Moving Toward Sustainability: Sustainable and Effective Practices for Creating Your Own Water Utility Roadmap


United States
Environmental Protection
M ^ Agency
MOVING TOWARD
SUSTAINABIUTY:
Sustainable and Effective
Practices for Creating
Water Utility
Updated September 2018
Companion to the
Effective Utility Management Primer
Effective Utility Management
A Primer for Water and Wastewater Utilities
JI8SS.
- NACWA '¦ !	CJS5S&.

-------
Contents
Introduction and Purpose of This Document	2
The Ten Attributes and Five Keys to Management Success	5
How to Read and Use This Document	7
1.	Strategic Business Planning and Leadership	10
2.	Product Quality and Operational Optimization	16
3.	Customer Satisfaction and Stakeholder Understanding & Support	26
4.	Employee & Leadership Development	33
5.	Financial Viability	40
6.	Infrastructure Strategy and Performance	50
7.	Enterprise Resiliency	55
8.	Water Resource Sustainability	63
9.	Community Sustainability	68
10.	Measurement, Continual Improvement Management, and Knowledge
Management	75
Conclusion	81
Appendix A: Resources Directory	82
Appendix B: Acknowledgments	90
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap

-------
FOREWORD
Sustainable water arid wastewater services are critical to providing the American public with clean and safe water.
The delivery of clean and safe water helps to ensure the environmental, economic, and social sustainability of the
communities that these utilities serve. Many utilities across the country face tremendous challenges, such as aging
infrastructure, extreme weather events, population shifts, and competing economic resource priorities within their
communities.
Today, more and more utilities assume leadership roles related to community sustainability, resource recovery and
conservation, economic development, and technology innovation, becoming "anchor institutions" in their
communities. As such, they must also focus on long-term sustainability and bringing about meaningful change in
their organizations and communities. Since 2006, the U.S. Environmental Protection Agency (EPA) has worked in
collaboration with utilities, states, professional associations, and research foundations to help utilities across the
water sector respond to these challenges through the Effective Utility Management initiative. This document is an
important resource to that initiative.
Moving Toward Sustainability: Sustainable and Effective Practices for Creating Your Own Water Utility Roadmap
was developed with extensive input from leading utilities, states, and professional associations. Its purpose is to
assist utility leaders in implementing proven and effective practices over time to improve their operations and move
toward sustainability, at a pace consistent with their needs and the needs of their communities. The practices are
organized according to three separate business levels, using the industry-accepted Effective Utility Management
Ten Attributes and Keys to Management Success as its framework. The document provides utilities with a cohesive
structure to help them systematically address various challenges proactively and with confidence to create an
individualized "roadmap" as they move toward sustainable operations over time.
The proven and progressive practices described in this document can help utilities:
•	Save money by optimizing the planning and delivery of services to their customers;
•	Ensure a reliable source of water consistent with customer needs;
•	Use energy and water-efficient practices and technologies that foster water reuse, resource recovery, and
green infrastructure;
•	Become more resilient to short-term disasters and other longer-term challenges; and
•	Build greater understanding and support from decision-making bodies, customers, and other community
stakeholders
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	p.i

-------
Introduction and Purpose of
This Document

#

Sustainable water and wastewater services are critical to providing the American public with clean and safe water and
helping ensure the environmental, economic, and social sustainability of the communities that utilities serve. Utilities
across the country face tremendous challenges, such as aging infrastructure, an aging workforce, increasing mandates,
and competing priorities within the communities they serve.
The purpose of this document is to assist utility leaders with implementing proven and effective practices over time to
improve their operations and move toward sustainability, at a pace consistent with their needs and the needs of their
communities. It provides utility leaders with a cohesive structure to help them address various challenges proactively and
with confidence. The practices described in this document reflect
the lessons learned and the practical experience utilities have
This document is a continuation of a significant body of work led by
the Office of Water at the U.S. Environmental Protection Agency
(EPA), in collaboration with ten other waster sector associations, to
promote actions to make water sector utilities of all sizes more
sustainable and help ensure the sustainability of the communities
they serve. EPA has collaborated closely with utilities, states, federal
agencies, and other organizations in ail of these efforts, including
the following:
derived as they have improved their operations. A utility can use
this document to identify specific opportunities for improvement
and draw on the example practices to create an individualized
"roadmap" to more sustainable operations.
Effective Utility Management
A Primer for Water and Wastewater Utilities
• Supporting effective utility management (EUM) based on a
series of attributes of effectively managed utilities and
keys to management success, as described in Effectively
Utility Management: A Primer for Water and Wastewater
Utilities (the "EUM Primer").
Effective Utility Management:
A Primer for Water and Wastewater Utilities
	NACWA
(fj$ A-^VVA .apwa
• Working with the U.S. Department of Agriculture (USDA)
on a parallel initiative and associated publication targeted
to rural and small systems - The Rural and Small Systems
Guidebook to Sustainable Utility Management.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p-z

-------
• Developing a handbook to help utilities incorporate sustainability considerations into their existing planning
processes - Planning for Sustainability: A Handbook for Water and Wastewater Utilities.
• Developing and maintaining a tool to help water and wastewater systems develop asset management programs
- the Check Up Program for Small Systems (CUPSS).
• Developing guidance and tools to help water and wastewater systems better understand their energy usage and
identify opportunities to increase energy efficiency - Ensuring g Sustgingble Future: An Energy Mgnggement
Guidebook for Wgstewgter gnd Wgter Utilities and the Energy Use Assessment Tool.
The first publication referenced above, the EUM Primer, is particularly relevant to this document. The EUM Primer
presents a set of Ten Attributes of Effective Utility Management (e.g., Financial Viability) and Five Keys to Management
Success (e.g., Strategic Business Planning). The EUM Primer also provides a cohesive, objective, step-by-step, self-
assessment framework for utilities to evaluate their strengths and identify areas for improvement. The practices provided
in this document are presented to align with the Ten Attributes and Five Keys to Management Success from this
publication, which has been endorsed by the U.S. EPA along with ten other Collaborating Organizations, and water utility
leaders from across the country.
Utilities that choose to use this document should first undertake the EUM self-assessment to gain a better understanding
of which management areas and practices they wish to focus on first. Information on the self-assessment tool and other
EUM-related resources are available at www.WaterEUM.org.
This document reflects significant input and leadership from a group of leading utility and state managers. The
Acknowledgements section of the document provides a list of these individuals. Industry professional associations and
others have also provided significant leadership in this area. Examples include the Energy Rogdmgp for Wgstewgter
Utilities developed by the Water Environment Federation (WEF); the Utility of the Future Blueprint developed by the
National Association of Clean Water Agencies (NACWA), Water Environment Research Foundation (WERF), and WEF; and
the Sustgingbility Policy of the American Water Works Association (AWWA).
This document is designed to complement, but not duplicate the efforts of EPA and its water sector partners. EPA
continues to work closely with industry and other partners to clarify how these various efforts complement each other
and communicate this alignment to the water sector utility community at large.
The Path to This Document
This document was originally released in 2013 with substantial development support from a group of utility and state
program managers, who built on past work to promote sustainable utility management, including the Effective Utility
Mgnggement Primer. In 2015-2016, EPA recruited leaders from five utilities to "road test" the document at their
organizations.
Based on the experiences of the Road Testers, advancements across the water sector, and updates to the companion
Effective Utility Mgnggement Primer document, EPA updated the Rogdmgp in 2018 to the version that you are reading
today.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( > P. 3

-------
WHAT'S IN IT FORME?
WHY UTILITY LEADERS SHOULD CREATE A ROADMAP
Utility leaders (both managers and staff) are looking for practical, flexible, and user-friendly tools that can help them
improve the day-to-day management of their operations. As more and more utilities engage in leadership roles on
issues related to community sustainability, resource recovery and conservation, economic development, and
environmental education, they must concurrently focus on long-term sustainability and bringing about meaningful
change within their organizations. This document provides a structure for creating a roadmap that can help utility
leaders address these challenges and capture opportunities proactively and with confidence. The proven and
progressive practices described in this document can help utilities do the following:
• Save money by optimizing the planning and delivery of services to their customers.
• Better protect the environment by consistently meeting regulatory requirements.
• Ensure a reliable source of water consistent with customer needs.
• Recruit and retain a workforce necessary to ensure sustainable operations.
• Become more resilient to short-term disasters and other longer-term challenges.
• Use energy and water-efficient practices and technologies that foster water reuse, resource recovery, and
green infrastructure.
• Build greater understanding and support from decision-makers, customers, and other stakeholders.
• Work effectively with other community interests to implement innovative, watershed-based solutions and
strengthen the local economy.
OTHER THINGS UTILITY LEADERS SHOULD KNOW ABOUT THIS DOCUMENT
• This document does not define a single roadmap for utilities to follow. It provides a flexible way for
utilities to develop their own roadmap to meet the needs of their system and community.
• The practices in this document are illustrative examples that reflect extensive input from utility and state
leaders from across the country.
• The practices, by design, are not comprehensive. They are progressive "practices with a purpose" that
provide practical examples of how utilities can improve their overall sustainability and resiliency.
• The practices can be scaled and implemented regardless of a utility's size, geography, or capacity.
• This document organizes practices into three ieveis. The levels are a progression model that allows
utilities to gauge where they stand in terms of practice adoption. It also allows them to create a roadmap
for improvement to progress across the levels (if desired) and meet the needs of their community.
• These levels do not imply any judgment about a utility's current performance. This document
acknowledges that utilities have different technical, financial, and managerial capabilities and local
operating contexts.
• EPA encourages utilities to create a roadmap based on these practices over time and at a pace consistent
with their current priorities, future goals, and the needs of their communities.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap P. 4

-------
I he Ten Attributes and Five Keys to
Management Success
Example practices presented in this document have been organized under the ten "Management Areas" identified in the
diagram below. These areas are based on the EUM Ten Attributes and Five Keys to Management Success (described in the
introduction section and detailed in the Effective Utility Management Primer).
The Management Areas presented horizontally are based on the EUM Ten Attributes; they are not presented in any
particular order. Two of these Management Areas - Product Quality and Operational Optimization, and Customer
Satisfaction and Stakeholder Understanding and Support - reflect a merger of EUM Attributes for ease of presentation.
The remaining two Management Areas - Strategic Business Planning and Leadership; and Measurement, Continual
Improvement Management, and Knowledge Management - are drawn from the EUM Five Keys to Management Success.
These Management Areas flank the other areas to signal their importance to effective performance improvement. Good
planning on the front-end guides implementation of the practices and measurement and continual improvement on the
back end enables adaptation and optimization as utility operating and external community and watershed priorities evolve
over time.
Keys to Management
Success
EUM Attributes
Product Quality & Operational Optimization
Customer Satisfaction and Stakeholder Understandings Support
Employee & Leadership Development
Financial Viability
Infrastructure Strategy & Performance
Enterprise Resiliency
Water Resource Sustainability
Community Sustainability
Keys to Management
Success

4-»

c


c
o
ro
t_
CL
2
E
a;

tuo
"to
D
"O
Q)
C
4-3
5
o
C
c
o

o
"O
-+-?
c
c
ro
CD

E
+-»
c
O)
(D
i_
D
E

-------
THE THREE BUSINESS LEVELS
Provided below are descriptions of the three "business levels" used in this document to present example practices.
The levels support the dual purpose of this document: (1) to provide a cohesive set of specific example practices
across the Management Areas within each business level; and (2) to provide a clear path for utilities to adopt
successively more progressive practices over time.
These business levels are only intended to help utility managers understand where they stand in terms of adopting
practices; the levels are not "bright lines" or mutually exclusive of each other. In addition, individual utilities may
choose to initially focus their attention on one or only a few selected Management Areas reflective of their own
priorities and capacity, and local community needs and expectations.
Level 1 - Providing Adequate, Fundamental Services: At this level, a utility is implementing
practices that focus on meeting and maintaining compliance for all applicable regulations, ensuring adequate levels of
operational resiliency, and implementing revenue and financing mechanisms that assure its mid- to long-term financial
viability. The utility uses industry-accepted standard operating procedures (SOPs), proven and reliable technologies, and
has clearly defined staff roles and responsibilities. The utility maintains a positive public image, cultivates an understanding
of its operations and the value of its services with the community, is able to identify risks to high-consequence assets and
plan for emergencies, and is capable of receiving and responding to customer and community concerns and complaints in
a timely manner.
Level 2 - Optimizing Operations and Services: In addition to providing basic services consistent with
Level 1, a utility at this level is focusing on continual improvement and views optimizing its operations and services as
central to mission success. The utility actively engages with its community to create operating conditions that are
responsive to community needs and Interests. The utility has established working relationships with neighboring systems
as appropriate, has explicit performance improvement objectives and service levels, and actively seeks to ensure its
operations support the community's economic and social well-being. The utility has adopted sustainability as a core
business principle and appropriately utilizes natural systems, like green infrastructure, in addition to other
nonconventional technologies (e.g., decentralized approaches) and practices. The utility has started using processes for
the internal recovery of energy, solids, and materials.
Level 3 - Transforming Operations and Services for the Future: In addition to optimizing its
current services, at this level, a utility is implementing practices consistent with many of the directions set forth in leading
industry initiatives like the Utility of the Future Blueprint. The utility is employing practices that focus on managing treated
wastewater and biosolids as valuable commodities, both to improve efficiency and as new revenue sources. The utility
focuses on enhanced resiliency; acts as a leader in local watershed and community sustainability; and works actively with
other local institutions to engage in community planning in order to help ensure economic, social, and environmental
sustainability. The utility is a leader in and catalyst for economic development within the community; focuses on resource
management and recovery; and works actively with others to promote full water cycle stewardship within its watershed
to seek iow-cost, high-return solutions. The utility also fosters an internal culture of innovation, collaborative
development, and active engagement with its employees.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 6
-------
How to Read and Use This Document
The graphic below will help utilities understand how this document is structured in each of the ten Management Areas.
The example practices on the following pages are numbered for ease of access/reference. There is no implied importance
or ranking associated with the numbering scheme included in the document.
The Management Areas:
1.	Strategic Business Planning and Leadership
2.	Product Quality and Operational Optimization
3.	Customer Satisfaction and Stakeholder Understanding & Support
4.	Employee & Leadership Development
5.	Financial Viability
6.	Infrastructure Strategy & Performance
7.	Enterprise Resiliency
8.	Water Resource Sustainability
9.	Community Sustainability
10.	Measurement, Continual Improvement Management, and Knowledge Management
Management Area Title
Management Area Scope
Business Level
Practice Statement
Example Practices
1. Strategic Business Planning and Leadership
MPPM9H This Management Area addresses various forms of planning including capital, long-range, and strategic
*planning, and the leadership required to implement these plans effectively. It incorporates building
organizational and community needs and objectives into these processes. It includes collaborative
relationships - guided by utility leaders - established with other water utilities, local government entities,
private enterprises, and non-governmental organizations (NGOs) to enhance the utility's performance,
capacity, and capabilities.
Level 1: Providing Adequate, Fundamental Services
PRACTICE STATEMENT #1
Planning: Capital project needs identified and incorporated into annual budgets; technical,
managerial, and financial capacity understood; and strategic needs and directions understood
for the organization to document.
I EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS


1.1.14
Multiyear capital plan that prioritizes capital project needs and
Assessment:
Q Oon't Have
~ In Progress
~ Complete

identifies high-priority and short-term needs and investments
on a life-cycle cost basis.
Actions:
~ Adopt
~ Improve
D Maintain
1.1.1.2
Reserve fund accounts or ability to acquire debt sufficient to
provide for capital needs over the mid- to long- term.
Assessment:
Actions:
~	Don't Have
~	Adopt
~	In Progress
~	Improve
~	Complete
~	Maintain
1.1.1.3
Policies and procedures in place for capital project monitoring
and reporting.
Assessment:
Actions:
~	Don't Have
~	Adopt
~ In Progress
O Improve
~	Complete
~	Maintain
1.1.1.4
Capital planning and improvement program, which identifies
how the capital plan fits into the utility's established policies,
goals, and objectives and how the capital improvement process
incorporates engineering and finance recommendations.
Assessment:
Actions:
~ Don't Have
P Adopt
~	In Progress
~	Improve
~	Complete
~	Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
Op-'
-------
The example practices are numbered with a four-number code derived from: the numbered Management Area (ranging
from 1 up to 10), followed by the Business Level number (ranging from 1 - 3), and then the Practice Statement number
(ranging from 1 - 4). The final number in the code refers to the Example Practice itself (ranging from 1 up to 12).
Utilities are encouraged to follow these steps to help them most effectively use the practices presented in this document:
Step 1: Assess your relative strengths and weaknesses in each of the EUM Ten Attributes and Five Keys to Management
Success. Prioritize those Management Areas you would like to initially focus on. Tools to help utilities conduct such an
assessment are available at www.WaterEUM.org.
Step 2: Assess your current activity relative to each example practice in each of the three levels relevant to your selected
Management Areas to determine the extent to which your utility has implemented specific practices. Choosing from the
options "Don't Have," "In Progress," or "Complete," check the description that best characterizes your utility's current
activity for each example practice.
Step 3: Determine what action to take relative to each example practice. Based on steps 1 and 2 above, identify specific
actions you will take drawing on the example practices (or similar practices, as appropriate). Choosing from the options
"Adopt," "Improve," or "Maintain," check the box that describes what you believe your utility needs to do for each
practice.
•	ADOPT: Check this box if your utility does not currently have a management practice that represents the example
practice and that it needs to have this practice to reach its desired level of implementation.
•	IMPROVE: Check this box if your utility has a management practice that is related to the example practice, but
improvement is needed to reach your desired level of implementation.
•	MAINTAIN: Check this box if your utility has the example practice already in place and that you want to continue
using this practice.
Step 4 (Optional): Add any alternative or additional practices that you believe are relevant. In each level of each
Management Area, your utility may have in place, or be aware of, management practices that you believe are either a
good substitute for one of the existing example practices or are a good addition to the suite of example practices listed in
this document. For each alternative or additional practice, you will need to write in a written description, and complete
Steps 2 and 3 for each practice.
Step 5: Draw a conclusion for each practice statement. At the end of each practice statement section, you will draw a
conclusion about what your utility needs to do relative to the practice statement. You will draw this
conclusion based on the assessment of your current activity and actions that you determined (Steps 2
and 3).
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Each practice statement section has check boxes at the end for "Green," "Yellow," and "Red," which
represent the following:

