Environmental Finance Center Network
2003 Annual Report
FOREWORD
It is our great pleasure to present the 2003 Annual Report of EPA's Environmental Finance Center
Network. The Network consists of university-based Centers which provide finance training, education,
and analytical services designed around the "how to pay" issues of environmental compliance. Since the
creation of the first center twelve years ago, the EFCs have expanded into a network that comprises nine
centers strategically located at major universities in eight Federal Regions:
• University of Southern Maine (Region 1)
Syracuse University (Region 2)
• University of Maryland (Region 3)
» University of North Carolina at Chapel Hill (Region 4)
University of Louisville (Region 4)
Cleveland State University (Region 5)
• New Mexico Institute of Mining and Technology (Region 6)
California State University at Hayward (Region 9)
Boise State University (Region 10)
The EFC Network has become a significant force in assisting local governments and small businesses
in meeting environmental standards. A central goal of the Network is to help create sustainable
environmental systems in the public and private sectors. Sustainable systems have the financial,
technical, and institutional resources and capability to operate indefinitely in compliance with
environmental requirements and in conformance with generally accepted environmental practices.
Paying for environmental protection is an important component of sustainability and continues to be
primarily a responsibility of local governments and the private sector.
For their part, the financial outreach services of the EFCs help meet environmental needs by identifying
ways of cutting costs, lowering and shifting costs, and increasing private sector investment in
environmental systems. The reader will find in the following pages many innovative and traditional
activities the EFCs have undertaken in accomplishing these objectives. Their work, however, is an
ongoing process, and the sum total of the Network's benefits make an important contribution to
environmental progress in this country. Information about the Environmental Finance Center Network,
along with previous years' Annual Reports, can also be found on our website on EPA's Environmental
Finance Program homepage at http://www.epa.gov/ocfo/ or http://www.epa.gov/eflnpage/.
We welcome your comments and suggestions.
Joseph L. Dillon
Director
Office of Enterprise Technology and Innovation
U. S. Environmental Protection Agency
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Environmental Finance Center Network
ACKNOWLEDGMENTS
A great many dedicated people have helped the Environmental Finance Centers (EFCs) along the
way. We particularly want to acknowledge the EPA Regional management and staff noted in the
following listing who have generously provided their skills and tune in managing the cooperative
agreements with each of the centers. The EFC network would simply not exist without the Regions'
superb cooperation and support. Additionally, we appreciate very much the key assistance and
support of Headquarters management and staff in the Program Offices.
We want to express our appreciation to the leadership of the Environmental Financial Advisory
Board (EFAB), particularly Lyons Gray, Chairman of EFAB, who has had a distinguished career in
both business and public service, and Stan Meiburg, the Environmental Financial Advisory Board's
Designated Federal Official, and Deputy Regional Administrator for Region 4. We are very pleased
that both of these highly respected individuals have brought their considerable knowledge and skills
to this Federal Advisory Board and are looking forward to a continuing working relationship with
them, given the interactive role of the EFC Directors as expert witnesses to EFAB.
We also are grateful for the support of Charles Johnson, EPA's Chief Financial Officer. A
successful business leader with KPMG before comingto EPA, Charlie was also Chief of Staff to the
Governor of the State of Utah, and prior to that Director of the Governor's Office of Planning and
Budget.
Finally, we want to thank Michael Ryan, Deputy Chief Financial Officer, and Joseph Dillon, Director
of the Office of Enterprise Innovation and Technology, for their outstanding support of the Centers.
There is no model or template for the Centers and they have benefitted greatly from the valuable
guidance and suggestions of these highly respected leaders.
Finally, we want to recognize the staff of the Environmental Finance Program, whose efforts and
dedication prove that resources can be leveraged into far-reaching results.
Vera Hannigan
EFC Network National Coordinator
Acknowledgments i
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Environmental Finance Center Network
2003 BFC Annual Report
ENVIRONMENTAL FINANCE CENTERS
ACKNOWLEDGMENTS
The EFC Network would like to acknowledge the support and working relationships between the
EFCs and the state and local governmental entities they serve. Also, the EFC Network is greatly
indebted to EPA, both Headquarters and the Regional offices, for providing ongoing expertise
and participation.
REGION 1 - UNIVERSITY OF SOUTHERN MAINE EFC
EFC
Prof. Richard Barringer, Director
Dr. Sam Merrill, Projects Director
Prof. Charles Colgan, Faculty Associate
Prof. Jack Kartez, Faculty Associate
Prof. Mark Lapping, Faculty Associate
Prof. Evan Richert, Faculty Associate
Prof. Orlando Delogu, Faculty Associate
Jodi Castallo, Project Manager
Karen Young, Direcor, Casco Bay Estuary Project
Karl Braithwaite, Dean, Muskie School of Public Service
Tom Woods, Operations Director, Muskie School of Public Service
Service
Sarah Hennessey, Graduate Assistant
Andy DesPres, Graduate Assistant
Linda Grace, Administrative Assistant
EPA Region 1
Robert Varney, Regional Administrator
Carl Dierker, Office of Regional Counsel
Rosemary Monahan, Smart Growth Coordinator
Diane Gould, Program Officer, and Casco Bay Estuary Project
Coordinator
Steve Silva, Maine State Office Director
EPA HQ The Environmental Finance Program Team:
Vanessa Bowie, EFAB Coordinator
Vera Hannigan, EFC Coordinator
Acknowledgments ii
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Environmental Finance Center Network
2003JEFCAnnital_Report
REGION 2 - SYRACUSE UNIVERSITY EFC
n Memonam for Robert Gill
EFC
Kim Farrell, Director
Amy Santos, Assistant Director
Kevin Jacobson, Program Manager
Peg Stroman, Project Coordinator
Mary Ellen Gilbert, Administrative Assistant
Naila Almagambetova
Jeremy Ames, Research Associate
Abbey Clymer, Research Associate
Yan Dong, Research Associate
Alan Hallenbach, Research Associate
Sarah Holsen, Research Associate
Martine Kalaw, Research Associate
Sarah Kate Kirk, Research Associate
Sean Kimball, Research Associate
Nathan Reese, Research Associate
EPA Region 2
William Muszynski, Deputy Regional Administrator, EPA Region 2
Elizabeth VanRabenswaay, Chief, Construction Grants, SRF Section, EPA R-2
Other Partners
Patrick Brennan, USDA State Director, New York
Jim Stearns, New York State Environmental Facilities Corporation
David Miller, USDA RUS, Syracuse
Jeff Smith, Munistat Financial Services, New York
Pat Scalera, New York Rural Water Association
Bill Webb, Rural Community Assistance Program (Northeast)
Scott Mueller, Rural Community Assistance Program (Northeast)
Rob Campany, Bernier and Carr Engineering
Bill Hall, Sterns and Wheler
Kevin Smith, Tug Hill Commission, Watertown, New York
Acknowledgments Hi
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Environmental Finance Center Network
REGION 3 - UNIVERSITY OF MARYLAND EFC
EFC
Jack Greet, Director, EFC
Michelle O'Herron, Assistant Coordinator
Jean Holloway, Training Manager
Maryland Sea Grant
Jonathan G. Kramer, Director, Maryland Sea Grant
Bonny Marcellino, Assistant Director for Administration, Maryland Sea Grant
Theresa Lee, Program Management Specialist, Maryland Sea Grant
Dan Jacobs, Information Technology Manager, Maryland Sea Grant
Jeanette Connors, Administrative Assistant, Maryland Sea Grant
EPA Region 3
Donald S. Welch, Regional Administrator
Mindy Lemoine, Grants Administrator
Mary Zielinski, Grants and Audit Management Branch
Ghassan Khaled, Drinking Water Branch
National Environmental Training Center for Small Communities at West Virginia
University (NETCSC)
John Hoornbeck, Director
Sandra Fallen, Training Specialist
Mary Alice Dunn, Training Specialist
West Virginia Rural Water Association
Starla Snead, Capacity Development Program Coordinator
Virginia Rural Water Association
Ken Coffinan, Program Specialist
Small Public Water Systems Technical Assistance Center (SPWSTAC) at Penn State-
Harrisburg
Charles Cole, Director
Alison Shuler, Training Coordinator
Sue Hippie, Administrative Assistant
Northeast Rural Communities Assistance Program
Don Schwartz, Senior Water Resource Specialist
Delaware Environmental Training Center
Jerry Williams, Director
Maryland Rural Development Corporation
Joyce De Laurentis, Community Development Specialist
Acknowledgments iv
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Environmental Finance Center Network
2003 EFC Annual Report
West Virginia Department of Health and Human Resources
J. Scott Rodeheaver, Geologist, Program Manager I
Maryland Department of the Environment
John Grace
Gul Behsudi
Barry O'Brien
Terry Ugiansky
Maryland Department of Natural Resources
- Danielle Lucid
— Nick Williams
National Park Service Rivers, Trails, and Conservation Assistance Program
Wink Hastings
Institute for Governmental Service, University of Maryland, College Park
Philip Favero, Extension Specialist
The Wilderness Society
Judy Guse-Noritake
Fran Hunt
;«f£®»58;^^^
REGION 4 - UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL EFC
EFC - Jeff Hughes, Director
Prof. Richard Whisnant, Associate Professor
Lynn Weller, Program Manager
Mike Lugar, Director, Office of Economic Development
Joe Cook, Research Associate
Sherrie Barrier, Research Associate
Rich Thorsten, Research Associate
Maia Blankenship, Research Associate
Ben Altz-Stamm, Research Associate
Matt Richardson, Research Associate
Scott Morrissey, Research Associate
Chris Heaney, Research Associate
Alicia Jolla, Graduate Assistant
EPA Region 4
Stan Meiburg, Deputy Regional Administrator
Linda Rimer, Liaison for the Carolinas
Cory Berish
Mary Jo Bragan
Dale Froneberger
Acknowledgments v
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Environmental Finance Center Network
2003 EFC Annual Report
i
EPA Headquarters, Environmental Finance Staff
Vanessa Bowie
Vera Hannigan
Tim McProuty
Alecia Crichlow
State
Bill Ross, Secretary, N.C. Department of Environment and Natural Resources
Bill Holman, Clean Water Trust Fund
Richard Rogers, One NC Naturally Land Conservation Program
Jessica Miles, Public Water Supply Section
Sid Harrell, DWSRF
Bobby Blowe, CWSRF
Janice Burke, Local Government Commission
Universities
Mike Smith, Dean, School and Institute of Government
John D. Kasarda, Director, Kenan Institute for Private Enterprise
REGION 4 - UNIVERSITY OF LOUISVILLE EFC
EFC
Peter Meyer, EFC Director
Lauren Heberle, Assistant Director
Russell Barnett, EFC Project Manager
Karen Cairns, Project Associate
Carol Norton, Project Assistant
Susan Opp, Graduate Research Assistant
R. Diane Gossett, Administrative Assistant
EPA Region 4
Stan Meiburg, Deputy Regional Administrator
Cory Berish, Chief, Planning and Analysis
Mary Jo Bragan, Project Officer
REGION 5 - CLEVELAND STATE UNIVERSITY, GREAT LAKES EFC
EFC
Kevin E. O'Brien, Executive Director
Claudette Robey, Assistant Director
Kirstin Toth, Project Manager
Acknowledgments vi
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Environmental Finance Center Network
2003 EFC Annual Report
Larry Ledebur, Ph.D.s GLEFC Fellow
Michael Tevesz, Ph.D., GLEFC Fellow
Wendy Kellogg, Ph.D., GLEFC Fellow
Daniel Baracskay, Ph.D., Research Associate
Michael McGoun, Research Assistant
Vivian Tucker, Administrative Assistant
John Storey, Graduate Assistant
Becky Salak, Graduate Assistant
Sarah Hudecek, Graduate Assistant
EPA Region 5
Lyn Lutner, Region 5 Cleveland Office
Deborah Orr, Region 5 Brownfield Team
Joseph Dufficy, Region 5 Brownfield Team
Brooke Furio, Region 5 Brownfield Team
Carla Aucker, Region 5 Cleveland Office Brownfields Team
U.S. Department of Housing and Urban Development (HUD)
Doug Shelby, Director, Cleveland Office
Paul Diegelman, Community Builder
U.S. Department of Commerce, National Oceanic and Atmospheric Administration
(NOAA)
Kate Barba, National Estuarine Research Reserve Program Manager .
State of Ohio
John Magill, Director, Urban Development, Ohio Department of Development
Amy Alduino, Administarator, Clean Ohio Revitalization Fund
Steve Grossman, Ohio Water Development Authority
Tiffani Robinson, Ohio EPA Voluntary Action Program
Amy Yersavich, Ohio EPA Voluntary Action Program
Jeff Reutter, Ohio Sea Grant College Program
Yetty Alley, Ohio Department of Natural Resources
Linda Feix, Old Woman Creek National Estuarine Research Reserve
EPA Headquarters
Vanessa Bowie, EFC Team Leader
Vera Hannigan, EFC Team
Tim McProuty, EFC Team
REGION 6 - UNIVERSITY OF NEW MEXICO EFC
EFC
Heather Himmelberger, P.E., EFC Director
Susan Butler, Program Manager
Acknowledgments vii
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Environmental Finance Center Network
2003 EFC Annual Report
}WMW««MWM8MW^Wft»«««C«6C««»»«C«Ofr»»»&»0»C»MftM«WW
Keith Melton, Program Manager
Beverly Rizzolo, Tribal Capacity Development
Andy Edmondson, Environmental Engineer
Christy Jones, Environmental Engineer
Peter Murtaugh, GIS/GPS Analyst
Cynthia Hernandez, Project Coordinator
Shannon Culbertson, Research Assistant
Julia Shavar, Administrative Assistant
EPA Region 6
EPA/HQ
James Brown, Chief, Drinking Water Section, Water Quality Protection Division
David Reazin, Drinking Water Section, Water Quality Protection Division
Blake Atkins, State/Tribal Programs Section, Water Supply Branch
William Davis, Drinking Water Section
Andrew Waite, Drinking Water Section
Thomas Poeton, Drinking Water Section
Marvin Waters, Drinking Water Section
Freda Wash, State/Tribal Programs Section, Water Quality Protection Division
Betty Ashley, State/Tribal Programs Section
Yulonda Davis, State/Tribal Programs Section
Kim Ngo, Drinking Water Section, Water Quality Protection Division
Teena Scott, State/Tribal Programs Section
•Ken Williams, Source Water Protection Section, Water Quality Protection Div.
Peter Shanaghan, Small Systems Coordinator, OGWDW
Jamie Bourne, Drinking Water Academy, OGWDW
Debra Gutenson, Source Water Protection, OGWDW
Roy Simon, Source Water Protection, OGWDW
Region 6 State Agencies
Arkansas
Louisiana
New Mexico
Harold Siefert, Division Director, AR Department of Health
Mason Seals, Capacity Development Coordinator, LA Dept. of Health and
Hospitals
T. Jay Ray, Manager, Drinking Water Revolving Loan Fund, LA Dept. of Health
and Hospitals
Bill Bartels, Bureau Chief, Drinking Water Bureau, NM Environment Department
Ken Hughes, Local Government Divison, NM Dept.of Finance and Administration
Tom Pollard, Executive Director, New Mexico Finance Authority
Acknowledgments viii
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Environmental Finance Center Network
Albert Racelis, Covmty Planner, Dona Ana County NM
Cynthia Rex, NM Finance Authority
Oklahoma
Mike Kartell, P.E., Environmental Engineer Supervisor, Water Quality Division,
OK Dept. of Environmental Quality
Tim Ward, Capacity Development Coordinator
Tony Bennett, TNRCC
Buck Henderson, TNRCC
Doug Holcomb, P.E., TNRCC
Wayne Wiley, Jr., TNRCC
Dorothy Young, TNRCC
Texas
REGION 9 - CALIFORNIA STATE UNIVERSITY, HAYWARD EFC
EFC
Sarah Diefendorf, EFC Executive Director
Susan Blachman, EFC Associate Director
Ann Blake, EFC Senior Associate
Yield Vasquez, Programs Coordinator
Jim Nicholas, Website Designer
EPA Region 9
Laura Yoshii, Deputy Regional Administrator
Bill Jones, EFC9 Grant Manager, Solid Waste Division
Eileen Sheehan, Pollution Prevention Coordinator
Leif Magnuson, Pollution Prevention Division
John Katz, Pollution Prevention Division
Sue McDowell, Solid Waste Division
Patricia Norton, Solid Waste Division
California EPA
Kim Hooper, Department of Toxic Substances Control, Hazardous Materials
Laboratory
Tom McDonald, Department of Toxic Substances Control, Hazardous Materials
Laboratory
California State Senate
Maria Armoudian (Senior Staff, Senator Alarcon)
Public Sector
Ceils Scandone, Green Business Coordinator, Association of Bay Area Govts.
Pam Evans, Alameda Green Business Program
Robin Bedell-Waite, Contra Costa County Green Business Program
Acknowledgments ix
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Environmental Finance Center Network
2003 EFC Annual Report
Hawaii
Gail Suzuki-Jones, State Department of Business, Economic Development &
Tourism
Karl Montoyama, State Department of ealth, Pollution Prevention Coordinator
Dennis Hwang, Coordinator, Hawaii Green Business Program
Arizona
Al Brown, Director, Environmental Services, Maricopa County
Bob Evans, Program Manager, Environmental Services, Maricopy County
Supervisor Mary Rose Wilcox, Maricopa County
Nevada
Kevin Dick, Director, Business Environmental Program, University of Nevada,
Reno
Ed Gonzalez, Director, Western Regional Pollution Prevention Network
REGION 10 - BOISE STATE UNIVERSITY EFC
BOISE STATE UNIVERSITY
Robert Kustra, President, Boise State University
Darryl Jones, Provost, Boise State University
Mark Dunham, Office of the President, Boise State University .
Michael Blankenship, Dean College of Social Science and Public Affairs
James B. Weatherby, Chair, Department of Public Policy and Administration
John Owens, Vice President of Research
Lawrence Irvin, Director, Office of Research Administration
Kim Chanley, Sponsored Projects Accounting
George Murgel, P.E., College of Engineering
Amanda Horton, University Counsel
EPA/Region 10
William Chamberlain, Office of Water Quality, Drinking Water Unit
Amber Wong, Office of Ecosystems and Communities
Bevin Reid, Office of Ecosystems and Communities
Richard Green, Office of Water Quality, Drinking Water Unit
James H. Werntz, Director, Idaho Operations Office
EPA/Region 7
Robert Dunlevy, Groundwater-Drinking Water Branch, Office of Water
EPA/HQ
James Bourne, Drinking Water Academy, Office of Water
Jenny Bielanski, Office of Groundwater and Drinking Water, Office of Water
Peter Shanaghan, Drinking Water State Revolving Fund
Acknowledgments x
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Environmental Finance Center Network
2003 EFC Annual Report
George Ames, Chief, SRF Branch, Office of Water
Federal Agencies
Brayton Willis, United States Army Corps of Engineers
Debra Willis, United States Army Corps of Engineers
State
Lance Nielsen, IDEQ Drinking Water Program
Bill Jerrel, IDEQ State Revolving Fund Program
Chris Lavelle, IDEQ Capacity Development Coordinator
David Risley, IDEQ Source Water Protection Program
Dan Garner, Alaska Department of Environmental Conservation
John LaRocque, Washington Department of Community Trade and Economic
Development
Leslie Hafford, Washington Department of Community Trade and Economic
Development
Allison Hensey, Oregon Watershed Enhancement Board
Scott Ruby, Alaska Department of Community and Economic Development
Cathy Tucker-Vogel, Kansas Department of Health and Environment
Jennifer Bunton, Iowa Department of Natural Resources
Private Sector and Nonprofit Organizations
Ken Harward, Association of Idaho Cities
Jeff McCreary, Ducks Unlimited
Michael Sebastian Hargrove, Nature Conservancy
Don Munkers, Idaho Rural Water Association
Dan Schultz, The Network Group
Acknowledgments xi
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CSUH
USM
Environmental
Finance
Center Network
THE ENVIRONMENTAL FINANCE
CENTER NETWORK - A UNIQUE ASSET
FOR THE NATION
The Environmental Finance Center Network is the only
university-based organization that creates innovative
solutions to help manage the cost of environmental
protection. Addressing difficult "how-to-pay" issues,
Ihe Network works with both the public and private
sectors to promote a sustainable environment
Core support for the Network is provided by EPA's
Environmental Finance Program in the Office of the
Comptroller, OCFO1. The Network is comprised of nine
Environmental Finance Centers, each affiliated with an
EPA Region and located at the following universities.
• University of New Mexico
• University of Maryland
• Syracuse University
• California State University at Hayward
• Cleveland State University
• Boise State University
• University of Southern Maine
• University of North Carolina at Chapel Hill
• University of Louisville
THE VALUE OF THE ENVIRONMENTAL
FINANCE CENTER NETWORK
The Network is
Innovative The Network shares and integrates
information, tools and techniques
across the country to develop
innovative solutions to difficult
problems.
Neutral The Network is housed within nine
Universities and is not governed by
any one public or private agency or
organization and so is neutral by its
very nature.
Office of the Chief Financial Officer
Multi- The Network routinely employs staff
Disciplinary from multiple disciplines including
engineering, business, finance,
planning, economic development,
science, public administration, and
law. For any project, the Network can
access the expertise housed within the
nine universities.
Local, The Network has a proven track
Regional & record of working at all project levels
National from jocal to national.
The Network Offers
Financial
Expertise
Technical
Transfer
Multi-Media
Capabilities
Partnerships
w/the
Regulated &
Regulators
National
Presence
In solving environmental problems or
addressing environmental issues, the
Network brings a unique financial
perspective.
The Network has worked in over 40
states and shares information and
technical expertise among the states and
within the Network to allow a national
transfer of information.
The Network addresses a full range of
environmental issues, including:
hazardous waste, air, water, wastewater,
solid waste, brownfields, environmental
technologies and pollution prevention.
The Network works with both the
regulated community and regulators to
promote efficient and effective
environmental compliance.
The Network routinely partners with
other public and private entities to
complete projects throughout the US and
beyond.
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Environmental Finance Center Network
ENVIRONMENTAL FINANCE CENTER
NETWORK TOOLS
The Network provides education, technical assistance
and analyses to state and local governments and the
private sector through various tools, including the
following.
• Finance Planning Strategies and Programs
• Local Economic Development
• Stakeholder Meetings
• Role-play and Simulations
• Economic and Fiscal Impact Analysis
- Utility Rate Setting
• Informal Surveys
• Guides
* Information Clearinghouse
• Strategic Information Systems
• Conferences & Workshops
• Charrettes
• Process Facilitation
• Research Publications and Reports, and
• Hand-On Assistance
We have adopted these tools to help us navigate the
numerous environmental media in which we work.
Some tools apply across a broad spectrum of issues while
others are limited to specific media.
Finance Planning Strategies and Programs include the
provision of financial expertise in areas such as capital
financing, operating cost management, innovative loan
programs, and strategies and approaches for the public
and private sectors.
Local Economic Development support involves
numerous areas including eco-industrial parks, recycling,
open space preservation, brownrlelds, greenfields, and
green business and environmental industry support and
promotion.
Stakeholder Meetings and Charrettes are implemented
in various situations where input from a variety of
stakeholders and participants is necessary to resolve an
environmental finance problem.
Role-play and Simulations have been used in
brownfields assistance where stakeholders learn what
motivates and interests the other stakeholders with whom
they need to negotiate, based on real circumstances.
Economic and Fiscal Impact Analyses are frequently
performed for various projects including brownfields
reclamation, rural land conversions and other forms of
development.
Utility Rate Setting models and systems development
programs have been developed for water and wastewater
infrastructure projects.
Informal Surveys are frequently used for a range of
projects from determining small business incentives for
green manufacturing, to assessing local needs for
redevelopment
Guides have been developed to assist in shaping local
policy and helping consumers choose and locate green
businesses.
Information Clearinghouse is a role that all Centers
play. The Network serves as a national repository and
clearinghouse for environmental finance-related
information, including information from the USEPA, the
national Environmental Financial Advisory Board, and
the national Environmental Financing Information
Network.
Strategic Information Systems have been designed to
improve financial and management capabilities of water
systems.
Conferences & Workshops are offered by the Network
throughout the United States on a range of topics from
water and wastewater, to brownfields redevelopment and
environmental technology transfer.
Process Facilitation is a broad tool designed to help
take a project from concept to reality. Part of that
facilitation may include Internal Partnering Meetings that
promote inter-agency cooperation.
Finally the Network offers a wide range of Research
Publications and Reports, and Hands-On Assistance
to national, state, and local agencies as well as tribes and
private sector organizations and businesses.
SELECTED PROJECTS ACROSS THE
UNITED STATES
Since 1992, the Network has been working to promote
sustainable development throughout the United States.
The following is a selection of projects that best
represents our talents.
Full Cost Pricing of Water and Sewer Services Small
communities struggle with the challenge of providing
safe drinking water and effective wastewater treatment
services to the public. As a result, the Network provides
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public health and environmental protection services at
the lowest cost possible. Communities throughout the
country have benefited from low or no-cost assistance in
the areas of rate setting, capital replacement financing,
financial management and assessing the impact of capital
investments.
Brownfields Remediation and Cleanup Brownfield
remediation projects have been profiled through site
visits, while other projects actively involve Network
members as partners in their operation. Program
Evaluations for the Brownfields Cleanup Revolving
Loan Fund have been conducted, as have assessments of
the impacts of state-level brownfield regeneration
promotion efforts. The Network has been involved in
coordinating promotion efforts at the regional level and
in the design and implementation of local level
innovations including a Brownfield One-Stop-Shop
initiative.
Multi-State Grants and Loans Database A database is
being compiled of grants and low cost loans for
environmental projects in North Carolina as well as five
other southeastern states: South Carolina, Georgia,
Florida, Alabama, and Mississippi. This database will be
made available to local governments and citizen groups
in those five states to help them identify low cost
financing approaches for environmental projects. This
database will also be an extension of the Network and
EPA's Guidebook of Financial Tools.
Environmental Finance Course A course is being
produced on environmental finance, intended to bridge
the gap between existing academic courses on public
finance and existing training programs for government
officials. The course will be available for delivery
throughout the Network and will be presented as a series
of modules that can work together for an extended course
of study, or separately for focus on individual topics.
Environmental Finance Policy Guides Guides are
being developed to be used throughout the Network by
state local government associations, Rural Community
Action Program staffs and others. Topics, readable by
people with high school educations, include the issues of
land value 'takings' by regulation, resources valuation
issues in water and wastewater system mergers/
acquisitions, choosing among alternative subsidies for
brownfield regeneration, and the economic and
environmental features of different policy responses to
urbanization pressures.
Unified Source Water Protection Working under a
joint EPA/RUS Pilot initiative, a unified source water
protection plan was developed to incorporate the needs
of many water systems in New Mexico. The single or
unified plan: reduced duplication of effort, allowed for a
more expansive look at water resources, allowed for a
greater community involvement, and permitted side
benefits by bringing water system managers and
operators together on an ongoing frequent basis. This
project will be replicated in four other EPA regions in an
upcoming joint EPA/Network project.
Construction Debris Recycling Program A
collaborative program was developed among government
housing agencies, nonprofit housing entities, and private
developers to recycle material from demolished housing
and other structures.
Funding Analysis The Network frequently assesses
performance of individual funding programs available
for environmental improvements or infrastructure
development. In addition, focus groups and informant
interviews of program representatives and program
beneficiaries or recipients have been conducted, and
strategies recommended for cooperative funding to
maximize opportunities for beneficiaries to obtain
financing in the most cost-effective and politically
palatable manner.
Mini-Grants Program for Local Government In a
partnership withUSEPA, the 2000/2001 Mini-Grants
Program for Local Government is being managed. The
purpose of the "Mini Grants" program, which could be
replicated throughout the Network, is to promote
effective technical assistance to business by providing
seed money for local governments to build local Multi-
agency Assistance Programs. Grant proposals must be
tailored to specific industries, administered at the local
level and be multi-media.
Environmental Insurance for Brownfields Research
has been conducted on available insurance products and
their utility for brownfield projects. In addition, technical
assistance has been provided to state and municipal
brownfield programs and instruction has been offered for
continuing legal education seminars and other forms of
training for brownfields stakeholders. Current efforts
include designing model insurance programs for
municipal- and state-led redevelopment programs.
Financing Watershed Strategies Training workshops
have been developed which promote the coordination of
funding and technical assistance programs with
innovative financing techniques to support watershed
management. Participants explore innovative solutions
to multi-jurisdictional and multi-disciplinary issues
encountered within a watershed. Network trainings have
been held in EPA Regions 10 and 5 and will be held
throughout the country in 2001.
Small Business Participation In a Green Business
Program A partnership was formed with numerous
government agencies and regional Green Business
Programs, to examine the barriers and incentives to
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Environmental Finance Center Network
printers' and other business participation in a regional
Green Business Program. The results of this analysis can
be applied to other programs throughout the US.
Smart Growth Planning Network Smart Growth
projects include efforts to help an agricultural
community preserve its rural heritage. Providing advice
for a comprehensive planning effort is part of a county
project that .will include economic and financial
assistance and a financing charrette in spring 2001
focusing on financing land protection initiatives.
EnviroLoan & Strategic Goals Program Projects for
the National Strategic Goals Program included
developing the Access to Capital EnviroLoan Program -
a pollution .prevention (P2)loan program for metal
finishers. Current work is focused on marketing the
Goals Program statewide and with the support of EPA
and other Goals participants, seeking legislation to
implement a California Strategic Goals Program.
Million Acres Initiative - Open Space Preservation In
a state effort that may be replicable, support is being
provided to the North Carolina legislature's Million
Acres Initiative to conserve land for open space,
farmland preservation, riparian buffers and other
conservation purposes. Surveys and interviews are being
used to assess the amount of land already protected, the
rate at which land would be protected over the next ten
years at current funding levels, the size of the revenue
gap needed to complete the million acre goal, and the
funding alternatives potentially available.
Watershed Funding Workshops Three watershed
funding workshops were conducted in EPA Region 10.
The demand for the workshops was so high that a plan
has been established and funded by EPA and the states to
offer approximately 20 more workshops within Region
10 in fiscal year 2001.
Sustainable Infrastructure Development This project
will define a vision for a Great Lakes regional approach
to prioritizing capital investments which sustain the
regional system of infrastructure.
Multi-State Assistance to State Regulatory
Departments Capacity Development Programs were
developed for ten different states to assist water systems
with improving their technical, managerial, and financial
capabilities. These programs ranged from setting up
direct technical assistance to systems, to assisting with
partnering between systems and various options in
between.
Intergovernmental and Inter-Agency Cooperation
The first ever meeting on public funding or watershed
restoration efforts was convened in the state of Idaho.
This meeting included representatives of EPA, USFS,
BLM, Bureau of Reclamation, US ACE, USF&W,
Bonneville Power Administration, NRCS, ID Dept of
Ag, ID Dept of Fish and Game, ID Dept of Water
Resources, ID Dept of Environmental Quality and other
private foundations. The purpose of the meeting was to
initiate a dialogue on the various funding sources and the
match requirements associated with the various
programs.
