英文【世界银行】未来公用事业4.0将水和卫生设施提升到一个新的水平：一种点燃水和卫生公用事业转型的方法（英）2024

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UtilityoftheFuture

Takingwaterandsanitationutilities

beyondthenextlevel

4.0

FEDERICOPEREZPENALOSACAMILOLOMBANAGUSTAVOSALTIEL

Amethodologytoignitetransformationinwaterandsanitationutilities

AbouttheWaterGlobalPractice

Launchedin2014,theWorldBankGroup’sWaterGlobalPracticebringstogetherfinancing,knowledge,andimplementationinoneplatform.BycombiningtheBank’sglobalknowledgewithcountryinvestments,thepracticegeneratesmorefirepowerfortransformationalsolutionstohelpcountriesgrowsustainably.

Pleasevisitusat/waterorfollowusonX:@WorldBankWater.

AboutGWSP

ThispublicationreceivedthesupportoftheGlobalWaterSecurity&SanitationPartnership(GWSP).GWSPisamultidonortrustfundadministeredbytheWorldBank’sWaterGlobalPracticeandsupportedbyAustralia’sDepartmentofForeignAffairsandTrade,Austria’sFederalMinistryofFinance,theBill&MelindaGatesFoundation,Denmark’sMinistryofForeignAffairs,theNetherlands’MinistryofForeignAffairs,Spain’sMinistryofEconomicAffairsandDigitalTransformation,theSwedishInternationalDevel-opmentCooperationAgency,Switzerland’sStateSecretariatforEconomicAffairs,theSwissAgencyforDevelopmentandCooperation,U.K.InternationalDevelopment,andtheU.S.AgencyforInternationalDevelopment.

Pleasevisitusat/gwsporfollowusonX:@TheGwsp.

AboutUtilityoftheFutureCenterofExcellence

ThispublicationreceivedthesupportoftheUtilityoftheFutureCenterofExcellence(UoF-CoE).TheWorldBank,inpartnershipwiththeSwissStateSecretariatforEconomicAffairs(SECO),hasestablishedtheUtilityoftheFutureCenterofExcellence.TheUoF-CoEunlocksthefullpotentialofwaterutilitiesandempowersthemtobecomethedrivingforcetoaccelerateuniversalaccesstowaterandsanitationservices.

Pleasevisitusat/uof.

UtilityoftheFuture

Takingwaterandsanitationutilities

beyondthenextlevel

4.0

FEDERICOPEREZPENALOSACAMILOLOMBANAGUSTAVOSALTIEL

Amethodologytoignitetransformationinwaterandsanitationutilities

©2024InternationalBankforReconstructionandDevelopment/TheWorldBank

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Thematerialinthisworkissubjecttocopyright.BecauseTheWorldBankencouragesdisseminationofitsknowledge,thisworkmaybereproduced,inwholeorinpart,fornoncommercialpurposesaslongasfullattributiontothisworkisgiven.

Pleasecitetheworkasfollows:LombanaCordobaCamilo,GustavoSaltiel,andPerezPenalosaFederico.2024.“UtilityoftheFuture,TakingWaterandSanitationUtilitiesBeyondtheNextLevel.AMethodologytoIgniteTransformationinWaterandSanitationUtilities.”WorldBank,Washington,DC.

Anyqueriesonrightsandlicenses,includingsubsidiaryrights,shouldbeaddressedtoWorldBankPublications,TheWorldBankGroup,1818HStreetNW,Washington,DC20433,USA;fax:202-522-2625;e-mail:pubrights@

Coverdesign:CircleGraphics,Inc.andFedericoPerezPenalosaPagedesign:CircleGraphics,Inc.

