UEAM Summary - Operation and maintenance Network by liuqingyan

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									The IWA Utilitiy Efficiency Assessment Matrix
The IWA Utilitiy Efficiency Assessment Matrix
                               Enter level
                                                                                                                       Efficiency Level
                               which best
   Corporate Governance
                               describes
                              the situation               1 (poor)                               2                                3                                 4                          5 (excellent)

                                                                                                                  Some departments have             Most departments have            Mission statement at utility level
G1: Mission statement              4          None                               In relation to some activities
                                                                                                                  documented mission statement      documented mission statement     and in all departments

                                                                                                                  Some departments have             Most departments have            Ongoing Strategic Planning,
G2: Strategy                       3          None                               In relation to some activities   documented strategy, updated      documented strategy, updated     documented, updated regularly
                                                                                                                  regularly & implemented           regularly & implemented          & implemented

                                              No criteria of appointment; BoD                                     BoD appointed following clear     BoD appointed following clear
                                                                              BoD and its chairperson                                                                                BoD appointed following clear
G3: Board of directors                        and chairperson are designated                                      and transparent criteria;         and transparent criteria; BoD
& selection of chairperson         2          by government (local or
                                                                              appointed following subjective
                                                                                                                  Government designates the         proposes candidate(s)
                                                                                                                                                                                     and transparent criteria; BoD
                                                                              criteria                                                                                               selects its chairperson
                                              national)                                                           chairperson                       chairperson to government
                                                                                                                                                                                     Documented Code of Conduct
                                              No code of conduct. No clear       Well defined roles,              Well defined roles,               Well defined roles,
                                                                                                                                                                                     & well defined roles,
G4: Code of conduct                           definition of roles,               responsibilities and             responsibilities and              responsibilities and
& internal accountability          3          responsibilities and               accountabilities for some        accountabilities for key          accountabilities, no written
                                                                                                                                                                                     responsibilities and
                                                                                                                                                                                     accountabilities include
                                              accountabilities                   positions only                   positions only                    Code of Conduct
                                                                                                                                                                                     performance targets
                                                                                                                                                                                     Documented QC procedures at
                                                                          Documented QC procedures in             Some departments have             Most departments have
G5: Procedures and quality                                                                                                                                                           utility level and in all
control                            4          No documented QC procedures relation to some activities,            documented QC procedures,         documented QC procedures,
                                                                                                                                                                                     departments, regularly audited
                                                                          regularly audited and updated           regularly audited and updated     regularly audited and updated
                                                                                                                                                                                     and updated

                                                                                                                                                    Existence of ceilings; Clear     Existence of ceilings; Clear
                                                                                 Existence of ceilings but no     Existence of ceilings;
                                              No ceilings and no written                                                                            transparent procurement          transparent procurement
G6: Procurement                    4          procedures for procurement
                                                                                 written procedures for           Procurement procedures
                                                                                                                                                    procedures using Cost Based      procedures using Quality &
                                                                                 procurement                      subject to interpretation
                                                                                                                                                    Selection                        Cost Based Selection (QCBS)

                                                                                                                                                                                    PR recognized as a full
                                              No dedicated PR person, no         Some PR actions are taken but    PR actions do exist on a          PR tools and actions exist,
                                                                                                                                                                                    process, web site,
G7: Public relations               2          web site, no communication         without any formalized policy    permanent basis, with web site,   including web site, and are
                                                                                                                                                                                    communication tools and
                                              tools & policy                     and no established tools         but no policy is in place         regularly activated and updated
                                                                                                                                                                                    formalized policy are in place
                                                                                                                 Membership in professional                                         Active role in national and
                                              No participation in any            Few case by case participations                                    Membership in professional
                                                                                                                 bodies and attendance to                                           international professional
G8: Professional bodies            3          professional society or in         to events organized by
                                                                                                                 professional events but no
                                                                                                                                                    bodies and regular attendance
                                                                                                                                                                                    bodies and full participation in
                                              professional events                professional bodies                                                to professional events
                                                                                                                 regular participation                                              professional events

                                                                                                                                                                                   Short and long term strategy to
                                                                                                                                                   Regular monitoring of impact on
G9: Accountability to                                                            Irregular monitoring of impact of Regular monitoring of impact on                                 improve impact on environment
environment                        1          No accountability to environment
                                                                                 environment                       environment
                                                                                                                                                   environment and list of actions
                                                                                                                                                                                   and GHG emissions and
                                                                                                                                                   to improve
                                                                                                                                                                                   monitoring tools

