United States
Environmental Protection
Agency
vvEPA National
Capacity
Development
Strategic Plan
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Office of Water
EPA816-K-07-003
www. epa.gov/safewater
January 2008
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Contents
Executive Summary iii
Background of the Capacity Development Program 1
Statutory Creation of the Capacity Development Program 2
Purpose of the Capacity Development Strategic Plan 2
Five Key Attributes Needed to Promote Capacity Development 3
National Capacity Development Goals 4
Goal 1: Maintain Effective Oversight of State Capacity Development Programs 4
Objective 1.1 4
Goal 1 Outputs 4
Goal 1 Outcomes 5
Goal 2: Assist Public Drinking Water Systems with Acquiring and Maintaining TMF 5
Objective 2.1 5
Objective 2.2 6
Goal 2 Outputs 6
Goal 2 Outcomes 6
Goal 3: Elevate Awareness of Capacity Development Activities within EPA's Sustainable
Infrastructure Initiative 7
Objective 3.1 7
Objective 3.2 7
Objective 3.3 7
Objective 3.4 7
Goal 3 Outputs 7
Goal 3 Outcomes 8
Implementation of the Strategic Plan 9
Strategic Plan Activities 9
Activities to Support Goal 1 9
Activities to Support Goal 2 10
Activities to Support Goal 3 11
Challenges to Plan Implementation 11
Appendices
Appendix A: Goal-Outcome Flow Chart
Appendix B: Major Roles and Responsibilities in Implementation of the Capacity
Development Strategic Plan
Appendix C: Capacity Development Strategic Goals as Reflected in the PWSS Logic Model
Appendix D: National Capacity Development Strategic Plan Summary Chart
References
National Capacity Development Strategic Plan
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National Capacity Development Strategic Plan
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National Capacity Development Strategic Plan
Safe, reliable drinking water is essential to the protection of public health. Because of
this, the U.S. Environmental Protection Agency (EPA) identified Water Safe to Drink as
a key sub-objective in its Strategic Plan for 2006-2011. The nation's drinking water
systems face a wide array of challenges in meeting the public health protection standards
aimed at ensuring safe drinking water. The National Capacity Development Program is
designed to focus available resources toward assisting public drinking water systems
(PWSs) in acquiring and maintaining the technical, managerial, and financial (TMF)
capacity to meet these challenges.
This plan provides a roadmap identifying how EPA's National Capacity Development
Program will support the Office of Water's strategic goal to improve PWS performance.
Furthermore, this plan explains how the National Capacity Development Program
provides, promotes, and protects public health through safe drinking water. Through
proactive communication and outreach, in collaboration with States, partners, and other
stakeholders, EPA will seek innovative approaches and new technologies to help ensure
that nationally, water systems have the TMF capacity to demonstrate long-term
sustainability.
This plan consists of three goals for EPA's National Capacity Development Program:
1. Maintain Effective Oversight of State Capacity Development Programs
2. Assist Public Drinking Water Systems with Acquiring and Maintaining Technical,
Managerial, and Financial Capacity
3. Elevate Awareness of Capacity Development Activities within EPA 's Sustainable
Infrastructure Initiative
In order to demonstrate full accountability of EPA's efforts in the National Capacity
Development Program, EPA intends to develop an internal National Capacity
Development Program Update Report on a triennial schedule. This report will be
initiated in FY08. It is not EPA's intent to specifically identify any individual State or to
conduct State-to-State comparisons or analysis. It is, however, EPA's intent to utilize
this information in an effort to identify trends and further target resources. EPA will
update this strategy to incorporate new information and activities on an as-needed basis.
The Capacity Development Program is a key component of the Public Water System
Supervision (PWSS) Program. EPA has developed the PWSS Program Logic Model to
link the activities of the Drinking Water Program to the overall outcomes of EPA's
Strategic Plan. The Model will be used extensively to assist in guiding the goals of the
Capacity Development Program Strategic Plan. The Capacity Development Program
Strategic Plan is an extension of the Logic Model and provides a higher level of detail in
specific areas, as identified in Appendix C. The specific logic for the Capacity
Development Program can be found in Appendix D of this plan.
National Capacity Development Strategic Plan iii
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National Capacity Development Strategic Plan
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Background of the Capacity Development Program
Public drinking water systems serving 10,000 or fewer customers represent over 97 percent of
the nation's PWSs (Safe Drinking Water Information System (SDWIS) Data, 2005). Smaller
systems often have more challenges in TMF resources than their larger counterparts. Many
small systems were created when regulatory standards were less protective and less demanding.
These systems provided a simple and expedient way for small communities or subdivisions to
obtain a supply of drinking water. Some of the challenges, for both large and small systems, are:
• The need to upgrade or replace aging infrastructure with inadequate funds.
• The availability of an adequate and safe supply of source water.
• The need to protect the water source.
• The public's increasing demands for lower utility costs.
• The establishment of more enhanced and protective regulatory requirements or rules.
In recognition of the challenges facing these smaller PWSs, Congress established several
provisions of the 1996 Safe Drinking Water Act (SDWA) Amendments with a small system
focus, including implementation of the Capacity Development Program. This provision places a
significant emphasis on assisting PWSs of all sizes in acquiring and maintaining their TMF
capacity. TMF capacity is the ability to plan for, achieve, and continually provide safe and
affordable drinking water to customers. Figure 1: TMF Capacity Elements outlines the key
elements of TMF capacity and illustrates the crucial role of planning for, achieving, and
maintaining TMF capacity.
Figure 1: TMF Capacity Elements
Technical Capacity
Managerial Capacity
Ownership Accountability
Staffing and Organization
Source Water Adequacy
Infrastructure Adequacy
Implementation of
Technical
Knowledge
Effective External
Linkages
Short-Term &
Long-Term
Planning
Financial Capacity
Revenue Sufficiency
Credit Worthiness
Fiscal Management
and Controls
National Capacity Development Strategic Plan
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Statutory Creation of the Capacity Development Program
Congress established broad direction for the development and implementation of the National
Capacity Development Program in the 1996 SDWA Amendments with the following statutory
provisions. In order to avoid Drinking Water State Revolving Fund (DWSRF) withholding:
• States must ensure that all new community water systems (CWSs) and nontransient
noncommunity water systems (NTNCWSs) demonstrate technical, managerial, and
financial (IMF) capacity (§1420(a)).
