Success (Keys).  Based on interviews with the Executive Director, the case study
describes the utility's use of the Effective Utility Management Primer for Water and Wastewater Utilities
(Primer), as a guide for applying the Attributes and Keys.

Utility Overview

Green Bay Metropolitan Sewerage District (GBMSD) is an independent municipal district that provides
district interceptor systems and  wholesale wastewater treatment  services  from its two  treatment
facilities in Green Bay and De Pere, Wisconsin. GBMSD serves over 219,000 residents, through 17 village,
town, and city customers.

              GBMSD Green Bay Facility at the Mouth of the Fox River
GBMSD's original treatment plant began  operations in 1935  and experienced several  significant
expansions  over the following decades, including a major expansion in 1975 that allowed it to be the
first plant in the nation to simultaneously treat municipal and pulp mill wastewater.  During the 1990s
the plant added aeration basins, secondary clarifiers, and  an improved solids handling system, resulting
in  greatly improved  ammonia  removal efficiency.   In  1999-2000, GBMSD  experienced  significant
restructuring and downsizing. To keep municipal user rates low while continuing to maintain or improve
performance, GBMSD reduced its workforce by 30 percent.

In  December 2007, GBMSD and the City of De Pere's wastewater utility agreed to merge operations.
The De Pere treatment facility and GBMSD facility, combined, on average treat approximately 39 mgd of
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wastewater. The Green Bay facility is designed to treat up to 49 mgd and treats approximately 30 mgd
on average.  The De Pere facility can treat up to 14 mgd; on average the facility treats approximately 9
mgd.  The maximum wet-weather design flow for the De Pere facility is 30 mgd; the maximum wet-
weather design flow for the Green Bay facility is 160 mgd.

GBMSD is authorized as a special purpose municipality under Chapter 200 of the statutes of the State of
Wisconsin and is funded by user fees.  GBMSD has the authority to levy a property tax, but has  never
used that authority. GBMSD is directed  by  a five-member  Commission that meets at  least monthly.
Commissioners are  nominated by the  Brown County Executive and approved by the  Brown County
Board to  serve staggered five-year terms.  GBMSD employs a highly skilled workforce of approximately
100 staff.

Existing Management Initiative

In 2002,  before the Primer was published, the GBMSD Commission and Executive  Staff updated the
utility's 1999 strategic plan, focusing  on risk and vulnerability assessment and asset management
strategies.  Implementation of that high-level plan did not translate to direct action by managers and
staff.  More recently, a new strategic planning process that involved not just commissioners, but a  broad
cross-section  of staff was  implemented  with the purpose  of driving performance  across the entire
organization.  While the 2002 planning process was conducted by and for the GBMSD commissioners
and executives, the 2008 process was a more fully inclusive strategic planning effort involving managers
and staff.  The 2008 process  benefited from a design that  encouraged  more  organization-wide
participation in implementation strategies.

            Green Bay Metropolitan Sewerage District Meeting
The process began with a kick-off meeting in May 2008, followed by a series of workshops through
summer and fall of 2008. The planning process utilized the Primer concepts and tools as a framework
for identifying goals, objectives, and investment strategies to achieve GBMSD's mission, "to promote
public  health and welfare through the collection, treatment and reclamation of wastewater while
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assessing stable,  competitive rates.   In  conjunction with others,  the  organization will encourage
pollution prevention and support programs to help ensure that water contaminated by human activity is
returned clean to the environment."  An  implementation  plan framed around the Primer concepts is
currently being developed for completion in 2009.

Utility Self Assessment
In 2008, GBMSD's  Executive Director  distributed  the
Primer and reviewed it with 16 managers and executive
staff on the management team, who then  individually
completed the utility self-assessment. The management
team was asked to rank the Attributes according to level
of importance  and  to  rate  GBMSD  on  its level  of
achievement for each Attribute.  The team decided to
treat the assessment results as an internal document, to
enable  managers  to  be  more  fully  candid.  The
management  team  as  a  group  reviewed the  self-
assessment results at its first strategic planning meeting,
condensed  the  individual  assessments into  a  single
group  assessment   and  used  the  results  of  the
assessment to reach consensus on priority focus areas
for the strategic plan.
"The Primer helped identify that
change was needed and helped
us develop strategies aligned
with our goal of becoming a
more effective utility."
—Tom Sigmund, Executive Director,
Green Bay Metropolitan Sewerage
District
The individual importance ranking and achievement rating from the self-assessment tool first revealed
that the management team was primarily focused on the utility's services "inside the fence," such as
product quality and plant maintenance.  The results showed that externally-focused strategies, such as
communicating with  customers, environmental stewardship, seeking stakeholder support,  and other
activities "outside the fence," were not considered by the management team to be high priority areas or
GBMSD strengths. At the same time, the Commission found external strategies lacking in the existing
management priorities and was focusing on the need for externally-focused activities  in the 2008 plan.
Going  into the strategic planning  process, the  focus  of the management team  and that  of  the
Commissioners were significantly different.

As the management team  and Commissioners discussed the Primer concepts and tools, the need for
investment in externally-focused management initiatives became more apparent; these were eventually
seen by the management team as priority focus areas for the strategic plan, in addition to the internally-
focused activities. The Primer and the self-assessment tool, in particular, were credited with giving the
management team the  opportunity to see external strategies in a different  light, in balance with
internally-focused goals.

Because the Primer provided nationally-recognized principles endorsed by EPA and six national water
sector associations, it enabled the management team to see the need for change within GBMSD to be in
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step with industry peers.   In addition, the table  and graph created by GBMSD as part of the self-
assessment tool, clearly illustrated to managers and staff the organization's current status and its future
goals in a way that was easy to understand. By demonstrating the need for change, the self-assessment
tool  helped  participants to overcome resistance to  viewing  externally-focused goals on  par with
internally-focused ones.  The Primer, and the self-assessment tool in the Primer, created a strong basis
for the management team to focus externally,  played a critical role in validating the "outside the fence"
interests of the Commissioners, and helped GBMSD to reach consensus on strategic planning goals.

Application of the Attributes
The utility's Executive  Director first  learned about the
Primer concepts and tools from his involvement in the
Effective Utility  Management Advisory Committee,  in
addition to the EUM website and industry conferences.
He  shared  copies  of the  Primer  with  the  GBMSD
Commissioners and management team in preparation for
the 2008 strategic planning  process.   The  management
team  completed the  self-assessment exercise, which
provided a high-level sense  of strategic planning focus
areas,  both internally- and  externally-focused.   During
strategic planning workshops,  the  management team
then identified specific goals, objectives and investment
strategies for the new strategic plan, based on the focus
areas identified.
"It was tough for people to
change their focus and the
Primer helped them to
understand the need to change.
The Primer helped them
evaluate and prioritize a diverse
set of alternatives."
—Tom Sigmund, Executive Director,
Green Bay Metropolitan Sewerage
District
                                  J
The 2008 process utilized the self-assessment results as a framework for identifying four major GBMSD
goals (1: Support economic  development, 2: Offer exceptional career development opportunities, 3:
Promote environmental stewardship/education, 4: Provide diverse, quality services).   Each goal was
weighted based on the results of the self-assessment exercise and management preferences to establish
a priority order.  The goals were then associated with a set of objectives, which were again weighted to
reflect the results of the self-assessment and management preferences. The objectives were listed in
priority order and were then associated with a list of 14 potential strategic investment option activities.
GBMSD then evaluated each investment  option, considering  how much  it would serve  GBMSD in
meeting the identified objectives and how it would address the Attributes.  As a result of the analysis,
four final strategic investment  strategies were selected for implementation in the strategic plan (See
Appendix D: Green Bay Metropolitan Sewerage District Goals, Objectives, and Investment Strategies).

The strategic investments provided specific actions for managers and staff to take to address the goals
and objectives in the plan. The four strategic investments for moving the goals and objectives forward
and the associated Attributes were confirmed for the strategic plan (see Table 2: Strategic Investments
and the Attributes).  By prioritizing the investments and selecting four, GBMSD will be able to focus its
staff resources on the most important strategic activities, while maintaining its core business operations.
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Table 2: Strategic Investments and the Attributes
           2008 Strategic Investments
           Correlation with Attributes
1.Services to other municipalities: Provision of
  wastewater treatment and collection services to
  other municipalities in region including
  operations (by contract), technical services,
  and/or system acquisitions.
Stakeholder understanding and support;
Operational optimization; Financial viability
2. Watershed planning/credit trading: In
  collaboration with other major Wl wastewater
  utilities and DNR, develop whole watershed
  planning framework (including establishing credit
  trading protocols).
Community Sustainability; Stakeholder
Understanding and Support; Financial Viability
3. Asset management: Develop an asset (including
  IT assets) renewal and replacement program
  using condition assessments, life-cycle costing
  and risk-based decision making protocols.
Financial Viability; Infrastructure Stability;
Community sustainability; Stakeholder
understanding and support
4. In-district sustainability projects: Develop
  projects (or project components) that yield
  sustainability benefits including limiting GHG
  emissions, achieving LEED compliance, etc.
  Develop environmental impact reporting.
Financial viability; Infrastructure stability; Product
quality; Community Sustainability; Stakeholder
understanding and support
In the final step of the strategic planning process, the utility will review its current set of performance
measures in the context of the 2008 objectives and investments, using the list of measures in the Primer
as a guide.  The management team  is currently finalizing the implementation plan and performance
measures for completion in spring 2009.

Attribute-Related Utility Measures

GBMSD developed performance measures in 2004, before the Primer was published, in relation to the
strategic plan goals that were in place at the time.  During its current strategic planning process, GBMSD
is revisiting its measures using the examples in the Primer. The management team  is in the process of
correlating its measures with the objectives and strategic investments in the new plan and revisions will
be made where needed.

GBMSD  currently  measures  product  quality  for  regulatory  compliance,  workforce  succession
preparedness, bond rating, worker  safety, partnership projects, and annual rate increases compared to
consumer price index. All of these  measures will  be reviewed in light of the 2008 goals and objectives
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and the four strategic investments, and will be implemented in 2009. GBMSD plans to develop annual
reports that convey the results of its performance measures.

Keys to Management Success

Using the Primer, the Executive Director conducted an informal assessment of the Keys to Management
Success and GBMSD's management approach (see Table 2: Keys  to Management Success and GBMSD
Approach).  In relation to the "Leadership" Key, GBMSD has established a Leadership Development
strategy for training staff. The utility has partnered with a technical school and will graduate its first set
of staff from the program  in 2009.  In  addition, the  management team continues to implement
succession planning strategies for GBMSD.  GBMSD's 2008 strategic planning process using the Primer
framework correlates with the "Strategic  Business Planning" Key, and will  be  implemented in 2009.
Regarding the "Organizational Approaches" Key, GBMSD has  actively engaged the management team
and Commission  in its strategic planning process and  implementation strategy. It is currently in the
process of chartering management and staff teams to implement the strategic investments. GBMSD
regularly uses work teams to  evaluate issues and implement projects.

The "Measurement" Key calls for measurement of improvement efforts associated with the Primer
concepts.  GBMSD is currently evaluating  its  measurement strategies in relation to its 2008 strategic
plan goals, objectives, and investment options, using the list of example measures in the Primer.  With
regard  to the "Continual Improvement" Key,  GBMSD is in the process of evaluating its improvement
management strategies. The management team is striving to document institutional  knowledge and to
learn from past experiences. GBMSD has had an asset management  strategy in place for many years,
and is currently evaluating its usefulness in terms of the 2008 strategic  plan.

