Reference Guide for I,
Asset Management Tools

Asset Management Plan Components
and Implementation Tools for
Small and Medium Sized Drinking
Water and Waste wafer Systems


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                                    ACKNOWLEDGEMENTS
The United States Environmental Protection Agency (EPA) convened the EPA/State Asset Management Workgroup in
June 2012 and held 12 meetings via conference call from June 2012 - June 2013. The workgroup included staff from
various state drinking water programs, including the Capacity Development, Operator Certification and the Drinking
Water State Revolving Fund programs, and representatives from the Association of State Drinking Water Administrators
(ASDWA), EPA Regional Offices and EPA Headquarters. The efforts and discussions of the workgroup are reflected in this
Guide.

EPA would like to thank members of the workgroup for providing input for this document, including making state asset
management tools available to users of this Guide. EPA would like to thank the state of Washington and others for
providing photographs for use in this document.
                                           DISCLAIMER
This document is not intended to be a regulation; recommendations contained within this guide are not legally binding.
Any changes in implementation of state programs are purely voluntary and must comply with legally binding
requirements.
Office of Water (4606M)
EPA816-B-14-001
May 2014

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TABLE OF CONTENTS
Acknowledgements	i
Disclaimer	i
Table of Contents	ii
What is Asset Management?	1
  Asset Management Connection to Other Drinking Water Programs and Initiatives	1
  Document Purpose	2
  How To Use This Document	3
Section 1: Components of an Asset Management Plan	4
  Introduction	4
  Staff Information	6
  Level of Service	9
  Asset Inventory	12
  Operation and Maintenance	16
  Capital Improvements	19
  Financial Strategy	21
  Compliance	24
  Preparedness	26
Section 2: Additional Components of an Asset Management Plan	28
  Other Sustainable Practices: Energy Management	28
  Other Sustainable Practices: Water Efficiency	30
  Other Sustainable Practices: Climate Change	33
  Regional Planning	35
  Multi-Sector Asset Management	37
Asset Management Plan Updates	39
Appendix A: Summary of Asset Management Plan Tools	A-l

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WHAT  is ASSET MANAGEMENT?
Asset management is the practice of managing infrastructure capital assets to minimize the total cost of owning and
operating them, while delivering the service level customers desire. Asset management is a framework widely adopted
by the water sector as a means to pursue and achieve sustainable infrastructure. Asset management can open
communications between drinking water system staff and decision makers, help move systems from crisis management
to informed decision making, facilitate more efficient and focused system operations and improve financial
management to make the best use of systems' limited resources. An asset management plan serves as a tool to record
all of a system's asset management practices and strategies.

Systems implementing asset management develop detailed asset inventories, perform operation and maintenance
tasks, conduct long-range financial planning and undertake other activities to build system capacity, all of which help
move systems along the path to long-term sustainability. Asset management can have numerous benefits to a system,
including, but not limited to: prolonging asset life, meeting customer demands, identifying sustainable rates,
institutionalizing budget planning, meeting regulatory requirements and improving emergency response times and
methods.

Table 1 provides acronyms frequently used within this document to discuss drinking water systems and asset
management.

                               TABLE 1. ASSET MANAGEMENT ACRONYMS
                       CIP
                       CUPSS
                       DWSRF
                       ETT
                       EUM
                       LOS
                       O&M
                       SCADA
                       SDWA
                       IMF
                       WARN
Capital Improvement Plan
Check Up Program for Small Systems
Drinking Water State Revolving Fund
Enforcement Targeting Tool
Effective Utility Management
Level of Service
Operation and Maintenance
Supervisory Control and Data Acquisition
Safe Drinking Water Act
Technical, Managerial and Financial
Water and Wastewater Agency Response Network
ASSET MANAGEMENT CONNECTION TO OTHER DRINKING WATER PROGRAMS AND INITIATIVES
Pursuing and achieving sustainable water infrastructure through asset management practices aligns with many other
EPA drinking water programs and initiatives, including the following:

       •   Capacity Development Program. The asset management process can result in a long-term plan that
           supports the operation and management (O&M) of systems and the services they provide, thereby
           enhancing their overall technical, managerial and financial (TMF) capacity. Asset management is a scalable
           approach that can be implemented by, and build the capacity of, systems of any size, including small
           systems.
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           Operator Certification Program. In order for systems to properly implement an asset management program,
           it is first important for staff to be knowledgeable about the system and its operations. Systems may achieve
           this first step by ensuring their operators receive proper certification or re-certification through their state's
           operator certification program. Certified operators may be more likely to implement a robust asset
           management program focusing on proper operation, maintenance and repair of assets.
           Drinking Water State Revolving Fund (DWSRF). The DWSRF makes funds available to drinking water
           systems to finance infrastructure improvements. Systems performing asset management will be well-
           positioned to understand their short- and long-term capital needs, and the DWSRF is available to help fund
           these systems' efficient and cost-effective projects. As a result of the asset management process, systems
           will have strong IMF capacity and thereby will be better able to effectively manage DWSRF funds.
           EPA Clean Water and Drinking Water Infrastructure Sustainability Policy. This policy emphasizes the need
           to build on existing efforts to promote sustainable water infrastructure, including working with states and
           water systems to employ robust, comprehensive planning processes to deliver projects that are cost-
           effective over their lifecycles, resource efficient  and  consistent with community sustainability goals. The
           policy is consistent with the goals of asset management.
           Effective Utility Management (EUM). EUM is a self-
           evaluation process that uses a series of 10
           attributes to explain the focus and goals of
           effectively managed systems. EUM can help
           systems to enhance the stewardship of their
           infrastructure, improve performance in critical
           areas, and respond to current and future
           challenges. As part of the EUM process, systems
           have access to both a self-assessment tool and an
           associated resource toolbox that can assist the
           utilities with improving upon key areas identified
           through the self-assessment. The goals of the EUM
           assessment process can be achieved through
           completion of the asset management plan
           components presented in this guide. The
           corresponding EUM attributes for each plan
           component are described in Sections 1 and 2.
DOCUMENT PURPOSE
       What is Effective Utility Management?
In 2008, six national water and wastewater
associations collaborated with EPA to develop the EUM
concept. EUM identifies "ten attributes of effectively
managed water sector utilities."
 1.  Product Quality
 2.  Customer Satisfaction
 3.  Employee and Leadership Development
 4.  Operational Optimization
 5.  Financial  Viability
 6.  Infrastructure Stability
 7.  Operational Resiliency
 8.  Community Sustainability
 9.  Water Resource Adequacy
 10.Stakeholder Understanding and Support
The presence of these attributes indicates a well-run,
highly productive, sustainable utility. For more
information about EUM, visit:
http://www.waterEUM.org.
The Reference Guide for Asset Management Tools is designed for state staff and technical assistance providers who are
assisting small- and medium-sized drinking water or wastewater systems in identifying resources that can be used to
implement asset management practices. This guide also provides a framework to assist systems in all aspects of
developing and implementing an asset management plan. Users of the guide should take into consideration each
system's unique characteristics (e.g., size and technical capabilities) and  progress in implementing asset management
(e.g., new to the process or fine-tuning their strategy) when recommending tools or suggesting revisions to the plan, as
applicable. This guide can also be used by water systems interested in learning about the components of an asset
management plan and associated implementation tools that can be used in implementing specific asset management
practices.
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How To USE THIS DOCUMENT
This guide is organized according to the various asset management plan
components.

   •   Section 1: Components of an Asset Management Plan describes the nine
       components that should be included in every asset management plan to
       maximize the effectiveness of asset management implementation.
   •   Section 2: Additional Components of an Asset Management Plan
       describes five additional components that could be included to enhance
       and improve an asset management plan.
   •   Asset Management Plan Updates describes when systems should revisit
       and update the components of their asset management plan.

The discussion of each component includes: a brief description of the
component; a list of implementation tools that can be used to implement that
particular asset management component; and a description of corresponding
BUM attribute(s). In this document, the term "tool" refers to any resource that
may guide or aid systems while developing their asset management plan
including, but not limited to, software, guidance manuals, handbooks, websites, spreadsheets and more. Three general
types of tools are used in this document and are denoted using an icon each time the tool appears, as described in Table
2.

                                TABLE 2. TOOL ICONS USED IN THIS GUIDE
                            TOOL ICON      MEANING
                              Components:
                               1. Introduction
                               2. Staff Information
                               3. Level of Service
                               4. Asset Inventory
                               5. Operation and Maintenance
                               6. Capital Improvements
                               7. Financial Strategy
                               8. Compliance
                               9. Preparedness

                              Additional Components:
                               1. Other Sustainable Practices
                                 a. Energy Management
                                 b. Water Efficiency
                                 c. Climate Change
                               2. Regional Planning
                               3. Multi-Sector Asset Management
                                adi
                                            Microsoft Excel-based Tools
                                            Manual and Guidance Tools
Programmatic Tools (e.g., software,
websites, campaigns, templates)
Appendix A provides additional details about the tools that are included in the guide and indicates the asset
management plan component(s) for which the tool can be used. In addition, the appendix provides links to useful asset
management websites that may help states or systems in the development of the asset management plan.
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          SECTION 1: COMPONENTS OF AN ASSET MANAGEMENT  PLAN
Based on input from the EPA/State Asset Management Workgroup, EPA has identified the following components of an
asset management plan:
            Introduction
                                                                         Ln
              The Introduction component should provide the reader the necessary context for the asset management plan
              (e.g., system overview) and help explain the system's goals.

              This component of the asset management plan should:

                •S  Identify the purpose(s) of the plan.
                •S  Present the system's strategic plan and mission statement, which define the goals of the system and
                   frame the level of service discussion.
                •S  Provide a general overview of the system and its facilities, including general system design, water
                   usage, population served (current and projected), water sources, etc.
                S  Broadly explain how the system approaches asset management, such as a brief description of tools
                   used for implementation of specific practices.
   fl  —
EPA, Asset Management: A Best Practices Guide
 •   The Challenges Faced by Water Systems/Benefits of Asset Management Table explains how asset
     management can help systems overcome many challenges to operating a water system and can
     help systems to identify the purpose and goals of their plan.
 •   Visit: http://nepis.epa.gov/Exe/ZyPURLcgi?Dockev=P1000LPO.txt


EPA, Check Up Program for Small Systems (CUPSS)
 •   The My CUPSS Plan Wizard in the My CUPSS Plan Module includes template language that
     systems can include for this component, based on system-specific information inputted into CUPSS.
        Step 1: Introduction includes a plan purpose and mission statement, as well as information on
        the asset management team.
        Step 2: Utility Overview provides an overview of the system, including a table of information
        about the water supply, a graphical representation of the system's age profile and a simple
        schematic of the system.
 •   The My Inventory Module includes the My Project Schematic, a visual representation  of
     inventoried assets that can be useful in describing the facility overview discussion of this
     component.
 •   Visit:
        http://www.epa.gov/cupss
        http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/training.cfm
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             Introduction
                  EPA, Strategic Planning: A Handbook for Small Water Systems
                    •   Step 1: Developing a Strategic Roadmap includes a Defining Your Ideal, Goals, and Values
                       Worksheet that provides examples of ideals, goals and values for systems to use in developing a
                       strategic roadmap.
                    •   Step 2: Defining Your Area of Service guides systems to begin to define their area of service. The
                       Current and Future Areas of Service Workshop helps systems outline their service area(s) and
                       provides space for systems to define their current and future roles.
                    •   Visit: http://nepis.epa.gov/Exe/ZyPURLcgi?Dockev=2000JTPU.txt


                  West Virginia, Asset Management Guidance - Part 1
                    •   The Month 1-Assessment Worksheet uses a series of questions to help systems develop a mission
                       statement and conduct an asset management assessment, including an assessment of the system's
                       approach to asset management.
                    •   Visit: http://www.wvdhhr.org/oehs/eed/i&cd/Asset management.asp
                                                                     For a full description of tools, see Appendix A.
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             Staff Information
  U  Q
The Staff Information component describes the system's staffing structure and asset management team.
Developing this component can help the system evaluate whether staff roles and responsibilities are
appropriate and adequate. This component also addresses the system's approach to stakeholder education
and outreach.