Contents

AcknowledgmentsviiExecutiveSummaryixAbbreviationsxiii

CHAPTER1

Introduction1

CHAPTER2

TheUtilityoftheFutureFramework3

2.1UtilityoftheFutureConcept4

2.2TheUoFSuccessPyramid8

2.3KnowledgeIntegration10

CHAPTER3

BecomeaUtilityoftheFuture13

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UTILITYOFTHEFUTURE

CHAPTER4

UtilityoftheFutureImplementationProcess19

4.1UoFStandard19

1Ignition|360-degreeAnalysisandIdentificationofKey

OpportunitiesforImprovement22

2Action|100-DayActionPlan33

3Vision|StrategicArchitecture38

4.2UoFAdvanced43

4Planning|BusinessandInvestmentPlan44

5Acceleration|One-YearDeepChangeProgram51

CHAPTER5

Conclusions57References59Appendices61

AppendixA.ComponentsofaWorldClassWaterSector61

AppendixB.CustomerService63

AppendixC.PerformanceLevelAssessment67

AppendixD.UsefulResourcesandTools70

AppendixE.Glossary72

iv

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TAKINGWATERANDSANITATIONUTILITIESBEYONDTHENEXTLEVEL

TABLES

Table4.1ParametersofServicetoCustomers23

Table4.2ParametersofPerformanceLevel25

Table4.3ParametersCurrentMaturityLevel27

Table4.4GapAnalysis30

Table4.5KeyAspectsofChangeManagementtoConsiderinPhase1:

ShakeUptheStatusQuo32

Table4.6KeyAspectsofChangeManagementtoConsiderinPhase2:

PursuetheChange37

Table4.7KeyAspectsofChangeManagementtoConsiderinPhase3:

EnvisiontheFuture43

Table4.8KeyAspectsofChangeManagementtoConsiderinPhase4:

EnergizeChange49

Table4.9ElementsoftheDeepChangeProgram52

Table4.10KeyAspectsofChangeManagementtoConsiderinPhase5:

DynamizeActions55

FIGURES

Figure2.1TheUtilityoftheFuture4

Figure2.2AchievingSuperiorCustomerService7

Figure2.3UoFSuccessPyramid9

Figure3.1UoFImplementationMethodology14

Figure3.2UoFImplementationTimeline15

Figure3.3UtilityoftheFutureWorldwide17

Figure4.1UoFStandard20

Figure4.2ExampleUoFIgnitionWeek22

Figure4.3CurrentServicetoCustomers23

Figure4.4RepresentationofCurrentPerformanceLevel24

Figure4.5Example:CurrentMaturityLevel26

Figure4.6RepresentationofCurrentMaturityLevel26

Figure4.7RepresentationofCurrentMaturityLevelvs.PerformanceLevel28

Figure4.8Example:DesiredMaturityLevel29

Figure4.9Example:Output|360-degreeAnalysisReport31

Figure4.10Selectionof100-DayActions33

Figure4.11SelectionofLong-termPriorities40

Figure4.12StrategicMap41

Figure4.13UoFAdvanced44

Figure4.14BusinessandInvestmentPlanCycle45

Figure4.15DeepChangeRepresentation51

BOXES

Box2.1RelevantTargetsofSustainableDevelopmentGoal65

Box4.1RebrandingandIdentity42

Acknowledgments

ThisdocumentisaproductoftheWorldBankWaterGlobalPractice’sUtilityoftheFutureCenterofExcellence(UoF-CoE).ThisinitiativeisledbyCamiloLombanaCordoba(SeniorWaterSupplyandSanitationSpecialist),FedericoPerezPenalosa(SeniorWaterSupplyandSanitationSpecialist),GustavoSaltiel(GlobalLeadWaterSupplyandSanitationSpecialist),andWinstonYu(PracticeManager).TheUoFmethodologytoignitetransformationprocessesofwaterandsanitationutilitieswasdevelopedinacollaborativeandparticipatoryspiritandbuildsonthebodyofknowledgeoftheWaterGlobalPractice.