Overall Corporate
Governance Efficiency Level
                                  2.9
                               Enter level                                                                                Efficiency Level
                               which best
     Human Resources
                               describes
                              the situation               1 (poor)                              2                                  3                                   4                             5 (excellent)

                                                                                                                                                                                           Excellent internal
                                                                                                                                                       Adequate internal
                                                                                                                  Regular information top down,                                            communications, including:
                                                                                                                                                       communications, including
                                              No regular systematic                                               limited possibilities to give                                            regular newsletter, regular staff
                                                                                Minimal, irregular information                                         regular staff information events,
H1: Internal communications        3          information flow top down or
                                                                                top down only
                                                                                                                  feedback.
                                                                                                                                                       communications in both
                                                                                                                                                                                           information events,
                                              bottom up                                                           Business documents are openly                                            transparency even in the case
                                                                                                                                                       directions encouraged
                                                                                                                  shared.                                                                  of bad news, communications in
                                                                                                                                                                                           both directions encouraged

                                                                                Required number of staff                                            Staffing level has been
                                                                                                                  Required number of staff                                            Optimum staffing level known
H2: Recruitment and                           Appropriate staff number not      approximately known but actual                                      determined in the past but is not
staffing levels                    4          known and recruitment ad hoc      staff numbers significantly
                                                                                                                  approximately known and actual
                                                                                                                                                    regularly reviewed. Staffing
                                                                                                                                                                                      and annually reviewed, staffing
                                                                                                                  staff numbers close to this level                                   presently at the optimum level
                                                                                below or above the target level                                     close to this level

                                                                                Remuneration levels low, but                                                                              Attractive packages, significant
                                                                                                                                                       Better than average packages,
                                              Remuneration levels very low,     high enough to attract             Levels are in accordance with                                          interest if job opportunities are
                                                                                                                                                       significant interest if job
H3: Remuneration levels            2          impossible to attract qualified   professionals because of the       similar positions in the water
                                                                                                                                                       opportunities but limited
                                                                                                                                                                                          announced, no incentive to
                                              personnel                         lack of other opportunities in the industry and related business                                          leave the utility for financial
                                                                                                                                                       incentive to stay until retirement
                                                                                region                                                                                                    reasons

                                                                                                                                                                                           Actively managed staff training
                                                                                                                                                                                           and capacity building,
                                                                                                                                                       Actively managed staff training     comprehensive and budgeted
                                                                                Basic training for some           Limited staff training and           and capacity building,              education plan, staff
H4: Staff training &                          No staff training or education
education programs
                                   3          and no related budget
                                                                                functions provided, mostly on-    capacity building, availability of   availability of an education        encouraged to make own
                                                                                the-job training                  a minimal education plan             plan, staff encouraged to make      suggestions, participation in
                                                                                                                                                       own suggestions                     third party courses encouraged
                                                                                                                                                                                           and paid for, participation in
                                                                                                                                                                                           conferences possible

Overall Human Resources
Efficiency Level                  3.0
                            Enter level                                                                                 Efficiency Level
  Accountability towards    which best
       customers            describes
                           the situation                1 (poor)                             2                                  3                                  4                            5 (excellent)

                                                                                                              Coverage is not full and part of     Coverage is not full but access
                                           Coverage is limited to dense      Coverage is poor in peri-urban
A1: Coverage                    1          urban area                        areas
                                                                                                              the population has no easy           is provided to most of the         Coverage is full on territory
                                                                                                              access to water                      population
                                                                                                              Inadequate water pressure is
                                           Inadequate water pressure is      Inadequate water pressure is                                          Mostly demand driven level of
                                                                                                              chronic in some of the service                                          Demand driven level of service
A2: Delivery of service         3          chronic, or hours of supply are   chronic in several areas, supply
                                                                                                              area, or there are frequent
                                                                                                                                                   service; but service disruption
                                                                                                                                                                                      to agreed targets; 24/7 supply
                                           limited                           is not 24/7                                                           objectives are not met
                                                                                                              service disruptions
                                                                                                              Chemical and bacteriological         Chemical and bacteriological
                                           Water quality is permanently      Water quality is poor most of                                                                            Chemical and bacteriological
                                                                                                              quality of water is irregular with   quality of water is good but not
A3: Water quality               3          poor and not complying with       the time although OK in some
                                                                                                              many non compliances with            always complying with
                                                                                                                                                                                      quality of water is high and
                                           regulations                       areas and at some periods                                                                                complying with regulations
                                                                                                              regulation                           regulation

