Performance Benchmarking for
Effectively Managed Water Utilities
(Project 4313)
User Guide for the Self-Assessment Tool
January 2014 – Public Release 1.0
Overview
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The Self-Assessment Tool includes Practice Areas
for each of the 10 EUM Attributes as well as key
metrics to measure performance for each of those
practices.
The Tool enables utilities to select and weigh their
relevant attributes and practices, and then assess
those practices for both current and target
performance.
This guide explains the steps necessary to use the
tool and leverage its capabilities.
For additional information on Effective Utility
Management, please visit http://watereum.org/
Updated 01-07-14
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Model Roadmap
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Each of the following steps will be addressed in
the guide:
Select
Attributes
Select
Practice
Areas
View
Summary
Results
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Select
Performance
Measures
Create
Custom
Assessment
Delete
Performance
Measures
Return to
Setup
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Assess each
Performance
Measure
Review
Attribute
Summaries
Verify
Assessment
Opening the Tool
1. When the Tool is opened, a
simple disclosure “splash
screen” is presented. Exit
the application or start the
EUM Tool by clicking the
associated button.
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Select
Attributes
Attributes
Select
Practice
Areas
Select
Performance
Measures
Create
Custom
Assessment
Assess each
Performance
Measure
2. After weighting, click this button
to navigate to the next screen.
1. Weigh each Attribute in
terms of relative
importance to the utility
compared with the other
selected Attributes.
If a weight of 0 is selected,
the Attribute will not be
included in the
assessment; otherwise
scales of 1-10 or 1-100 are
examples of weighting
options that will work.
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Select
Attributes
Practice Areas
Select
Practice
Areas
Select
Performance
Measures
Create
Custom
Assessment
Assess each
Performance
Measure
2. After weighting, click this button
to navigate to the next screen.
1. Only Attributes that have
been weighed appear on
this screen. Next, weigh
the relative importance
of each Practice Area
that should be included
in the assessment.
As with the Attributes, if
a weight of 0 is selected,
the Practice Area will not
be included in the
assessment; otherwise a
scales of 1-10 or 1-100
are examples of
weighting options that
will work.
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Select
Attributes
Performance Measures
Select
Practice
Areas
Select
Performance
Measures
Create
Custom
Assessment
Assess each
Performance
Measure
2. After choosing the Performance
Measures, click this button to
create the customized selfassessment.
1. Enter “Y” or “N” to
select Performance
Measures that
should be included
in the assessment.
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Select
Attributes
Customized Menu
3. The next step is to select these links or
navigate through the Performance Measure
tabs to assess each Performance Measure.
2. The Tool also creates
summary sheets for each
of the selected Attributes
containing the current and
target scores along with
the weighted totals.
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1. The Tool creates a scoring matrix for each
of the Performance Measures under each
Attribute. The worksheet names are coded
using the Attribute #, Practice Area #, and
Performance Measure #.
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Select
Practice
Areas
Select
Performance
Measures
Create
Custom
Assessment
Assess each
Performance
Measure
Select
Attributes
Perform Assessment
Select
Practice
Areas
Select
Performance
Measures
Create
Custom
Assessment
Assess each
Performance
Measure
1. The column and row headings
can be edited by doubleclicking the appropriate cell if
you’d like to modify the predefined criteria descriptions.
2. Find the intersection between
the correct level of
performance with degree of
implementation for your utility.
Click to enter your current
performance and repeat the
process to enter the target.
4. Clicking the squares within the
matrix will turn on/off
“Current,” “Target,” or “Current
& Target.”
5. Select current performance
before selecting a target.
Clicking activated squares will
reset them for re-scoring.
3. In defining the performance
measures, some rows and
columns were intentionally left
blank. Please use caution to
avoid selecting the blank
rows/columns.
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6. After completing all of the
performance measure
assessments, click on
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View
Summary
Results
Verify Assessment
1. Clicking this button will test to see if there are
missing data that must be entered before
continuing.