SpecialthanksgotothefollowingWaterGlobalPracticestaffmemberswhoprovidedvaluablecommentsandinputstothefirstversion(UoF1.0)ofthemethodology,publishedin2021:AileenCastro,AlexMcPhail,AndreasRohde,AntonioRodriguezSerrano,BertaMacheve,CarolinaDominguezTorres,ChrisHeymans,ChristineOchieng,DiegoRodrigues,FadelNdaw,FernandoArmendaris,JemimaT.Sy,JessicaGesundForero,IainMenzies,IrisMarmanillo,IyadRammal,Jean-MartinBrault,LauraBonzanigo,LilianPena,MariaAngelicaSotomayor,MariaCatalinaRamirez,MartinGambrill,MidoriMakino,NanditaKotwal,NorhanSadik,PatriciaLopez,PierMantovani,RaghavaNeti,RoohiAbdullah,SanjayPahuja,SanyuLutalo,SarahKeener,ToyokoKodama,XavierHenriMaitrerobert,andYitbarekTessema.SpecialthanksgototheteamsatIsleUtilitiesandCastaliafortheirworkondevelopingthefirstversionofthemethodology:BlancaAntizar,BenjaminTam,BabiUku,CerisvanderVyver,DavidEhrhardt,ElviraSerra,LisaNations,MatthewStephenson,andShannonRiley.

ForthesecondversionoftheUoFmethodology(UoF2.0),specialthanksforthedevelopmentofthreenewelementsofanalysis(orzoom-inlenses)gotoGregoryCalnerFelter,NathanL.Engle,

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UTILITYOFTHEFUTURE

andSeanChristopherNelsonforgreenmanagement;KristofferWelsien,DilipR.Limaye,AnneShrestha,andGuillaumeFeryforenergyefficiency;andKamilaGaleza,GaiaHatzfeldt,GracielaGarone,andtheEqualAquateamforgenderbalanceanddiversity.WealsoacknowledgethecontributionsofRadoslavZlatkovintheupdateoftheUoFpractices.

ForthethirdversionoftheUoFmethodology(UoF3.0),specialthanksgotoIsleUtilitiesforthecollectionandcurationofresources(casestudies,examples,newpractices)tostrengthenthelearningprocessforutilitiesduringUoFimplementation.

ForthefourthversionoftheUoFmethodology(UoF4.0),specialthanksforthedevelopmentandupdateofnewelementsofanalysis,material,oradditionaltoolsgotoGerhardusNicolaasAlbertusSoppe,MaFiorellaDelosReyesFabella,andPatrickEgan(Non-RevenueWater),JohanKruger(FinancialSustainabilityandCreditworthiness),SvenSchlumpbergerandGregoryCalnerFelter(EnvironmentalManagementandClimateChange);JoshuaNewton(HumanResources),JulioSerna(BusinessandInvestmentPlanPlaybook),Jean-MartinBrault(Digitalization),UNAConsulting(updateofUoFcoreelementsanddevelopmentoftheLocalGovernmentUnitelement).

WealsoacknowledgetheSwitzerland’sStateSecretariatforEconomicAffairs(SECO)foritssupportforestablishmentoftheUtilityoftheFutureCenterofExcellence.

Finally,weacknowledgethecontributionsandfeedbackofutilitiesusingdifferentmodalitiesoftheUoFmethodologyincountriessuchasAlbania,Argentina,Bangladesh,Belarus,BosniaandHerzegovina,Brazil,Burundi,Cambodia,CentralAfricanRepublic,DemocraticRepublicofCongo,ArabRepublicofEgypt,ElSalvador,Ethiopia,Ghana,Honduras,India,Indonesia,Jordan,Kenya,Kosovo,Lebanon,Mexico,Moldova,Mozambique,Nepal,Nigeria,Pakistan,Peru,Philippines,Poland,Rwanda,SãoToméandPríncipe,Sri-Lanka,Timor-Leste,RepublicofTürkiye,Uruguay,andZambia.