Clearly defining staff responsibilities helps team members understand their individual roles in the proper
implementation of an asset management plan and helps outside stakeholders understand how the system is
managing its asset management program.

This component should:

  S   Identify the asset management team, including system staff and any non-system members such as
      technical assistance providers, state or EPA staff or outside consultants.
  S   Provide the names, titles and responsibilities of the:
         System's management.
         Owner(s).
         Decision-making body (such as board members).
         Operators (including level of certification).
         Other system staff (such as engineers or planners).
  •S   Provide an organizational chart that shows the system's chain of command or reference another
      document in which an organizational chart can be found.
  S   Reference any internal coordination efforts, such as standing committees comprising board members
      and system staff.
  •S   Describe knowledge management techniques employed at the system.
  S   Describe education and outreach efforts, such as methods for communicating with system stakeholders
      and decision makers.
  •S   Include a discussion of succession planning and any activities to ensure the retention of institutional
      knowledge at the system.
                   EPA, Asset Management for Local Officials
                    •   The Key Role for Local Officials: Building Community Support Section of this fact sheet describes
                        the unique position of local officials in helping PWSs overcome barriers in asset management plan
                        implementation.
                    •   Visit: http://nepis.epa.gov/Exe/ZyPURLcgi?Dockev=P1000LTX.txt
                   EPA, Building an Asset Management Team
                    •   The Components of a Successful Asset Management Team Section provides systems with a
                        description of the roles and necessary knowledge base of key asset management team members
                        and other stakeholders.
                    •   Visit: http://www.epa.gov/ogwdw/smallsystems/pdfs/guide  smallsystems
                        assetmanagement teammanagement.pdf
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             Staff Information
                   EPA, Check Up Program for Small Systems (CUPSS)
                     •   The My CUPSS Plan Wizard in the My CUPSS Plan Module includes template language that
                        systems  can include for this component, based on system-specific information inputted into CUPSS.
                            Step 1: Introduction includes a discussion of the Asset Management Team, which describes
                            the system's team and functions and includes a system organizational chart as well as a table
                            of specific asset management team roles and responsibilities.
                     •   Visit:
                            http://www.epa.gov/cupss
                            http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/training.cfm
                   EPA, Talking to Your Decision Makers: A Best Practices Guide
                     •   The General Responsibilities of Decision Makers Table describes financial, managerial and
                        communication roles.
                     •   The Communicating Effectively with Decision Makers Table provides information on how staff can
                        speak to decision makers.
                     •   Visit: http://nepis.epa.gov/Exe/ZyPURLcgi?Dockev=2000ZZB6.txt


                   EPA, Water System Operator Roles and Responsibilities: A Best Practices Guide
                     •   Roles and responsibilities of a water system operator are described for System Operations,
                        Regulatory Compliance, Communications and System Security.
                     •   Visit: http://www.epa.gov/safewater/smallsystems/pdfs/guide smallsystems operator 08-25-
                        06.pdf


                   EPA, Water System Owner Roles and Responsibilities: A Best Practices Guide
                     •   Roles and responsibilities of a water system owner are described for System Operations,
                        Regulatory Compliance, Communications and System Security.
                     •   Visit: http://www.epa.gov/ogwdw/smallsystems/pdfs/guide  smallsystems owner 08-25-06.pdf


                   Kansas, AM KAN Work! An Asset Management and Energy Efficiency Manual
                     •   Chapter9: The Human Aspect of Asset Management discusses communication-related topics,
                        such as training, leadership and community involvement.
                            Section 9.3: Knowledge Management explains the importance of knowledge management
                            and its role in asset management.
                     •   Cost: $65, which includes a hardcopy of the manual, two DVDs containing an  interactive version of
                        the manual and additional resource materials, as well as shipping costs.
                     •   Contact: Cathy Tucker-Vogel, Kansas Department of Health and Environment
                        (CTuckerv@kdheks.gov, 785-368-7130)


                   New England Water Works Association, The Drinking Water Workforce Crisis on the Horizon: What Can
                   Be Done to Recruit and Develop Future Operators and Who Can Do It?
                     -   The What Can Utilities Do as Stakeholders and What Can Public Officials and Community Water
                        System Owners Do as Stakeholders sections describe the role of systems in recruiting and
                        identifying future operators to facilitate the system's succession planning and ensure retention of
                        institutional knowledge at the system.
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             Staff Information
             •5>."fli;
 •  Visit: http://www.newwa.org/Portals/0/Utility%20Resources/DW%20Workforce%20Brochure-
    Revised0/o2012-9-20110/o20Low%20Res.pdf


New York and New York Rural Water, Small System Template for Standard Operating Procedures
 •  The Standard Operating Procedure forms include template lists for personnel Contact Information
    including: name, primary phone number, emergency phone number and e-mail.
 •  Visit: http://www.nvruralwater.org/downloads/files/SOPFormsforSmallSystemsvJulv2009.pdf
                  Washington, Small Water System Management Program Guide
                   •   Chapter 1.1, Management Structure and the Governing Board, helps systems document their
                       management and ownership structure.
                   •   Visit: http://www.doh.wa.gov/CommunityandEnvironment/DrinkingWater/
                       WaterSvstemDesignandPlanning/SmallWaterSystemMgmt.aspx


                  West Virginia, Asset Management Guidance - Part 1
                   •   The Month 1-Assesment Worksheet is used to describe the asset management team, including
                       roles, meeting schedules, mission statement and the process for developing an asset management
                       plan. The worksheet provides example titles, roles and schedule.
                   •   Visit: http://www.wvdhhr.org/oehs/eed/i&cd/Asset management.asp
                                                                    For a full description of tools, see Appendix A.
                      Corresponding Effective Utility Management Attributes

           Employee and Leadership Development Attribute:
               •  Toolbox resources include: team building training, workforce checklist and succession management
                  handbook.
           Stakeholder Understanding and Support Attribute:
               •  Toolbox resources include: management manuals, a media guide and  a public outreach toolkit.
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             Level  of Service
               How a system operates and manages its assets to meet customer expectations is called its Level of Service
               (LOS).  LOS determines the amount of funding and time required to maintain, renew and upgrade water system
               infrastructure. Changes to the LOS will have an impact on funding requirements and staffing.

               This component should describe:

                 S  Measurable internal goals, which define system operations and performance.
                 ^  Measurable external goals, which directly impact customers.
                 •S  How the system's performance toward its LOS goals is communicated to the customers, including the
                     methods and frequency of communication.
                 S  How the system receives information from customers regarding the satisfaction with the LOS and the
                     LOS goals.

               This information may be taken directly from the system's existing LOS Agreement (i.e., a document outlining
               the system's LOS goals), or may be developed specifically for the asset management plan.

               The LOS component can discuss any goals the system and customers decide are relevant and important, as
               long as all regulatory requirements are met. The system should communicate progress made towards meeting
               the external LOS goals to the public on at least an annual basis. This information can be conveyed to
               customers through the annual Consumer Confidence Report (CCR) or through public webpages.
                    EPA, Check Up Program for Small Systems (CUPSS)
                     •   The My CUPSS Plan Wizard in the My CUPSS Plan Module includes template language that
                        systems can include for this component, based on system-specific information inputted into CUPSS.
                            Step 3: Level of Service Agreement explains the system's LOS goals, including the goal, the
                            service area it addresses, the performance target (e.g., timeframe for completion) and
                            whether the goal has been achieved.
                     •   Visit:
                            http://www.epa.gov/cupss
                            http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/training.cfm


                   EPA, Lean and Water Toolkit: Achieving Process Excellence Through Water Efficiency
                     •   Chapter 5: Lean and Water Beyond the Factory Floor includes a discussion on Engaging with the
                        Community, which explains that engaging proactively with the community on water conservation
                        can be an effective way to mitigate water-related business risks.
                     •   Visit: http://www.epa.gov/lean/environment/toolkits/water/resources/lean-water-toolkit.pdf


                   Kansas, AM KAN Work! An Asset Management and Energy Efficiency Manual
                     •   Chapter 4: Level of Service discusses developing a LOS Agreement, balancing LOS and cost,
                        measuring and adjusting the LOS Agreement, energy efficiency and LOS and communicating the
                        LOS Agreement.
                     •   Cost: $65, which includes a hardcopy of the manual, two DVDs containing an interactive version of
                        the manual and additional resource materials, as well as shipping costs.
                     •   Contact: Cathy Tucker-Vogel, Kansas Department of Health and Environment
                        (CTuckerv@kdheks.gov, 785-368-7130)
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             Level  of Service
                   San Diego Public Utilities Department, Customer Satisfaction Survey
                     •   After reviewing the questions, format and information collected via San Diego's online survey,
                        systems can design their own customer satisfaction survey. Questions and formats can be adapted
                        from the example, with modifications or additional questions to make the survey most useful for
                        the system and its LOS goals.
                     •   Visit: http://www.sandiego.gov/water/gen-info/outreach/opssurvey.shtml
                   Syracuse University Environmental Finance Center, The Value of Water: What's it Worth to You and Your
                   Community?
                     •   Systems may distribute this brochure to their customers to communicate important facts about
                        the value of water in their community.
                            Systems may mail a hardcopy of the brochure to customers or make an electronic version
                            available that allows customers to click on brochure text they would like more information
                            about and be redirected to a Web page with more information.
                     •   Visit: http://efc.syracusecoe.org/efc/sub.html?skuvar=251


                   Washington, Small Water System Management Program Guide
                     •   Chapter 1.3, Service Policies, helps systems document their policies on water rate structure and
                        fees, system improvement funding and existing/new customer responsibilities.
                     •   Visit: http://www.doh.wa.gov/CommunitvandEnvironment/DrinkingWater/WaterSystemDesign
                        andPlanning/SmallWaterSystemMgmt.aspx
                   Water Environment Federation, Survival Guide: Public Communications for Water Professionals
                     •   Chapter 3: Create Your Communication Tools identifies and describes various internal and public
                        communication tools to help systems communicate to their customers.
                     •   Visit: www.wef.org/WorkArea/DownloadAsset.aspx?id=7120


                   West Virginia, Asset Management Guidance - Part 1
                     •   The Month 2-LOS Assessment Worksheet can help water systems develop a LOS Statement, better
                        understand how the asset management plan can help the system to meet its goals, be most cost-
                        effective while meeting customer LOS expectations and complying with state and federal
                        regulations.
                     •   The Month 3-LOS Goals Worksheet is used to identify at least two LOS goals from each service
                        area. Systems are encouraged to develop goals that are Specific, Measurable, Attainable, Realistic
                        and Time Based (SMART).
                     •   Visit: http://www.wvdhhr.org/oehs/eed/i&cd/Asset management.asp
                                                                        For a full description of tools, see Appendix A.
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10

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            Level of Service
                    Corresponding Effective Utility Management Attributes

           Product Quality Attribute:
                 Toolbox resources include: guidance on water quality and service assessments and a water treatment
                 handbook.