2. Use these links to
navigate to specific
Attribute(s) for the next
step.
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Delete
Performance
Measures
Return to
Setup
Review
Attribute
Summaries
Verify
Assessment
Potential Assessment Errors
1. The first potential error is that a Performance
Measure has not yet been assessed. This is
resolved by navigating to the appropriate
Performance Measure(s) and recording the
current and target performance.
2. The second potential error is that a Practice
Area has been weighted, but no Performance
Measures have been selected. This is resolved
by either setting the Practice Area weight to
zero or entering “Y” in one or more
Performance Measures related to that Practice
Area.
3. The third potential scoring error is that an
Attribute has been weighted, but no Practice
Areas have been selected. This is resolved by
either setting the Attribute weight to zero, or
entering a numerical weight for one or more
Practices Areas related to that Attribute, and
then entering “Y” in one or more Performance
measures related to each selected Practice
Area.
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View
Summary
Results
Delete
Performance
Measures
Return to
Setup
Review
Attribute
Summaries
Verify
Assessment
View
Summary
Results
Review Attributes
Delete
Performance
Measures
Practice Area scores (arithmetic mean of
Performance Measure scores) are listed in
the table and illustrated in the graph.
The individual Performance
Measures are listed, with links
to their sheets. If necessary,
click the links to revise
assessments.
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Current and target
performance scores are listed
based on the matrix selections.
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Return to
Setup
Review
Attribute
Summaries
Verify
Assessment
Removing vs. Deleting
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The following two slides illustrate the process that can
be used to add/remove assessment elements and to
delete Performance Measures, respectively.
Removing assessment elements takes them out of the
assessment summaries but does not delete the
underlying Performance Measure sheets and scoring
from the tool;
Deleting Performance Measures deletes the underlying
Performance Measure sheets and scoring from the tool.
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View
Summary
Results
Return to Setup
If you determine that it is appropriate to
add or remove elements from what is
shown in the assessment, you can add or
remove Attributes, Practice Areas, and
Performance Measures, even after
scoring, by selecting the element and
making appropriate adjustments.
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Delete
Performance
Measures
Return to
Setup
Review
Attribute
Summaries
Verify
Assessment
Delete Performance Measures
View
Summary
Results
Delete
Performance
Measures
Return to
Setup
Review
Attribute
Summaries
Verify
Assessment
1. If it is determined that certain Performance
Measures are no longer needed, click this button to
remove them.
3. This process does not affect the settings on the
setup menu; therefore , in order to prevent the
deleted Performance Measure(s) from
reappearing, they should be switched from “Y”
to “N” in the setup menu.
2. This pop-up window will appear with each of
the Performance Measures listed. Click the
check boxes for the Performance Measures
you’d like to remove and then click OK.
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View
Summary
Results
Review Results
After the assessment has been
completed, the summary results for each
Attribute (based on the Practice Area
weights) are listed and illustrated on the
graph. The total weighted utility score is
also provided, based on the specific
Attribute weights.
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Delete
Performance
Measures
Return to
Setup
Review
Attribute
Summaries
Verify
Assessment
List of Performance Measures
1. Product Quality
1.
Comply with Regulatory and Reliability Requirements
1. Degree of Success in Achieving Target Drinking Water Compliance Rate (percent)
2. Degree of Success in Achieving Target Wastewater Treatment Effectiveness Rate (percent)
3. Degree to Which Near Compliance Misses are Minimized (water)
4. Degree to Which Near Compliance Misses are Minimized (wastewater)
5. Meet National and Other Applicable Objectives for Residuals Quantity and Quality
6. Extent to Which Supplemental Local Goals are Addressed
2. Address Customer Needs
1. Achievement of Target Drinking Water Flow and Pressure (percent)
2. Achievement of Target Fire Suppression Flow and Pressure (percent)
3. Extent to Which Service Interruptions are Reduced to Target Levels (percent)
4. Extent to Which Sewer Backups are Reduced to Target Levels (percent)
5. Extent to Which Sanitary Sewer Overflows are Reduced to Target Levels
6. Extent to Which Combined Sewer Overflows are Reduced to Target Levels
7. Extent to Which Safe Drinking Water Act Secondary Standards are met
3. Address Public Health and Ecological Needs
1. Achievement of Water Reuse Targets (percent)
2. Achievement of Beneficial Biosolids Usage Targets (percent)
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2. Customer Satisfaction
1.