Table 2: Keys to Management Success and GBMSD Approach
Keys
Leadership
Strategic Business Planning
Organizational Approaches
Measurement
Continual Improvement
Management Framework
GBMSD Approach
Leadership Development
Strategic Planning Process
Management and Staff Teams
Performance Measures
Evaluation of Improvement
Management Strategies
Results
Partnering with local technical college to
train current staff.
Developing implementation strategy for
2008 Strategic Plan.
Implementing the 2008 strategic plan
investments.
Evaluating current measures in relation
to the 2008 strategic plan.
Documenting institutional knowledge
and learning from past experience. Asset
management strategy.
Overall, GBMSD's management approaches match the Keys to Management Success model, as outlined
in the  Primer.  The  management team continues to evaluate  GBMSD's management efforts and to
improve its performance.  Although GBMSD did not implement a formal analysis of the Keys, the
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Executive Director did find them useful as a guide for applying the Primer and ensuring that GBMSD is
on track with nationally recognized effective utility principles.

Lessons Learned
The  Executive Director  provided the following  lessons
learned, in regard to  applying the Primer concepts and
tools to its strategic management initiatives:
"The Primer and Attributes gave
staff the opportunity to look at
goals in a different manner. This
turned their thinking from only
looking 'inside the fence' to
seeing that goals 'outside the
fence' are also needed."
                                                           — Tom Sigmund, Executive
                                                           Director, Green Bay Metropolitan
                                                           Sewerage District
    •   The Primer reinforced the need for focusing on
       activities "outside the fence" of the utility's
       internal operations. Because they provided a
       respected industry perspective on effective utility
       management, the Primer reinforced the
       Commissioners' interest in better balancing
       internally and externally-focused strategic
       investments. The Primer concepts and tools
       provided a fresh way to evaluate the strategic
       plan, enabling managers to view focus areas in a
       way that was not previously considered.
    •   Managers found that mapping the Attributes and Keys with the management goals, objectives,
       and investments was a fairly straightforward and useful exercise particularly for identifying
       areas needing improvement.
    •   The Primer provided a high-level framework upon which to base planning discussions and
       structure strategic planning  processes.  GBMSD managers returned to the Primer in each stage
       of the planning process.
    •   The Primer, including the self-assessment tool provided simple and easy-to-implement guidance
       that managers found beneficial  for moving GBMSD's process forward. The table and graphic
       developed using the self-assessment tool were especially helpful for communicating the utility's
       current status and future goals. It enabled effective communication and understanding
       between the management team and the Commission. By demonstrating the need for change,
       the self-assessment tool helped participants to overcome resistance to change.
    •   The decision to hold the self-assessment results as an internal document allowed the managers
       and executives to be more fully candid in the self-assessment process.
    •   The Primer will enable GBMSD to cross-check its measurement system with the example list of
       measures, applying the Primer concepts to its performance measures.

Overall, the Executive  Director did  not have any difficulty  introducing the Primer to  the management
team and Commission and integrating them into the 2008 strategic planning process. The management
team found the Primer to be a useful  tool for identifying the level of  importance managers and staff
placed on internal and external  management strategies.   The  Primer  concepts and  tools provided
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guidance on  industry norms for effective  management, and  helped the management team and
Commission to reach consensus on the 2008 strategic planning approach.

Conclusion

GBMSD is an example of a utility that has used the Primer in a strategic planning process that involved
managers and staff across the organization for the first time. The utility used the Primer to establish
new goals and objectives, as well as investment strategies for implementation. GBMSD utilized the
Primer's self-assessment tool to identify strengths and weaknesses. The self-assessment revealed that
strategies "outside the fence" needed more focus and helped to bring the management team and
Commission into agreement on priority focus areas.  GBMSD successfully used the Primer through its
strategic planning  process, and will complete its implementation plan and performance measures this
year.

GBMSD found  that the self-assessment in the Primer provided  a simple, easy-to-implement tool for
beginning the strategic planning process, and the Primer provided a framework that the management
team could follow throughout the process.   The Primer was useful for a  utility that wanted to make
significant changes in its management strategies and served to close the gap between the managers'
and the Commissioners' views on externally-focused activities. The self-assessment tool  in the Primer
provided  a clear illustration of the utility's current status and future  priorities.  GBMSD will use the
Primer concepts and tools in the future, and the Executive Director recommends it for other utilities that
are implementing  strategic planning in a way that fully involves managers, staff and  Commissioners in
the process.

More information  about GBMSD is available on its website at http://www.gbmsd.org/.
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Case Study: Gwinnett County Department of Water Resources (Georgia)
This  case study profiles  Gwinnett County Department of Water  Resources (DWR),  in Lawrenceville,
Georgia,  and its application of the Ten  Attributes  to  Effectively Managed Water Sector  Utilities
(Attributes) and Keys to Management Success (Keys).  Based on interviews with the Deputy Director of
Operations and Environmental Services (Deputy Director OES), the  case study describes how DWR used
the Effective Utility  Management Primer for Water and Wastewater Utilities (Primer), as a guide for
applying the Attributes, Keys, self-assessment tool, and example list of performance measures.

Utility Overview

DWR is a publicly-owned utility providing water, wastewater, and stormwater services for over 750,000
residents. It is governed by the  Gwinnett County Board of Commissioners, advised by a Water and
Sewerage Authority.

         Gwinnett County Department of Water Resources
The Water Production Division operates and maintains two separate intake and pump facilities at Lake
Lanier. Water is processed at two water filtration plants. The Lanier Filtration Plant can produce 150
mgd, and the Shoal Creek Filtration Plant can produce 75 mgd, for a total of 225 million gallons per peak
day water production capacity. In 2007, Gwinnett County residents and businesses consumed nearly 32
billion gallons of water, averaging 86.9 mgd.  In 2008, consumption averaged 72.1 mgd.  The highest
historical peak-day demand has been 143 mgd.

    •   The Water Reclamation Division currently operates five wastewater treatment facilities with a
       total permitted capacity of 98 mgd as a monthly average.  The Wayne Hill Water Resources
       Center has a 60 mgd capacity, with the highest monthly flow of 48.3 mgd in 2007-2008.
    •   Yellow River basin reclamation facilities are currently being consolidated, with a combined
       capacity of 22 mgd. The highest monthly flow at these facilities in 2007 through 2008 was 16.59
       mgd.
    •   Crooked Creek WRF has a current capacity of 16 mgd, with the highest monthly flow of 13.7
       mgd in 2007-2008.
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The reclaimed water from the F. Wayne  Hill Water Resources Center is conveyed through two  long
pipelines either to the Chattahoochee River upstream of other metro area intakes or to Lake Lanier in
the vicinity of Gwinnett County's newest water supply intake.
                                                              "The Primer is about as simple
                                                              and easily understood as
                                                              anything I have yet seen. In
                                                              fact, it is only 44 pages including
                                                              appendices and figures. Best of
                                                              all, it is free!"
                                                              —Tyler Richards, Deputy Director of
                                                              Operations and Environmental
                                                              Services, Gwinnett County Dept.
                                                              Water Resources
Management Planning Initiatives

Since 1992 DWR has had a facility master plan that focuses
mainly on permit capacity and growth. That master plan
was  revised on five-year intervals.  Located northeast of
Atlanta, Gwinnett County was a rapidly urbanizing area, and
prior to 2007  the utility concentrated on  new capital and
intensive growth.   For example, from  1997 to 2007 the
population increased  over  by  25,000 per  year.   More
recently, growth  in the county has slowed markedly.  In
addition,  ongoing  drought  has  prompted  an outdoor
watering ban.  As  a result  of these changes, DWR is
transitioning  from  a  growth-focused  utility to a  more
deliberative rehabilitation and  replacement organization.
                                                                  mmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmm*
In  2007,  before  the   Primer  was  published,  DWR
implemented its first strategic planning process, conducting a series of workshops involving all levels of
management and field staff.  Five strategic objectives were developed through the process: 1) Effective
Asset Management, 2) Customer  Service,  3) Workforce  Development, 4) Financial Viability, and  5)
Enhanced Communication.

After the strategic plan was developed in 2007, DWR generated performance measures in 2008, based
on strategic plan goals.  In  2009, the utility revisited its  strategic plan through a low cost planning
process using the Primer concepts and tools.  Due to a freeze in hiring and a plan to cut spending, DWR
did not conduct strategic planning workshops, but carried out the strategic planning  process through
email and standing management team meetings, possibly saving up to $36,000.  The Primer provided a
cost-effective approach that was easy to implement by managers and  staff.  Because the 2007 strategic
plan was developed only eighteen months earlier, the process was possible without scheduling strategic
planning workshops.  With the Primer  framework,  DWR  was able to revitalize its  strategic plan and
review its performance measures through a process involving all levels of management and staff.

DWR's strategic planning efforts were framed  by the  County's  use of the Balanced Scorecard5 for
business planning.   The organizations  governed by  the  County  are required to  use the Balanced
Scorecard for planning strategic goals and objectives.  DWR will integrate its revised strategic plan under
 The Balanced Scorecard was developed by Dr. Robert Kaplan and Dr. David Norton as a performance measurement framework
that added strategic non-financial performance measures to traditional financial metrics to provide a more "balanced" view of
organizational performance.
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the Primer framework with the County's broader  Balanced  Scorecard context later this year.  Plan
initiatives will be assigned to individual managers and staff for implementation.

Utility Self Assessment

The Deputy  Director OES distributed the Primer electronically to 44 managers in  all divisions of the
utility using  a survey format.  Managers completed the self-assessment survey, ranking achievement
areas and importance levels for the utility.  Within a few weeks the self-assessment responses from 34
employees were available for analysis. The Deputy  Director applied a mathematical compilation of the
responses and plotted the aggregated results in a graph to show ranking trends for each Attribute (see
Appendix E: Gwinnett  County  Department  of Water  Resources Achievement  of  Attributes  and
Importance of Attributes Ranking).

                      Gwinnett County Department of Water Resources
DWR did encounter some difficulty completing the self-assessment as an individual survey.  When asked
to rank order the Attributes from higher to lower importance, respondents assumed "1" to indicate least
important and "10" to indicate most important (the respondents found the Primer scale approach-"!" is
most important, "10"  least important- to be counterintuitive).  The Deputy Director OES commented
that, in light of this confusion, it is important for utility executives distributing the tool to reinforce that
1 is a high ranking and 10 is a low ranking rather than relying only on the directions provided with the
Primer.   DWR provided  further  explanation  to staff regarding the order of the ranking scale  and
responses were resubmitted with corrections.

The Deputy Director OES tried various methods  for compiling the self-assessment responses,  which
proved challenging. Since she was analyzing independent survey  results outside of the consensus-
building  workshop setting, it was  difficult  to  represent the responses clearly.   Using  a method of
averaging the  results gave a meaningless ranking, with all scores in the middle of the ranking scale. In
consultation with the  management team, the Deputy Director tried grouping the aggregate responses
into levels of importance or achievement, which proved to be successful and provided the information
GCWDR needed for its planning process.
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              "As a result of the Primer
              concepts we are a more focused
              utility.  Managers and staff are
              working toward common goals
              and can see their place  in
              achieving them."