MOVING TOWARD SUSTAIN ABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
•	RED: Stop and take a more in-depth look at what needs to be done in this area to bring your utility to the level at
which it aspires to be. Check this box if you have mostly "Don't Have" and "Adopt" boxes checked.
•	YELLOW: Slow down and assess how you can improve your current practices (including completing those that you
have already begun to implement but are not yet fully in place). Check this box if you have mostly "In Progress"
and "Improve" boxes checked.
•	GREEN: You are good to go in this area - keep up the good work. Check this box if you have most or all example
practices in place (or have additional or alternative practices), and if you have mostly "Complete" and "Maintain"
boxes checked. Do not forget to come back to these practices on a regular basis to make sure they are up to date.
Step 6: Make any necessary notes. At the end of each practice statement section, make notes as needed, considering the
following questions:
•	Why did I select the Practice Statement Conclusion that I chose? Was it a close decision between one conclusion
and another?
•	At what level of implementation does my utility want to be for this Management Area? Is my utility close to
meeting this goal (or have we already met it)?
Step 7: Develop an action plan that identifies the steps you will take to adopt the practice(s), who will be responsible, and
a timeline for action. The Appendix to this document includes a directory of resources designed to help you. These
resources are organized around the ten Management Areas presented in this document.
MOVING TOWARD SUSTAIN ABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( > P. 9
-------
1. Strategic Business Planning and Leadership
This Management Area addresses various forms of planning including capital, long-range, and strategic
planning, and the leadership required to implement these plans effectively. It incorporates building
organizational and community needs and objectives into these processes. It includes collaborative
relationships-guided by utility leaders-established with other water utilities, local government entities,
private enterprises, and non-governmental organizations (NGOs) to enhance the utility's performance,
capacity, and capabilities.
Level 1: Providing Adequate, Fundamental Services
PRACTICE STATEMENT #1
Planning: Capital project needs identified and incorporated into annual budgets; technical,
managerial, and financial capacity understood; and strategic needs and directions understood
for the organization to document.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
1.1.1.1
Multiyear capital plan that prioritizes capital project needs and
Assessment:
~ Don't Have
~
In Progress
~ Complete

identifies high-priority and short-term needs and investments
on a life-cycle cost basis.
Actions:
~ Adopt
~
Improve
~ Maintain
1.1.1.2
Reserve fund accounts, or ability to acquire debt, sufficient to
Assessment:
~ Don't Have
~
In Progress
~ Complete

provide for capital needs over the mid- to long- term.
Actions:
~ Adopt
~
Improve
~ Maintain
1.1.1.3
Policies and procedures in place for capital project monitoring
Assessment:
~ Don't Have
~
In Progress
~ Complete

and reporting.
Actions:
~ Adopt
~
Improve
~ Maintain
1.1.1.4
Capital planning and improvement program, which identifies
Assessment:
~ Don't Have
~
In Progress
~ Complete

how the capital plan fits into the utility's established policies,
goals, and objectives and how the capital improvement process
incorporates engineering and finance recommendations.
Actions:
~ Adopt
~
Improve
~ Maintain
1.1.1.5
Technical performance, reliability, and maintainability
Assessment:
~ Don't Have
~
In Progress
~ Complete

guidelines and selection criteria to evaluate, compare, and
identify priorities among capital project proposals.
Actions:
~ Adopt
~
Improve
~ Maintain
1.1.1.6
Opportunities for staff across a range of levels of the
Assessment:
~ Don't Have
~
In Progress
~ Complete

organization to engage in business planning and leadership
initiatives.
Actions:
~ Adopt
~
Improve
~ Maintain
1.1.1.7
Planning initiatives involving collaboration across all
Assessment:
~ Don't Have
~
In Progress
~ Complete

departments/areas of the utility.
Actions:
~ Adopt
~
Improve
~ Maintain
1.1.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
1.1.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
1.1.1.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 10
-------
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Partnerships/Collaboration: Relationships established with water sector associations,
regulators, and technical assistance providers to maintain awareness of and obtain support
for implementing improvement opportunities.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
1.1.2.1
Staff attendance at industry technical and
Assessment:
~ Don't Have
~
In Progress
~ Complete

management/leadership conferences (state or national).
Actions:
~ Adopt
~
Improve
~ Maintain
1.1.2.2
Relationships with regulators and other members of industry to
Assessment:
~ Don't Have
~
In Progress
~ Complete

solicit external input on compliance and performance.
Actions:
~ Adopt
~
Improve
~ Maintain
1.1.2.3
Use of technical assistance services, such as those provided by
Assessment:
~ Don't Have
~
In Progress
~ Complete

states or water sector associations.
Actions:
~ Adopt
~
Improve
~ Maintain
1.1.2.4
Municipal or state contracts used, as available (e.g., accessing
Assessment:
~ Don't Have
~
In Progress
~ Complete

state General Services bulk purchase contracts for such services
as laboratory analysis).
Actions:
~ Adopt
~
Improve
~ Maintain
1.1.2.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
1.1.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
1.1.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 2: Optimizing Operations and Services
PRACTICE STATEMENT #1
Planning: Medium- and long-range (10 to 20 years) utility and community clean and safe
water needs understood through a formalized, systematic, and transparent planning process.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p ]
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
1.2.1.1
Strategic and long-range planning that integrate utility priorities
Assessment:
~ Don't Have
~ In Progress
~ Complete

and goals with other relevant community priorities. (Planning
includes: goal setting reflective of utility and community
priorities; explicit objectives and strategies in support of
sustainability goals; alternatives analysis methods that integrate
sustainability criteria; and financial strategy adequate to meet
current and future needs).
Actions:
~ Adopt
~ Improve
~ Maintain
1.2.1.2
Explicit business case processes, including cost-benefit analyses,
Assessment:
~ Don't Have
~ In Progress
~ Complete

for selecting all major capital investments.
Actions:
~ Adopt
~ Improve
~ Maintain
1.2.1.3
Capital planning based on master plans that provide a vision for
Assessment:
~ Don't Have
~ In Progress
~ Complete

investments to correct existing deficiencies and meet future
capacity needs.
Actions:
~ Adopt
~ Improve
~ Maintain
1.2.1.4
Explicit inclusion of continual improvement concepts in
Assessment:
~ Don't Have
~ In Progress
~ Complete

planning processes.
Actions:
~ Adopt
~ Improve
~ Maintain
1.2.1.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
1.2.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
1.2.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Partnerships/Collaboration: Operational agreements in place with neighboring utilities to
improve system performance, lower costs, or improve resilience.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
1.2.2.1
Joint operating agreements for sharing administrative,
Assessment:
~ Don't Have
~ In Progress
~ Complete

maintenance, or other services (e.g., joint water and electricity
meter reading).
Actions:
~ Adopt
~ Improve
~ Maintain
1.2.2.2
Cross-training of staff from neighboring utilities.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
1.2.2.3
Real-time control capabilities among neighboring systems that
Assessment:
~ Don't Have
~ In Progress
~ Complete

share collection or distribution networks.
Actions:
~ Adopt
~ Improve
~ Maintain
1.2.2.4
Staff participation in association committees and leadership in
Assessment:
~ Don't Have
~ In Progress
~ Complete

research projects.
Actions:
~ Adopt
~ Improve
~ Maintain
1.2.2.5
Proactive meetings with regulators and other key stakeholders
Assessment:
~ Don't Have
~ In Progress
~ Complete

to establish a pattern of positive interactions.
Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 12
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
1.2.2.6
Relationships (formal or informal) with nearby facilities to enter
Assessment:
~ Don't Have
~ In Progress
~ Complete

into joint management agreements (e.g., sharing of certified
operators, consultants, equipment, sample collection, lab
analysis, water line replacement/repair, or bulk equipment
purchases).
Actions:
~ Adopt
~ Improve
~ Maintain
1.2.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
1.2.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
1.2.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 3: Transforming Operations and Services for the Future
PRACTICE STATEMENT #1
Planning: Community priorities and broader watershed needs incorporated explicitly into
utility decision-making; full internal alignment of utility vision, mission, and long-term
planning exist; and sustainability is adopted as a core business principle. Utility vision, mission,
investments, and operations integrated with other community departments.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
1.3.1.1
Utility long-term strategy and mission aligned with other
Assessment:
~ Don't Have
~ In Progress
~ Complete

community priorities and integrated into long-range and capital
planning.
Actions:
~ Adopt
~ Improve
~ Maintain
1.3.1.2
Multi-attribute analysis to support incorporation of Triple
Assessment:
~ Don't Have
~ In Progress
~ Complete

Bottom Line principals and associated metrics explicitly into
alternatives analysis for planning purposes.
Actions:
~ Adopt
~ Improve
~ Maintain
1.3.1.3
Economic development incentive policy supported by cost-
Assessment:
~ Don't Have
~ In Progress
~ Complete

benefit, feasibility, risk, and uncertainty analyses.
Actions:
~ Adopt
~ Improve
~ Maintain
1.3.1.4
Annual joint planning sessions with key community
Assessment:
~ Don't Have
~ In Progress
~ Complete

departments (e.g., Health, Transportation, Land Use and
Planning, Parks, Economic Development, Arts), supported
Actions:
~ Adopt
~ Improve
~ Maintain

through efforts to encourage internal departmental adoption of





planning results (e.g., change management training).




1.3.1.5
Community vision planning sessions (catalyze or participate in)
Assessment:
~ Don't Have
~ In Progress
~ Complete

to align department missions and develop a unified
sustainability strategy for the community and watershed.
Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 13
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
1.3.1.6
Scenario-based planning, or similar methods, to plan for and
Assessment:
~ Don't Have
~ In Progress
~ Complete

address complex uncertainties such as impacts from a changing
climate.
Actions:
~ Adopt
~ Improve
~ Maintain
1.3.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
1.3.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
1.3.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Partnerships/Collaboration: Proactive relationships established with external parties critical
to the organization's operating environment and core mission. Strategic relationships for
short- and long-term collaboration and in support of alternative services also established.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
1.3.2.1
Lead or participate in coordination among local drinking water,
Assessment:
~ Don't Have
~
In Progress
~ Complete

wastewater, and stormwater utilities to integrate management
strategies and long-term planning.
Actions:
~ Adopt
~
Improve
~ Maintain
1.3.2.2
Define policy criteria for making various contributions to, or
Assessment:
~ Don't Have
~
In Progress
~ Complete

investments in, partnership arrangements.
Actions:
~ Adopt
~
Improve
~ Maintain
1.3.2.3
Fund and operate energy generation technologies and resource
Assessment:
~ Don't Have
~
In Progress
~ Complete

recovery with public-private partnerships.
Actions:
~ Adopt
~
Improve
~ Maintain
1.3.2.4
Share information and coordinate with land use agencies on
Assessment:
~ Don't Have
~
In Progress
~ Complete

watershed planning.
Actions:
~ Adopt
~
Improve
~ Maintain
1.3.2.5
Advocacy by utility leaders for water sector initiatives (e.g.,
Assessment:
~ Don't Have
~
In Progress
~ Complete

promoting alternative/innovative utility business models,
promoting programs related to the Utility of the Future).
Actions:
~ Adopt
~
Improve
~ Maintain
1.3.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
1.3.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
1.3.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 15
-------
2. Product Quality and Operational Optimization
This Management Area includes compliance with regulatory requirements, energy and materials usage
(chemicals and residuals), technology, the production of high-quality products (including "fit for purpose"
water and other recovered resources, such as energy, nutrients, and biosolids), performance monitoring,
and standard operating procedures (SOPs).
Level 1: Providing Adequate, Fundamental Services
PRACTICE STATEMENT #1
Compliance/Performance Standards: Compliance obligations understood and consistently
met, and applicable industry performance standards understood and adopted. Compliant
industrial pretreatment program in place, and residuals compliant with applicable
regulations.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.1.1.1
Water quality sampling and process control monitoring SOPs to
Assessment:
~ Don't Have
~ In Progress
~ Complete

support proactive recognition of possible compliance problems
for all Safe Drinking Water Act (SDWA) and Clean Water Act
standards (e.g., biochemical oxygen demand and total
suspended solids monitoring in wastewater treatment plant
discharge mixing zones; and drinking water chlorine residuals
monitoring).
Actions:
~ Adopt
~ Improve
~ Maintain
2.1.1.2
Basic compliance metrics established and tracked for
Assessment:
~ Don't Have
~
In Progress
~ Complete

wastewater treatment effectiveness rate and relevant SDWA
requirements.
Actions:
~ Adopt
~
Improve
~ Maintain
2.1.1.3
Program for identifying and incorporating new regulations,
Assessment:
~ Don't Have
~
In Progress
~ Complete

drinking water standards, or discharge limits.
Actions:
~ Adopt
~
Improve
~ Maintain
2.1.1.4
Industrial pretreatment program certified by state
Assessment:
~ Don't Have
~
In Progress
~ Complete

environmental protection agency in place.
Actions:
~ Adopt
~
Improve
~ Maintain
2.1.1.5
Applicable operator certification requirements program in
Assessment:
~ Don't Have
~
In Progress
~ Complete

place.
Actions:
~ Adopt
~
Improve
~ Maintain
2.1.1.6
Record-keeping and reporting requirement SOPs.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.1.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.1.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.1.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 16
-------
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Operational Improvement and Maintenance*: Opportunities to improve operations
undertaken as they are identified and time and resources allow. (The utility reacts to
information provided from outside sources relating to improvement opportunities.)
Refer to the Infrastructure Strategy and Performance section for maintenance details.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.1.2.1
Odor control measurement, monitoring, and response
Assessment:
~ Don't Have
~
In Progress
~ Complete

program.
Actions:
~ Adopt
~
Improve
~ Maintain
2.1.2.2
Leak detection and repair program.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.1.2.3
Optimization targets for use of labor, chemicals, and residuals.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.1.2.4
Valve exercise and maintenance program.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.1.2.5
Cross-connection control program.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.1.2.6
Water meter repair/replacement program.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.1.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.1.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.1.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Energy/Materials: Basic energy efficiency opportunities identified and implemented. Basic
chemical safety procedures in place.
PRACTICE STATEMENT #3
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.1.3.1
Energy use assessment.
Assessment: ~ Don't Have
~ In Progress
~ Complete


Actions: ~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p ]
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.1.3.2
Chemical Right to Know program for all employees.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
2.1.3.3
No- or low-cost energy efficiency practices adopted (e.g.,
Assessment:
~ Don't Have
~ In Progress
~ Complete

variable frequency drives wherever possible, low-energy
lighting, etc.).
Actions:
~ Adopt
~ Improve
~ Maintain
2.1.3.4
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
2.1.3.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
2.1.3.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #4
Technology: Use fully characterized and generally accepted technologies and management
systems. All plant process control systems functioning effectively and leading to full
compliance for drinking water, wastewater discharges, and solids/residuals.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.1.4.1
Adequate sizing and maintenance for wastewater treatment
Assessment:
~ Don't Have
~ In Progress
~ Complete

facilities to ensure consistent permit compliance.
Actions:
~ Adopt
~ Improve
~ Maintain
2.1.4.2
Outside resource (e.g., regulatory agencies or consultants)
Assessment:
~ Don't Have
~ In Progress
~ Complete

usage to supplement in-house capacity and assist with decision
making and implementation.
Actions:
~ Adopt
~ Improve
~ Maintain
2.1.4.3
Reliable disinfection methods operating consistently with
Assessment:
~ Don't Have
~ In Progress
~ Complete

permit compliance.
Actions:
~ Adopt
~ Improve
~ Maintain
2.1.4.4
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
2.1.4.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
2.1.4.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
Level 2: Optimizing Operations and Services
PRACTICE STATEMENT #1
Compliance/Performance Standards: Beyond compliance service levels and practices
adopted. "Outstanding performance" achieved in sanitary surveys. Proactively contribute to
beyond compliance voluntary standards development.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.2.1.1
Voluntary optimization standard adoption (e.g., Partnership for
Assessment:
~ Don't Have
~
In Progress
~ Complete

Safe Water, EPA's Area Wide Optimization Program).
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.1.2
Measurement, monitoring, and corrective action procedures of
Assessment:
~ Don't Have
~
In Progress
~ Complete

all key process units for detecting and responding to
compliance "near misses."
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.1.3
Written SOPs for critical utility operational functions.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.2.1.4
Participation in water research activities, such as "pilot
Assessment:
~ Don't Have
~
In Progress
~ Complete

projects" or other testing for new, voluntary standards.
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.1.5
Water quality monitoring (source and distribution) beyond
Assessment:
~ Don't Have
~
In Progress
~ Complete

regulatory requirements.
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.1.6
Industrial user recognition program for beyond compliance
Assessment:
~ Don't Have
~
In Progress
~ Complete

performance (e.g., reduction of caustic chemical discharges to
sewer system).
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.2.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.2.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Operational Improvement and Maintenance*: Create and implement an operational
optimization plan and program. Utility seeks to improve performance beyond compliance
requirements.
Refer to the Infrastructure Strategy and Performance section for maintenance details.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.2.2.1
Standardized equipment and functions (e.g., uniformly
outfitting trucks).
Assessment: ~ Don't Have ~ In Progress ~ Complete
Actions: ~ Adopt ~ Improve ~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 19
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.2.2.2
Resource optimization targets (e.g., created and monitored for
Assessment:
~ Don't Have
~
In Progress
~ Complete

operation and maintenance (O&M) costs per population
served, cost of customer billing per service connection, water
collected or treated per employee).
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.2.3
Distribution system pressure monitoring.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.2.2.4
Real-time on-line monitoring for key parameters (e.g., pH,
Assessment:
~ Don't Have
~
In Progress
~ Complete

chlorine residual, etc.) to ensure optimal operation.
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.2.5
Available process equipment capability optimized (e.g., for
Assessment:
~ Don't Have
~
In Progress
~ Complete

effluent quality to the maximum extent practicable).
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.2.6
Distribution system waterage management program.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.2.2.7
Optimization programs to improve treatment efficacy and
Assessment:
~ Don't Have
~
In Progress
~ Complete

water quality, and to reduce chemical usage, energy costs, and
sludge volume.
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.2.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.2.2.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Energy/Materials: Energy management plan in place; proactive industrial pretreatment
program, including pollutant trackback and pollution prevention program in place;
opportunities for reductions of chemical usage identified and implemented; plan optimized
to maximize residual capture and residuals used for beneficial reuse to the maximum extent
possible; and utilization of plant effluent for process water needs.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.2.3.1
System-wide water and energy audits conducted.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
2.2.3.2
Explicit energy optimization actions and goals (e.g., energy
Assessment:
~ Don't Have
~ In Progress
~ Complete

reduction targets adopted and tracked).
Actions:
~ Adopt
~ Improve
~ Maintain
2.2.3.3
Trackback program for pollutants of concern.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
2.2.3.4
Chemical monitoring systems to minimize probability of
Assessment:
~ Don't Have
~ In Progress
~ Complete

unnecessary overdosing.
Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 20
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.2.3.5
Optimized sludge thickening and dewatering equipment to
Assessment:
~ Don't Have
~
In Progress
~ Complete

maximize solids capture capacity.
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.3.6
Vigorous manufacturer and other sources of inorganic pollution
Assessment:
~ Don't Have
~
In Progress
~ Complete

outreach and education to help utilities implement best
pollution prevention practices.
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.3.7
Water optimization program (including re-use strategy and
Assessment:
~ Don't Have
~
In Progress
~ Complete

targets, water loss control program, and customer water audit
program).
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.3.8
Take-back program promotion (e.g., for unused
Assessment:
~ Don't Have
~
In Progress
~ Complete

pharmaceuticals).
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.3.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.2.3.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.2.3.11
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #4
Technology: Innovative technology adoption capacity in place. Practices to help reduce the
sewage and stormwater burden on sewer lines and sewage treatment plants and reduce the
need for capital upgrades in place.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.2.4.1
Green infrastructure for stormwater management source
Assessment:
~ Don't Have
~
In Progress
~ Complete

control (e.g., rain gardens, permeable pavement, and green
parking lots).
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.4.2
Advanced treatment technology evaluation in equipment
Assessment:
~ Don't Have
~
In Progress
~ Complete

replacement and capital improvements.
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.4.3
Secondary treatment and filtration automated process systems
Assessment:
~ Don't Have
~
In Progress
~ Complete