Financing A Cluster Wastewater System As part of a
multi-region effort, a charrette was held in Yarmouth
MA, to help locate financing for a "cluster" wastewater
treatment system to replace septic systems that had been
nitrogen-loading the local estuary and its ecosystem.
This charrette, an example of a community-planning tool
widely used by the network, helped develop a solution
that may also be generalized to fit other similarly dense
seasonal communities on Cape Cod and other tourist
meccas.
WHERE HAS THE ENVIRONMENTAL
FINANCE CENTER NETWORK WORKED?
Haven't heard of us? If you haven't already, you
probably will soon because the Network is continually
expanding its range of services and the states it serves.
The following is a list of states that have benefited from
our services thus far.
Alabama
Colorado
Hawaii
Iowa
Maine
Mississippi
Nevada
North Carolina
Pennsylvania
Utah
West Virginia
Alaska
Delaware
Idaho
Kansas
Maryland
Missouri
New Jersey
Ohio
South Carolina
Vennont
Wisconsin
Arizona
Florida
Illinois
Kentucky
Massachusetts
Montana
New Mexico
Oklahoma
Tennessee
Virginia
California
Georgia
Indiana
Louisiana
Michigan
Nebraska
New York
Oregon
Texas
Washington
lumaielbefBertgmmeri.irom.echi
biarockf2jboiseslale.edu •
CONTACT US
Have questions? Please email any one of our officers,
Heather Himmelberger,
President, New Mexico
Bill Jarocki,
Vice President, Idaho
Kim Collins
S ecretary/Treasurer
New York kicoli01@maxwell.svr.edu
Visit the EPA National Environmental Finance Program
Webpage,
http://vvww.erja.gcw/efitiDflge/
Or write:
Environmental Finance Center Network
901 University Blvd. SE
Albuquerque, NM 87106-4339
Phone: 505-272-7357
Fax: 505-272-7203
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2003 Annual Report of the EFC Network
Environmental Finance Center Network
EXECUTIVE SUMMARY
This Executive Summary of the annual report that follows highlights the major accomplishments of
the Environmental Finance Center (EFC) Network through 2003. The Network is a university-based
technical assistance program offering educational resources and financial outreach services to
communities and local governments and the small business community on the how to pay issues of
compliance with environmental standards.
To date, the EFC Network comprises nine centers located in Federal Regions at the following
universities: University of Southern Maine (Region 1), Syracuse University (Region 2), University
of Maryland (Region 3), University of North Carolina at Chapel Hill (Region 4), University of
Louisville (Region 4), Cleveland State University (Region 5), New Mexico Institute of Mining and
Technology (Region 6), California State University at Hayward (Region 9), and Boise State University
(Region 10). The EFCs operates as a national association to foster greater collaboration, enhance
project opportunities, and encourage partnerships; as well as to clarify the role of the Environmental
Finance Centers as a collaborative network.
Situated in the Office of Enterprise Technology and Innovation within the Office of the Chief
Financial Officer, the Environmental Finance Program works with the EFC Network to set priorities
and coordinate and plan activities. The financial outreach services of the Network focuses on
identifying ways of building the state and local financial and managerial capacity necessary to carry
out environmental programs and help create sustainable environmental systems in the public and
private sectors as well as increasing private sector investment in environmental systems.
Each year since 1995 the Network has produced an annual report that documents the activities and
the results achieved by the EFCs. These annual reports are available via the Office of the Chief
Financial Officer's web site at http://www.epa.gov/ocfo/index.htm or directly on the
Environmental Finance Program's website at http://www.epa.gov/efinpage/efc.htm. This
website, and the comprehensive and innovative information, contained within it, has become a
highly effective means of communicating all aspects of the how-to-pay issues confronting the
regulated community.
2003 Executive Summary Page 1
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200 3 Annual Report of the EFC Network
New England Environmental Finance Center at the
University of Southern Maine - Region 1
Executive Summary
The EFC at the University of Southern Maine, housed in the Muskie School of Public Service, has
a primary focus on land use and conservation issues (EPA Region 1). The purpose of the New
England Environmental Finance Center (NE/EFC) is to advance the understanding and practice of
"smart growth" throughout New England; in building local capacity to deal with related issues; and
in developing and applying techniques that go "beyond compliance" with government regulations.
Among the 2003 accomplishments of the NE/EFC's work program was a high-risk loan funding
initiative to stimulate smart growth projects, a series of roundtable discussions among public and
private officials dealing with
conservation-development ^^^^^^^^^™"""™1"11™^^^^^^^^^^^^^^
partnerships, creation and delivery The EFC prepared and hosted the Governor's
of an ecology and design course conference on encouraging natural resource-based
module, planning, prepared and industries as a bulwark against sprawl and
hosted the Governor's conference consumptive land use patterns that produced a series
on encouraging natural resource- of papers for the state's natural resource agencies
based industries as a bulwark mm^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^
against sprawl and consumptive
land use patterns that produced a series of papers for the state's natural resource agencies, and an
evaluation and report of the State of Maine's open space acquisition and protection program, which
will be presented for consideration in time for the convening of the state legislature in 2004.
In addition, several bold initiatives will continue into 2004. The Next Communities Initiative is an
example of the effective use and implementation of Smart Growth tools at the local government
level. Through a series of wokshops, the Initiative will train motivated community leaders to make
smart growth-oriented development happen in their cities and towns with a goal to deliver the
curriculum throughout the New England states.
Another continuing project is the standardization and availability of data from the GIS inventory of
protected lands. The EFC will be creating a web portal as a means of collecting data on parcel
status. The EFC will work with State agency staff to identify incentives that will elicit local data
entry, determine initial and ongoing costs; ensure implementation of incentive programs; and to
assure that data uptake and authorization is functioning throughout the six-state "virtual state."
2003 Executive Summary Page 2
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2005 Annual Report of the EFC Network
Syracuse University Environmental Finance Center - Region 2
Executive Summary
A key activity of the EFC is the Public Management and Finance Program (PMFP), which provides
a forum for municipal professionals and leaders from EPA Region 2. PMFP forums enable
communities to better understand the
relationship environmental finance has sssmsaassEs&smMimssssB^^
with other areas of government The PMFP alliances and collaboration among
business, particularly economic or technical assistance providers has been very
community development. The alliances instrumental in removing the gaps in the delivery of
and collaboration among technical technical assistance, although all partners of the
assistance providers has been very PMFP are cognizant that the cumulative needs
instrumental in removing the gaps in the among communities exceed the resources available.
delivery of .' technical assistance, asmsESjgtjSJSBJSJS^^
although all partners of the PMFP are
cognizant that the cumulative needs among communities exceed the resources available. Other
services provided by the EFC during 2003 included assistance with rate setting assistance,
facilitation of processes relative to environmental improvement, training events focused on
environmental issues, and analyses of funding options.
The water and wastewater related activities of the EFC's PMFP have received additional support
from the USDA over the past two years, with the bulk of activities involving municipal water and
wastewater projects to facilitate the planning, financing, and implementation phases. In addition,
the EFC targeted the smallest communities of New York State for training and capacity building
initiatives. Another project includes source water activities that have led to interest from a private
foundation to support building upon the work accomplished through EPA support. The Syracuse
EFC also assisted the Onondaga Lake Partnership, which consists of six government agencies
(including EPA) and numerous nonprofit organizations. The assistance involved facilitating a
particular decision-making process relative to carrying out the plans to clean up heavily polluted
Onondaga Lake.
Among other accomplishments, the EFC held Technical Assistance Partnership Forums to maximize
resources available for small communities; stakeholder outreach and education for communities
pursuing water and wastewater projects; and PMFP customized training for small communities in
the areas of public finance, capital planning and budgeting, rate setting, asset management,
environmental conflict management and resolution, project financing procedures and regulations;
and the introduction of new technologies.
2005 Executive Summary Page 3
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2003 Annual Report of the EFC Network
inaaceCentf
University of Maryland Environmental Finance Center - Region 3
Executive Summary
The Environmental Finance Center at the University of Maryland, draws from a wide range of
expertise including scientists, planners, engineers, citizen advocates, business professional and local
government representatives. The EFC promotes ways to manage the cost of environmental activities
through technical assistance, training and curriculum development, and outreach activities such as
workshops, charrettes and conferences.
Technical assistance is an important element of the EFC's accomplishments for 2003. Among the
EFC's activities was a smart growth initiative to assist local governments on Maryland's Eastern
Shore address increased development pressure as a result of population growth in the region.
Another venture is the Anacostia River project to discuss how the restoration and protection of the
Anacostia could be made profitable for businesses. In
the area of of watershed financing, the EFC customized
its Financing Watershed Strategies workshop to the Anacostia River pro:ect
respond to the needs each local jurisdiction in ^00*** how the restoration and
developing an individualized financing plan. Also, protection of the Anacostia could
noting that the market for nutrient trading is a largely be made profltable for businesses.
untapped opportunity, the EFC hosted a two-day s^sm^MS^^s^w^^MSgM5
workshop that outlined the barriers to establishing a
nutrient trading market in the Potomac watershed and determine how those barriers can be
overcome. Over 35 people from around the watershed and as far away as New Mexico and Missouri,
came to the workshop, which produced several concrete recommendations and next steps. Other
watershed projects included the Chesapeake Watershed dialogues to foster local watershed
management in the Chesapeake Bay basin, and assisting a Blue Ribbon Panel commissioned by the
Governors of Maryland, Virginia and Pennsylvaniato explore financing options for reducing nutrient
and sediment inputs to the Chesapeake Bay.
Training is another key function of the EFC's activities. The EFC Training Coordinator conducted
numerous on-site training sessions throughout the Region covering such subjects as capital
improvements planning, financial and general system management for small systems, rate setting
and cost recovery, and asset management. In addition, the EFC's communication and outreach
services included the planning and development of many training conferences that attracted not only
audiences from Region 3, but offered valuable training to participants from other regions as well.
2003 Executive Summary Page 4
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EEgfty
2003 Annual Report of the EFC Network SIT;**.!*
University of North Carolina at Chapel Hill
Environmental Finance Center - Region 4
tt&a&K&X&XKtiK^^
Executive Summary
The Environmental Finance Center at the University of North Carolina at Chapel Hill (UNC EFC)
works with local communities and government agencies throughout EPA's region 4 to address
environmental management challenges by developing innovative financial management and
environmental policy strategies and systems.
The EFC's work in the delivery of interactive applied training programs and technical assistance to
local communities is among its major accomplishments for 2003. Some training workshop subjects
include: management of on-site wastewater treatment systems to enable local governments to
manage and finance these systems; a water and
wastewater capital finance course for local ^^^^^^^^^•••••••^^•^^^^^^
government utility, management, and finance A k area rf involvement for the EFC
officials; development and delivery of a water and ha$ been Us WQrk to assess and Improve
wastewater utiltity finance training module, design the effectiveness of environmental finance
and implementation of a water and wastewater rate ^ af a regi(mal Qr ^ leyel
setting workshop for utility professionals; financial ^^^^^^^^^^^^^1BBB^^B^^^^^—
management seminars for utility managers; hosted
an intensive one-day workshop for solid waste managers and attorneys from across North Carolina;
delivery of an EPA-sponsored workshop on financial managementto a group of technical assistance
providers from Regions 4 and 6; presentation on water management financial issues to a group of
community development professionals; and development and integration of environmental
management concepts into UNC School of Government's financial management training for the
hundreds of local government finance and budgeting professionals that take these courses annually.
In addition to training, the EFC devoted a significant amount of resources in 2003 to providing direct
technical assistance to practitioners throughout the Southeast. Another key area of involvement for
the EFC has been its work to assess and improve the effectiveness of environmental finance policies
at a regional or state level. Among these policy efforts was a drinking water and sewer infrastructure
needs assessment for the Appalachian Regional Commission (ARC); information on the costs and
financing strategies for land conservation for the North Carolina General Assembly's Environmental
Review Commission; development of collaborative strategies for land trust networks; expanding and
developing financing systems for land conservation efforts in North Carolina; inventory and
assessment of DWSRF loan programs for disadvantaged communities; and review and development
of options for addressing agricultural waste disposal challenges.
2003 Executive Summary Page 5
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2003 Annual Report of the EFC Network
University of Louisville Environmental Finance Center - Region 4
Executive Summary
The Louisville EFC broadened its training and technical assistance services relating to brownfield
regeneration and planning for more environmentally and economically efficient market-driven
human settlements in 2003. In addition to expanding its Practice Guides series of briefing papers for
local officials and citizen volunteer committee members, the Center again staffed a booth providing
information on the economics of brownfield cleanup and redevelopment at the annual EPA
Brownfields 2003 conference, in Portland, Oregon, November of 2003.
The Louisville EFC also expanded the ^^s^g%^g^gi^E^i^^^^^^^^^m!^^^%^!^^^^^^sffi^
provision for direct technical assistance with ...brownfieid redeveloPinent..focuS was on
respect to contaminated land realization, finandal plaiming and prioritization to
working with a number of different cities on maximize private investment potential and
brownfieldredevelopment.withsmartgrowth feduce the need for bj|c f|mds
planning for area development agencies, and ^^ss^^
with the Environmental Justice
Demonstration Project in Spartanburg, South Carolina. The focus was on financial planning and
prioritization to maximize private investment potential and reduce the need for public funds and
donations; and with Region 4 RCRA specialists on ways of providing greater certainty over firms'
financial capacity to remediate after completing ongoing operations. These expanded applications
of the EFC's contaminated land expertise are reflected in our new Working Papers, other staff
publications, conference presentations, and conduct of related research and technical assistance
projects.
The Louisville EFC's Practice Guide series is focused on aspects of land use planning and
information system development for promotion of urban infill, brownfield redevelopment and other
aspects of smarter urban growth. The Center has also provided training and technical assistance
through a range of other publications and presentations. Publications span professional journals,
trade press and academic outlets, since all influence policy discussions and can contribute to more
effective and cost-efficient environmental finance practice.
New initiatives include planning for the International Conference on Local Sustainable Development
Efforts 6th International Symposium of the International Urban Planning and the Environment
Association (IUPEA), which was initiated by the EFC in 2003. The Symposium will be held in
Louisville, September, 4-8,2004, with the overall theme of Global Pressures on Local Autonomy:
Challenges to Urban Planning for Sustainability and Development.
2003 Executive Summary Page 6
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2003 Annual Report of the EFC Network
Cleveland State University
****%"'' Great Lakes Environmental Finance Center - Region 5
Executive Summary
The Great Lakes Environmental Finance Center (GLEFC) assists communities and public, private,
and non-profit sector entities in the Great Lakes states of Illinois, Indiana, Michigan, Minnesota,
Ohio, and Wisconsin build innovative, cost effective, and high quality strategies for environmental
improvement and sustainable economic development.
The GLEFC is housed within the ^^^^^^^^^^^^^^^^^^^^^^
Maxine Goodman Levin College of The GLEFC utilizes many tools to assists clients,
Urban Affairs at Cleveland State including financial and budget analysis, market and
University to provide technical impact analysis, best practice reviews, training
assistance and training in seminars and conferences, focus groups and
environmental financing for state community visioning/strategic planning processes, and
and local governments, as well as environmental planning and program evaluation.
finHlir nrivatp ftfirl TKvn-nTnftt ^^fi^^^s^^^^^^^ss^^^^^^^^^i^^s^^^^^^s^^^^^^^is^i^^^^s^^^
organizations in the Region 5 states.
The EFC assists these entities in solving financial problems related to environmental facilities and
resources. Services include financial and economic analysis and strategies; policy analysis and
planning; brownfields community advisory services; study and information services; and training
seminars and conferences. The GLEFC utilizes many tools to assists clients, including financial and
budget analysis, market and impact analysis, best practice reviews, training seminars and
conferences, focus groups and community visioning/strategic planning processes, and environmental
planning and program evaluation.
The GLEFC portfolio of ventures included several new projects, ongoing partnership enterprises that
will continue indefinitely, and second and third phases of externally funded projects. The GLEFC
provided technical assistance, applied innovative technology, seminars, training, counsel, and
testimony to local, state, federal; and not-for-profit organizations and clients throughout Region 5.
The GLEFC continues to provide support to the Federal Executive Board of Northeast Ohio in
facilitating an intergovernmental (federal, state, and local) collaboration on brownfieid finance and
redevelopment, now on a state-wide basis. The GLEFC is working with EPA's Region 5
Brownfields Office to assist in initiating regional brownfieid collaboration. In addition, the GLEFC
is working on a broad array of environmental public policy initiatives that are externally funded,
multi-stage, and multi-client projects with the Ohio Department ofNatural Resources, the National
Oceanic and Atmospheric Administration (NOAA), and the National Estuarine Research.
2003 Executive Summary Page 1
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2003 Annual Report of the EFC Network
Environmental Finance Center - Region 6
Executive Summary
The Environmental Finance Center serving EPA Region 6 (NM EFC) formally completed its transfer
from the University of New Mexico to the New Mexico Institute of Mining and Technology (New
Mexico Tech) in June of 2003. The New Mexico EFC (NM EFC) believes this change will open up
additional opportunities for its clients and will increase the overall support for the center.
The Environmental Finance Center serving
EPA Region 6 (NM EFC) formally
completed its transfer to the New Mexico
Institute of Mining and Technology (New
Mexico Tech) in June of 2003.
The NM EFC is dedicated to helping state, local,
and tribal governments meet environmental
infrastructure needs and regulatory compliance
through state and local capacity building.
Capacity building includes enhancing technical,
managerial, and financial capabilities to achieve
consistent and sustainable regulatory compliance ^^^^^^™"""^^™^^^^^^^^^^^^1111
and to develop sustainable infrastructure. The
NM EFC assists in local capacity building by: examining alternative approaches to meeting
regulatory compliance or environmental infrastructure needs; empowering communities to act as the
"drivers" for their own projects; assisting with procuring professional services; presenting funding
alternatives; acting as a bridge between federal, state, local and tribal governments; presenting
neutral analyses of issues or projects; and gathering stakeholder input.
To complete its projects, the UNM EFC relies on many tools and techniques, including: stakeholder
meeting facilitation; internal agency workgroup facilitation; advisory group development; financing
alternatives presentation and directories; technology transfer; charrettes, conferences and workshops;
research publications and reports; and one-on-one assistance to state, local, and tribal governments
and environmental service providers (e.g., water and wastewater systems.). The NM EFC attends
many conferences, trainings and workshops as a participant, exhibitor, and presenter to gather
information to share with its clients and to disseminate information regarding NM EFC projects that
could be of interest and benefit to other entities.
The NM EFC has been very active over the past year and has completed numerous projects,
including: capacity development activities for Region 6 states; capacity development for Tribal water
systems; assistance to New Mexico SRF applicants; resource-based or unified source water
protection project; Tribal Operator Certification Institute; independent analysis of hydroscope
technology for the City of Albuquerque, NM; Resource Geographic Information System Program;
purchase of the town of Playas, NM; and Multiple Barrier Evaluation Training for U.S. Forest
Service.
2003 Executive Summary Page 8
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2003 Annual Report of the EFC Network
California State University, Hayward
Environmental Finance Center - Region 9
Executive Summary
The Environmental Finance Center located in Region 9 at California State University (EFC9) is a
university-based EFC working for greener communities through cleaner business, by advancing the
environmental industry and
promoting pollution prevention ^^^^^^^^^^^^^^^^^^^^^^^^^^^^BB^^M
and sourcereduction. Our mission The R 9 £FC at CaMornia State Universit (EFC9)
is four-pronged: to help , , ... ., . , ...
, , ,c works for greener communities through cleaner business,
entrepreneurs develop and finance , , . .. . , .. . &. , ,.
j. . . ,. by advancing the environmental industry and promoting
new and innovative environmental „ ,. ° .. , , • ,.
... .. pollution prevention and source reduction.
technologies; to encourage small "^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^
business to adopt source reduction
and pollution prevention in the
manufacturing processes; to educate and encourage consumers to choose green business and green
business products, and to help federal, state and local governments establish the necessary tools to
foster cleaner business. To that end, working with both the private and public sectors, EFC9 pursues
its mission through numerous tools including: Greenbusiness development; environmental business
incubation; finance programs & directories; industry surveys & guides; technology transfer;
charrettes, conferences and workshops; research publications and reports, and hands-on assistance
to small business.
Throughout the past year EFC9 has undertaken six new and one ongoing initiative working with both
the private and public sectors. As a result, much of the work in 2003 laid the groundwork for project
results and events in 2004. Those projects include: brominated flame retardants and foam furniture
and mattresses; Western States Green Business Program (GBP) coordination, a voluntary program
in which the GBP certifies applicants who comply with federal, state and local environmental
regulations; business and environment in Hawaii, focusing on hotels with an emphasis on waste
reduction and water conservation; environmentally beneficial behavior in television by adopting the
private sector concept of "product placement" to place environmentally beneficial behavior (EBB)
in television shows; assistance to environmental businesses; Phoenix Arizona brickyard charrette;
and the Western Regional Pollution Prevention Network Conference workshop and sessions.
Among new intiatives for the EFC is a partnership with the Western Regional Pollution Prevention
Network, to begin an effort to introduce pollution prevention and green business principles to Tribal
governments throughout the region.
2003 Executive Summary Page 9
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2003 Annual Report of the EFC Network
i; Boise State University Environmental Finance Center - Region 10
Executive Summary
The primary focus of the Environmental Finance Center at Boise State University (EFC 10) is the
development of broadly applicable, practical tools that improve the efficiency and effectiveness of
environmental systems in meeting the challenges of protecting the environment and public health.
The EFC creates computer-based techniques that provide important information for decision makers
to use in financing environmental systems.
Among the EFC's accomplishments for 2003 I^M^^^HM^B^^M^^^HM^^^^^M
was a focus on watershed financing activities EFC10 developed Plan2Fund, a database
such as: numerous watershed funding model that walks users through the process
workshops in Oregon, Washington State and of estimating the costs of their Watershed
Alaska. Also facilitated a Charrette to Program Plan's goals and objectives.
coordinate the various EPA program staff and ^^^m^^^^^^^^^**^^^^^^^^^
identify how different programs can better
work together to leverage resources and maximize benefits to watershed stakeholders; created an on-
line, searchable Directory of Watershed Resources for watershed restoration funding; worked to
extend the function of the database for use in Region 4; developed Plan2Fund, a database model that
walks users through the process of estimating the costs of their Watershed Program Plan's goals and
objectives. Additional accomplishments included collaborating with the EFCs at the Universities of
New Mexico, North Carolina, Syracuse and Maryland on a project related to source water protection
project funded by EPA; drafted a Drinking Water Protection Plan for the three Oregon communities;
and creation of an informal group in Idaho that meets to share information on source water protection
issues and efforts.
As the demand for information on funding resources and financing tools has increased, EFC 10 is
often contacted by agencies and organizations that would like them to participate in conferences,
meetings and various watershed events. To name a few of these events, EFC 10 participated in a pilot
project to assist the City of Ho Chi Minh in devising new strategies and methods for working
collaboratively with the community, citizens, environmental groups and business leaders to leverage
community pressure and market forces to meet environmental challenges. In another event, EFC 10
participated in the "Funding for Watershed Restoration" satellite program presented by Washington
State University. The two-hour program was broadcast via satellite and Internet on November 18th,
2003. Also during 2003, the Center released the first issue of The Watershed News, a quarterly
newsletter for watershed stakeholders within Region 10 designed to provide watershed stakeholders
with information and resources to assist in finding innovative ways to pay for watershed protection.
2003 Executive Summary Page 10
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2003 Annual Report of the
Environmental Finance
Center Network
Region 1 - The University
of Southern Maine
The University of Southern Maine was
established in 2000 as the Region 1 New
England Environmental Finance Center
Introduction , <'
The EFC at the University of Southern Maine serves the six New England states
(U.S. EPA Region 1). The purpose of the New England Environmental Finance
Center (NE/EFC) is to further the joint goals of the U.S. EPA and the Muskie School
of investigating, publishing, and extending creative approaches to environmental
protection and management, especially respecting the associated "how-to-pay"
questions. In particular, the Center works to advance the understanding and practice
of "smart growth" throughout New England; in building local capacity to deal with
related issues; and in developing and applying techniques that go "beyond
compliance" with government regulations.
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BFC at the University of Southern Maine
The NE/EFC at the University of Southern Maine, housed in the Muskie School of
Public Service, has a primary focus on land use and conservation issues. The
NE/EFC began its activities 2001 and since then has undertaken a broad range of
initiatives in the intervening three years. Calendar year 2003 was a period of
considerable activity in numerous areas.
Accomplishments -:' ' '•' ' .. , '
Projects
High-Risk Loan Funding Initiative
Among the findings of the New England Environmental Finance Center's 2002 work
program was the need for loan and grant programs to stimulate smart growth projects
by covering expenses of up-front design studies, impact analyses, and other pre-
development expenses. In response, a NE/EFC project examined several
development finance programs that already exist in New England; assessed their
strengths and weaknesses in promoting smart growth; and suggested ways the New
England states might adapt and expand them to more fully address the obstacles to
smart growth. For a copy of the report from this project, go to:
http://efc.muskie.usm.mame.edu/Developer%20Incentives.htm.
Trust, Collaboration, and Financial Return in Conservation-
Development Partnerships
In early 2002 the NE/EFC hosted a series of roundtable discussions among municipal
officials, residential developers, land trust representatives, and others about
"Innovative Approaches to Land Conservation and Smart Growth." Among our
conclusions was that for many of the over 20 conservation-development partnerships
we discussed in the series, creation and maintenance of trust was essential to success
or failure in various stages of smart growth development. This indicated a link
between the creation of trust and the return on value for traditionally opposed project
partners. To further examine this matter, we interviewed 11 roundtable participants
and asked questions about key moments in the course of the projectwhere the main
financial benefits or losses were realized; and about specific behaviors (by them or
others in the partnership) that led to creation or dissolution of trust. The report from
the study describes 1) the roles of developers, land trust representatives, and
municipal officials in the projects involved; 2) behaviors project partners felt were
central to creation or dissolution of trust; and 3) particular financial benefits that were
obtained in these partnerships, and should be attainable in other conservation-
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EFC at the University of Southern Maine
development partnerships where trust is cultivated. The report is available at:
http://efc.mus!de.usm.maine.edu/Trust_and_Risk.htm.
Ecology and Design Course Module.
Through the Muskie School master's degree program in Community Planning and
Development, staff of the NE/EFC created and delivered an upper-level college and
graduate-level teaching module in fundamental principles of conservation biology
and landscape ecology, and their role in sound local land use planning. The module
is available in a format useable by universities, conservation organizations,' and
other interested parties; go to:
http://efc.muskie.usm.maine.edu/Landscape_Ecology_for_Planners_files/frame.htm
Elaine House Conference on Natural Resources
In his 2003 budget address to the Legislature, Maine Governor John Baldacci
promised to bring together local residents, industry representatives, conservationists,
sportsmen and sportswomen, and recreational users, to address the needs of Maine's
distressed natural resource-based industries. These industries are the economic
foundation of Maine's rural communities, and their vitality is the state's strongest
bulwark against sprawl and consumptive land use patterns.
In March 2003, Governor Baldacci convened a Natural Resource-based Business
Summit of industry leaders to identify issues and concerns within each of the natural
resource sectors. The summit sparked a dialogue. It became clear that these industries
share common problems, such as declining access to the resource base, the lack of
a sustainable view of development, and the need for credible and timely scientific
information. The way to tackle these is to stop thinking of the fishing, farming,
forestry, and tourism sectors as distinctly different, independent entities. Summit
participants realized they needed a strategic analysis of their industries and a shared
understanding of the problems that each faces.
Under chairmanship of NE/EFC Director Richard Barringer, eights months of
planning and preparation led to a November 2003, "Blaine House Conference on
Natural Resource-based Industries," with a focus on agriculture, aquaculture, fishing,
forestry, and tourism and outdoor recreation. From July to September 2003, six
background papers were produced, one for each sector and one on cross-cutting
issues, each authored by an acknowledged expert in the field, in collaboration with
the responsible state agencies. The papers examined economic trends, strengths,
challenges, and opportunities of each sector. They were designed to challenge
traditional ways of thinking, and to identify new ideas to position fishing,
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EFC at the University of Southern Maine
aquaculture, fanning, forestry, and tourism/recreation each as a long-term,
sustainable natural resources-based industry. The papers also provided a starting
point for extensive outreach and discussion with industry representatives.
The state's natural resource agencies then used the papers to engage their important
constituencies, to test the assumptions set forth, and to prepare strategies for
strengthening each of the sectors. Hundreds of business leaders, industry
representatives, managers, environmental and trade associations, and others within
these sectors offered their best thinking about how government and industry might
work together to achieve shared goals. The dialogue led to a series of specific action
recommendations that the agencies put forward for consideration by the Conference
participants.
On November, 17, 2003, nearly 750 people from across the industry sectors met in
Augusta, Maine. Participants considered specific proposals to enhance each industry
sector, as well as an array of issues that spanned all five sectors. The dialogue
sparked new ideas, modified proposals, and confirmed many of the new approaches
presented. The Governor's goal - that from the conference might emerge a practical
plan of action based upon new thinking, integrated policymaking, broad support, and
active participation from Maine citizens who make their living within the natural
resources sectors - was realized. The conference shaped 75 proposals to strengthen
these businesses that are presented in a report available at:
http://efc.muskie.usm.maine.edu/docs/NaturalResourcesConferenceReport.pdf
The EFC Director has been invited by the governor to chair a committee of state
officials and inter-industry leaders to oversee implementation of the 75
recommendations by the State and private sector.
Land for Maine 's Future Evaluation
In 2003 theNE/EFC led an effort to evaluate the State of Maine's "Land for Maine's
Future" program (LMF), which had spent $85 million in state bond proceeds for open
space acquisition and protection. Within the constraints of available time and
resources, the NE/EFC proposed the following tasks, to be completed by the close
of 2003 in time for the convening of the Legislature in January 2004:
• That it undertake an external review of the LMF staffs own analysis of the
LMF program, in terms of its deployment of resources and its progress since
a 1997 Land Acquisition Priorities Advisory Committee report and the
recommendations set forth therein;
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EFC at the University of Southern Maine
• That it attend for information purposes several of the "constituency group
outreach meetings" conducted by the LMF staff in Summer and Fall 2003;
• That it consult about the performance and impact of the LMF program with
a dozen mutually-chosen expert individuals from various sectors and who
have significant knowledge as users or observers of the program, and report
on its findings;
• That it undertake case studies of not less than three mutually-chosen Maine
communities, to examine the economic, social, and developmental impacts
of LMF program use;
• That it scan and report on findings of academic and professional studies of
the economic, social, and land management impacts of LMF and other
comparable land conservation and purchase efforts; and, finally,
That it provide an integrated report, including findings and recommendations,
based upon its external review of the staff analysis, observations at the
outreach meetings, expert consultations, literature review, and case studies.
What follows is that report:
The January 2004 report found the LMF program to be well-conceived, wisely
administered, and widely supported. Participants and observers from across the state
agreed that its mission and practices are solidly grounded; that it has avoided
becoming politicized; and that it has evolved thoughtfully to respond to new
understandings of the role of land conservation and economic development in Maine.