• States must develop and maintain implementation of a strategy to assist public water
systems in acquiring and maintaining technical, managerial, and financial (TMF) capacity
(§1420(c)(l)(C)).
Congress provided States with the flexibility to devise their own individual strategies to meet the
1996 requirements. While States have flexibility in developing and implementing their Capacity
Development Programs, they must ensure the basic requirements are met. EPA annually
assesses State Capacity Development Program implementation, which is compared to program
reporting guidance and approved State programs. States that fail to meet their Capacity
Development Program implementation responsibilities are subject to withholding of a portion of
their annual DWSRF allotment.
Purpose of the Capacity Development Strategic Plan
The Capacity Development Strategic Plan is comprised of goals, objectives, sub-objectives,
strategic targets, capacity development activities (outputs), and outcomes. All of these elements
are intended to directly support the Water Safe to Drink sub-objective and the broader goals of
EPA's Strategic Plan for 2006-2011 (see Figure 2: Linkage Between EPA 's 2006-2011
Strategic Plan and Capacity Development Strategic Plan)1 This strategic plan was developed in
consultation with EPA Regions and States.
1 Taken from the 2006-2011 EPA Draft Strategic Plan Architecture.
National Capacity Development Strategic Plan
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Figure 2: Linkage Between EPA's 2006-2011 Strategic Plan and Capacity Development
Strategic Plan
EPA Goal 2: Clean and Safe Water
EPA Objective 2.1: Protect Human Health
By reducing exposure to contaminants in drinking water (including protecting
source waters), in fish and shellfish, and in recreational waters.
EPA Sub-objective 2.1.1: Water Safe to Drink
PWSS Program Implementation Logic Model
National Capacity Development Strategic Plan
Five Key Attributes of Capacity Development
The Capacity Development Program is designed to better position water systems to provide,
promote, and protect public health through safe drinking water. EPA will strive toward the most
effective utilization of stakeholder resources, reducing the funding gap, and sustaining the
nation's water infrastructure for the future. This will be accomplished through the proactive use
of effective and innovative approaches and technologies, and a commitment to long-term
stewardship of drinking water resources, systems, and operators. This can only be performed
through the use of open communication, collaboration, and coordination with all stakeholders.
The effective promotion of capacity development depends on the program being:
• Flexible so that EPA and States can maximize the use of available resources and
capabilities to implement capacity development processes that meet the unique needs of
each State.
• Proactive in identifying and targeting assistance to water systems most in need of
improving their TMF capabilities.
• Integrated so the resources of all Federal and State drinking water programs are
considered.
• Accountable by demonstrating that capacity development helps water systems provide
safe water to customers.
• Collaborative to the extent that all entities, agencies, groups, and associations act
together to support one another.
National Capacity Development Strategic Plan
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EPA is committed to using existing sources of data to support each goal and to measure progress.
If it is determined that additional information is necessary to ensure accuracy and completeness,
EPA will work closely with States to minimize any additional reporting burden. EPA recognizes
that there are a number of critical factors that have the potential to affect the outputs and
outcomes associated with each goal. Further discussion on each of these factors can be found in
the Challenges to Implementation section of this document (p. 11). The goals of this program
and their related outputs and outcomes are summarized in Appendix A.
Goal 1: Maintain Effective Oversight of State Capacity Development Programs
It is EPA's responsibility to ensure that State capacity development strategies are implemented
as intended. It is through this oversight activity that EPA will support State efforts in obtaining a
solid program foundation to help ensure that systems have the TMF capacity to demonstrate
long-term sustainability.
Objective 1.1: Ensure State implementation of Capacity Development Programs.
Strategic Target 1.1: Annually assess and respond to State Capacity Development
Program Reports.
Goal 1 Outputs
The data for these output indicators may come from a number of sources, including the Capacity
Development Program Evaluation Tool (CDPET), SDWIS, DWSRF reviews and reports,
Sanitary Surveys, Triennial Governor's Reports, and the State's Annual Capacity Development
Implementation Reports.
1. State Capacity Development Programs assessed
One critical function of the Federal Capacity Development Program is to assess State
Capacity Development Programs. This quantitative indicator will capture Federal
government efforts in reviewing State programs.
2. New water systems assessed for capacity
State Capacity Development Programs are designed to ensure that all new CWSs and
NTNCWSs have adequate capacity. Therefore, an output from this Capacity
Development Program is the number of capacity assessments of new water systems (or
proposed water systems) completed by the State primacy agency program, expressed as a
percentage.
3. Existing systems assessed for capacity
One of the key tasks for a State Capacity Development Program is to identify existing
water systems that have inadequate capacity and are most in need of assistance. The
flexibility provided to States by Congress in the implementation of these programs allows
discretion for frequency and method of assessments. The quantitative indicator of this
output, percent of existing water systems annually that have been assessed for capacity,
National Capacity Development Strategic Plan
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will capture the portion of water systems that States have reviewed in identifying systems
that need to build additional capacity.
Goal 1 Outcomes
The data for these outcome indicators are dependent on State Primacy information, both
collected and provided. Main sources of information will be compiled from SDWIS, DWSRF
National Information Management System (NIMS), State DWSRF Intended Use Plans (HJPs),
and State's Annual Capacity Development Implementation Reports.
1. Fewer systems with long-term health-based violations
The collective capacity development efforts of Federal and State partners should improve
the TMF capabilities of water systems, which should result in fewer water systems failing
to meet all health based National Primary Drinking Water Regulations (NPDWRs) (See
Goal 2, Outcome 1). This quantitative outcome indicator, percent of systems that are in
compliance with all health-based NPDWRs, captures this benefit and provides a direct
link to the strategic targets of EPA's PWSS Program. Additional support for this
indicator will come from the compliance rate of PWSs by analyzing:
A. The annual percentage of health-based Significant Non Complier (SNC) PWS, by
size and violation type.