              — Tyler Richards, Deputy  Director
              of Operations and Environmental
              Services, Gwinnett County Dept.
              Water Resources
For this  method, DWR took the full range of available
responses—1 to 10 for the importance ranking and 1 to 5
for the achievement  rating—and categorized  them into
levels. An Attribute that ranked  1 to 5 in importance, for
example, was considered to be at a high importance level,
and if it ranked 6 to 10, it was considered to be at a low
importance ranking.  For the achievement ratings, if DWR
was  rated 1 to  2 for  achievement of an Attribute, the
Attribute was  considered  highly achieved,  and if it was
rated 3 to 5 it was considered less achieved. The percent
of total responses for  a given score were also provided.
For example, if 90 percent of the responses fell within the
high level of  importance ranking, that was  indicated  on
                                                         "^B
the graph.  Overall, the method developed by DWR for
compiling the aggregate results of the survey successfully
represented the responses in a way that was  useful for the strategic plan review process.  Once the
survey responses were compiled and displayed graphically, DWR was able to  quickly identify areas
needing improvement.

The results of the self-assessment process indicated that DWR was achieving expectations for Product
Quality and Customer  Satisfaction,  which  were  also  ranked  as highly  important Attributes.   This
indicated that DWR's existing strategies for these areas were being well communicated and successfully
implemented.  The Financial Viability and Infrastructure Stability Attributes, on the other hand, received
a low achievement rating, but a high to moderately high level of importance ranking.  This indicated that
DWR needed to focus its 2009 revised strategic plan in these two areas in particular. The management
team decided to focus on developing strategies for understanding the full life-cycle cost of the utility, to
improve on the Financial Viability Attribute and the Infrastructure Stability Attribute.

DWR tracked  the self-assessment  results  by  division, which provided  interesting  results showing
similarities  across the organization. The responses from each  division, including the Engineering,
Finance,  Lab, Management, Operations,  and Planning Divisions, were color coded on a graph (see
Appendix F: Gwinnett County Department of Water  Resources Strategic Planning Achievement and
Importance Graph).  The results indicated that staff members from across the divisions shared a  similar
sense of organizational priorities  and level of achievement.  The similarities between division  responses
indicated that individuals in different areas of the organization had  incorporated a unified perspective
on priorities and  performance, rather than a more division-centric focus, and that  the 2007 strategic
plan had created a cohesive sense of goals and objectives across the organization.

Once the self-assessment results were analyzed and graphed, they were reviewed by the management
team and sent  by email  to participants for  comment.   The final results  were then used by the
management team in the strategic planning review process. The Deputy Director is interested in inviting
27

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additional participants, such as field staff and outside stakeholders to the self-assessment process in the
future, for a broader set of responses to the Attributes ranking.

             Gwinnett County Department of Water Resources
Application of the Primer Concepts and Tools

The Deputy Director OES introduced the Primer self-assessment survey to DWR managers in January
2009.   In  addition to providing the self-assessment tool, she mapped the  existing  strategic  plan
initiatives with the Attributes, to help managers refocus and consider new areas for the revised plan.
Managers found that the ongoing DWR initiatives were consistent with the Attributes, which validated
the existing strategic plan focus. For example, DWR is designing a LEED certified6 building at one of its
facilities, and a system for  using energy from digester gas at another facility.  Through the process of
mapping the Attributes with  current initiatives,  DWR was able to  recognize that these projects were
addressing the Community Sustainability Attribute. For Attributes not aligned with the existing strategic
plan,  such as Financial Viability and Infrastructure  Stability, new  draft initiatives were created for
consideration.

Based on the results of the self-assessment tool and the basic mapping of initiatives with the Attributes,
the management team reviewed its goals and objectives, and developed new initiatives to address areas
needing  more focus.  The  next  step for DWR  is  to  develop strategies  for implementing the goals,
objectives, and initiatives  in the revised plan.  The management team is currently  in the process of
developing  an  improvement  plan  and   performance  measures  for  the  2010  strategic  plan
implementation.
 U.S. Green Building Council LEED Certification Program: http://www.usgbc.org/Default.aspx

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              "The Primer stressed the
              importance of concentrating our
              efforts in areas needing
              improvement and showed
              where we excelled. It also
              caused us to consider areas that
              we may not have otherwise
              considered."
              — Tyler Richards, Deputy Director
              of Operations and Environmental
              Services, Gwinnett County Dept.
              Water Resources
The   strategic  plan  as  revised according to the Primer
concepts  and  tools  will  be  integrated  into  Gwinnett
County's balanced scorecard framework, which is part of a
county-wide approach to  management planning (For an
example  of  the  Balanced   Scorecard  approach,  see
Appendix G:  Gwinnett  County  Department of  Water
Resources Balanced Scorecard Perspectives.)

A balanced scorecard allows flexibility in selecting strategic
objectives.  Associated  with  each objective are one  or
more key performance indicators  (KPIs) or measures, and
under each KPI there are one or more  strategic initiatives
which  drive improvements  in  the KPI.   A  vibrant and
responsive strategic  plan  will  focus  on those Attributes
needing the most energetic attention in any given planning
horizon,   without   abandoning   emphasis  on  those
performance  metrics that are central  to  accomplishing
DWR's mission. As these weaker Attributes are thus strengthened by improvement initiatives, successor
iterations of the strategic plan  will focus on other Attributes deemed to be low achievers according to
subsequent surveys.

For 2010 strategic plan  development, those Attributes which received high scores on importance but
low scores on achievement on the most recent survey will not only be identified as objectives on the
scorecard, but  will be supported  by multiple KPIs with multiple  initiatives per KPI.  Some of these
performance measures may be newly conceived as a means of gaining additional managerial  control
over these areas of the  enterprise, and initiatives will be crafted which will improve performance on
those particular KPIs.  Each initiative will specify scope and resources,  detail the action-plan tasks, set
milestone dates, and assign  responsible individuals.   A multiplicity of  initiatives on the weaker
Attributes, recast as objectives on  the balanced scorecard, will concentrate the organization's attention
on those areas needing the most improvement.

Although a balanced scorecard provides an effective vehicle for converting the Primer concepts and
tools to action,  any strategic planning instrument that delves into detailed action plans (programs and
projects aligned to support the strategic plan) will serve to integrate the Attributes into effective utility
management.

Attribute-Related Utility Measures

After the 2007  strategic plan was developed, DWR identified performance measures for assessing its
achievement of plan goals  and objectives. In the 2009 strategic planning review process, managers used
the list of example measures in the Primer to evaluate the measures it had in place against the new plan
29

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objectives and Primer framework. The examples in the Primer helped the management team to choose
standard and meaningful measures that could enable DWR to chart improvements over time.

With the hiring freeze and cost cutting measures taking place, the management team became aware of
the need to use staff resources as efficiently as possible. Managers understood that resources should
not be spent on "measuring the unimportant."  Through the strategic planning process using the Primer
as a guide, DWR was able to identify the most essential measures and eliminate those that were not
needed. The new set of measures will be implemented by the field staff and results will be reported on
a regular basis.

To improve its achievement of the Financial Viability Attribute, DWR will  develop measures to track full
life cycle costing. To improve on the Infrastructure Stability Attribute,  it will develop strategic asset
management plans to look at the condition of critical assets. The final set of performance measures and
the improvement plan will be developed by summer 2009 as an input to the 2010 operating and capital
budgets.

Keys to Management Success

The Deputy Director OES conducted an informal analysis of the Keys to Management Success, using the
Primer.  The "Leadership" Key is  consistent with DWR's strategy to focus  on  workforce development,
including employee  development and training programs, as  well as succession plans.  The "Strategic
Business Planning" Key matches DWR's strategic planning review process  using the Primer concepts and
tools as  a framework.

Table 1 Keys to Management Success and DWR Approach
Keys
Leadership
Strategic Business Planning
Organizational Approaches
Measurement
Continual Improvement
Management Framework
DWR Approach
Workforce Development
Strategic Planning Process
Strategic Planning
Performance Measures
Key Performance Indicators
Results
Providing an integrated Employee
Development and Training Program
Revitalizing the strategic plan using the
Attributes
Involve all levels of management and staff in
self-assessment process and implementation
Reviewing set of measures in context of new
strategic plan using the Primer
County-wide improvement in outputs,
efficiency, and outcomes using the Balanced
Scorecard
The "Organizational Approaches" Key was addressed in DWR's strategic planning process that involved
all levels of management, as well as field staff.  The utility is also consistent with the "Measurement"
Key, as it reviews the measures already in place, in the context of the new strategic plan. With regard to
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the "Continual Improvement" Key, DWR is using county-wide performance indicators to report monthly
on improvements using the Balanced Scorecard approach.

DWR's management approach is consistent with  the Keys to Management Success as outlined in the
Primer. The Deputy Director OES found that the Keys are helpful for tracking progress, and were useful
for verifying that the utility is on track with established effective management principles.
Lessons Learned

The Deputy Director OES provided the following lessons
learned from DWR's application of the Primer concepts
and tools:
                                                   "I would encourage other
                                                   utilities to download the Primer.
                                                   Then use the attributes, self
                                                   assessment tool and other
                                                          approaches in the Primer as a
                                                          simple way toward utility
                                                          improvement."
                                                          —Tyler Richards, Deputy Director
                                                          OES, Gwinnett County Dept. Water
                                                          Resources
The Primer concepts were useful for validating
the strategic plan initiatives already in place, by
providing a framework endorsed by The
Collaborating Organizations for effective utility
management. The process of mapping the
Attributes with DWR strategies was fairly
straightforward and provided a useful method
for identifying areas needing improvement.
                                                     !  mmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmm  m
The Primer concepts and tools gave DWR an
approach for getting all levels of management and staff to agree on the focus for the revised
strategic plan. The self-assessment tool in the Primer was an easy, cost-effective approach for
the management staff to review and update the utility's existing strategic plan. The tool in
particular provided a way to conduct a strategic planning update through email and regular staff
meetings without the use of workshops or a costly process.
DWR needed  to develop an in-house methodology for compiling and displaying the responses
received from the self-assessment tool survey.  The responses, once compiled and  displayed
graphically, allowed the utility to quickly identify areas needing improvement.
The benefits of the self-assessment approach have left DWR inclined to expand the use of the
self-assessment survey to include additional participants (including outside stakeholders) in
future strategic planning update cycles.
Tracking self-assessment responses by division confirmed that participants across the
organization had similar views, regardless of their work area. Results indicated that the
individual divisions had incorporated a utility-wide sense of management priorities and
performance.
The list of performance measures in the Primer was a useful reference for reviewing DWR's
measurement system in the context of the Primer concepts. Using the examples, DWR
identified a need for further development of performance measures in two areas associated
with the Financial Viability and Infrastructure Stability Attributes.
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Conclusion

DWR is an excellent example of a utility that has used the Primer concepts and tools for revising an
existing strategic plan.  The utility compared the Attributes to its existing strategies and found a strong
correlation. The utility applied the self-assessment tool to identify areas for further improvement and
isolated two particular Attributes needing more focus.  The utility also used the self-assessment tool to
evaluate responses  across the organization's divisions and found that staff across the organization had
similar views  of the organization's achievement level  and priorities.  DWR used the examples of
measures in the Primer to review its performance measures in the context of the new strategic plan and
Primer framework.   DWR successfully  accomplished these tasks through a cost-effective strategic
planning effort.

DWR identified many benefits from using the Primer concepts and tools.  By applying the Primer to its
management improvement initiatives, DWR was able to implement a cost-effective, easy-to-implement
process.  Cost was particularly important to DWR, due to its existing hiring freeze and need to cut costs.
DWR was able to  bring  all  levels of  management  and staff into  agreement on priorities and goals
without a costly strategic planning process and to target its resources most efficiently.  DWR benefited
from a nationally-recognized straightforward framework that helped the utility to identify areas needing
improvement and areas that are on the right track. The graphic and tool provided a clear illustration of
the utility's current status and  future goals.  As a  result of applying the  Primer concepts and tools,
DWR's Deputy Director OES reports that it is  a more  focused  utility with all staff working toward
common goals.