Minimize Customer Complaints
1. Extent to Which Customer Service Complaint Rates Fall within Target Levels
2. Extent to Which Technical Quality Complaint Rates Fall within Target Levels
2.
Achieve Target Level of Customer Service Delivery
1. Degree of Field Call Responsiveness (water)
2. Degree of Field Call Responsiveness (wastewater)
3. Degree to Which Error-driven Billing Adjustments Are Minimized
4. Degree to Which Service Start/Stop Responsiveness Falls Within Target Levels
5. Extent to Which Customer Issues are Resolved by Call Center/Customer Service at the time of
the First Call
6. Degree to Which Customer Service Responsiveness Falls Within Target Levels
7. Degree of Abandoned Calls
3.
Receive Positive Customer Perceptions
1. Degree of Positive Customer Feedback Received
2. Perception of Effectiveness at Dispute Management and Resolution
4.
Efficiently Deliver Customer Service
1. Efficiency of Customer Service (Ratio of Cost/O&M Spending)
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3. Employee and Leadership Development
1.
Recruit Appropriate Talent
1. Degree of Success in Implementing a Recruitment Strategy
2. Extent to Which Job Descriptions are Implemented
3. Adequacy of Interview and Selection Processes
2.
Retain Existing Talent
1. Degree of Implementation of Retention Management Plans
2. Degree of Implementation of Onboarding Programs
3. Degree of Implementation of Job Satisfaction Programs
4. Degree of Success in Employee Engagement
3.
Address Succession Planning Needs
1. Adequacy of Workforce Forecasting
2. Adequacy of Succession Plan
4.
Strengthen Core Competencies
1. Degree of Success in Implementing Performance Management Systems
2. Degree of Implementation of Learning Programs
3. Level of Management Training Achieved
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4. Operational Optimization
1.
Provide for Ongoing Operational Improvements
1. Track Record in Providing for Ongoing Operational Improvements
2. Extent to which Operational and Technology Improvements Are Deployed
3. Extent to Which Automated Regulatory Monitoring & Reporting Systems are Implemented
(Water)
4. Extent to Which Automated Regulatory Monitoring & Reporting Systems are Implemented
(Wastewater)
2.
Minimize Resource Use and Losses from Day to Day Operations
1. Degree of Implementation of Resource Optimization Plans
2. Degree of Energy Optimization
3. Degree of Labor Optimization
4. Degree of Chemicals Optimization
5. Degree of Residuals Optimization
6. Degree of Maintenance Optimization
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5. Financial Viability
1.
Develop Sound Financial Plan
1. Degree to Which Financial Planning Efforts Support Strong Bond Ratings
2. Degree to Which Rate Increase Level is Supported by Planning Studies
3. Appropriateness of Rate Planning Horizon
4. Appropriateness of Balance of Capital Spending Between Debt and Equity Expenditures
2.
Provide Financial Integrity
1. Financial Policy Integrity
2. Financial Procedural Integrity
3.
Achieve Budget Management Effectiveness
1. Appropriateness of Annual Revenue to Expenditure Ratio (operating)
2. Appropriateness of Annual Revenue to Expenditure Ratio (capital)
3. Appropriateness of Annual Revenue to Expenditure Ratio (Overall)
4. Degree to Which Long-term Life-cycle Accounting Employs Risk-Based Considerations
5. Adequacy of Operating Reserves
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6. Infrastructure Stability
1.