                                                                                                                                                                                      Budgeted and staffed
                                                                                                                                                                                      communication service as part
                                                                             Occasional public awareness       Occasional public awareness
                                           Only communication is the bill.                                                                         Budgeted and staffed customer      of an external relations
                                                                             campaigns or customer             campaigns.
                                           No staff and no strategy for                                                                            communication service.             department.
A4: Customer                                                                 communications.                   Systematic information for
communication                   2          customer communication.
                                                                             No systematic information for     customers prior to supply
                                                                                                                                                   Systematic information of          Systematic information of
                                           No information for customers                                                                            customers via a range of media     customers via a range of media
                                                                             customers prior to supply         interruptions.
                                           prior to supply interruptions.                                                                          prior to supply interruptions.     prior to supply interruptions.
                                                                             interruptions.
                                                                                                                                                                                      Follow up surveys to check
                                                                                                                                                                                      effectiveness

                                                                                                                                                                                      Convenient ways for bills
                                                                                                                                                                                      payment. Simple application for
                                                                                                                                                   Convenient ways for bills
                                                                                                                                                                                      connection procedures.
                                                                                                                                                   payment. Simple application for
                                                                                                                                                                                      Convenient communication
                                                                                                               Convenient ways for bills           connection procedures.
                                                                             Bills payment at the utility                                                                             methods to change customer
                                           Bills payment at the utility                                        payment.                            Convenient communication
                                                                             premises only.                                                                                           information.
A5: Customer Services           3          premises only.
                                                                             Basic call centre but no
                                                                                                               Call centre records calls but       methods to change customer
                                                                                                                                                                                      Call centre records calls and is
                                           No call centre.                                                     can not provide real time           information.
                                                                             systematic recording of calls.                                                                           able to provide real time
                                                                                                               information.                        Call centre records calls and is
                                                                                                                                                                                      information.
                                                                                                                                                   able to provide real time
                                                                                                                                                                                      Regular customer satisfaction
                                                                                                                                                   information.
                                                                                                                                                                                      surveys with performance
                                                                                                                                                                                      targets

                                                                                                                                                   Complaint logging system in        Complaint logging system in
                                           Complaints not recorded and
                                                                                                                                                   place, standard complaints         place, standard complaints
                                           irregular follow-up, often very   Basic complaints recording,       Complaint logging system in
A6: Complaints                                                                                                                                     resolution times set and actual    resolution times set and actual
management                      4          long complaint resolution         long complaints resolution        place, prioritization and follow
                                                                                                                                                   achievement monitored,             achievement monitored,
                                           duration, no prioritization of    times, no prioritization          up in place
                                                                                                                                                   complaints resolved within the     complaints resolved within the
                                           complaints
                                                                                                                                                   target time                        target time, ombudsman

Overall accountability
towards customers              2.7
Efficiency Level
                               Enter level                                                                                 Efficiency Level
                               which best
          Financial
                               describes
                              the situation                1 (poor)                             2                                   3                                  4                             5 (excellent)

                                                                                The utility has it own annual
                                                                                                                                                                                       Balanced and detailed financial
                                              The utility does not have its own budget, but insufficiently         Balanced and detailed budget       Balanced and detailed financial
F1: Existence of financial                                                                                                                                                             projections and budget meeting
operating projections              4          financial operating budgets and detailed, or not balanced            for coming year with no longer     projections and budget for three
                                                                                                                                                                                       the mid term business plan and
                                              projections                       between expenditures and           term projections                   years
                                                                                                                                                                                       utility strategy
                                                                                revenues
                                                                                                                   Utility does longer term capital                                    Utility does long term capital
F2: Existence of capital                                                                                                                              Utility does long term capital
                                              The utility does no capital       Utility does limited capital       planning, beyond five years, to                                     planning and budgeting with
planning and projections           5          planning                          planning for less than five years. include new assets and
                                                                                                                                                      planning and budgeting but has
                                                                                                                                                                                       identification of sources of
(CAPEX)                                                                                                                                               not identified sources of funds.
                                                                                                                   upgrades.                                                           funds.
                                                                                                                                                                                       Accounting procedures comply
                                                                                                                   Principles exist and are           Accounting procedures comply with legal requirements and
F3: Accounting principles                                                       Principles exist but are not
and procedures                     4          Principles not documented
                                                                                followed
                                                                                                                   followed but do not comply with    with legal requirements and      meet documented good
                                                                                                                   legal requirements                 meet documented good practice. practice.
                                                                                                                                                                                       Balance sheets are available.

F4: Financial reporting and                                                     In process of developing           Monthly or Quarterly reporting,    Quarterly detailed reporting and Monthly detailed reporting and
monitoring                         4          No periodic reporting
                                                                                reporting and monitoring           not detailed                       monitoring. Annual report        monitoring. Public annual report.