           Customer Satisfaction Attribute:
                 Toolbox resources include: a study on communicating water rates, a customer relations best practices
                 guide and a publication for water system customer service representatives.

           Stakeholder Understanding and Support Attribute:
                 Toolbox resources include: management manuals, a media guide and a public outreach toolkit.
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             Asset Inventory
   u   Q
               An asset inventory is a critical underlying component of all the other aspects of a system's asset management
               plan. As such, it is crucial for systems to have an inventoried list or survey of all system assets (e.g., source,
               treatment, transmission and distribution infrastructure). Along with the asset inventory, the system should
               provide service area and facility maps.
               This component should include each asset's:
  •/  Age.
  •S  Location.
  S  Condition.
  •/  Criticality.
  •S  Probability of failure.
  S  Consequence of failure.
  S  Remaining useful life.

The inventory should recognize natural asset groupings. For example, assets related to source, treatment or
distribution should be grouped together.

To develop this component, systems should:

  S  Review service area and facility maps, Geographic Information System (GIS) databases and other
      databases (if available), sanitary surveys and facility plans and manuals.
  S  Perform  visual inspections of the system facilities and service area.
  S  Conduct discussions with system management and staff with current or historical knowledge of system
      assets.
  •S  Determine the criticality of each asset. The system may want to use a risk matrix to plot the probability
      of failure versus the consequence of failure.

Systems may also find it useful to include photographs of their assets to further document location and
condition data.  In addition, documenting latitude and longitude data of each asset will aid in creating GIS
maps; GIS maps can serve as a useful tool to inventory system assets.
                    EPA, Check Up Program for Small Systems (CUPSS)
                     •   The My Inventory Module helps systems to manage their assets by building an asset inventory,
                         and generating an asset risk matrix and capital improvement plan to include in a system's asset
                         management plan.
                             The Inventoried Asset List shows all assets entered by asset category (i.e., source, pumping
                             facility, treatment, storage and distribution). The Inventory Asset Form tracks basic
                             information, status and condition, cost and maintenance and manufacturer and supplier
                             information for each asset. The list helps systems to identify and prioritize critical assets.
                             The Asset Risk Matrix graphs the risk category for each inventoried asset to provide a visual
                             representation of high risk assets for inclusion in an asset management plan.
                     •   The My CUPSS Plan Wizard in the My CUPSS Plan Module includes an asset table that systems can
                         include for this component, based on system-specific information inputted  into CUPSS.
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              Asset  Inventory
                             Step 4: Critical Assets prioritizes distinctive assets within the system. This concise overview of
                             the state of each of the system's critical assets includes condition of the asset, the asset's
                             consequence of failure, the risk associated with the asset and the asset's targeted replacement
                             date. The Critical Asset Inventory Table lists assets critical to the sustained performance of the
                             system, based on the information entered in the My Inventory Module. These assets are
                             ranked using the probability and consequence of failure.
                     •   Visit:
                             http://www.epa.gov/cupss
                             http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/training.cfm


                    EPA Region 1, Asset Management and Debt Capacity Tool
                     •   The Asset Management Worksheet can help systems to develop an asset inventory including
                         determining asset age, condition and importance. This information can help a system to prioritize
                         asset repair and maintenance.
                     •   The Debt Capacity Worksheet is used to track general financial data for assets.
                     •   Contact: Carolyn Hayek, EPA Region 1 (Hayek.Carolyn@epamail.epa.gov, 617-918-1596)
                    EPA, Taking Stock of Your Water System: A Simple Asset Inventory for Very Small Drinking Water
                    Systems
                     •   The How Long Will It Last? Using the Typical Life Expectancies Table Section provides systems
                         with typical life expectancy of various assets. Associated worksheets help systems to calculate the
                         remaining useful life of each asset based on its adjusted useful life and estimated age. Both
                         completed examples and template worksheets are available for drinking water sources, intake
                         structures, treatment systems, tanks, distribution  systems, valves, electrical systems, buildings,
                         service lines and hydrants.
                     •   The Prioritization Table helps systems to use the information on the asset worksheets to
                         determine the criticality of their assets. The Prioritizing Your Assets Worksheet can be used to
                         prioritize assets. A completed example is provided.
                     •   Visit: http://nepis.epa.gov/Exe/ZvPURLcgi?Dockev=30006MBT.txt


                    Kansas, AM KAN Work! An Asset Management and Energy Efficiency Manual
                     •   Chapters: Current State of the Assets discusses how to develop an asset inventory by determining
                         asset location, conducting condition assessments, calculating asset value and remaining life and
                         evaluating asset energy use. This chapter also includes information on the importance of updating
                         and maintaining the asset inventory and the use of work order systems.
                     •   Chapter 5: Critical Assets explains how to determine asset criticality using a risk-based process
                         (i.e., consequence of failure versus the probability of failure) and discusses criticality related to
                         energy use (i.e., feasibility of addressing energy usage versus energy usage ranking). This chapter
                         also discusses performing criticality analyses over  time.
                     •   Cost: $65, which includes a hardcopy of the manual, two DVDs containing an interactive version of
                         the manual and additional resource materials, as well as shipping costs.
                     •   Contact: Cathy Tucker-Vogel, Kansas Department  of Health and Environment
                         (CTuckerv@kdheks.gov, 785-368-7130)
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             Asset Inventory
                    Michigan, Asset Management Workbook
                     •   The Asset Inventory Worksheet is used to record asset information and organize assets by asset
                        groupings (e.g., source, treatment and storage/distribution).
                     •   Contact: Bob Schneider,  Michigan Department of Environment Quality
                        (SCHNEIDERR@michigan.gov, 517-388-6466)


                    Pennsylvania, Asset Management Tool
                     •   The Asset Entry Worksheet is used to record system assets, year the assets were installed,
                        estimated rehabilitation  or replacement year and estimated future rehabilitation or renewal costs.
                        The asset cost information from the inventory sheet automatically generates a financial forecast.
                     •   Visit: http://www.portal.state.pa.us/portal/server.pt/communitv/
                        capability enhancement program/21171/asset  management/1518093


                   Washington, Small Water System Management Program Guide
                     •   Chapter 2.4, Component Inventory and Assessment, helps systems create an inventory of system
                        components, separate them into short-lived and long-lived assets and determine each
                        component's remaining useful life.
                     •   Visit: http://www.doh.wa.gov/CommunitvandEnvironment/DrinkingWater/WaterSystemDesign
                        andPlanning/SmallWaterSvstemMgmt.aspx


                    Water Research Foundation, Pipe Risk Screening Tool
                     •   Pipe inventory information entered on the DataBase and DataEntry Worksheets can  be used to
                        calculate a likelihood of pipe failure and the consequences of those failures.
                     •   The Results Worksheet can be used to create a table of selected pipes, which can be saved for
                        future reference, such as during capital improvement planning.
                     •   Visit: http://www.waterrf.org/resources/pages/PublicWebTools-detail.aspx?ltemlD=23


                    Water Environment Research Foundation and Water Research Foundation, Sustainable Infrastructure
                    Management Program Learning Environment (SIMPLE)
                     •   The Asset Management for Small Utilities Section  of this website walks through five key asset
                        management steps, including: developing an asset  inventory, prioritizing assets, planning for the
                        future, carrying out the plan and next steps.
                     •   Visit: http://simple.werf.org/Books/Contents/What-is-SIMPLE-/Overview


                    West Virginia, Asset Management Guidance - Part 2
                     •   The Month 4-Asset Registry Assessment Worksheet is used to develop a protocol for gathering
                        and compiling an asset inventory. The worksheet includes a detailed list of needed information and
                        recommendations on organization. The guidance also includes an Inventory Worksheet.
                     •   The Month 5-Condition Assessment Protocol (CAP) Assessment Worksheet is used to develop a
                        condition assessment protocol, including how to determine the remaining  useful life,  lifecycle
                        replacement costs and business risk criticality of the assets. There is a Useful Life Chart (that can be
                        used with the Condition  Ranking Chart described below), that provides examples and national
                        averages to help with the condition and useful life assessments.
                     •   The Month 6-Condition Ranking Chart Worksheet  provides guidance and space to develop a
                        condition ranking.
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            Asset  Inventory
                      The Month 8-Critical Asset Worksheet is a template for listing all high risk assets that are in need
                      of repair or replacement.
                      The Month 9-Finalize CAP Worksheet provides guidance to finalize the Conditions Assessment
                      Protocol (CAP). The CAP should describe how the system staff will gather condition information on
                      an ongoing basis.
                      Visit: http://www.wvdhhr.org/oehs/eed/i&cd/Asset management.asp

                                                                   Fora full description of tools, see Appendix A.
                      Corresponding Effective Utility Management Attributes

           Infrastructure Stability Attribute:
               •   Toolbox resources include: a report on the costs of infrastructure failure, guidance on asset maintenance
                  and information on asset inventories for small systems.
           Product Quality Attribute:
               •   Toolbox resources include a public works management practices manual and a publication on
                  infrastructure management.

           For more information, visit: http://www.watereum.org/resources/resource toolbox/
Reference Guide for Asset Management Tools
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             Operation  and
             Maintenance
  U  Q
The proper operation and maintenance (O&M) of a system's assets are necessary elements of an effective
asset management program. Proper use and service of assets are important to the long-term viability of a
water system. The strategy for O&M varies based on each asset's criticality, condition and operating history. A
system should maintain a record of each asset's maintenance history, needs and costs.

This component should discuss the system's operational activities (i.e., the basic activities necessary to keep a
water system running) and maintenance activities (i.e., activities that help keep an asset in good working
order). These include:

  S Standard operating procedures.
  •S Alternate operating procedures.
  •S Emergency operating procedures.
  S Routine maintenance.
  •S Preventive maintenance.
  •S Emergency/reactive maintenance.
  S Deferred maintenance.