Develop and Implement an Asset Management Program
1. Degree of Implementation of an Asset Management (AM) Framework
2. Degree of Implementation of Levels of Service
3. Degree of Development of an Asset Management Plan
2.
Maintain Knowledge of Assets and Costs
1. Level of Asset Inventory
2. Level of Asset Condition Information
3. Level of Asset Performance Information
4. Availability of Cost of Asset Ownership Information
3.
Incorporate Risk-Based Analysis into Decisions
1. Degree to Which Risk of Failure Analysis is Incorporated in Decision-Making
2. Extent to Which Critical Assets are Identified
3. Extent to Which Risk Mitigation Options are Identified and Evaluated as Part of Decision-Making
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7. Operational Resiliency
1.
Incorporate Risk Assessments into Decision-making
1. Extent to Which Vulnerability Assessments (VAs) are Conducted and Recommendations
Implemented
2.
Implement Risk Mitigation
1. Emergency Response and Recovery Planning
2. Business Continuity Planning / Continuity of Operations Planning
3. Crisis Communications
4. Business Risk
3.
Sustain Employee Resiliency
1. Achievement in Employee Injury Time Reduction
2. Health and Safety Training
3. Health and Safety Plan
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8. Community Sustainability
1.
Utility Organization
1. Leadership
2. Sustainability Plan
3. Management System
4. Sustainability Reporting
2.
Infrastructure Project Sustainability
1. Project Planning, Design, and
Engineering
2. Infrastructure Procurement
3. General Procurement
3.
Natural Environment
1. Water Management
2. Water Conservation
3. Stormwater
4. Energy
5. Waste Reduction
6. Ecosystem Services
7. Pollution Prevention
8. Climate Change Adaptation
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4.
Economic Strength
1. Economic Competitiveness
2. Local Sourcing
3. Local Payroll
5.
Social Equity
1. Use of Strategic Financial Planning to
Minimize Overall Rate Impacts
2. Appropriate Use of Affordability Programs
to Protect Specially Impacted Groups
3. Degree of Success in Keeping Customer
Bills Within Affordable Levels
4. Community Support
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9. Water Resource Adequacy
1.
Achieve Water Supply Adequacy
1. Adequacy of Long-Term Water Supply
2. Adequacy of the Ratio of Short-term Supply to Short-term Demand (12-mo rolling average)
3. Degree of Implementation of a Basin Supply Plan
4. Degree of Implementation of Drought Management Plan
5. Degree of Implementation of a Source Water Protection Plan
2.
Optimize Reduction of Non-Revenue Water
1. Degree of Success in Achieving Target Levels of Annual Non-revenue Water (NRW)
2. Degree of Success in Achieving Target % of Real Water Loss
3.
Implement Water Conservation
1. Degree of Success in Achieving Target Per Capita Use
4.
Achieve Water Supply Reliability
1. Degree of Implementation of Demand Management/Demand Reduction Plans
2. Frequency of Full Satisfaction of Demand
3. Consideration of Supply/Demand Uncertainty
4. Degree of Success in Managing Raw Water Turbidity to Target Levels
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10.Stakeholder Understanding and Support
1.
2.
3.
4.
5.
Stakeholder Identification
1. Degree of Success in Stakeholder Identification and Analysis
Stakeholder Engagement Plan
1. Degree of Success in Developing and Executing a Stakeholder Engagement Plan
Oversight Body Engagement Strategy
1. Success in Gaining Oversight Body Understanding
Media Interaction Program
1. Degree of Success in Interacting with Media (Traditional and Emerging) to Achieve Accurate
Coverage
2. Degree of Success in Establishing Positive Coverage by the Media (Traditional and Emerging)
Stakeholder Support Performance Measurement System
1. Level of Stakeholder Support Received for Critical Strategic and Operational Directions
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