2. Reduction of new systems with inadequate capacity
The intent of this outcome is to demonstrate the effectiveness of the new system
programs nationally as it relates to the number of new water systems that exhibit
inadequate capacity. This is reflected through system compliance as reported in SDWIS.
The quantitative indicator of this outcome will come from the compliance rate of PWSs
by analyzing:
A. The annual percentage of SNC New PWSs, by size and violation type.
3. Maintain a proactive working relationship with State co-regulators
One immediate benefit generated by Federal and State Capacity Development Program
efforts is the continuous efforts of both parties in maintaining their existing open,
proactive working relationship. This qualitative outcome indicator is created by the
cooperative efforts of Federal staff, State staff, and water system staff working towards
the same goal, which is to make water systems more self-sufficient in support of long-
term goals.
Goal 2: Assist Public Drinking Water Systems with Acquiring and Maintaining
Technical, Managerial, and Financial Capacity
Increasing the number of PWSs that achieve and maintain TMF capacity will provide PWSs with
the tools and knowledge to provide drinking water that meets all health-based drinking water
standards.
Objective 2.1: Coordinate with States to ensure that drinking water systems acquire and
maintain the capacity to consistently provide safe drinking water to the public.
National Capacity Development Strategic Plan 5
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Strategic Target 2.1: Identify compliance trends and coordinate with States in addressing
the potential causes for non-compliance.
Objective 2.2: Annually obtain input and feedback on SDWA training needs from EPA
Grant Recipient Technical Assistance Providers, regional EPA Capacity Development
Coordinators, and State primacy agency capacity development staff.
Strategic Target 2.2: Identify training needs and develop or improve tools for training.
This effort is targeted towards assisting PWSs in the areas of technical, managerial, and
financial system capability.
Goal 2 Outputs
The data for this output indicator will come from a number of sources, including the State's
Triennial Governor's Reports, EPA Webcasts, DWSRF NIMS, SDWIS, PWSS Grant reports,
technical assistance grantee reports, and National Service Center for Environmental Publications
(NSCEP) Inventory System Distribution for Publications.
1. Systems receiving TMF assistance
Once States have identified PWSs with inadequate capacity, the intended role of the State
Capacity Development Program is to provide assistance to those systems to help them
acquire capacity. This assistance can take many forms and is often broadly termed as
technical assistance and is not limited to outputs generated from the States. The
quantitative indicator of this output, number of systems that have received assistance, will
capture the efforts of States and other stakeholders to help water systems improve their
capacity.
Goal 2 Outcomes
The data for this outcome indicator will come from the triennial Historical Significant Non-
compliers (HSNC) report and SDWIS.
1. Fewer systems with long-term health-based violations
The collective capacity development efforts of Federal and State partners should improve
the TMF capabilities of water systems, which should result in fewer water systems failing
to meet all health based NPDWRs (See Goal 1, Outcome 1). This quantitative outcome
indicator, percent of systems that are in compliance with all health-basedNPDWR,
captures this benefit and provides a direct link to the strategic targets of EPA's PWSS
program. Additional support for this indicator will come from the compliance rate of
PWSs by analyzing:
A. The annual percentage of health-based SNC PWSs, by size and violation type.
2. Reduced number of Historical Significant Non-compliers
In addition to the overall improvements in compliance with NPDWRs, the Capacity
Development Program should improve the capacity of water systems as identified
through an HSNC trends analysis. This quantitative outcome indicator, number of
systems that are on State HSNC lists, will capture the reduction in the number of systems
National Capacity Development Strategic Plan 6
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nationally with chronic compliance problems. The focus for this indicator will come
from the compliance rate of PWSs by analyzing:
A. The annual number of HSNC PWSs, by size and violation type.
Goal 3: Elevate Awareness of Capacity Development Activities within EPA's
Sustainable Infrastructure Initiative
As more PWSs increase their awareness of sustainable practices, challenges affecting
programmatic success can be identified, addressed, and overcome.
Objective 3.1: Identify Federal funding programs that focus on public drinking water
systems and update this information as needed.
Strategic Target 3.1.1: Promote the DWSRF Program by providing program assistance
and training to States.
Strategic Target 3.1.2: Coordinate, research, compile, disseminate, and maintain a list of
Federal drinking water funding programs available for public drinking water systems.
Objective 3.2: Support Operator Certification Programs.
Sub-objective 3.2: Assist States in operator training and certification initiatives
through active coordination and participation with various training and certification
organizations and initiatives, and support of operator training programs.
Strategic Target 3.2: Annually assess State Operator Certification Program management.
Objective 3.3: Promote better management of public water systems.
Strategic Target 3.3: Develop, promote, and distribute tools (CUPSS, etc.) in support of
asset management activities.
Objective 3.4: Promote new and current rule implementation activities into Capacity
Development Program implementation.
Strategic Target 3.4: Incorporate information into training and guidance on new and
current Safe Drinking Water Rule implementation issues.
Goal 3 Outputs
The data for this output indicator will come from the DWSRF NIMS, State DWSRF lUPs,
EPA's Community Water System Survey, and trends identified within the Drinking Water
Infrastructure Needs Assessment.
National Capacity Development Strategic Plan
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1. Identify States' use of capacity development DWSRF set-asides
A significant source resource for State Capacity Development Programs is the DWSRF
set-asides that are available to all States. These funds can be used to pay for the staff and
technical assistance efforts of State programs. The quantitative indicator of this output
will be the percent of DWSRF set-aside dollars expended for capacity development
purposes.
2. Provide effective guidance on new and current SDWA rule implementation
issues
This is performed by EPA taking a lead role in assisting its partners in rule
implementation initiatives for public drinking water systems through the development of
rule-related guidance, training, and information materials.