viii

ExecutiveSummary

TheSustainableDevelopmentGoal(SDG)forwaterandsanitation—“toensureavailabilityandsustainablemanagementofwaterandsanitationforall”(UnitedNations.n.d.[a])—representsbothaformidablechallengeandasignificantopportunityinglobaldevelopment.Despiteprogress,approximately2.4billionpeoplelackaccesstoimprovedsanitationfacilities,andsome0.7billionpeoplestilldonothavereliablesourcesofdrinkingwater.Forthosewithaccess,issuessuchasintermittentsupply,seweragesystemoverflows,andinadequatecustomerserviceremainprevalent.TheUtilityoftheFuture(UoF)programprovidesastructuredapproachtoaddressthesechallengesandguidewaterandsanitationutilitiesthroughacomprehensivetransformationprocess.

DefinitionofUtilityoftheFuture

AUtilityoftheFuture(UoF)isdefinedasafuture-focused,action-oriented,andcontinuouslyimprovingutilitythatprovidesreliable,safe,inclusive,transparent,andresponsivewatersupplyandsanitation(WSS)services.Itachievestheseservicesthroughbest-fitpracticesthatenableittooperatedynamically,efficiently,resiliently,adaptively,andsustainably.Thisdefinitionunderscorestheprogram’sgoaltotransformutilitiesintoprovidersthatnotonlymeetcurrentserviceneedsbutalsoanticipateandadapttofuturechallenges.

UtilityoftheFutureProcess

TheUoFprogram’smethodology,isdividedintotwomainphases:theUoFStandardandUoFAdvanced.TheUoFStandardphasefocusesonestablishingasolidfoundationfortransformationthroughinitial360-degreeanalysis,actionplanning,andstrategicvisiondevelopment.The

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UoFAdvancedphasebuildsonthisfoundationbyimplementingacomprehensivebusinessandinvestmentplan,followedbyatailoredone-yeardeep-changeprogramdesignedforeachutilityonthebasisofcontext,need,priorities,internalcapacities,andresources.Thisapproachaimstoaddressbothimmediateandlong-termneeds,ensuringutilitiesarewell-equippedtomeetevolvingdemandsandachievesustainablesuccess.TheUoFProgramguidesutilitiestoinitiatetheirtransformationjourney;however,thetruesuccessofautility’simprovementextendsbeyondtheimplementationoftheUoFProgrampresentedinthisdocument.Successfulimplementationoftheprogramidentifiesperformancegaps,areasneedingattentionandhighlightsopportunitiesforimprovementtotriggerthereformmomentum.BecomingtheUtilityoftheFuture,however,requiresutility’ssustainedeffortstomaterializetheimprovementactionsidentifiedandinitiatedthroughtheprogram.

UoFStandard:TheUoFStandardphaseestablishesthefoundationfortransformationthroughthreestages:

1.Ignition:Thisstageinvolvesacomprehensive360-degreeanalysisoftheutility’scurrentstate.Theanalysisevaluatesservicedelivery,performancelevels,andoperationalmaturitytoidentifyopportunitiesforimprovement.Itresultsinadetailedreportthathighlightsgapsandpotentialareasforactioninboththeshorttermandlongterm.

2.Action:BuildingoninsightsfromtheIgnitionstage,theActionstagefocusesonimple-mentinga100-dayactionplan.Thisplanincludeshigh-impact,short-terminitiativesaimedatgeneratingimmediateimprovementsandengagingstaffinthetransformationprocess.

3.Vision:TheVisionstageinvolvesdefiningorrefiningtheutility’sstrategicarchitecture,includingthevisionstatement,missionstatement,andstrategicobjectives.Thisstageprovidesacleardirectionfortheutility’sfutureandestablisheslong-termpriorities,formingthebaselineforthefive-yearbusinessandinvestmentplan.