The plan does not need to include all of the information contained within the system's O&M manual, but
should reference specific aspects as needed.
                   EPA, Check Up Program for Small Systems (CUPSS)
                    •  The My O&M Module is used to track entered tasks and work orders in order to manage the day-
                       to-day operations of the system. Planned and unscheduled tasks entered in this module can be
                       used for the discussion of preventive and emergency/reactive maintenance in the plan.
                    •  The My CUPSS Plan Wizard in the My CUPSS Plan Module includes template language that
                       systems can include for this component, based on system-specific information inputted into CUPSS.
                           Step 5: O&M Strategy provides general information on the operations and maintenance of the
                           system's assets and the methodology used in determining how assets are managed day-to-
                           day.  Information in this section is based on information entered in the O&M Module. The
                           Preventive Maintenance Section provides more specific information on the strategy used to
                           manage routine and preventive maintenance. The Emergency/Reactive Maintenance Section
                           describes how systems address emergency maintenance issues and requests for maintenance
                           filed by their customers. The Deferred Maintenance Section outlines the status of the
                           system's deferred maintenance tasks and discusses the plan to reduce deferred maintenance.
                    •  Visit:
                           http://www.epa.gov/cupss
                           http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/training.cfm
                   EPA, Preventive Maintenance Card File for Small Public Water Systems Using Ground Water
                    •   These log cards and guidance booklet provide a schedule of daily, weekly and monthly tasks for
                        routine operation and maintenance tasks for small drinking water systems with a ground water
                        source.
                    •   Visit: http://nepis.epa.gov/Exe/ZyPURLcgi?Dockev=P1009VOM.txt
Reference Guide for Asset Management Tools
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             Operation  and
             Maintenance

                  Kansas, AM KAN Work! An Asset Management and Energy Efficiency Manual
                    •   Chapter 6: Life-Cycle Costing, Section 6.3: Operation and Maintenance Costs, discusses operation
                       procedures and types of maintenance, as well as information on asset failure and criticality with
                       respect to O&M.
                    •   Cost: $65, which includes a hardcopy of the manual, two DVDs containing an interactive version of
                       the manual and additional resource materials, as well as shipping costs.
                    •   Contact: Cathy Tucker-Vogel, Kansas Department of Health and Environment
                       (CTuckerv@kdheks.gov, 785-368-7130)


                   Missouri Rural Water Association, Smart Phone Apps For iPhone and Android
                    •   The Well Disinfection App calculates the amount of household bleach needed to disinfect a well.
                    •   The Disinfection Calculations App calculates the chlorine dosage needed for tank and pipe
                       disinfection.
                    •   The Sizing a Chemical Pump App helps water systems to size a chemical pump for specific
                       applications.
                    •   The Well Drawdown App allows water systems to enter pressures reading from the air line
                       installed with the submersible pump to determine well drawdown and specific capacity.
                    •   The Dosage Calculations for Water Treatment App covers the basic calculations used by water
                       treatment plant operators, including dry chemical, liquid chemical, chlorine gas, specific gravity and
                       solution strength.
                    •   The Flushing Flows App is a hydrant or pipe flush calculator.
                    •   Visit: http://www.moruralwater.org/what we offer.php#Phone%20Apps
                  Washington, Small Water System Management Program Guide
                    •   Chapter 2.2, Operations and Maintenance Program, helps systems identify the operating
                       parameters and maintenance duties to maintain effective operations and compliance with drinking
                       water regulations
                    •   Visit: http://www.doh.wa.gov/CommunitvandEnvironment/DrinkingWater/WaterSvstemDesign
                       andPlanning/SmallWaterSvstemMgmt.aspx


                   West Virginia, Asset Management Guidance - Part 2
                    •   The Month 7-O&M Assessment Worksheet is used to establish an O&M investment strategy, track
                       O&M budget expenditures and determine whether past expenditures are indicative of future O&M
                       expenses.
                    •   The O&M Task Example Worksheet provides a sample list of O&M tasks that can help a system
                       complete the O&M Task Worksheet, a basic O&M work order.
                    •   The Month 9-O&M Tasks List Worksheet is used to list O&M activities, including those identified
                       as necessary for the critical assets.
                    •   Visit: http://www.wvdhhr.org/oehs/eed/i&cd/Asset management.asp

                                                                      For a full description of tools, see Appendix A.
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          Operation and
          Maintenance
                 Corresponding Effective Utility Management Attributes

         Operational Optimization Attribute:
            •  Toolbox resources include: operation manuals and performance indicators.

         Operational Resiliency Attribute:
            •  Toolbox resources include: guides on security threats and health and safety.

         For more information, visit: http://www.watereum.org/resources/resource toolbox/
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             Capital  Improvements
        Su
        VS
  U  Q
Capital improvement planning determines a system's short- and long-term asset rehabilitation and
replacement projections, based on the asset inventory and O&M data.

For the Capital Improvements component, the asset management plan should describe the following:

  •S   Future capital projects (and anticipated associated expenditures) for plans to add new assets to the
      system that upgrade or improve existing capacity.
  •S   Renewal projects (and associated expenditures) for plans to restore an existing asset to its original
      capacity, without increasing an asset's design capacity.

The asset management plan should include all projects within a minimum 5-year timeframe. However, a 20-
year timeframe is preferred to accurately assess and plan for improvements. Reference to capital
improvements beyond 20 years also should  be included with a discussion of long-term financial planning.

If a system has already developed a Capital Improvement Plan (CIP), the asset management plan can reference
it, specifically the timing and cost of the rehabilitations and replacements. Because the expected needs of the
system will change, the CIP projects listed in the asset management plan should be updated as necessary to
reflect those changes.
   c  -—
   a)   o
     EPA, Check Up Program for Small Systems (CUPSS)
      •   The My Inventory Module generates a Capital Improvement Projects list that describes assets that
         need to be repaired, rehabilitated or replaced based on the asset inventory. This information helps
         the reader to understand the system's upcoming obligations and resource needs.
      •   The My CUPSS Plan Wizard in the My CUPSS Plan Module includes template language that
         systems can include for this component, based on system-specific information inputted into CUPSS.
             Step 7: CIP provides example language describing a system's CIP projects and renewal
             expenditures. A table of capital improvements is provided that describes the projects' costs,
             savings, type and anticipated year of completion.
      •   Visit:
             http://www.epa.gov/cupss
             http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/training.cfm


     Kansas, AM KAN Work! An Asset Management and Energy Efficiency Manual
      •   Chapter 6: Life-Cycle Costing, Section 6.6: Capital Improvement Planning discusses capital
         planning and validation of capital projects to ensure that they are necessary.
      •   Cost: $65, which includes a hardcopy of the manual, two DVDs containing an interactive version of
         the manual and additional resource materials, as well as shipping costs.
      •   Contact: Cathy Tucker-Vogel, Kansas Department of Health and  Environment
         (CTuckerv@kdheks.gov, 785-368-7130)


     Michigan, Asset Management Workbook
      •   Capital Improvements Worksheet is used to evaluate CIP projects by considering timeframe (e.g.,
         year until project must begin), costs and reserve funding requirements.
      •   Contact: Bob Schneider, Michigan Department of Environment Quality
         (SCHNEIDERR@michigan.gov, 517-388-6466)
Reference Guide for Asset Management Tools
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             Capital  Improvements
                   University of North Carolina Environmental Finance Center, Capital Improvement Plan (CIP) Tool for
                   Water and Wastewater Utilities
                    •   The 20-Year Projections Worksheet calculates annual rate increases necessary to cover capital
                       reserve allocations and debt service over a 20-year planning period.
                    •   The Dashboard Worksheet displays results in tables and easy-to-read graphics.
                    •   Visit: http://www.efc.sog.unc.edu/reslib/item/user-friendlv-capital-improvernent-plan-cip-tool-
                       water-wastewater-utilities
                  Washington, Small Water System Management Program Guide
                    •   Chapter 3.1, Short-Lived Asset Replacement and Other Planned Improvements, helps systems
                       document the short-lived assets requiring replacement in the next 6 years, the estimated schedule
                       and cost.
                    •   Chapter 3.1, Long-Lived Asset Replacement, helps systems document the long-lived assets that
                       must be replaced in the next 6 years, the estimated schedule and cost.
                    •   Visit: http://www.doh.wa.gov/CommunitvandEnvironment/DrinkingWater/WaterSystemDesign
                       andPlanning/SmallWaterSvstemMgmt.aspx


                  West Virginia, Asset Management Guidance - Part 3
                    •   The Month 12-CIP Assessment Worksheet is used to prioritize future capital investments and to
                       establish and review a renewal or rehabilitation strategy.
                    •   The Month 12-CIP List Worksheet provides an example of long-term capital investments.
                    •   Visit: http://www.wvdhhr.org/oehs/eed/i&cd/Asset  management.asp

                                                                     For a full description of tools, see Appendix A.
                      Corresponding Effective Utility Management Attributes

            Infrastructure Stability Attribute:
                  Toolbox resources include: guides for inventorying assets for capital planning and a report on sustainable
                  asset management.
            Financial Viability Attribute:
                  Toolbox resources include: a report on best practices to promote capital investment.
            Stakeholder Understanding and Support Attribute:
                  Toolbox resources include: management manuals, a media guide and a public outreach toolkit.
Reference Guide for Asset Management Tools
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              Financial Strategy
   0>   -~
   U   Q
A financial strategy is necessary to ensure that the system has adequate sources of funding for current and
future O&M and capital needs, and is able to meet its established LOS goals.

The financial strategy component should describe the following:

  •S  Water rate methodologies, including the system's current rate structure and plans for future rate
      modifications.
  •S  The system's annual operating budget and capital budget, which should be updated frequently.
  •S  The types of reserve accounts that the system has (e.g., operating cash reserve, emergency reserve,
      short-lived asset reserve, capital reserve).
  S  System loans and bonds.
  •S  Financial history.
  S  Financial forecasts.

When developing this component, the system should review annual financial statements, budgets, audits and
the system's master plan.