3. Conduct and analyze customer satisfaction surveys for EPA provided training
and tools
EPA, in accordance with the Information Collection Rule (ICR), will conduct customer
satisfaction surveys with stakeholders that obtain EPA services, products, and training.
This will assist EPA in obtaining its goals and identifying better use of its outputs.
Goal 3 Outcomes
The data for this outcome indicator will come from EPA's Community Water System Survey
and trends identified within the Drinking Water Infrastructure Needs Assessment, DWSRF
NEVIS, Capacity Development Reports to the Governor, and PWSS work plans.
1. Better targeting of resources because systems have increased capacity
As the capacity of water systems across the country improves over time, water systems,
especially small water systems, should become more self-sufficient. This change should
allow Federal and State regulators to shift their focus away from triage of struggling
systems to long-term planning and compliance efforts. The qualitative indicator for this
outcome can be identified through increased compliance rates, any noticeable shifts in
primacy agency workload or programmatic focus as identified in state reporting, trends in
system consolidation, and position papers from stakeholder represented associations.
National Capacity Development Strategic Plan
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EPA, States, systems, and stakeholders have key roles to exercise in the successful
implementation of the National Capacity Development Strategic Plan and, ultimately, in
ensuring public health protection. Appendix B identifies the various areas of implementation
and the role each party can play in making this strategic plan a success.
EPA anticipates aligning the Capacity Development Program with other ongoing program
assessment efforts. EPA has developed the PWSS Logic Model to link the activities of the
drinking water program to the overall outcomes of EPA's Strategic Plan. The Model will be
used extensively to assist in guiding the goals of the Capacity Development Program Strategic
Plan. The Capacity Development Program Strategic Plan is an extension on the Logic Model,
and provides a higher level of detail in specific areas, as identified in Appendix C. The specific
logic for the Capacity Development Program can be found in Appendix D of this plan.
An internal EPA National Capacity Development Program Update Report will be developed on a
triennial schedule based on available data. This report will be initiated in FY08, allowing
enough time for initial and second year national program data entered into the CDPET to be
analyzed for trends and successes. It is not EPA's intent to specifically identify any individual
State or to conduct State-to-State comparisons or analysis. It is, however, EPA's intent to utilize
this information in an effort to identify trends and further target resources.
In carrying out this strategy, EPA will adopt the Plan, Do, Check, Act approach associated with
continuous-improvement programs. EPA will update this strategy to incorporate new
information and activities on an as-needed basis. Likewise, the strategic approaches for the three
goals will be considered living documents that will be revised on an ongoing basis.
It is anticipated that discussions of progress towards achieving capacity development goals may
be included in Agency reporting to Office of Management and Budget (OMB) and Congress, and
may be reflected in external reports, such as the Drinking Water Needs Surveys and SNC
Reports.
The following are some of the Capacity Development Program activities that support the
National Capacity Development Strategic Plan goals.
Activities to Support Goal 1: Maintain Effective Oversight of State Capacity
Development Programs
• Capacity Development Program Evaluation Tool (CDPET): EPA will implement
CDPET, a Web-based program evaluation tool that will compile information on and help
EPA regional staff in assessing State capacity development activities.
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• Communication with primacy agency staff: EPA regional staff is encouraged to
continue open communication with State primacy agency staff in response to
implementation reports and assessment findings.
Activities to Support Goal 2: Assist Public Drinking Water Systems with
Acquiring and Maintaining Technical, Managerial, and Financial Capacity
• Expanding Communication: Provide opportunities that promote open communication
between States, technical assistance providers, water systems, and EPA. This activity
includes open discussion forums between EPA and its numerous stakeholders during
various workshops, meetings, and conference calls to assist States with Capacity
Development Program implementation issues and to identify training needs for all
stakeholders.
• Programmatic Assistance: Provide programmatic assistance for the Capacity
Development Program implementation through Webcast trainings, tool and document
development, and grant program management and development. Continue, as needed,
providing through EPA's Drinking Water Academy and other venues, training courses
for States and water systems designed to enhance TMF capacity knowledge and
capabilities.
• Feedback: Obtain feedback from operators and owners on their current training and
assistance needs in all areas of capacity development.
• Compliance Trend Analysis: Perform compliance trends analyses to identify capacity
needs of small PWSs.
• Technical Assistance Centers (TACs) and Environmental Finance Centers (EFCs)
Involvement: Continue working with the EFCs and the Small System TACs to provide
assistance in improving the capacity of water systems.
• Tool Development: Continue development, as needed, of the Simple Tools for Effective
Performance (STEP) Guides and other targeted tools and documents that provide TMF
capacity development support to small systems.
• SDWA Rule Implementation: Provide support for rule implementation by developing,
as needed, rule-related information and training materials such as guidebooks, Quick
Reference Guides, and classroom and Webcast training sessions.
• Capacity Development Workshops: Conduct, as needed, capacity development training
workshops for EPA, State, and technical assistance providers to address the training
needs of Capacity Development Program management personnel while providing a forum
for information exchange.
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Activities to Support Goal 3: Elevate Awareness of Capacity Development
Activities within EPA's Sustainable Infrastructure Initiative
• Program Promotion: Promote programmatic tools and technical assistance in multiple
program areas.
• Participation: Continue active participation with all appropriate stakeholders.
• Program Oversight: Continue to provide program oversight to EPA regions and States
for the Operator Certification Program.
• DWSRF: Provide program assistance and information to States through the promotion of
the DWSRF strategic plan initiatives.
• Sustainable Infrastructure Initiative: Engage stakeholders through proactive dialogue
and face-to-face meetings to determine how to effectively promote long-term
sustainability of systems through better management, full-cost pricing, water efficiency,
and watershed protection.
• Tool Development: Continue development, as needed, of the STEP Guides and other
targeted tools and documents that provide TMF capacity development support to small
systems.