(e.g., membrane treatment, UV treatment).
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.4.4
Infiltration/inflow removal and impermeable surface reduction.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.2.4.5
Liquefied Petroleum Gas (LPG)-fueled vehicles.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.2.4.6
Practices to help mitigate groups of contaminants or
Assessment:
~ Don't Have
~
In Progress
~ Complete

contaminant precursors from drinking water.
Actions:
~ Adopt
~
Improve
~ Maintain
2.2.4.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 21
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.2.4.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
2.2.4.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 3: Transforming Operations and Services for the Future
PRACTICE STATEMENT #1
Compliance/Performance Standards: Compliance assurance capacity expanded to address
new regulatory areas that come with marketing and sale of resource recovery products or
utility proprietary services and tools. Proactive engagement with regulators, other utilities,
and watershed participants to improve compliance performance and establish more effective
performance expectations.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.3.1.1
Networking with energy and consumer product regulators to
Assessment:
~ Don't Have
~
In Progress
~ Complete

understand regulatory requirements and establish proactive
working relationships.
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.1.2
Proactive input to regulatory agencies in establishing new
Assessment:
~ Don't Have
~
In Progress
~ Complete

compliance levels.
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.1.3
Assistance to other utilities to improve their performance (e.g.,
Assessment:
~ Don't Have
~
In Progress
~ Complete

equipment loans, knowledge, and other resources).
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.1.4
Active and effective environmental advocacy beyond the
Assessment:
~ Don't Have
~
In Progress
~ Complete

bounds of the utility's facilities.
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.1.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.3.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.3.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
PRACTICE STATEMENT #2
Operational Improvement and Maintenance*: Advanced optimization methods and
practices deployed. Integrate data system for automated real-time control and optimize
utility and other community systems.
*Refer to the Infrastructure Strategy and Performance section for maintenance details.
EXAMPLE PRACTICES	ASSESSMENTS AND ACTIONS
2.3.2.1
Real-time system control. (For example, traffic of peak flows or
Assessment:
~ Don't Have
~
In Progress
~ Complete

peak demands is controlled to manage the amount of water in
the system by shuttling flow between treatment plants).
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.2.2
Standard data infrastructure across interdependent utility
Assessment:
~ Don't Have
~
In Progress
~ Complete

operations.
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.2.3
Utility Geographic Information System (GIS) layer integration
Assessment:
~ Don't Have
~
In Progress
~ Complete

across community service departments.
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.2.4
Data and automated systems integration in the context of
Assessment:
~ Don't Have
~
In Progress
~ Complete

shared water utility operations (optimize existing
infrastructure).
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.2.5
Real-time monitoring of distribution system water quality.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.3.2.6
Dashboard system to track key indicators of importance to the
Assessment:
~ Don't Have
~
In Progress
~ Complete

utility (e.g., customer service, treatment quality, cost).
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.2.7
GIS, hydraulic model, Supervisory Controls and Data Acquisition
Assessment:
~ Don't Have
~
In Progress
~ Complete

(SCADA), and customer information system full integration.
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.3.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.3.2.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Energy/Materials: Internal energy resource recovery adopted; deployment of enhanced
energy generation approaches to meet 100 percent of energy needs (i.e., "net zero"); and
initial advanced materials recovery.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.3.3.1
Alternative and renewable energy sources for plant operations
Assessment:
~ Don't Have
~ In Progress
~ Complete

(e.g., implementing solar power, wind power, or hydroelectric
power; biogas for space heating; and conversion of biogas to
electricity).
Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 23
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.3.3.1
High-strength waste acquisition and digestion (e.g., Fats, oils,
Assessment:
~ Don't Have
~
In Progress
~ Complete

and grease (FOG) or organics recovery from street sweeping).
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.3.3
Partnerships for acquisition and marketing of energy (e.g.,
Assessment:
~ Don't Have
~
In Progress
~ Complete

electric and gas utility partnerships, high-strength waster
partnerships).
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.3.4
Resource recovery for nitrogen, phosphorus, organic material,
Assessment:
~ Don't Have
~
In Progress
~ Complete

and possibly precious metals.
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.3.5
Production and supply of different water qualities (e.g., local
Assessment:
~ Don't Have
~
In Progress
~ Complete

stormwater used for toilet flushing).
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.3.6
Energy recovery in treatment and distribution systems (e.g.,
Assessment:
~ Don't Have
~
In Progress
~ Complete

sewer geothermal [using heat exchange technology with sewer
wastewater], smart meters, and hydrokinetic turbine
applications).
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.3.3.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.3.3.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #4
Technology: Advanced, distributed technology deployment. Capability to explore (pilot test)
and deploy emerging technologies.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.3.4.1
Collection system used as an extension of treatment.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.3.4.2
Pilot projects (internally led) for testing promising technologies.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.3.4.3
Robust connection to research and development affiliates (e.g.,
Assessment:
~ Don't Have
~
In Progress
~ Complete

foundations, university partnerships).
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.4.4
Microfiltration equipment.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
2.3.4.5
Natural treatment systems to facilitate biological removal (e.g.,
Assessment:
~ Don't Have
~
In Progress
~ Complete

enzymes or catalysts).
Actions:
~ Adopt
~
Improve
~ Maintain
2.3.4.6
Decentralized supply and treatment evaluated and performed
Assessment:
~ Don't Have
~
In Progress
~ Complete

on a watershed, water-quality basis.
Actions:
~ Adopt
~
Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 24
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
2.3.4.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
2.3.4.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
2.3.4.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 25
-------
3. Customer Satisfaction and Stakeholder
Understanding & Support
This Management Area includes engagement and education efforts, customer feedback and response
mechanisms, promotion and public relations, and participation in public events.
Level 1: Providing Adequate, Fundamental Services
PRACTICE STATEMENT #1
Community Engagement and Participation: Utility is a visible member of the community and
plays an active role in community events.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.1.1.1
Participation in community events (e.g., staff organizing to
Assessment:
~ Don't Have
~
In Progress
~ Complete

volunteer at fundraising events).
Actions:
~ Adopt
~
Improve
~ Maintain
3.1.1.2
Community organizations or sports team sponsorships.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.1.3
Community event booth sponsorships.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.1.4
Volunteer for community events (e.g., organize watershed
Assessment:
~ Don't Have
~
In Progress
~ Complete

cleanups).
Actions:
~ Adopt
~
Improve
~ Maintain
3.1.1.5
Public information event sponsorships (e.g., Water Week).
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.1.6
Utility open house events.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Public Relations, Education, and Promotion: Basic information about the utility is readily
accessible and understandable to community members. Emergency response
communications proactively prepared.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p 2
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.1.2.1
Website includes information about major undertakings, and
Assessment:
~ Don't Have
~
In Progress
~ Complete

important documents are available.
Actions:
~ Adopt
~
Improve
~ Maintain
3.1.2.2
Periodic explanatory customer flyers.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.2.3
Clear, visible signs for construction activities.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.2.4
Multiple-language utility documents consistent with
Assessment:
~ Don't Have
~
In Progress
~ Complete

community profile.
Actions:
~ Adopt
~
Improve
~ Maintain
3.1.2.5
Emergency event public communications templates for media
Assessment:
~ Don't Have
~
In Progress
~ Complete

contacts (e.g., create standardized text for boil water notices).
Actions:
~ Adopt
~
Improve
~ Maintain
3.1.2.6
Annual consumer confidence/water quality report.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Customer and Stakeholder Feedback and Response: Customer complaint and response
mechanisms are in place.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.1.3.1
Customer complaint response time targets.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.3.2
Key community stakeholder opinion leaders list and schedule
Assessment:
~ Don't Have
~
In Progress
~ Complete

for outreach (e.g., phone call, informal meeting).
Actions:
~ Adopt
~
Improve
~ Maintain
3.1.3.3
Customer information system to store billing information,
Assessment:
~ Don't Have
~
In Progress
~ Complete

service requests, and all resolutions.
Actions:
~ Adopt
~
Improve
~ Maintain
3.1.3.4
Customer complaint receipt and response capability.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.3.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.1.3.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.1.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 2: Optimizing Operations and Services
PRACTICE STATEMENT #1
Community Engagement and Participation: Community organizations and members engaged
as full partners in utility plans and operations.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.2.1.1
Two-directional engagement with community members (e.g.,
Assessment:
~ Don't Have
~
In Progress
~ Complete

through social media or advisory councils).
Actions:
~ Adopt
~
Improve
~ Maintain
3.2.1.2
Media approaches geared to needs of different generations.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.2.1.3
Community engagement forums to understand critical values,
Assessment:
~ Don't Have
~
In Progress
~ Complete

set utility goals, and review infrastructure alternatives.
Actions:
~ Adopt
~
Improve
~ Maintain
3.2.1.4
Public participation in the planning, budget, and performance
Assessment:
~ Don't Have
~
In Progress
~ Complete

management results processes.
Actions:
~ Adopt
~
Improve
~ Maintain
3.2.1.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.2.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.2.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Public Relations, Education, and Promotion: Focus efforts to increase community
understanding of the utility, the benefits from its functions and services, and the
requirements for operating sustainably. Utility is viewed as a leader and critical, trusted player
in the community and citizens have a strong working knowledge and acceptance of the
requirements for operating sustainably.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p 2
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.2.2.1
Value of water and wastewater services educational brochures
Assessment:
~ Don't Have
~
In Progress
~ Complete

and public education campaign.
Actions:
~ Adopt
~
Improve
~ Maintain
3.2.2.2
School outreach programs (e.g., K-12 classroom presentations
Assessment:
~ Don't Have
~
In Progress
~ Complete

or local school science program water-related curriculum).
Actions:
~ Adopt
~
Improve
~ Maintain
3.2.2.3
Electronic budget documents and comprehensive annual
Assessment:
~ Don't Have
~
In Progress
~ Complete

financial report (CAFR) on the utility's website, including a
concise summary and guide to the key issues of the operating
Actions:
~ Adopt
~
Improve
~ Maintain

and capital components.





3.2.2.4
Executive director role focused on external communication and
Assessment:
~ Don't Have
~
In Progress
~ Complete

relationship building.
Actions:
~ Adopt
~
Improve
~ Maintain
3.2.2.5
Annual utility performance report based on service level
Assessment:
~ Don't Have
~
In Progress
~ Complete

commitments and using common language and illustrative
examples (e.g., "we saved 10,000 barrels of oil this year
Actions:
~ Adopt
~
Improve
~ Maintain

through our energy conservation efforts").





3.2.2.6
Annual plain language report on "Capital Facilities" for elected
Assessment:
~ Don't Have
~
In Progress
~ Complete

officials and the general public that describes the condition and
plans for asset replacement and renewal.
Actions:
~ Adopt
~
Improve
~ Maintain
3.2.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.2.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.2.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Customer and Stakeholder Feedback and Response: Feedback actively solicited and
mechanisms for understanding and improving satisfaction and support are in place. Utility has
established trust relationships with key community opinion leaders and stakeholders and
maintains regular interactions to provide updates and stay abreast of external needs and
interests.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.2.3.1
Customer satisfaction surveys.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
3.2.3.2
Customer feedback focus groups.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
3.2.3.3
Customer complaint management system to monitor and
Assessment:
~ Don't Have
~ In Progress
~ Complete

respond to complaints.
Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 29
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.2.3.4
Methods for incorporating customer feedback into change
Assessment:
~ Don't Have
~ In Progress
~ Complete

management processes.
Actions:
~ Adopt
~ Improve
~ Maintain
3.2.3.5
Regular regulator contact to establish a positive, proactive
Assessment:
~ Don't Have
~ In Progress
~ Complete

relationship (e.g., creating an understanding for the best
allocation of funds).
Actions:
~ Adopt
~ Improve
~ Maintain
3.2.3.6
Focused outreach and information sharing with the financial
Assessment:
~ Don't Have
~ In Progress
~ Complete

community, particularly in the context of bond ratings.
Actions:
~ Adopt
~ Improve
~ Maintain
3.2.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
3.2.3.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
3.2.3.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 3: Transforming Operations and Services for the Future
PRACTICE STATEMENT #1
Community Engagement and Participation: Utility is a catalyst to create networks among
community departments, organizations, and stakeholders in support of watershed and
community-wide sustainability improvements. The utility exerts leadership among
community and regional stakeholders regarding watershed and water quality improvements.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.3.1.1
Watershed forum sponsorship for developing community-wide
Assessment:
~ Don't Have
~ In Progress
~ Complete

water sustainability and economic development strategy.
Actions:
~ Adopt
~ Improve
~ Maintain
3.3.1.2
Community event co-sponsorship with other community
Assessment:
~ Don't Have
~ In Progress
~ Complete

organizations related to water or watershed protection to
increase the public visibility of water.
Actions:
~ Adopt
~ Improve
~ Maintain
3.3.1.3
Expanded utility public engagement scope to include full range
Assessment:
~ Don't Have
~ In Progress
~ Complete

of watershed participants.
Actions:
~ Adopt
~ Improve
~ Maintain
3.3.1.4
Coalitions with NGOs to leverage resources in support of utility,
Assessment:
~ Don't Have
~ In Progress
~ Complete

watershed, and community sustainability initiatives.
Actions:
~ Adopt
~ Improve
~ Maintain
3.3.1.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
3.3.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 30
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.3.1.7
Alternative or Additional Practice:
Assessment: ~ Don't Have
~ In Progress
~ Complete


Actions: ~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Public Relations, Education, and Promotion: Utility has positioned itself as a leader in
community sustainability, and through this leadership it influences other community
organizations to follow suit. Utility has an outreach strategy designed to support its efforts to
market new services and products effectively.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.3.2.1
Stakeholder and customer surveys to test knowledge of utility-
Assessment:
~ Don't Have
~
In Progress
~ Complete

related issues and outreach and education efforts targeted to
fill knowledge gaps.
Actions:
~ Adopt
~
Improve
~ Maintain
3.3.2.2
Risk management communication to the public in support of
Assessment:
~ Don't Have
~
In Progress
~ Complete

innovation (increase public tolerance for service failure or
increased costs).
Actions:
~ Adopt
~
Improve
~ Maintain
3.3.2.3
Branded utility services and products.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.3.2.4
Utility culture includes clear articulation and communication as
Assessment:
~ Don't Have
~
In Progress
~ Complete

a part of the organization's brand.
Actions:
~ Adopt
~
Improve
~ Maintain
3.3.2.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.3.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
3.3.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
PRACTICE STATEMENT #3
Customer and Stakeholder Feedback and Response: Acceptance of utility by customers and
stakeholders as a valuable community resource that can and should be involved in the
provision of services and products beyond clean and safe water in areas like economic
development.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
3.3.3.1
Services marketing to prospective customers about how the
Assessment:
~ Don't Have
~ In Progress
~ Complete

utility could better serve them (e.g., businesses considering
moving to the area, local producers of high-strength waste).
Actions:
~ Adopt
~ Improve
~ Maintain
3.3.3.2
New stakeholder engagement around nontraditional services
Assessment:
~ Don't Have
~ In Progress
~ Complete

(e.g., energy production).
Actions:
~ Adopt
~ Improve
~ Maintain
3.3.3.3
Economic corridor identification and focused planning and
Assessment:
~ Don't Have
~ In Progress
~ Complete

design for water and wastewater infrastructure support.
Actions:
~ Adopt
~ Improve
~ Maintain
3.3.3.4
Utility GIS asset leveraging to accomplish enterprise support for
Assessment:
~ Don't Have
~ In Progress
~ Complete

business development (i.e., map visualization/layering of
building zones, future land use, "smartzones," enterprise zones,
Actions:
~ Adopt
~ Improve
~ Maintain

"HUBzones," census tracts and blocks, present and future





transportation networks, etc.).




3.3.3.5
Utility marketing and graphic design asset leveraging to support
Assessment:
~ Don't Have
~ In Progress
~ Complete

municipal government's development of a community guide
promoting the benefits to business of locating in a sustainable
Actions:
~ Adopt
~ Improve
~ Maintain

community that EUM supports.