The system's financial projections should show predicted revenue and expenses over the next 5 to 10 years.
To help inform these projections, the system should determine its financial health using financial ratios,
including:

  •S  Operating Ratio—the relationship between revenues and operating expenses (Operating Revenue /
      Operating Expense).
  S  Debt Ratio—how much debt the system is using to operate (Total Liabilities / Total Assets).
  •S  Sales Ratio—how much of the system's revenue is generated from service fees (Sales / Total  Revenue).
  S  Expense Ratio—amount of operating expenses compared to total expenses (Operating Expense / Total
      Expense).
                    EPA, Check Up Program for Small Systems (CUPSS)
                     •   The My Finances Module is used to determine yearly revenue and expenses. These data are used
                        in the My Financial Check Up Report. Features in this module help systems to visualize the
                        financial history of their system.
                            The Graph It Button graphs the aggregated totals for actual and budgeted revenue and
                            expenses for each year.
                            The Export Data Link exports financial data for use in other applications.
                     •   The My CUPSS Plan Wizard in the My CUPSS Plan Module includes template language that
                        systems can include for this component, based on system-specific information inputted into CUPSS.
                            Step 8: Financial Management Strategy discusses the system's financial condition and its
                            strategy for future financing. A system might wish to describe expenses, how costs are covered
                            and financing methods for capital improvement projects.
                     •   Visit:
                            http://www.epa.gov/cupss
                            http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/training.cfm
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             Financial  Strategy
                    EPA Region 1, Asset Management and Debt Capacity Tool
                     •   The Debt Capacity Worksheet is used to enter general financial data, (including a debt service
                        schedule), predict future debt (based on prioritized and scheduled capital expenditures and
                        available funding) and calculate future rate requirements.
                     •   Contact: Carolyn Hayek, EPA Region 1 (Hayek.Carolyn@epamail.epa.gov, 617-918-1596)
                   EPA, Setting Small Drinking Water System Rates for a Sustainable Future
                     •   Step 1 - Determining Your Costs provides an example of and instructions on how to complete an
                        Annual Costs Worksheet to determine annual costs of running the system.
                     •   Step 2 - Determining Your Current Revenue provides an example of and instructions on how to
                        complete an Annual Revenue Worksheet to help the system calculate how much money they
                        collect annually.
                     •   Step 3 - Setting Aside a Reserve provides steps to help systems determine how much money they
                        need to raise annually to implement the capital improvement plan.
                     •   Step 4 - Determining Actual Revenue Required from Your Customers contains an explanation and
                        example of the Short-term Revenue Required from Your Customers Worksheet to help systems
                        determine the total revenue they need to collect to cover the full cost of doing business.
                     •   Step 5 - Designing a Rate to Cover Your Costs helps systems to design their rate structure and
                        estimate the amount of water used by customers. This step includes an explanation and example
                        of an Average Monthly Usage Worksheet to help summarize customer monthly water usage to
                        ensure the system meets the revenue requirement.
                     •   Visit: http://nepis.epa.gov/Exe/ZvPURLcgi?Dockev=2000D2NM.txt
                   Kansas, AM KAN Work! An Asset Management and Energy Efficiency Manual
                     •   Chapter 6: Life-Cycle Costing discusses life-cycle cost components, including O&M costs (Section
                        6.3) and rationale to balance O&M and capital costs (Section 6.8).
                     •   Chapter 7: Funding Strategies focuses on long-term funding strategies, including internal and
                        external funding, funding for energy efficiency and comprehensive funding strategies.
                     •   Cost: $65, which includes a hardcopy of the manual, two DVDs containing an interactive version of
                        the manual and additional resource materials, as well as shipping costs.
                     •   Contact: Cathy Tucker-Vogel, Kansas  Department of Health and Environment
                        (CTuckerv@kdheks.gov, 785-368-7130)


                   Michigan, Asset Management Workbook
                     •   The Budget and Rate Worksheet is used to track budget items and compare rate methodology
                        options.
                     •   The Five-Year Budget Worksheet is used to track current and anticipated expenses.
                     •   Contact: Bob Schneider, Michigan Department of Environment Quality
                        (SCHNEIDERR@michigan.gov, 517-388-6466)


                   Pennsylvania, Asset Management Tool
                     •   The Forecast Worksheet is used to forecast surplus/deficit. The worksheet uses data entered in the
                        Inventory Worksheet.
                     •   The Forecast Chart Worksheet graphs the reserve fund balance, total cash needs and total
                        revenues based on the Forecast Worksheet.
Reference Guide for Asset Management Tools
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             Financial  Strategy
                    •   Visit: http://www.portal.state.pa.us/portal/server.pt/community/
                        capability  enhancement program/21171/asset management/1518093


                   Rural Community Assistance Partnership, Formulate Great Rates: The Guide to Conducting a Rate Study
                   for a Water System
                    •   The Income and Expense Worksheet is a monthly tracking tool for systems to record their revenue,
                        fixed and variable costs and profit or loss.
                    •   Worksheet #3 - Fairness Check calculates the equity from the total average revenue and target
                        revenue.
                    •   Worksheet #4- Calculate Rates determines the basic flow charge for the system, based on water
                        usage and  flow rate revenue.
                    •   Visit: http://www.rcap.org/rateguide
                   Washington, Small Water System Management Program Guide
                    •   Chapter 3.3, Six-Year Budget, helps systems develop a 6-year operating budget that addresses
                        system revenues, expenses and improvement project financing.
                    •   Chapter 3.4, Water Rates, shares key principles for establishing a water rate structure that will
                        meet the needs of the system.
                    •   Visit: http://www.doh.wa.gov/CommunitvandEnvironment/DrinkingWater/WaterSystemDesign
                        andPlanning/SmallWaterSystemMgmt.aspx


                   West Virginia, Asset Management Guidance - Part 3
                    •   The Financial Worksheet is used to determine total revenue and expenses.
                    •   The Month 12-LTFP Worksheet is used to track historical and current budgets and provide
                        forecasts for the system's long-term funding plan (LTFP).
                    •   Visit: http://www.wvdhhr.org/oehs/eed/i&cd/Asset management.asp
                                                                       For a full description of tools, see Appendix A.
                       Corresponding Effective Utility Management Attributes
            Financial Viability Attribute:
               •   Toolbox resources include: a conference summary report, a public finance primer, water rate tools and
                   guidance.
            Stakeholder Understanding and Support Attribute:
                •   Toolbox resources include: management manuals, a media guide and a public outreach toolkit.
            For more information, w'srt: hittp://www.watereum.org/resources/resource toolbox/
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              Compliance
   U   Q
Effective asset management helps to ensure compliance with state and federal drinking water regulations,
while also allowing the system to reliably and continuously deliver safe drinking water.

This component should include a discussion of:

  •S   The system's compliance history with state and federal drinking water regulations, along with plans for
      meeting future requirements.
  •S   Significant deficiencies, as determined by the state, including the system's responses and action plans.
      Systems may summarize significant deficiencies and follow-up actions in a summary table.

The system should  use the following to inform the discussion:

  S   Sanitary surveys.
  •S   Monitoring schedules.
  S   Wellhead protection plans.
  S   Source water protection plans.
  •S   Operator certifications.
  •S   Enforcement Targeting Tool (ETT) scores.
  S   Enforcement orders (as applicable).
                    EPA, Check Up Program for Small Systems (CUPSS)
                     •   The My CUPSS Plan Wizard in the My CUPSS Plan Module includes template language that
                         systems can include for this component, based on system-specific information inputted into CUPSS.
                            Step 6: Water Quality & Energy Efficiency discusses how systems address the major federal
                            statutes governing clean and safe water and outlines the system's monitoring and/or
                            implementation strategy. The Source Water Assessments and Protection Section identifies
                            any key water quality or protection issues the system has studied and is addressing, and the
                            Water Quality Monitoring Strategy Section outlines the system's monitoring strategy,
                            including the frequency of monitoring tasks listed within CUPSS.
                     •   Visit:
                            http://www.epa.gov/cupss
                            http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/training.cfm
                   EPA, Record Keeping Rules: A Quick Reference Guide
                     •   The General Record Keeping Requirements Section summarizes the records (e.g., analyses,
                         sanitary surveys, etc.) systems must keep and how long the information must be retained.
                     •   The Additional Rule Specific Record Keeping Requirements Section organizes additional record
                         keeping requirements (e.g., types of records and the duration they must be retained) by drinking
                         water rule and type of water system.
                     •   Visit: http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/upload/guide smallsystems
                         recordkeepingrules.pdf
Reference Guide for Asset Management Tools
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            Compliance
                  Washington, Small Water System Management Program Guide
                   •  Chapter 2.3, Water Quality Monitoring Program, helps systems identify the type, frequency and
                      location of required water quality monitoring (sampling).
                   •  Visit: http://www.doh.wa.gov/CommunitvandEnvironment/DrinkingWater/WaterSystem
                      DesignandPlanning/SmallWaterSvstemMgmt.aspx


                  West Virginia, Asset Management Guidance - Part 3
                   •  The Month 13-Action Plan Worksheet summarizes the asset management plan's objectives,
                      targets, maintenance and improvements. Systems may also use this worksheet to record significant
                      deficiencies and follow-up actions.
                   •  Visit: http://www.wvdhhr.org/oehs/eed/i&cd/Asset management.asp
                                                                   For a full description of tools, see Appendix A.
                     Corresponding Effective Utility Management Attributes

           Product Quality Attribute:
               •   Toolbox resources include: information on optimization plans and water quality guidance.

           For more information, visit: http://www.watereum.org/resources/resource toolbox/
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              Preparedness
               The Preparedness component outlines the measures that the system will take to ensure that assets are
               sustained, in the event of an emergency or other unexpected situation. This component should discuss:

                 •S  Security measures used to ensure safe, continuous operations, (e.g., locks, fences, supervisory control
                     and data acquisition (SCADA) systems and backup generators).
                        Also, this component may include a description of an all-hazards approach to emergency
                        preparedness, (i.e., a comprehensive framework in preparing for, responding to and mitigating the
                        impact of a variety of disasters, emergencies and security threats).
                 S  Mutual aid agreements through the national Water/Wastewater Agency Response Network (WARN) or
                     otherwise, into which the system has entered, or any plans to establish such agreements.
                        Contingency plans  used to ensure continuity of service. Certain assets may only be needed on a
                        contingent basis (e.g., backup generators, surplus treatment chemicals or an alternative water
                        source).
                 •S  The asset management plan may not need to include all of the information  contained within the
                     system's emergency response plan, but should reference it.
                   EPA, Drinking Water Security for Small Systems Serving 3,300 or Fewer Persons
                     •   The What Is a Vulnerability Assessment? Chapter describes the six steps necessary to complete a
                        vulnerability assessment and helps systems to understand and evaluate their risk to different
                        threats.
                     •   The What Is an Emergency Response Plan? Chapter gives a step-by-step description of the
                        preparation and action steps needed for a small system to create an emergency response plan.
                     •   The How Should I Communicate with My Customers? and What Security Improvements Can I
                        Make Immediately? Chapters provide additional information on effective communication and
                        security measures.
                     •   Visit: http://water.epa.gov/infrastructure/watersecurity/upload/2005 12 12 smallsystems very
                        small  systems guide.pdf
                   EPA, Manual Interstate Mutual Aid and Assistance: EMAC Tips for the Water Sector
                     •   The Before An Event Section of thisfactsheet identifies and briefly explains steps to take prior to
                        an emergency event, including raising awareness, training and educating personnel and reviewing
                        paperwork.
                     •   The During An Event Section of this factsheet identifies and briefly explains steps to take during an
                        emergency event, including making prompt, specific requests, utilizing personal contacts and
                        announcing advisories.
                     •   Visit: http://nepis.epa.gov/Exe/ZyPURLcgi?Dockev=P1004B98.txt


                    EPA, Tabletop Exercise Tool for Water Systems: Emergency Preparedness, Response, and Climate
                    Resiliency (TTX Tool)
                     •   This  PC-based tool includes 15 scenarios with fully customizable Situation Manuals that address
                        emergency preparedness and response.
                     •   Visit: http://yosemite.epa.gov/ow/SReg.nsf/description/TTX Tool
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            Preparedness
                 Washington, Small Water System Management Program Guide
                  •  Chapter 1.6, Emergency Response Plan, helps systems identify and document responses to routine
                     and uncommon emergencies that may affect system operations, and establish procedures to notify
                     customers.
                  •  Visit: http://www.doh.wa.gov/CommunitvandEnvironment/DrinkingWater/WaterSystemDesign
                     andPlanning/SmallWaterSvstemMgmt.aspx

                                                               For a full description of tools, see Appendix A.
                    Corresponding Effective Utility Management Attributes

           Operational Resiliency Attribute:
              •   Toolbox resources include: guidance on developing an operations manual, a security threats handbook
                 and a health and safety guide.
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SECTION 2: ADDITIONAL COMPONENTS OF AN ASSET MANAGEMENT PLAN
Based on input from the EPA/State Asset Management Workgroup, EPA has identified the following additional
components of an asset management plan to help increase the plan's value and effectiveness:
  U  Q
            Other Sustainable
            Practices: Energy
            Management
      Systems should ensure that all assets—not just those connected to a power source—are evaluated for energy
      efficiency. Employing energy management strategies, such as conducting an energy assessment and/or audit,
      will allow the system to understand the energy requirements of its assets.