For utilities such as  DWR that have had a strategic plan in place for only a couple of years, the Primer
concepts and tools can be very effective for revitalizing management strategies and anchoring the plan
review process. According to the Deputy Director OES, the Primer provides simple tools that are easy
for utilities to implement, bringing all levels of management and staff together in an efficient and cost-
effective strategic planning process.

More  information  about  DWR  is available  on  its website:  http://www.gwinnettcounty.com/cgi-
bin/gwinctv/egov/ep/gcbrowse.do?channelld=-536881961&pageTypeld=536880236.
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Case Study:  Massachusetts Water Resources Authority (Massachusetts)
This case study profiles Massachusetts Water Resources Authority (MWRA), in Boston,  Massachusetts,
and its application of the Ten Attributes to Effectively Managed Water Sector Utilities (Attributes) and
Keys to Management Success  (Keys),  and  the Effective  Utility Management  Primer  for Water and
Wastewater Utilities (Primer), used as a guide to applying the Attributes and Keys. Based on interviews
with MWRA's Director of Planning and Coordination, the case study describes the utility's use of the
Primer concepts  and tools in its strategic initiatives and application for Association of Metropolitan
Water Agencies' Platinum Award for Utility Excellence.

Utility Overview

MWRA is an independent public authority in Boston, serving a population of approximately 2.5 million
individuals  and 5,500 industrial  users with wholesale water and sewer services.  MWRA supplies an
average of  215 mgd of drinking water to local water departments in 48 communities.  MWRA's sewer
services include wastewater facilities which serve 43 communities and treat 350 mgd of sewage.

                           MWRA Quabbin Reservoir
Water  supply is  provided by the Quabbin and Wachusett  Reservoirs, with capacities  of 412  billion
gallons and 65 billion gallons, respectively. Water from the reservoirs is treated at the Ware  Water
Treatment Plant and the John J. Carroll Water Treatment Plant.  The John J. Carroll Plant uses ozone as a
primary disinfectant and chloramines for residual disinfection. It has capacity to treat up  to 405 mgd of
water from the Wachusett Reservoir. Water enters the Ware Plant directly from the Quabbin Reservoir
and is treated with chlorine for primary disinfection. The Ware Plant provides water to  approximately
75,000 people and in 2008 treated 7.9 mgd on average. Treated water is distributed through a system
of over 300 miles of pipe.

MWRA operates two wastewater treatment  facilities, Deer Island  Wastewater Treatment Plant and
Clinton Wastewater Treatment Plant.  The Deer Island  plant removes human, household, business and
industrial pollutants from wastewater that originates  in homes and businesses in  43 greater Boston
communities.  Deer Island's  North  Main  Pump Station  has a  capacity of 910 mgd while the Lydia
Goodhue Pump Station has a capacity 360 mgd.  The Clinton Wastewater Treatment Plant provides
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advanced sewage treatment services to the town of Clinton and the Lancaster Sewer  District.  The
Clinton Plant's three influent lift pumps have a total capacity of 3 mgd at slow speed (24 rpm) and 6 mgd
at fast speed (48 rpm).   MWRA's wastewater treatment system also includes Nut Island  Headworks, a
sewage  screening facility where sewage passes through screens and grit chambers that  remove large
objects,  sand and gravel. After  screening, the sewage is conveyed through the Inter-Island Tunnel to
Deer Island. Nut Island Headworks serves 21 sewer system communities. Treated water is discharged
through a 9.5 mile-long outfall tunnel into Massachusetts Bay.

MWRA is governed by an 11-member board of  directors, 8 of whom are directly or indirectly appointed
by its 61 customer communities. Three members are appointed by the Governor of Massachusetts.
MWRA  receives input from  three advisory groups:  the MWRA Advisory Board,  the  Water Supply
Citizen's Advisory Committee, and the Wastewater Advisory Committee.

    •   The MWRA Advisory Board  reviews and comments  on MWRA  capital  and  current expense
        budgets, as well as MWRA practices and policies. Its members include the chief elected official
        and a designee from each of the cities and towns serviced by the MWRA,  along with a member
        of  the  Metropolitan Area  Planning   Council  (MAPC),  and  six  gubernatorial  appointees
        representing various interests. The Advisory Board appoints three members to the MWRA Board
        of Directors and serves as a liaison between the communities and the MWRA.
    •   The Water  Supply Citizen's Advisory Committee  (WSCAC)  advises the  MWRA  and  the
        Department of Conservation  and Recreation on water conservation and watershed protection
        strategies. WSCAC's membership is balanced geographically and by interest, representing source
       watershed  communities,  watershed  associations,  water utilities,  environmental  groups,
        business, water users, and other interested parties.
    •   The Wastewater  Advisory  Committee  (WAC)  offers  independent recommendations  on
       wastewater policies and  programs. WAC's mission is to be a citizen's advisory committee to the
        MWRA  providing an  independent public  forum for holistic discussion of wastewater issues.
        Membership is designed to reflect the knowledge and interest of major affected constituencies:
        engineering and  construction, environmental  advocacy,  planning, academic  research, and
        business.

Existing Management Initiative

Since the early 1990s, MWRA has conducted strategic business planning to  implement its Mission,  "To
promote reliable, cost  effective, high quality  water and sewer  services that protect  public health,
promote environmental  stewardship,  maintain  customer  confidence  and support  a prosperous
economy."  The utility completed updates of its business plan in 1997, 1999, 2000, 2003  and  2008.  In
the period between the 2003 and 2008 Business Plan updates, MWRA focused its management planning
efforts on long-term  infrastructure planning.   Managers identified key infrastructure focus areas that
would be reflected in its next Business Plan revision. In 2006, MWRA completed its Wastewater System
Master Plan and Water System Master Plan, which identified and prioritized all infrastructure needs.
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In May 2008,  MWRA completed a full revision of its business  plan using the Primer concepts as  a
framework.  Managers developed new or renewed goals, objectives and strategies for all major business
areas.  A total of 28 strategies were  identified and compared with the Attributes using a "crosswalk"
format  (see Appendix H:  MWRA Business  Plan  Fiscal Years  2009-2013).   The strategies  under
consideration for the updated Business Plan, and the Primer concepts and tools, were discussed during
senior  staff  meetings, MWRA Board  meetings, Board subcommittee meetings, and project meetings
involving management and staff.


Several strategies in the revised business plan are related to environmental sustainability and energy
conservation, which is consistent with the state's goals for energy efficiency. The state of Massachusetts
will request  federal economic stimulus funds for these MWRA activities as part of its energy efficiency
program. The  strategic planning process using the Primer concepts and tools helped MWRA to prepare
these projects for consideration by the state for its stimulus funds program.
Application of the Attributes

The  Planning  and Coordination Division launched  the
2008  Business  Plan revision process by distributing an
updated  draft  schematic of the  strategies  to senior
managers using the  Primer concepts as  a  frame of
reference.  The  schematic highlighted  strategies  that
remained relevant and/or were still being implemented,
and   recommended   new  strategies  consistent  with
emerging priorities. The senior managers then developed
approaches for producing the strategy write-up, using the
Primer  as   a   guide,  and  received  input from  the
management team that would implement it.
"Some managers had been
through a management
improvement process and some
had not.  The strategy template
based on the Primer concepts
gave them a frame of reference
for the business plan review."

- Marian Orfeo, Director of
Planning and Coordination,
Massachusetts Water Resources
Authority
Once the  strategies were  drafted,  the  Director  of
Planning and Coordination conducted a "crosswalk" of
the strategies with the Attributes, adding an explanatory section at the end of each strategy write-up
(For an  example of the  strategy write-ups, see Appendix I: MWRA  Business Plan Strategy #2).  The
Director found a strong correlation between the strategies and Attributes, which served to validate the
approach that MWRA was taking with its strategic planning initiatives. The Attribute crosswalk exercise
provided an opportunity for MWRA to compare its management  strategies to a list of principles
endorsed by the Collaborating Organizations, and confirm that it was on the right track.  The external
validation provided the managers with the comfort level  and leverage needed to communicate with the
Board of Directors about their strategic planning focus areas.

Through the crosswalk exercise, MWRA was also able to identify its strengths and weaknesses in relation
to the Attributes, with some strategies being credited with addressing multiple Attributes.  For example,
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MWRA has been providing a program to assist communities with loans for improving local distribution
systems for several years.   This  program was consistent with the Stakeholder Understanding and
Support,  Infrastructure Stability, and Product Quality Attributes, providing multi-dimensional benefits
for the organization. With regard to areas needing more focus, MWRA found that one of its centers that
had succeeded in maintenance excellence could make management changes to provide maintenance
leadership  in other centers that  needed improvement.   The utility identified this strategy as  an
opportunity to focus on  the Employee and Leadership Development, Operational Optimization, and
Operational Resiliency Attributes by shifting its staff in its maintenance programs.

Overall, the Attributes were easily  correlated with the utility's management approaches and provided a
helpful framework for identifying strengths and weaknesses. In addition, the Primer provided a tool for
validating that MWRA's management approach and  strategic planning initiatives were on target with
nationally recognized effective utility management principles.

Association of Metropolitan Water Agencies Awards

MWRA  completed  another application  of the  Primer concepts, applying for  the Association  of
Metropolitan Water Agencies' (AMWA) Platinum Award for  Utility Excellence. The 2008 AMWA awards
for exceptional performance were structured around the Attributes and Keys.

For the awards application,  MWRA categorized its management initiatives and performance outcomes
in the context of the  Attributes  and Keys.  The utility provided a straightforward mapping  of the
Attributes and Keys with its  own initiatives in the awards application document. As an example of how
MWRA correlated its  strategies with the Attributes and Keys in the application, under the Product
Quality Attribute, MWRA  reported on how it was meeting all current standards and regulations, making
treatment decisions, soliciting input from customers, and using an extensive process of goal setting,
measurement, reporting, review,  and feedback.  The utility also  reported  on its data collection and
measurement processes, reporting, and communication procedures,  and  how  it  was fostering
organization-wide involvement.

In addition  to this example,  MWRA reported on activities related to the other 9 Attributes, and several
Keys.  The extensive information in the awards application, which demonstrated that MWRA's activities
were clearly associated with the Attributes and Keys,  resulted in MWRA earning a 2008 Platinum Award
for Utility Excellence.
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Utility Self Assessment

During the start of the 2008 Business Plan revision process, the self assessment tool in the Primer was
not yet published. The utility had completed a QualServe7 Self-Assessment and Peer Review process and
was therefore familiar with the self-assessment process. According to the Director of Planning and
Coordination, the utility's 2008 revised Strategic Business Plan recognized the results of its previous self-
assessment process, rather than applying the achievement and importance ranking tool in the Primer.

                          MWRA Deer Island Wastewater Treatment Plant
 Attribute-Related Utility Measures

MWRA developed a formal performance measurement system in 1995.  In 1996, MWRA began issuing
monthly water quality benchmark performance reports to local officials and community agencies. Over
time the  performance measurement system has grown to include all aspects of operations, regulatory
compliance, and support areas.  A full set of measures is compiled into "Yellow Notebook" reports that
are distributed  to senior staff monthly.  A shorter version of the report, the "Orange Notebook," is
presented to the  Board each quarter.   MWRA measures its performance against national and state
regulatory  standards,  other  national standards, and  internally set targets.  Performance targets  are
reviewed and re-set at least once per year.