                                                                                                                                                      Annual external audit by a           Annual external audit by an
F5: External Auditing of                                                        Annual external audit by an        Annual external audit by a local
annual financial records           4          No external auditing
                                                                                administrative body                independent audit firm
                                                                                                                                                      national independent audit firm      independent, internationally
                                                                                                                                                      with significant qualifications      recognized audit firm

                                                                                                                   Utility has access to limited
                                                                                Utility has access to local and                                       Utility has access to limited        Utility has an investment grade
                                              Utility has no rating or no                                          international credit under its
F6: Credit worthiness              3          access to credit
                                                                                limited credit under its owner's
                                                                                                                   owner's guarantee or to local
                                                                                                                                                      international credit without         credit rating and has access to
                                                                                guarantee                                                             owner's guarantees                   Banks and competitive offers
                                                                                                                   credit

                                              Political tariff totally          Insufficient tariff set by the local Tariff increases estimated by    Legal framework and formula          Legal framework and automatic
F7: Tariff setting policies
and mechanism                      3          disconnected from the actual      or national government mainly        the utility and subject to       for regular tariff reset , subject   formula for regular tariff reset
                                              water cost                        based on political considerations government approval                 to government approval               meeting the actual water cost

                                                                                                                                              Revenues cover operating                     Full Cost Recovery - or -
                                              Revenues less than 75% of         Revenues cover at least 75% of                                costs and significant capital                Revenues cover operating
F8: Revenue Sufficiency            4          operating costs                   operating costs
                                                                                                               Revenues cover operating costs
                                                                                                                                              costs-or- Revenues cover                     costs, debt service, and capital
                                                                                                                                              operating costs and debt service             repair and replacement

Overall Finacial Efficiency
Level                             3.9
                              Enter level                                                                                  Efficiency Level
                              which best
        Commercial
                              describes
                             the situation                 1 (poor)                             2                                  3                                 4                            5 (excellent)

                                                                                                                                                                                         Computerized customers
                                                                                                                                                                                         database, Internal quality
                                                                                                                                                      Computerized customers             control system.
                                             Paper customer files, not           Computerized customers            Computerized customers
C1: Customer Information          2          updated                             database, not updated             database, regularly updated
                                                                                                                                                      database, Internal quality         Total control of customers
                                                                                                                                                      control system                     database evolution.
                                                                                                                                                                                         Customer Relationship
                                                                                                                                                                                         Management
                                             Manual meter reading and data
                                             transfer                            Manual meter reading and data     Manual meter reading and data
                                                                                                                                                      Meter reading with hadheld
                                             Lack of clear operational and       transfer                          transfer                                                              Automatic Meter Reading (AMR)
                                                                                                                                                      devices, automatic data transfer
C2: Meter reading and                        control procedures and therfore     Basic operational and control     Clear operational and control                                         Clear operational and control
billing                           3          potential for a significant level   procedures.                       procedures.
                                                                                                                                                      Clear operational and control
                                                                                                                                                                                         procedures.
                                                                                                                                                      procedures.
                                             of mistakes.                        Uncertain whether all customers   Uncertain whether all customers                                       > 99% of all customers billed
                                                                                                                                                      > 99% of all customers billed
                                             Uncertain whether all customers     are billed.                       are billed.
                                             are billed.
                                                                                                                    80-90% of billes actually         90-99% of billes actually          > 99 % of bills are actually
C3: Collection efficiency:                   % of billed amount collected        < 80% of billes actually collected
                                                                                                                    collected                         collected                          collected
domestic and industrial           2          unknown                             average collection period > 60
                                                                                                                    average collection period 31-60   average collection period 31-60    average collection period < 30
clients                                      collenction period unknown          days
                                                                                                                    days months                       days                               days
                                                                                                                    Most public authorities and       Most public authorities and        All public authorities and
C4: Collection efficiency:                                                       Only some public authorities       bonded clients do pay water       bonded clients do pay water        bonded clients do pay water
                                             Public authorities and bonded
public authorities and            4          clients do not pay water bills.
                                                                                 and bonded clients do pay          bills, not necessarily on         bills on schedule. No action       bills on schedule. Action plan
bonded clients                                                                   water bills.                       schedule. No action plan in       plan in place to enforce           with specific measures in place
                                                                                                                    place to enforce payment.         payment.                           to enforce payment
                                                                                                                    All industrial clients are        All customers are metered.
                                                                                                                                                                                         All customers are metered.
                                                                                                                    metered; not all domestic         No regular testing and
                                                                                                                                                                                         Regular testing and calibration
C5: Customers metering            4          no metering                         Limited metering                   customers are metered. No         calibration of meters.
                                                                                                                                                                                         of meters.
                                                                                                                    metering of public                No scheduled meter
                                                                                                                                                                                         Scheduled meter replacement
                                                                                                                    administrations.                  repalcement
Overall Commercial
Efficiency Level                 3.0
                                Enter level                                                                                Efficiency Level
                                which best
         Technical
                                describes
                               the situation               1 (poor)                            2                                   3                                4                         5 (excellent)