      This component of the asset management plan should reflect any energy management initiatives that the
      system has undertaken or plans to undertake in the future.

      The energy management component should describe:

        •S  Any energy assessments undertaken to determine areas in need of energy efficiency.
        •S  Any energy audits performed and the system's progress in implementing energy management
           recommendations such as installing energy efficient infrastructure and/or making operational changes
           to increase energy efficiency at the system.

      Underperforming assets with a negative impact on the system's energy usage should be flagged for
      rehabilitation or replacement.
H aid
                 EPA, Check Up Program for Small Systems (CUPSS)
                  •  The My CUPSS Plan Wizard in the My CUPSS Plan Module includes template language that
                     systems can include for this component, based on system-specific information inputted into CUPSS.
                        Step 6: Water Quality & Energy Efficiency discusses the purpose of energy efficiency measures
                        and steps to implement these measures.
                  •  Visit:
                        http://www.epa.gov/cupss
                        http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/training.cfm


                 EPA, Energy Star Portfolio Manager
                  •  The Benchmarking Starter Kit assists systems with the first key step in understanding and reducing
                     their energy consumption and carbon footprint. Portfolio Manager is used to assess all buildings'
                     energy performance, water efficiency and carbon emissions.
                  •  Visit: http://www.energystar.gov/index.cfm?c=evaluate performance.bus  portfoliomanager


                 EPA, Energy Use Assessment Tool
                  •  Systems can enter data and track energy usage for each building's lighting and heating, ventilation
                     and air conditioning (HVAC)/non-process energy using the Building 1 Data Worksheet, and for
                     numerous assets, including source water, treatment and distribution using the WTP Energy Usage
                     Worksheet.
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            Other Sustainable
            Practices:  Energy
            Management
                   •   The Summary Report Worksheet is generated using the building and water treatment plant
                      worksheets, and includes summary data, graphs and tables.
                   •   Visit: http://water.epa.gov/infrastructure/sustain/energy use.cfm


                 EPA, Ensuring a Sustainable Future: An Energy Management Guidebook for Wastewater and Water
                  Utilities
                   •   Session 4: Identifying Energy Objectives and Targets helps systems to set energy objectives and
                      establish targets to measure progress, in order to improve overall energy performance.
                   •   Session 5: Implementing Energy Improvement Programs and Building a Management System to
                      Support Them guides systems through the process of developing an action plan to implement
                      energy improvements.
                   •   Visit: http://water.epa.gov/infrastructure/sustain/upload/Final-Energv-Management-
                      Guidebook.pdf


                 Kansas, AM KAN Work! An Asset Management and Energy Efficiency Manual
                   •   Section 1.3: Energy Efficiency discusses  the importance of incorporating energy efficiency
                      objectives into an asset management program.
                   •   Cost: $65, which includes a hardcopy of the manual, two DVDs containing an interactive version of
                      the manual and additional resource materials, as well as shipping costs.
                   •   Contact: Cathy Tucker-Vogel, Kansas Department of Health and Environment
                      (CTuckerv@kdheks.gov, 785-368-7130)


                 Rural Community Assistance Corporation, Sustainable Infrastructure for Small System Public Services: A
                  Planning and Resources Guide
                   •   Chapter 2: Energy Efficiency contains templates, checklists and tools that systems can use to
                      review their energy consumption and to identify objectives, strategies and actions to increase their
                      energy efficiency.
                   •   Visit: http://www.rcac.org/assets/green infra/gig.pdf

                                                                 Fora full description of tools, see Appendix A.
                     Corresponding Effective Utility Management Attributes
           Operational Optimization Attribute:
              •   Toolbox resources include: guidance on developing an operational manual and performance indicators.
           Community Sustainability Attribute:
              •   Toolbox resources include: information on creating a livable community and on triple bottom line
                  reporting.
           For more information, visit: http://www. watereum.org/resources/resource toolbox/
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             Other Sustainable
             Practices: Water
             Efficiency
              For drinking water systems, unaccounted for water represents lost revenue. It is important for systems to
              incorporate water efficiency measures (e.g., leak detection testing) into their asset management strategy to
              minimize water loss.

              This component of the asset management plan should discuss any water loss prevention and water efficiency
              initiatives that the system has undertaken or plans to undertake in the future.

              The water efficiency discussion should address:
                •S   Leak detection auditing, including methods and frequency.
                S   Water loss reduction strategies, such as an annual pipe replacement program.
                S   Consumer-based water conservation methods, such as incentive programs (e.g., installing low flow
                    showerheads or toilets) or education campaigns (e.g., for school children or customers).
                   American Water Works Association, Water Audit Software
                    •   The Water Balance Worksheet uses the data entered in the Reporting Worksheet and populates a
                       system's water balance to quantify the magnitude of water losses.
                    •   The Loss Control Planning Worksheet interprets the results of water audits and performance
                       indicators and provides guidance to minimize water loss.
                    •   Visit: http://www.awwa.org/resources-tools/water-knowledge/water-loss-control.aspx


                  California Urban Water Conservation Council, Direct Utility Avoided Costs/Environmental Benefits
                   Models
                    •   The Avoided Costs Model allows water systems to measure direct avoided costs from water use
                       efficiency measures.
                          The Short-Run Avoided Costs Worksheet provides costs that are immediately due to the
                          reduced water production resulting from conservation-induced demand reductions.
                          The Long-Run Avoided Costs Worksheet estimates the economic value to a water system for
                          conservation-induced investment modifications that cause demand reductions.
                    •   The Environmental Benefits Model estimates the annual monetized economic value of the
                       environmental benefits of reduced raw water withdrawals resulting from water system programs
                       aimed at lowering customer demand.
                          The Summary Output Worksheet presents the results of the environmental benefits
                          calculation.
                    •   Visit: http://www.cuwcc.org/Resources/PlanningToolsandModels.aspx?folderld=776&view=
                       gridview&pageSize=10


                   EPA, Check Up Program for Small Systems (CUPSS)
                    •   The My CUPSS Plan Wizard in the My CUPSS Plan Module includes template language that
                       systems can include for this component, based on system-specific information inputted into CUPSS.
                          Step 6: Water Quality & Energy Efficiency discusses the purpose of water efficiency measures
                          and steps to implement these measures. Monitoring and implementation of major federal
                          water statutes are also addressed.
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             Other Sustainable
             Practices:  Water
             Efficiency
                   •   Visit:
                           http://www.epa.gov/cupss
                           http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/training.cfm


                  EPA, Control and Mitigation of Drinking Water Losses in Distribution Systems
                   •   Section 4: Water Loss Control Program Elements outlines components of an effective water loss
                       prevention program. Systems should refer to the techniques in this document when outlining their
                       water loss prevention initiatives.
                   •   Visit: http://water.epa.gov/type/drink/pws/smallsvstems/upload/
                       Water Loss Control 508 FINALDEc.pdf
             .uii
EPA, Lean and Water Toolkit: Achieving Process Excellence Through Water Efficiency
 •   Chapter 4: Lean and Water Efficiency Improvement Strategies discusses facility operations and
     other activities which may provide opportunities to reduce water waste.
 •   Visit: http://www.epa.gov/lean/environment/toolkits/water/resources/lean-water-toolkit.pdf


EPA, WaterSense Program
 •   The Using Water Efficiently WaterSense Webpage contains ideas to make a system more water
     efficient, including System Improvements, Policies and Programs to Encourage Water Efficient Use
     and Other Measures.
 •   The What You Can Do Webpage provides information for customers about water conservation,
     including consumer efficiency measures, kid-friendly activities and community building.
 •   Visit: http://www.epa.gov/WaterSense/pubs/utilities.html


Missouri Rural Water Association, Smart Phone Apps For iPhone and Android Operating Systems
 •   The Leak Loss Calculations App calculates water loss from a leak using pipe diameter, pressure and
     estimated fracture.
 •   Visit: http://www.moruralwater.org/what we  offer.php#Phone%20Apps
                  Rural Community Assistance Corporation, Sustainable Infrastructure for Small System Public Services: A
                  Planning and Resources Guide
                   •   Chapter 1: Water Conservation gives small systems a step-by-step procedure for developing and
                       implementing a water conservation program; information on leak detection and public education
                       and outreach is provided.
                   •   Visit: http://www.rcac.org/assets/green  infra/gig.pdf


                  Washington, Small Water System Management Program Guide
                   •   Chapter 2.9, Water Use Efficiency Program, helps systems develop a water use efficiency program.
                   •   Visit: http://www.doh.wa.gov/CommunitvandEnvironment/DrinkingWater/WaterSystem
                       DesignandPlanning/SmallWaterSystemMgmt.aspx
                                                                   For a full description of tools, see Appendix A.
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          Other Sustainable
          Practices: Water
          Efficiency
                 Corresponding Effective Utility Management Attributes

         Water Resource Adequacy Attribute:
               Toolbox resources include: a tool for water supply planning, a guide to water reuse and water
               conservation guidelines.

         Community Sustainability Attribute:
               Toolbox resources include: a handbook on watershed planning and information on low impact
               development.
         Operational Optimization Attribute:
               Toolbox resources include: a report on selection and definitions of performance indicators.

         For more information, visit: http://www.watereum.org/resources/resource toolbox/
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            Other Sustainable
            Practices:  Climate
            Chan&e
              Natural disasters, sea level rise or other effects of climate change may damage or destroy assets.

              The climate change component should address:

                •S  Water availability, including current and future water use projections and any actions taken with
                   respect to watershed planning.
                S  Water use projections.
                S  Other anticipated climate change-induced impacts.
                •S  Strategies for mitigating climate change-induced impacts.