After the strategies  were developed from the  2008 Business Plan review process, MWRA evaluated its
performance measures within the context  of the Primer example measures.  Managers reviewed  the
MWRA measures in the  2008  Business  Plan  and found them to  be consistent  with  the list of
performance measures in the Primer. The  Planning and Coordination Division will continue to evaluate
measures in the future and plans to revisit the  Primer as a guide for connecting the MWRA performance
measurement system to an Attribute framework.
 QualServe is a tool offered jointly by the American Water Works Association and the Water Environment Federation.  For
more information visit the website at www.qualserve.org.
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Keys to Management Success

For the AMWA awards application, MWRA completed an assessment of the utility's achievement of the
Keys to Management Success. In relation to the "Leadership" Key, MWRA has an annual management
and operations training program.  In its 2008 Business Plan, MWRA established a strategy for succession
planning.  The business planning  process correlated with the "Strategic Business Planning" Key. With
regard to the "Organizational Approaches" Key,  MWRA has involved all levels of management and staff
in its work process improvement initiatives, and has elicited input on its Business Plan from Advisory
Board staff members.

MWRA has had a performance measurement system in place since 1995, which correlates with the
"Measurement" Key.  The utility continues to evaluate and  update its measures in relation to the
updated business plan.  With regard to the "Continual Improvement" Key, MWRA has a Plan-Do-Check-
Act program  in place to evaluate improvements in performance.  In addition, the utility has  utilized
third-party assessments,  such  as the QualServe Self-Assessment  and Peer Review process, and  a
competitiveness study to review staffing targets.

Table 1 Keys to Management Success and MWRA Approach
Keys
Leadership
Strategic Business Planning
Organizational Approaches
Measurement
Continual Improvement
Management Framework
MWRA Approach
Employee Training, and
Succession Planning Programs
2008 Business Planning
Process
Cross-functional Teams
Performance Measurement
System
Plan-Do-Check-Act Model,
Third-Party Assessments
Results
Setting strategy in the Business plan to
develop succession planning
Reviewing the Strategic Business Plan in
the context of the Attributes and Keys
Involving all levels of management and
staff in work process improvement
Measuring operations, compliance and
support; monthly and quarterly reports
QualServe Self Assessment and Peer
Review Process, Competitiveness Study
MWRA's management approach is consistent with the Keys to Management Success as outlined in the
Primer.  The Director of Planning and Coordination found that the Keys are helpful for tracking progress,
and  were useful  for verifying that the utility is  on track with  established effective  management
principles.

Lessons Learned

The  Director of Planning  and Coordination provided  the following lessons learned from MWRA's
application of the Primer concepts and tools:
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       The correlation of MWRA strategies with the Primer concepts and tools lends credibility to the
       business planning and performance measurement processes. The Primer is a nationally
       recognized framework that validates the utility's goals and strategies.
       The Primer provides a high-level approach that is useful for strategic planning discussions with
       senior managers and Board members. It gave  participants a new way to review an existing
       strategic plan and performance measurement  system.
       The Primer concepts provided a crisp method for bringing focus to all managers and Board
       members on strategies for moving forward. The Primer takes broad principles and presents
       them in a way that is easy to understand and implement across the organization.
       The MWRA strategies could be correlated with multiple Attributes, in ways that were not
       previously considered. The mapping exercise was useful for correlating the Attributes and Keys
       with management strategies for the strategic plan review process, as well as for the AMWA
       Awards application.
       The example measures in the Primer were beneficial for reviewing MWRA's measurement
       system, ensuring that it has a robust system in place.
                                                           "The Primer concepts and tools
                                                           helped us to show the Board we
                                                           were consistent with best
                                                           management practices
                                                           recognized by EPA and national
                                                           water sector associations."
                                                           —Marian Orfeo, Director of
                                                           Planning and Coordination,
                                                           Massachusetts Water Resources
                                                           Authority
Overall, the Director of Planning and Coordination had no
difficulty introducing the Primer concepts and tools to an
already functioning management team for the strategic
planning  review process.   The management team found
the Primer  to  be a  useful  framework  for  organizing
Business  Plan strategies and  performance measures, as
well as the AMWA awards application, which is structured
around the Attributes and Keys.  The MWRA Director of
Planning  and Coordination would recommend the Primer
to other  utilities that have established strategic business
planning  processes and is inclined to continue portraying
management  strategies  in  the  Attribute   and  Keys
framework in the future.

Conclusion
MWRA is an example  of a  utility  that has successfully applied the  Primer  concepts  and tools for
reviewing its Business Plan and developing management strategies and performance measures. The
utility compared the Attributes and Keys to  its  existing  and new strategies and  found a strong
correlation.  MWRA successfully applied the Primer concepts through  its strategic planning meetings,
involving all levels of management and the Board.

MWRA found multiple benefits from applying the Primer concepts to its business planning process. The
Primer validated MWRA's initiatives  and provided a high-level  framework for effective discussions
between managers and  Board members and a fresh approach to reviewing improvement initiatives. The
Primer helped to focus  discussions in a straightforward way. Using the Attribute and  Keys framework
                                             39

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MWRA won the AMWA Platinum Award for excellence, and successfully renewed its business plan and
performance measures.

For utilities such as MWRA that have invested substantial time and resources in management systems,
the Attributes, Keys,  and Measures can act as effective tools for evaluating management initiatives.
According to the Director of Planning and Coordination, the  Primer concepts and tools can provide a
nationally-recognized  framework,  endorsed   by  the  Collaborating  Organizations  that  validate
management improvement initiatives.

More information about MWRA is available on its website: http://www.mwra.com/.
                                             40

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                      Appendix A: Columbus Water Works

               2008 Strategic Planning—Strategies, Goals, Objectives
                                               Columbus
                                                Water
                                                   Works
                                    Serving our Community
                                    Protectuig the Environment


Note:
Font in blue were changes from Scan/Plan/Do Workshop November 2006
Font in green are changes from Management Retreat September 2008


STRATEGY 1: Enhance Customer Satisfaction


       Goal 1: Respond to customer requests at the point of contact.

                     Objective 1: Respond to  and resolve routine customer requests within

                     established service standards.

                     Objective 2: Enhance a culture that all employees are customer service

                     providers.

                     Objective 3: Broaden external points of contact for customer service

                     capabilities.

                     Objective 4: Enhance and strive for maximum utilization of technology-based

                     customer service capabilities.

                     Objective 5: Evaluate procedures for customer satisfaction with regional

                     customers.


       Goal 2: Understand customer and stakeholder perceptions and expectations.

                     Objective 1: Regularly collect, analyze and act on customer and stakeholder

                     feedback on a periodic basis.

                     Objective 2: Explore provision of alternative services.
                                           41

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                      Objective 3: Communicate effectively results of Focus Groups / Stakeholder
                      feedback.
                      Objective 4: Improve customer feedback by coordinating with other strategy teams
                      to prioritize customer communication needs.

       Goal 3: Community understands CWW mission.
                      Objective 1: Public is educated about CWW products and services.
                      Objective 2: Maximize the effective reach and efficiency of all available
                      communication channels to better inform our customers.
                      Objective 3: Enhance environmental stewardship communication to increase
                      awareness and understanding.

STRATEGY2: Strengthen Regional Economic Potential

       Goal 1: Position CWW as a trusted source on water issues.
                      Objective 1: Demonstrate and present successful utility solutions.
                      Objective 2: Achieve industry/business credentials and certifications.
                      Objective 3: Collaborate with organizations and institutions to advance
                      knowledge.
                      Objective 4: Gain Respect and Trust of Surrounding Counties.
                      Objective 5: Develop and demonstrate CWW environmental leadership (as
                      related to green programs, climate change and community sustainability) to the
                      region.

       Goal 2: Increase regional water services.
                      Objective 1: Expand customer base.
                      Objective 2: Expand service and product offerings.
                      Objective 3: Retain current commercial and industrial customer base.
                      Objective 4: Maximize customer and stakeholder benefits
                      Objective 5: Indentify and impact pending legislation and regulations related to
                      regional growth

       Goal 3: Leverage new Fort Benning facilities for regional growth
                                              42

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                      Objective 1: Improve working relationships with Fort Benning to
                      help CWW meet Fort Benning Mission.

STRATEGY3: Leverage Information Technology

       Goal 1: Deliver IT capabilities efficiently and effectively.
                      Objective 1: Regularly adjust plans based on changing business requirements.
                      Objective 2: Meet or exceed defined IT implementation criteria.
                      Objectives: Regularly identify emerging technology trends.

       Goal 2: Minimize IT costs while meeting business requirements.
                      Objective 1: Justify significant IT investments based on business case.
                      Objective 2: Maintain optimal IT life-cycle expenditures.

       Goal 3: Support users and maintain  secure and reliable technology to realize benefits.
                      Objective 1: Monitor IT training for users and IT Staff to ensure ongoing user
                      support.
                      Objective 2: Insure operational availability of IT network and applications.
                      Objective 3: Protect  IT  system and data integrity to insure  business continuity.

STRATEGY4: Optimize Infrastructure Performance

       Goal 1: Meet or exceed environmental compliance and customer requirements with
       consistent/reliable performance.
                      Objective 1:  Comply with all applicable local, state, federal regulations.
                      Objective 2: Deliver products and services to meet or exceed quality standards
                      Objective 3: Evaluate water use alternatives
                      Objective 4: Contribute to the reduction of particulate matter to help insure the
                      city meets air quality standards

       Goal 2: Minimize asset life-cycle costs  while meeting customer demands.
                      Objective 1: Identify and prioritize critical assets for repair/replacement.
                      Objective 2: Ensure capacity to meet future customer demand.
                      Objective 3: Minimize critical asset failures.
                                              43

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       Goal 3: Maintain competitive position and advantage.
                     Objective 1: Operate efficiently to maintain competitive advantage.
                     Objective 2: Review performance periodically to monitor continuous
                     improvement.
                     Objective 3: Evaluate Energy and Chemical Alternatives

       Goal 4: Minimize the effects of man-made and natural disasters
                     Objective 1: Operate to minimize adverse impacts
                     Objective 2: Provide systems and services to meet security needs

STRATEGY5: Develop Sustainable Workforce

       Goal 1: Facilitate the development of employees by creating an environment that encourages
       personal and professional growth.
                     Objecitvel: Develop/increase pool of leadership talent.
                     Objective 2: Continually improve the effectiveness of the employee
                     development program.
                     Objective 3: Evaluate and make recommendations to improve workplace
                     environment and increase employment engagement and commitment.
                     Objective 4: Retain essential intellectual knowledge of employees.

       Goal 2: Recruit, retain and engage a dynamic and motivated workforce.
                     Objective 1: Monitor workforce trends.
                     Objective 2: Facilitate and create positive relationships with community and
                     educational resources to recruit a qualified workforce.

       Goal 3: Optimize the overall employee benefit, compensation, wellness and safety program.
                     Objective 1: Maintain a safe and healthy workplace.
                     Objective 2: Total compensation (salary and  benefits) is competitive while
                     balancing costs.
                     Objective 3: Provide improved process for retirement planning.
                                             44

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STRATEGY 6: Maintain Financial Stability

       Goal 1: Operate on a balanced budget.
                      Objective!: Develop and maintain revenue while effectively controlling the cost
                      using sound planning and management.
                      Objective 2: Forecast accurate expenditures.
                      Objective 3: Maintain judicious use of reserves.