3.3.3.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
3.3.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
3.3.3.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 32
-------
4. Employee & Leadership Development
This Management Area includes organizational structure, workplace culture, institutional knowledge,
succession planning, and employee development opportunities.
Level 1: Providing Adequate, Fundamental Services
PRACTICE STATEMENT #1
Workplace Culture: Clarity is established for all job responsibilities and functions. Sufficient
workforce, with necessary training, is in place in all staff functions.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.1.1.1
Written job requirements and descriptions for all staff
Assessment:
~ Don't Have
~
In Progress
~ Complete

functions.
Actions:
~ Adopt
~
Improve
~ Maintain
4.1.1.2
Organizational roles chart available and up-to-date.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.1.1.3
Annual performance reviews with written feedback.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.1.1.4
Periodic employee celebrations of organizational performance
Assessment:
~ Don't Have
~
In Progress
~ Complete

success (team accomplishments).
Actions:
~ Adopt
~
Improve
~ Maintain
4.1.1.5
Formal ethics policy.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.1.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.1.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.1.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Recruitment, Retention, and Succession: Needed skills and expertise are documented, used
to screen applicants, and effectively communicated to new hires; reasons for employee
turnover are understood.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.1.2.1
Interview process with standardized questions tailored to the
Assessment:
~ Don't Have
~ In Progress
~ Complete

position.
Actions:
~ Adopt
~ Improve
~ Maintain
4.1.2.2
Employee turnover statistics tracked and evaluated.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 33
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.1.2.3
Formalized and standardized new hire orientation template
Assessment:
~ Don't Have
~ In Progress
~ Complete

listing materials to provide, key topics to review, and skills to
impart.
Actions:
~ Adopt
~ Improve
~ Maintain
4.1.2.4
Critical position identification and characterization for
Assessment:
~ Don't Have
~ In Progress
~ Complete

recruitment purposes.
Actions:
~ Adopt
~ Improve
~ Maintain
4.1.2.5
Equal opportunity hiring policy in place to facilitate workforce
Assessment:
~ Don't Have
~ In Progress
~ Complete

diversity.
Actions:
~ Adopt
~ Improve
~ Maintain
4.1.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
4.1.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
4.1.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Development Opportunities: Program in place to support and enable staff to acquire and
maintain required professional certifications.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.1.3.1
Certification needs and opportunities identification and
Assessment:
~ Don't Have
~
In Progress
~ Complete

inclusion in annual budget.
Actions:
~ Adopt
~
Improve
~ Maintain
4.1.3.2
Operator training and education reimbursement, and leave
Assessment:
~ Don't Have
~
In Progress
~ Complete

allowance for needed certifications.
Actions:
~ Adopt
~
Improve
~ Maintain
4.1.3.3
Merit pay increases for acquired certifications.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.1.3.4
Staff cross-training across functions and departments to
Assessment:
~ Don't Have
~
In Progress
~ Complete

augment system resiliency.
Actions:
~ Adopt
~
Improve
~ Maintain
4.1.3.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.1.3.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.1.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p:
-------
Level 2: Optimizing Operations and Services
PRACTICE STATEMENT #1
Workplace Culture: Performance expectations are explicitly established and tied to
compensation. Employees are encouraged to provide ideas and feedback to improve
operational and administrative performance. Desired organizational culture is clearly defined
and communicated to employees.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.2.1.1
Written job descriptions with explicit, systematic performance
Assessment:
~ Don't Have
~
In Progress
~ Complete

evaluation metrics and standards.
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.1.2
Skill level and expertise requirement articulation with link to
Assessment:
~ Don't Have
~
In Progress
~ Complete

pay stratification/raises.
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.1.3
Employee suggestions for improvement program with
Assessment:
~ Don't Have
~
In Progress
~ Complete

management responsiveness.
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.1.4
Employee awards and recognition program linked to creative
Assessment:
~ Don't Have
~
In Progress
~ Complete

thinking and continual improvement efforts related to
achieving organizational goals.
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.1.5
Employees encouraged to make decisions and take
Assessment:
~ Don't Have
~
In Progress
~ Complete

independent actions that fall within organizational guidelines.
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.1.6
Employees engaged in annual organizational goal and long-
Assessment:
~ Don't Have
~
In Progress
~ Complete

term strategic planning processes.
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.1.7
Executive management informal workforce engagement (e.g.,
Assessment:
~ Don't Have
~
In Progress
~ Complete

treatment plant walk-through and regular opportunities to
meet with staff at all levels).
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.1.8
Employee development plans based on performance and skill
Assessment:
~ Don't Have
~
In Progress
~ Complete

evaluations, as well as employee professional goals.
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.2.1.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.2.1.11
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Recruitment, Retention, and Succession: Current and future workforce requirements are
understood, with proactive efforts made to attract and retain highly qualified staff.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p:
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.2.2.1
Exit interviews to understand reasons for separation and to
Assessment:
~ Don't Have
~
In Progress
~ Complete

identify opportunities for improving employee motivation and
loyalty.
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.2.2
Formal retention management plan used to help identify the
Assessment:
~ Don't Have
~
In Progress
~ Complete

most critical employees to retain.
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.2.3
Full on-boarding program for new hires: resources,
Assessment:
~ Don't Have
~
In Progress
~ Complete

communications, organizational culture, training, welcoming
activities, and guides (mentor).
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.2.4
Workforce demographics documentation and retirement
Assessment:
~ Don't Have
~
In Progress
~ Complete

projections (incorporated into succession and recruitment
plans).
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.2.5
Current workforce skills inventory, future workforce skills
Assessment:
~ Don't Have
~
In Progress
~ Complete

projections, and needed skills training.
Actions:
~ Adopt
~
Improve
~ Maintain
4.2.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.2.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
4.2.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Development Opportunities: Explicit professional development program for staff and
management is in place, including incentives for personal improvement and activities
designed to increase the "bench depth" of staffing. A structured training program establishes
ongoing requirements and opportunities for professional development, and staff is
encouraged to engage in broader water sector professional development opportunities.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.2.3.1
Tuition reimbursement program to incentivize professional
Assessment:
~ Don't Have
~ In Progress
~ Complete

development consistent with organizational needs and goals.
Actions:
~ Adopt
~ Improve
~ Maintain
4.2.3.2
Staff rotation to other utilities or functions within the utility for
Assessment:
~ Don't Have
~ In Progress
~ Complete

cross-training and mentoring.
Actions:
~ Adopt
~ Improve
~ Maintain
4.2.3.3
Critical workforce competencies analyses by management (with
Assessment:
~ Don't Have
~ In Progress
~ Complete

subsequent targeted training programs emphasizing use of
continuous improvement tools).
Actions:
~ Adopt
~ Improve
~ Maintain
4.2.3.4
Broad-based leadership and management skills training
Assessment:
~ Don't Have
~ In Progress
~ Complete

conducted annually for formal and informal leadership
positions and opportunities.
Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 36
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.2.3.5
Additional leave time (especially in leadership roles) to promote
Assessment:
~ Don't Have
~ In Progress
~ Complete

membership in professional organizations.
Actions:
~ Adopt
~ Improve
~ Maintain
4.2.3.6
Explicit training program for all staff covering core
Assessment:
~ Don't Have
~ In Progress
~ Complete

organizational functions: managerial and supervisory,
professional/technical, business practices, safety, compliance,
IT systems, customer service, interpersonal skills, and executive
development.
Actions:
~ Adopt
~ Improve
~ Maintain
4.2.3.7
Formal leadership training focusing on: vision, mission, values;
Assessment:
~ Don't Have
~ In Progress
~ Complete

organizational culture; human resource policies and bargaining
unit agreements; interpersonal skills; conflict resolution;
problem solving and decision making; budgeting and budget
management; performance appraisal; leadership; diversity; and
grievance.
Actions:
~ Adopt
~ Improve
~ Maintain
4.2.3.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
4.2.3.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
4.2.3.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 3: Transforming Operations and Services for the Future
PRACTICE STATEMENT #1
Workplace Culture: Performance management system is in place that explicitly aligns
employee incentives, compensation, and performance expectations with the organization's
mission, objectives, and business plan. A strong participatory culture exists with staff
members, who are encouraged to share ideas and take measured risks. A culture of
innovation, collaborative development, and active employee engagement is established and
actively enhanced by the entire workforce.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.3.1.1
Standing collaborative forums with collective bargaining units,
Assessment:
~ Don't Have
~ In Progress
~ Complete

as appropriate (all employees included).
Actions:
~ Adopt
~ Improve
~ Maintain
4.3.1.2
Individual employee annual performance plans with direct links
Assessment:
~ Don't Have
~ In Progress
~ Complete

to business plan objectives. (The plan review is conducted
several times each year between the employee and supervisor).
Actions:
~ Adopt
~ Improve
~ Maintain
4.3.1.3
Goal-sharing bonus programs for employees that reward
Assessment:
~ Don't Have
~ In Progress
~ Complete

employees for meeting their performance goals, which also
help the organization meet its goals.
Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 37
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.3.1.4
Organizational sustainability principles, commitments, and
Assessment:
~ Don't Have
~ In Progress
~ Complete

expectations incorporated into day-to-day operations.
Actions:
~ Adopt
~ Improve
~ Maintain
4.3.1.5
Budget support for "innovation proposals" (removing barriers
Assessment:
~ Don't Have
~ In Progress
~ Complete

to creative thinking and developing systems for failure
tolerance).
Actions:
~ Adopt
~ Improve
~ Maintain
4.3.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
4.3.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
4.3.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Recruitment, Retention, and Succession: An active commitment to attracting and developing
new employees exists, as well as the capacity to understand and track employee satisfaction
and engagement. Critical skill and expertise requirements are understood and plans are in
place to ensure their timely replacement. Skills and expertise requirements are actively
updated to keep pace with operational innovations and business strategy requirements.
Employee motivation and retention systems use multiple avenues to achieve objectives.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.3.2.1
Education and recruiting partnerships (e.g., internship
Assessment:
~ Don't Have
~ In Progress
~ Complete

programs) through ongoing relationships with high schools,
community colleges, and universities.
Actions:
~ Adopt
~ Improve
~ Maintain
4.3.2.2
Mission and vision incorporated into branding efforts to
Assessment:
~ Don't Have
~ In Progress
~ Complete

support recruiting and retaining high-quality talent.
Actions:
~ Adopt
~ Improve
~ Maintain
4.3.2.3
"Pay for performance" systems to provide incentives for high-
Assessment:
~ Don't Have
~ In Progress
~ Complete

performing staff. (The process used is well understood by staff
and is tied to goal attainment and specific performance
Actions:
~ Adopt
~ Improve
~ Maintain

criteria).




4.3.2.4
Annual employee satisfaction surveys to identify gaps and
Assessment:
~ Don't Have
~ In Progress
~ Complete

opportunities for training and employee development.
Actions:
~ Adopt
~ Improve
~ Maintain
4.3.2.5
Job satisfaction focus groups with management to address
Assessment:
~ Don't Have
~ In Progress
~ Complete

issues identified in annual employee survey. (Solutions are
determined through a collaborative approach between
Actions:
~ Adopt
~ Improve
~ Maintain

management and the workforce).




4.3.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 38
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.3.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
4.3.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Development Opportunities: Establish a plan for cultivating the expansion of staff skills and
expertise consistent with altered operating and technology environments relative to "utility
of the future" operational demands.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
4.3.3.1
Friendly utility-to-utility competition with neighboring systems
Assessment:
~ Don't Have
~ In Progress
~ Complete

in support of voluntary self-improvement programs.
Actions:
~ Adopt
~ Improve
~ Maintain
4.3.3.2
Integrated workforce development curriculums.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
4.3.3.3
Alternative management skills training (e.g., collaborative
Assessment:
~ Don't Have
~ In Progress
~ Complete

partnership development).
Actions:
~ Adopt
~ Improve
~ Maintain
4.3.3.4
Emerging opportunities for skill-building collaboration between
Assessment:
~ Don't Have
~ In Progress
~ Complete

staff and management. (Employees work in conjunction with
supervisors to develop and implement plans to build skills
needed to support emerging opportunities that the
organization faces).
Actions:
~ Adopt
~ Improve
~ Maintain
4.3.3.5
New employee skill set sharing (e.g., identifying new skill sets
Assessment:
~ Don't Have
~ In Progress
~ Complete

and sharing them through coaching).
Actions:
~ Adopt
~ Improve
~ Maintain
4.3.3.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
4.3.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
4.3.3.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
5. Financial Viability
This Management Area includes rates that reflect the full cost of service, accounting practices, fees,
reserves, debt management, and the creation of additional revenue streams.
Level 1: Providing Adequate, Fundamental Services
PRACTICE STATEMENT #1
Accounting, Auditing, and Financial Reporting: Controls and timely financial statements
(issued as part of a CAFR) are in place reflecting Generally Accepted Accounting Principles
with internal and independent audits conducted to ensure the system's integrity.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.1.1.1
Policies on required level of working capital.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.1.1.2
Targets for days of operating expense coverage.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.1.1.3
Accounting policies and procedures, formally documented and
Assessment:
~ Don't Have
~
In Progress
~ Complete

consistently applied, to provide for the reporting of fraud or
abuse and questionable accounting or auditing practices.
Actions:
~ Adopt
~
Improve
~ Maintain
5.1.1.4
Policies for internal control procedures over financial
Assessment:
~ Don't Have
~
In Progress
~ Complete

management (periodically evaluated with auditors).
Actions:
~ Adopt
~
Improve
~ Maintain
5.1.1.5
Policies and procedures on how to account for disaster-related
Assessment:
~ Don't Have
~
In Progress
~ Complete

reimbursable costs, and methods to track emergency incident
expenses to facilitate cost reimbursement activities.
Actions:
~ Adopt
~
Improve
~ Maintain
5.1.1.6
Policies and procedures on managing capital assets and on
Assessment:
~ Don't Have
~
In Progress
~ Complete

capitalization thresholds.
Actions:
~ Adopt
~
Improve
~ Maintain
5.1.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.1.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.1.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
PRACTICE STATEMENT #2
Budget and Fiscal Policy: Operational and capital funding needs understood and translated
into rate and fee requirements, with a strategy and policies in place to maintain rates and
fees at necessary levels.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS



5.1.2.1
Rate studies (to link rates to system needs).
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.1.2.2
Built-in, gradual, annual rate increases.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.1.2.3
Operating reserve fund.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.1.2.4
Financial policy development (includes financial planning
Assessment:
~ Don't Have
~
In Progress
~ Complete

policies, revenue policies, and expenditure policies), adoption,
annual review, and communication to the governing board.
Actions:
~ Adopt
~
Improve
~ Maintain
5.1.2.5
Explicit budget process and forecasts (used when preparing the
Assessment:
~ Don't Have
~
In Progress
~ Complete

utility's budget).
Actions:
~ Adopt
~
Improve
~ Maintain
5.1.2.6
Procedure for program expenditures that exceed an established
Assessment:
~ Don't Have
~
In Progress
~ Complete

limit from the approved budget.
Actions:
~ Adopt
~
Improve
~ Maintain
5.1.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.1.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.1.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Debt Management: Annual budget accommodates financing capital reserves at levels needed
to support capital replacement. Debt payments are made on a timely and cost-effective basis.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.1.3.1
Capital reserve fund.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.1.3.2
Comprehensive written debt management policy that
Assessment:
~ Don't Have
~ In Progress
~ Complete

addresses debt limits, debt structuring practices, debt issuance
practices, debt management practices, and using derivatives.
Actions:
~ Adopt
~ Improve
~ Maintain
5.1.3.3
Policy and procedures to ensure fiduciary responsibilities.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 41
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.1.3.4
Policy and procedures for investing bond proceeds to ensure
Assessment:
~ Don't Have
~ In Progress
~ Complete

that legal and regulatory requirements are met, fair market
value bids are received, and issuer objectives for various uses of
proceeds are attained.
Actions:
~ Adopt
~ Improve
~ Maintain
5.1.3.5
Capital plan financial feasibility analysis to identify financing
Assessment:
~ Don't Have
~ In Progress
~ Complete

methods and funding sources, and to assess funding availability
and constraints.
Actions:
~ Adopt
~ Improve
~ Maintain
5.1.3.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.1.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.1.3.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #4
Procurement and Inventory: Clarity and controls are established for maintaining efficient and
consistent purchasing and inventory management.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.1.4.1
Purchasing policy that standardizes procedures for ordering,
Assessment:
~ Don't Have
~
In Progress
~ Complete

accepting, or rejecting materials and services.
Actions:
~ Adopt
~
Improve
~ Maintain
5.1.4.2
Operating inventory of supplies (defined, maintained, and
Assessment:
~ Don't Have
~
In Progress
~ Complete

updated to meet the needs of the utility operations).
Actions:
~ Adopt
~
Improve
~ Maintain
5.1.4.3
Policy that determines when the procurement of goods and
Assessment:
~ Don't Have
~
In Progress
~ Complete

services requires a formal contract.
Actions:
~ Adopt
~
Improve
~ Maintain
5.1.4.4
Emergency procurement policy to allow the expenditure of
Assessment:
~ Don't Have
~
In Progress
~ Complete

funds to support response and recovery activities after an
emergency.
Actions:
~ Adopt
~
Improve
~ Maintain
5.1.4.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.1.4.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.1.4.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
Level 2: Optimizing Operations and Services
PRACTICE STATEMENT #1
Accounting, Auditing, and Financial Reporting: Fiscal performance expectations are created
with policies, practices, and targets in place to drive performance, create accountability, and
support transparency.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.2.1.1
Formal audit committee to provide independent review and
Assessment:
~ Don't Have
~ In Progress
~ Complete

oversight of the financial reporting process, internal controls,
and connect with independent auditors.
Actions:
~ Adopt
~ Improve
~ Maintain
5.2.1.2
Policy for level of unrestricted fund balance that should be
Assessment:
~ Don't Have
~ In Progress
~ Complete

maintained. (The target is analyzed and set based on particular
characteristics and criteria of the utility and includes: transfers,
Actions:
~ Adopt
~ Improve
~ Maintain

cash cycles, customer profile, control over revenue, asset age






and condition, volatility of expenses, control over expenses,






and debt position).





5.2.1.3
Policy for target level of working capital. (The target is analyzed
Assessment:
~ Don't Have
~ In Progress
~ Complete

and set based on particular characteristics and criteria of the
utility and includes: transfers, cash cycles, customer profile,
Actions:
~ Adopt
~ Improve
~ Maintain

control over revenue, asset age and condition, volatility of






expenses, control over expenses, and debt position).





5.2.1.4
Financial statements with management's department-level
Assessment:
~ Don't Have
~
In Progress
~ Complete

discussion and analysis.
Actions:
~ Adopt
~
Improve
~ Maintain
5.2.1.5
Mechanism to permit the confidential, anonymous reporting of
Assessment:
~ Don't Have
~
In Progress
~ Complete

concerns about fraud or abuse and questionable accounting or
audit practices to the appropriate responsible parties.
Actions:
~ Adopt
~
Improve
~ Maintain
5.2.1.6
Budget to actual comparisons in the audited basic financial
Assessment:
~ Don't Have
~
In Progress
~ Complete

statement.
Actions:
~ Adopt
~
Improve
~ Maintain
5.2.1.7
Formal internal audit function.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.2.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.2.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.2.1.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
PRACTICE STATEMENT #2
Budget and Fiscal Policy: Cost of service is understood with rates and fees established
accordingly, while revenue needs over the mid-to long-term are understood and rate impacts
to customers are explicitly managed.
EXAMPLE PRACTICES	ASSESSMENTS AND ACTIONS
5.2.2.1
Payment assistance programs for disadvantaged households.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.2.2.2
Cost of service studies.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.2.2.3
Rate model to support current and future rate needs
Assessment:
~ Don't Have
~
In Progress
~ Complete

determinations.
Actions:
~ Adopt
~
Improve
~ Maintain
5.2.2.4
Affordability criteria (and tracking the impact of bills on
Assessment:
~ Don't Have
~
In Progress
~ Complete

customers), with appropriate considerations for disadvantaged
households.
Actions:
~ Adopt
~
Improve
~ Maintain
5.2.2.5
Regularly monitor and periodically update major revenue and
Assessment:
~ Don't Have
~
In Progress
~ Complete

expenditure that extends at least three to five years beyond the
budget period.
Actions:
~ Adopt
~
Improve
~ Maintain
5.2.2.6
Separate rates for internal and external customers for
Assessment:
~ Don't Have
~
In Progress
~ Complete

designated goods or services according to financial objectives,
equity, efficiency, and administrative feasibility.
Actions:
~ Adopt
~
Improve
~ Maintain
5.2.2.7
Long-term financial plan, which looks at least five to ten years
Assessment:
~ Don't Have
~
In Progress
~ Complete

into the future; considers all appropriated funds; and is
updated based upon debt position and affordability analysis,
Actions:
~ Adopt
~
Improve
~ Maintain

with strategies to achieve and maintain financial balance with a






scorecard of key indicators of financial health that is visible to






the public.