              Any documents in which a system has previously referenced impacts of climate change (e.g., watershed plan,
              long-range planning document) can be noted in the asset management plan.
                  EPA, Adaptive Response Framework for Drinking Water and Wastewater Utilities
                   •   The document walks systems through approaches for becoming climate ready, including:
                      awareness, adaptation, mitigation, policies, community and partnership. After reviewing these six
                      approaches and associated actions and resources, a system can work to develop or expand on their
                      climate change initiatives.
                   •   Visit: http://water.epa.gov/infrastructure/watersecurity/climate/upload/epa817fl2009.pdf


                  National Rural Water Association, White Paper on Climate Change Impacts on Small and Rural Public
                  Water Systems
                   •   Chapter VI, Impacts and Adaptation, provides Recommendations for Small Systems to prepare for
                      and adapt to climate change effects, as well as Recommendations for Assessing Climate Science
                      for systems to use in their strategic planning.
                   •   Visit: http://www.nrwa.org/benefits/whitepapers/2010 Update/Climate%20white%20paper
                      0/o20June%2022 2010%20-0/o20Final.pdf

                                                                  Fora full description of tools, see Appendix A.
                     Corresponding Effective Utility Management Attributes

           Community Sustainability Attribute:
                  Toolbox resources include: information on creating a livable community and low impact development
                  and triple bottom line reporting.
           Water Adequacy Attribute insufficient resources
                  Toolbox resources include: a tool for water supply planning, a guide to water reuse and water
                  conservation guidelines.
           Operational Resiliency Attribute:
               •   Toolbox resources include: guides on security threats and maintenance management systems.
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        Other Sustainable
        Practices:  Climate
        Chan&e
        Infrastructure Stability Attribute:
          •  Toolbox resources include: guides for inventorying assets for capital planning and a report on sustainable
            asset management.

        For more information, visit: http://www.watereum.org/resources/resource toolbox/
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             Regional  Planning
               Regional planning strategies bring communities together and can strengthen relationships between
               community partners. Water systems benefit from these regional initiatives, and associated water system
               partnerships, through the enhancement of emergency response capabilities, the sharing of assets (e.g.,
               generators, leak detection equipment) and the improvement of watershed planning for source protection. In
               addition, many states have state- or regional-scale water resource management plans, which guide planning
               decisions related to water quality and/or quantity.

               The regional planning component should include the following:

                 S   Regional initiatives with which the system is involved.
                 S   Regional planning efforts that the system plans to undertake in the future.
                 •S   Any nearby water systems with which the system has an established relationship or with which the
                     system could partner.

               If the system has previously been included in a regional planning document, the document can be referenced.
                   EPA, Gaining Operational and Managerial Efficiencies Through Water System Partnerships
                     •   After reviewing these case studies, systems may discover ways to form partnerships, strengthen
                        relationships, benefit from the managerial and operational efficiencies and expand existing
                        regional initiatives.
                     •   Visit: http://water.epa.gov/type/drink/pws/smallsvstems/upload/
                        2009  10 21 smallsystems pdfs  casestudies smallsystems  gainingoperational.pdf


                   EPA, Getting in Step: A Guide for Conducting Watershed Outreach Campaigns
                     •   Part 3: Implementing the Campaign discusses the importance of partners, including regional
                        partners, in watershed planning.
                     •   Appendices A - D are worksheets to aid in the development, implementation and evaluation of an
                        outreach campaign.
                     •   Visit: http://water.epa.gov/type/watersheds/outreach/upload/gettinginstepedition3.pdf


                   Kentucky Infrastructure Authority, Water Resource Information System (WRIS)
                     •   The WRIS Website provides both a geographic information system (GIS)  and information on state
                        water resources, project development, emergency response, regulations, planning and other
                        topics.
                            The Internet Mapping Webpage includes links to drinking water and wastewater
                            infrastructure projects in the state.
                            Under the WRIS Portal, the Area Water Management Planning Council Members Webpage
                            provides a list of all members and leaders by development district.
                     •   Visit: http://kia.ky.gov/wris/

                                                                         For a full description of tools, see Appendix A.
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           Regional  Planning
                    Corresponding Effective Utility Management Attributes

          Community Sustainability Attribute:
                 Toolbox resources include: information on creating a livable community and low impact development
                 and triple bottom line reporting.

          Water Resource Adequacy Attribute:
                 Toolbox resources include: a guide to local and state wide water conservation.
          Operational Resiliency Attribute:
                 Toolbox resources include: guide on security threats and health and safety.

          Operational Optimization Attribute:
                 Toolbox resources include: guidance on developing an operational manual and performance indicators.
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             Multi-Sector  Asset
             Management
              The multi-sector approach to asset management is intended to facilitate and encourage arrangements among
              partners working to protect and enhance critical infrastructure. Water systems may work with wastewater
              systems, transportation authorities and/or power utilities.

              Incorporating a multi-sector approach into asset management can foster dialogue and help to identify
              commonalities in asset management approaches among the sectors.

              The multi-sector component should include a description of:

                S   Multi-sector approaches to asset management that the system is undertaking.
                S   Multi-sector approaches to asset management that the system plans to undertake.
                       For example, if the system coordinates water main replacements with the local highway division,
                       the system should describe the mechanisms for this coordination (e.g., work orders, monthly
                       meetings, etc.) in the plan.
                   Department of Housing and Urban Development (HUD)-Department of Transportation (DOT)-EPA
                   Partnership for Sustainable Communities
                    •   The Partnership's Resources Webpage provides links to publications and other materials
                       developed or sponsored by the participating agencies.
                    •   The Case Studies Webpage provides numerous case studies that are searchable based on a variety
                       of categories, including: water management, transit, green building, and more.
                    •   Visit: http://www.sustainablecommunities.gov/
                   EPA and DOT Federal Highway Administration (FHWA), Memorandum of Understanding (MOU)
                   "Infrastructure Asset Management Technology Exchange"
                    •   Systems can reference the Authority, Cooperative Efforts and Points of Contact Sections to
                       develop their own MOU with other entities (e.g., wastewater or transportation departments).
                       Systems can modify this document as necessary to meet the needs of the sectors involved in the
                       agreement.
                    •   Visit: http://www.fhwa.dot.gov/infrastructure/asstmgmt/epamou.pdf


                  EPA and DOT Federal Highway Administration (FHWA), MuItisector Asset Management Case Studies
                    •   The Hamilton, Ontario, Canada Case Study explains the system's integrated, bottom-up approach
                       to asset management.
                    •   The Henderson, Nevada, USA Case Study explains the system's citywide asset management and
                       maintenance program that involves all levels of staff.
                    •   The Saco, Maine, USA Case Study explains the system's collaborative, top-down approach to
                       developing a common asset management framework.
                    •   Visit: http://water.epa.gov/aboutow/owm/upload/2009 05 07 assetmanages msamcs final.pdf

                                                                     Fora full description of tools, see Appendix A.
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         Multi-Sector Asset
         Management
                Corresponding Effective Utility Management Attributes

        Infrastructure Stability Attribute:
           •  Toolbox resources include: information on making the most of system assets and guides to asset
             management.

        Community Sustainability Attribute:
             Toolbox resources include: information on creating a livable community and triple bottom line reportin
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                         ASSET MANAGEMENT PLAN UPDATES
Water and wastewater systems should review its asset management plan annually to ensure that it remains relevant
and up-to-date. The annual review could occur before developing an annual budget and list of scheduled or needed
capital improvements. Furthermore, systems may need to revisit and update their asset management plans more
frequently as water system plans are developed  or modified. Updating the asset management plan also supports EUM's
"Plan-Do-Check-Act" or continual improvement management framework, which can help systems understand progress,
establish measures of performance, identify future improvement opportunities and guide the decision making process.

In order to accurately track each asset's condition, the Asset Inventory component should be updated more frequently
than annually.  For example, every time an employee inspects a particular asset, he or she can gather asset data and
update the asset inventory. Additionally, as staffing changes occur, the system should update the Staff Information
component.
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                  APPENDIX A: SUMMARY OF ASSET MANAGEMENT PLAN TOOLS
 Disclaimer: This document is not intended to be a regulation; recommendations contained within this guide are not legally binding. Any changes in
 implementation of state programs are purely voluntary and must comply with legally binding requirements.
Implementation Tools
Asset Management Websites
U.S. EPA, Asset Management Website
http://water.epa.gov/infrastructure/sustain/asset management.cfm
U.S. EPA, Check Up Program for Small Systems (CUPSS)
http://www.epa.gov/cupss
American Water Works Association, Statement of Policy on Public Water Supply Matters: Asset Management
http://www.awwa.org/about-us/policv-statements/policv-statement/articleid/188/asset-management.aspx
Massachusetts, Asset Management: Building Your Water System's Capacity
http://www.mass.gov/eea/docs/dep/water/drinking/alpha/a-thru-h/capbuild.doc
Pennsylvania, Asset Management
http://www.portal.state.pa.us/portal/server.pt/communitv/capabilitv enhancement program/21171/asset
management/1518093
U.S. Department of Transportation Federal Highway Administration, Asset Management Website
http://www.fhwa.dot.gov/asset/index.cfm
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Implementation Tools


Microsoft Excel-based Tools
American Water Works Association, Water Audit Software— This Excel-based software
includes a data-grading capability that allows the system to determine the validity of its
water audit data. It provides guidance on water loss control planning based upon the
credibility of the data and the measure of losses displayed by the water audit. The Water
Audit Software Compiler is a useful tool for managing the results from completed Water
Audit Software files. Users can compile all data into a master table and create charts
showing audit components and basic histograms of grading values.
http://www.awwa.org/resources-tools/water-knowledge/water-loss-control.aspx
California Urban Water Conservation Council, Direct Utility Avoided
Costs/Environmental Benefits Models— These Excel-based tools allow water systems to
measure direct avoided costs from water use efficiency measures and estimate the
annual monetized economic value of the environmental benefits of reduced raw water
withdrawals resulting from water system programs aimed at lowering customer demand.
Each tool has an accompanying user's guide with detailed instructions on how to use the
models.
http://www.cuwcc.orR/Resources/PlanningToolsandModels.aspx?folderld=776&view=Rri
dview&pageSize=10
EPA, Energy Use Assessment Tool— This Excel-based tool can be used by small to
medium-sized systems to conduct a baseline energy use and cost analysis on both water
and wastewater system utility bills and equipment.
http://water.epa.gov/infrastructure/sustain/energy use.cfm
EPA Region 1, Asset Management and Debt Capacity Tool— This is a free, simple Excel-
based tool developed by EPA Region 1 in response to the needs identified by water
systems during an Effective Utility Management (EUM) project. This tool provides a very
simple way to tie asset inventory to financial planning.
Contact Carolyn Hayek, EPA Region 1 (Hayek.Carolyn@epamail.epa.gov, 617-918-1596)















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Implementation Tools
Michigan, Asset Management Workbook— This Excel-based tool can help systems
develop an asset inventory, budgets and capital improvement plans.
Contact Bob Schneider, Michigan Department of Environment Quality
(SCHNEIDERR@michiRan.gov, 517-388-6466)
Pennsylvania, Asset Management Tool— This Excel-based tool can assist systems in
developing an asset inventory and an associated financial forecast.
http://www. portal. state. pa. us/portal/server.pt/communitv/capabilitv enhancement pro
Rram/21171/asset manaRement/15 18093
University of North Carolina Environmental Finance Center, Capital Improvement Plan
(CIP) Tool for Water and Wastewater Utilities— This Excel tool helps small systems
calculate annual rate increases necessary to cover capital reserve allocations and debt
service over a 20-year planning period, while restricting reserves from increasing
perpetually. Results are displayed in tables and easy-to-read graphics.
http://www.efc.soR.unc.edu/reslib/item/user-friendlv-capital-improvement-plan-cip-
tool-water-wastewater-utilities
Water Research Foundation, Pipe Risk Screening Tool— This Excel-based tool helps
systems prioritize water distribution and transmission pipes for renewal projects. This
prioritization helps the system identify the set of pipes most at risk for failure and with
the greatest cost-based consequences for inclusion in the system's capital improvement
program.
http://www.waterrf.org/resources/pages/PublicWebTools-detail. aspx?ltemlD=23
West Virginia, Asset Management Guidance— This Excel-based tool consists of three
workbooks (Parts 1, 2 and 3) that assist systems in developing and maintaining an asset
management plan. The workbooks are setup to guide systems through the process over a
14-month time period.
http://www.wvdhhr.org/oehs/eed/i&cd/Asset manaRement.asp