       Goal 2: Use sound financial planning and management practices.
                      Objective 1: Regularly adjust plans based on trends (history/projection).
                      Objective 2: Market competitively funds for investment.
                      Objective 3: Identify potential financial impacts based on global economic
                      changes and aging infrastructure.
                                              45

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     Appendix B: Columbus Water Works Self-Assessment Results
                    Figure 1 CWW Self-Assessment: Importance Ranking


















IMPORTANCE RANKING


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                           Figure 2 CWW Self-Assessment: Achievement Rating









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Number of Responses per Ranking


Product Quality (PQ)
Customer Satisfaction (CS)
Employee and Leadership Development (ED)
Operational Optimization (00)
Financial Viability (FV)
Infrastructure
Stability (IS)
Operational Resiliency (OR)
Community Sustairiability (CS)
Water Resource Adequacy (WA)
Stakeholder Understanding and Support (SS)
20
12

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4
4
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10
12
8
11
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                       Diamond indicates average score; red line indicates range of scores
Columbus Waterworks Leadership Retreat Workshop Summary, September 26-29, 2008, Appendix.





                                                  47

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                     Appendix C: Columbus Water Works

                       2008 Strategic Planning - Benchmarks
                                              Columbus
                                               Water
                                                  Works
                                    Serving our Community
                                    Protecting the Environment
Benchmarks:
   1.  To Remain Below 13 QualServe top quartile for Water Quality Complaints per Month


   2.  The Average for the Year will Meet or Exceed the Customer Satisfaction Target of 785 for all Customers.


   3.  Achieve or exceed 27 percent of Customers that Pay by the Web, IVR and EFT.


   4.  Maintain an average annual score of 50 points for awards won per fiscal year.


   5.  To present 10 technical presentations per fiscal year.


   6.  Participate in  10 business presentations and regional development meetings per fiscal year.


   7.  Participate in  10 public education presentations per fiscal year.


   8.  The 12 month running average percent of uptime of the network will be > 99 percent.


   9.  The 12 month running average percent of uptime of the internet will be > 99 percent.


   10. To have 5 or less virus incidents that infect greater than 5 users per year.


   11. Maintain a monthly average below 0.1 NTU on filtered water turbidity.


   12. Maintain below NPDES permit limit on Suspended Solids for compliance monitoring.


   13. Maintain below NPDES permit limit on CBOD for compliance monitoring.
                                           48

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14.  Disruptions of water service for customers will not exceed the Qualserve median quartile for
    unplanned outages between 4 and 12 hours.

15.  Disruptions of water service for customers will not exceed the QualServe median quartile for
    unplanned outages greater than 12 hours.

16.  Sewer backup will not exceed 19 annually.

17.  To remain below the QualServe median quartile for collection system failures.

18.  Training hours per employee to meet or exceed the QualServe median quartile.

19.  Workers compensation expenses remain less than 1 percent of base salaries budgeted amount.

20.  To achieve below industry standards for total accident incident rates.

21.  Not to exceed the industry standard for the  lost time accidents incidence rate.

22.  To remain below the QualServe median performance measure for the severity rate.

23.  To achieve below industry standard for vehicle accidents per  1 million miles.

24.  To remain below the industry standard on turnover rate.

25.  Actual expenditures as a percent of budget to maintain a target range between 95  percent and 105
    percent.

26.  Revenue meets or exceeds expenditures > 1.

27.  Actual water demand as a percent of projected to maintain a target range between 98.5 percent and 101.5
    percent.

28.  Remain below 1 percent of active billable stopped meters.

29.  Maintain meter change out program meeting manufactures life expectancy of 12 years.
                                         49

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         Appendix D: Green Bay Metropolitan Sewerage District
         2008 Strategic Plan Goals, Objectives, and Investment Strategies
             Strategic Investment Options Selected for Strategic Plan
  Investment Option
1. SERVICES TO OTHER
  MUNICIPALITIES
            Description
Provision of wastewater treatment
and collection services to other
municipalities in region including
operations (by contract), technical
services, and/or system acquisitions.
 Attributes and Goals Addressed
Stakeholder understanding and
support; Operational
optimization; Financial viability

Goal 1: Support Economic
Development; Goal 4: Diverse,
Quality Service
2. WATERSHED
  PLANNING/CREDIT
  TRADING
In collaboration with other major Wl
wastewater utilities and DNR, develop
whole watershed planning framework
(including establishing credit trading
protocols).
Community Sustainability;
Stakeholder Understanding and
Support

Goal 3: Environmental
Stewardship/ Education
3. ASSET
  MANAGEMENT
Develop an asset (including IT assets)
renewal and replacement program
using condition assessments, life-cycle
costing and risk-based decision making
protocols.
Financial Viability; Infrastructure
Stability; Community
sustainability; Stakeholder
understanding and support

Goal 1: Support Economic
Development
4. IN-DISTRICT
Develop projects (or project
components) that yield sustainability
benefits including limiting GHG
emissions, achieving LEED compliance,
etc. Develop environmental impact
reporting.
Financial viability; Infrastructure
stability; Product quality;
Community Sustainability;
Stakeholder understanding and
support

Goal 3: Environmental
Stewardship/ Education; Goal 4:
Diverse, Quality Service
                                           50

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                      Green Bay Metropolitan Sewerage District
          Goals, Objectives, and Strategic Investment Performance Scales

                           Goal 1: Support Economic Development
A fundamental goal of GBMSD is to continue to support economic development (and diversification) in
the region. This support requires recognition of the evolving nature of the industrial and commercial
base of the region, and participation in regional economic development initiatives.
Objective: Partner with Regional Interests
GBMSD will proactively engage major regional economic interests (e.g., industries, Chamber of
Commerce, educational institutions, other utilities) to support regional economic development and
diversification. (Region informally defined as Fox River Watershed and/or Brown County)

Scoring Criteria for Investment Selection	
  Score
                            Description of Performance
           No regional partnering. Investment is conducted without support or cooperation of
           potentially impacted parties in region.
           GBMSD investment is made with acquiescence of potentially impacted parties in region
           but without active participation or support. Regional interests participate in investment
           activities without dedicated resources beyond attendance at coordination events.
           Engagement.  Regional interests participate in regional investment activities and facilitate
           implementation of investment options (without dedication of material (financial)
           resources.
           Active partnering.  Investment involves increasingly significant dedication of resources for
           GBMSD sponsored and coordinated regional investments.
    10
Full regional partnering. Investment involves significant dedication of resources (e.g.,
financial, labor) with shared interests in economic / environmental returns.
Objective: Available Capacity
Ensuring that growth in service demands may be accommodated with adequate system capacity (e.g.,
conveyance, treatment) able to deliver high quality services.

Scoring Criteria for Investment Selection
Score
0
3
5
7
10
Description of Performance
Investments consume available capacity without enabling expansion of services; may
prompt moratorium on sewer connections.
Investment has no significant impact on treatment capacity; investments do not provide
capacity for new environmental services.
Investments maintain the current capacity and maintain current reliability
Investments increase the reliability of the available capacity and provide services for
normal growth needs
Investment enables economical delivery of services (current and prospective) to new users
in an expanded regional customer base.
                                             51

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Objective: System Reliability
System performance will consistently meet permit requirements and deliver desired service levels,
serving not only to enhance quality of life for community residents but also as an asset for business
attraction / retention.

Scoring Criteria for Investment Selection
Score
0
3
5
7
10
Description of Performance
Investments increase the potential for service outages and/or major equipment failures.
Critical systems are compromised.
Investments do not address inadequacies of critical systems and/or install redundancy.
Investments maintain the accepted standard of reliability and maintain the status quo.
Investments are based on sound asset management principles and allow for predicting of
decreased reliability.
Investments enhance system reliability and increase capability to meet current and
prospective demands for both traditional and new environmental services.
Objective: Environmental Cost Management
GBMSD will help ensure its rates for environmental services (potentially not only wastewater conveyance
and treatment) are reasonable, predictable, and convey significant value to GBMSD customers and the
community.
(Costs include not only wastewater treatment but all costs for environmental management)

Scoring Criteria for Investment Selection
Score
0
3
5
7
10
Description of Performance
Investments increase basic costs of services and do not mitigate overall environmental
costs for regional customers.
Investment has no material impact on regional customers' environmental costs.
Investments manage current costs and have the ability to maintain at this level as other
costs increase.
Investments support progressive environmental management systems that properly
account for increase in costs.
Investments provide customers with economic benefits by either mitigating traditional
costs for wastewater treatment and/or delivering relatively lower cost non-traditional
services.
                   Goal 2: Exceptional Career Development Opportunities
A fundamental goal of GBMSD is to preserve and enhance its culture of learning, innovation,
cooperation, and mutual respect. GBMSD strives to be an 'employer of choice', offering opportunities
for advancement in chosen fields of interest.

Objective: Staff Training & Development
GBMSD will provide opportunities for staff advancement by investing in training (including formal, on-
the-job) and leadership development programs - establishing a foundation for effective succession
planning and knowledge management initiatives.
                                             52

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(Indicated, in part, by employee surveys that address training on current/emerging issues, certifications,
and employee perceptions related to development opportunities).

Scoring Criteria for Investment Selection
Score
0
3
5
7
10
Description of Performance
Investments provide no material opportunities for staff training and development.
Investments provide training and development to meet the basic needs of the job.
Investments provide opportunities for staff training and development within the context of
their current job responsibilities, facilitate retention of certifications, and/or continue
participation in professional societies/ national organizations.
Investments promote and support internal and external training opportunities for self
initiated individuals to prepare for future opportunities.
Investments provide expanded opportunities for staff training and development that
provide qualifications for staff to assume new, expanded and/or innovative job
responsibilities, facilitate acquisition of new (and new forms of) certifications, and/or
enable GBMSD to demonstrate leadership in professional societies / national
organizations.
Objective: Workforce Diversity
GBMSD will promote diversity (e.g., ethnic, gender, age) in its workforce by actively recruiting broad-
based candidate pools, promoting a welcoming climate, and partnering with educational and ethnic
communities in the region.

(Workforce diversity relates to the distribution of the employee population in terms of gender, race,
age, and cultural backgrounds of employees, and to its engagement with communities it serves - in
terms of stakeholder information and service delivery, recruitment, and partnering.)

Scoring Criteria for Investment Selection
Score
0
3
5
7
10
Description of Performance
Investments perpetuate status quo and/or provide no opportunities for.
Investments provide limited opportunities to maintain employee diversity through
standard measures to attract, retain, and develop a diverse employee population in
traditional roles.
Investments provide new opportunities to increase employee diversity through targeted
measures to attract, retain, and develop a diverse employee population in traditional roles.
Investments provide expanded opportunities to broaden employee diversity through
specific measures to attract, retain, and develop a diverse employee population in both
the traditional and non-traditional definitions of diversity.
Investments provide significant opportunities to attract, retain, and develop employees
that will enhance workforce diversity and help establish/affirm engagement practices that
embrace and celebrate cultural diversity.
Objective: Transition of Positions
GBMSD will actively work to transition the nature of jobs in which employees ensure positions continue
to afford challenging work experiences, leverage technology advances, and maintain the vitality of
GBMSD's learning culture.
(Character and nature of job responsibility change over time, rewarding)
                                              53

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Scoring Criteria for Investment Selection
Score
0
3
5
7
10
Description of Performance
Investments do not provide new or expanded job responsibilities or material advancement
opportunities.
Investment enables limited evolution of existing job responsibilities and staff advancement
opportunities in traditional roles.
Investments encourage individual positional growth driven by an individual's initiative to
improve in the position.
Investments promote and support positional growth that is driven by the growth of the
organization and the services offered.
Investments directly and substantively establish opportunities for employees (within
general boundaries) to define new position responsibilities and job development
opportunities.
Objective: Employment Environment/Culture
GBMSD will promote an employment environment and organizational culture featuring overall employee
compensation structures (e.g., salaries, work schedules, diversity of assignments) that will facilitate
assumption of regional leadership roles and promote attraction and retention of qualified, motivated
staff.