UoFAdvanced:TheUoFAdvancedphaseisatailor-madecomponentandextendsthetransformationeffortswithafocusondetailedplanning,removingbarriers,andcreatinginternalcapacitiesforsustainedimprovementthroughtwostages:

x

4.Plan:ThePlanstageinvolvescreatingacomprehensivebusinessandinvestmentplanthatincludesabaselineanalysis,SWOTanalysis,strategicobjectives,KPIs,and

TAKINGWATERANDSANITATIONUTILITIESBEYONDTHENEXTLEVEL

financialforecasts.Theplanoutlinesatransformationroadmapandtrackingprocesstomonitorprogressandensurealignmentwithstrategicgoals.

5.Acceleration:TheAccelerationstageconsistsofaone-yearDeep-ChangeProgramdesignedforeachutilitytoenhanceinternalcapabilities,implementcustomizedactions,andovercomebarrierstochange.Thisprogrampursuesprocessoptimization,talentdevelopment,technologyupgrades,andotheractivities.

ParalleltothisprocessistheSPEEDdimension—Shakeup,Pursue,Envision,Energize,Dynamize—whichtakesahuman-centeredapproachtothetransformationprocess.TheSPEEDdimensionensuresthatutilitiesfocusnotonlyontechnicalandoperationalimprove-mentsbutalsoonleadershipdevelopment,behavioralchange,andstaffengagementforasolidandsustainabletransformation.

TheUoFprogramhasdemonstratedexceptionalscalabilityandadaptabilitythroughitsimplementationin100-plusutilitiesinmorethan35countries.Thiswidespreadapplicationhighlightstheprogram’scapacitytobeeffectivelycustomizedfordiverseoperationalenviron-mentsandregulatorycontexts.Itsflexibleframeworkaccommodatesvariousutilitysizesandcharacteristics,fromsmallmunicipalsystemstolargemetropolitannetworks,addressingawiderangeofperformancelevelsandchallenges.Whetherindevelopingregionsgrapplingwithrapidurbanizationorindevelopedareasfacingaginginfrastructure,theUoFprogramcouldbeahelpfulplatformtodrivemeaningfulchangesandimprovementsinwaterandsanitationservicesworldwide.

xi

Abbreviations

CEOChiefExecutiveOfficer

EBITDAEarningsBeforeInterest,Tax,Depreciation,andAmortization

GHGGreenhouseGas

FSMFecalSludgeManagement

HRMHumanResourceManagement

KPIKeyPerformanceIndicator

NRWNonrevenueWater

PIRPolicy,Institutions,andRegulation

SDGSustainableDevelopmentGoal

SPEEDShakeup,Pursue,Engage,Energize,Dynamize

SWOTStrengths,Weaknesses,Opportunities,andThreats

UTFUtilityTurnaroundFramework

UoFUtilityoftheFuture

UoF-CoEUtilityoftheFutureCenterofExcellence

WSSWaterSupplyandSanitation

xiii

1

Introduction

TheSustainableDevelopmentGoal(SDG)forwaterandsanitation—“toensureavailabilityandsustainablemanagementofwaterandsanitationforall”—embodiesacriticalandambitiousglobalobjective.However,despiteongoingefforts,some2.4billionpeoplestilllackaccesstoimprovedsanitationfacilities,andapproximately0.7billionarewithoutreliabledrinkingwatersources.Evenforthosewhodohaveaccess,intermittentwatersupply,seweragesystemoverflows,andsuboptimalcustomerservice,andotherissuescontinuetoposesignificantchallenges(Mumssen,Saltiel,andKingdom2018).

Toaddressthesechallengeseffectivelyanddrivemeaningfulprogress,theUtilityoftheFuture(UoF)programoffersatransformativeapproach.Thisprogramenvisionsautilitythatisforward-looking,action-oriented,andcontinuouslyevolving,providingreliable,safe,inclusive,transparent,andresponsivewaterandsanitationservices.