The general perception is that LMF well and truly serves the people of Maine. In
general, it was observed to be a fine example of a public learning organization: open
and transparent in its processes; welcoming of public participation and input; careful
and strategic in its investment of public monies to achieve the highest public values;
and reflective and adaptive to changing circumstances and public needs.
The NE/EFC evaluation concludes that Maine land conservation especially under
LMF is rightly to be viewed as a basic infrastructure investment in the future of
Maine's environment, economy, and cultural heritage. Like our rail and highway
systems, it is a foundation upon which coming generations of Maine people will
build their economy and culture, to reflect Maine values, needs, priorities, and
diversity. To realize the greatest return on this investment, Maine people might best
regard the LMF not as an end in itself, but as a tool or instrument of their larger,
abiding purposes: sustainable economic development, environmental stewardship,
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EFC at the University of Southern Maine
and community building. The NE/EFC observed that there continues to be urgent
need for a state-funded land conservation effort in Maine, for which there is broad
public support; that LMF both deserves and needs to continue its efforts for the
foreseeable future; and that new funding is needed at this time, to continue this
important . effort. The LMF report is available at:
http://efc.muskie.usm.maine.edu/docs/LMFevaluationreport.pdf
In itiatives/Proposals; ; ,
Next Communities Initiative
From model ordinances to financial instruments, a wide variety of smart growth tools
are now available to local land use decision makers and stakeholders. The piece of
smart growth mat the Next Communities Initiative will address is the effective use
and implementation of these tools at the local government level. The Initiative will
train motivated community leaders to make smart growth-oriented development
happen in their cities and towns. The first step in the Initiative is development of a
workshop at which participants may come to understand that change toward more
sustainable land use is both desirable and possible; to gain an understanding of the
intricacies and subtleties of local government and politics; and to explore the
obstacles to smart growth and how they may be overcome at the local level. The
workshop will be more about shepherding smart growth through the democratic
process than about the principles and tools of smart growth, themselves.
In fall 2004 the NE/EFC will conduct two pilot workshops in collaboration with
partner organizations established through a competitive proposal process. One
partner will be from the Northern New England states (Maine, New Hampshire, and
Vermont), and the other, from the Southern New England states (Rhode Island,
Connecticut, and Massachusetts).
In each pilot workshop there will be three day-long sessions:
Session One: Participants will come to understand "sprawl" not as a technical
problem, but as (in Maine terms) a "wicked" problem - one that is ill- and variously-
defined, features a lack of consensus on its causes, and lacks obvious solutions that
don't involve challenging trade-offs and fierce, value-based opposition. Participants
will gain insights to become informed leaders in the discussion of sprawl, and
advocates of solutions that seek a wider public good without undue injury to private
interests and concerns. The intent is for participants to leave this session with a mind
set that smart growth is an objective worthy of pursuit, and ready to explore how to
navigate change through the local political system.
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EFC at the University of Southern Maine
Session Two: This session will educate individuals about local government
processes, both formal and informal. It will help those interested in changing local
land use policies understand the twists and turns of local government, what motivates
and constrains it, how to mobilize and support the town's opinion leaders and
citizens, and how to navigate the system to effect change.
Session Three: Conflict most often attends change. This session will teach
community leaders basic skills to deal constructively with conflict over both basic
values and perceived interests. It will prepare them to treat both personal and social
conflict in the community setting. It will also include a final capstone game where
the skills, ideas, and information learned in the previous sessions will be applied to
a practical case.
After these pilot workshops, it is a goal to collaborate with different partners in each
of the New England states to deliver the curriculum in varied settings.
GIS Inventory of Protected Lands Data
For several years EPA Region I has recognized that among the factors preventing
sound land use planning in New England is the absence of high quality, standardized
geographic data about which lands are protected, and which are available and
appropriate for development. To address this need, in 2001 the NE/EFC sponsored
a feasibility study of a New England-wide, GIS-based inventory of protected lands.
Over 50 agencies and individuals involved in GIS management in New England were
interviewed, and a comprehensive assessment of the status of protected lands data in
New England was provided by the Boston firm, Applied Geographies, Inc. The
conclusion reached was that while it is both feasible and highly desirable to develop
the inventory, most of the possible benefits will not be realized until data
standardization and enhancement occurs simultaneously in each New England state.
In addition, what was determined to be most lacking was a good mechanism for data
uptake, so that data sets will retain their currency over time.
In 2003, the NE/EFC took the next steps in this proj ect, by beginning to create a web
portal as a means of collecting data on parcel status; work continued with Applied
Geographies, Inc. as the primary technical contractor. The portal will be operational
for a small region spanning the Maine/New Hampshire border by late 2004.
Subsequently, the NE/EFC will work with State agency staff to identify incentives
that will elicit local data entry, and to determine initial and ongoing costs; to develop
a work plan to secure these funds from a variety of sources, primarily federal; to
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BFC at the University of Southern Maine
ensure implementation of incentive programs; and to assure that data uptake and
authorization is functioning throughout the six-state "virtual state."
Public Management and Finance Program
Most problems of local government - not just environmental - involve issues of
public finance, or "how to pay." To plan for the future well-being of rural
communities, it is imperative that decision-makers and public managers use
resources in a manner that most efficiently and effectively responds to identified
community needs. It is also imperative that stakeholders and constituency groups be
integrated into the planning and implementation processes, to promote "ownership"
in shaping the future. In collaboration with several EFCs, and with the Region 2 EFC
taking the lead, a proposal was submitted to USDA to fund continuation and
expansion of the Region 2 EFC's Public Management and Finance Program (PMFP).
In numerous communities in Region 2, the PMFP has brought technical assistance
providers together to more efficiently deliver technical assistance to rural
communities. It has also helped promote learning and application of integrated
approaches to addressing environmental concerns of rural communities, and provided
hands-on technical assistance to rural communities through development of teams of
technical assistance providers. The teams are composed of representatives from
nonprofit, academic, government, and private organizations that have established
histories in providing technical assistance to rural communities.
In Maine, substantial gaps in coordination exist among providers of technical
assistance to rural communities. If PMFP expansion is funded through the pending
request to USDA, the program will be established on a pilot basis in three rural
Maine communities, and opportunities for expansion of the program in Maine will
be pursued. It is expected that strengths of the EFC Network will be invaluable in this
collaborative effort, and that the experience of the Region 2 EFC and others will help
the Maine PMFP develop more efficiently.
Presentations, Conferences & Meetings ;
• As part of the NE/EFC's Collaborative Environmental Services initiative, in
June 2003 the EFC delivered a day-long training workshop on "Collaborative
planning and conflict management skills" for the Maine NEMO (Nonpoint
Education for Municipal Officials) program in Hallowell, Maine.
Initiated apublic lecture series, entitled "Changing Maine, 1960-2010," designed
to formulate and give circulation to a new, basic understanding of Maine and its
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EFC at the University of Southern Maine
place in the world today, and to guide civic life and dialogue in the coming
decade. The focus of each lecture and the series is on policy and policymaking
as they have exerted influence on events. Topics addressed by experts in the
series include energy, the environment, land use and sprawl, forestry,
agriculture, and fisheries, and 16 others. The lectures are broadcast by Maine
Public Radio to a listening audience of approximately 15,000 persons in Maine,
New Hampshire, and northern Massachusetts; and will be published in their
entirety as a book by Tilbury House in June 2004. The published work may then
serve as the basis for public forums and study groups, instructional materials for
high school seniors, college students, and adults, etc. Text of the lectures is
available on-line at http://www.muskte.usm.mainc.edu/changingmaine
NE/EFC staff participated in a smart growth policy forum at the Lincoln Institute
for Land Policy. Discussed current status of smart growth efforts throughout
New England and identified possible areas for future research and collaboration
with the NE/EFC (October 2003).
Moderated a 2-hour conference session on "Why businesses should be interested
in smart growth", specifically addressing issues of affordable housing,
downtown revitalization, quality of life, and transportation/distribution systems
(October 2003).
Delivered a training presentation titled "Financing Sourcewater Protection" to
a 100-person audience in Worcester, MA, at a conference organized by Clean
Water Action (October 2003).
Gave a presentation to a group of Cooperative Extension water educators from
the six New England states, on water-related plans and possibilities at the
NE/EFC (November 2003).
Moderated a 2-hour session on Land Protection in Maine, for the Maine Chapter
of the Appalachian Mountain Club. Speakers and the discussion focused on
these questions: 1) Why is so much land in the north Maine woods being sold?
2) Is this a problem and why? 3) What efforts to protect this land are being
made? Is this enough? What else could be done? (December 2003).
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2003 Annual Report of the
Environmental Finance
Center Network
Region 2 - Syracuse University
Maxwell School of Citizenship and
Public Affairs
The Maxwell School at Syracuse University was
established in 1993 as the Region 2 Environmental
Finance Center. The EFC serves the States of New York
and New Jersey as well as Puerto Rico and the US.
Virgin Islands.
Introduction _ ,/_ "'„,•/ ;, -- ",',•'- : '-/',/-'
The EPA Region 2 Environmental Finance Center (EFC) at Syracuse University's Maxwell
School ofCitizenshipand Public Aflairs was established in 1993. During 2003, the Maxwell
EFC continued to build a considerable record of accomplishment The Public Management
and Finance Program (PMFP), which is now considered the hallmark project of the EFC,
continues tothrive alongwithrequests for other EFC services. The PMFP hasbeenverywell-
received by communities in New York because it enables communities to better understand
the relationship environmental finance has with other areas of government business,
particularly economic or community development. The alliances and collaboration among
technical assistance providers has been very instrumental in removing the gaps in the
delivery of technical assistance, although all partners of the PMFP are cognizant mat the
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EFC at Syracuse University
cumulative of needs among communities exceed the resources available. Other services
provided by the EFC during 2003 included assistance with rate setting, facilitation of
processes relative to environmental improvement, and training events focused on
environmental issues, and analyses of funding options.
The water and wastewater related activities of the PMFP have received additional support
from the USDA over the past two years. The bulk of activities performed under the USDA
grant involved specific municipal water or wastewater projects in which there was a need to
facilitate Reprocesses involved in the planning, financing, and implementation phases. In
addition to the process facets of specific projects, the EFC targeted the smallest communities
ofNewYorkStatefortrainingandcapacitybuildinginitiatives. TheEFCendedtheyearwith
the submissionofaproposaltothe USDA Technical Assistance andTraining Program (TAT)
to include five otiier EFCs (KY, ME, MD, NC and NM) in the PMFP water and wastewater
activities. This is the third yearthat the proposal has been submitted for multiple EFCs. It is
hoped that the USDA will see the value andhavethe means to support a project implemented
by the Environmental Finance CenterNetwork, although it is understood that funding for such
programs has declined due to homeland security and other national budgetary priorities.
An important area of need emerged in 2003 specific to water and wastewater public
education and outreach relative to the costs associated with water. Although the EFC has
always included educational components in its work, it has never focused extensively on the
creation of public education strategies beyond the provision ofbasic facts, to New York, and
probably throughout the country, appropriate public education methodology is an absolute
must if American culture is ever going to treat water as a resource with a cost EFC clients
consider public perceptions of water as significant obstacles to the development of much-
neededwater andwastewaterprojects. The lack of understanding about water issues is a harsh
impediment to progress when local governments seek to build or improve water systems.
Localgovernments typically do not have the capacity to provide water-related education to the
range of individuals within the public. Public outreach is not included in training events as
something as important as public finance, capital budgeting, and all other important topic
areas.
Of equal importance during 2003 were activities associated withthe Source Water Protection
project, performed under the leadership of die New Mexico EFC. The source water activities
have led to interest from aprivate foundation to supportbuilding upon thewo± accomplished
through EPA support The EFC also provided assistance to the OnondagaLake Partnerslup,
which consists of six government agencies (including EPA) and numerous nonprofit
organizations. The assistance involved facilitating a particular decision-making process
relative to carrying out the plans to clean up heavily polluted Onondaga Lake. The EFC
expects 2004 to be a year in which past and present efforts will be built upon and continue to
flourish.
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EFC at Syracuse University
• . Attendance at professional association meetings and presentations about the EFC
Network, and topic-specific issues including capital planning and financing, the
concepts of water and wastewater rate setting, collaborative planning, capacity
building, and sustainable community development
• PartcipatinginplarmingpTOSpectivepwjectswithgovemment,nonprofit, andprivate
sector partners of the Public Management and Finance Program. This includes
projects that can receive support from private foundations.
• Collaborating with other technical assistance organizations to provide assistance to
rural communities seeking to address environmental infrastructure improvement
projects
• ServingasacOTtentprovidCTtogovenrnientandnon-rrofi
assistance and conduct workshops for municipal decision-makers.
• Continued emphasis on collaborating with other universities and non-profit
organizations to develop proposals addressing environmental concerns, particularly
those relating to water issues but also including brownfields redevelopment, lead
contamination, and more.
Respondingto requests fiomcommunitiesfor assistancerangingfromhow to finance
major water system repairs and how to develop capital budgets for environmental
improvements to conducting focus groups to elicit public input or assess public
awareness and support of environmental projects.
• Continuation of tasks and activities relative to specific projects, such as the Source
Water Project, rate analysis, and customized forms of assistance in cost recovery.
Accomplishments \ '' ,/_ •'---':-': ' ,;:';
Public Management and Finance Program (PMFP)
Since EFC 2 was established at the Maxwell School, it has become a resource for municipal
professionals and other community representatives through a variety of presentations,
workshops, and interactive forums. JhePt&licManagementandFinanceProgram (PMFP),
officially launched in April 2001, has served as a means for municipal professionals and
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EFC at Syracuse University
leaders from EPA Region 2 communities to learn, explore, and discuss public finance and
other issues relative to environmental improvements. The PMFP has become the hallmark
piojectofEFC2andhas received funding from the USDA'sRural Utility Services Technical
Assistance and Training grant program to support someofits water and wastewater activities.
During 2003, the PMFP continued to respond to requests from local government leaders to
integrate new activities into its core components. First, the PMFP responded to requests from
local government officials to hold topic-specific forums on a quarterly basis for local officials
for the purpose of learning pertinent environment-related information. The first forum was
planned for February, 2004. The guest speaker was a representative of the New York State
Office of the Comptroller, with inter-municipal agreements the topic. The importance of this
is a direct result of abutting communities finding that if they plan water and wastewater
projects cooperatively, the costs can be substantially less. Unfortunately, many local
government leaders are unaware of the range of legal and procedural issues involved.
The February forum will focus on abrief presentation regarding successful and unsuccessful
attemptsto create inter-municipal agreements, followed by afacilitated discussion concerning
• the requirements and suggested actions otherwise. EFC 2 will be engaging private sector
engineering and finance firms to contribute to the sponsorship of these forums. Aside from
the monetary value of providing support to the forums, the private sector has significant
expertise to offer and will be asked to supplement some of these sessions with
presentations and discussions about their experiences as appropriate and fitting to selected
topics.
There is littlechange from2002 in the primary functionsofthe PMFP to facilitate partnerships
among technical assistance community, provide public outreach and education relative to
environmental improvements, and training to local government officials and technical
assistance providers. These three functions, or components, ofthe PMFP can be critical links
to the ability of a community to successfully develop a project The sub-sections below
identify those links. (Refer to the 2002 Annual report for additional information about the
components.)
Technical Assistance Partnerships
The EFC sponsors quarterly Technical Assistance Partnership Forums for the purpose of
promoting and sustaining coUegial relationships amongtechnicalassistanceproviders(TAPs)
who very often find themselves working in the same community. During 2003 the Forums
wereattendedbyanaverage of35 TAPsrepresentinganaverage of22nonprofit, government,
private, and academic organizations that serve New York as well as other states. This activity
facilitates the Critical link of communication TAPs share information about projects they are
working on individually and collaboratively and have reported that the Forums are a conduit
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BFC at Syracuse U niversity
forthe communities they serve to accessnew or additional resources. Furthermore, there have
been instances in which two or more TAPs were planning to be involved with a particular
project and through the Forum learned of the roles other organizations wereplaying. This type
of information can be vital to the planning process, especially when there is a range of
expertise involved. The Forums promote camaraderie among TAPs and the communicative
exchanges reduce the likelihood of duplicative efforts, thus maximizing resources available
to other communities. EachForum begins in the morning with each TAP brieflymentioning
projects or issues s/he is woikingwi&,foUowedbyaspecifictopicof discussion affonjability,
funding procedures, conflict management, and frequencyofbillingwere among the topics at
the 2003 Forums. During the lunch hour, the EFC invites a guest speaker who addresses
another topic of interest and then engages TAPs in an interactive discussion. The afternoon
hours are set aside for open discussions about a range of issues, concerns, or projects with
ample opportunity for people to network and share information. Attendance has increased at
eachForum and it is anticipated that the increased participationwill continue throughout2004.
Stakeholder Outreach and Education
In the Executive Summary, reference was made to the emergence of public outreach as a
criticalneedincommunitiespuisuingwaterandwastewaterprojects. InNewYorkit is quite
common forthe EFC to receive calls from communities that have attempted several times in
the past to develop a much-needed project only for the voters to reject it on the basis of cost
Although public outreach has long been a component of EFC activities, during 2003 the
public outreach and education activities were recognized as an absolute link to the ability of
a community to generate awareness among the public regardingthe benefits (or needs) of the
project The EFC approaches eachcommunityas adistinct entity in whichno one-size-fits-all
model of outreach and education can be applied. EFC staff meet with community leaders to
learn the historical elements of a prospective project as well as the current conditions
prompting the planning for the project Information concerning the extent to which groups
have formed in favor or opposition to the project is obtained as well as all information
concerning estimated costs.
In some communities the EFC will conduct a series of focus groups to elicit input from
homogenous factions within the population and to get insight into any concerns that might
exist, what information (accurate or inaccurate) people have received, and what the general
perceptions are. This enables the EFC to create a sensible strategy for the public outreach and
education process. Depending on the community, the EFC might create material for
distribution in which information such as the cost of wells septic systems are effectively
depicted using graphic and verbal methods. Other material might include information
concerning the costs associated with^etting water from source totap. Wnilethereisamyriad
of information available in which such facets ofwater are illustrated, it is usually very generic
and communities can be unresponsive it is not their cornmunityandflierefore inaccurate. EFC
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EFC at Syracuse University
material is often created to be specificto die community and consequently enjoys an element
of responsiveness from community members that generic material cannot provoke. For
example, in one community the EFC distributed information about (he average annual costs
to receive water from a well in New York many were surprised to learn that they were
opposing a water project that would actually costless peryear than the well they were using.
Another outreach tool istiieCommunityRoundtable. TheEFCusespublicpropertyorvoter
lists from the local government to randomly invite up to 50 people to attend. To date, all
Roundtables attract more than the number of people who responded that (hey would attend.
The EFC brings a light meal in the early evening and creates a panel of experts at (he front of
the room. The panels are typically comprised of at least one local government official, an
engineer, and a representative from a government-sponsored funding agency. The meetings
begin witiiallpresentintroducingthemselves and statingwhatmotivatedthemto attend. The
EFC Director provides a set of rules concerning the purpose of the meeting and giving
assurance that all views are valid and worthy of discussion. She then leads the panel through
a brief series of questions concerning the impetus for the project, the technical feasibility of
the project, and the anticipated costs per household. The panel provides information onhow
financing takes place, the length of time it will take for die project to be built, and other issues
the EFC believes appropriate. The audience is then engaged in a facilitated discussion in
which they are provided the opportunity to express their concerns. The Roundtables have
always resulted in positive and highly constructive discourse focused on die project Public
officials frequently glean insight they previously did not have and the public always gets
information that is accurate and framed in terms they can understand.
During 2003 the EFC worked extensively with a total of 27 communities in this regard. The
work was intensive and fruitful in dial in all communities the public at die very least
understood die reasoning behind die government's decision to consider or proceed widi a
particularproject Innumerous instances, individuals who previously opposed a project began
to support it Of die 27, two of die projects are scheduled for financing in 2005. Fifteen
belong in one county and are still in die early stages of determining the value of a municipal
drinking water system. A group of seven communities is roughly one yearaway from being
prepared enough to establish an inter-municipal agreement and apply for financing aregional
system. One community is evenly divided between support and opposition to a municipal
water system and aside from that, it is possible that the New York State Office of die
Comptroller will not approve die project due to the debt involved. One community is under
a consent order to build a new waste water treatment plant and while die public was not
initially supportive, dirough die work of die EFC diere appears to be an acceptance of die
pending costs. Finally, one communityis on the verge ofapplyingfor financingawastewater
system, particularly if it can become a beneficiary to a municipal water project underway in
an abutting municipality. The EFC if committed to continuing its work in each of diese
communities. Additionalry, diere have been inquiry calls from approximately 30 otiier
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EFC at Syracuse University
communities for assistance this comprehensive in nature from officials considering water or
wastewater projects to meet regulatory compliance or economic development needs.
Training
The role of the Syracuse EFC (EFC 2) in providing training is somewhat unique. As the
PMFP was being developed, the EFC sought to ensure that its training provisions
complemented the training provided by its partners. The 2002 Annual Report noted that in
EPARegion2there is an abundance of valuable trainingprograms available. The Association
of Towns sponsors an annual training conference which includes a broad range of subject
areas, and the Conference ofMayors offers an annual series of workshops dedicated to public
works issues. Also, the Rural Water Association routinely offers training to water system
operators. Those, and other organizations extend the opportunity to participate to virtuallyall
elected and many appointed officials.
The sheer number of people invited force a format to be developed for groups of peers as
opposed to individual learners. EFC 2 assessed the values imparted to local governments
through those programs and determined that its strength in the training realm was its ability
to provide customized training. In many respects, the EFC has greater flexibility and
professional resources to create instructional formats for smaller groups and for individuals.
EFC 2 discontinued training events that were repetitive of what its partners provided and
focused on providing training in a multitude of subject areas over a three to four day period.
Additionally, EFC 2 developed customized trainingmodules to meet the needs of aparticular
community and provided to small groups of individuals in need of training applicable to a
specific community situation. This allowed for the EFC to fill the gaps that were believed to
exist in the delivery of technical assistance and training among smaller communities. During
2003 EFC 2 referred individuals to appropriate organizations for general training opportunities
and invited a total of 467 local government officials (elected and appointed) to its specialized
training events. Furthermore,1heEFCmadeitselfavailabletoprovide(x>ntentto1hetraining
held by its partner organizations as needed and appropriate.
The launching event for the PMFP took place in April 2001 at Syracuse University's
Minnowbrook Conference Center, located in the Adirondacks. In 2002, there were two
PMFP events held at Minnowbrook During 2003 mere were three separate training events.
to 2004, four separate multiple-day training events are scheduled eachyear, as the services of
EFC 2 become more familiar to communities, the number of training events scheduled
increases.
The subj ects addressed in the training include public finance, capital planning and budgeting,
rate setting, asset management, environmental conflict management and resolution, project
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EFC at Syracuse University
femcmgprocedures and regulations, m^
eventhas short case studies and/or simulations integrated intoflie format to promotethe ability
of participants to gajn a range of stakeholder perspectives on a range of issues. All training
is highly interactive and allows ample time for participants to discuss issues of mutual
concern, share experiences, and initiate inquiries to technical assistance providers. This type
of training format enables peer-to-peer learning as participants get into groups to solve
problems presented in the cases, their strengths in terms of skill sets come to the fore. Each
group is comprised of an equal distribution of technical assistance providers and government
officials, which supports the ability of individuals to explore all perspectives of a given
situation.
All training events conclude with an evaluation of the PMFP concept in which participants
are asked whaithey would benefit from in the future. There is always unanimous expression
of gratitude for the opportunity to participate in a forum with such a variety of resources and
all community representatives commend the EFC for the format The training events have
enticed community leaders to remain in contact with the EFC, many requesting specific
assistanceorseekingtobeputincontactwithtechnicalassistanceservices. TheEFCis very
proud of the foundation it has established for the PMFP in terms of having a means for
technical assistance providers and local governments to interact in a comprehensive manner,
using a variety of methods to promote learning, networking, and the delivery of solid
expertiserelative to environmental improvements. The conceptis aclearwinnerwithrespect
torespondingto communityneeds and providing assistance with flexibilitysuitableto agiven
situation. The PMFP will continue to use highly interactive and participatory methods of
delivering all of its components.
Source Water Protection Project
Under the leadership of the University of New Mexico EFC and in cooperation with New
York State's Department of Environmental Conservation, Department of Health, and EPA
Region2,the Syracuse EFC is workingwithacluster of^communities wifli common concerns
for potential drinking water contamination. To achieve an outcome that combines both
process facilitation and direct technical expertise, the EFC continued enjoyinga collaborative
relationship with the Water Resources Institute to carry out the activities of the project It is
scheduled to be completed by June 2004. EFC staff members have identified a private
foundation interested in the Source Water Protection project and anticipate preparing a
proposal to continue building upontheworkperformedunderthesubconiractwithtiieNew
Mexico EFC.
The following activities were completed on behalf of die Source Water Protection Project
during 2003:
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EFC at Syracuse University
Began developing plans to build upon the successes of the project by contacting
private foundations for support To date, the project has attracted a foundation that
has business interests in the county. The EFC anticipates thatapproximately$5,000
will be provided for the purposeofconducting focus groups and communityraeetings
to promote source water protection practices amonghomeowners. Thiswork will set
the stage for later work to promote actual testing of source water.
• Facilitation of meetings held by the Chenango County Water Operator's Council, a
group of public and private water system operators and representatives from (he
CountyHeaithandPlanning Departments, Soiland Water Conservation District and
the local Environmental Education Center.
• Sponsored training sessions for water system operators in Chenango County, topics
included source water protection, emergency planning and system security, and
proper sampling techniques. Over 40 operators from public and private water
systems attended.
Hosted a public meeting for all system operators and elected officials in the County
with the Susquehanna River Basin Commission, a federal agency responsible for
monitoring water use in the Susquehannawatershed. This was followed byaCouncil
meeting with Commission representatives to follow up on specific concerns.
Published the first Council Update, the Council's quarterly newsletter distributed to
all system operators and elected officials in the County. The first issue contained
notes on the public Commission meeting.
• Completed or planned source water assessments to supplement the NYS DOH
assessments to identify potential sources of contamination to drinking water.
• Held regular monthly Council meetings.
Distributed meeting notes and agendas to all water system operators and other
interested parties in theCounty(fliereare63systemoperatorsand37eIectedofficials-
congressmen, mayors, supervisors, state senators and assembly representatives).
i
The Source Water Protection Project is based on the notion that communities working
proactively to protect their health and resources will prevent contamination of their drinking
water sources. A proactive approach can help a community avoid serious health risks
associated with drinking water contamination. It can also be an economical approach
preventing contamination can be much less expensive than cleaning a contaminated source.
The brochure the EFC developed in 2002 for distribution to water systems, customers,
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EFC at Syracuse University
community groups anyone interested in protecting their drinking water, continues to enjoy
broad distribution and effectively provides basic information about source water protection.
The EFC believes that Ihe anticipated private foundation funding will be a tremendous asset
to the continuation of this project not to mention the momentum within the County.
Rate Setting Assistance
During2003 the EFC continued toworkwith communities attemptingto create equitable user
rates as they pursued water and wastewater system improvements. During 2002, fee EFC
developed a more customized system of delivering training and assistance to communities
because workshops and instruction at training events did not appear as valuable to the actual
leamingprocessformanypractitioners. WhattheEFC learned through evaluations was that
the training events often resulted in information overload and municipal representatives
derived greater benefit from more one-on-one methods of instruction. The EFC always does
evaluations immediately after a training event and additional evaluations after time has
passed in order to ascertain the extent to which individuals are applying whatever material
was imparted during the training event. Immediately following the formal training events,
most participants believe they received the information but after time passes, many were not
using the information because they did not sufficiently retain it.
Providing individual assistance requires more time on the part of EFC staff, however, it
results in the delivery of more comprehensive information to communities and ensures their
abiUtytodevelopastrongermternalcapacirytoworkwithratestrartures. In turn, this assures
that Ihe government's investment in the EFC will have the longer term impact it seeks. Over
the past decade, the EFC has recognized that rate setting training delivered in the classroom
to groups of practitioners does not have the same long term value, particularly when
consideration is given to changes in political administrations responsible for rate setting
decisions. Human nature inhibits many individuals in a group setting from asking specific
questions relative to their circumstances, or otherwise fails to recognize differences in
learning styles. By working with communities on an individual basis, the EFC is not only
facilitating capacity-building within a community, it is complementing the broader training
provided by other technical assistance providers, such as the Rural Water Association, which
continues to deliver training using classroom methods.
During 2003 the EFC provided either comprehensive rate analyses or customized training
to the Village and Town of Dunkirk, Town of Brocton, Village of Bergen, Town of
Sheridan, and Town of Springville. There were nine other communities that contacted the
EFC expressly about assistance with rate structures. The EFC anticipates working with
several of those communities but cannot do so until specific data is made available.
EFC Collaborative Activities Summary
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EFC at Syracuse U niversity
EFC Network
The Public Management and Finance Program mentioned previously in its own
section was the most significant collaborative activity during 2003, as it was in 2001
and 2002. EFCs located in Kentucky, North Carolina, New Mexico, Maine and
Maryland were included in a proposal submitted to the USDA in December, 2003
to fund the water and wastewater work of the PMFP. The USDA experienced a
significant reduction in program funds and committed only to renewing the current
funding for the Syracuse University EFC. However, mere are plans to seek alternate
funding sources to enable the PMFP to begin at least some pilot activity in New
Mexico and Kentucky.
Through the leadershipofthe New Mexico EFC and in collaboration with fourother
EFCs, the EFC will continue to collaborate on tiie Source Water Project mentioned
previously. The project has been extended through June, 2004.
The North Carolina EFC provided an opportunity for the Syracuse University EFC
to participate in a project in the Appalachian region. The EFC submitted a proposal
to the North Carolina EFC in October to prepare environmental finance case studies
relative to the region. The project received funding and is scheduled to begin in
spring 2004.
Other
Continued developing concepts and proposals with the Water Resource Institute of
Cornell Universiryto work with communities seeking environmental improvements.
WRI has technical strengths andflie EFC has financial and process-oriented services
mat, when combined, make a complementary team. During 2003 WRI and EFC
discussed numerous prospective opportunities to consider for the future.
Community Specialists ofthe Rural Community Assistance Program and EFC staff
collaborated on several occasions in 2003 to provide comprehensive assistance to
communities in need of drinking water systems. RCAP provided assistance in
developing the applications for grants and loans while the EFC focused on methods
to generate community support.
The EFC and the New York State Environmental Facilities Corporation began
collaborating to provide assistance to a community exploring the development of a
new wastewater system. The EFC role will be dedicated to public education
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EFC at Syracuse University
concerning the costs of the system and issues surrounding the impetus for the
government to plan it
Develop next stage to the Source Water Protection Project scheduled of which the
EPA support will end in June. The EFC has established contact with a foundation
and plans to prepare a proposal to support focus groups and community information
meetings during the summer and fall of 2004. This work will pave the way for
additional project activities and growth. Thus, the intent of the EPA to provide seed
funds to enable a broader project will be achieved.
