United States Environmental Protection Agency vvEPA National Capacity Development Strategic Plan ------- Office of Water EPA816-K-07-003 www. epa.gov/safewater January 2008 ------- 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 ------- This Page Intentionally Left Blank National Capacity Development Strategic Plan ------- 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 ------- This Page Intentionally Left Blank National Capacity Development Strategic Plan ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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. National Capacity Development Strategic Plan ------- • 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. National Capacity Development Strategic Plan 10 ------- 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 ------- • 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 ------- 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 ------- 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 ------- 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 ------- This Page Intentionally Left Blank ------- This Page Intentionally Left Blank ------- This Page Intentionally Left Blank ------- |