5.2.2.8
Payment assistance programs for disadvantaged households.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.2.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.2.2.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.2.2.11
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Debt Management: Policies and procedures are in place to ensure effective debt
management, maintenance of a competitive bond rating, and capital needs are understood
and addressed for the mid- to long-term.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.2.3.1
Debt-to-equity targets for capital spending.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.2.3.2
Strategic financial plans to avoid rate spikes.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.2.3.3
Strong master bond resolutions, such as covenants, which
Assessment:
~ Don't Have
~ In Progress
~ Complete

prescribe coverage ratios.
Actions:
~ Adopt
~ Improve
~ Maintain
5.2.3.4
Proactive bond refund evaluations (by bond counsel and
Assessment:
~ Don't Have
~ In Progress
~ Complete

financial advisors) to achieve interest cost savings; remove or
change burdensome bond covenants; or restructure the stream
of debt service payments to avoid default, or an unacceptable
tax or rate increase.
Actions:
~ Adopt
~ Improve
~ Maintain
5.2.3.5
Level of disclosure to bond holders' analysis (addressing the
Assessment:
~ Don't Have
~ In Progress
~ Complete

utility's pension funding obligations) with input from legal
counsel and financial advisors.
Actions:
~ Adopt
~ Improve
~ Maintain
5.2.3.6
Bond proceed investment risk analysis (to identify actions to
Assessment:
~ Don't Have
~ In Progress
~ Complete

mitigate risks).
Actions:
~ Adopt
~ Improve
~ Maintain
5.2.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.2.3.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.2.3.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #4
Procurement and Inventory: Ability to track specific utility property location and usage is in
place and standardized processes for disposition of property created.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.2.4.1
Property disposal procedures.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.2.4.2
Procurement of property and equipment records (including
Assessment:
~ Don't Have
~ In Progress
~ Complete

land, buildings, expendable items, installed property,
uninstalled property, equipment, vehicles, and personal wear
items owned by or assigned to the agency above a specified
value).
Actions:
~ Adopt
~ Improve
~ Maintain
5.2.4.3
Perpetual inventory system.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.2.4.4
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 45
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.2.4.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.2 A.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 3: Transforming Operations and Services for the Future
PRACTICE STATEMENT #1
Accounting, Auditing, and Financial Reporting: Fund balances are supported by targets,
regular monitoring, and actions taken to maintain expected balances over time. Full
transparency of financial performance and accounting practices is provided.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.3.1.1
Fund balance replenishment rate targets.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.3.1.2
Aggregated or consolidated presentations to supplement the
Assessment:
~ Don't Have
~
In Progress
~ Complete

CAFR (customized for a broad general audience to understand
the utility's financial position in an objective manner).
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.1.3
Web-accessible financial statements.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.3.1.4
Systematic effort to annually track and manage controlled
Assessment:
~ Don't Have
~
In Progress
~ Complete

capital assets at the department level.
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.1.5
Physical inventory of tangible capital assets (periodically
Assessment:
~ Don't Have
~
In Progress
~ Complete

performed and all assets are accounted for, at least on a test
basis, no less than once every five years).
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.3.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.3.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
PRACTICE STATEMENT #2
Budget and Fiscal Policy: Rates and fees are viewed as more than a means to fund operations,
with focus emerging on using rate and fee coverage and structures to influence customer and
community behavior in line with utility sustainability objectives. Cost-sharing strategies for a
range of service provisions have been explored, and those making operational and financial
sense adopted. Revenue strategy incorporates an effort to diversify utility revenue sources
beyond those associated with conventional treatment services.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.3.2.1
Conservation rate structures.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.3.2.2
Process for designing other post-employment benefits to
Assessment:
~ Don't Have
~
In Progress
~ Complete

ensure sustainable funding approach is in place.
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.2.3
Full cost of providing service estimates (calculated and
Assessment:
~ Don't Have
~
In Progress
~ Complete

considered in the basis for setting charges and fees—full cost
incorporates direct and indirect costs including design, O&M,
overhead, replacement, and charges for using capital facilities).
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.2.4
Personnel tracking system (to accurately project budget and
Assessment:
~ Don't Have
~
In Progress
~ Complete

payroll based on the estimate of budgeted positions for the
year that includes consideration of vacancy adjustments,
collective bargaining, inflation, and compensation).
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.2.5
Internal service rates (established for operations such as
Assessment:
~ Don't Have
~
In Progress
~ Complete

information technology, payroll, motor pool budgeting, legal,
accounting, and human resources).
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.2.6
Intellectual property development and marketing (e.g.,
Assessment:
~ Don't Have
~
In Progress
~ Complete

watershed analysis models).
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.3.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.3.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Debt Management: Capital investment and debt management strategy adopt an explicit risk
management posture focusing on managing investments to preserve and create new options
in the future. Capital funds are created and managed to provide resources for technology
innovation and partnerships are established to attract capital and risk share.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 47
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.3.3.1
Avoiding over-investment in capital strategy. (Remain nimble by
Assessment:
~ Don't Have
~
In Progress
~ Complete

providing flexibility to take advantage of new technologies as
they emerge, as well as managing for uncertainty).
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.3.2
Investor relations program (to provide full and comprehensive
Assessment:
~ Don't Have
~
In Progress
~ Complete

disclosures of annual financial, operating, and other significant
information in a timely manner consistent with federal, state,
Actions:
~ Adopt
~
Improve
~ Maintain

and local laws).





5.3.3.3
Innovative technology deployment funds (specifically set aside
Assessment:
~ Don't Have
~
In Progress
~ Complete

for this purpose).
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.3.4
Infrastructure and technology cost- and risk-sharing
Assessment:
~ Don't Have
~
In Progress
~ Complete

mechanisms (e.g., public-private partnerships for biogas
development).
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.3.5
Investor relations information dissemination (provided on
Assessment:
~ Don't Have
~
In Progress
~ Complete

website to the municipal securities market regarding utility
debt, financial condition, and other related information).
Actions:
~ Adopt
~
Improve
~ Maintain
5.3.3.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.3.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
5.3.3.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #4
Procurement and Inventory: Capability is established to support disclosure requirements
associated with asset value and depreciation over time. Procurement activities are integrated
with the utility's sustainability commitments to ensure purchasing is aligned with utility
sustainability performance expectations.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.3.4.1
Financial reporting procedure for capital and infrastructure
Assessment:
~ Don't Have
~ In Progress
~ Complete

assets consistent with Governmental Accounting Standards
Board Statement Number 34
Actions:
~ Adopt
~ Improve
~ Maintain
5.3.4.2
Property management system (well-structured for managing
Assessment:
~ Don't Have
~ In Progress
~ Complete

property owned or used by the agency that provides for
identifying
Actions:
~ Adopt
~ Improve
~ Maintain
5.3.4.3
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
5.3.4.4
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 48
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
5.3.4.5
Alternative or Additional Practice:
Assessment: ~ Don't Have
~ In Progress
~ Complete


Actions: ~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 49
-------
6. Infrastructure Strategy and Performance
This Management Area relates to the management of infrastructure and other physical assets.
Level 1: Providing Adequate, Fundamental Services
PRACTICE STATEMENT #1
Infrastructure O&M: Maintenance is undertaken as performance deficiencies dictate, backed
up by an explicit maintenance management system for assets above and below ground.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
6.1.1.1
Work orders linked to asset inventory.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.1.1.2
Ongoing training and certification/licensing requirements for
Assessment:
~ Don't Have
~
In Progress
~ Complete

maintenance staff.
Actions:
~ Adopt
~
Improve
~ Maintain
6.1.1.3
Record retention of asset maintenance performed (e.g., work
Assessment:
~ Don't Have
~
In Progress
~ Complete

order system in place to keep maintenance records).
Actions:
~ Adopt
~
Improve
~ Maintain
6.1.1.4
Estimated useful life and depreciation policy (in accordance
Assessment:
~ Don't Have
~
In Progress
~ Complete

with generally accepted accounting principles).
Actions:
~ Adopt
~
Improve
~ Maintain
6.1.1.5
Manufacturer's recommended maintenance regimens followed
Assessment:
~ Don't Have
~
In Progress
~ Complete

for all equipment.
Actions:
~ Adopt
~
Improve
~ Maintain
6.1.1.6
Emergency maintenance procedures.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.1.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.1.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.1.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Asset Management: Asset management program basics are understood and recognized as
important for EUM. Assets are inventoried with information stored in a standalone database.
PRACTICE STATEMENT #2
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
6.1.2.1
Critical infrastructure and assets inventory (includes original
cost, with new assets recorded at the time of purchase and
retired assets removed from inventory).
Assessment: ~ Don't Have ~ In Progress ~ Complete
Actions: ~ Adopt ~ Improve ~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p:
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
6.1.2.2
Critical infrastructure asset mapping (e.g., GIS-located mains,
Assessment:
~ Don't Have
~ In Progress
~ Complete

hydrants, valves, services, and tanks).
Actions:
~ Adopt
~ Improve
~ Maintain
6.1.2.3
Photographic documentation of assets to compare baseline
Assessment:
~ Don't Have
~ In Progress
~ Complete

conditions to pictures taken after the asset is impacted during
an emergency event.
Actions:
~ Adopt
~ Improve
~ Maintain
6.1.2.4
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
6.1.2.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
6.1.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 2: Optimizing Operations and Services
PRACTICE STATEMENT #1
Infrastructure O&M: Proactive, risk-based maintenance, repair, and replacement are used
and technology and equipment standardization efforts are undertaken with specific actions
to improve the efficiency of infrastructure repair and rehabilitation.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
6.2.1.1
Level of service and planned maintenance targets (with
Assessment:
~ Don't Have
~
In Progress
~ Complete

performance measures in place and tracked as part of the
budget process).
Actions:
~ Adopt
~
Improve
~ Maintain
6.2.1.2
Collection system line inspection and cleaning (for sanitary
Assessment:
~ Don't Have
~
In Progress
~ Complete

sewer overflow prevention).
Actions:
~ Adopt
~
Improve
~ Maintain
6.2.1.3
Joint maintenance partnerships with other systems.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.2.1.4
Root cause analysis for failures used to drive maintenance of
Assessment:
~ Don't Have
~
In Progress
~ Complete

asset decisions.
Actions:
~ Adopt
~
Improve
~ Maintain
6.2.1.5
Underground asset replacement or restoration innovative
Assessment:
~ Don't Have
~
In Progress
~ Complete

solutions or restoration (i.e., water main relining, ice pigging,
bursting).
Actions:
~ Adopt
~
Improve
~ Maintain
6.2.1.6
Critical spare parts inventory and all equipment either in
Assessment:
~ Don't Have
~
In Progress
~ Complete

operation or in fully ready standby mode.
Actions:
~ Adopt
~
Improve
~ Maintain
6.2.1.7
Visible SCADA and GIS to enhance O&M.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.2.1.8
Underground replacement/repair coordination with other
Assessment:
~ Don't Have
~
In Progress
~ Complete

projects (e.g., street paving).
Actions:
~ Adopt
~
Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
6.2.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
6.2.1.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
6.2.1.11
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Asset Management: Asset management is adopted as a core utility business function, guided
by explicit service levels. Complete asset inventory and asset condition assessment is
combined with the capability to make infrastructure repair and replacement decisions on a
managed risk basis.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
6.2.2.1
Regular asset performance assessments.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.2.2.2
Asset full life-cycle cost estimates and depreciation studies to
Assessment:
~ Don't Have
~
In Progress
~ Complete

determine expected life cycles. Program to replace
underground infrastructure on either a regular cycle (e.g., 100-
year life cycle) or at the asset depreciation rate.
Actions:
~ Adopt
~
Improve
~ Maintain
6.2.2.3
Hydraulic modeling analysis for the design of new and
Assessment:
~ Don't Have
~
In Progress
~ Complete

replacement infrastructure.
Actions:
~ Adopt
~
Improve
~ Maintain
6.2.2.4
Condition assessment, monitoring, and failure analysis of
Assessment:
~ Don't Have
~
In Progress
~ Complete

infrastructure assets.
Actions:
~ Adopt
~
Improve
~ Maintain
6.2.2.5
Service interruption tracking conducted relative to established
Assessment:
~ Don't Have
~
In Progress
~ Complete

levels of service targets.
Actions:
~ Adopt
~
Improve
~ Maintain
6.2.2.6
Short-term and long-term asset management and capital plan
Assessment:
~ Don't Have
~
In Progress
~ Complete

supported by commitments for necessary funding.
Actions:
~ Adopt
~
Improve
~ Maintain
6.2.2.7
Condition/functional performance standards defined for each
Assessment:
~ Don't Have
~
In Progress
~ Complete

type of capital asset.
Actions:
~ Adopt
~
Improve
~ Maintain
6.2.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.2.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.2.2.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 3: Transforming Operations and Services for the Future
PRACTICE STATEMENT #1
Infrastructure O&M: Commitment to utility and community sustainability is explicitly
incorporated into infrastructure investment and management efforts. Collaborative
partnerships are sought and used to improve operational efficiency, manage risk, and
improve resiliency.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
6.3.1.1
Infrastructure project rating systems (e.g., Institute for
Assessment:
~ Don't Have
~
In Progress
~ Complete

Sustainable Infrastructure).
Actions:
~ Adopt
~
Improve
~ Maintain
6.3.1.2
Alliance partnerships for infrastructure development. (Avoid
Assessment:
~ Don't Have
~
In Progress
~ Complete

low-bid constraints).
Actions:
~ Adopt
~
Improve
~ Maintain
6.3.1.3
International Organization for Standardization (ISO)
Assessment:
~ Don't Have
~
In Progress
~ Complete

certification for asset management.
Actions:
~ Adopt
~
Improve
~ Maintain
6.3.1.4
Innovative solutions to leverage capital markets for
Assessment:
~ Don't Have
~
In Progress
~ Complete

infrastructure sustainability (e.g., equipment manufacturer
partnerships, public-private contractual arrangements, design
build operate).
Actions:
~ Adopt
~
Improve
~ Maintain
6.3.1.5
SCADA integrated with Computerized Maintenance
Assessment:
~ Don't Have
~
In Progress
~ Complete

Management System and GIS Enterprise system for optimizing
asset management (e.g., tie maintenance and repairs to system
assets).
Actions:
~ Adopt
~
Improve
~ Maintain
6.3.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.3.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.3.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p:
-------
PRACTICE STATEMENT #2
Asset Management: Capital and natural resource asset diversification are used to manage
risks and boost resiliency, while collaborative partnerships are used to improve efficiencies.
EXAMPLE PRACTICES	ASSESSMENTS AND ACTIONS
6.3.2.1
Cluster asset management partnerships (implementing
Assessment:
~ Don't Have
~
In Progress
~ Complete

identical asset management at multiple neighboring utilities
and sharing staff to maintain program support).
Actions:
~ Adopt
~
Improve
~ Maintain
6.3.2.2
Multi-sector asset management relationships (e.g., with
Assessment:
~ Don't Have
~
In Progress
~ Complete

transportation sector).
Actions:
~ Adopt
~
Improve
~ Maintain
6.3.2.3
Options purchasing for future, diversified source water supply
Assessment:
~ Don't Have
~
In Progress
~ Complete

(e.g., taking an option on the future purchase of a natural water
storage source, like a quarry).
Actions:
~ Adopt
~
Improve
~ Maintain
6.3.2.4
Fully developed enterprise asset management system.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.3.2.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.3.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
6.3.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 54
-------
7. Enterprise Resiliency
This Management Area includes risk assessments, safety and security measures, all hazards disaster
planning, emergency response and recovery, cybersecurity, business risk planning (including
interdependencies with other services and utilities, knowledge loss, and financial risks), and continuity of
operations planning.
Level 1: Providing Adequate, Fundamental Services
PRACTICE STATEMENT #1
Risk Assessment and Reduction Plan: Risks to high-consequence assets are identified and
reduced.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.1.1.1
Risk assessment for high-consequence assets (i.e., those that
Assessment:
~ Don't Have
~ In Progress
~ Complete

would result in high public health or economic impacts if
damaged).
Actions:
~ Adopt
~ Improve
~ Maintain
7.1.1.2
Risk reduction plan containing countermeasures with
Assessment:
~ Don't Have
~ In Progress
~ Complete

prioritized list of mitigation projects (i.e., near- or long-term
capital improvement projects).
Actions:
~ Adopt
~ Improve
~ Maintain
7.1.1.3
Low-cost or near-term process improvement projects (e.g.,
Assessment:
~ Don't Have
~ In Progress
~ Complete

fences and barriers around key utility facilities and
infrastructure; doors and gates routinely locked; chemicals
Actions:
~ Adopt
~ Improve
~ Maintain

stored safely and securely, and properly disposed of; video





cameras, especially on gates and sensitive areas within the





treatment plant, such as those where chemicals are stored;





computers and network systems protected with passwords,





and passwords changed routinely; abnormal conditions or





activities reported by personnel; employee training in basic





workplace safety practices and to actively monitor for abnormal





or threatening situations and activities).




7.1.1.4
Cyber security measures (e.g., virus protection and firewall
Assessment:
~ Don't Have
~ In Progress
~ Complete

programs on all computers; electronic files and network
systems regularly backed up).
Actions:
~ Adopt
~ Improve
~ Maintain
7.1.1.5
Resilience measures (e.g., flood threats understood and
Assessment:
~ Don't Have
~ In Progress
~ Complete

practical mitigation options identified to protect critical assets).
Actions:
~ Adopt
~ Improve
~ Maintain
7.1.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
7.1.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
7.1.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 55
-------
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Emergency Response Planning: Emergency Response Plan is developed containing basic
policies and procedures.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.1.2.1
Basic system information documentation (e.g., system maps
Assessment:
~ Don't Have
~
In Progress
~ Complete

and drawings) stored in secure on-site and off-site locations.
Actions:
~ Adopt
~
Improve
~ Maintain
7.1.2.2
Emergency roles and responsibilities identification for utility
Assessment:
~ Don't Have
~
In Progress
~ Complete

personnel and local response partner agencies (e.g., law
enforcement, fire, laboratories, public health agencies, and
Actions:
~ Adopt
~
Improve
~ Maintain

emergency management agencies).





7.1.2.3
General communication procedures (e.g., who activates the
Assessment:
~ Don't Have
~
In Progress
~ Complete

plan, order of notification, and contact information).
Actions:
~ Adopt
~
Improve
~ Maintain
7.1.2.4
Training and exercise plan (to identify strategic goals and
Assessment:
~ Don't Have
~
In Progress
~ Complete

priorities for training and exercises).
Actions:
~ Adopt
~
Improve
~ Maintain
7.1.2.5
Key utility response personnel training (in Incident Command
Assessment:
~ Don't Have
~
In Progress
~ Complete

System (ICS) and a plan to implement ICS during an
emergency).
Actions:
~ Adopt
~
Improve
~ Maintain
7.1.2.6
Critical customer needs and requirements identification and
Assessment:
~ Don't Have
~
In Progress
~ Complete

associated response protocols.
Actions:
~ Adopt
~
Improve
~ Maintain
7.1.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
7.1.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
7.1.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Recovery and Mitigation: General awareness of mitigation and recovery activities, projects,
and funding is in place for efficient system and services restoration.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.1.3.1
Local and state officials identified that would be involved in
recovery (e.g., local community planners and State Hazard
Mitigation Officers).
Assessment: ~ Don't Have ~ In Progress ~ Complete
Actions: ~ Adopt ~ Improve ~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p:
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.1.3.2
Local and state official coordination (e.g., local community
Assessment:
~ Don't Have
~
In Progress
~ Complete

planners and State Hazard Mitigation Officers).
Actions:
~ Adopt
~
Improve
~ Maintain
7.1.3.3
Understand options for resilient projects, concepts, and
Assessment:
~ Don't Have
~
In Progress
~ Complete

strategies, such as flood-proofing and relocating at-risk assets.
Actions:
~ Adopt
~
Improve
~ Maintain
7.1.3.4
Awareness of the required documentation and application
Assessment:
~ Don't Have
~
In Progress
~ Complete

processes for federal funding programs.
Actions:
~ Adopt
~
Improve
~ Maintain
7.1.3.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
7.1.3.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
7.1.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 2: Optimizing Operations and Services
PRACTICE STATEMENT #1
Risk Assessment and Reduction Plan: Increase capacity to understand and detect threats to
the system, risks to all major assets are identified and reduced, and all hazards risk
management needs are fully integrated into broader utility planning and investment
activities.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.2.1.1
Risk assessment for all major assets (e.g., physical and cyber
Assessment:
~ Don't Have
~ In Progress
~ Complete

security, and business activities), including assessments of
consequences and failure potential.
Actions:
~ Adopt
~ Improve
~ Maintain
7.2.1.2
Risk reduction plan with a prioritized list of risk mitigation
Assessment:
~ Don't Have
~ In Progress
~ Complete

projects that, if fully implemented, would achieve acceptable
risk levels for all major assets (e.g., hardening for facilities
Actions:
~ Adopt
~ Improve
~ Maintain

vulnerable to security threats and natural disasters; electronic





files and network systems regularly backed up; chemical





delivery control; intruder detection systems).