Establish quarterly events for local government officials to learn new information.
During 2003 local government officials approached the EFC about supporting and
facilitating topic-dedicated meetings on a quarterly basis for them to keep abreast of
issues primarily involving regulations and procedures related to infrastructure
financing. AWioughtheEFCwasabletoconductonesuchmeeting.currentfunding
levelsdonotaUowfortheseeventstobeprioritized. However, the EFCbelievesihat
it is important for it to respond to local governmentneeds, particularly when leaders
are motivated enough to approach others for assistance. To respond to the request,
the EFC met with private sector firms and will be receiving funds to support the
activity.
Continue to develop the Public Management and Finance Program, particularly with
respectto pilot testing the concept in at least two other states served by an EFC. To
date, this will involve coalescing technical assistance providing organizations,
identifying two communities, andsponsoringtraveltoNewYorkfor representatives
of those communities to receive training at one of the EFC's three-day training
events. This will, first, show the commitment to the collaborative element of the
PMFP, and, second, it will enable the PMFP to elicit data on the needs of
communities outside ofNew York and, thus, be able to develop proposals for funding
accordingly.
Support graduate student projects to research various environmental finance issues
for communities and other nonprofit or government associations. In May 2004 a
group of seven graduate students will undertake researchto assess the extentto which
inter-municipal agreements relative to waster and wastewater projects render the
economic and social values purported to be true. Students will interview officials
from municipalities involved in inter-municipal agreements to implement water
projects, in addition to conducting an analysis of the quantitative data of project
financing and services delivered.
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EFC at Syracuse University
January/March
January 10 - presented information to representatives of the Villages of Dunkirk and
Fredonia and the Towns of Sheridan, Dunkirk, Pomfret, and Brocton officials to
discuss the prospective development of water authority, and the assistance available
from the EFC and other nonprofit, government, and private organizations.
January 24 - met with officials of the Town of Alexandra and the Village of
Alexandria Bay to discuss future plans to hold a community meeting regardingthe
planning and development of a water and wastewater system.
February 1 - presented information to corporations and community based
organizations at Syracuse University's Annual Inside SU, designed to introduce
prospective supporters to the accomplishments of programs housed at Syracuse
University.
February 6 - met with Professor Larry Schroeder and Ph.D. student Carla Priazza
regardingthe development of public finance-public participation curriculum for
training local government officials.
February 16-19- presented information about the EFC Network at the New York
State Association of Towns Annual Meeting in New York Cify.
February 27 - facilitated the PMFP's Partnership Forum for technical assistance
provides, the primary topic was affbrdabiliry; 34 attended
February 27 - met with the Water Resource Institute about collaborative projects in
the future, discussed current Source Water Project underway in Chenango County.
March 4-5 - attended the Environmental Finance Advisory Board meeting in
Washington DC, which preceded the EFC Directors meeting that took place on
March 5-6.
March 12- metwimrepresentativesoftheTownofCampbelltoplanaCommunity
Roundtable for the purpose of engaging the public in planning a municipal water
system. The workwas performed at the request of the Rural Community Assistance
Program.
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EFC at Syracuse University
March 14 - attended an announcement by Congressman John McHugh and the
USDA regarding financing for a water and wastewaterproj ect in the Alexandria Bay
area; was ask to speak to audience about processes that resulted in accomplishingthe
funding.
Received one week of training in Process Communication Management in
Bethesda, MD for the purpose of improving skills in managing group discussions
focused on environmental improvements and toprovidetrainingto local government
officials.
Met with representatives of the USDA and New York Environmental Facilities
Corporation to assess possibility of county-wide water authority in Western New
York.
April/June
Aprils - met withrepresentatives of seven governments comprising Chadwick Bay
Area Development Corporation to discuss strategy to pursue water district
April 17 - facilitated meeting for the Syracuse Lead Task Force which is interested
in promoting awareness about lead contamination in children.
April 22-24 - conducted training event at Syracuse University's Minnowbrook
Conference Center for local government officials and technical assistance providers;
announcement of renewed support from USDA for the EFC water and wastewater
related work.
Met with representatives oftheErieCounty Water Consortium to discuss possibility
of have roundtable among 22 communities about prospective county wide water
authority.
May 7-8 - met with USDA representatives in Washington DC to present
information about the work of the EFC and resources of the EFC Network.
May 12-June 5 - supervised research project on values of public participation with
environmental improvements conducted by eight Master of Public Administration
students and presented to USDA Rural Utility Services.
May 12-16 - facilitated implementation of student research project focused on
procedural aspects involved in small community applications to fund water and
wastewater infrastructure improvements; EFC staff presented cases on community
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EFC at Syracuse University
participation relative to cost recovery to course on environmental dispute resolution
(EFC Director served as co-instructor of graduate course).
May 20 - metwith representatives of the Village of Hobart concerning prospective
costs of environmental improvements and community building.
Metwith Village ofHoosickFallstoplanpublicoutreacheventsnecessaryto educate
public about wastewater consent order and costs to public.
Met with City of Syracuse representatives about brownfields grant program, the
history of the grant, and potential activities to pursue.
May 28 - facilitated Community Roundtable in Town of Campbell; 64 residents
attended.
May 29 - facilitated PMFP Partnership Forum for technical assistance providers,
new funding procedures primary topic, 38 in attendance.
June 2 - attended meeting held by Susquehanna River Basin Coalition, presented
information on EFC services.
June 3 - facilitated meeting among business owners in Hoosick Falls concerning
wastewater consent order and predicted estimated costs; gleaned input concerning
methods to disseminate information to community at large; 1 8 attended.
June 25 - facilitated meeting on behalf of Onondaga Lake Partnership for purpose
ofexploringthehiringofanCXitreachCoordinatortomanagetfie tasks and activities
related to the clean-up of Onondaga Lake in Syracuse, New York.
July/September
July 9 - facilitated meeting for the Syracuse Lead Task Force; attended by
representatives from 1 7 separate agencies dedicated to environment, public health,
and children.
July 1 0 - met with Economic Development Director of Seneca County to introduce
him to procedures to explore prospective funding for county wide water district;
committed to work with County on public inputs and facilitation of dialogue among
elected officials of municipalities in County.
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EFC at Syracuse University
July 11 - metwithrepresentativesofQiadwickBay Economic Development to plan
series of public meetings and focus groups regarding creation of water authority.
July 14 - facilitated subcommittee meeting of Qnondaga Lake Partnership, which
included representatives from EPA Region 2, Qnondaga County, New York State
Office of the Attorney General, and a nonprofit organization, for purpose of
discussing attributes of potential Outreach Coordinator position.
July 15-17 - conducted training event for local government officials ad technical
assistance providers at Syracuse University's Minnowbrook Conference Center.
July 18 - presented information aboutlhe EFC and environmental organizations and
agencies to Syracuse University graduate students interested in pursuing careers in
environmental policy, 23 in attendance.
July21 - met with elected officials of the Town of Clayton, Hamlet of Depauville,
to create strategyto elicitinputfromresidence concerning the creation ofa municipal
water system.
July29- facilitatedmeetingwimCaiondagaLakePartaershiptofinalizedecisionto
hire outreach coordinator.
July 30- metwith stakeholders inHoosickFallsto discusswastewater consent order
and elicit input regarding additional stakeholder groups to include in discussions.
August 4-7 - attended Environmental Finance Advisory Board meeting in San
Francisco.
August7 - met with managers ofhazardous waste programs to present information
about technology in use and available.
August 18 - facilitated PMFP Partnership Forum for government officials and
technical assistance providers; open discussion about infrastructure financing policies
and impacts on small communities; 36 attended.
August25 - facilitated Chenango County Water Operators Council meeting as part
of the Source Water Project activities.
September 4 - facilitated final meeting of Onondaga Lake Partnership to reach
consensus about whether to hire outreach coordinator.
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EFC at Syracuse University
• September 15-17 - conducted focus groups of business owners/representatives,
residents, and local officials in the Chadwick Bay area to discuss creation of water
authority and the perceptions stakeholders have of need and benefits.
September 19 - met with SUNY ESF and Atlantic States Legal Foundation, a
member of the Onondaga Lake Partnership, to discuss potential community based
meeting on promoting recreational values of Onondaga Lake.
• September 23 - met with Seneca County elected officials to begin dialogue
concerning creation of county wide water district
September 30 - October 3 - attended EFC Director's Meeting in Maine.
October/December
October 14-16 - conducted training event for local government officials and
technical assistance providers at the Antheneum Hotel of the Chautauqua Institute.
October 21 - presented information about the EFC and PMFP to the Annual
Conference of the New York Conference Of Mayors.
October 22 - met with Seneca County representatives to discuss strategy for future
discussions and educational outreach concerning county wide water district
October 25 - facilitated a community-based meeting concerning the recreational
valuesof Onondaga Lake, attended by 22 individual business owners and sportsmen.
November 7 and 14 - EFC staff received training in GIS mapping,
November 1 1 - met with Onondaga Lake fisherman to provide input regarding
methcdstocoalesceottiersportsrepresentativesaroundtheOnondagaLakecIean-iq)
mission.
•- November 13 - conducted Community Roundtable concerning creation of
municipal water system in Depauville, New York, 56 attended.
• EFC staff received certification in Process Communication Management, a
communication model valuable to environmental dispute resolutioa
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EFC at the University of Maryland
Accomplishments ' ::-/', ' - '"--;
Technical Assistance
Smart Growth in Maryland
Maryland'sEastern Shore in under significantdevelopraent pressure as aresultofpopulaiion
growth in the region. The Eastern Shore has become a popular place to live because of its
proximity to major cities and their sprawling suburbs, recreational opportunities, low cost of
living and low crime rate. Small municipalities onthe Eastern Shore struggle to cope with the
onslaught ofgrowthwith limited, or sometimes nonexistent, staff and financial resources and
often outdated zoning ordinances. Many communities are looking for ways to turn this
growth into sustainable community development
The Assistant Coordinator metwithrepresentativesftom Washington College,TheUniversity
ofMaryland Institute for Governmental Service (IGS), State agencies, local governments and
nonprofit organizations to discusshow each organization couldhelp local governments on the
Eastern Shore. The discussion focused onmatchingthe expertise of the group with theneeds
of local municipalities. The possibility of a collaborative effort among participants was also
discussed. Next steps for this group were put on hold pending the outcome of a Kellogg
Foundation grant application that had been submitted by Washington College to do a pilot
project in the region.
In November, the EPAheld a week-long Smart Growth training in Washington D.C. for Sea
Grant Extension agents from around the country. The Director of Maryland's Sea Grant
program sent the EFC's Assistant Coordinator and a representative from the University's
Cooperative Extension program to the training. After the training the Maryland Sea Grant
Director received a $5,000 grant to implement some component of Smart Growth in
Maryland. The EFC's Assistant Coordinator began discussions with representatives from
Washington College and IGS to determine how to link the EPA grant money with the
Kellogg Foundation grant to do a community visioning project for the Town of Galena on
Maryland's Eastern Shore.
Solomons Harbor Septic Forum
The Assistant Coordinator is participating on a workgroup established by Calvert County,
Marylandto look at innovative approaches to address the nitrogen entering Solomons Harbor
from septic systems located in nearby residential areas. The workgroup is composed of
representatives from the County, technical expertsand local residents. The EFC will provide
advice and expertise on innovative ways to finance the solutions produced by the workgroup.
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EFC at the University of Maryland
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The group held their first meeting during 2003 and will continue to meet periodically
throughout 2004.
The Anacostia River
The Assistant Coordinator and (he Director met with Tom Arrasmith-Chairman of (he
Anacostia Watershed Citizens Advisory Committee to discuss how the restoration and
protection of the Anacostia could be made profitable for businesses. They also met with
Andrew Fellows of Clean Water Action/Clean Water Fund to discuss the use of bonds to
finance environmental restoration in the Anacostia River watershed,
The EFC's Training Manager completed the following technical assistance
activities during 2003:
• Scheduled three classes for 2004 winter semester for Del-Tech: Rate Setting, CIPand
Asset Management.
r •
• Sentwritten commentsonnew securitymoduleoftheNationalEnvironmental Training
Center for Small Communities' (NETCSC) "Managing a Small Drinking Water
program.
Met with (he Stony Creek Sanitary District manager and clerk in Woodstock, VA and
provided rate setting tools and guidance to them for their rate study.
• Met with the mayor, council and town manager and clerk of Appomattox, VA for an
evening training session on sound rate setting, financial management and local officials
responsibilities for operating a drinking water system.
Participated in a conference call withNETCSC Training Specialists Sandra Fallon and
Mary Alice Dunn, along with fellow NETCSC associate Tommy Ricks of Mississippi
RCAP regarding planning for the 2004 Training Institute.
• Researched possible funding sources for Franklin County, VAwaterqualitymonitoring
efforts.
Rate Studies
The EFC Training Managercontinued to work with communities intheregiontoconductrate
studies. The rate study for the City of Havre de Grace was completed during this year. The
studyfor the TownofFederalsburghasbeenpostponed pending thereceiptof additional data
from the town. She also conducted (hefollowing activities relatedtorate studies in theregion:
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EFC at the University of Maryland mmmmmmmtiismmmsmim
organizations. Anumberofnext steps were identified, including developing joint marketing
strategies, list serves, and special events.
Approximately 20people attended Ihe follow-up meeting held in April2003. The Assistant
Cooidinatorgaveapresentationon1heconceptof1hefinancing"quilf'asitappUestorunding
land trust activities. She also presented die mock land trust map developed for the group on
the EFC website and got input from the group on how it could be improved to better serve
their needs.
Chesapeake Watershed Dialogues
The National Parks Service (NPS) Rivers, Trails and Conservation Assistance (RTCA)
program, in partnership with the states ofMaryland, Pennsylvania and Virginia, has initiated
acollaborative effort to foster local watershed management in the Chesapeake Bay basin. The
first stage ofthis effort will consist of a series of dialogues aimed to teach local governments,
organizations and other stakeholder groups about watershed planning, and how these plans
need to be incorporated into local land use decisions and other conservation practices. The
dialogues will be held in the winter-spring of 2004. Three to five high priority watersheds
from each stale will be targeted for assistance from the RTCA program. After the dialogue,
an RTCA staff member will be assigned to assist each watershed with the completion and
implementation of their watershed plan. The EFC has committed to give a presentation on
financing watershed plans at each of the dialogue meetings over the course of the next year.
Acid Mine Drainage
Acid mine drainage (AMD) from abandoned mines is a major source of water pollution in
parts of Region 3. Remediation of AMD is difficult because funding is limited and there are
often issues related to identifying responsible parties to pay for the clean up of abandoned
mine sites.
The EFC has partnered with EPA Region 3 to hold a two-three day conference (exact date
still to be determined) to help the States of Maryland, Pennsylvania and West Virginia
determine how they might use State Revolving Loan funds, in conjunction with other
innovative financing solutions, to address acid mine drainage remediation.
Chesapeake Bay Watershed Blue Ribbon Panel
The EFC Director began discussions with the .Chesapeake Bay Program, to explore the
potential for assisting a Blue Ribbon Panel commissioned by the Governors of Maryland,
-* Virginia and Pennsylvania to explore financing options for reducing nutrient and sediment
inputs to the Chesapeake Bay.
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EFC at the University of Maryland
Training
TheTrainingManagerconductedthefollo\wngtrainingsessiowduring2003:
• Financial and General System Management for Small Systems- January 15- 8 hour
class for Delaware Office of Drinking Water in Georgetown, DE.
• Two day forum for Maryland Rural Development Corporation (MRDC) on Small
System issues- March 19-20, Cumberland, MD-EFC participation was presentation
of two topics during each offering of the conference:
o 2 hours on Capital Improvements Planning
o 4 hours on Financial Management and Local Responsibilities for Small Systems.
• Four-hour session on Rate Setting and Cost Recovery for the staff of MRDC at their
request March 24, Salisbury, MD.
• Capital Improvements Planning-April 16, Delaware Technical & Community College.
• Capital Improvements Planning - April 28, Maryland Rural Water Conference.
• Capital Improvements Planning - May 6, Southeast RCAP In-service Training.
• Rate Setting & Cost Recovery - May 7, Southeast RCAP In-service Training.
• Asset Management - May 28, Delaware Technical & Community College.
• Water Board & Support Staff Training - June 4, Delaware Technical & Community
College.
• Capital Improvements Planning -June 4, Delaware Technical & Community College.
• Annual Training Institute - National Environmental Training Center for Small
Communities (NETCSC) at West Virginia University-July 28-August 1, Provided 2
all-day presentations- 'financial Management Basics for Small Utilities "said "Local
Officials' Responsibilities for Providing Safe Drinking Water ".
• Attended conference on "Advanced Asset Management" - Sept 8 -10, in St. Louis,
MO sponsored by EPA and St. Louis DNR Technical Assistance Unit (13 credited
training hours).
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EFC at the University of Maryland
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• Capital Improvements Planning- October 9, Delaware Technical and Community-
College, Georgetown, DE.
• Capita] Improvements Planning for MRDC - October 29, Frederick Community
College, Frederick, MD.
• Asset Management - November 13, Delaware Technical and Community College,
Geoigetown, DE.
• RateSettingandCostRecoveiyforVirginiaRuralWater~Novemberl9,Buena Vista,
VA.
• Rate Setting and Cost Recovery for Virginia Rural Water-November 20, Appomattox,
VA.
• Rate Setting and Cost Recovery - December 4, Garrett County Sanitary District in
Oakland, MD.
Communications and Outreach
Institute for Governmental Service (IGS)
The EFC Director and Assistant Coordinator met repeatedly with other programs to build a
strong network of assistance for our clients. Especially fruitful is a new and strengthening
partnership with Ihe University ofMaryland Institute for Governmental Service (IGS), which
has considerable expertise in aiding small communities with their infrastructure challenges.
GeneralAccounting(^ce(GAO)meetingregardingAssetManagementefforts
and programs, College Park
EFC staff met with GAO representatives in April to discuss projects being done throughout
the region, as well as what needs to be done, to promote sound asset management programs
and practices in communityutilitysystems. Afterthe meeting, theTrainingManagerfollowed
up by sending abstracts for each of her current courses. She also relayed the names of two
community systems in Region 3 that she viewed as doing a good job of asset management
Maryland Center for Environmental Training (MCET)
EFC representatives metwith&eDirectorandTrainmgCoordinatorforMCETatflie College
, of Southern Maryland in La Plata, and discussed ways that the two organizations could
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EFC at the University of Maryland
I
complement each other, particularly in the area of Asset Management Training and Capital
Improvements Planning efforts. As a follow-up, the Training Manger sent them a
complimentary copy of the CAP Finance program and manual. MCET in turn furnished the
EFC with several of its training manuals and videos for the EFC's reference library.
Southeast Rural Communities Assistance Program (RCAP) In-Service
Training, Charleston, SC
Approximately 30-40 RCAP representatives from Delaware, Maryland, Virginia, North
Carolina, South Carolina, Georgia and Florida attended the weeklong In-Service training
event in May. The EFC Training Manager presented two half-day sessions on Capital
Improvement Planning (CIP) and Rate Setting, and had the opportunity to meet a number of
people from the Region 3 states who expressed an interest in doing cooperative training in the
future. Four orders for a copy of the CAP Finance program from states outside Region 3
resulted directly from this meeting. The Training Manger reported a number of positive
comments about the training presented as well as expressions of interest in future training
events.
Delaware Training Coalition Training Conference, DTCC Georgetown
Campus
The Delaware Training Coalition consists of the Delaware Environmental Training Center,
Delaware Rural Water Association, the Delaware office of Southeast RCAP, Delaware
Department of Public Health Office of Drinking Water and the Delaware Department of
Natural Resources Wastewater Division. The conference was a one-day training course
encompassing the basics every local official should know irresponsible for the operation of
a community water or sewer system. Presenters talked about liability, safety, regulatory,
financial, planning and time management issues among other things. The EFC gave a 20-
minute presentation on the services offered by the EFC in Region 3, and presented two
additional training sessions. AboutSOpeopleattended the event and it wasagood opportunity
to meet Delaware system representatives and other trainers and regulators working in that
state.
2003 National Environmental Training Center for Small Communities
(NETCSC) Training Institute Planning
In addition to doingtwo all-daypresentations for the 4* Annual NETCSC Training Institute,
the EFC co-sponsored the event and was credited as such in all the publicity. The Training
Manager presented an all-day class on Local Officials' Responsibilities for Operating a
Drinking Water System and asecond all-day session on the Basics ofFinancial Management
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EFC at the University of Maryland
for small water and/or sewer systems. Bill Jarocki from the Region 10 EFC presented (he
follow-up to Basics ofFinancial Management with an all day session on how to use financial
reports to aid in the decision making process.
The World Wide Web
The Maryland Environmental Finance Center has begun a major focus to improve the way
it communicates with communities in the region. One of the strengths ofthe Center over the
years has been its ability to communicate often-complex environmental and financial issues
to leaders and citizens from all backgrounds. Our goal is to continue to build on this strength
by leveraging World Wide Web (WWW) technologies to inform and educate environmental
leaders.
During the year, the EFC continued to refine and improve its restructured WWW site. The
site is the first step in developing what will be aportal for environmental finance information
and issues. The site will also be a training tool for community and municipal leaders in the
region.
During 2003, the EFC Director conducted the following outreach activities:
• MetwiuiflieUniversityofMarylandCoastalCornmunitiesSpecialisttodiscusspossible
collaboration between the EFC and the Sea Grant Extension Programto address coastal
community issues.
• Participated in a daylongrural community workshop in Vienna, Marylandheld to discuss
approaches to revitalizing small Eastern Shore communities. This workshop was
sponsored by Washington College, and is part of a larger initiative to build capacity for
municipalities on the Eastern Shore. Washington Coll ege plans to partner with the EFC
and other groups to continue this effort in the future.
• MetwithaparticipantinuieBayRidge,Maiylandlandpresen^tioneffort,toseetowhat
degree this could serve as a model for other communities.
The EFC Training Manager completed the following outreach activities:
MoigantownWV->ffiTCSCInstitute-EFCdisplayintheExhibitHallatatrainingevent
attended by people from around the country.
• St Louis,MO-AssetManagementConference-TheEFCTrainingMangerwasableto
make numerous contacts with people in the industry about ongoing and possible future
training efforts- including Don Niehus, the SRF Team Leader for EPA Region 3,
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BFC at the University of Maryland
s
DuncanRose lead facilitator for the conference from Parsons AssetManagement Center
and Steve Allbee, Director of EPA's Gap Analysis Project
1trainingsessionfortheTownofBlades,DEattherequest
of the Delaware Office of Drinking Water, session to focus on general finance and
management issues as needs identified by the Delaware SRF program; it is hoped that
this session will lead to additional such sessions and being viewed as an on-going
resource for the Delaware Office of Drinking Water.
Met with Frostburg Mayor and Council regarding Rate Study completion and results.
Met with Southeast RCAP representatives in Georgetown, DE to discuss training
opportunities.
Held on-going discussions with NETCSC about the 2003 Training Institute and EFC
participation and also held discussions with Delaware Environmental Training Center
at Delaware Technical and Community College (DTCC) about scheduling training.
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EFC at the University of Maryland ssmsssssaasswssa^^
Environmental Finance Center Network
Source Water Protection Initiative
During 2003, the Maryland EFC expanded its work with the Unified Source Water
Protection Project. The Project is charged with assisting communities throughout ihe
country in their efforts to protect drinking water sources. The University of Maryland EFC
is working to better incorporate such protection efforts into larger watershed protection
efforts.
Frederick County. Maryland
The task force continued the plan writing process during the reporting period. An outline of
the final plan was developed and task force members began writing assigned pieces of the
final document TlieAssistantCoordinatorconvenedmonthlymeetingsofthegroupflirough
December. She spent extensive time working with the group to define the threats to the
watershed from agriculture, as well as those from homeowners and new development. She
also began writing and editing the final document with feedback from the group.
Upper Lake Linganore has been awarded a Watershed Restoration Action Strategy (WRAS)
grant from the Maryland Department ofNatural Resources. The WRAS grant will provide
the County with additional financial and technical resources to go towards the protection of
thewatershed. Areasofo>^lapbetween1hetwoprojeclswereinvestigatedbyflietaskforce
to orfertoeconomize efforts. The WRAS Coordinatorhiied by County alsobecamearegular
member of the task force.
Berkeley County. West Virginia
During 2003, Phase H of the project wrapped up for this group. Subcommittees (Septic and
Sewer, Industry, Transportation, and HAZMAT, Development, Growth, and Storm Water
Management, Resources, and Agriculture and Wildlife) met monthly, and attendance was
exceptional. Someofthesubcommitteesmetmore frequently, orextendedthelengthoftheir
meetings, in order to complete the apportion of the report by the end of June. The group held
it's last full task force meeting on June 26th. At this meeting the Assistant Coordinator gave
a presentation on the status of the source water projects around the country and how the
Berkeleyproject fit into die largerpicture. Joseph Hankinsofthe Freshwater Institute reported
on his presentation of the Berkeley project at the EPA Source Water Protection Conference
held in Washington, D.C. earlier in the month. Each subcommittee reported out on progress
they had made identifying the most pressing issues in each category and steps that have been
• taken to address each issue. They also discussed solutions to each issue that they identified,
as well as potential obstacles to those solutions. About 40 people attended the meeting
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including local elected officials and members of the press. It was decided that committees
would meet periodically over the next several months in older to complete the report
Additionally, the committee chairs and other members of the group offered to serve on an
implementation committee to try to implement some of the recommendations made in the
find report. The report will be complete in early spring 2004 and will be presented to the
County Commissioners.
Since it was uncertain if the group was going to receive the $25,000 EPA award it had been
granted, the EFC put forward funds to hire one of the most active task force members as a
coordinator for this project The EPA award funds eventually came through and the group
plans to use them for a part of a demonstration project and/or an educational program. They
are applying for a 319 grant from the EPA to do a demonstration project for a centralized or
cluster septicsystemremediationproject and theyhavebeenmeetingtodevelopaconceptand
chose a site. The Assistant Coordinator has been attending monthly meetings as part of the
EFC's ongoing commitment to the group. At the close of 2003, efforts do develop a
demonstration project were still underway.
2003 National Source Water Protection Conference-Washington, D.C.
The EFC's Senior Advisor gave apresentationofthe financing "quilt" concept at the Plenary
Session of the EPA's 2003 National Source Water Protection Conference in June. The
Director and the Assistant Coordinator, in collaboration with staff from the EFCs in Regions
2,6 and 10, also conducted an environmental finance training session using case studies
during the Technical Training/Short Courses section of the conference.
Drinking Water and Waste Water Needs Assessment for Appalachia
The Maryland EFC (Region 3) has partnered with the EFCs at the University of North
Carolina and SyracuseUniversity on an Appalachian Region proposal that hasbeen awarded
funding. This project is part of a contract with the Appalachian Regional Commission to
examine water and sewer infrastructure needs and gaps in Appalachia, Work on this project
will begin in 2004.
Other Network activities completed during the year include:
• The Director gave a presentation on Smart Growth and financing at the American
Planning Association meeting in Denver, Colorado, as part of a panel featuring the EFC
Network.
• The EFC Directorand AssistantCoordinatorparticipated inanEFCNetworkbriefingfor
the Comptroller of EPA and senior staff. This meeting led to a separate meeting at the
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EFC at the University of Maryland
EFCs College Park office with the Senior Advisorto the EPA Comptroller to discuss the
roles and potentials of the EFCs and the Environmental Financial Advisory Board
(EFAB) in addressing key and emerging environmental finance issues.
EFAB meetingin San Francisco, CA (Aug4-5) - The EFC Director reported on efforts
to explore environmental finance on a watershed basis (working with the EFAB
subcommittee on watershed financing).
The EFC Director attended the annual meeting ofEFC Directors in Maine in October, in
order to plan collaborative efforts with other EFCs. One potential arising from this
collaboration is a Public Management and Finance Program (PMFP), an initiative with
the Syracuse University EFC and possibly several others.
The Director also participated in a network-wide conference call with the EFCN to
determine future strategies for the Network
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2003 Annual Report of the
Environmental Finance
Center Network
Region 4 - The University of
North Carolina at Chapel Hill
The University of North Carolina was established
in 1998 and is one of two EFCs in Region 4. The
EFC serves the states of Kentucky, Tennessee,
Mississippi, Alabama, Florida, Georgia, South
Carolina, and North Carolina.
Introduction , :-'-',- " ' , : ^~"::-
The Environmental Finance Center at the University of North Carolina at Chapel Hill
(UNC EFC) works with local communities and government agencies throughout
EPA's region 4 to address environmental management challenges by developing
innovative financial management and environmental policy strategies and systems.
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EFC at the University of North Carolina
The UNC EFC assists communities by "providing a bridge between students and
faculty in the university who work principally on environmental financing,
management and planning tools, and the governments and businesses whose job it
is to use those tools for the public interest."
The UNC Environmental Finance Center is one of a group of university-based
centers that concentrate on problems in the financing of environmental services. The
U.S. Environmental Protection Agency originally established the centers in order to
bring the work of researchers in the universities directly to bear on local
environmental problems. The UNC EFC was begun in 1998 as a joint venture
between the Institute of Government and the Office of Economic Development, both
at UNC-Chapel Hill. Faculty and students working with the UNC EFC concentrate
on helping improve the financing and delivery of environmental goods and services
by local governments.
The UNC EFC receives its core support from the United States Environmental
Protection Agency and the University of North Carolina at Chapel Hill.
Accomplishments '
Training
The UNC EFC primarily reaches local communities through the delivery of
interactive applied training programs and technical assistance. The UNC EFC sees
one of its major roles as increasing the capacity of other organizations to address the
financial aspects of environmental protection. For this reason and to support the
leveraging of resources, the UNC EFC does most of its training in a collaborative
manner-partnering with established organizations that have environmental, butnot
necessarily financial expertise.
Major training activities carried out in 2003 are listed below:
Management of On-site Wastewater Treatment Systems. As much as 50% of
North Carolina's population depends on these systems, yet the state has few
institutional arrangements to enable local governments to manage and finance these
systems. The UNC EFC facilitated a framing session as part of a NCRCAP training
program. The session examined the different interests and concerns of stakeholders
and strategies for addressing these concerns.
Water and Wastewater Capital Finance Course. The UNC EFC worked with the
UNC Institute of Government (the largest local government training program in
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EFC at the University of North Carolina
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North Carolina) to develop and co-sponsor a comprehensive 2-day course on capital
finance for local government utility, management, and finance officials. The course
has become a regular offering of the Institute of Government, and attracts one of the
most diverse groups of participants at the Institute, with equal representation of
professionals from technical and financial fields. The course focuses equal attention
on sources of capital finance and planning techniques.
Water and Wastewater Leadership Center. The UNC EFC was asked to develop
and deliver a Utility Finance Module as part of a national water and wastewater
leadership program run by the Kenan Flagler Business School on behalf of several
national water and wastewater organizations including AWWA, AMSA, and
AMWA. The module was designed to provide senior technical leaders with an
overview of financial management topics and to encourage them to become more
involved in the financial aspects of their operations.