                                                                               Water safety plan defined but       Water safety plan partially       Water safety plan defined and   Water safety plan implemented,
T1: Water safety plan               2          No water safety plan.
                                                                               not implemented                     implemented                       implemented                     regularly audited and reviewed

                                                                                                                                                     Updated and comprehensive       Strategic asset management
T2: Strategic Asset                            Lack of clear knowledge of      Basic record of all                 Updated and comprehensive         record of all infrastructure.   plan: existing and implemented,
management                          2          assets and no record keeping.   infrastructure, not updated         record of all infrastructure.     Risks of critical failures      including evaluation of the risk
                                                                                                                                                     identified                      of failure and lifecycle costing

                                                                                                                                                                      IWA Water Balance available
                                                                                                                                                                      and regularily updated
                                                                                                        % NRW monitored                                               Physical and commercial losses
                                                                                                                                       IWA Water Balance available
                                                                                                        Now Water Balance available.                                  performance indicators
                                               No monitoring of NRW        % NRW monitored                                             Some actions are undertaken to
                                                                                                        Some actions are undertaken to                                monitored
T3: NRW management                  1          indicators.                 Now Water Balance available.
                                                                                                        reduce commercial or physical
                                                                                                                                       reduce commercial or physical
                                                                                                                                                                      Regular NRW reduction
                                               No NRW management strategy. No NRW management strategy.                                 losses but without NRW
                                                                                                        losses but without NRW                                        activities as per a comprehesive
                                                                                                                                       management strategy.
                                                                                                        management strategy.                                          NRW management strategy.
                                                                                                                                                                      Sufficient budget for NRW
                                                                                                                                                                      management

                                                                                                                                                     Monthly and comprehensive
                                                                                                                                                                                     Comprehensive performance
                                                                                                                                                     monitoring of operational
                                                                               Some operational efficiency         Monitoring of some operational                                    monitoring & review with an
                                               No operational efficiency                                                                             efficiency indicators. Some
T4: Operational efficiency          2          monitoring.
                                                                               indicators are occasionally         efficiency indicators but not
                                                                                                                                                     actions are implemented to
                                                                                                                                                                                     efficiency improvement strategy
                                                                               monitored.                          comprehensive.                                                    and action plan in place and
                                                                                                                                                     improve the operational
                                                                                                                                                                                     followed.
                                                                                                                                                     efficiency.
                                                                                                                                                     Breakdowns and maintenance      Detailed maintenance plans are
                                               No maintenance other than       Some limited routine                All essential plant has routine
                                                                                                                                                     are regularly reviewed to       maintained based on criticality
T5: Maintenance                     2          breakdown maintenance, poor     maintenance and basic record        maintenance and records of
                                                                                                                                                     reduce failures and optimize    with condition monitoring where
                                               records                         keeping                             maintenance and breakdowns
                                                                                                                                                     maintenance                     appropriate

                                                                                                                                                                                     Long term master plan existing
                                                                               Identification of water resource    Long term master plan existing;   Long term plan existing and
T6: Water resources                                                                                                                                                                  and regularly updated; related
management                          1          No water resources plan         issues and shortfalls, but no       budget not available and/or       monitored. Some funding or
                                                                                                                                                                                     investments included in budget
                                                                               coherent plan to resolve            assumptions not tested            resource shortfalls
                                                                                                                                                                                     and financial planning

                                                                               Occasional sampling and             Regular sampling and testing      Regular sampling and testing    Regular sampling and testing
T7: Drinking water quality                     No water quality sampling and   testing . Water quality regularly   program. Water quality            program. Water quality always   program. Water quality always
monitoring                          4          testing.                        does not meet applicable            regularly does not meet           meets applicable legislation    meets applicable legislation and
                                                                               legislation.                        applicable legislation.           requirements.                   WHO requirements.

Overall Technical Efficiency
Level
                                   2.0
                                               Efficiency Level


                                        poor                      excellent

Utility corporate governance    2.9 #

     Human Resources            3.0 #

  Accountability towards
                                2.7 #
       consumers

          Financial             3.9 #

        Commercial              3.0 #

         Technical              2.0 #

  Overall Utility Efficiency   2.9

								
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