• Integration: Link activities of EPA's regional enforcement groups, capacity
development coordinators, operator certification program managers, and State program
managers through active communication and updates of each groups' activities relative to
capacity development.
to
A number of critical factors have the potential to affect the means and strategies for meeting the
objectives and sub-objectives of the Capacity Development Strategic Plan, including:
• Limited control over implementation: While EPA has oversight responsibility, States
and other stakeholders, such as associations and third-party contractors are primary
partners in implementing the Capacity Development Program. EPA may have to
consider pursuing, with stakeholder cooperation, ways in which to obtain more
measurable information in support of the outcomes identified by this strategic plan.
• Operation and maintenance costs: Rising water system operation and maintenance
costs make maintaining effective financial capacity challenging.
• Water system operator staffing: The retention of current operators and recruitment of
new trainees is becoming more difficult due to the low national average salary of $30,843
(based on EPA's Community Water System Survey 2000 [2002]).
National Capacity Development Strategic Plan 11
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• Local-level leadership changes: Board members, municipal leaders, owners, town
managers and other PWS decision makers often change resulting in learning curves, new
approaches, and changes in priorities.
• Federal and State fiscal pressures: Federal and State budget shortfalls may affect
progress toward program goals.
• Natural disasters/terrorist attacks: Programmatic focus and priorities temporarily shift
during these types of national events, as was demonstrated during Hurricanes Katrina and
Rita.
• Lack of comparability due to variability in approaches: Congress gave the States
great flexibility in designing and implementing capacity development. As a result,
capacity development activities at the State level can be so variable there is little
commonality in outputs. Finding elements that EPA can measure to provide a "national"
picture is challenging under the circumstances.
• Difficulty showing periodic progress: The length of time required for capacity
development activities to produce outcomes makes it difficult for EPA to report progress
annually. Long-term outcomes may take years to manifest themselves, and capacity
development is generally a long-term sustainability process. In addition, external factors
can make it difficult to show a direct relationship between a specific program goal and
the activities or outputs that caused the eventual outcome.
• States' concerns over data collection burden and accuracy: The time and cost of
collecting comprehensive data also are obstacles to developing performance indicators.
The Government Accountability Office (GAO) has indicated that the following
challenges with data collection as identified by Federal managers: using data collected by
others; ascertaining the accuracy and quality of performance data; and acquiring data in a
timely manner.
• Challenge of keeping up with new program requirements: The number of new rules
recently promulgated may have a short-term drag effect on meeting performance targets.
Water systems typically take additional steps to comply with the new requirements,
which ultimately lead to overall improvements in drinking water quality. However, in
the short-term, performance may actually appear to deteriorate, due to the challenges of
coming up to speed with new rule requirements.
National Capacity Development Strategic Plan 12
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A:
Goal 1:
Maintain Effective Oversight ofState
Capacity Development Programs
Goal 1 Outputs:
3. State Capacity Development
Programs Assessed
4. New Water Systems Assessed
for Capacity
5. Bxisting Systems Assessed for
Capacity
Goal 1 Outcomes:
1. Fewer systems with long-term
heahh-based violations
2. Reduction of new systems
with inadequate capacity
being permitted
3. Maintain a proactive working
relationship with State co-
regulators
Appendix A: Goal-Outcome Flow Chart
Goal 2:
Assist Public Drinking Water Systems
with Acquiring and Maintaining
Technical, Managerial, and Financial
(T:\-fF) Capacity
Goal. 2 Outputs:
Systems Receiving TMF
Assistance
Goal 2 Outcomes:
L Fewer systems widi long-
term health-based violations
2. Reduced number of
Historical Significant Non-
compliers
All Outcomes Support EPA Strategy for
2006-2011
EPA Sub-objective 2.1.1: Water Safe to
Drink
Goal 3:
Elevate Awareness of Capacity Development
Activities within EPA. 's Sustainable
Infrastructure Initiative
Coal 3 Outputs:
1. Identify States use of Capacity
Development DWSRF Set-Asides
2. Provide Effective Guidance on
New and Current Safe Drinking
Water Rule Implementation Issues
3. Conduct and analyze customer
satisfaction surveys for EPA
provided training and tools
Goal 3 Outcomes:
1. Better targeting of resources because
PWSs have increased capacity
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B: in
Activity
Develop Triennial
National Program
Update Report
EPA
Headquarters
Analyze national program
data for trends and successes;
Develop Report
Regions
Collect and submit
State capacity
development (CD)
data; review draft
Report and provide
feedback
States
Submit annual CD
implementation reports
and data to regions;
review draft Report and
provide feedback
Pnhlir Wntpr
f UUUV VT ulC&
Systems
Submit CD data to
States, where
required
Other Stakeholders
Association of State
Drinking Water
Administrators (ASDWA)
- Review draft Report and
provide feedback
Goall
Implementation of the
Capacity Development
Program Evaluation
Tool
Facilitate open
communication between
EPA and States
Finalize development of
Tool; implement and
maintain Tool infrastructure:
monitor data entered by
regions; analyze data reports
Organize and attend various
workshops, meetings, and
conference calls to assist
States on CD implementation
issues; identify training
needs
Provide feedback
on final draft Tool.