Water and Wastewater Rate Setting. The North Carolina Section of the American
Water Works Association and the Water Environment Association sponsor over a
hundred training programs a year for water and wastewater utility professionals -
almost all of these programs focus entirely on the technical or regulatory aspects of
service provision. The UNC EFC worked with the association to expand its offerings
related to finance and management topics. The UNC EFC assisted the association
with designing and implementing a 1 day seminar on rate setting and revenues that
now complements the organization's more technical programs.
Financial Management Seminars for Utility Managers. The Florida Section of the
AWWA similarly focuses on the more technical aspects of utility provision. The
UNC EFC collaborated with the Florida Section in 2003 to offer several financial
management seminars during statewide meetings and events.
Solid Waste Revenue Workshop. Over the last few years, the number of inquiries
for financial planning assistance from solid waste programs has increased
substantially. Solid waste finance issues include transitioning from tax supported
programs to user fee supported programs; loss of tipping fee revenue as communities
close landfills; and flow control issues, hi order to help communities address these
issues, the UNC EFC worked with several local governments to host an intensive
one-day workshop for solid waste managers and attorneys from across North
Carolina.
EPA Financial Capacity Workshop. The UNC EFC was asked by EPA to deliver
a session on financial management to a group of technical assistance providers from
Regions 4 and 6 at a capacity development workshop in Atlanta. The event provided
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EFC at the University of North Carolina
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an excellent forum for the Technical Assistance (TA) providers (including the UNC
EFC) to share their recent experiences and to exchange assistance strategies.
Community Development Academy. The UNC EFC was asked to deliver a
presentation on water management financial issues to a group of community
development professionals as part of the 2003 Community Development Academy.
The Academy is held each year to educate local government planners and community
organizations.
Municipal Enterprise Budgeting. Every year, the UNC School of Government
provides a variety of financial management and accounting trainings to hundreds of
local government finance and budgeting professionals. The UNC EFC has been
asked to help integrate environmental management concepts into these courses. The
UNC EFC developed a presentation on using municipal budgets effectively to
encourage and monitor environmental management.
Direct Technical Assistance
The UNC EFC devoted a significant amount of resources in 2003 to providing direct
support to practitioners throughout the Southeast. This technical assistance included
email and phone consultations; management of listservs; site visits; and the
publication of guides and updates on key issues. The table below shows a few
examples of technical assistance activities carried out in 2003.
Community
Town of Jacksonville
Town of Yanceyville
Towns of Huntersville
and Cornelius
Orange County Solid
Waste Department
Description
Advice on purchase of potentially contaminated
properly
Advice on issues in inter-jurisdictional water
resources planning
Advice on municipal power to regulate
activities on lake within towns and on
rulemaking authority of Lake Norman Marine
Commission
Provide assistance evaluating revenue options
to support community recycling program.
Development of cost accounting, equipment
reserve and cash flow models.
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EFC at the University of North Carolina
Polk County
Orange County
Rutherford County
Harnett County
Assistance on legal and financial implications
of different solid waste financing options.
Support effort to develop a state of the
environment report.
Comprehensive assistance with community
source water protection. Facilitation of
community meetings, support in risk
assessment.
Assistance in considering utility merger options
and opportunities.
Policy Analysis and Support
In addition to direct community outreach, the UNC EFC works with decision
makers to assess the effectiveness of environmental finance policies at a regional or
state level, and to improve those policies as a way of supporting local efforts.
Major policy efforts in 2003 included:
Assessing Drinking Water and Wastewater Infrastructure Funding in
Appalachia. The UNC EFC was awarded a competitive contract to carry out a
drinking water and sewer infrastructure needs assessment for the Appalachian
Regional Commission (ARC). The project began in the fall of 2003 and will continue
through 2004. The project includes developing quantitative estimates of water and
sewer needs in the 13 state/410 County ARC region; preparing a detailed and
quantitative catalog of public financial water and sewer assistance in the region;
identifying and analyzing financial management and infrastructure financing
strategies within the region, especially strategies likely to have an impact in
distressed communities; and developing financial management case studies. The
project will look at strategies implemented at the local level as well as statewide
strategies implemented by funding agencies and state/regional agencies.
Assessment of Land Conservation Easement Options. The UNC EFC presented
information on the costs and financing strategies for land conservation to the General
Assembly's Environmental Review Commission. The UNC EFC drafted legislation
(ultimately passed) that allows a landowner with conservation easements to maintain
important tax advantages on their land by keeping the land in the present use value
tax program despite its conservation status. In response to a request from the Clean
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EFC at the University of North Carolina
Water Management Trust Fund, the UNC EFC constructed a cash-flow model that
explains the choice a landowner/farmer faces between a permanent easement and a
30-year contract under the state's conservation reserve enhancement program. All of
these activities flowed out of earlier work on conservation, the Million Acres
Initiative, and follow-up work on the One N.C. Naturally effort by the state
Department of Environment and Natural Resources.
Collaborative Strategies for Land Trust Networks. The UNC EFC conducted a
survey of funding organizations that have faced problems in joint fundraising with
affiliated organizations. A report and options presentation was provided for North
Carolina land trusts, who are under pressure from their major foundation fonder to
develop a joint fundraising strategy among the 23 separate land trusts.
Strategies for Developing State Land Conservation Program. Following the
success of the Million Acres report, the UNC EFC continued to play a role in
expanding and developing financing systems for land conservation efforts in North
Carolina. For the Secretary of DENR, the UNC EFC facilitated a series of six
planning workshops attended by approximately 400 participants (in Chapel Hill,
Greensboro, Charlotte, Boone, Fayetteville and Wilmington) from a broad spectrum
of organizations representing different land-use, economic development and
environmental interests. The workshop series was the kick-off of a new initiative to
prioritize and coordinate land acquisition and protection activities across North
Carolina.
Analysis of Fiscal Capacity of Water and Wastewater Utilities. The financial
health of a utility has a major impact on its ability to provide safe drinking water and
environmentally sound wastewater treatment. The financial challenges facing the
water industry as a whole have been well documented over the last few years with the
release of a number of high profile "financial gap studies" by EPA and the Water
Infrastructure Network. Data relating to the financial capacity of North Carolina
Water and Sewer was collected from a variety of different sources including the
Local Government Commission, Local Water Supply Plans, the US Census, and
individual utilities. A database of financial capacity information was developed and
analyzed to identify financial trends and potential issues likely to impact the future
provision of safe water in the state. Financial indicators relating to utility revenues,
the percentage of income devoted to water services, debt, and operating efficiency
were calculated and compared across different groups of utilities organized by type
of utility, size, services provided, and geographic region.
Administrative Obstacles to Establishing Energy Assistance Loans. The UNC
EFC was contacted by officials from a bank that is interested in developing a
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EFC at the University of North Carolina
revolving loan program for local government energy conservation and efficiency
initiatives. The loan program has reached a road block due to several key issues
related to how the loans are secured and administered. The UNC EFC provided
general assistance and research on potential methods of structuring the loan program
that would take into consideration current legal and financial constraints.
Inventory and Assessment of DWSRF Loan Programs for Disadvantaged
Communities. Individual states are given the authority to create programs that target
"disadvantaged communities" as part of their Drinking Water State Revolving Fund
(DWSRF). Several states in Region 4 have already established these programs and
other states such as North Carolina have considered them. The states have a wide
latitude in how to run the program and states have chosen to define disadvantaged
communities differently and have put together different financial assistance
structures. The UNC EFC prepared an inventory of these programs and their
characteristics in Region 4. The inventory is designed to help states that do not have
the programs evaluate potential options, and to provide states with the programs
more knowledge about other possible types of programs.
Options for Addressing Agricultural Waste Disposal Challenges. The UNC EFC
has agreed to join the advisory panel for review of alternative swine waste
management systems under the Smithfield Foods-Premium Standard Farms
Agreement with the N.C. Attorney General. A primary outcome of this effort is
judging economic feasibility of various alternative waste technologies.
Proposals/Initiatives for 2004 ; ^ ;
Some activities currently planned for 2004 include:
Dissemination of Results of Appalachia Drinking Water and Wastewater Needs
Assessment. The UNC EFC will present the findings from the ARC Study to
practitioners at all levels of government. The UNC EFC anticipates holding
roundtables and presentations in states throughout Region 4 to discuss how the
results of the study can be used to improve infrastructure funding programs.
Financial Management Guide and Board Training. The UNC EFC has been
awarded funding from the Southeast Regional Small Public Water Systems
Technical Assistance Center (SETAC) to provide financial planning assistance to
small water utilities. As part of this project, the UNC EFC will write a detailed water
utility financial management guide that targets the individuals that sit on governing
boards responsible for drinkingwater service. The guide will focus on the legal and
financial obligations and expectations assigned to these boards under U.S. and North
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EFC at the University of North Carolina
Carolina law (many financial management and rate setting responsibilities are based
on state law). The guide will serve as the basis for a statewide board training
program.
Statewide Training Program for Municipal Officials. The UNC EFC will
participate in a statewide training program sponsored by the NC League of
Municipalities and the UNC School of Government to provide basic governance
training to elected officials throughout the state. The UNC EFC is responsible for
designing and delivering environmental finance sessions that will be delivered to
over 700 local officials at 8 locations throughout the state.
Storm Water Ordinance. Subject to funding from the section 319 program, the
UNC EFC will assist in development of a statewide model stormwater ordinance (for
Phase II post-construction stormwater control and other purposes).
Models for Funding On-site Wastewater Systems. The UNC EFC will prepare an
inventory of different local approaches used throughout North Carolina to fund the
repair and replacement of failing septic systems.
EFAB Affordability Work Group. The UNC EFC serves on the Environmental
Finance Advisory Board' s (EFAB) Affordability Work Group. The UNC EFC works
with EFAB members and several other EFCs to provide advice and guidance on
water affordability programs to local utilities and state and federal regulatory
agencies.
EFAB Joint-Operations Work Group. The UNC EFC also serves on an EFAB
group charged with investigating potential options for jointly managing and operating
state administered revolving loan programs.
Funding Database. One of the roles of the UNC EFC and EFCN is to capture,
distill and disseminate useful finance and policy resources to practitioners. As part
of this effort, many EFCs have developed internet resource databases that allow users
with specific interests to find information on different types of funding and technical
assistance. During 2003, the UNC EFC worked with the Boise State EFC to replicate
an internet based funding database. The UNC EFC modified a series of computer
applications developed by Boise State so that it can be used by the UNC EFC to
present information on environment funding sources in the southeast.
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EFC at the University of North Carolina
¥
Source Water Protection. The UNC EFC was one of five-EFCs that have provided
community assistance in eight states as part of an EPA supported project to field test
innovative strategies for identifying and addressing risks to drinking water sources.
As part of this effort, the EFCs have compiled a "lessons learned" document to share
with EPA and others working in this important area. As a result of the project, local
communities have started implementing specific water protection measures, and key
state and federal oversight bodies have reviewed and fine-tuned their coordination
efforts. The Rutherford County effort spearheaded by UNC EFC was the first of the
nine national pilot projects funded by EPA to produce and pass a multi-jurisdictional
source water protection plan.
Coliaboration with University of Southern Maine EFC. The Network's newest
EFC, the Maine EFC, has decided to expand the work they do in the area of water
and wastewater financial management. The UNC EFC worked with the Maine EFC
throughout the year to provide assistance and advice to help support their work. As
part of the partnership, one of Maine's EFC research associates completed a UNC
EFC distance education course.
Presentations, Conferences and Meetings *
In addition to the events mentioned above, the UNC EFC actively participated in a
number ofpresentation and conferences throughout the year.
Council of Infrastructure Funding Authorities Annual Conference
• American Water Works Association Annual Conference
Environmental Finance Center Network/Environmental Advisory Board
Meetings
North Carolina Water Resources Research Institute Annual Workshop
Environmental law for newly elected legislators. Presentation to newly elected
State Legislators.
• Workshop on water rights sponsored by ZSR Foundation
• Municipal and county administration. Environmental presentation to group of
municipal and county administrators.
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EFC at the University of Louisville
redevelopment, with smart growth planning for area development agencies, with the
Environmental Justice DemonstrationProjectinSpartanburg, South Carolina The focuswas
on financial planning and prioritization to maximize private investment potential and reduce
need for public funds and donations; and with Region 4 RCRA specialists on ways of
providing greater certainty over firms' financial capacity to remediate after completing
ongoing operations. These expanded applications of our contaminated land expertise are
reflected in our new Working Papers, other staff publications, conference presentations, and
conduct of related research and technical assistance projects.
Practice Guides
The Louisville EFC's Practice Guide series is focused on aspects of land use planning and
information system development for promotion of urban infill, brownfield redevelopment
and other aspects of smarter urban growth. The series development is ongoing, and is
specifically structured to take advantage of research efforts conducted under other auspices
byCenterpersormel. (AuthorsMpsbelowidentiiyCenterStarTinboldandCenterAssociates
in bold italics; note that Dr. Coffin was on staff the first half of 2003 and an associate after
that)
Practice Guides Completed in 2003 and Available On-Line .
'• Utilizing Environmental Insurance for Brownfield Redevelopment ($S. floWs, T. **r
Lambert and PJJ. Meyer)
• Dealing with Growth: Alternatives to Large Lot Zoning on the Urban Fringe (H. W,
VanLandingham, S.S. Hollis and RJVL Caravona)
Practice Guides Developed in 2003 now in Preparation for On-Line Posting
• "Greyfields" — Hie New Horizons for Infill and Higher Density Regeneration (KM.
. Chiton) .
• lMwPopulationDewityandErnergencyResponse:AcceptingDelaysorHigherService
Costs (T. Lambert, PJB. Meyer, and G. Higgs)
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EFC at the University of Louisville
Practice Guides Initiated in 2003 and Awaiting Completion
• Financing Local Public Infrastructure: Determining an EffectiveRevenueStream that
Supports Local Projects (& Coffin)
• Developing New Uses for Low-to-no-Market Brownfields: The Affordable Housing
Solution (51 Coffin)
• G^DebrisRecyclingforEnviwninentalProtectionandE<^nomicDevelopment(N.G.
Leigh and L Patterson)
Technical Assistance
The Center has also provided direct technical assistance services to clients in Region 4 and
elsewhere, and contributed to training and technical assistance provision through a range of
other publications and presentations. These dissemination products have drawn on
information collection undertaken under the EFC funding, but, in most instances, also have
drawn from or built on data gathered and research conducted by Center Staffand Associates.
Publications span professional journals, trade press and academic outlets, since all influence
policy discussions and can contribute to more effective and cost-efficient environmental
finance practice.
While some formally funded activities are listed below, the range of study undertaken that
has contributed to the Center's productivity includes extensive efforts funded internally as
part of university commitments of faculty time to the conduct of research. The apparent
leverage of the EFC funding, therefore, acutely understates its real stimulus on related activity
if only die externally supported work is included.
Coffin, SX. Provided background information on the identification of brownfields in
Jefferson County, Kentucky to the Kentuckiana Planning and Development
Agency, a regional planning agency focusing on planning and development
in the Louisville metropolitan region, January-May.
Coffin, SLL. Provided policy background on the relationship between brownfields and
housing for the Lexington Habitat For Humanity, March.
Meyer, PJJ. Deliveredapresentationonhow environmental insurance could contribute to
financial assurance in a Region 4 RCRA Directors Conference, Lexington,
KY, April.
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EFC at the University of Louisville
Meyer, PJJ. Participated in the Minnowbrook, NY, Rural Development workshops as
part ofthe Public Management andFinance Program operated bythe Syracuse
(Region 2) EFC in May.
Meyer, PJB. Provided briefings on public sector utilization of environmental insurance
bolh to protect government fiscal budgets and to encourage private sector
investment onpreviously contaminated sites atOSWER/Office ofBrownfield
Cleanup and Redevelopment Workshops on Environmental Insurance for
Regulators, for Regions 3 and 4, in Washington, DC, March, and Atlanta, GA,
May.
Lambert, T. Presented findings on new developments in environmental insurance at the
Great Lakes Economic Development Conference in Cleveland, October.
Lambert,T. ConMbutedasessiononthelimitationsofenterprisezonesandrhe local fiscal
problems they can cause to the Syracuse University EFC's "Public
Management and Finance Program" workshop in Chatauqua, NY, October.
Meyer,P.B. Organizedtwosessions,andpresentedworkshopsonenvironmental insurance
to manage longtermliabilityrisks on sites with Risk-Based Corrective Actions
and on problems facing local governments attempting to acquire
environmental insurance forbrownfield sites, OSWER/Office of Brownfield
Cleanup and Redevelopment Brownfields 2003, Portland, OR, October.
Meyer, P.B. Organized, chaired and presented in workshop on managing risks over the
long term for previously contaminated sites, Business of Brownfields-2003,
Pittsburgh, PA, November.
Meyer, P.B. Consulted on planning for and organizing, thenpresented and led a workshop
on prioritizing projects and strategicallythinking about financing issues forthe
top priority Region 4 Environment Justice project, Regenesis
Planning/Prioritizing Program, Spartanburg, SC, December. (This
involvement will also provide access to an area development project site for
study as part of our new 5-year Cooperative Agreement with OSWERA)
Meyer, P.B. Participated in two-day peer consultancy in Louisville (supporting visitors
from the international Economic Development Council) on Ihe options for
redeveloping a Rhodia chemical plant site (after having assisted Ihe city in
applying for the grant that is funding current efforts), Louisville, KY,
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EFC at the University of Louisville
December. (This involvement also mayprovide an area development project
site for study as part of our new 5-year Cooperative Agreement)
Publications Released
Coffin, Si, Closing the Brownfield Information Gap: Some Practical Methods for
Identifying Brownfields. Environmental Practice. V(l): 34-39.
Meyer, PJJ. Brownfields and Red Ink: The Costs of Contaminated (and Idle) Land.
Environmental Practice. V(l): 4047.
Coffin, S.L. (under review) Establishing the Brownfields-Housing Connection: Modeling
the Effects of Brownfields on Section 8 Households in Cleveland, Ohio.
Housing Policy Debate.
Leigh, JV.G, and S.L. Coffin
(underreview) Modeling the Brownfield Relationship to Property Values and
Community Revitalization. Housing Policy Debate.
Yount, K.R., and P.B. Meyer.
Models of Government-Led Brownfield Insurance Programs. Available at:
hnp:/Avww.epagov/swerosps/bCrpd0hku2002.pdf
Yount, KJl. What Are brownflelds? Finding a Conceptual Definition. Environmental
Practice. V(l): 25-33.
Wemstedt, K., P.B. Meyer, and K.R. Yount .
Insuring Redevelopment at Contaminated urban Properties. Public Works
Management & Policy 8(2): 85-98.
Meyer, P.B. Brownfields and Red Ink: The Costs of Contaminated (and Idle) Land.
Environmental Practice. V(3): 40-47.
Meyer, P.B., and KR. Yount.
Financing Redevelopment of Brownfields. Pp. 233-249 in S.B. White, R.D.
Bingham and E.W. Hill (Eds.) Financing Economic Development in the 21a
Century. Armonk, NY: M.E. Sharpe.
Extemalfy-Funded Research Projects Involving EFC Personnel
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EFC at the University of Louisville
The EFC at Louisville is imbedded in the University's Center for Environmental Policy and
Management (CEPM). Many of the EFC personnel also work part-time on other research
projects in CEPM, tying their technical assistance and training functions in the EFC to
research and related projects supported with other funds. These projects include:
Urban Regeneration through Environmental Remediation: Valuing Market-Based
Incentives for Brownfidds Development, Continued work on this two year study for
EPA/National Center for Environmental Research with Resources for the Future and the
University of Maryland, initiated May 1,2002. This study looks explicitly at what public
incentives are most likely to attract developers to undertake projects on brownfield sites,
providing data for more cost-effective redevelopment subsidy practices by both state and
local governments. The Urban Land Institute provided us with a culled subset of the mailing
list, identifying developers for the survey we administered in late 2003.
Expediting the Environmental Insurance Purchasing Process. Continued work on a two
year study for EPA/OSWER/Office of Brownfield Cleanup and Redevelopment with
Northern Kentucky University (NKU), initiated October 1, 2002. This study involves
following three local governments (one each in Regions 4,5, and 6), as they attempt to learn
about, and work their way through, the complexities of acquiring environmental insurance in
conjunction wimpursuingtheirredevelopmentefforts involving contaminated land; the cases
will ihen be used to provide guidance on how to expedite the process.
Accelerating Brownfields Cleanup and Redevelopment with Innovative Uses of
Environmental Insurance, New five yearprogram of research and technical assistance for
EPA/OSWER/Office of Brownfield Cleanup and Redevelopment with Northern Kentucky
University, initiated October l,2003.This project involves updating information on available
insurance products appUcable to redevelopment of c»ntammatedsites,monhoring stateeflbrts
to ease access to environmental insurance, investigatingthe potential for pooling certaintypes
of small brownfield sites such as old gas stations to provide access to insurance, promoting
an area-based approach in revitalization efforts, and otherwise promoting infill through new
risk management approaches that ease access to capital.
New initiatives Launched :
New initiatives launched by the Louisville EFC in 2003 represent efforts to build on the
foundation already laid. As noted above, complementary research efforts were undertaken
during the year. Those efforts should contribute to technical assistance and training products
in 2004 and beyond Work on new Practice Guides, intended for release by Fall, 2004, was
initiated. Center personnel also prepared other publications, both in print and on-line.
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EFC at the University of Louisville
International Conference on Local Sustainable Development Efforts
Planning for the 6th Internationa] Symposium of the International Uiban Planning and the
Environment Association (IUPEA) was initiated by the EFC in 2003. The Symposium will
be held in Louisville, September, 4-8,2004, with the overall theme of Global Pressures on
Local Autonomy: Challenges to Urban Planning for SustainabUity and Development. In
addition to the EFC and EPA Region 4, the symposium will be hosted by the University, the
CEPM, Louisville Metro Government, and the Federal Reserve Bank of Saint Louis, with
supporters including the Dutch Environment Ministry, the Kentucky Giapterofthe American
Planning Association and others. Planning involved university, personnel and a range of
planning and environment organizations in the Louisville area The Call for Papers Re-
presentations was issued in October, 2003, with broad world-wide dissemination via the
web and internet listservs. (As of early February, 2004, paper proposals had come from
practitioners and researchers in 34 different countries, and confirmed plenary speakers
included a member of the Board of Governors of the Federal Reserve, an a Deputy Assistant
Secretary from HUD, in addition to local dignitaries.)
Practice Guides in Process as of Late 2003
• "Stimulating Revitalization of Contaminated Lands - Assessing Alternative Incentives
to Developers"
• "Identifying Land Use Spatial Change in Your Community
• 'Typologies of Sprawl: What is it, how do we define it, and how do we tailor
responses?"
New Dissemination Efforts
Sarah Hollis, EFC Analyst, made initial contacts with, and developed a database of, Region
4 state and local planners and League of Cities/League of Municipalities officials who may
be interested in using our guides as part of their training programs. This information will be
used for publicity about the Practice Guide series to be disseminated in early 2004.
Publications in Process
Meyer,P.B. Introducing Environmental Factors into the Land Cost- Transportation Cost
Tradeoff Logic: A Critical Step Toward Sustainable Urban Planning (In
preparation for submission to Journal of Environmental Planning and
Management.)
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EFC at the University of Louisville
Meyer, P.B., and S.L. Coffin,
Approaches to Brownfield Regeneration: the Relative Value of Financial
Incentives, Relaxed Mitigation Standards and Regulatory Certainty. (In
preparation for submission to Land Economics.)
Initiatives for 2004 undertaken by the EFC in 2003 included planning for a number of new
Practice Guides, intended to take advantage of information garnered in the course of study
efforts and other data collection during the year. A number of other potential publications
were prepared and submitted for review. Training and technical assistance provision for
2004 was not scheduled in 2003, largely because such activity is generally low early in the
calendar year, and the efforts generally have substantial lead times.
New Practice Guides
• "RCRA Financial Assurance - Issues in Determining Real Mitigation Costs and
Avoiding New Brownfields"
• "Contaminated Properties in Communities - Regulations, Problems and Solution
Resources"
• "State Approaches to Liability Relief and Risk Management for Contaminated Land
Redevelopers"
Working Papers in Process
• "Land Re-use and Residual Contamination: Lessons from US Efforts at 'Risk-Based
Corrective Action'"
• "The Brownfields Cleanup Conundrum: Trading Off Current Mitigation Costs for
Longer Term Monitoring, Liability and Further Requirement Risks"
• "Looking Backwards, Looking Forwards: Economic Rationales for-and Implications
of- The 2001 Changes in U.S. Law Governing Brownfield Reclamation"
'toSearchofGocxlData^Problermingatheringusefulinfcirnationaboutredevelopment
projects or 'Where have all the developers gone?'"
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EFC at the University of Louisville msmmmammmmms^i:8S!8ssx!$!%Si
In addition to its main information generation/dissemination activities with respect to
environmental finance and planning for the uses of land in and around urban areas, the
Louisville EFC undertook or launched a number of special projects in 2003 that are not
described above:
• Provided'TedmicdAssistancxwithRiblicSec*^
an activity that will continue through August, 2004, to three localities, including one in
Region 4, complementing the national research project on "Expediting Public Sector
Acquisition of Brownfields Insurance."
• Initiated work on a US Department of Education-funded environmental education and
management project, "Partnerships for a Green City." This project involves the
University of Louisville, Jefferson County (KY) Public Schools and Louisville Metro
Government in a problem-solving and project-planning collaborative consultation to:
- Develop recommendations for a comprehensive environmental education program
for JCPS and the community;
- Identify research areas that assess children's exposure to environmental pollutants,
health outcomes, and impacts on cognitive abilities and behavior; and,
— Identifyapproaches foruiepartnerstocreatesustainableandenvironmentallyfriendly
buildings and infrastructure (e.g. schools, public buildings, roads, watw systems).
a=C Network Collaborations
As an active member of the Environmental Finance Center Network, the Louisville EFC
participated in the preparation of proposals for funding of different netwoik-wide
environmental finance projects. The Center also initiated efforts at the preparation of a
collaborative network project on aspects of environmental finance for brownfield
redevelopment, drawing on the collective experience of different centers across the natioa
Dr. Peter Meyer, EFC Director, continued in his role as an officer of the EFCN, becoming
Vice President at the March Directors meeting in Washington, DC, and attending meetings
with EFCN colleagues at the EFAB Summer meeting in San Francisco (August) and die
EFCN Fall meeting in Portland, ME (October).
Under its generalmissionwithrespecttosupportmgbrownfieldsrevitahzation.flie Louisville
EFC anchored a display booth for the EFCN at Brownfields 2003, the annual EPA-hosted
conference on brownfield reclamation and redevelopment, held in Portland, OR, in
November. Co-sponsors of the booth were the EFCs from Regions 2 (Syracuse), 3
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EFC at the University of Louisville
(Maryland), 5 (Cleveland State) and 10 (Boise Slate). Network members' informational
materials, including the EFCN brochure, were handed out or displayed and available on
request Inquiries about Network and Center services were collected and passed on to other
EFCs after the conference.
Utilizing the 'free' resource provided by doctoral students assigned to the Center for
Environmental Policy and Management (CEPM), the Louisville EFC will activelyparticipate
in the problem analysis phases ofthe two EFAB workgroups on which Dr. Meyer serves, that
on "Innovative Financing Tools" and that on "Preventing Future Non-Funded Abandoned
Sites." While the EFAB serves as an advisory body to the EPA itself, many of its
deliberations, insights, and findings, may be very valuable to state and local environmental
policy-makers and regulators. The Louisville EFC, by activelyparticipating in the EFAB's
efforts, thus obtains guidance and information that can be used in development of more
Practice Guides for our state and local clients.
2003 Presentations * Conferences - Meetings {^fCttlf wfetfewo^
Presentations, whether to academics active in providing policy advice or to practitioners
engaged in policy formulation and implementation, are frequently the most immediate and
rapid means of communicatingnew findings and knowledge to improve practice. Moreover,
participation in conferences in which information is exchanged constitutes one method by
which the Center staff acquires new information and case study data mat contribute to our
guidance disseminatioa The Louisville EFC thus takes care to maintainahigh level of activity
in this key information dissemination arena. Presentations to academic gatherings are limited
to those organizations whose attendees have strong interest in, and thus study and report on
public policy practices that can inform environmental finance policies and procedures.
International conferences are exceptionally valuable in this regard, since they offer ideas for
innovation thatarenotavailable in apurelyUS exchange. TheCenter'spresentationactivities
in 2003 included the following, all of which facilitated conference participation and
information acquisition by the staff involved.
• Meyer, P.B., "LookingBackwards, Looking Forwards: Economic Rationales for-and
Implications of - Changes in the New 2001 U.S. Law Governing Brownfield
Reclamation." Conference on "Brownfields as Opportunities for Sustainable
Development," Institute Universitario di Architettura di Venezia, Venice, IT, Jan-Feb,
2003.
• Coffin S.L., T. Rockaway, and R. Navalekar. "Financing Local Public Infrastructure:
DetermininganEffective Revenue Stream thatSupportsLocal Projects." Urban Affairs
Association Meetings, Cleveland, OH, March, 2003.
10
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EFC at the University of Louisville
Heberle, L., and P.B. Meyer, 'In Search of Good Date: Problems in gathering useful
information about re-development projects or 'Where have all the developers gone?'"
Urban Affairs Association Meetings, Cleveland, OH, March, 2003.
Higgs, G.V., and P.B. Meyer, "Urban Sprawl and Its Effects on the Availability and
Response Times of Public Services (Police, Fire, and Emergency Medical Services)."
Urban Affairs Association Meetings, Cleveland, OH, March, 2003.
Meyer, P.B., "Land Re-use and Residual Contamination: Lessons from US Efforts at
'Risk-Based Corrective Action1." Joint ACSP-AESOP Conference, Leuven, Belgium,
July, 2003.
Meyer, P.B. "The Brownfields Cleanup Conundrum: Trading Off Current Mitigation
Costs for Longer Term Monitoring, Liability and Further Requirement Risks."
Conference on The Future of De-industrialising Regions: Planning for Urban and
Regional Transformation, University of Dortmund, Regional Planning Institute,
Dortmund, Germany, July, 2003.
II
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2003 Annual Report of the
Environmental Finance
Center Network
Region 5 - Cleveland State
University
Cleveland State University is the Environmental Finance
Center serving the Great Lakes Region
Introduction '• \ ;", ,'"','•.,'-
The Great Lakes Environmental Finance Center (GLEFC) assists communities and public,
private, and non-profit sector entities in the Great Lakes states of Illinois, Indiana, Michigan,
Minnesota, Ohio, and Wisconsin build innovative, cost effective, and high quality strategies
for environmental improvement and sustainable economic development.