7.2.1.3
Risk reduction plan integration with long-range and capital
Assessment:
~ Don't Have
~ In Progress
~ Complete

investment planning for other projects.
Actions:
~ Adopt
~ Improve
~ Maintain
7.2.1.4
Understanding regional environmental risks (e.g., fires, floods,
Assessment:
~ Don't Have
~ In Progress
~ Complete

earthquakes, tornados) and their relationship to utility
operations and infrastructure (updated and maintained as
Actions:
~ Adopt
~ Improve
~ Maintain

current).




MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.2.1.5
Identification and analysis of a wide range of contaminants and
Assessment:
~ Don't Have
~ In Progress
~ Complete

their properties (e.g., through the Water Contamination
Information Tool).
Actions:
~ Adopt
~ Improve
~ Maintain
7.2.1.6
Continuous on-line instrumentation for establishing trends and
Assessment:
~ Don't Have
~ In Progress
~ Complete

detecting abnormal occurrences (e.g., for pH and chlorine) in
the water distribution system.
Actions:
~ Adopt
~ Improve
~ Maintain
7.2.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
7.2.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
7.2.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Emergency Response Planning: The Emergency Response Plan is enhanced with additional
capabilities and supported through more structured relationships with potential response
partners.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.2.2.1
Alternate water source identification and alternate water
Assessment:
~ Don't Have
~ In Progress
~ Complete

supply distribution plans.
Actions:
~ Adopt
~ Improve
~ Maintain
7.2.2.2
Mutual aid agreements (e.g., partnerships with neighboring
Assessment:
~ Don't Have
~ In Progress
~ Complete

systems for emergency response planning, participation in
Water and Wastewater Agency Response Network (WARN),
membership in an integrated nationwide network of
laboratories such as the Water Laboratory Alliance).
Actions:
~ Adopt
~ Improve
~ Maintain
7.2.2.3
Risk communication procedures for issuing messages during an
Assessment:
~ Don't Have
~ In Progress
~ Complete

emergency.
Actions:
~ Adopt
~ Improve
~ Maintain
7.2.2.4
Business continuity plan (for maintaining solid operations-
Assessment:
~ Don't Have
~ In Progress
~ Complete

financially, managerially, and functionally-after any incident).
Actions:
~ Adopt
~ Improve
~ Maintain
7.2.2.5
Routine joint training with neighboring utilities and response
Assessment:
~ Don't Have
~ In Progress
~ Complete

partners (e.g., full-scale exercises, mutual aid
response/requests).
Actions:
~ Adopt
~ Improve
~ Maintain
7.2.2.6
Utility representation in local Emergency Operations Center.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
7.2.2.7
Response resources organized according to the AWWA
Assessment:
~ Don't Have
~ In Progress
~ Complete

resource typing manual.
Actions:
~ Adopt
~ Improve
~ Maintain
7.2.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.2.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
7.2.2.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Recovery and Mitigation: Implementation of mitigation and recovery activities, projects, and
funding is in place.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.2.3.1
Recovery plan (developed through collaborations with local and
Assessment:
~ Don't Have
~ In Progress
~ Complete

state officials that would be involved in recovery, including
establishing clear roles and responsibilities for key partners
Actions:
~ Adopt
~ Improve
~ Maintain

such as local community planners and State Hazard Mitigation






Officers).





7.2.3.2
Retainer contracts with consultants and backup equipment
Assessment:
~ Don't Have
~
In Progress
~ Complete

acquisition.
Actions:
~ Adopt
~
Improve
~ Maintain
7.2.3.3
Business preparedness and continuity plan (developed, tested,
Assessment:
~ Don't Have
~
In Progress
~ Complete

and maintained to continue basic business operations during
and immediately after disruptive events).
Actions:
~ Adopt
~
Improve
~ Maintain
7.2.3.4
SOPs for documenting pre- and post-disaster condition of key
Assessment:
~ Don't Have
~
In Progress
~ Complete

assets applying for the federal funding program.
Actions:
~ Adopt
~
Improve
~ Maintain
7.2.3.5
Key resilient projects, concepts, and strategies implementation,
Assessment:
~ Don't Have
~
In Progress
~ Complete

such as flood-proofing and relocating assets at risk from
extreme weather events.
Actions:
~ Adopt
~
Improve
~ Maintain
7.2.3.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
7.2.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
7.2.3.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
Level 3: Transforming Operations and Services for the Future
PRACTICE STATEMENT #1
Risk Assessment and Reduction Plan: Emergent risks to all major assets are consistently
addressed. Proactive and specialized shifts in operational procedures and updated capital
investment criteria are changed when necessary.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.3.1.1
Monitor/scan proactively for modern and emergent threats,
Assessment:
~ Don't Have
~
In Progress
~ Complete

and real-time monitoring for threat progression (e.g.,
watershed monitoring networks that support progressive storm
alert systems).
Actions:
~ Adopt
~
Improve
~ Maintain
7.3.1.2
Integrated Water Quality Surveillance and Response System
Assessment:
~ Don't Have
~
In Progress
~ Complete

addressing potential contamination within the distribution
system.
Actions:
~ Adopt
~
Improve
~ Maintain
7.3.1.3
Regular research on emerging trends that could pose new
Assessment:
~ Don't Have
~
In Progress
~ Complete

threats to the system, including changing weather patterns (i.e.,
climate change risk assessment integrated into existing risk
assessment and reduction plan) and contamination threats.
Actions:
~ Adopt
~
Improve
~ Maintain
7.3.1.4
Diversification and redundancy for critical supply, distribution,
Assessment:
~ Don't Have
~
In Progress
~ Complete

and treatment functions (e.g., emergency interconnects or bulk
loading stations).
Actions:
~ Adopt
~
Improve
~ Maintain
7.3.1.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
7.3.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
7.3.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Emergency Response Planning: Emergency Response Plan is enhanced with incident-specific
Emergency Action Procedures (EAPs) for responding to a specific type of incident, and
enhanced capability to test, exercise, and to refine the Emergency Response Plan is in place.
Ability to respond to a full suite of unexpected events by implementing a comprehensive
Emergency Response Plan.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O P(
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.3.2.1
Specific EAP's for incidents, including the following:
Assessment:
~ Don't Have
~ In Progress
~ Complete

•	Severe weather response (e.g., snow, ice, temperature,
lightning, flooding, hurricane, tornado)
•	Fire response
•	Electrical power outage response
•	Water supply interruption response
•	Earthquake response
•	Disgruntled employee response (e.g., workplace violence)
Actions:
~ Adopt
~ Improve
~ Maintain
7.3.2.2
Reviewed and updated utility response plans based on training
Assessment:
~ Don't Have
~
In Progress
~ Complete

and exercise activities (e.g., operations-based drills, functional
and full-scale exercises), operational changes, and lessons
learned from emergencies
Actions:
~ Adopt
~
Improve
~ Maintain
7.3.2.3
Capability to respond to mutual aid requests in self-sufficient
Assessment:
~ Don't Have
~
In Progress
~ Complete

manner, including cross-training staff to support neighboring
utilities in the event of a mutual aid request.
Actions:
~ Adopt
~
Improve
~ Maintain
7.3.2.4
Integrated consequence management plans as part of a Water
Assessment:
~ Don't Have
~
In Progress
~ Complete

Quality Surveillance and Response System for responding to
contamination within the distribution system.
Actions:
~ Adopt
~
Improve
~ Maintain
7.3.2.5
Interstate mutual aid request response plan (through
Assessment:
~ Don't Have
~
In Progress
~ Complete

Emergency Management Assistance Compact).
Actions:
~ Adopt
~
Improve
~ Maintain
7.3.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
7.3.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
7.3.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Recovery and Mitigation: Ability to recover from a full suite of incidents through
implementation of comprehensive mitigation and recovery activities, projects, and funding is
in place.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
7.3.3.1
Prepared to conduct long-term public health and
Assessment:
~ Don't Have
~ In Progress
~ Complete

environmental health monitoring after a contamination
incident.
Actions:
~ Adopt
~ Improve
~ Maintain
7.3.3.2
Advanced contracts and agreements to support continuity plan
Assessment:
~ Don't Have
~ In Progress
~ Complete

implementation when needed.
Actions:
~ Adopt
~ Improve
~ Maintain
7.3.3.3
Detailed decontamination decision-making framework
Assessment:
~ Don't Have
~ In Progress
~ Complete

(established for remediation/cleanup).
Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 61
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS


7.3.3.4
Remediation techniques and remedial process for treatment
Assessment:
~ Don't Have
~ In Progress
~ Complete

works and contamination distribution/collection systems
implementation ability.
Actions:
~ Adopt
~ Improve
~ Maintain
7.3.3.5
Climate adaptation plan prepared with internal utility and
Assessment:
~ Don't Have
~ In Progress
~ Complete

community partners (climate adaptation measures, such as
increasing water supply storage capacity for droughts,
establishing alternative power supply, and monitoring flood
and event drivers).
Actions:
~ Adopt
~ Improve
~ Maintain
7.3.3.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
7.3.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
7.3.3.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 62
-------
8. Water Resource Sustainability
This Management Area covers the utility's role in managing and planning water supply and the
sustainable management of water resources, including water reliability, watershed health, water
resource recovery, and watershed partnerships.
Level 1: Providing Adequate, Fundamental Services
PRACTICE STATEMENT #1
Water Reliability: Essential elements of future water demand and wastewater capacity (e.g.,
population growth, industry production) are understood and factored into utility strategic and
capital planning.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
8.1.1.1
Demand forecasting (e.g., population change and existing per
Assessment:
~ Don't Have
~
In Progress
~ Complete

capita water utilization rates).
Actions:
~ Adopt
~
Improve
~ Maintain
8.1.1.2
Pollutant restriction ordinances (to prevent unsuitable
Assessment:
~ Don't Have
~
In Progress
~ Complete

pollutants entering water resources through ordinance
enforcement).
Actions:
~ Adopt
~
Improve
~ Maintain
8.1.1.3
Level of service targets (based on historical use of water -
Assessment:
~ Don't Have
~
In Progress
~ Complete

equivalent residential connection - wastewater, and re-use -
equivalent irrigation connection) for use in planning for future
adequacy.
Actions:
~ Adopt
~
Improve
~ Maintain
8.1.1.4
Service area definition.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.1.1.5
Source water assessment and protection program. (Identify
Assessment:
~ Don't Have
~
In Progress
~ Complete

potential sources of contamination).
Actions:
~ Adopt
~
Improve
~ Maintain
8.1.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.1.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.1.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Supply and Demand Management: Existing water sources treatment and distribution is
optimized.
PRACTICE STATEMENT #2
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O P(
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
8.1.2.1
Real water loss tracking and management.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.1.2.2
Peak hour demand management (e.g., treat water during off-
Assessment:
~ Don't Have
~
In Progress
~ Complete

peak hours).
Actions:
~ Adopt
~
Improve
~ Maintain
8.1.2.3
Water conservation plan.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.1.2.4
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.1.2.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.1.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 2: Optimizing Operations and Services
PRACTICE STATEMENT #1
Water Reliability: Utility prepared to meet the water or sanitation needs of its customers for
the reasonable future.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
8.2.1.1
Single scenario supply and demand forecasting and analysis.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.2.1.2
Demand management plan (in place to influence short- and
Assessment:
~ Don't Have
~
In Progress
~ Complete

mid-term timing and efficiency of use).
Actions:
~ Adopt
~
Improve
~ Maintain
8.2.1.3
Drought management plan that triggers actions for rationing or
Assessment:
~ Don't Have
~
In Progress
~ Complete

other demand reduction measures.
Actions:
~ Adopt
~
Improve
~ Maintain
8.2.1.4
Ecological uses forecasts.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.2.1.5
Water re-use plan implementation with regional water and
Assessment:
~ Don't Have
~
In Progress
~ Complete

wastewater utilities.
Actions:
~ Adopt
~
Improve
~ Maintain
8.2.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.2.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.2.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Supply and Demand Management: Utility has a conservation strategy covering all water users
in its system and has initiated water re-use initiatives. Water use optimization is integrated
into utility operational strategy, with fundamental water conservation and re-use methods
implemented.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
8.2.2.1
Low-flow toilets and faucets incentives for customer water
Assessment:
~ Don't Have
~
In Progress
~ Complete

conservation.
Actions:
~ Adopt
~
Improve
~ Maintain
8.2.2.2
Integrated water conservation and re-use master plan (applied
Assessment:
~ Don't Have
~
In Progress
~ Complete

to water and wastewater infrastructure, as well as long-term
planning).
Actions:
~ Adopt
~
Improve
~ Maintain
8.2.2.3
Incentives for low water demand landscaping.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.2.2.4
Water conservation and re-use tactics for all facilities and
Assessment:
~ Don't Have
~
In Progress
~ Complete

infrastructure, and encouraged for customers (e.g., provide
discounted rain barrels to customers).
Actions:
~ Adopt
~
Improve
~ Maintain
8.2.2.5
Plan implemented, including specific targets, for water
Assessment:
~ Don't Have
~
In Progress
~ Complete

recycling/re-use.
Actions:
~ Adopt
~
Improve
~ Maintain
8.2.2.6
Water re-use for landscaping at utility facilities and at other
Assessment:
~ Don't Have
~
In Progress
~ Complete

municipal properties.
Actions:
~ Adopt
~
Improve
~ Maintain
8.2.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.2.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.2.2.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 65
-------
Level 3: Transforming Operations and Services for the Future
PRACTICE STATEMENT #1
Water Reliability: Utility has an integrated, long-term water resources management
approach that has addressed the potential for uncertainty in supply and demand conditions
and effectively balances commercial, residential, and ecological needs. Utility is an advocate
for and supporter of regional, integrated water management (e.g., a "One Water" approach),
stewardship initiatives, and has an integrated water and energy long-term management
approach.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
8.3.1.1
Long-term water supply and demand analysis that considers
Assessment:
~ Don't Have
~ In Progress
~ Complete

long- term historical supply trends (e.g., 100+ years) and uses
multiple demand and supply scenarios to identify robust
implementation options.
Actions:
~ Adopt
~ Improve
~ Maintain
8.3.1.2
Watershed-based plan to address all water resource demands
Assessment:
~ Don't Have
~ In Progress
~ Complete

(commercial, industrial, residential, and ecological).
Actions:
~ Adopt
~ Improve
~ Maintain
8.3.1.3
Watershed council that integrates urban, agricultural, industrial
Assessment:
~ Don't Have
~ In Progress
~ Complete

users for optimized water allocation.
Actions:
~ Adopt
~ Improve
~ Maintain
8.3.1.4
Leadership and advocacy for a sustainability master plan with
Assessment:
~ Don't Have
~ In Progress
~ Complete

coordinated objectives for water-energy actions/efficiencies
(e.g., use high-energy water treatment to mitigate water
scarcity risk, such as desalinization, or minimize the use of
energy to conserve natural resources and reduce greenhouse
gas emissions).
Actions:
~ Adopt
~ Improve
~ Maintain
8.3.1.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
8.3.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
8.3.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Supply and Demand Management: Utility leads or participates in studies and planning for
developing and estimating conservation potential of utilities over a defined planning period
(e.g., 20 years).
PRACTICE STATEMENT #2
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
8.3.2.1
Local or regional utility and regulator partnerships to estimate
indoor and outdoor conservation potentials by customer type.
Assessment: ~ Don't Have ~ In Progress ~ Complete
Actions: ~ Adopt ~ Improve ~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O P(
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
8.3.2.2
Utility account-level information aggregation to develop
Assessment:
~ Don't Have
~
In Progress
~ Complete

prioritized water conservation initiatives/plans based on
potential water savings and costs associated with conservation.
Actions:
~ Adopt
~
Improve
~ Maintain
8.3.2.3
Emerging treatment technology utilization for wastewater
Assessment:
~ Don't Have
~
In Progress
~ Complete

treatment and low-energy solutions for water reclamation and
energy-focused resource production.
Actions:
~ Adopt
~
Improve
~ Maintain
8.3.2.4
Watershed-based permitting strategy participation or advocacy
Assessment:
~ Don't Have
~
In Progress
~ Complete

to enable water quality trading and market credits (e.g.,
advanced wetlands mitigation credits), and water rights trading.
Actions:
~ Adopt
~
Improve
~ Maintain
8.3.2.5
Nontraditional partnerships with rivers, oceans, or agricultural
Assessment:
~ Don't Have
~
In Progress
~ Complete

organizations to identify re-use opportunities.
Actions:
~ Adopt
~
Improve
~ Maintain
8.3.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.3.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
8.3.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 67
-------
9. Community Sustainability
This Management Area covers the utility's role in social, economic, and environmental impacts to its
community. This includes economic development, community-wide resilience, support for disadvantaged
households, and overall community sustainability and livability.
Level 1: Providing Adequate, Fundamental Services
PRACTICE STATEMENT #1
Social Stewardship: Utility operations, particularly siting and construction, are managed to
minimize social impacts on the community.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
9.1.1.1
Preconstruction notifications to households.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.1.1.2
Construction hours of operation policy considerate of
Assessment:
~ Don't Have
~
In Progress
~ Complete

household needs.
Actions:
~ Adopt
~
Improve
~ Maintain
9.1.1.3
Right-of-way procedures to provide for household access.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.1.1.4
Utility staff teams support community fundraising events.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.1.1.5
Truck traffic management to reduce community impacts.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.1.1.6
Riverfront access provision (e.g., to the extent operations
Assessment:
~ Don't Have
~
In Progress
~ Complete

impact access to, for example, a riverfront, is there an
opportunity to create access for recreation or other public
use?).
Actions:
~ Adopt
~
Improve
~ Maintain
9.1.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.1.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.1.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O P(
-------
PRACTICE STATEMENT #2
Economic Stewardship: Utility operations, particularly siting and construction, are managed
to minimize economic impacts on the community.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS



9.1.2.1
Preconstruction notifications to local business.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.1.2.2
Customer access to businesses in construction areas carefully
Assessment:
~ Don't Have
~
In Progress
~ Complete

accommodated.
Actions:
~ Adopt
~
Improve
~ Maintain
9.1.2.3
Host community benefit program. (Provide for lower utility
Assessment:
~ Don't Have
~
In Progress
~ Complete

rates for communities that host treatment infrastructure).
Actions:
~ Adopt
~
Improve
~ Maintain
9.1.2.4
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.1.2.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.1.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Environmental Stewardship: Utility is focused on ensuring compliance across all regulatory
areas to ensure a solid foundation for limiting environmental impacts of operations.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
9.1.3.1
Environmental impacts review of regular utility operations and
Assessment:
~ Don't Have
~
In Progress
~ Complete

construction projects.
Actions:
~ Adopt
~
Improve
~ Maintain
9.1.3.2
Annual state of watershed data review (to maintain awareness
Assessment:
~ Don't Have
~
In Progress
~ Complete

of ecosystem trends).
Actions:
~ Adopt
~
Improve
~ Maintain
9.1.3.3
Sewer system maintenance to reduce flooding and backup
Assessment:
~ Don't Have
~
In Progress
~ Complete

potential.
Actions:
~ Adopt
~
Improve
~ Maintain
9.1.3.4
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.1.3.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.1.3.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O P(
-------
Level 2: Optimizing Operations and Services
PRACTICE STATEMENT #1
Social Stewardship: Utility conducts operations with a view for improving community social
conditions.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
9.2.1.1
Women- and minority-owned business contracting policies.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.2.1.2
Social impact criteria inclusion in project selection methods
Assessment:
~ Don't Have
~
In Progress
~ Complete

(e.g., degree of minority community impact).
Actions:
~ Adopt
~
Improve
~ Maintain
9.2.1.3
Citizens' new facility siting committee.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.2.1.4
Workforce diversification policies.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.2.1.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.2.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.2.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Economic Stewardship: Utility conducts operations with a view for enhancing local economic
opportunity.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
9.2.2.1
Utility finance officer's engagement in utility efforts to think
Assessment:
~ Don't Have
~ In Progress
~ Complete

and act sustainably.
Actions:
~ Adopt
~ Improve
~ Maintain
9.2.2.2
Local materials and services sourcing policy, with targets for
Assessment:
~ Don't Have
~ In Progress
~ Complete

volume of services and products sourced from qualified local
firms.
Actions:
~ Adopt
~ Improve
~ Maintain
9.2.2.3
Local and regional community and economic development
Assessment:
~ Don't Have
~ In Progress
~ Complete

planning participation.
Actions:
~ Adopt
~ Improve
~ Maintain
9.2.2.4
Supplemental environmental projects (undertaken in lieu of
Assessment:
~ Don't Have
~ In Progress
~ Complete

paying noncompliance fines).
Actions:
~ Adopt
~ Improve
~ Maintain
9.2.2.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
9.2.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
9.2.2.7
Alternative or Additional Practice:
Assessment: ~ Don't Have
~ In Progress
~ Complete


Actions: ~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Environmental Stewardship: Utility operations and investments use techniques that enhance
environmental and ecological parameters local to its facilities and operations.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
9.2.3.1
Tree planting along utility right-of-way areas, recognizing
Assessment:
~ Don't Have
~
In Progress
~ Complete

constraints such as the need to manage for possible tree root
intrusion to underground pipes.
Actions:
~ Adopt
~
Improve
~ Maintain
9.2.3.2
Discharge management to aid local fish populations.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.2.3.3
Well-defined sustainability requirements (established and
Assessment:
~ Don't Have
~
In Progress
~ Complete

tracked for all key products and services).
Actions:
~ Adopt
~
Improve
~ Maintain
9.2.3.4
Pollution prevention plan.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.2.3.5
Low or no carbon fuels for vehicle fleet.
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.2.3.6
Water re-use for environmental protection purposes (e.g., to
Assessment:
~ Don't Have
~
In Progress
~ Complete

cultivate native or endangered plant species).
Actions:
~ Adopt
~
Improve
~ Maintain
9.2.3.7
Annual sustainability report to show commitment to and
Assessment:
~ Don't Have
~
In Progress
~ Complete

performance on utility-related sustainability targets (e.g.,
greenhouse gas reduction targets and renewable energy
utilization targets).
Actions:
~ Adopt
~
Improve
~ Maintain
9.2.3.8
Recycled materials and product purchasing policies (adopted to
Assessment:
~ Don't Have
~
In Progress
~ Complete

encourage buying products manufactured from recycled
materials and using recyclable products when such products
are available).
Actions:
~ Adopt
~
Improve
~ Maintain
9.2.3.9
Cradle-to-cradle studies to support choosing capital
Assessment:
~ Don't Have
~
In Progress
~ Complete

improvement project materials.
Actions:
~ Adopt
~
Improve
~ Maintain
9.2.3.10
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.2.3.11
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.2.3.12
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 3: Transforming Operations and Services for the Future
PRACTICE STATEMENT #1
Social Stewardship: Utility is an active participant and takes a leadership role in driving overall
community social development activities.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
9.3.1.1
Elementary, secondary, and post-secondary school partnerships
Assessment:
~ Don't Have
~ In Progress
~ Complete

for collaborative efforts in promoting curriculum in water
industry careers.
Actions:
~ Adopt
~ Improve
~ Maintain
9.3.1.2
Volunteer/paid intern programs, leading to career choices and
Assessment:
~ Don't Have
~ In Progress
~ Complete

workforce sustainability of critical utility jobs.
Actions:
~ Adopt
~ Improve
~ Maintain
9.3.1.3
Utility strategic plan with Triple Bottom Line decision making to
Assessment:
~ Don't Have
~ In Progress
~ Complete

support and incorporate community sustainability interests and
priorities.
Actions:
~ Adopt
~ Improve
~ Maintain
9.3.1.4
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
9.3.1.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
9.3.1.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Economic Stewardship: Utility is an active participant and takes a leadership role in driving
overall community economic development activities and performance.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
9.3.2.1
Collaborative agreements with local firms to identify and
Assessment:
~ Don't Have
~ In Progress
~ Complete

provide stewardship services (e.g., reused water for certain
industries).
Actions:
~ Adopt
~ Improve
~ Maintain
9.3.2.2
Reliable, resilient, affordable, and sustainable water services
Assessment:
~ Don't Have
~ In Progress
~ Complete

marketing to prospective industry.
Actions:
~ Adopt
~ Improve
~ Maintain
9.3.2.3
Community leadership for promoting green job growth and
Assessment:
~ Don't Have
~ In Progress
~ Complete

workforce sustainability.
Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 72
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
9.3.2.4
Biogas or electricity production for directed marketing to
Assessment:
~ Don't Have
~ In Progress
~ Complete

energy grids.
Actions:
~ Adopt
~ Improve
~ Maintain
9.3.2.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
9.3.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
9.3.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #3
Environmental Stewardship: A utility-wide environmental stewardship plan is in place that
integrates environmental sustainability programs with sustainability priorities of the broader
community. Utility conducts operations and makes investments to support broader
community sustainability and stewardship goals.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
9.3.3.1
Natural treatment systems to create "ecological bridges" to
Assessment:
~ Don't Have
~
In Progress
~ Complete

water bodies.
Actions:
~ Adopt
~
Improve
~ Maintain
9.3.3.2
Watershed-wide forums on source protection and
Assessment:
~ Don't Have
~
In Progress
~ Complete

enhancement.
Actions:
~ Adopt
~
Improve
~ Maintain
9.3.3.3
Native plant restoration program (e.g., seed and grow native
Assessment:
~ Don't Have
~
In Progress
~ Complete

plants in utility's watershed).
Actions:
~ Adopt
~
Improve
~ Maintain
9.3.3.4
Leadership on sustainability planning for energy and
Assessment:
~ Don't Have
~
In Progress
~ Complete

subsequent greenhouse gas reduction initiatives.
Actions:
~ Adopt
~
Improve
~ Maintain
9.3.3.5
Tree planting on utility rights-of-way, recognizing constraints
Assessment:
~ Don't Have
~
In Progress
~ Complete

such as the need to manage for possible tree root intrusion to
underground pipes.
Actions:
~ Adopt
~
Improve
~ Maintain
9.3.3.6
Watershed ecosystem services protection through land
Assessment:
~ Don't Have
~
In Progress
~ Complete

conservation acquisitions.
Actions:
~ Adopt
~
Improve
~ Maintain
9.3.3.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.3.3.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
9.3.3.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~
In Progress
~ Complete


Actions:
~ Adopt
~
Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 74
-------
10. Measurement, Continual Improvement
Management, and Knowledge Management
This Management Area covers considerations taken by utilities when managing achievement and
knowledge and measuring continuous improvement of performance.
Level 1: Providing Adequate, Fundamental Services
PRACTICE STATEMENT #1
Performance Measurement: Critical performance metrics are established and
tracked/monitored to help ensure compliance and achievement of improvement objectives.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
10.1.1.1
Standard, basic reports to utility management and regulatory
Assessment:
~ Don't Have
~ In Progress
~ Complete

agencies addressing compliance requirements (e.g., source
water quality, drinking water contaminants, wastewater
discharge, and residual compliance metrics reports).
Actions:
~ Adopt
~ Improve
~ Maintain
10.1.1.2
Procedures or assigned monitoring and measuring activities to
Assessment:
~ Don't Have
~ In Progress
~ Complete

include correcting/reporting of any nonconformance (e.g., use
AWWA Operational Guides to G-Series Standards to establish
procedures and performance measures, where applicable).
Actions:
~ Adopt
~ Improve
~ Maintain
10.1.1.3
Proper calibration and maintenance for equipment used to
Assessment:
~ Don't Have
~ In Progress
~ Complete

measure performance metrics.
Actions:
~ Adopt
~ Improve
~ Maintain
10.1.1.4
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
10.1.1.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
10.1.1.
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Change Management and Continual Improvement: A management process is in place to
review critical metrics regularly (e.g., monthly) and make assignments for improvement
actions when needed. Periodic and comprehensive self-assessments are conducted to
identify areas needing improvement.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p'
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
10.1.2.1
Quarterly review to compare progress towards compliance
Assessment:
~ Don't Have
~ In Progress
~ Complete

targets and objectives and identify process or procedural
changes with a focus on improvement.
Actions:
~ Adopt
~ Improve
~ Maintain
10.1.2.2
Annual review of established compliance performance levels
Assessment:
~ Don't Have
~ In Progress
~ Complete

from existing programs.
Actions:
~ Adopt
~ Improve
~ Maintain
10.1.2.3
Active management consideration of new
Assessment:
~ Don't Have
~ In Progress
~ Complete

programs/improvements needed to achieve and maintain
compliance.
Actions:
~ Adopt
~ Improve
~ Maintain
10.1.2.4
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
10.1.2.5
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
10.1.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 2: Optimizing Operations and Services
PRACTICE STATEMENT #1
Performance Measurement: Performance metrics are established in support of level of
service commitments made to regulators, rate payers, and the community and in support of
continual improvement objectives of the utility.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
10.2.1.1
Targeted improvement for specific level of service processes,
Assessment:
~ Don't Have
~ In Progress
~ Complete

practices, or procedures with determination of what
information will be collected to objectively demonstrate
Actions:
~ Adopt
~ Improve
~ Maintain

improvement.




10.2.1.2
Standardized data for comparison (e.g., compare treatment
Assessment:
~ Don't Have
~ In Progress
~ Complete

costs between plants based on 1,000 gallons of water treated).
Actions:
~ Adopt
~ Improve
~ Maintain
10.2.1.3
Level of service metrics benchmarking to industry standards
Assessment:
~ Don't Have
~ In Progress
~ Complete

where benchmarks are applicable and available.
Actions:
~ Adopt
~ Improve
~ Maintain
10.2.1.4
Monthly (or more frequent) critical performance
Assessment:
~ Don't Have
~ In Progress
~ Complete

measurements review by process owners to objectively track
and trend continual improvement.
Actions:
~ Adopt
~ Improve
~ Maintain
10.2.1.5
Periodic management review of measurable objectives, targets,
Assessment:
~ Don't Have
~ In Progress
~ Complete

and program steps to authenticate measured improvement.
Actions:
~ Adopt
~ Improve
~ Maintain
10.2.1.6
Explicit performance objectives, targets, and programs to
Assessment:
~ Don't Have
~ In Progress
~ Complete

reduce significant environmental and business risks to the
utility.
Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 76
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
10.2.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
10.2.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
10.2.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Change Management and Continual Improvement: Annual cycle of continual improvement
is explicitly established and documented with new/revised annual objectives, supported by
regularly monitored/tracked metrics, with an annual review leading to any needed program
and operational improvements. Explicit continual improvement management system(s) is
implemented, with an innovative workforce trained in continuous improvement tools
providing a culture of continual improvement and innovation.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
10.2.2.1
Operational and business practice process improvement
Assessment:
~ Don't Have
~ In Progress
~ Complete

management framework implementation and maturation.
Examples of frameworks include:
Actions:
~ Adopt
~ Improve
~ Maintain

•	ISO 14001:2004 certified or compliant Environmental
Management System
•	AWWA Operational Guide to AWWA Standard G400,
Utility Management System
•	Baldrige Performance Excellence Program
•	Balanced Scorecard




10.2.2.2
Document controls to capture timely changes, track changes,
Assessment:
~ Don't Have
~ In Progress
~ Complete

and establish periodic review for documents. (Capture change
with program documents, SOP's, work instructions, forms, and
record revisions; also, identify distribution, controlled copy
location, retention, and disposition of documents).
Actions:
~ Adopt
~ Improve
~ Maintain
10.2.2.3
Voluntary improvement program participation (e.g.,
Assessment:
~ Don't Have
~ In Progress
~ Complete

Partnership for Safe Water, American Public Works Association
[APWA] Accreditation Program).
Actions:
~ Adopt
~ Improve
~ Maintain
10.2.2.4
Process unit and process variability monitoring to identify
Assessment:
~ Don't Have
~ In Progress
~ Complete

improvement opportunities.
Actions:
~ Adopt
~ Improve
~ Maintain
10.2.2.5
Semi-annual review and comparison of measured performance
Assessment:
~ Don't Have
~ In Progress
~ Complete

to established industry benchmarks, and established
improvement action plans.
Actions:
~ Adopt
~ Improve
~ Maintain
10.2.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
10.2.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
10.2.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
Level 3: Transforming Operations and Services for the Future
PRACTICE STATEMENT #1
Performance Measurement: Integrated, automated system of metrics measurement and
tracking is in place supporting substantial real-time tracking of key performance indicators.
Metrics established and reported to support Triple Bottom Line performance across a range
of environmental, economic, and social parameters.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
10.3.1.1
Mobile applications to record and upload field data.
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
10.3.1.2
Performance measurements integration with control charts to
Assessment:
~ Don't Have
~ In Progress
~ Complete

monitor, control, and improve process performance overtime
by reducing variation and its source, and also achieving
Actions:
~ Adopt
~ Improve
~ Maintain

incremental sustainable improvements.




10.3.1.3
Externally oriented metrics for utility-led community
Assessment:
~ Don't Have
~ In Progress
~ Complete

performance measurement (e.g., watershed health indicators;
municipal government or community energy efficiency and
Actions:
~ Adopt
~ Improve
~ Maintain

conservation strategy; community or government greenhouse





gas inventory and reduction goals; and support of community





sustainability master plan with specific utility activities and





performance metrics).




10.3.1.4
Performance and sustainability metrics reports to utility
Assessment:
~ Don't Have
~ In Progress
~ Complete

management and stakeholders, including regulators and
financial institutions when applicable.
Actions:
~ Adopt
~ Improve
~ Maintain
10.3.1.5
Greenhouse gas emissions reports in accordance with standard
Assessment:
~ Don't Have
~ In Progress
~ Complete

industry-accepted protocols.
Actions:
~ Adopt
~ Improve
~ Maintain
10.3.1.6
Technology-enabled improvement (e.g., power management at
Assessment:
~ Don't Have
~ In Progress
~ Complete

treatment plants and collection and distribution systems
through the automated interpretation of electronically
Actions:
~ Adopt
~ Improve
~ Maintain

gathered data for control chart or process capability real-time





monitoring).




10.3.1.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
10.3.1.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
10.3.1.9
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
PRACTICE STATEMENT #2
Change Management and Continual Improvement: Existing continual improvement systems
and culture is built upon by using continual improvement and complementary management
systems across all aspects of operations, and an emphasis is placed on cultivating community
thought leaders to develop and harness the intellect of human assets.
EXAMPLE PRACTICES
ASSESSMENTS AND ACTIONS
10.3.2.1
Lean and Six Sigma optimization methodologies (with
Assessment:
~ Don't Have
~ In Progress
~ Complete

supporting work teams) to deliver customer requirements
without waste.
Actions:
~ Adopt
~ Improve
~ Maintain
10.3.2.2
Continuous improvement management framework (EMS, UMS,
Assessment:
~ Don't Have
~ In Progress
~ Complete

BPEP, etc.) integration with other relevant and complementary
continuous improvement management systems (e.g., ANSI Z-12
Continuous Improvement Safety Management System, the ISO
50001 Energy Management Standard, and the ISO 9001:2008
Quality Management System).
Actions:
~ Adopt
~ Improve
~ Maintain
10.3.2.3
Continuous improvement tools training (e.g., for Lean, Six
Assessment:
~ Don't Have
~ In Progress
~ Complete

Sigma, and statistical tools).
Actions:
~ Adopt
~ Improve
~ Maintain
10.3.2.4
Capturing innovative ideas with incentivized formal suggestion
Assessment:
~ Don't Have
~ In Progress
~ Complete

and process improvement programs.
Actions:
~ Adopt
~ Improve
~ Maintain
10.3.2.5
Municipal sustainability planning leadership (municipal
Assessment:
~ Don't Have
~ In Progress
~ Complete

activities addressing Triple Bottom Line decisions,
measurement of sustainability improvements, and continuous
improvement/sustainability reporting).
Actions:
~ Adopt
~ Improve
~ Maintain
10.3.2.6
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
10.3.2.7
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
10.3.2.8
Alternative or Additional Practice:
Assessment:
~ Don't Have
~ In Progress
~ Complete


Actions:
~ Adopt
~ Improve
~ Maintain
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O
-------
Practice Statement Conclusion: ~ Green ~ Yellow ~ Red
Notes on Statement Conclusion:
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 80
-------
Conclusion

The challenges facing water sector utilities are significant and changing rapidly. These challenges are also exacerbated by
uncertain economic conditions and other competing local priorities. However, along with these challenges come a myriad
of important opportunities.
This document provides an important foundation for utilities across the water sector to address these challenges by
improving their current operations and moving toward the goal of sustainable operations over time. More importantly,
EPA recognizes that ensuring the sustainability of our nation's water sector utilities and, by extension, our nation's water
resources, can only occur if regulators, utilities, states, and other partners work collaboratively and with common purpose.
The challenges facing us are too daunting to do otherwise. Through this document and other efforts, EPA is committed to
this collaboration going forward.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 81
-------
Appendix A: Resources Directory
The following appendix is a resources directory designed to support water and wastewater utilities in implementing
practices in the key management areas. The directory is not meant to be an exhaustive compilation, but rather is a starting
place for users of this document. A few notes for users of the resource directory:
•	Resources are organized alphabetically by title, with check marks to indicate which management area(s) each
resource applies to.
•	Resources that are designed specifically for use by small systems are also marked.
•	There is a web link for each resource. (Links to resources may change as they are updated)
•	All the resources listed are free.