Input State CD data
Organize and
attend various
workshops,
meetings, and
conference calls to
assist States on CD
implementation
issues and identify
training needs
Submit annual CD
implementation reports
and triennial HSNC
reports and data to EPA
regions
Attend various
workshops, meetings,
and conference calls
with EPA to identify
and describe CD
implementation issues
and training needs
Submit CD data to
States, where
required
n/a
Communication with EPA
regarding needs and
concerns
As invited, attend various
workshops, meetings, and
conference calls with States
and EPA and provide input
regarding CD
implementation issues and
training needs. ASDWA
will collaborate with its
membership to ensure
timely information
exchange; share
information and ideas as
appropriate
Appendix B: Major Roles and Responsibilities in Implementation of the Capacity Development Strategic Plan
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Activity
EPA
Headquarters
Regions
States
Public Water
Systems
Other Stakeholders
Goal 2
Facilitate open
communication between
EPA and water system
operators
CD implementation
Webcast trainings, tool
and document
development, and grant
program management
and development
Obtain feedback from
operators and owners on
their current training
and assistance needs in
all areas of CD
Organize and/or attend
various workshops.
meetings, and conferences
that will be attended by water
system operators
Develop and conduct CD
implementation Webcast
trainings; develop and
distribute CD tools and
documents; manage grant
programs
Solicit feedback from
operators and owners on
their current training and
assistance needs in all areas
of CD
Organize and/or
attend various
workshops,
meetings, and
conferences that
will be attended by
water system
operators
Provide feedback
on CD
implementation
Webcast training,
tool, and document
development; assist
in grant program
management
Solicit feedback
from operators and
owners on their
current training and
assistance needs in
all areas of CD
Inform water system
operators of various
workshops, meetings,
and conferences that
will be attended by EPA
Attend CD
implementation
Webcast trainings;
utilize CD tools and
documents; utilize grant
programs
Pass on feedback from
operators and owners on
their current training
and assistance needs in
all areas of CD to EPA
Attend various
workshops.
meetings, and
conferences that will
be attended by EPA
Communicate needs
and concerns to other
stakeholders in
support of future
resource allocation
decisions
Provide feedback on
current training and
assistance needs in
all areas of CD
National and State Rural
Water Associations
(NRWA), Rural
Community Assistance
Program (RCAP),
Technical Assistance
Centers (TAC),
Environmental Finance
Centers (EFC) -
Inform/educate water
system operators at various
coordinated or co-
sponsored workshops.
meetings, and conferences.
ASDWA - Provide
feedback on CD
implementation Webcast
training, tool, document
development, and grant
program development
NRWA, RCAP, TAC, EFC
- Pass on feedback from
operators and owners on
their current training and
assistance needs in all areas
of CD to EPA
Appendix B: Major Roles and Responsibilities in Implementation of the Capacity Development Strategic Plan
-------
Activity
Perform compliance
trends analysis to
identify CD needs of
small PWS
Continue working with
the EFC and TAC to
provide assistance in
improving the capacity
of water systems
Continue development
of the Simple Tools for
Effective Performance
(STEP) Guides and
other tools and
documents that provide
TMF CD support to
small systems, as
needed
EPA
Headquarters
Compile compliance data
from SDWIS and perform a
trends analysis
Provide guidance to the EFC
and TAC on assistance needs
of small systems from the
perspective of the national
program; manage grant
program
Identify and develop
additional STEP Guides and
other tools and documents
that provide TMF CD
support to small systems
Regions
Conduct Quality
Assurance review
of SDWIS
compliance data
with the States
Provide guidance
to the EFC and
TAC on assistance
needs of small
systems from the
perspective of the
region
Identify needs for
and provide
feedback to EPA
HQ on the
development of
additional STEP
Guides and other
tools and
documents that
provide TMF CD
support to small
systems
States
Provide compliance data
to EPA
Provide suggested
guidance to the EFC and
TAC on assistance
needs of small systems
from the State
perspective
Identify needs for and
provide feedback to
EPA on the
development of
additional STEP Guides
and other tools and
documents that provide
TMF CD support to
small systems
Public Water
Systems
n/a
Provide suggestions
for recommended
activities guidance to
the EFC and TAC on
assistance needs of
small systems from
the PWS perspective
Provide guidance to
States and EPA on
needs for additional
STEP Guides and
other tools and
documents mat
provide TMF CD
support
Other Stakeholders
n/a
EFC and TAC - Obtain
guidance from EPA, States,
and systems on and
develop products, trainings,
and other resources that
address assistance needs of
small systems
ASDWA, NRWA. RCAP,
TAC, EFC - Identify needs
for and provide feedback to
EPA on the development of
additional STEP Guides
and other tools and
documents that provide
TMF CD support to small
systems
Appendix B: Major Roles and Responsibilities in Implementation of the Capacity Development Strategic Plan
-------
Activity
Provide support for
Rule Implementation by
developing rule-related
information and training
materials such as
guidebooks. Quick
Reference Guides, and
direct and Webcast
training sessions
Continue providing
training courses for
States and water
systems that are
designed to enhance
IMF capacity-
knowledge and
capabilities
Conduct capacity
development training
workshops for EPA,
State, and technical
assistance providers to
address training needs
EPA
Headquarters
Identify' needs for and
develop rule-related
information and training
materials such as
guidebooks, Quick Reference
Guides, and direct and
Webcast training sessions;
conduct direct and Webcast
training sessions
Identify needs to develop and
conduct training courses for
States and water systems mat
are designed to enhance
TMF capacity knowledge
and capabilities
Develop and conduct
capacity development
training workshops for EPA,
State, and technical
assistance providers to
address training needs of
Regions
Identify needs for
and provide
feedback to EPA
HQ on the
development of
rule-related
information and
training materials
such as
guidebooks. Quick
Reference Guides,
and direct and
Webcast training
sessions; assist in
the coordination of
direct and Webcast
training sessions
Identify needs for
and provide
feedback to EPA
HQ on training
courses for States
and water systems
that are designed to
enhance TMF
capacity
knowledge and
capabilities
Attend training
workshops.
Provide feedback
to training provider
to improve
outcome of future
States
Identify needs for and
provide feedback to
EPA on the
development of rule-
related information and
training materials such
as guidebooks, Quick
Reference Guides, and
direct and Webcast
training sessions; assist
in the coordination of
and participate hi direct
and Webcast training
sessions
Participate and provide,
when possible, training
courses. Obtain attendee
feedback to training
provider to improve
outcome of future
training initiatives
Attend training
workshops. Provide
feedback to training
provider to improve
outcome of future
Public Water
Systems
Participate in
classroom and
Webcast training
sessions. Provide
feedback to training
provider to improve
outcome of future
training initiatives
Participate in
training courses.