ThisdocumentoutlinestheUoFprogram’smethodology,whichisdividedintotwomainphases:theUoFStandardandUoFAdvanced.TheUoFStandardphasefocusesonestablishingasolidfoundationfortransformationthroughinitialanalysis,actionplanning,andstrategicvisiondevelopment.TheUoFAdvancedphasebuildsonthisfoundationbyimplementingacomprehensivebusinessandinvestmentplan,followedbyanintensiveone-yeardeep-changeprogram.Thisapproachaimstoaddressbothimmediateandlong-termneeds,ensuringutilitiesarewell-equippedtomeetevolvingdemandsandachievesustainablesuccess.

1

UTILITYOFTHEFUTURE

AkeyaspectoftheUoFmethodologyisintegrationoftheSPEEDdimension—Shakeup,Pursue,Envision,Energize,Dynamize.Thishuman-centeredapproachensuresthatthetransformationprocessnotonlyaddressestechnicalandoperationalimprovementsbutalsofostersbehavioralchange,leadership,andstaffengagement.TheSPEEDdimensionisembeddedthroughouttheUoFprogram,reinforcingtheimportanceofmotivatingteams,drivingorganizationalchange,andensuringsustainedcommitmenttothetransformationobjectives.

TheUoFprogram’sstructuredmethodologyaimstoprovideutilitieswiththetoolsandstrategiesnecessaryforeffectivetransformation.Itbeginswithbuildingasolidframeworkandprogressesthroughadvancedstagesthatinvolvedetailedplanninganddeep-changeinitiatives.Byincor-poratingtheSPEEDdimension,theUoFframeworkensuresaholisticapproachthataddressesbothoperationalandhumanfactors,facilitatingasuccessfulandsustainabletransformationprocess.

2

2

TheUtilityoftheFutureFramework

TheSustainableDevelopmentGoalforwaterandsanitation—“toensureavailabilityandsustainablemanagementofwaterandsanitationforall”(UnitedNationsn.d.[a])—isaloftyone.Worldwide,2.4billionpeopleremainwithoutaccesstoimprovedsanitation,andnearly0.7billionremainwithoutaccesstoimproveddrinkingwatersources.Thosewhohaveaccesstowatersupplyandsanitation(WSS)servicesoftenmustcopewithintermittentwatersupply,seweragesystemoverflows,andpoorcustomerservice(Mumssen,Saltiel,andKingdom2018).

Poorservicefrequentlystemsfromaviciouscycleofdysfunctionalpoliticalenvironmentsandinefficientpractices.Globalforces—includingclimatechange,waterscarcity,populationgrowth,andrapidurbanization—exacerbatethesechallengestoprovidinghigh-quality,sus-tainableWSSservicedelivery.Therefore,WSSutilitiesrequireanewapproachtoplanningandsequencingreformstoprovideWSSservicesinasustainablemanner.TheUtilityoftheFuture(UoF)programprovidesthisnewapproach,buildingonanextensivebodyofknowledgeonutilityperformanceimprovement.

Waterandsanitationutilitiesareencounteringbothunprecedentedchallengesandsignificantopportunities.Toeffectivelynavigatethiscomplexlandscapeanddrivemeaningfulprogress,aUoFprogramcanbecrucial.ThefollowingobjectivesoftheUoFprogramarecraftedtoaddressneedscomprehensively,ensuringthatutilitiesnotonlyadaptbutalsothrive:

1.Ignitesustainabletransformation:Facilitatethesustainabletransformationofwater

andsanitationutilities.

2.Guideutilitiesthroughthetransformation:Leadutilitiesthroughacomprehensiveandstructuredtransformationprocess.

3

UTILITYOFTHEFUTURE

3.Provideeffectivemethodologiesandlearningopportunities:Offerpractical,straight-forward,andeffectivemethodologiesforimplementation.

4.Strengtheninternalcapabilitiesandutilitystaffengagement:Enhancetheinternalcapabilitiesofutilities,includingoperations,management,andleadership,andsecuretheactiveparticipationandengagementofutilityteams.

5.Fosterglobalnetworkingandcommunitybuilding:Connectutilitieswiththeirpeersgloballytosharebestpracticesandinsights.

2.1UtilityoftheFutureConcept

TheUtilityoftheFutu