The GLEFC is housed within the Maxine Goodman Levin College of Urban Affairs at
Cleveland State University to provide technical assistance and training in environmental
financing for state and local governments, as well as public, private, and non-profit
organizations in the Region 5 states. The Center assists these entities in solving financial
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problems related to environmental facilities and resources. Services include financial and
economic analysis and strategies; policy analysis and planning; brownfields community
advisory services; study and inforrnation services; and trainingseminars and conferences. The
GLEFC utilizes many tools to assists clients, including financial and budget analysis, market
and impact analysis, best practice reviews, training seminars and conferences, focus groups
and community visioning/strategic planning processes, and environmental planning and
program evaluation.
Accomplishments .- ;J "- , / J, :
In 2003, the GLEFC portfolio of ventures included several new projects, ongoingpartneiship
enterprises that will continue indefinitely, and second and third phases of externally funded
projects. The GLEFC provided technical assistance, applied innovative technology, seminars,
training, counsel, and testimony to local, state, federal; and not-for-profit organizations and
clients throughout Region 5. The GLEFC continues to provide support to the Federal
Executive Board of Northeast Ohio in facilitating an intergovernmental (federal, state, and
local)collaborationonbrownfieldfinanceandredevelopment,nowonastate-widebask The
GLEFC is working with EPA's Region 5 Brownfields Office to assist in initiating regional
brownfield collaboration. In addition, the GLEFC is working on a broad array of
environmental public policy initiatives that are externally funded, multi-stage, and multi-
client projects with the Ohio Department of Natural Resources, the National Oceanic and
Atmospheric Administration (NOAA), and the National Estuarine Research Reserves.
Brownfields Technical Assistance
• BrownfieldsOne^top^hop(BOSS)FonirttTheGLEFCconvenesaquarterly forum
of federal, state, and local government economic development and environmental
officials, commercial and investment bankers, insurance executives, foundation
officials, and developers to review brownfield redevelopmentprojects seeking financial
and programmatic support. The principal Forum partners include:
- U.S. Department of Agriculture (LJSDA), Urban Conservation, Soil and Water
Conservation District.
— U.S. Department of Commerce, Economic Development Administration (EDA).
- U.S. Army Corps of Engineers, Buffalo District.
- U.S. Department of Housing and Urban Development (HUD).
- U.S. Environmental Protection Agency (U.S. EPA).
- U.S. Department of Justice (DOJ).
- National Park Service, Cuyahoga American Heritage River.
- U.S. Small Business Administration (SBA).
- Federal Home Loan Bank (FHLB).
- Ohio Department of Development (ODOD).
— Ohio Environmental Protection Agency (OEPA).
- Ohio Department of Transportation (ODOT).
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- Ohio Water Development Authority (OWDA).
In 2003, the BOSS Forum convened two meetings in Cleveland, Ohio with over 80
attendees representing public, private, and not-for-profit organizations. The BOSS program
included six (6 ) brownfield redevelopment projects from cities throughout the state,
including:
Meeting 1:
• Barberton: Van Buren Industrial Park
• Newark: Newark Processing Site
• Dayton: GM Harrison/Taylor Street Project
Meeting 2:
• Columbiana County Port Authority: National Refractory Site
• Village of Newburg Heights: ISO Landfill Site
• Belmont County: Neffs Sanitary Sewer
Initially a partneiship between the GLEFC and the Federal Executive Board of Northeast
Ohio, in 2003, the GLEFC expanded the program of the BOSS Forum from northeast Ohio
to a state-wide geography, to achieve two goals:
1. ToachieveaneconomyofscaJeinthemarketforbrownfieldredevelopmentprojects;
and
2. To attract an effective level of (interagency and intergovernment) participation from
federal, state, and local officials, commercial and investment bankers, environmental
insurance executives, environmental engineers and attorneys, foundation officers, and
developers.
In late 2003, To facilitate the expanded geography, the BOSS Forum merged with the
Columbus, Ohio based OhioBrownfield Finance Partnership (BFP), an organization initiated
by the Ohio Water Development Authority. The new partnership will foster greater
geographic and programmatic participation with quarterly meetings throughout the year.
• Brownfield Technical Assistance, UJS. EPA. At the request of the U.S. EPA Region
5 Brownfields staff, The GLEFC provided technical assistance to local government
brownfield efforts in northeast Ohio, including:
— Urban Community School: purchase of a contaminated property for the relocation
of the school, including providing guidance on phase I and n analysis of die site and
application for remediation grants
- Cuyahoga County Brownfield Revolving Loan Fund
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— Cleveland VeteramAffairsMedical CenterNavigationTeam:theGLEFC provided
funding and site location consulting services to the VA Team on the environmental
issues regarding the relocation of the Brecksville (Ohio) VA facility to the Wade
Park section of Cleveland.
National Brownfield Association, Ohio Chapter Board Member. EFC Director
KevinO'Brien serves as the Academic Chair on flie Ohio Chapter Board of the National
Brownfields Associatioa
• Brownfield News, Editorial Board. EFC Director Kevin O'Brien serves on the
Editorial Board of the Brownfield News magazine, as the "brownfield finance" editor.
Finance and Policy Research and Technical Assistance
• EconornfcImpactofInfrastructureInvestinentinNortheastOhio,1982-2002. The
GLEFC is partnering with the Greater Cleveland Growth Association (Chamber of
Commerce) and Team NEO (the regional economic development authority) to define
the economic impact of investment in greater Cleveland's road and bridge, water
distribution, water treatment, and transit infrastructure over a twenty-year period.
Financed by the Ohio Urban University Program and the Growth Association.
• Slanted Pavement: How Ohio's Highway Spending Shortchanges Cities and
Suburbs, Brookings Institution, Center on Urban and Metropolitan Policy: The
GLEFC conducted a research project (financed by the Cleveland Foundation and
Brookings) to examine the flow of gas tax funds to invest in the sustainable future of
Ohio'sroadways. ThererwrtwaspublishedandpiesentedbyBrooldngsinMarch, 2003,
in Washington, D.C. and Columbus, Ohio.
Extending the Amortization Period of Major Capital Projects: Useful Life
Workgroup, UJS. EPA Environmental Finance Advisory Board (EFAB): The
GLEFC is participating on an EFAB Workgroup concerned with exploring strategies
for creating new revenue flows and linking the amortization of debt to the useful life
of the capital installation being financed. A report will be issued in 2004.
Program Development and Evaluation
• Clean Ohio Brownfield Redevelopment Grant Program and Council: The GLEFC
assisted the Ohio Department of Development and its Clean Ohio program to develop
criteria for the evaluation of its second year of operation of its redevelopment grant
program and to recommend changes to its application process for the third year of
operation.
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• Proposal Strategy: ODOD Appalachian Initiative, Ohio Department of
Development, Clean Ohio Program: TheGLEFC assisted the Clean Ohio Brownfield
Redevelopment Program in developing an RFP, application process, and evaluation
criteria for a brownfield grant fond dedicated to the rural Appalachian region of Ohio.
• Small Drinking Water System Technical Assistance Proposal Review, Midwest
Technology Assistance Center (MTAC), University of Illinois: The GLEFC assisted
the MTAC in reviewing proposals for the provision of technical assistance to small
drinking water systems in U.S. EPA Region 5. The GLEFC evaluated and ranked the
proposals for MTAC.
• Coastal Resources Management Training Needs Assessment: Ohio Department of
Natural Resources, Old Woman Creek National Estuarine Research Reserve, and
the Ohio Sea Grant College Program): hi 2003, the GLEFC concluded a year-long
project to assess the market for Coastal Resources Management Training Needs of the
Lake Erie Basin in Ohio. The assessment (and market analysis of a prior project phase)
defined the market needs for the services of the three agency partners to
deliver/coordinate training for policy makers in the Lake Erie Basin. The needs
assessment and market analysis served as the data and information base for a strategic
plan for Coastal Resources Management for the three agencies. The GLEFC utilized
6focusgroup(involving 90 policy makers)sessions across the 170 mileLakeErieBasin
to define the market need for coastal resources management training. The GLEFC bid
competitively for the externally funded needs assessment project
• Coastal Resources Management Training Strategic Planning: Ohio Department of
Natural Resources, Old Woman Creek National Estuarine Research Reserve, and
the Ohio Sea Grant College Program): In 2003, the GLEFC initiated a strategic
planning exercise (to culminate in early 2004) for the coordination and provision of
Coastal Resources Management Training in the Lake Erie Basin in northern Ohio. The
GLEFC bid competitively for the externally funded strategic planning project
• Coastal Training Trends Analysis, National Oceanic and Atmospheric
Administration (NOAA), UJS. Department of Commerce: The GLEFC has been
engaged by NOAA to review the trends in the strategic plans of the network of 26
National Estuarine Research Reserves' (NERRs) Coastal Training Programs. The
GLEFC bid competitively for the externally funded NOAA project
Brownfidds Seminars/Training
• Redeveloping Brownfields: Makinga SmartlnvestmentSeminar: At the request
of the U.S. EPA Region 5 Brownfield Staff and the Mahoning River Corridor of
Opportunity, theGLEFCplanned and presented a "lenders" seminar in Youngstown,
Ohio for local government officials seeking to finance the redevelopment of
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environmentaJlychallenged property. The 30 attendeesheard from industiyexperts
speaking including commercial bankers, environmental insurance executives, and
environmental attorneys, to explore the linkage between funders and local
government and private brownfield redevelopment efforts, including:
- The Small Business Liability Relief and Brownfield Revitalization Act and
what it means;
- Lending on brownfields: the basics;
- How to evaluate an environmental assessment; and
- How to determine the need for environmental insurance.
Participant feed back was very positive. The GLEFC plans to replicate the seminar
in 2004.
Brownfield Redevelopment: Nuts and Bolts Finance Seminar, ILS. HUD and
US. EPA: At flie request of the U.S. EPA Region 5 Brownfield Staff, the GLEFC
developed a brownfield redevelopment finance workshop at the EPA Region 5
Headquarters in Chicago. The GLEFC developed and utilized 3 case studies in the
workshop to training the 57 participants on the steps in determining the
redevelopment viability of a brownfield site, how to develop apro forma, and how
and where to seek financing for the redevelopment.
Healthy Homes National Conference, UJS. Department of Housing and Urban
Development, U.S. EPA, and the Centers for Disease Control The GLEFC
conducted several sessions over the course of six-month planning process with
HUD, EPA and CDC Healthy Homes Conference planning staff to develop a
strategy to guide the interagency planning for the 2004 Healthy Homes National
Conference to be held in Orlando, Florida in June, 2004.
Ohio EPA Voluntary Action Program (VAP) Training for Certified
Professionals: The GLEFC participated in an Ohio EPA training session for
certified professionals (environmental engineers). The training sessions are
presented twice annually to outline changes in the process for compliance with
VAP (brownfieldredevelopment)standards and topresentinnovation/best practices
in brownfield redevelopment in Region 5. The GLEFC presented the bestpractices
and innovation in financing brownfield redevelopment.
CASTLO Open House, Youngstown, Ohio. The GLEFC presented information
on funding availability for brownfield redevelopment at a conference of a
communitydevelopmentcorporationin Youngstown, Ohio. The conference had 50
attendees.
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• Ohio BrownOeld Finance Partnership. The GLEFC participates in the discussion
group convened by the Ohio Water Development Authority between private
developers, and bankers to discuss the opportunities in the finance and redevelopment
ofbrownfields.
• Brownfield 2003 Conference. The GLEFC participated in the program of the
Brownfields 2003 Conference in Portland, Oregon.
Finance and Policy Seminars/Workshops
• Environmental Finance in the Great Lakes Region seminars for the Cleveland
Council on World CapFinance Training. The GLEFC conducted environmental
finance seminars for U.S. Agency for International Development and U.S.
Information Agency sponsored trips for foreign officials and academics. The
seminars included the following participants:
- Russian Environmental Officials (10)
— Brazilian Mayors (12)
- South Korean Environmental Academics (4)
- Canadian Environmental Academics (5)
• CapFinance Training. The GLEFC participated in training session at Boise State
University for small and medium sized local governments in Idaho and Oregon on
die capital planning and financing software package developed by the Boise State
EFC. The GLEFC provided a presentation on GLEFC Asset Management and
GASB 34 Compliance or How Does CAPFinance Assist Your City in Managing
Infrastructure.
The GLEFC will pursue both continuing and new initiatives in 2003, in the policy areas of
brownfields and sustainable futures.
• The GLEFC will continue to assistthe Clean Ohio Council with review of decision
rules and administrativeprocessforthe annual Clean Ohio (brownfield) Remediation
Fund grant program. The GLEFC is entering its third cycle of the review.
• The GLEFC is continues to conduct an evaluation of the State of Ohio's Brownfield
Revolving Loan Funds.
• The GLEFC will continue to convene Brownfield One Stop Shop (BOSS) Forum
and to expand the program's geography to both reach economies of scale on
brownfield remediation and on the ongoing supply of fundablebrownfield projects.
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• The GLEFC will continue to work on brownfield related activities through the U.S.
EPA, Region 5 office.
• The GLEFC will finalize its strategic planningprocess with the Ohio Department of
Natural Resources, the Ohio Sea Grant Program, and the Old Woman Creek
National Estuarine Research Reserve on the development of a Coastal Resources
Management strategy and program for the Lake Erie Basin.
• The GLEFC will assist NOAA and its National Estuarine Research Reserves on
strategic planning for Coastal Resources Management Training Needs for policy
makers:
Network Collaboration
• CAPFinanee. The GLEFC continues to collaborate with the Boise State University
EFC to provide training to drinking water and water treatment utilities on the use of
CAPFinance, the capital asset management system.
• The GLEFC will continue to work with the members of the Environmental Finance
Center Network (EFCN) as collaborative projects emerge.
Presentations, Conferences and Meetings
The GLEFC will continue to make presentations in national, state-wide, regional, and
local professional/industry trade groups and organizations on environmental finance related
topics. The organizations include the Council of Infiastructure Finance Authorities,
Government Finance Officers Association, National League of Cities, Municipal Leagues,
national brownfields conferences, Build Up Greater Cleveland, the Federal Reserve Bank
of Cleveland, and U.S. EPA Region 5.
RESULTS
The Great Lakes Environmental Finance Center continues to provide assistance to state
agencies and local communities and not-for-profit organizations on environmental
compliance and sustainable strategies. The continued growthin the annual GLEFC program
and the expanding partnerships with national, state, and local entities provides evidence of
die impact of the organization.
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Environmental Finance Center
2003 Annual Report of the
Environmental Finance
Center Network
Region 6 - New Mexico Institute of
Mining and Technology
The New Mexico EFC was established in 1992 as the first
Environmental Finance Center
Introduction - * '.-.-, , ,'' ' , ,/'/,- ,/ :
The Environmental Finance Center serving EPA Region 6 (NM EFC) formally completed
its transfer to the New Mexico Institute of Mining and Technology (New Mexico Tech) in
Juneof2003. The Center is still located at the same offices in Albuquerque, New Mexico
and rnaintaJnsthestaffandactivitiesitconductedattheUniversityofNewMexico. TheNew
Mexico EFC (NM EFC) believes this change will open up additional opportunities for its
clients and will increase the overall support for the center.
TheNM EFC is dedicated to helping state, local, and tribal governmentsmeet environmental
infrastructure needs and regulatory compliance through state and local capacity building.
Capacity building includes enhancing technical, managerial, and financial capabilities to
achieve consistent and sustainable regulatory compliance and to develop sustainable
infrastructure.
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EFC at New Mexico Institute of Mining and Technology
The NM EFC assists in local capacity building by.
Examining alternative approaches to meeting regulatory compliance or environmental
intrastructure needs
• Empowering communities to act as the "drivers" for their own projects
• Assisting with procuring professional services
• Presenting funding alternatives
• Acting as a bridge between federal, state, local and tribal governments
• Presenting neutral analyses of issues or projects
• Gathering stakeholder input
To complete its projects, the UNM EFC relies on many tools and techniques, including:
stakeholder meeting facilitation; internal agency workgroup facilitation; advisory group
development; financing alternatives presentation and directories; technology transfer;
charrettes, conferences and workshops; research publications and reports; and one-on-one
assistance to state, local, and tribal governments and environmental service providers (e.g.,
water and wastewater systems.). The NM EFC attends many conferences, trainings and
workshops as a participant, exhibitor, and presenter to gather information to share with its
clients and to disseminate information regarding NM EFC projects that could be of interest
and benefit to other entities.
The NM EFC has been very active over the pastyearand has completed numerous projects,
including:
Capacity Development Activities for Region 6 states
Capacity Development for Tribal Water Systems
Assistance to New Mexico SRF Applicants
Resource-Based or Unified Source Water Protection Project
Tribal Operator Certification Institute
Independent Analysis of Hydroscope Technology for the City of Albuquerque, NM
Public Management Finance Program
Resource Geographic Information System Program
Purchase of the town of Playas, NM
Multiple Barrier Evaluation Training for U.S. Forest Service
Accomplishments
Capacity Development Activities for Region 6 States
One of the major thrusts in capacity development in 2003 was rate setting training. There is
still a tremendous need for water systems to set more equitable rates that My recover costs.
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EFC at New Mexico Institute of Mining and Technology
The NM EFC began using the Missouri ShowMe Ratemaker model last year and has
continued to use this product The NM EFC presented five (5) rate setting workshops that
covered all seven (7) Councils of Government in the State. Over 1 50 people attended these
trainings and each participant was given the opportunity to use the program during the
training. At three of the workshops, the participants were also given training on capital
budgeting. Rate setting workshops were also held at the New Mexico Rural Water
Conference in Las Graces, New Mexico, hi addition to the workshops in New Mexico, the
NM EFC also conducted a workshop in Dalla, Texas, at the EPA Region 6 offices so that the
other Region 6 states could see this product as well. Representatives from Texas, Arkansas,
Louisiana, and Oklahoma attended this training as well as EPARegion6staff. The NMEFC
also provided one-on-one assistance to several communities in New Mexico to help them
establish adequate rates.
The NM EFC offered to conduct stakeholder workshops on capacity development for each
Region 6 state. Texas and Arkansas wanted this type of meeting and workshops on this issue
were held during 2003 for these states, hi general, the meetings indicated that some progress
is being made in the area of capacity development, but there is a need to have better tools to
measure performance improvements.
The NM EFC has been working with the New Mexico Environment Department (NMED)
DiMdngWaterBureautoaddressmeneedforsourcewaterprotectionplanning. This effort
is amulti-organizational approach that includes all the main assistance providers and NMED.
The collaborative effort is termed "Partners in Protection" and is intended to encourage small
to medium sized water systems to undertake source water protection planning.
For several years, the NM EFC has been working with all of the funding agencies in New
Mexico to develop a unified application for funding. The application was finally completed
and signed by the Governor in 2003. The NMEFC is proudtohavebeenapartofthiseffort
to improve the funding process for communities throughout flie State,
Protecting Public Health Using the Multiple Barrier Approach for Tribal
Water Systems
The NMEFChas expanded its Tribal assistance effortsand framed them in thecontextofthe
multiple barrier approach to public healthprotection. The multiplebamerconceptis one that
focuses on the source, treatment, and distribution components of the water system and makes
clear the need to effectively use all of these barriers to prevent contamination. This focus is
used throughout the assistance efforts to increase overall compliance with drinking water
regulations and to improve public health protection. In 2003, there continued to be a drop in
the number of non-complying systems with very few consistent non-compliers. Also, the
number of monitoring violations was greatly reduced,
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EFC at New Mexico Institute of Mining and Technology
To accomplish the goals of this project - increased compliance; improved technical,
managerial, and financial capacity, and greaterpublichealthprotection, the tasks were divided
into three main categories.
Compliance Assistance-These activities include assistance with compliance sampling,
managing laboratory contracts for the analysis of compliance samples, maintaining a
compliance database, and following up with any water system thathas a "hit" or positive
bacteriological result.
Capacity Development - These activities include one-on-one assistance to the water
systems in increasing technical, managerial, or financial capabilities. Examples of
activities include: rate setting training and assistance, board development, ordinance
development, educational outreachmaterials, technical training, phone on-site assistance
with problems, and troubleshooting.
Beyond Compliance - The activities in this category are those activities that are not
required by any regulation but will push the water system in the direction of increased
public health protection. Specific examples include: Comprehensive Performance
Evaluations or CPEs, Performance Based Training (PBT), and Multiple Barrier
Evaluations and associated training. These activities will push the Tribal water systems
beyond just complying with the minimum regulatory requirements.
In addition, the NM EFC has begun working more closely with the Indian Health Service
(MS)tobetter coordinate activities and to ensure that personnel and money resources are used
wisely. Particular efforts to coordinate include public outreachmaterials, the coordination of
sanitary surveys with the NM EFC's multiple barrier evaluations, and arsenic testing.
)
In the nextyear, theNM EFC will continue to worktoward greater compliance and improved
performance beyond compliance.
Tribal Operator Certification Institute
TheNM EFC received EPA Region6 approval on its Tribal Operator Certification Institute
in 2002, allowing it to give the first Region 6 Tribal Water Operators certification test in
January 2003. Two of the four operators takingthistestpassed andreceivedacertificatefrom
EPA indicating that they were Level 1 Water Treatment Operators.
TheNM EFC offered tests two additional times in 2003. Each test is precededbyapractice
test and review session to give the operators an opportunity to experience a test setting prior
to the real event Tests will be offered once per quarter in 2004.
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EFC at New Mexico Institute of Mining and Technology
Activities related to the testing process include: verification of applications, working with
operators to complete required elements of the application process, coordination with ABC
testir^ ser/icesto receiveand gradeteste, and administrationofthe examination fee. (Asmall
fee is charged to offset some of the testing costs and to help ensure that operators who signup
for the test will take it).
To ensure that the program is meeting Hie needs of tribal operators, the NM EFC established
the Tribal Utility Advisory Committee (TUAC.) This group meets quarterly, is facilitated by
the EFC, and includes all tribes who wish to participate. The group discusses potential
changes to the guidelines, training that may be needed, approves the annual report, and
generally provides guidance and advice to the NM EFC.
An integral partofthe operator certificationprogramisor^ratortraining. Tlietrainingconsists
of two components: Pathway Training and Gap Training. The Pathway Training isyear-long,
intensive training for a small group of operators to prepare them for the test and to increase
their overall knowledge of water treatment issues. In 2003, this training was provided on site
to two groups of operators, one in thenorthern partofthe state and one in the central west part
of the state. The second type of training is Gap Training. These trainings are intended to fill
in the "gaps" of what other providers do not offer or that do not meet the needs of Tribal
operators. In 2003, specific gap trainings included Total Coliform Rule Training, Safe
Drinking Water Act Training, and Multiple Barrier Approach Training.
Assistance to New Mexico SRF Applicants
The NM EFC continued to work with the New Mexico Finance Authority (NMFA) on
Drinking Water Revolving Loan Fund (DWRLF) activities, but this effort was reduced in
2003 due to changes within the NMFA. Activities completed in 2003 included: completion
of a workbook for NMFA staff on the DWRLF process, completion of a workbook on the
state environmental review process, assistancetowater systems in completing the application
process, and training for DWRLF staff.
Intiiesiinmierof2003,theNMFAissuedanRFPforeng^eeringandenvircmmentalservic^^
for small water systems. The NM EFC lead a team of small, private engineering and
environmental firms and was selected for this work.
Resource-Based or Unified Source Water Protection Project
As the lead EFC for this project, the NM EFC is workingwiththe EFCs in Maryland, North
Carolina, Boise State and New York, to develop resource-based or unified source water
protection plans for clusters of communities in eight (8) different states. This project builds
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EFC at New Mexico Institute of Mining and Technology
upon the woikperformed under the Mora County Unified Source Water Protection Plan Pilot
Project and the skills of the other EFCs in the project
This project involves assistance in the development of a source water protection council, the
examination of potential sources of contamination, determining appropriate source water
protection measures that may minimize or eliminate contamination concerns, preparing a
unified source water protection plan, and implementing flie plan. The EFCs will facilitate
stakeholder and council meetings and provide technical information transfer.
The eight states that the EFCs are working in, include: New York, Maryland, West Virginia,
North Carolina, Texas, Colorado, Idaho, and Oregoa The NM EFC is conducting the
projects in Texas and Colorado. The Texas project includes water systems around Lake
Meredith. This lake is operated by the Canadian River Municipal Water Authority
(CRMWA) and supplies water to Amarillo and Lubbock and nine other communities. The
major concerns for source waterprotectiononthisproject include: oil drilling and exploration,
ranching, recreational uses of the lake, and septic systems around the lake.
The project in Colorado focuses on the systems that are pulling water out of the Boulder
Feeder Canal. This open canal supplies water to the City ofBoulder and a few smaller towns
nearby. The open canal is exposed to runoff from agricultural and residential areas as well as
recreational impacts. There is a proposal to increase the recreation in this area that in turn
would increase the potential for source water impacts. This issue will be addressed within the
context of the source water protection project
The work for this project in 2003 was a continuation of the work started in 2001 and 2002.
The project will be completed in June 2004.
Independent Analysis ofHydroscope Technology for City of Albuquerque
The City of Albuquerque was investigating a particular technology that could be used for
essentially non-destructive evaluations of pipe conditions. They wanted to have an
independent analysis of the cost-effectiveness of using this particularpipe analysis technique
inlhecontextoftheiroverallpipereplacementandrepairprogram. The technology can detect
certain types of problems in ductile iron, cast iron and steel pipe. A proprietary software is
used to make determinations as to which of the problems detected is likely to cause a future
leak.
The EFC completed this project in June of 2003 with two reports and a presentation of the
results to the City. The first report summarized Phase I of the project and included the
examination of 5 years of Cityrepairdatatakenfrom work logrecords. An extensive access
database was developed to aid in analyzing the data. The results showed a much higher break
rate in 4 and 6 inch steel pipe of the age range 40 to 60 years than for pipes in the rest of the
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EFC at New Mexico Institute of Mining and Technology
City's system. This rate was an order of magnitude higher for steel than for cast and ductile
iron pipe (0.9 breaks per mile vs. 0.05 breaks per mile). Very few breaks were occurring in
other pipe types within the City system. The report also included an analysis of the types of
breaks experienced withinthesystem.thetypical repair scenario and cost, andthecurrentpipe
replacement program.
The Phase n report investigated the evaluation technology1 s ability to cost-effectively meet the
needs of the City's water utility. Considerations included the technology's ability to
investigate the type of pipe that was breaking, the cost of using the technology, the life cycle
cost of using the technology to make spot repairs and replacements verses the life cycle cost
of complete replacement, the quantity of pipe within the system, and the ability of the
technology to accuratelypredict where a break was most likely to occur. The report concluded
that it was not cost-effective for the City to use this technology on a general condition
assessment basis. However, it was recommended that the City consider further investigation
of the pipe mat was analyzed to see over time where breaks were occurring in relation to
known points of weakness in the pipes. Also, the City could investigate the possibility of
using the technology to evaluate very specific pipe segments that carried high risk of failure
or high consequence of failure. Thereport also recommended that the City considerelectronic
data collection for work records and the development and implementation of an Asset
Management Program.
Although this report is now complete, the MM EFC will continue to advise the City on this
issue, if requested, and will share information on Asset Management approaches with City
Public Works And Water Utility Department staff.
Multiple Barrier Evaluation Training for U.S, Forest Service
The MM EFC developed a training program entitled Multiple Barrier Evaluation Training
that incorporates elements of sanitary survey training but from the perspective of operators
of systems rather than engineers who will evaluate systems. The training focuses on the need
to maximize the barriers of source, treatment, and distribution to protect public health. The
participants are given information to describe the problems that may occur if any of the
barriers is not operating sufficiently or if a barrier is not in place.
The training is two (2) or three (3) days and includes classroom and field exercises. Field
exercises allow participants to survey a water system to see if they can determine deficiencies
in the barriers and recognize the problems that may occur if the deficiencies are not corrected.
The hope is that if operators understand the reason a survey person notes a deficiency they
may be more likely to fix the problem or they can survey their own system and fix any
problems they find.
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EFC at New Mexico Institute of Mining and Technology •
The U.S. Forest Service contracted with the NM EFC to deliver this training to personnel
working for water systems in New Mexico and Arizona Forests. The training had a diverse
group of approximately 15 participants, including engineers, operators, managers, and
technicians.
Playas, NM
New Mexico Tech is woikingtowards the purchase of the Town of Playas in southern New
Mexico near the Mexico/New Mexico/Arizona This town is being purchased to establish a
Homeland Security training facility. This facility will allow trainees to participate in
simulations to learn how to handle emergencies. The NM EFC is involved in the
environmental issues surrounding the initial set up of the facility and worked in an advisory
capacity to NM Tech administrators as the town was being purchased. The NM EFC will be
conducting an environmental assessment, in accordance withNEPA requirements, prior to
the startup of activities on the site, but will not be involved in any of the facility's operations.
Public Management and Finance Program (PMFP)
The NM EFC has continued to work with the Syracuse EFC on the Public Management and
Finance Program. The NM EFC believes that this approach is one that could benefit NM
communities and strongly desires to bringthis program to the state and region. The NM EFC
participation in Syracuse EFC events is intended to provide several benefits: 1) demonstrate
the collaborative ability of me individual centers, 2) build the skills of the NM EFC to bring
this project to NM, and 3) share expertise gained in Region 6 with Region 2 and vice versa.
This past year, the NM EFC participated in the April PMFP event in Minnowbrook, New
York During the event, the NM EFC presented a session on rate setting and participated
in the community simulations.
The PMFP offers hands-on technical assistance to rural communities through the
development of teams of technical assistance providers. At the April 2003 PMFP event, the
teams were composed of representatives from accomplished nonprofit, academic,
government, and private organizations that have established histories in providing technical
assistance to rural communities. These organizations were brought together to provide
information, technical assistance and support to small communities in need of assistance,
particularly in the area of water and wastewater infrastructure.
New Mexico Resource Geographic Information System
The NM EFC has been a principal participant in the NM Resource Geographic Information
System (RGB) Programsince 1996. ThisprogramwasestablishedbytheNewMexicostate
legislature to assist state and local governments with developing and implementing O1S
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EFC at New Mexico Institute of Mining and Technology
programs. The MM EFC was one ofthree public service and research units of the University
ofNew Mexico that comprised the RGIS Team. TheotheruiutsaretheEarthDataAnalysis
Center and the Bureau ofBusiness and Economic Research. The RGIS program was able to
make significant contributions to the local governments inthe StateofNew Mexico and many
wereableto implement, improve, orgaindataforGIS systems. In June of2003,theNMEFC
ended its affiliation with this program. The EFC's move to MM Tech and the fact that needs
for the RGIS Program are more related to developing and serving spatial data as opposed to
local governmentassistance, made itnecessaryfortheNM EFC togiveupthisprogram. The
NM EFC will maintain a loose affiliation with the RGIS program and will continue to do
what it can to encourage local governments to move in the direction of developing GIS tools
to aid in decision making.
The new initiatives for the NM EFC are highlighted below. These initiatives build upon the
work efforts of the NM EFC for the past several years.