Provide attendee
feedback to training
provider to improve
outcome of future
training initiatives
n/a
Other Stakeholders
ASDWA, NRWA, RCAP,
TAG, EFC - Identify needs
for and provide feedback to
EPA on the development of
rule-related information
and training materials such
as guidebooks, Quick
Reference Guides, and
direct and Webcast training
sessions
ASDWA, NRWA. RCAP,
TAC. EFC - Identify needs
for and provide feedback to
EPA on training courses
for States and water
systems that are designed
to enhance TMF capacity
knowledge and capabilities
NRWA, RCAP, TAC, EFC
- Attend training
workshops
Appendix B: Major Roles and Responsibilities in Implementation of the Capacity Development Strategic Plan
-------
Activity
of capacity development
program management
personnel
EPA
Headquarters
capacity development
program management
personnel; have EPA HQ
staff attend training
workshops as necessary
Regions
training initiatives
States
training initiatives
Public Water
Systems
Other Stakeholders
Goal3
Promote programmatic
tools and technical
assistance in multiple
program areas
Continue active
participation with all
appropriate stakeholders
Continue to provide
program oversight to
EPA regions and States
for the Operator
Certification Program
Coordinate with EPA
program management staff in
developing and promoting
tools and technical assistance
addressing the goals and
outcomes of various drinking
water programs
Continue active participation
with all appropriate
stakeholders
Continue to provide program
oversight to EPA regions and
States for the Operator
Certification Program
Promote tools and
technical assistance
addressing the
various drinking
water programs
Continue active
participation with
all appropriate
stakeholders
Continue to
provide program
oversight to States
for the Operator
Certification
Program
Promote and utilize
tools and technical
assistance addressing
the various drinking
water programs
Continue active
participation with all
appropriate stakeholders
Manage and implement
State specific Operator
Certification Programs
Utilize tools and
technical assistance
addressing the
various drinking
water programs for
utilities
n/a
Operators are
required to maintain
training for
recertification
requirements
ASDWA - Coordinate with
EPA HQ to develop and
promote tools and technical
assistance addressing the
security of drinking water
utilities
ASDWA, RWAs, RCAP,
TAG, EFC - Promote tools
and technical assistance
addressing the various
drinking water programs
ASDWA - Continue active
participation with all
appropriate stakeholders
RWA, RCAP, TACs. etc.,
to provide training for
operators
Appendix B: Major Roles and Responsibilities in Implementation of the Capacity Development Strategic Plan
-------
Activity
Continue to provide
direct grant program
management oversight
for the Operator
Certification Expense
Reimbursement Grants
(ERG) Program
Provide program
assistance and
information to States
through the promotion
of the Drinking Water
State Revolving Fund
(DWSRF) strategic plan
initiatives
Engage stakeholders
through proactive
dialogue and face-to-
face meetings to
determine how to
effectively promote
long-term sustainability
of systems through
better management full-
cost pricing, water
efficiency and
watershed protection.
EPA
Headquarters
Continue to provide direct
grant program management
oversight for the ERG
Program
Provide program assistance
and information to States
through the promotion of the
DWSRF strategic plan
initiatives
Attend various workshops
and conferences to promote
and distribute various
Sustainable Infrastructure
Initiative training tools
Regions
Continue to
provide direct grant
program
management
oversight for the
ERG Program
Provide program
assistance and
information to
States through the
promotion of the
DWSRF strategic
plan initiatives and
DWSRF Grant
management
Attend various
workshops and
conferences to
promote and
distribute various
Sustainable
Infra structure
Initiative training
tools
States
n/a
Identify specific
DWSRF program
assistance and
information needs.
Manage DWSRF funds
in accordance with work
plans
n/a
Public Water
Systems
n/a
Apply for
loans/grants as
offered through
DWSRF programs.
Request assistance
from State primacy
agencies where
needed in the form of
circuit riders.
training, etc.
n/a
Other Stakeholders
n/a
ASDWA - Identify specific
DWSRF program
assistance and information
needs of States and provide
these to EPA
n/a
Appendix B: Major Roles and Responsibilities in Implementation of the Capacity Development Strategic Plan
-------
Appendix C: Capacity Development Strategic Goals as
Reflected in the PWSS Logic Model
This appendix demonstrates how various capacity development goals support the PWSS
Program Logic Model. It is not intended to provide comprehensive discussion of the
PWSS Program Logic Model. For further information go to
http: //www. epa. gov/safewater/dwa/el ectroni c/emateri al s. html#P W S S.
Capacity Development Strategic Goals as reflected in
the PWSS Program Logic Model
Inputs
1 Activities 1
r^ *7T" ^™-
p™ Stale Program
Funding
FTE
EPM Funds
\ PWSS Grants
r Exponsf
Reimbursement
Grants (ERGs)
SRF Set-asides
SDW1S/SOWIS-
Stata
Reto
jf Toots and
p Guidance
DW Regulations
Partner
Organiza tians
L_ Research
-^ _ 1
At.
• Oufreacft and 1
^1 Education 1
| fGo«(s2.3; |
O -I
* Technical
1 assfsfa/ice 1
{ (Goal!) 1
?~ ~ ~|
— K Training
| fGoa/s Z,3> I
1 EPA and primacy 1
—^ agency \
1 administration
and evaluation of 1
(primacy programs *
and authorities •
,
__W " ~S. "
^ Sanitary surveys (Goats 1,3) •
A6.
Enforcement and Compliance I
'f Assistance (Goal 3)
I Monitoring for compliance.
^"l special sampling and
/ y^_ jwsessmen ^^ j
J AS.
Engineering Review of Plans I —
I and Specifications (Goal 1) \
r— 7
V A,. 1
>J Licensing and Certification
• (Goal 3)
J " "AID. ~
Dala Management
| Outputs | an
f 57.
information about
drinking water
' quality, regulatory i i — *>
programs, expertise
AvaltabJe
Q fGoa/5 % 3)
O2.