Scoring Criteria for Investment Selection	
  Score
                            Description of Performance
           Investments serve to preserve the status quo and/or further entrench unprogressive
           attributes of existing GBMSD culture.	
           Investment will likely be implemented using traditional analysis and decision-making
           processes with limited opportunities for innovation and non-traditional team building.
           Investments will promote and sustain the existing culture with limited opportunities for
           innovation and non-traditional team building.
           Investments will drive the existing environment / culture to expand in a deliberate and
           traditional manner as facilitated by Management.
    10
Investments facilitate / promote a collaborative, team oriented culture where diversity of
opinions and perspectives are celebrated and used to foster innovation.
                       Goal 3: Environmental Stewardship/Education
A fundamental goal of GBMSD is to promote environmental stewardship (including water resources, air
quality, land and wetlands management, etc.) through a broad range of environmental management
services and educational activities.
Objective: Enhance Regional Water Quality
Beyond wastewater system discharge permit compliance, GBMSD will work towards enhancing water
quality throughout the region, addressing both point source and non-point sources of pollutant loadings.
                                             54

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Scoring Criteria for Investment Selection
  Score
                            Description of Performance
           Investments provide no significant advance in GBMSD environmental performance nor
           facilitate/ promote non-traditional, regional measures.
           Investment provides limited improvement in GBMSD point source pollutant loadings to
           regional receiving waters and/or contributes marginally to regional water quality
           initiatives.
           Investment provides improvement in GBMSD point source discharge loadings as measured
           by traditional cost/ benefit measures.
           Investment provides improvement in GBMSD point source discharge loadings as measured
           by use of Environmental Management Systems (EMS) measures which take into account
           more than cost/benefit.
    10
Investments provide significant whole watershed management contribution enabling
pollutant reductions / water quality improvements beyond existing regulatory
requirements and are driven by the sustainability principles of economics, social, and
regulatory.
Objective: Promote Sustainable Operations
Recognizing the significance of sustainability factors in resource management activities, GBMSD will look
to ways to mitigate adverse environmental and social impacts associated with services - evaluating
infrastructure and technology options employing environmental and social as well as cost criteria.

Scoring Criteria for Investment Selection	
  Score
                            Description of Performance
           Investment may increase GBMSD environmental impacts (e.g., green house gas emissions,
           pollutant loadings, etc.)
           Investment does not provide for any material improvement in GBMSD environmental
           impacts (e.g., green house gas emissions, pollutant loadings, etc.) nor support regional
           sustainability initiatives.
           Investment provides for limited reduction from base line of GBMSD environmental impacts
           and/or offers limited support for regional sustainability initiatives.
           Investments provide significant opportunity for environmental (water, air, and watershed)
           improvements beyond regulatory requirements and are driven by the sustainability
           principles of economics, social impact, and regulatory.
    10
Investment significantly reduces GBMSD environmental impacts and/or provides for
principal leadership of regional sustainability initiatives.
Objective: Education. Research & Development
GBMSD will continue to promote education, research and development activities to further
understanding of processes impacting GBMSD operations and, more generally, water resource issues and
opportunities to enhance GBMSD's environmental performance.
  Score
                            Description of Performance
           Investment provides no benefit to sustainability initiatives or general stakeholder
           education on regional water quality or environmental issues.
           Investment provides limited, traditional opportunities for education, research &
           development on regional water quality impacts of GBMSD.
                                             55

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           Investment provides limited opportunities for innovative, regional oriented education,
           research & development activities on environmental sustainability issues.
           Investment provides expanded opportunities for innovative, regional oriented education,
           research & development activities on environmental sustainability issues (e.g., viewed
           holistically in terms of water quality, GHG, and other impacts).
    10
Investments provide significant opportunities for innovative, regional oriented education,
research & development activities on environmental sustainability issues promoted and
supported by stakeholder request and needs.
                               Goal 4: Diverse. Quality Services
A fundamental goal of GBMSD is disciplined expansion of its environmental services - building on its
foundation of delivery of exceptionally high quality, appropriately priced, wastewater conveyance,
treatment and reclamation services.
Objective: Meet/Exceed Regulatory Requirements
GBMSD will not only continue to deliver services that meet all applicable regulatory requirements, but
will also proactively monitor (and collaborate on development of) pending regulatory requirements to
ensure that GBMSD is well positioned to maintain and further its outstanding performance record.

Scoring Criteria for Investment Selection
Score
0
3
5
7
10
Description of Performance
Investment will endanger GBMSD ability to continue to meet permit requirements and
compromise eligibility for NACWA Peak Performance Award.
Investment provides limited support for compliance with current or expected regulatory
requirements.
Investment provides means to maintain current level of regulatory compliance.
Investment will enhance GBMSD ability to meet future environmental / regulatory
performance as measured against prospective permit requirements.
Investment will significantly enhance environmental performance as measured against
current and prospective permit requirements. Facilitate achievement of NACWA Peak
Performance Awards and other national recognition.
Objective: Efficient Customer Services
GBMSD will maintain and enhance its customer focus by continuing to pursue efficiencies in GBMSD
operations (e.g. automation), strengthening relationships with major users, and responding timely and
effectively to problems and/or expressed customer concerns.

Scoring Criteria for Investment Selection
Score
0
3
5
7
Description of Performance
Investment could compromise efficient delivery of existing customer services.
Investment will enhance timeliness and/or efficiency of delivery of existing customer
services.
Investment will increase timeliness and efficiency of delivery of existing customer services
and will allow delivery of new customer services as requested.
Investment will enhance timeliness and efficiency of delivery of existing customer services
and will promote market driven delivery of new customer services.
                                              56

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    10
Investment will significantly enhance delivery of existing customer services and/or provide
for highly efficient, market-competitive delivery of new services.
Objective: Develop/Expand Environmental Services
GBMSD will maintain its financial strength while establishing a resource pool to foster the expansion or
development of new environmental services.  These services will enable diversification ofGBMSD's
revenue base and reflect perspective ofwastewater and biosolids as assets with intrinsic value.

Scoring Criteria for Investment Selection
Score
0
3
5
7
10
Description of Performance
Investment will not develop new or expand menu of existing environmental services
provided by GBMSD.
Investment will facilitate paced expansion of environmental services provided by GBMSD.
Investment will promote and support expansion of environmental services provided by
GBMSD with limited growth in size and diversity of net revenue stream.
Investment will encourage market driven expansion of environmental services provided by
GBMSD with growth and diversity of net revenue stream.
Investment will provide for a significant expansion of environmental services provided
GBMSD, yielding material increases in magnitude and diversity of revenue streams.
                                               57

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Appendix E: Gwinnett County Department of Water Resources
          Achievement of Attributes and Importance of Attributes Ranking
                       Figure 1: Achievement of Attributes
                                            • Higher Achievement  Blower Achievement
                       Figure 2: Importance of Attributes
                                  58

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                Appendix G: Gwinnett County Department of Water Resources
                                       Example of Balanced Scorecard Perspectives
          Mission Vision Values  Reports  Strategic Initiative  Comments
Scorecardi   |WateiS™ca(d2009
                                                                  f Other Scorecards caPrint aJjGo to Water Resources
 =/
 =/
 E/

 E/
Citizen/Customer Perspective
Increase service reliability
 safe drinking water compliance,,,
 nbr main breaks per 100 miles,,,
Improve customer service
 nbr unplanned outages per 1000,
 aug speed to answer
 % distrib'n response time < 2 ,,,
 nbr e-bills
  Results  Target  Status  Trend

100,00    100,00   S    •»
   3,4      4,0   $    |1
   5,9
  2,56
   81
    0
 5,0
3,00   $
 75   0
  0
                                                                  =/
Financial Perspective
Ensure financial viability
new revenue $
% water produced but not bilk,..
Operate the department using
sound business practices
aug customer seru cost per ace,,,
% total uncollected receiuable,,,
prod OSiM cost per rngal treated
dist sus O&M cost per 100 mile,,,
Results

94,066
11,0


2,02
0,00
543
158,758
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2,60
550
185,000
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      Internal Processes Perspective
^ V   Improve asset knowledge
 E1^    % asset inuentory large meters
       Ensure water resource adequacy
 E*"    % decrease household water use
                                Results  Target Status  Trend

                               50,00    100,00   •   H
                        Learning/Growth Perspective
                  4*  /  Increase knowledge and skills
                  E1'     aug training hours per employe,,
                                                                 Results  Target Status  Trend
                                                                                              0,24      6,00  •
                               22,80     1,00
                                                               60

-------
             Appendix H: MWRA BUSINESS PLAN FISCAL YEARS 2009 TO 2013

 MWRA MISSION: TO PROMOTE RELIABLE, COST EFFECTIVE, HIGH QUALITY WATER AND SEWER SERVICES THAT PROTECT PUBLIC
HEALTH, PROMOTE ENVIRONMENTAL STEWARDSHIP, MAINTAIN CUSTOMER CONFIDENCE AND SUPPORT A PROSPEROUS ECONOMY
 MWRA VALUES: PUBLIC ACCOUNTABILITY -  COST-EFFECTIVENESS - TRANSPARENCY - TEAMWORK - PROMOTE ENVIRONMENTAL
                  STEWARDSHIP, MAINTAIN CUSTOMER CONFIDENCE AND SUPPORT A PROSPEROUS ECONOMY
BUSINESS PLAN GOALS
                               BUSINESS PLAN OBJECTIVES
                                                                          STRATEGIES
                                                                                                        TEN ATTRIBUTES OF EFFECTIVELY
                                                                                                       MANAGED WATER SECTOR UTILITIES
   I. DRINKING WATER QUALITY

  DELIVER DRINKING WATERTHAT
 MEETS NATIONAL STANDARDS AND
     IS PERCEIVED AS SAFE,
   AFFORDABLE, HEALTHY AND
        APPEALING.
  -PROTECT SOURCE WATER
         QUALITY.

  -MAINTAIN COMPLIANCE WITH
     FILTRATION WAIVER.

SUPPORT UPGRADING COMMUNITY
   DISTRIBUTION SYSTEMS.

 -ENSURE PUBLIC CONFIDENCE.
    II. ENVIRONMENTAL QUALITY

  DISCHARGE EFFLUENT THAT MEETS
  NATIONAL STANDARDS, PROTECTS
    PUBLIC HEALTH, AND HELPS
    IMPROVE RECEIVING WATER
           QUALITY.
  -MAINTAIN COMPLIANCE WITH
 NPDES PERMIT. ACHIEVE NACWA
  PLANTINUMSTATUSBY2013.

 -ENSURE CSO ACTIVATIONS AND
 VOLUMES COMPLY WITH NPDES
         PERMIT.

-DISPOSE OF TREATMENT SOLIDS
THROUGH THE BENEFICIAL REUSE
        PROGRAM.