Advanced Asset Management
The EPA has included Advanced Asset Management as one of the key elements in its
approachto addressing the Infrastructure "Gap." The Gap is the amount of money needed to
address the Nation's infrastructure needs minus the current available funding. Advanced
Asset Management is an approachto optimize a water orwastewater system's infrastructure
management It includes strategies to determine the optimal point of irdrastructure replacement
andwhenasystemis financiallybetteroffwithrehabilitationorrepak. The development and
implementation of Advanced Asset Management strategies atwater systems willhelpreduce
overall life cycle costs and help decrease the Gap. However, it is important for water and
wastewater system owners, managers, boards, operators, financial staff, and elected officials
to receive information on the availability of the approach and the benefits it can provide. The
NMEFCwillbemaldngpresentations,workingwiuiwalCTsysterns,andgeneiallypromoting
this concept during 2004 as part of its capacity development activities.
Operator Certification Pathway Training
The NM EFC provided opportunities for Tribal water operatorstoreceivecertification during
2003. Clearly, thetestingresultsshowed aneed foradditional, intensive training for operators
in order to increase overall operator competency and knowledge and to help them gain
sufficientknowledge to be able to pass the test. An approach was tried in 2003, but it did not
achieve the desired results and there were many difficulties that occurred during the training.
In consultation with the Tribal Utility Advisory Committee, the NM EFC developed a new
training approach that will be conducted throughout 2004. This approach, titled Pathway
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RFC at New Mexico Institute of Mining and Technology
Training, will include day long classroom and field training components every 3 weeks. It
follows the Skeet Arasmith small water system training manual and covers all elements of
operatingasmallwatersystem. The training is geared for Level 1 operators and at the end of
the training operators will take the Level 1 certification test (test date in December).
Tribal Compliance with the Arsenic Standard
The EPA issued its final Arsenic standard which lowered the Maximum Contaminant Level
(MCL) from 50 micrograms per liter to lOmicrograms per liter. There are approximately 12
Tribal water systems in New Mexico that may have difficulty meeting this new standard.
Some of these systems are well above the standard of 10 and will have to seek alternatives
such as new source, blending of sources, orinstallingtreatment In approximately six cases,
the system's arsenic level is between 10 and 20 ppb, making it unclear whether the systems
will violate the standard or not The EFC's previously sponsored study on arsenic at three
Tribal systems indicated that the influent arsenic concentration can vary substantially.
Therefore, ifthe systems that are between 10 and 20 conduct quarterly arsenic monitoring, as
outlkedinthearsenicregulation, they mayhave levels low enough to meet the standard. The
actual compliance sampling for the new standard can not be completed until the next
compliance period (2005 -2007) but the EFC will be workingwrfti the Tribes in 2004 to do
special studies on arsenic to try to determine prior to 2005 which systems will most likely
violate the standard of 10 ppb. The EFC will also be working with UNM to provide some
arsenic training for Tribal operators.
Public Management Finance Program (PMFP)
The MM EFC has been working with the Syracuse EFC to try to bring die PMFP concept to
the StateofNew Mexico. The efFortsoverthepasttwoyearshavenot been successful, but
theNM EFC has been abletoconduct some small PMFP-like events. The NM EFC will be
working with the Syracuse EFC and the NM Rural Development office to try to bring this
very important program to the state and the region in 2004. The EFCs strong collaborative
efforts with other assistance providers in the state as well as the previous year's PMFP-like
events make 2004 an especially good year to begin this program.
Water System Security
The NM EFC wrote a proposal on behalf of the EFC Network to assist in the water system
securityefforts. ThisproposalwassubmittedinJanuary2003andwasnotfunded. However,
the EFCN, lead by the NM EFC, has continued to investigate opportunities to assist in the
water system security efforts and may work in this area in 2004.
10
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EFC at New Mexico Institute of Mining and Technology
Pacific Islands Financing
The NM EFC wrote a proposal on behalf of the EFC Network to assist EPA Region 9 with
financing issues related to the Pacific Island Nations. These Nations face tremendous
environmental problems, particularly related to water and wastewater infrastructure, and
require significantamounlsofmoney to overhaul them. Traditional finance approacheshave
not solved the problem and new innovative options are needed. One possibility to explore is
an environmental revolving fund that would allow the Pacific Island Nations to take loan
moneys for any environmental projects. The EFCNhopes to be working with EPA Region
9 on fliis critical project in 2004.
Water Conservation
The NM EFC began a project for the Office of toe State Engineer, the Local Government
Division, and the NM Environment Department to explore ways in which water systems
could work collaboratively to address water conservation and drought management The
initial project is piloting this approach for three areas in New Mexico. The project will be
completed in June 2004. The NM EFC will be exploring opportunities for additional work
in this area in 2004.
EFC NETWORK COLLABORATIONS
The NM EFC has collaborated with other EFCs this past year on a variety of projects and proposals. Those
collaborations are listed below.
Project
EFCs Included in Collaboration
Public Management Financing Program
Resource Based Source Water Protection
Rate Setting
Water System Security Proposal
Pacific Islands Financing Proposal
Syracuse EFC (lead), EFC9, EFC@UNC Maine
EFC.UNMEFC
UNM EFC (lead), Syracuse EFC, Maryland, Boise
State EFC, and EFC@UNC
Syracuse EFC, Maryland EFC
NM EFC (lead), Syracuse EFC, Boise State EFC,
EFCeiJNC. Louisville EFC, Maryland EFC, EFC9
NM EFC (lead), Cleveland EFC, Boise State EFC,
EPceuNC. Louisville EFC, EFC9
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EFC at New Mexico Institute of Mining and Technology
CONFERENCES
Name of Conference
Date and Location
EFC Involvement
AWWA Source Water
Source Water Briefing to EPA
Environmental Financial
Environmental Finance Center
American Planning Association
Public Management Finance
EFC Meeting with EPA
EPA Regions 4 and 6 Capacity
EPA Source Water Protection
MS Training on Sanitary
EPA Regions 7,8,9 and 10
Environmental Financial
New Mexico Rural Water
EFC Network Directors Meeting
Association of State Drinking
EPA Region 6 Tribal
New Mexico First Town Hall on
Council of Infrastructure
January 20 -21,2003
February 5,2003
March 4-5,2003
March 5-6,2003
April 1,2003
April 22-24,2003
May 8,2003
May 21-22,2003
June 2-4,2003
July 8-10,2003
July 29-30,2003
August4-5,2003
August 12-14,2003
October 1-3,2003
October 6 -8,2003
October 15-16,2003
October 2003
November 10 -11,2003
Presented poster session and
Presented briefing to staff of
Participated in Board Meeting
Participated in Meeting
Made presentation as part of the
Presented session at workshop
Participated in Meeting
Made Presentation
Presented a Training Workshop
Assisted in Sanitary Survey
EFC Made Presentation and
Participated in Board Meeting
Presented Workshop
EFC Participated in Meeting
Delivered presentation
Participated in Meeting
Invited Participant to Meeting
EFC Participated in Conference
12
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2003 Annual Report of the
Environmental Finance
Center Network
Region 9 - California State
University at Hayward
The EFC at California State University focuses on Small
Business and Green Products
Introduction
The Environmental Finance Center located in Region9 at California State University (EFC9)
is a university-based EFC working for greener communities through cleaner business, by
advancing the environmental industry and promoting pollution prevention and source
reduction.
Our mission is four-pronged:
1. To help entrepreneurs develop and finance new and innovative environmental
technologies,
2. To encourage small business to adopt source reduction and pollution prevention in the
manufacturing processes,
3. To educate and encourage consumers to choose green business and green business
products, and
4. Tohelpfederal,stateandlocalgovemmentsestablishthenecessarytoolstofostercleaner
business.
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EFC at California State University at Hayward
To that end, working with both the private and public sectors, EFC9 pursues its mission
through numerous tools including:
• Green business development
• Environmental business incubation
• Finance programs & directories
• Industry surveys & guides
• Technology transfer
• Charrettes, Conferences & Workshops
• Research publications and reports, and
• Hands-on assistance to small business.
Throughout the past year EFC9 has undertaken six new and one ongoing initiative working
with both the private and public sectors. As a result, much of the work in 2003 laid the
groundwork for project results and events in 2004. Those projects include:
• Brominated Flame Retardants and Foam Furniture and Mattresses
• Western States Green Business Program Coordination
• Business and Environment in Hawaii
• Environmentally Beneficial Behavior in Television
• Assistance to Environmental Business
• Phoenix Arizona Brickyard Charrette
• Western Regional Pollution Prevention Network Conference Workshop and Sessions
Brominated Flame Retardants Initiative - Overview
In 2001, EFC9 and U.S. EPA Region 9 Pollution Prevention (P2) Team and the Solid Waste
Section launched the Electronic Waste Initiative on Brominated Flame Retardants (BFRs).
Brominated flameretardants are aclass ofbrominated chemicals used in electronics to reduce
flammability. Someofthebrominatedflameretarclantshaveestab^
and there is increasing concern about the levek of BFRs found in human and animal blood
and tissue, hi response, EFC9 and EPA Region DC planned a two-day, multi-stakeholder
Roundtable focused on brominated flame retardants and their alternatives in electronic
products. The primary purpose of the meeting was to facilitate a wide and open exchange of
information on the uses and potential environmental and human health impacts of, and
alternatives to, brominated flame retardants in electronics.
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EFC at California State University at Hayward
As a follow-up to the conference and roundtable discussed above, EFC9 and U.S, EPA
Region 9 held a second two-day event in April 2003 to address the issue of BFRs in foam
furniture and bedding. The following is a summary of the results of that conference and
roundtable.
Brominated Flame Retardants (BFRs) in the Foam Furniture and Bedding
Industries Conference and Roundtable - Overview
In April 2003, a 2-day Conference and Roundtable was held in San Francisco to examine the
use of Brominated Flame Retardante (BFRs) in the foam furniture and bedding industries.
While the day one conference was designed to provide background information on the
potential health and environmental impacts of and alternatives to BFRs, day two was devoted
to exploring the following two topics:
1. Exploring BFR pathways and prevention, and
2. developing alternative approaches to reducing product flammability.
The following is a summary of the Roundtable sessions.
Session I - Alternatives
Session I commenced with a discussion of the barriers to the use of alternatives to BFRs in
foam furniture and bedding. In general, the following six key barriers were identified by the
group as applicable to all segments of the chain, from BFR producers to consumers:
Barriers
Lackof information on alternatives from toxicology and impact onhumanhealth and
environment, to effectiveness as flame retardants;
Fears of long-term liability because of the data gaps discussed above;
Potentially high production costs, which would be transferred to the consumer;
A reduction in the profitability of the product;
Lower product quality in terms of comfort and style; and
Consumer ignorance of polybrominated-diphenyl-ethers (PBDEs) provides little
market pressure to change.
Opportunities
Following the discussion ofbarriers, participants identified the following six potential Design
for Environment (DfE) projects that could promote the use of alternatives in foam furniture
and bedding.
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EFC at California State University at Hayvtard
• Create a flame retardant spectrum showing select EH&S and performance
characteristics of chemical flame retardants.
• Provide expanded MSDS (Material Safely Data Sheets) and DfE data sheets on
alternatives.
• Develop an alternatives assessment worksheet.
• Promote a Cradle-to- Grave or Cradle-to Cradle design project
• Fund academic/peer reviewed paper series on alternatives.
• Prepare consumer education materials on PBDEs.
Session n - Pathways and Prevention
The Pathways and Prevention Group was dedicated to determining data gaps and critical
needs in order to better understand PBDE pathways and the appropriate interventions.
t
Critical Needs
The critical needs that were identified included:
• Mass balance, life-cycle and sourcecharacterizations includingproduction, consumer
product use, disposal and recycling,
• Water, wastewater.stcamwatercharacterizationsincludinglevekininfluentjeffluent,
sludge, air and soil.
• Market basket assessment and/or producer-to consumer cycle analysis,
Household, office, occupational, and transport exposure studies including analyses
of dust, carpel, air filters and consumer products,
• Breakdown and absorption studies of various congeners in humans and the
environment,
• Fate and transport of PBDEs in humans and the environment, and
• Expanded bio-monitoring including communities in the US and UK.
Brominated Flame Retardants Initiative - Results
There have been numerous results from this three-year initiative. First and foremost, certain
types of brominated flame retardants will be banned as of 2006 in California, hi addition, a
CaliforniaMemberofCongress is working on anational baa Theban initiative was achieved
through a multi-stakeholder, public, private and nonprofit partnership that originated at the
EFC/EPAroundtable.
Further, US EPA has embarked on a three-year Design for Environment manufacturing
challenge with the furniture industry. Also, press coverage of BFRs and related issues has
increased dramatically, and numerous electronics and foam furniture companies are looking
for or have already implemented alternatives. Finally, EFC9 will be working wilh a major
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EFC at California State University at Hayward
furniture manufacturer in the Bay Area throughout 2004 to help them go beyond compliance
and phase out toxic products and practices in addition to BFRs.
Western States Green Business Program (GBP) Coordination
A Green Business Program (GBP) publicafly recognizes businesses and in some cases
government agencies and non-profit organizations that operate environmentallyiesponsibly.
Itis avoluntaryprogramin which the GBP certifies applicants who comply withfederal, state
and local environmental regulations as well as undertake additional multimedia measures
to conserve energy, water and other resources, and institutionalize the process of reducing
pollution and waste.
In 1996 the Bay Area Green Business Program was launched, and since that time six
participating counties have certified over 270 businesses. As the Bay Area GBP has grown,
other counties and states have taken note, and there is now broad interest in implementing
Green Business Programs throughout Region 9. hi 2002, both the states of Hawaii and
Arizona launched GBPs and in California, a number of counties are pursuing programs
including, San Francisco, San Mateo, Santa Cruz/Monterey, Sacramento, and San Diego.
While an increase in Green Business Programs is highly desirable, rapid implementation
without consistency across all jurisdictions is not Simply put, it is imperative now that the
concept is spreading, that "Green Business" carries the same standards and meaning
fhroughoutthe four-state region. Inresponse to this concern, EPARegion9requestedEFC9's
assistance in coordinating Green Business Program efforts throughout the Region to ensure
continuity within individual programs.
To achieve this goal, starting in 2003, EFC9 is the Western States Green Business Program
Coordinator. Our role is to promote, develop and institutionalize multimedia pollution
prevention and resource conservation in Region 9 businesses while ensuring consistent
growth and continuity for regional Green Business Programs. More specificalry, in 2003,
EFC9 has accomplished the following.
• ' Assisted the counties of Sacramento, San Diego and San Francisco with their Green
Business startup operations. All three counties will launch their programs in 2004.
Commenced work with the City of Los Angeles to help them launch a Green
Business Program.
Provided information, education and materials when requested and have helped
review new program checklists as they have been developed.
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EFC at California State University at Hayward
• Regularly attended Bay Area Green Business Meetings.
• • Worked with USEPA and the Bay Area program to help establish a measurement
system for all Region 9 programs. The measurement database will be launched in
2004.
Worked with the State of California to codify statewide Green Business Standards
so that they comply with the Bay Area model.
• Launched the Green Business Clearinghouse on the EFC website
(www.greenstart.org/efc9).
Business and Environment in Hawaii
EFC9hasbeenworkingwithtwoagencies in Hawaii to assistthem with theirGreen Business
efforts, the Hawaii Green Business Program and the Department of Business, Economic
. Development, & Tourism. Hawaii's primary focus has been on hotels with an emphasis on
waste reduction and water conservation. In early 2003, the Green Business Program and the
Department of Economic Development approached EFC9 about developing a workshop
that would focus on business and the environment. After several conference calls and
meetings in San Diego, Lake Tahoe and Hawaii a plan has been developed for a number of
workshops to be held on Oahu and Maui in late May 2004. The workshops will include:
• Green Janitorial For Hotels,
• Integrated Pest Management for Hotels,
• Green Office Practices for Hotels,
• Green Purchasing Hotels,
• Greening Commercial Buildings, and
• Workshop on E-Waste
Environmentally Beneficial Behavior in Television
For this project EFC9 is adopting the private sector concept of "product placement" to place
environmentallybeneficial behavior (EBB) in television shows. Possible examples include
having actors bring cloth bags to the grocery store, recycle soda cans, use worm bins and
consider how to properly dispose of a computer monitor and other electronic waste
accumulating in their closets. EFC9 has chosen to focus on TV shows, rather than movies,
since they have shorter turn around time (from conception to screening) and there is greater
likelihood of repeat showings.
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EFC at California State University at ftayward
Tasks for this project include:
• Conducting research through, surveys and focus groups to determine which EBB's will
be the project's focus;
• Identifying target markets, including specific groups within such markets, to determine
which groups will be most receptive to which messages and most likely to change their
behaviois; and
• Identifying target shows, television stations, and/or studios receptive to the EBB
placement concept and which would most effectively reach the target markets.
While the initial phases of this project will be completed in 2004, EFC9 completed the
following work hi 2003:
EFC9heldthreestakeholdermeetings with various groups to identuy potential EBBs. Focus
Groups were held both at USEPA Region 9 and at the California Integrated Waste
Management Offices and a separate meeting was held with business school facultymembers
from UCLA who are working on a related project seeking to "green" the motion picture
industry.
hi addition, through focus group discussions and consultation with US EPA, EFC9 has
determined the following types of and or locations within television shows to place EBBs.
hi addition, EFC9 will identify 8-10 Environmentally Beneficial Behaviors to place in the
following types of shows and and/or locations wifliin those shows. Each show/location will
have a "one-pager" which describes the overall project, and provides a list of EPA approved
EBBs. EBBs will be selected based ontheir relative importance and size of the problemsthey
address.
Dramatic Series including Soap Operas
Home
School
Office
Hospital
Restaurant/cafeVbar
Other workplace
Reality/Non-Scripted Shows
Home improvement/remodeling
Arts & Crafts
Travel
Cooking
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EFC at California State University at Hayward
Auto
Game Shows
Assistance to Environmental Business
Since its beginning, EFC9 has woiked to promote the US environmental industry at home
and abroad. In 2003, EFC9 partnered with the US Department of Commerce, California
Department of Commerce, California EPA, the Bay Area World Trade Center and
Advancing California's Emerging Technologies (ACET) to help California-based small and
medium sized environmental businesses gain access European markets.
For two years, ACET and the Department of Commerce have sponsored and supported
European trade missions for California environmental companies. Traditionally US
EnvironmentalTechnology companies haveshied away from foreign markets and, as aresult,
are missing opportunities to grow and develop. The primary focus of mis project was to bring
US and California companies into the European market through reverse trade missions that
would introduce US companies to their European counterparts at environmental trade shows
in the United States.
To that end, EFC9 attended and reviewed the viability of a number of conferences in
California and the US to identify possible venues for reverse trade missions from Europe.
These missions would bring companies from Europe mat would partner with and ease the
pathforUS companiesto enterthe European market. To assess theviabilityof areversetrade
• mission, EFC9 staff attended the following conferences and trade shows in 2003:
May 2003, San Diego - Air and Wastewater
June 2003, Ontario, CA - California Resource Recovery Association
Sept 2003, Chicago - National Safety Council Annual Congress & Expo
Sept 2003, Phoenix - Association of Water Technologies
Oct 2003, Los Angeles - Water Environment Federation
Oct2003, Portland - Brownfields 2003
Oct 2003, Tahoe - Western Regional Pollution Prevention Network
In short, no conference was identified as an appropriate venue. Unlike Europe, the US has no
major trade shows where companies, large and small, exhibit their environmental
technologies, by the thousands, to interested buyers (such as Pollutec in France or Aquatech
in the Netherlands). Such ashowwouldhave to attract20,000 to 30,000 participants in order
to make it a worthwhile investment for European high-tech environmental companies.
Especially if we are trying to attract European buyers to the West Coast.
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EFC at California State University at Hayward
As a result, EFC9 is looking at the feasibility of a trade mission to Aquatech 2004 to be held
in Amsterdam in October. At this time, due to the economy, and the general nature of the
industry, it is proving extremely difficult to generate interest in this venue.
Phoenix Brickyard Charrette
In 2003, EFC9 laid the groundwork for a charrette to be held in Phoenix, Arizona in April,
2004. EFC9 agreed to develop and facilitate the chairette,which aims to find ways to reduce
emissions from the Phoenix Brick Yard. We worked with Region 9 and Maricopa County
(Arizona) to help generate stakeholder buy-in for the charrette, which would explore
alternative financial mechanisms to reduce hydrogen fluoride (HF) and hydrogen chloride
(HC1) emissions from the Phoenix Brick Yard. :
In general, the community is industrial and low-income. Residents are gravely concerned
about the air quality in their community. They blame the Brick Yard for many of their
problems. However it appears that the Phoenix Brick Yard will not be subject to the Brick
Manufacturing MACT (Maximum Achievable Control Technology) standard which takes
effect in 2006. The Phoenix Brick Yard will most likely fall below the production threshold,
which triggers the MACT. As aresult, MaricopaCountyhasbeen in discussions with Phoenix
Brick Yard to encourage voluntary control measures to reduce its HF emissions.
To that end, EFC9 has been asked to assist their efforts. The concept of the charrette has
support ftom all sides (including the Brick Yard) and will include financial and technological
experts to explore alternatives to reduce emissions at the Brick Yard.
Western Regional Pollution Prevention Network Conference (WRPPN)
Workshop and Sessions
Asakey steering committee member forthe WRPPN, EFC9 is significantly involved in the
planning forthe WRPPN Conferenceheld annuallyin California. In 2003, EFC9planned and
facilitated the following workshop and sessions, which were among the highest attended
events at the conference.
Green Business Workshop
Because of overwhelming interest in Green Business Program meetings EFC9 hosted at the
WRPPN conference for the past three years, it was determined that a four hour workshop
would be appropriate to address the myriad questions about this growing program. At the
2003 WRPPN, EFC9 helped plan and facilitate a session that included the following topics:
\
• Budget/Financing a Green Business Program
How to Choose an Industry Sector
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EFC at California State University at Hayward
• Time and Steps to Starting a Program
• Choosing an Organizational Structure
• Partnering -Who and How?
Innovations
Precautionary Principle Session
There has been significant interest in Region 9 in the Precautionary Principle and San
Francisco's efforts to adopt the policy as a guiding force behind purchasing decisions. The
Precautionary Principlestatesthatwhen an activity orproduct raises ihreatsofhaim to human
health and/or the environment, precautionary measures should be taken if there is a
preponderance of evidence that supports the threat Simply put, the Principle advises that we
err onthe side of cautioa To that end, EFC9 proposed, planned and facilitated this 90-minute
session, which included proponents of the principle from the international to the city (San
Francisco) level.
Emerging Pollutants Session
This 90-minute session focused onadiscussionofthreeemergingpoHutants>D5/Green Earth
an alternative to perc for dry cleaners, Pharmaceuticals in Our Waterways and
PerfluoiDOCtanoic Acid (PFOA) which is used in film coating and circuit boards.
Working With Tribes
In partneiship with the Western Regional Pollution Prevention Network, EFC9 will begin
an effort to introduce pollution prevention and green business principles to tribes throughout
the region.
Evaluating Casinos
hiRegion9, there are two major industries that leave significant environmental footprints yet
are laigetyimtoxrched by envircmmental piessura
industry. Tothatend,EFC9wilibegbacasinoinitiativefliatwillexplorethepotentialforthe
gaming industry to conserve resources and prevent pollution.
Port of Los Angeles
EFC9 will assist with a two-day conference in Los Angeles to assess the local and regional
impacts of Port development in 2004. A possible outcome of this conference will be an
initiative to develop a tool to help communities address the environmental impacts of large
developments.
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EFC at California State University at Hay-ward
EFC Network CoUaboratiorjs . .
Public Management and Finance Program - EFC Region ff
June 2003, Minnowbrook, NY
Over the years, EFC9 has woiked with EFC2 to help develop and launch the Public
Management and Finance Program (PMFP). The PMFP is a rural communities that focuses
onavarietyofareas,includinglherangeofservicesaccesableto communities, the gaps in the
delivery of technical assistance, and the disconnect between public policies and the financial
and management capacity communities have.
EFC9 will continue to work with EFC2 in the coming year and we hope to establish our own
PMFP program in the future.
Committees , .'/•„',:''.•.'': -" * \"\
Bay Area Pollution Prevention Group (BAPPG)
EFC9 regularly attended meetings of the Bay Area Pollution Prevention Group (BAPPG).
BAPPG is a voluntary association of all Bay Area municipal wastewater treatment plants
that discharge into the San Francisco Bay.
Bay Area Hazardous Waste Reduction Committee
EFC9 is a member of the Bay Area Hazardous Waste Reduction Committee and is a
regular participant in committee meetings and events.
Western Regional Pollution Prevention Steering Committee
EFC9 is a member of the WRPPN steering committee, which helps determine the scope of
the annual conference, hi addition, WRPPN will use EFC9's Brominated Flame Retardant
Clearinghouse and Green Business Clearinghouse pages on our website as the national hubs
for those topics under the National Pollution Prevention Roundtable.
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2003 Annual Report of the
Environmental Finance
Center Network
Region 10 - Boise State University
A key focus of the EFC at Boise State University is utility
rate setting and capital improvement planning for
environmental facilities
Introduction , :/
The primary focus of the EFC at Boise State University (EFC10) is the development of
broadly applicable, practical tools that improve the efficiency and effectiveness of
environmental systems in meeting the challenges of protecting the environment and public
health. The EFC creates computer-based techniques thatprovide important information for
decision makers to use in financing environmental systems.
The Environmental Finance Center at Boise State University was created in 1995 and first
received funding in the fall of 1996. The EFC at BSU is contained within the Department of
Public Policy and Administration of the College of Social Science and Public Affaire. The
EFC serves the Region 10 communities of the PacificNorthwestand the Intermountainstates
of Alaska, Idaho, Oregonand Washingtoa The EFC has also provided it specialized services
and tools in other areas throughout the country. The mission of the EFC is to help
communities with the "how to pay" issues of environmental protection. This report outlines
the EFC's accomplishments in 2003, new initiatives for 2004, network collaborations,
presentations and results.
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EFC at Boise State University .
Accomplishments, - . : .
Focus on Watershed Financing Activities
The 2002 Annual ReportoftheBoise State University EFC (EFC 10) introduced the division
of activities between the focus areas of "macro-environmental" and "micro-environmental"
finance. This division is useful in separating our traditional utility-based financing work from
the emerging challenges of financing non-point pollution reduction at the watershed level.
The 2003 Annual report highlights our activities in the watershed financing or "macro-
environmental" arena.
Watershed Financing: the Macro-Environmental Finance Activities
Watershed restoration is important throughout the region. Watershed planning activities are
increasing each year in response to the need to protect these valuable resources. In order for
watershed planning and implementation to be effective, identification and acquisition of
resources is necessary. Previous workshops conducted by the Center have helped to promote
stewardship by improving stakeholders' capacity to develop long-term funding strategies for
protection and restoration activities. However, difTerentlevelsofsophisticationexistbetween
watershed groups. This difference in sophistication level creates challenges in the workshop
toinsure all participantsreceivevaluabletoolsforflieir funding challenges, hresponsetothis
need, the Center tailored their workshops to levels that best addressed these different needs.
The EFC presented 8 watershed funding workshops throughout Region 10 in 2003.
Watershed Funding Workshops - Oregon
EFClOpresented three workshops in Oregon during2003. The EFC worked closely with the
Oregon Watershed Enhancement Board and the EPA Region 10 to target attendees and
coordinate the timing and location of workshops to maximize participation. Workshop
locations included Eugene, Pendleton and the Klamath Basin. Each workshop was tailored
to the specific needs of the watershed.
At each workshop, attendees received CD's with the Directory of Watershed Resources
which included federal, private and state specific information on funding programs and
Plan2Fund, an access based planning program.
Following the workshops there were several requests for further information and additional
assistance. Participantshave expressed interest in information onwhat other communities are
doing to address the issues of funding watershed strategies. The Environmental Finance
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BFC at Boise State University
Center will continue to be a conduit for sharing funding information and examples of funding
strategies in Region 10.
Eugene : EFC 1 0 delivered a workshop at the Oregon Water and Electric Board (OWEB)
Office on May 22, 2003 . The EFC worked with OWEB to advertise the Eugene Workshop
through e-mail notices, web postings and newspaper and newsletter advertisements. Fifteen
CD-ROMs were delivered to workshop participants with an additional five requested from
those who could not attend.
Pendleton: The primary focus of the workshop was to promote financial planning on a
watershed scale and to improve awareness of alternative funding techniques for stakeholders
involved with watershed restoration activities for Total Maximum Daily Load (IMDL)
implementation. EFClOworkedwiththeEPAandstateofOregon on determiningflie timing
and selection of the workshop location based on TMDL schedules and watershed needs.
Twenty-five people attended the workshop and each received CD's with funding
information, plaimingtools andhandout materials. Additional CDswererequested fromboth
attendees and stakeholders who could not attend the workshop. A total of 35 CDs were
distributed.
Klamath Basin: EFC 10 presented an advanced workshop to address the unique and
complicated issues present in the Klamath Basin. The Klamath Basin has been the scene of
bitter battles over environmental and economic values, which were prominently expressed
in the national media during the summer of 2002. The EFC worked with the Oregon
Watershed Enhancement Board and the Klamath Watershed Council to identify key
stakeholders and target participants. The EFC facilitated a discussion on coordinating
watershed efforts of stakeholders in the basin and identify challenges and potential solutions.
Twenty-five people attended the workshop. The workshop resulted in a request from the
group for additional follow-up research from the EFC on cost effectiveness of agricultural
bestmanagement practices (BMPs). This request is expected to result in the development in
2004-5 of a new software tool to be cooperatively designed and tested by (he EFC and
professors in the Boise State University's College of Business and Economics -an excellent
example of the multidisciplinary skills that reside in the EFCN's member universities.
!» '
Following the workshop, EFC 10 conducted aresearchstudy to determine how a cost-benefit
model could meet the needs of the watershed group. This study revealed a number of
important points. First, there are many resources for information about economic incentives
for agricultural best management practices. In addition to finding resources for information
about Best Management Practices (BMPs) and cost-benefit analysis, we tried to determine
whetherthere are any existing models that could be used by the watershed group. While we
did find some useful examples, we did not find a model that would specifically address the
water quality issues in the KlamathBasin. Athird, related finding of ourresearch is that there
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EFC at Boise State University
To address this need, EFC 10 facilitated a Charrette to coordinate (he various program staff
and identify how different programs can better work together to leverage resources and
maximize benefits to watershed stakeholders. The EPA Region 10 Internal Coordination
Charrette broughttogether24keyEPAstaff and provided a forum for frank discussions about
funding processes and management challenges within Region 10 EPA. The Charrette
provided adirectmechanismfor ensuringmeaningful, constructive and well directed two-way
communication and allowed the group to identify solutions to funding integration dilemmas.
The outcome of the charrette was a clear vision on the interests of the Region 10 staff and a
commitment from program leads to utilize leveraging opportunities to protect and restore
watersheds.