PIVS trained and
assisted in building
managerial and *~~> *~~*
financial capacity
-** fGoa>2>
.-.,----.-.--
03.
~^ PWS (railed and , .
assfsfed /n technical ' — * — >
capacity building
(Goal 2)
O- ^7
CM
— ^* Prirnacy agency « ^
Informed of actions
needed 10 maintain
adequate auihcrittes (40
CFR I42subpane)
O5.
i Primacy agency informs PWS
|f of noncompliance. or of
\ potential for nonctxnpliance
±
r a*-
^ Ptimacy agency notiTes PWS
J of formal enforcement
response
07
1 — ^* Infrastiucturo projects meat
Jvwrfjjstry sfanderds (Goa' t>
V—
J f oV
^ PWS operators rece/ve State
I 09,
^» Certified laboratories implement
! approved analytical methods
«.
010.
— ^{ Drinking waler data system
• capable of accepting compliance
;::;:::;5;::::::;
Oil.
Primacy agency implements
reporting and recordkeeping
system
ort and Medium-Term
Outcomes
[Long-term Outcomes
_ ,
( ^T
'• Consumefs served by PWS 1 ildMlton In
• instance of safe dnnklng 1 l^SS™
1 walBflooubltaheallh fl "' '•*' !
! i 1
' PWS improves knowledge •
! of managerial and \
* financial capacity building .
(Goal 2)
!" S3. j
| PWS improve knowledge .
of PWSS program |
i requirements (Includes .
technical capacity) i
| {Goa/ 2J
.
: S4. i
•« Primacy agency
' maintains adequate N '
1 program capacity
' (Goals 1,2,3) I
•~ sr " !
J PIVS roma/ns in 1
|comp/iance, or rafcesl
J corrective action to | — '
'return to compliance.
-^j ivrf/;, ruJe |
' requirements
j (includes WR and i
PW;
j fGoa/z; i^
1
h j^
i-U: .
Hi.
PWS maintains 1
' financial ami •
•--"
/
XpwssN
1 Feedback I
V Loop J
\
L2. Human health
protected via safe
water from PWS
(Goals 1,2,3)
'managerial capacity'
' to provide safe 1
1 1 drinking water
' (Goals 2. 1)
Designed by EPA Logic Model
Work Group
S / (Jssaf
/ P-
Appendix C: Capacity Development Strategic Goals as Reflected in the PWSS Logic Model
-------
D:
INPUTS
Program Distribution
EPA Headquarters and
Regional Program
Oversight per §1420
Numerous State
Implemented CD
Program Strategies
Federal funding
identified as PWS
assistance grants
Assigned staff
EPA Headquarters &
Regional Staff
State Primacy Agencies
Utilizing DWSRF Funds
EPA Grantees
Legislative Intent
To enhance and ensure
technical, managerial,
and financial capacity of
public drinking water
systems.
ACTIVITIES (Process)
EPA HQ & Regions
Conduct oversight activities
of National CD Program
implementation
To provide information,
training, and technical
assistance when needed to
all stakeholder parties
Integration of CD with
Grant Environmental
Results
Communicating regularly
with Stakeholders
Improving leveraging and
coordination of Federal,
State, and local agencies'
financial resources
State Programs
Implement individual State
Strategies through local
Legislative authority in
support of Congressional
Intent
Provide information,
training, and technical
assistance opportunities for
PWS
EPA Grantees:
Providing information,
training, and technical
assistance in the areas of
technical, managerial, and
financial capacity of PWS
OUTPUT
State Capacity
Development Programs
assessed
New water systems
assessed for capacity
Existing water systems
assessed for capacity
PWS receiving technical
assistance
Identify States Use of CD
related DWSRF Set-
Asides
Provide effective guidance
on new and current SDWA
rule implementation issues
SHORT TERM OUTCOMES
Maintain a proactive
working relationship with
State co-regulators
Reduction of new
systems with inadequate
capacity
Reduced number of
Historical Significant
Non-compliers(HSNC)
LONG TERM OUTCOMES
Fewer systems with long-
term health based
violations
Better targeting of
resources because
systems have increased
capacity
Appendix D: National Capacity Development Strategic Plan Summary Chart
-------
References
General Accounting Office Report No. GAO/T-RCED-00-298, Drinking Water Spending
Constraints Could Affect States' Ability to Meet Increasing Program Requirements.
September 19, 2000. Available online at http://www.gao.gov/archive/2000/rc00298t.pdf
General Accounting Office Report No. GAO/RCED-99-31, Safe Drinking Water Act:
Progress and Future Challenges in Implementing the 1996 Amendments. January 14,
1999. Available online at http://www.gao.gOv/archive/l999/rc99031 .pdf
National Academy of Public Administration. Strategic Plan. Spring 2005. Available
online at http://www.napawash.org/about_academy/StrategicPlan2005.pdf
Office of Management and Budget. Program Assessment Rating Tool (PART):
Assessment of Federal Programs. Available online at
http://www.whitehouse.gov/omb/expectmore/perform.html
U.S. Environmental Protection Agency. 2000 Community Water System Survey.
December 2002. Available online at http://www.epa.gov/safewater/cwssvr.html
U.S. Environmental Protection Agency. Draft 2006-2011 EPA Strategic Plan
Architecture, Public Review Draft. February 14, 2006. Available online at
http://www.epa.gov/ocfo/plan/06draftarch.pdf
U.S. Environmental Protection Agency. National Water Program Strategic Plan and
Guidance, 2003 - 2008. Available online at http://www.epa.gov/water/waterplan.
U.S. Environmental Protection Agency. Strategic Plan, 2003 - 2008. September 30,
2003. Available online at http://www.epa.gov/ocfo/plan/2003sp.pdf.
U.S. Environmental Protection Agency, Office of Inspector General. Impact of EPA and
State Drinking Water Capacity Development Efforts Uncertain. September 30, 2003.
Report No. 2003-P-00018. Available online at
http://www.epa.gov/oig/repoils/2003/2003-p-00018-20030930.pdf
References
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