¦H









"D
~o
-C
(L)
E







-o
c
ro
W>
ro
c
0

0)

T3


T3
C
05
05 +j
3 C


c
"c
"+¦>
ro
1 i
Q
Q.

c
ro
>s

£
C D +j
+= E F
r T" fli


_§
CL
Q.
O
.1 1
ic
VI

U>
>
u
05
c
« W C
O UD E
u ns a)


V
_c
oa
£
¦M (/)
U J
£ og
wi tuO

£
in
c
u
"ro
+¦>
v)
3
-o C CU)
C 05 05
: = s


"tfl
3
CD Q-
u IE
*W) £
2 £
3 .2
a %
1 *
'¦P c
ro ~
LO ^
aj <3
E £
O qj
—i
08

O
_Q
05
>
"u
c
fi 
Description and Link
E 1
« 2
T3 ¦-
£ Q-
Q. O
i|
U D
Q.
E
LU
ro
c
L_
fC
11

C
LU
E
o
u
1 E i
^ ± ^
"ro
E
10
A Drop of Knowledge: The Non-Operator's Guide to Drinking Water










Systems










Explains in simple language the technical aspects of drinking water utilities










from source to tap. It would be well used as an orientation and background


X






X
for new small utility board members and community decision makers.










http://rcap.org/wp-content/uploads/2011/12/Non-operators-Guide-to-DRINKING-










WATER-Systems_Small.pdf










A Drop of Knowledge: The Non-Operator's Guide to Wastewater Systems










Explains in simple language the technical aspects of wastewater utilities from










source to tap. It would be well used as an orientation and background for


Y






Y
new small utility board members and community decision makers.


A






A
http://rcap.org/wp-content/uploads/2016/01/RCAP-Non-operators-Guide-to-










WASTEWATER-Systems.pdf










MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 82
-------
Description and Link
Strategic Business Planning and
Leadership
Product Quality & Operational
Optimization
Customer Satisfaction and Stakeholder
Understanding & Support
Employee & Leadership Development
Financial Viability
Infrastructure Strategy and
Performance
Enterprise Resiliency
Community Sustainability
Measurement and Continual
Improvement Management, and
Knowledge Management
Small Systems
Asset Management: A Best Practices Guide
Designed to help owners, managers, and operators for small water systems
to understand: what asset management means; the benefits of asset
management; best practices in asset management; and how to implement
an asset management program.
https://nepis.epa.gov/Exe/ZyPDF.cgi/P1000LP0.PDF?Dockey=P1000LP0. PDF





X




Asset Management: A Handbook for Small Water Systems
Designed for owners and operators of small community water systems
(public or private). It presents basic concepts of asset management and
provides the tools to develop an asset management plan.
https://nepis.epa.gov/Exe/ZyPDF.cgi/2000JTPU.PDF?Dockey=2000JTPU.PDF





X



X
Check Up Program for Small Systems (CUPSS)
CUPSS is a free, easy-to-use, asset management software tool for small
drinking and wastewater utilities. Use CUPSS to help you develop:
•	A record of your assets
•	A schedule of required tasks
•	An understanding of your financial situation
•	A tailored asset management plan
https://www.epa.gov/dwcapacity/information-check-program-small-systems-cupss-
asset-management-tool
X



X
X



X
Climate Ready Water Utilities
Provides access to resources containing climate-related information relevant
to the water sector. The Toolbox contains highlighted resources, which are
organized into categories to help guide the user to the most relevant
information. CRWU resources are updated frequently.
https://www.epa.gov/crwu
X



X
X
X
X


Communicating the Value of Water
A guidebook to help drinking water utilities effectively communicate the
value of their tap water. Identifies the benefits of communicating effectively
and consistently to constituents about the value of water. Includes key
messages, marketing tools, and case studies.
http://www.waterrf.org/PublicReportLibrary/91222.pdf










MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 83
-------
Description and Link
Strategic Business Planning and
Leadership
Product Quality & Operational
Optimization
Customer Satisfaction and Stakeholder
Understanding & Support
Employee & Leadership Development
Financial Viability
Infrastructure Strategy and
Performance
Enterprise Resiliency
Community Sustainability
Measurement and Continual
Improvement Management, and
Knowledge Management
Small Systems
Cybersecurity Guidance and Tool, Versions 2.0
Resources designed to provide actionable information for utility managers
and operators based on their use of process control systems. These
resources complement the national-level actions that have resulted from
Executive Order 13636- Improving Critical Infrastructure Cybersecurity.
https://www.awwa.org/resources-tools/water-and-wastewater-utility-
management/cybersecurity-guidance.aspx






X



Effective Utility Management: A Primer for Water and Wastewater Utilities
The Primer presents a framework for water and wastewater utility managers
to use when assessing the effectiveness of their utility based on a series of
10 Attributes of Effectively Managed Utilities and Keys to Management
Success.
https://www.epa.gov/sites/production/files/2017-
01/documents/eum_primer_final_508-january2017.pdf
X







X

Emergency Response Plan Guidance for Small and Medium Community
Water Systems
Provides guidance on developing or revising emergency response plans for
small- and medium-sized community drinking water systems, to comply with
the Public Health Security and Bioterrorism Preparedness and Response Act
of 2002.
https://www.epa.gov/sites/production/files/2015-
04/documents/2004_04_27_watersecurity_pubs_small_medium_erp_guidance04070
4.pdf






X


X
Emergency/Incident Planning, Response, and Recovery
Includes guidance documents and other resources on resilience topics,
including: training and exercise, mutual aid and assistance, coordination with
state agencies, all-hazard planning, emergency response plan development,
risk and crisis communication, and more.
http://water.epa.gOv/infrastructure/watersecurity/emerplan/index.cfm#te2






X



Energy Efficiency Best Practices for North American Drinking Water Utilities
Includes a compendium of best practices for energy efficient design and
operation of water industry assets. Compendium includes successful
strategies to help water utilities reduce energy consumption in water
transmission, treatment, storage, and distribution.
http://www.waterrf.org/PublicReportLibrary/4223.pdf

X



X




MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap	P. 84
-------
Description and Link
Strategic Business Planning and
Leadership
Product Quality & Operational
Optimization
Customer Satisfaction and Stakeholder
Understanding & Support
Employee & Leadership Development
Financial Viability
Infrastructure Strategy and
Performance
Enterprise Resiliency
Community Sustainability
Measurement and Continual
Improvement Management, and
Knowledge Management
Small Systems
Energy Efficiency for Water Utilities
Provides links to several guides and tools for tracking and understanding
water utility energy use.
https://www.epa.gov/sustainable-water-infrastructure/energy-efficiency-water-
utilities

X








Energy Star for Wastewater Plants and Drinking Water Systems
A tool for plant managers to assess and track energy use, energy costs, and
associated carbon emissions. Allows benchmarking against other systems.
http://www.energystar.gov/index.cfm?c=water.wastewater_drinking_water

X








Ensuring a Sustainable Future: An Energy Management Guidebook for
Wastewater and Water Utilities
Provides water and wastewater utility managers with step-by-step methods
to identify, implement, measure, and improve efficiency and renewable
opportunities at their utilities.
https://nepis.epa.gov/Exe/ZyPDF.cgi/P1003YlG.PDF?Dockey=P1003YlG.PDF

X



X


X

Establishing Public-Private Partnerships for Water and Wastewater
Systems
Describes the conditions for when to form a public-private partnership and
how to form and manage them to meet water and wastewater needs.
http://www.nawc.org/uploads/documents-and-
publications/documents/document_567764ad-b69f-4715-bc5d-eaa32c304fdd.pdf


X




X


Federal Funding for Utilities - Water/Wastewater - in National Disasters
(Fed FUNDS)
Fed FUNDS provides tailored information to water and wastewater utilities
about applicable federal disaster funding programs. The Fed FUNDS web
pages address national-level disasters, but can also apply to large-scale and
local disasters that result in service interruptions and significant damage to
critical water/wastewater infrastructure.
https://www.epa.gov/fedfunds




X
X
X



Financing Alternatives Comparison Tool (FACT)
A financial analysis tool that calculates and compares the costs of various
financing options for water quality projects.
https://www.epa.gov/cwsrf/financing-alternatives-comparison-tool
X



X





MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 85
-------
Description and Link
Strategic Business Planning and
Leadership
Product Quality & Operational
Optimization
Customer Satisfaction and Stakeholder
Understanding & Support
Employee & Leadership Development
Financial Viability
Infrastructure Strategy and
Performance
Enterprise Resiliency
Community Sustainability
Measurement and Continual
Improvement Management, and
Knowledge Management
Small Systems
Formulate Great Rates: The Guide to Conducting a Rate Study for a Water
System
A guide to developing a fair and equitable rate structure in a small drinking
or wastewater system.
https://rcap.org/wp-content/uploads/2012/03/Formulate-Great-Rates.pdf
X



X




X
Getting in Step: Engaging and Involving Stakeholders in Your Watershed
Provides tools needed to effectively engage stakeholders to restore and
maintain healthy environmental conditions through community support and
cooperative action. Can help utilities to involve stakeholders in local or
regional watershed efforts.
https://cfpub.epa.gov/npstbx/files/stakeholderguide.pdf


X




X


Green Infrastructure
Provides background information and resources on green infrastructure
strategies.
https://www.epa.gov/green-infrastructure
X




X

X


How to Develop a Multi-Year Training and Exercise Plan
Provides background on different types of training and exercise, describes
the importance of a training and exercise plan, provides a multi-year plan
template, and includes attachments with example plan documents, exercise
resources, and planning resources.
https://www.epa.gov/sites/production/files/2015-
05/documents/how_to_develop_a_multi-
year_training_and_exercise_plan_fact_sheet.pdf






X



Large Water System Emergency Response Plan Outline
Provides guidance to assist community water systems in developing or
revising emergency response plans to comply with the Public Health Security
and Bioterrorism Preparedness and Response Act of 2002.
https://www.epa.gov/sites/production/files/2015-03/documents/erp-long-outline.pdf






X



Managing Money: State SRF Short-Term Investing
Focuses on strategy development for SRF managers. It looks at shorter-term
investment goals, where consideration of liquidity and accessibility are
controlling factors.
http://www.cifanet.org/newsPDF/ml2.pdf
X



X





MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 86
-------
Description and Link
Strategic Business Planning and
Leadership
Product Quality & Operational
Optimization
Customer Satisfaction and Stakeholder
Understanding & Support
Employee & Leadership Development
Financial Viability
Infrastructure Strategy and
Performance
Enterprise Resiliency
Community Sustainability
Measurement and Continual
Improvement Management, and
Knowledge Management
Small Systems
NIST Cybersecurity Framework
The Framework for Improving Critical Infrastructure Cybersecurity includes
standards, guidelines, and practices to promote the protection of critical
infrastructure and manage cybersecurity-related risks.
https://www.nist.gov/cyberframework






X



Optimizing the Water Utility Customer Contact Center
Identifies best practices, processes, and technologies for water utility
customer contact center operations to optimize the contact center as a
utility-wide resource for communications. Identifies key components and
characteristics of the customer contact center of the future.
http://www.waterrf.org/PublicReportLibrary/4100.pdf


X







Performance Benchmarking for Effectively Managed Water Utilities
A tool and corresponding resources to help water and wastewater utilities
evaluate their current and desired levels of performance related to the
Effective Utility Management Ten Attributes. This tool and resources are
aligned with the EUM Primer and provides a structured process to help
utilities conduct a self-assessment on any or all of the Ten Attributes.
http://www.waterrf.org/publicreportlibrary/4313b.pdf
X
X
X
X
X
X
X
X
X

Planning for Sustainability: A Handbook for Water and Wastewater Utilities
Describes steps that utilities can take to enhance their existing planning
processes to ensure that water infrastructure investments are cost-effective
over their lifecycle, resource efficient, and support other relevant community
goals.
https://nepis.epa.gov/Exe/ZyPDF.cgi/P100KZGW.PDF? Dockey=P100KZGW.PDF
X



X



X

Pricing and Affordability of Water Services - Introduction
Website provides information on water and wastewater pricing; explains the
concepts of pricing and water conservation; and supplies tools, guides, and
reports on pricing.
https://www.epa.gov/sustainable-water-infrastructure/pricing-and-affordability-
water-services
X



X





MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 87
-------
Description and Link
Strategic Business Planning and
Leadership
Product Quality & Operational
Optimization
Customer Satisfaction and Stakeholder
Understanding & Support
Employee & Leadership Development
Financial Viability
Infrastructure Strategy and
Performance
Enterprise Resiliency
Community Sustainability
Measurement and Continual
Improvement Management, and
Knowledge Management
Small Systems
Rural and Small Systems Guidebook to Sustainable Utility Management
The Guidebook uses the Effective Utility Management (EUM) framework and
is tailored to the needs of rural and small systems. It is designed to help
them become more successful and resilient service providers and includes a
utility self-assessment.
https://www.epa.gov/sites/production/files/2016-
06/documents/rural_and_small_systems_guidebook_-_may_2016_508.pdf
X
X
X
X
X
X
X
X

X
Strategic Planning: A Handbook for Small Water Systems
A strategic planning handbook and workbook for small water systems.
http://www.in.gov/iurc/files/strategic-planning-for-small-systems.pdf
X



X




X
The Basics of Financial Management for Small Community Utilities
A primer and how-to guide that is ideal for a board member of a drinking or
wastewater utility who needs to understand the financial aspects of a small
utility's operations.
http://www.rcapsolutions.org/wp-content/uploads/2013/06/RCAP-Financial-
Management-Guide.pdf




X




X
The Effective Utility Management Resource Toolbox
Provides a compilation of resources from collaborating associations and
agencies on the EUM effort and is organized according to the Ten Attributes
and Five Keys to Management Success.
http://www.watereum.org/resources/resource-toolbox/
X
X
X
X
X
X
X
X
X

The Water Resources Utility of the Future: A Blueprint for Action
Presents the clean water industry's vision for the future, as well as a series of
actions that will help deliver this vision. The Utility of the Future will
transform the way that traditional wastewater utilities view themselves and
manage their operations, including their relationships with communities and
their contributions to local economies.
http://www.wef.org/globalassets/assets-wef/direct-download-library/public/03—
resources/waterresourcesutilityofthefuture_blueprintforaction_final.pdf
X
X
X

X

X
X


Utility Finance Knowledge Portal
Includes resources on revenue, financial planning, board and customer
communication, and cost control.
http://www.waterrf.org/knowledge/utility-finance/Pages/default.aspx
X

X

X





MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 88
-------
Description and Link
Strategic Business Planning and
Leadership
Product Quality & Operational
Optimization
Customer Satisfaction and Stakeholder
Understanding & Support
Employee & Leadership Development
Financial Viability
Infrastructure Strategy and
Performance
Enterprise Resiliency
Community Sustainability
Measurement and Continual
Improvement Management, and
Knowledge Management
Small Systems
Value of Water Coalition
Public education materials about the importance of clean, safe, and reliable
water to and from every house and community, to help ensure quality water
service for future generations.
http://thevalueofwater.org


X




X


Water Finance Clearinghouse
The Water Finance Clearinghouse is an easily navigable web-based portal to
help communities locate information and resources that will assist them in
making informed decisions for their drinking water, wastewater, and
stormwater infrastructure needs.
https://ofmpub.epa.gov/apex/wfc/f?p=165:l






X
X


Weather & Hydrologic Forecasting for Water Utility Incident Preparedness
and Response
Includes resources for national weather hazards, national forecast charts,
flood risks, drought monitors, and more.
https://www.epa.gov/sites/production/files/2015-06/documents/
water_and_hydro_forecasting.pdf






X
X


Work for Water
Campaign promoting water careers as both professionally fulfilling and
aligned to the greatest public health and environmental causes of our day.
Includes resources for recruitment and retention, as well as management
strategies.
http://www.workforwater.org



X






Workforce Planning for Water Utilities
Frames the issues of recruiting, training, and retaining drinking water utility
operators and engineers. Identifies short-term and long-term strategies that
can be implemented by individual utilities and by the industry to address
workforce planning issues.
http://www.waterrf.org/PublicReportLibrarv/91237.pdf



X







MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap ( ) P. 89
-------
Appendix B: Acknowledgments
2013-2014 ROADMAP FOUNDING CONTRIBUTORS
Lisa Daniels
Pennsylvania Department of Environmental Protection
Harrisburg, Pennsylvania
Todd Danielson
Avon Lake Regional Water
Avon Lake, Ohio
John Hollenbach
United Water of Pennsylvania and Delaware
Harrisburg, Pennsylvania
Michael Mucha
Madison Metropolitan Sewer District
Madison, Wisconsin
Ron Poltak
New England Interstate Water Pollution Control Commission
Lowell, Massachusetts
Dan Roberts
City of Palm Bay Utilities
Palm Bay, Florida
Andy Kricun
Camden County Municipal Utility Authority
Camden, New Jersey
Tom Sigmund
NEW Water
Green Bay, Wisconsin
George Martin
Greenwood Metropolitan District
Greenwood, South Carolina
Diane Taniguchi-Dennis
Clean Water Services
Hillsboro, Oregon
2015-2016 UTILITY 'ROAD TESTERS'
Jackie Jarrell
Charlotte Water
Charlotte, North Carolina
Tom Sigmund
NEW Water
Green Bay, Wisconsin
George Martin
Greenwood Metropolitan District
Greenwood, South Carolina
Diane Taniguchi-Dennis
Clean Water Services
Hillsboro, Oregon
Dan Roberts
City of Palm Bay Utilities
Palm Bay, Florida
This product was developed by the Environmental Protection Agency (lead staff member: Jim Home, Sustainability
Program Manager - Office of Wastewater Management) with assistance from Rob Greenwood, Morgan Torres, Jessie
Burch, and Heather Martin at Ross Strategic (www.rossstrategic.com) under Contract EP-W-12-035 and Blanket
Purchase Agreement EP-BPA-18-C-0001, Call Order EP-B18C-00003.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
O p!
-------
This page intentionally blank.
MOVING TOWARD SUSTAINABILITY: Sustainable and Effective Practices for Creating Your Water Utility Roadmap
-------
United States
Environmental Protection
mI m m Agency
MOVING TOWARD SUSTAINABILITY:
Effective Practices for Creating Your Water Utility Roadmap
-------