The Charrette resulted inathree-stepplan for improving internal coordination at EPARegion
10. The plan included developing an integrated funding process, tracking funding data at a
watershed level, and directing applicants to additional funding sources. Three tasks were
identified during the Charrette to improve internal coordination.at EPA Region 10:
1. Identify initial programs under EPA control for potential consolidation
2. Improve data tracking system to gather data at the watershed level.
3. Direct applicants to other sources of funding.
A second charrette to coordinate federal agencies is planned for fiscal year 2004 - 2005.
o
Directory of Watershed Resources
Communities across the country face a range of complex funding challenges as they attempt
tomeetthedeinandsofenvironmentalprotectioaTheEnvironrnental Finance Center at Boise
State University (EFC 10) has provided watershed fundingworkshops throughout Region 10
to assists local communities in finding creative funding solutions to support their own plans
for environmental protection. As part of this effort, the EFC provides watershed stakeholders
with the funding information they need to make decisions and protect their resource.
There is a tremendous volume of information available for funding watershed restoration.
However, finding and sorting through this information can be a daunting task In addition,
demands for up to date information on financial resources and financing tools has increased.
This is especially true for workshop participants who are oriented to the financial tools and
sources and who need further information after the workshops are delivered.
In an effort to address this need, the EFC began creating an on-line, searchable database for
watershed restoration funding in the fall of 2002. This database was completed in 2003 and
has been a huge success, identifying nearly 730 programs within Region 10. The database
includes information on funding programs available for federal, state (Oregon, Washington,
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EFC at Boise State University
Idaho, and Alaska),.private, and other funding sources, Users can query the information in a
variety of ways including agency sponsor, keyword, or by a detailed search. At the end of a
query, a brief description of each matching program will be displayed. When a specific
program is selected, a detailed page of that program will be displayed and can be printed.
Forthis database to continuetobe aresourceforwatershed stakeholders, the informationmust
be kept accurate and up to date. The Center has continued to add and update programs in the
database, addingnearly 150 programs in 2003. In addition, an email function was added to
the directory, which will allow the EFC to send an annual email to each program contact with
a link to their specific programs for review. This will provide additional verification with
program contacts to ensure accuracy. Changes can be emailed or made on an online form on
the website. The first email is planned for 2004.
Due to the lack of affordable Internet in many areas, the EFC developed the ability to create
an up to date CD-ROM version of the Directory. These CD's are available free of charge
upon request In 2003 the EFC distributed approximately 1400 CDs at workshops,
conferences and through email and phone requests.
In addition the Directory is available online. There were over 1,000 visits to the Directory in
2003, with approximately one hundred visitors to the site per month with the numbers
growing as people become aware of the resource. In addition, several agencies have began
to link to the Directory website and are directing unfunded applicants to the EFC for
assistance.
Region 4 Directory Project
The response to the Directory of Watershed Resources has been extremely positive and has
generated a strong demand for this tool in other regions, to 2003 the EFC worked with the
EFC in Region 4 to extend the function of the database for use in Region 4. EFC 10
converted its on-line watershed financing database for the use of the Environmental Finance
Center at University of North Carolina at Chapel Hill (EFC@UNC). This provided a
framework for the database created for the EFC at University of North Carolina, reducing
duplication and allowing for costs savings. This project is an excellent example of how the
Environmental Finance CenterNetwork allows thepartneruniversitiestoefiiciently leverage
resources in serving the public in our separate EPA Regions.
Plan2Funcf™
The BoiseStateEFC's(EFC10)fieldwork proved that many watershed groups struggle with
the task of moving from the actual watershed plan to locating funding sources. Attendees at
our workshops often want to know what sources of funding are available; however, theyhave
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EFC at Boise State University
not identified watershed restorationpriorities or established time framesfor activities. Without
aclearfundingstrategy, theyareoverwhelmed with the implementation process. Participants
have expressed an interest in information on funding capacity and operating costs as well as
tools to assist them in the financial planning process. During 2003, the EFC responded to
these requests by developing new tools to meet their needs and help them move from the
planningprocess to developing a funding strategy for implementation. The result of this effort
was PlanSFwd, a watershed strategic planning and funding tool that helps organizations
determine their fundingneeds to meet the goals and objectives oftheirwatershed restoration
program plan,
Plan2FundrM was developed in Microsoft Access and is a database model that walks users
through the process of estimating the costs of their Watershed Program Plan's Goals and
Objectives, assessing any local matches, and determining funding needs to meet Goals and
Objectives. The results froraP/a^FMn^McanbeusedtosearchfOTrundingsowces utilizing
iheEnvnxmmentalFinanceCenter'sintemet-basedDirectoryofWaters^
hundred copies ofPlan2Fundbave been distributed free of charge to conference attendees and
workshop participants. In addition, over 140 people have downloaded Plcm2Fund from the
EFC's website at http://sspa.boisestate.edu/efc. EFC 10 will continue to identify ways to
enhance Plan2Fund in the future.
Source Water Protection
In 2001, the Boise State EFC began collaborating with the EFCs at the Universities ofNew
Mexico, North Carolina, Syracuse and Maryland on a project'related to source water
protection project funded by EPA. The EFC focused its efforts on two projects. The first
focuses on facilitating water source protection financial planning in Blaine County, Idaho
involving federal, state and private land ownership and shallow groundwater. During 2003
the group developed a draft drinking water protection plan for Blaine County. The EFC
drafted the education andoutreachportionoftheplanandhasdevelopedamatrixofpotential
funding sources for implementatioa To date, Blaine County has invested $32,000 for
drinking water protection activities including additional monitoring, nitrogen studies and
education activities. The group hopes to leverage the counties contributions in order to
increase protection activities in the future. The EFC will continue working with the
committee to finalize the drinking water protection plan and implementation strategy.
The second project is located in the cities of Sweet Home, Lebanon and Albany in Oregon.
This project involves federal, state and private land, TMDL and ESA compliance issues and
surface water use for drinking water source protection, hi 2003, the EFC assisted in drafting
aDrinking Water ProtectionPlan for the three communities. The EFC will continue to assist
in finalizing die plan and in developing an implementation strategy.
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EFC at Boise State University
The ultimate goal of the two projects is to use the results of the stakeholder processes to
inform policy makers about the challenges that small communities face in meeting source
water protection planning objectives, such as fostering stakeholder participation and
cooperation, gaining consensus on need for voluntary and programmatic efforts necessary to
protect water sources, and developing financial resources for plan implementation.
Idaho Source Water Protection Collaboration Group
Through the work of EFC 10 on the source water protection pilot demonstration project in
Idaho, the EFC has initiated a number of discussions between various federal, state and local
organizations. The result has been the creation of an informal group in Idaho that meets to
share information on source waterprotection issues and efforts. This Source Water Protection
Coordination Group consists ofldaho DEQ, EPA RegionX, Idaho Rural Water Association,
Idaho Association of Soil Conservation Districts, University ofldahoCooperative Extension,
Idaho DepartmentofWater Resources, Idaho Water Resource Researchlnstitute, Association
ofldaho Cities, and the Idaho Association of Counties among others. The group continues
to meet regularly to discuss protection efforts and potential collaborations wilhin Idaho.
As EFC 10 delivers watershed-funding workshops in the region, the demand for information
on funding resources and financing tools has increased. Participants often pass information
on the other stakeholders who contact the EFC for additional information and assistance. In
addition, EFC 10 is often contacted by agencies and organizations that would like us to
participate in conferences, meeting and various watershed events, hi order to continually
provide services to those needing assistance throughout Region 10, it is necessary to plan for
these unanticipated activities. The following are a few of the activities for which EFC10
provided assistance.
EPA Source Water Protection Annual Conference June 2-4,2003
TheEFCparticipated intheEPA's annual Source WaterProtection Conference in 2003. The
conference brought together various Federal, Tribal, State, and local officials; watershed
managers; conservation partners; citizens and others to learn about effective actions that
prevent contamination of drinking water sources. The Center, along with other EFC's
presented a technical assistance training short course on funding options for watershed
protection. The EFCN was also part of the plenary session "Financing the Journey to
Protection" and staffed a table at the Resource Fair portion of the conference. The Directory
ofWatershed Resources was available online for display and information on the EFC and the
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EF Cat Boise State University
services and tools 1he Center provides was available. In addition, the EFC Unified Source
Water ProtectionPilot Project inBlaineCountyldaho was also highlighted at the conference.
Vietnam PSUPresentation
At the invitation ofEFAB Member Langdon Marsh, EFC10 participated in apilotprojectto
assist the City of Ho Chi Minh in devising new strategies and methods for working
collaboratively with the community, citizens, environmental groups and business leaders to
leverage communitypressure and marketforcesto meet environmental challenges. Population
and urbanization have placed tremendous pressure on drainage and sewerage systems in Ho
Chi Minh City. The city'smany canals and waterways have become dumping sites for solid
waste, and domestic and household wastes, which pose significant health risks to the local
population.
The EFC was asked to speak to the Vietnam delegation on financing strategies for
environmental protection as part of a pilot project to provide technical support, information
and otherresources that wiUestablishaprocsssforvoluntarycommunityparticipationin canal
restoratioa Fifteen (15) people attended the presentatioa In addition to the Vietnam
delegation, the Portland Environmental Services, Johnson Creek Watershed Council and the
Oregon Economic and Community Development Department also attended. The message
of multiple funding sources to meet the demands of the city was wellreceived. The EFC also
provided the delegation with the tools and resources the EFC has developed for Region 10 to
assist with similar challenges.
Watershed Initiative Conference
The EFC participated in the Watershed Initiative Conference presented by Portland State
University and the EPA for recipients of the Watershed Initiative grant program. The purpose
of the conference was to transfer information about innovative technical tools available for
watershed restoration, protection and management, and where to getmore information at the
federal, state, tribal and local levels. The EFC presented a condensed workshop and provided
recipients with Plan2Fwd and Directory ofWatershed Resources CDs. The response to the
tools was very positive and the group expressed a need to expand the Directory to other
regions.
WSUSatellite Broadcast "Fundingfor Watershed Restoration"
EFC 10 participated in the' 'Funding for Watershed Restoration" satellite program presented
by Washington State University. The two-hour program was broadcast via satellite and
Internet on November 18th, 2003. The EFC presented information on financing watershed
restoration using a case study and walking viewers through the planning process using
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EFC at Boise State University
Plan2Fund and the Directory of Watershed Resources. The format of the broadcast allowed
for questions from the remote audiences through phone lines, fax, and e-mail, to addition, a
chat line was established where the EFC continues to answer questions posted to the website
concerning financing watershed restoration.
The satellite was broadcast to over 37 Counties in Idaho Washington and Oregoa Over
nearly 980 CD's were distributed to attendees containing the Directory and Plan2Fwd. to
addition, the broadcast continues to be available and viewed online.
Funders Fair
Congressman Michael Simpson (ID) requested the EFC's participation in two funding fairs
offered in Albion and Idaho Falls, Idaho. The fairs targeted rural stakeholders in Southeast
and South central Idaho facing financing challenges in infrastructure, agriculture and natural
resources, small business and art and historical fields of interest At the fair, EFC 1 0 was able
to present valuable information and resources to participants, to addition the EFC hosted a
display booth at each fair and provided CD's and information with other agencies and
participants. As a result of the ; fair, several participants requested additional assistance
including Representative Simpson's new grants assistance staff.
Coastal America Program
EFC 1 0 is working with the regional Coastal America coordinating team to develop greater
useof the Coastal Americaprograminthe northwest The EFC will continuetoassist Coastal
America in identifying opportunities for public private partnerships in Region 10.
Other Conferences
• The EFC participated in the Brownfields Conferenceheld in Portland, Oregonin October
2003. The EFC helped staff an EFC Network (EFCN) table and provided information
on the tools and resources available at EFC10. The EFC expanded their database to
contain Brownfield funding information and over 50 CD ROMs of the Guidebook of
Financial Tools, Plan2FwidwaA the Directory of Watershed Resources were distributed
atthe conference, toaddition, EFC 1 0 was ableto gather information on additional private
funding sources atthe conference to add to the database.
EFC10 was asked to make a presentation atthe Office of Water Regional EPA Office of
Water Regional Directors meeting with EPA Assistant Administrator Tracy Mehan in
Seattle during 2003. The EFCreceived very positive feedback on its tools and resources
and the presentation initiated discussions of potential opportunities to extend these
resources to other regions and expanded applications.
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EFC at Boise State University
• EFC 10 provided assistance, resources and CDs to additional conferences including the
EPA Tribal Conference in Coeur d'Alene Idaho, distributing 25 CDs and the TMDL
conference in Stevenson Washington in October 2003 where 100 CDs were distributed
to attendees. The EFC is committed to continue assisting and providingresources within
Region 10.
Watershed Funding Customer Service Assistance
In2002, theCenterestablishedatoll free telephonenumberfor watershed stakeholderstocaJl
ifthey needed one-on-one technical service assistance when searching forwatershedfimding
withinRegion 10. The service was continued in 2003 to provide assistance in searchingthe
Directory of Watershed Resources as well as provide additional information on financing
tools, resouices,ccntart information, and otherresources. Through phone and e-mailrequests,
ari additional 150 Directory of Watershed Resources and Plan2Fund CDs have been sent in
2003. The Center plans to continue this service for Region 10 in the future.
EFC Information Activities - Website
The activities of EFC10 are profiled at the Center's Intranet website
[http^/sspa,boisestate.edu/efc]. ThisallowsEFClOto provide information on our programs
and projects without incurring the expenses of publishing a newsletter or other periodical.
Information such as The Watershed News newsletter various PowerPoint presentations,
Plan2Fundprog[amdownload andnewpublications were added tothewebsiteduring2003.
The EFC remains committed to keeping their website current and up to date.
Newsletter Task 3: Watershed E-Newsletter
During 2003 the Center released the first issue of The WatershedNews, a quarterly newsletter
for watershed stakeholders within Region 10. The WatershedNews is designed to provide
watershed stakeholders with information and resources to assist in finding innovative ways
to pay for watershed protection. The newsletter focuses on funding issues within the region
and contains information on upcoming events, success stories, up-coming grant proposals,
specific resources and agency programs. The newsletterwas sent to over 400 recipients. The
group was devised of past workshop attendees, watershed groups, various EFC contacts, and
localgovernmenls. ThenewsletterisalsoavailableontheEFC'swebsite. Theresponsefrom
the first issue has been very positive. Several have commented that they have forwarded the
newsletterto other recipients. The EFC will continue to provide the newsletter on aquarterly
basis.
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EFC at Boise State University
New initiatives For 2004
EFC 10 will pursue several new initiatives in 2004 in the policy areas of safe drinking water,
watershed protection and air pollution.
Watershed Funding Workshops
The EFC has 10 workshops scheduled for 2004 in Idaho, Oregon, Washington and Alaska.
The workshops will be presented in basic, intermediate and advanced formats and tailored to
the specific needs of the watershed. The EFC will work with (he EPA Region 10 and the
States in planning these workshops. The EFC will provide ongoing support to watershed
groups in implementing long-term funding strategies.
Directory of Watershed Resources
The EFC will continue to update and expand the Directory of Watershed Resources. In
addition, the EFC is discussing potential collaborations with the EFC Network to extend the
database to other regions. See following section on Network Collaborations for details.
Washington State Resource Fair
The Center will participate in an open house of watershed resource providers, presented by
the WashingtonDepartmentofEcology. The event will be an informational session fhatgives
watershed groups, local governments, nonprofit agencies and other watershed stakeholders
a chance to meet and talk first hand with resource providers. The Center will staff an
information booth, provide handout materials and discuss funding tools and information with
attendees including Plan2Fund, the Directory of Watershed Resources, the Guidebook of
Financial tools and other information The open house will allow the Center to share our
resources and expertise with several watershed stakeholders in Washington
Utility Financing: the Micro-Environmental Finance Activities
Until 2000 (he activities of the EFC revolved around water and waste-water utility finance.
Our utility finance work forms Hie core of our "miao-environmental" finance activities, hi
2003 (he EFC unveiled its new water system rate setting model, RateCheckup. In addition,
our asset inventory and financial planning model - CAPFinance - gained broader national
acceptance by utility finance professional.' An additional tool development effort involving
handheldcomputertechnology-thepersonaldigital assistant(PDA)-hasshowntremendous
potential for improving information collection about (he nation's public drinking water
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EFC at Boise State University
systems. PDA-based information management systems are expected to improve the
productivity of environmental protection programs that rely upon the timely collection of
inspection data about regulated entities.
RateChecfap™
to 2002 the EFC saw aneed to replace RateMod Pro as its primary water rate settingtool due
to the inability of integrating it with modem computer operating system language and
technologies. The EFC conceptualized RateCheckup as areplacement to meetthe challenges
ofnewtechnologiesaridprovideauser-fiiendlytoolforratesetting. In2003 RateCheckup™
went from a conceptual idea to a Microsoft Excel based program for use by small and
medium water systems as a primer for setting rates. The new model will enable the EFC to
reachamaximumnumberofwater systems and provide bettertrainkgonratesettingto those
systems.
When software tools are developed atthe EFC we seek to buildupon our established products
to both leverage previous research and development as well as to maximize functional
integration between tools. The foundation of the RateCheckup software was a long-range
budget planning tool developed for the Washington Public Works Board to assess the
financial capacity ofDrinking Water State Revolving Fund applicants. In addition, the EFC's
water conservation cost-benefit model (a decision making tool developed by the Center and
co-funded by the Washington Department of Health's Drinking Water Program) was
incorporated into the new rate setting tool to meet the needs of water systems pricing water
during drought conditions - a chronic problem in some intermountain west communities. In
addition, theratemodel utilizes thecapital infrastructurerenewal andreplacement calculations
derived from CAPFinance™ in helping water utility systems determine its need for money
A primary goal for developing RateCheckup was to ensure that the EFC could build a tool
that incorporated all of the necessary components of full cost pricing of water service while
keeping in mind mat itneededtobe user-friendly and simple to use. Toensure acceptance and
familiarity Microsoft Excel was chosen as the softwareplatformfor RateCheckup because of
its broad availability and ease of use. RateCheckup utilizes wizards and command buttons
to create a user-friendly environment.
In Octoberof2003 RateCheckup wasreleasedforbetatestingtoapeerreview group selected
by the EFC. As we look ahead to finalizing the software the EFC will incorporate comments
or enhancements that surface based on the RateCheckup Beta to ensure that the software
meets the needs of communities. After completion of die software the EFC will begin using
the tool in a class setting to illustratehow RateCheckup can be used for utilityrate setting and
planning.
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£/• c <*f Boise Stats University
j4/r Pollution Issues
In 2004, EFC 10 will be working with the Community Planning Association of the Treasure
Valley in Idaho (COMPASS) on air pollution issues in the Boise area Specifically, EFC 1 0
will be working with COMPASS on the idea of implementing a voluntary cap on ozone and
PM2.5 emissions as away to meeting future air pollution limits. EFC10 will be addressing
the finance considerations of implementing incentives for businesses, development, and
individuals who are interested in taking voluntary actions to reduce air pollution levels in the
valley.
Personal Digital Assistant (PDA) Sanitary Survey
As part of an ongoing effort to deliver safe drinking water to communities the EFC has
continued its involvement in the use ofhand held technology for sanitary survey inspections.
The EFC worked with the Idaho Department of Environmental Quality to deliver the first
sardtarysurveythatcouldbeconductedutihzingPocketPCtechnology. Handheld computer
technology offers significantpotential for improving inspectorproductivity, acquiring accurate
and complete information about the nation'spublicwatersystems,improved management use
ofiiispecrionmfonnation,andeffectivemonitorin^
systems.
Although the first iteration needed farther enhancement to meet the growing needs of
inspectors and offer greaterflexibility, the software became the baseline for what has become
anational version. ThroughthecombinedworkoftheUSEnvironmentalProtectionAgency
Drinking Water Academy and the EFC, efforts have been made to expand upon the
Electronic Sanitary Survey created for Idaho.
fa February of 2003 the Drinking Water Academy put together a team of individuals with
experience in sanitary survey training, programming, laws and regulation, as well as drinking
waterprogram officials ofthe states inRegionl ofthe EPA. Through the effortsofthis group,
a review process of Idaho electronic sanitary survey was conducted to identify what
components could be used and to identify any additional components that would be needed
for a national model. Through additional collaboration between the Drinking Water
Academy, Northbridge Environmental Consultants in Boston, and the Environmental
Finance Center, work commenced on developing anational Electronic Sanitary Survey that
could be adopted by all states.
The software has been developed in Visual Basic.Net taking advantage ofthe Visual Studio
development environment created by Microsoft®. This technology had been married with
Microsoft Access® to control the flow, setup, and storage of data. Through the use of
15
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EFC at Boise State University
extensible Markup Language (XML) the new software greatly enhances the ability to tailor
the inspection to fit the system being inspected
During the development process Region I state officials woiked with developers to beta test
. andofferadditionalcommentsonneeded functionality. Oncethesoftwarenearedcompletion
anational roll out was undertaken andtrainingbegan in additional regions aroundthecountry.
By the end of 2003 a complete training series was develop and training began with Region 8
in Denver, Colorado.
CAPFinance Asset Inventory Financial Planning Tool
In 2003 two states adopted CAPFinance as an integral part of their capacity-building efforts
for small water and waste-water utilities. CAPFinance helps utilities identify the long-range
financing requirements associated with maintaining capital facilities necessary for the
provision of safe drinking water and reliable waste-water services. In Region 7, the Kansas
Department of Health and Environment's Drinking Water Program purchased a state-wide
license to distribute CAPFinance to public water systems as part of the state's drinking water
capacity development program. Alaska's Department of Community and Economic
Development purchased a similar distribution license to provide CAPFinance to small
communities through its Rural Utilities Business Assistance Program.
EFC's Financial Capacity Analysis Activities
Since 1997 the EFC has provided the function of financial capacity review to the State of
Idaho's Drinking Water State Revolving Fund Program (DWSRF). In 2001 the State of
Alaska's Revolving Fund Programs enlisted the EFC to provide similar financial capacity
reviews for loan applicants. While these activities have been reported in previous Annual
Reports, in 2003 the EFC unveiled its first report on the financial capacity characteristics of
appEcants to the Idaho Drinking Water State Revolving Fund.
This report, Financial Capacity Assessment Indicators: Idaho DWSRF, is posted on the
EFC's web site and provides groundbreaking information about the financial capacity
characteristics of applicants to the DWSRF. This reporthas led to the creation of the "Idaho
Index," asetof comparative indicatorsof managementand financial capacity. The EFC will
continue to compile this information as capacity reviews are performed. The first report on
Alaska's financial capacity indicators is expected in 2004.
It is expected that the EFC will provide similar third party financial capacity reviews for the
Washington Department of Ecology's Clean Water SRF program, and the State of Iowa's
Drinking Water Protection Program's SRF (for small private water systems) beginning in
2004.
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£•/* C- at BOIS&
Arsenic Exemption Financial Capacity Reviews
In 2003 the Region 1 0 EPA solicited the assistance of the EFC in implementing a financial
capacity review program in Idaho. This program was designed to provide qualifying water
systems an extended implementation schedule to meet the requirements of the arsenic
contamination rule as it applies to public drinkingwatersystems. EPA Region 10 undertook
this optional authority to provide exemptions at the request of the Idaho Drinking Water
Program. The State of Idaho is expected to assume responsibility for this program in 2005,
^conducting its reviews, the EFC appliedacapacityreviewmefliodologythatwaspioneered
in theprocessofreviewingDWSRF and Clean Water SRF loan applications We believe that
this is the first time that the option to apply a financial test in order to provide relief from
implementation deadlines has been used in relation to the Safe Drinking Water Act
Developing New Computer-Based Tools
EFC10 will be developing additional computer based tools this nextyear. Foremost among
these is "AGBMP$," a tool for calculatingthe cost-benefitof implementing agricultural best
managementpracticesto improve water qualityat the leastcost in impaired watersheds. This
tool was envisioned through a watershed financing charrette conducted by the EFC 10 for the
KJamath Basin Watershed Council in Oregon. This tool will help watershed groups
communicate effectively with agricultural land users on the financial benefits of instituting
runoff controls to benefit water quality.
Network Collaborations
Source Water Protectioa The EFC is collaborating with the EFCs at the universities
of New Mexico, North Carolina, Syracuse and Maryland on the source water
protection project with EPA.
Watershed Protectioa The EFC will continue to collaborate with the EFC at the
University of Maryland on watershed protection and watershed funding efforts.
DirectorvofWatershed Resources. In2004flieEFC10atBoiseStateUniversitywill
be working with EFC 1 at the University of Southern Maine to replicate and establish
the Database ofWatershed Resources in the New England States. This Database was
designed by the EFC 10 and has excellent potential to be used as a national model.
EPA's Sustainable Watersheds Financing Team will be funding the project In
addition, the EFC 10's watershed financial planning software model -Plan2Fund-
is being retooled for national distribution through the EFCN by participating EFCs.
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EFC at Boise State University
Plan2Fwd will be converted to a "nm-time" version ofMicrosoft Accessto be used
by watershed groups across the country.
Conferences and Meetings. The EFC will continue to collaborate with the Network
to provide information and presentations at conferences.
is
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Rciiion 1 Environmental Finance Center
JEF€-at lljiiyersity «f Settilierii Maine ' •'
S. Moski* $«ti
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Region 3 Environmental Finance Center
EFC DIRECTOR
- &FC at University of
Institute
4511
College Park, Maryland 20740
Dan Nees
dannees@earthlink.net
(301)403-4610
cell (301)466-3394
Fax (301)403-4222
ASSISTANT COORDINATOR
Michelle O'Herron
oherron@mdsg.umd.edu
(301)403-4220x26
Fax (301)403-4255
FIELD OPERATIONS
Jean Holloway
(410)632-1853
Jshl252@ezy.net
REGIONAL CONTACT Mindy Lemoine
lemoine.mindy@epa.gov
(215)814-2736
Fax (215) 814-2201
US EPA - Region 3
Mail Code 3CBOO
1650 Arch Street
Philadelphia, PA 19103-2029
EPA
HEADQ UARTERS LEAD Vera Hannigan
hannigan.vera@epa.gov
(202) 564-5001
Fax (202) 565-2587
Rcnion 4 Environmental Finance Center
at University of North Carolina
Institute of Government
CB# 3350 Knapp Building
ChapelJ#tt>KC 2?Sft
EFC DIRECTOR
Jeff Hughes
jhughes@unc.edu
Phone:(919)843-4956
Fax:(919)962-2765
EFC ADVISORS Prof. Richard Whisnant
Associate Prof. UNC School of Government
richard_whisnant@unc.edu
(919)962-9320
Fax (919) 843-2528
Leslie Stewart
Associate Dir. UNC Office of Econ. Dev.
leslie_stewart@unc.edu
Phone:(919)962-8871
Fax:(919)962-8202
REGIONAL CONTACT Maryjo Bragan
bragan.maryjo@epa.gov
(404) 562-8323
Fax (404) 562-8269
US EPA - Region 4
61 Forsythe Street, SW
Atlanta, GA 30303-8960
EPA
HEADQ UART ERS LEAD Timothy McProuty
mcprouty.timothy@epa.gov
(202) 564-4996
Fax (202) 565-2587
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Reuion 4 Environmental Finance Center
EFC at University of Louisville
426 W. Bloom Street
Louisville, Kentucky 40208 ^
EFC DIRECTOR
Peter Meyer, Ph.D
Pbmeyer@louisville.edu
Phone: (502) 852-8032
Fax: (502) 852-4558
PROJECT MANAGER Russell Barnett
r.barnett@louisville.edu
202 Patterson Hall
Phone:(502)852-1851
Fax: (502) 852-4677
REGIONAL CONTACT Maryjo Bragan
bragan.maryjo@epa.gov
(404) 562-8323
Fax (404) 562-8269
US EPA - Region 4
61 Forsythe Street, SW
Atlanta, GA 30303-8960
EPA
HEADQUARTERS LEAD VeraHannigan
hannigan.vera@epa,gov
(202) 564-5001
Fax (202) 565-2587
Rciiion 5 Great Lakes Environmental Finance Center
Eire at Cleveland State
€-&0iliii5tBL Levin
1717 la«lMSAveawf, Suite 128
Cleveland, OH 44 115
Affaire
EFC DIRECTOR
SECRETARY
Kevin O'Brien
kobrien6@adelphia.net
Phone:(216)687-2188
Fax:(216)687-9291
Vivian Tucker
vivian@urban.csuohio.edu
Phone:(216)687-4739
Fax:(216)687-9291
REGIONAL CONTACT Lyn Luttner
U.S. EPA - Region 5
Cleveland Office - Mail Code ME-W
25089 Center Ridge Road
Westlake, OH 44145
(440)250-1711
fax (440)250-1750
EPA
HEADQ uART ERS LEAD Timothy McProuty
mcprouty.timothy@epa.gov
(202) 564-4996
Fax (202) 565-2587
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Region 6 Environmental Finance Center
Tfee
EFC DIRECTOR
»t Nevf Slexko Institute Iieati«ii* (IERA)
Heather Himmelberger
heatherh@iera.nmt.edu
(505) 272-7357
Fax (505) 272-7203
j KM 821 £$-433$
REGIONAL CONTACT
PROGRAM MANAGER
Susan Butler
butler@iera.nrat.edu
(505) 272-7356
Fax (505) 272-7203
Program Coordinator Cynthia Hernandez
chernandez@iera.nmt. edu
(505) 272-7280
Fax (505) 272-7203
Freda Wash
wash.freda@epa.gov
(214) 665-8342
Fax (214) 665-6490
US EPA - Region 6
Mail Code - 6WQ-AT
1445 Ross Avenue
Dallas, TX 75202-2733
EPA
HEADQ u ART ERS LEAD Aiecia Crichlow
crichlow.alecia@epa.gov
(202)564-5188
Fax (202) 565-2587
Region 9 Environmental Finance Center
IFC at
EttVirottiafertta! Finance
: Building. 7, AJftttteda Point ; ..
West Midway
Alanweda/CA 94581
EFC DIRECTOR
ASSOCIATE DIRECTOR
Sarah Diefendorf
sdief@aol.com
(510)749-6867
Fax (510) 749-6862
Susan Blachman
(510)749-6867
Fax (510) 749-6862
REGIONAL CONTACT Anna Hackenbracht
hackenbracht.anna@epa.gov
(415)744-1634'
Fax (415) 744-1917
US EPA - Region 9
Mail Code SPE-1
75 Hawthorne Street
San Francisco, CA 94105
EPA
HEADQ DARTERS LEAD Vanessa Bowie
bowie.vanessa@epa.gov
(202) 564-5186
Fax (202) 565-2587
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Region 10 Environmental Finance Center
Y -IFC atBo&e State tfalverst'iy," "
EFC DIRECTOR
ASSOCIATE
Bill Jarocki
bjarock@boisestate.edu
(208) 426-4293
Fax (208) 426-3967
C.Gary Carroll, PE
gcarroll@boisestate.edu
(208) 426-2460
ADMINSTRATIVE ASSISTANT
Lynda Robinson
lroninso@boisestate.edu
(208) 426-1567
Fax (208) 426-3967
REGIONAL CONTACT William Chamberlain
chamberlain.william@epa.gov
(206)553-8515
US EPA-Region 10
1200 Sixth Avenue
Seattle, WA 98101
EPA
HEADQUARTERS LEAD Alecia Crichlow
crichlow.alecia@epa,gov
(202)564-5188
Fax (202) 565-2587
- EFC Network contact list of August 3,2004, vh
*.
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