 - MANAGE THE TRAC PROGRAM
    CONSISTENT WITH EPA
REQUIREMENTS AND MWRA TOXIC
    CONTROL OBJECTIVES.
       III. ENVIRONMENTAL
    SUSTAINABILITYAND ENERGY
        CONSERVATION

  REDUCE MWRA'S "ENVIRONMENTAL
   FOOTPRINT" AND ENERGY COSTS
  -REDUCE GREENHOUSE GAS
        EMISSIONS

-MAXIMIZE MWRA'S PARTICIPATION
    INTHEGREEN ENERGY
       MARKETPLACE

-CONSERVE ENERGY AND WATER

  - RECYCLE WASTE MATERIALS
   1. CONTINUE TO SUPPORT AND OVERSEE
   EFFECTIVE SOURCE WATER PROTECTION
 THROUGHTHEWATERSUPPLY PROTECTION
TRUST AND IMPLEMENTATION OF THE 2004 MOU
             WITH OCR.

 2. ENSURE THAT THE QUABBIN AND CARROLL
 WATERTREATMENT PLANTS MEET EPA'S NEW
 TREATMENT AND DISINFECTION BY-PRODUCT
  RULES BY 2014 AND CONTINUETOOPTIMIZE
      CARROLL PLANT OPERATIONS.

  3. CONTINUE TO ASSIST COMMUNITIES TO
   IMPROVE LOCAL DISTRIBUTION SYSTEMS.

  4. CONTINUOUSLY IMPROVE MONITORING,
 REPORTING AND EFFECTIVE COMMUNICATION
     OF WATER QUALITY INFORMATION.
 5. ADVOCATE FOR A NEW DEER ISLAND NPDES
  PERMIT THAT REFLECTSTREATMENT PLANT
  PERFORMANCE AND OUTFALL MONITORING
             RESULTS.

 6. COMPLETE ALL CSO CONTROL MILESTONES
              BY 2020.

7. DEVELOP A LONG-TERM RESIDUALS HANDLING
         STRATEGY IN FY09-10.
                                                                   8. CONDUCT A NEW LOCAL LIMITS STUDY TO
                                                                  CONFIRM APPROPRIATE DISCHARGE LIMITS FOI
                                                                                TOXICS.
                                •I
 9. CONTINUE TO INVEST IN THE PRODUCTION
 AND UTILIZATION OF RENEWABLE ENERGY AT
          MWRAFACILITIES.

  10. EXPLORE NEW REVENUE- GENERATION
   OPPORTUNITIES USING MWRA'S ENERGY
              ASSETS.

11. CONTINUETOCONDUCT ENERGY EFFICIENCY
  ANALYSES AND ENERGY AUDITS AT MWRA
       FACILITIES AND IMPLEMENT
         RECOMMENDATIONS.
                                                                    11. EXPAND MWRA RECYCLING INITIATIVES
  1 .COMMUNITY SUSTAINABILITY

    2. PRODUCT QUALITY AND
  OPERATIONAL OPTIMIZATION

 3. PRODUCT QUALITY, COMMUNITY
  SUSTAINABILITY, STAKEHOLDER
  UNDERSTANDING AND SUPPORT,
 AND INFRASTRUCTURE STABILITY

 4. PRODUCT QUALITY, CUSTOMER
       SATISFACTION
     5. PRODUCT QUALITY

  6. COMMUNITY SUSTAINABILITY

7. PRODUCT QUALITY, OPERATIONAL
        RESILIENCY

     8. PRODUCT QUALITY
  9. COMMUNITY SUSTAINABILITY,
   OPERATIONAL OPTIMIZATION

 10. OPERATIONAL OPTIMIZATION,
   OPERATIONAL RESILENCY

 11. OPERATIONAL OPTIMIZATION,
   COMMUNITY SUSTAINABILITY,
                                                              61

-------
BUSINESS PLAN
   GOALS
BUSINESS PLAN
 OBJECTIVES
                                                       STRATEGIES
TEN ATTRIBUTES OF EFFECTIVELY
   MANAGED WATER SECTOR
          UTILITIES
IV. WATER AND WASTEWATER
SYSTEM CAPACITY AND
PERFORMANCE
PROVIDE SYSTEM-WIDE CAPACITY
TOMEETTHE NEEDS OF THE
SERVICE DISTRICTS.



-PROVIDE FACILITIES FOR
CONTINUOUS WATER SUPPLY AT
SUFFICIENT PRESSURE.
-PROVIDE FACILITIES TO
TRANSPORTWASTEWATER FLOWS
AND MINIMIZE SANITARY SEWER
OVERFLOWS.
-SUPPORT REGIONAL ANDLOCAL I/I
REDUCTION IN ITKTWES.
- SEEK TO MINIMIZE COMMUNITY
DISRUPTIONS FROM MWRA
ACTIVITY.



12. DEVELOP AND IMPLEMENT PLANS TO
ELIMINATE IDENTIFIED SINGLE POINTS OF
FAILUREWITHIN MWRA'S TRANSMISSION AND
DISTRIBUTION SYSTEM.
13. CONTINUETOASSIST COMMUNITIES TO
IM PROVE LOCAL WASTEWATER COLLECTION
SYSTEMS.
14. BUILD UPON EXISTING WATER
CONSERVATION AND ACCOUNTABILITY EFFORTS
TO MEET THE CONDITIONS OF MWRA'S WATER
MANAGEMENT ACT REGISTRATIONS.
15.ADVANCE REASONABLE MWRA WATER
SYSTEM EXPANSION.
16. UPDATE WATERAND WASTEWATER MASTER
PLANS PRIOR TO FY14CONSISTENTWITH THE
DEVELOPMENTOFTHE FIVE-YEAR CIP CAP.


12. OPERATIONAL RESILIENCY,
INFRASTRUCTURE STABILITY
1 3. COMMUNITY SUSTAINABILITY,
STAKEHOLDER UNDERSTANDING
AND SUPPORT, INFRASTRUCTURE
STABILITY
14. COMMUNITY SUSTAINABILITY,
INFRASTRUCTURE STABILITY
15.WATER RESOURCE ADEQUACY,
COMMUNITYSUSTAINABILITY
16. FINANCIAL VIABILITY,
OPERATIONAL RES ILENCY,
STAKEHOLDER UNDERSTANDING
AND SUPPORT

V. SYSTEM RELIABILITY AND
OPTIMIZATION
OPERATETHE SYSTEMS RELIABLY,
SAFELY, EFFICIENTLY AND WITHIN
DESIGN AND REGULATORY
PARAMETERS, AND EXTEND THE
USEFUL LIFEOF PHYSICAL ASSETS.

VI. FINANCIAL MANAGEMENT
MANAGE MWRAFINANCES TO
MAINTAIN CORE SERVICES, ENSURE
INVESTORCONFIDENCEAND
DELIVER RATEPAYER VALUE.

VII. PEOPLE AND SYSTEMS
MANAGEMENT
MANAGE STAFF AND SYSTEMS
RESOURCES TO CARRY OUT
MWRA'S BUSINESS PLAN
OBJECTIVES





-MAINTAIN ASSETS (EQUIPMENT,
INFRASTRUCTURE AND FACILITIES)
CONSISTENTWITH OPERATING
REQUIREMENTS.
-DEPLOY OPERATING RESOURCES
COST-EFFECTIVELYAND
PRODUCTIVELY.
-ENSURE CONTINUOUS
OPERATIONS DURING EMERGENCY
EVENTS.

-LIMIT THE RATE REVENUE
INCREASE REQUIREMENT TO LESS
THAN4% THRO UGH 2013.
- MAINTAIN AA2,AA,AA CREDIT
RATING.

-INVEST IN ORGANIZATIONAL
EFFICIENCY AND EFFECTIVENESS.
- PROMOTE AN ORGANIZATIONAL
CULTURE CONSISTENTWITH MWRA
COREVALUES OF TEAMWORK,
TRANSPARENCY, PUBLIC
ACCOUNTABILITY AND COST-
EFFECTIVENESS.
-STAFFATA LEVEL CONSISTENT
WITH MWRA'S BUSINESS
STRATEGIES





17.CONTINUETO IMPLEMENT AN MWRA-WIDE
ASSETMANAGEMENT AND MAINTENANCE
PROGRAM.
18. IMPLEMENT REMOTE MONITORING AND
AUTOMATED OPERATION OF ALL MWRA
WASTEWATERTRANSPORT FACILITIES BY 201 0.
19. CONTINUE IMPLEMENTING A
COMPREHENSIVE SECURITY AND EMERGENCY
PREPAREDNESS PROGRAM GUIDED BY MWRA'S
SECUR ITYAND EMERGENCY PREPAREDNESS
TASK FORCE.

20. CONTINUE TO REGULARLY UPDATE
ESTIMATES OF ANTICIPATED REVENUES AND
EXPENSES OVERA MULTI-YEAR PLANNING
HORIZON AND TO CONTROL DIRECT EXPENSE
GROWTH.
21 . MANAGE CIP SPENDING WITHIN THE FY09-13
CAP OF $1.1 6 BILLION.
22. REGULARLY ASSESS OPPORTUNITIES TO
REFINANCE AND RESTRUCTURE MWRA'S
OUTSTANDING DEBT TO LOWER DEBT SERVICE
EXPENSES.
23.MAXIMIZE INVESTMENT INCOMETHROUGH
PERIODIC EVALUATION OF INVESTMENT
VEHICLES AND MARKET CONDITIONS.
24. PURSUE FEDERAL AND STATEADVOCACY
STRATEGIES TO SUPPORT MWRA'S CAPITAL
PROGRAM AND TO ENCOURAGE COST-
EFFECTWE REGULATIONS.

25. UTILeEAUTOMATIONAND NEW
TECHNOLOGYTOACHIEVE MWRA BUSINESS
PLANOBJECTWES.
26. PREPARE FORAND CONDUCT NEGOTIATIONS
TO SECURE SUCCESSOR COLLECTWE
BARGAINING CONTRACTS FORTHE2010-2013
CONTRACT PERIOD. IMPLEMENT CONTRACTS
AFTER BOARD OF DIRECTORS APPROVAL.
27. PROVIDE HUMAN RESOURCES PROGRAMS TO
SUPPORTTHE BUSINESS PLAN AND TO RECRUIT,
DEVELOPAND RETAIN A DIVERSE WORKFORCE
TOACHIEVE BUSINESS PLAN OBJECTIVES .
28. COMPLYWITH ALL AFFIRMATIVE ACTION
PROG RAMS TO REDUCE UNDERUTILIZED JOB
GROUPS AND PROMOTE PARTICIPATION IN THE
M/WBE PROCUREMENT PROGRAM.




17. INFRASTRUCTURE STABILITY
18. OPERATIONAL OPTIMIZATION
19. OPERATIONAL RESILENCY

20. FINANCIAL VIABILITY,
STAKEHOLDER UNDERSTANDING
AND SUPPORT
21. FINANCIAL VIABILITY,
STAKEHOLDER UNDERSTANDING
AND SUPPORT
22. FINANCIAL VIABILITY,
OPERATIONAL RESILENCY,
STAKEHOLDER UNDERSTANDING
AND SUPPORT
23. FINANCIAL VIABILITY,
OPERATIONAL RESILENCY
24. STAKEHOLDER
UNDERSTANDING AND SUPPORT

25. OPERATIONAL OPTIMIZATION
26. OPERATIONAL OPTIMIZATION,
OPERATIONAL RESILIENCY
27. EMPLOYEE AND LEADERSHIP
DEVELOPMENT
28.N/A

                                                62

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Effective Water and Wastewater Utility Management Case Studies 2009

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