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Implementation Tools

S,
Manual and Guidance Tools
EPA, Adaptive Response Framework for Drinking Water and Wastewater Utilities— This
document guides systems through climate-ready activities and helps with the
identification of needed resources and possible incentives to support and encourage
climate-readiness.
http://water.epa.Rov/infrastructure/watersecurity/climate/upload/epa817fl2009.pdf
EPA, Asset Management: A Best Practices Guide— This guide provides a comprehensive
overview of asset management benefits and best practices, and how to implement an
asset management program. It guides systems through five core questions that serve as
the foundation for many asset management best practices and as the starting point for
developing an asset management plan.
http://nepis.epa.gov/Exe/ZyPU RL.cgi?Dockey=P1000LPO.txt
EPA, Asset Management for Local Officials— This fact sheet serves as a guide to local
officials to help them understand the basics of asset management and their role in
successfully implementing an asset management program. The fact sheet explains the
unique role of local officials in building community support and the potential barriers
these officials can help to overcome.
http://nepis.epa. gov/Exe/ZyPURL.cgi?Dockey=P1000LTX.txt
EPA, Building an Asset Management Team— This fact sheet guides local officials and
systems through the process of building a successful asset management team. It
describes commitment to the team as a vital piece of system success, how to create and
maintain an asset management culture, and the various roles filled by key team
members.
http://www. eDa.gov/ogwdw/smallsvstems/Ddfs/guide smallsvstems assetmanagement
teammanagement.Ddf

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Implementation Tools
EPA, Control and Mitigation of Drinking Water Losses in Distribution Systems— This
document provides information on tools and techniques that help systems tailor a
program to meet water loss prevention needs and maintain infrastructure. A successful
water loss prevention program will help the system balance its resources used to address
economic restrictions, water availability, population and climate changes, regulatory
requirements, operational costs and public and environmental stewardship.
http://water.epa.gov/tvpe/drink/pws/smallsvstems/upload/
Water Loss Control 508 FINALDEc.pdf
EPA, Drinking Water Security for Small Systems Serving 3,300 or Fewer Persons— This
guide is designed for community water systems (CWSs) serving 3,300 or fewer persons
and presents basic information and steps CWSs can take to improve security and
emergency preparedness at their water system. The guide explains why security
improvements are important and discusses Vulnerability Assessments (VAs) and
Emergency Response Plans (ERPs).
http://water.epa.gov/infrastructure/watersecurity/upload/2005 12 12 smallsystems ve
ry small systems guide.pdf
EPA, Ensuring a Sustainable Future: An Energy Management Guidebook for Wastewater
and Water Utilities— This guide helps water systems serving fewer than 10,000 people
understand general record keeping requirements, including which records they are
required to keep and the amount of time that information should be retained to maintain
a comprehensive history. The guide also provides insight into the benefits of record
keeping, and how to generate and store secure records.
http://water.epa.gov/infrastructure/sustain/upload/Final-Energv-Management-
Guidebook.pdf
EPA, Gaining Operational and Managerial Efficiencies Through Water System
Partnerships— Case studies of system partnerships provide examples of the many
different approaches to forming partnerships, strengthening relationships and achieving
managerial and operational efficiencies.
http://water.epa.gov/tvpe/drink/pws/smallsvstems/upload/
2009 10 21 smallsystems pdfs casestudies smallsystems gainingoperational.pdf

































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Implementation Tools
EPA, Getting in Step: A Guide for Conducting Watershed Outreach Campaigns— This
stakeholder guide, published by EPA, can provide systems with the tools needed to
effectively identify, engage and involve stakeholders. Key concepts highlighted in the
guide include: identifying driving forces, forming a stakeholder group, differentiating
between positions and needs, keeping the process moving forward, dealing with conflict
and hidden agendas and making decisions using a consensus-based approach.
http://water.epa.gov/type/watersheds/outreach/upload/RettinRinstepedition3.pdf
EPA, Lean and Water Toolkit: Achieving Process Excellence Through Water Efficiency—
This document provides practical strategies for using Lean manufacturing methods to
reduce water use, while improving operational performance. Lean provides proven
implementation-based methods for making significant operational improvements at
systems and engaging employees in continual improvement efforts. Lean methods offer
"how to" techniques to make implementation happen and deliver results.
http://www.epa.gov/lean/environment/toolkits/water/resources/lean-water-toolkit.pdf
EPA, Manual Interstate Mutual Aid and Assistance: EMAC Tips for the Water Sector—
This two-page factsheet provides a list of helpful tips to aid water sector stakeholders in
accessing and using interstate mutual aid and assistance during times of emergency.
http://nepis.epa.Rov/Exe/ZyPU RL.CRi?Dockey=P1004B98.txt
EPA, Preventive Maintenance Card File for Small Public Water Systems Using Ground
Water— This booklet is divided into sections that outline daily, weekly and monthly
maintenance tasks, plus individual sections that describe specific tasks for each month of
the year. Each section contains guidance notes that provide additional information on
some tasks. The notes correspond to the tasks on the accompanying cards.
http://nepis.epa.gov/Exe/ZyPURL.cgi?Dockey=P1009VOM.txt









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Implementation Tools
EPA, Record Keeping Rules: A Quick Reference Guide— This guide helps water systems
serving fewer than 10,000 people understand general record keeping requirements,
including which records they are required to keep and the amount of time that
information should be retained to maintain a comprehensive history. The guide also
provides insight into the benefits of record keeping, and how to generate and store
secure records.
http://water.epa.gov/infrastructure/drinkingwater/pws/cupss/upload/guide smallsvste
ms recordkeepingrules.pdf
EPA, Setting Small Drinking Water System Rates for a Sustainable Future— This manual,
part of the Simple Tools for Effective Performance (STEP) Guide Series, walks CWSs
serving 3,300 or fewer people through a seven-step plan to understanding the full costs
of running a system. It includes worksheets to help organize and calculate: expenses,
revenues, reserve requirements, customer costs and rates that will allow systems to
obtain a full recovery of those costs. The guide also provides guidance on implementing
and reviewing the rate.
http://nepis.epa.gov/Exe/ZyPU RL.cgi?Dockey=2000D2NM.txt
EPA, Strategic Planning: A Handbook for Small Water Systems— This manual, part of the
Simple Tools for Effective Performance (STEP) Guide Series, illustrates a seven-step action
plan that CWSs and non-transient non-community water systems (NTNCWSs) serving
3,300 people or fewer can take to start developing a strategic plan. The guide contains
worksheets that help systems to look at all aspects of their system and develop values
and goals to help systems develop a strategic plan.
http://nepis.epa. gov/Exe/ZyPURL.cgi?Dockey=2000JTPU.txt
EPA, Taking Stock of Your Water System: A Simple Asset Inventory for Very Small
Drinking Water Systems— This brochure provides information and worksheets for very
small water systems to help them to prepare an asset inventory and to begin to develop a
written asset management budget. Asset inventory worksheets (both completed
examples and blank) help to calculate the remaining useful life of various types of water
infrastructure equipment.
http://nepis.epa.gov/Exe/ZyPU RL.cgi?Dockey=30006MBT.txt


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EPA, Talking to Your Decision Makers: A Best Practices Guide— This guide helps owners
and operators of community water systems serving fewer than 10,000 customers to
better understand: the role of local individual(s) or group(s) that oversee and make
decisions affecting their water system; the benefit of having a good relationship with
decision makers; and how to effectively communicate water system needs to decision
makers.
http://nepis.epa. Rov/Exe/ZvPURLcgi?Dockev=2000ZZB6.txt
EPA, Water System Operator Roles and Responsibilities: A Best Practices Guide— This
guide helps owners and operators of public water systems serving fewer than 10,000
customers to better understand operators' roles and responsibilities in delivering safe
water to customers and additional responsibilities that vary based on system size,
characteristics (e.g., complexity of treatment), managerial structure and regulatory
requirements.
http://www.epa.Rov/safewater/smallsystems/pdfs/Ruide smallsystems operator 08-25-
06.pdf
EPA, Water System Owner Roles and Responsibilities: A Best Practices Guide— This
guide helps owners and operators of public water systems serving fewer than 10,000
customers to better understand: owners' roles and responsibilities in delivering safe
water to customers; and additional responsibilities that vary based on system size,
characteristics (e.g., complexity of treatment), managerial structure and regulatory
requirements.
httD://www.eDa.Rov/ORwdw/smallsvstems/Ddfs/Ruide smallsvstems owner 08-25-
06.pdf
EPA and DOT Federal Highway Administration (FHWA), Memorandum of Understanding
(MOD) "Infrastructure Asset Management Technology Exchange" This MOD between
EPA and the U.S. Department of Transportation's (DOT) FHWA is an example of a formal
multi-sector asset management agreement. The agreement establishes authorities,
cooperative strategies and points of contact for daily operations as the FHWA and EPA
work to preserve, improve and expand both the national highway system and water and
wastewater infrastructure.
http://www.fhwa.dot.Rov/infrastructure/asstmRmt/epamou.pdf




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EPA and DOT Federal Highway Administration (FHWA), M u It isector Asset Management
Case Studies— These case studies were developed by EPA and DOT's FHWA. The case
studies represent multi-sector or "whole of government" asset management strategies,
and are designed to gather lessons learned and summarize the knowledge and
experiences of entities that have adopted asset management approaches across multiple
infrastructure systems. Case studies are presented from: Calgary, Alberta, Canada;
Hamilton, Ontario, Canada; Henderson, Nevada, USA; Portland, Oregon, USA; and Saco,
Maine, USA.
http://water.epa.gov/aboutow/owm/upload/2009 05 07 assetmanages msamcs final.
pdf
Kansas, AM KAN Work! An Asset Management and Energy Efficiency Manual— This
manual provides guidance on assessing the current status of system operations and
developing strategic plans for sustainable water service. It includes numerous video clips
that present information on how a particular system completed an asset management
task, the lessons learned and challenges faced. Cost is $65, which includes a hardcopy of
the manual, two DVDs containing an interactive version of the manual and additional
resource materials, as well as shipping costs.
Contact Cathy Tucker-Vogel, Kansas Department of Health and Environment
(CTuckerv@kdheks.gov, 785-368-7130)
National Rural Water Association, White Paper on Climate Change Impacts on Small and
Rural Public Water Systems— This white paper presents a critical evaluation of the
possible impacts on small and rural water systems and management/operational
techniques or actions that may be indicated as a result of these potential impacts. This
white paper identifies specific climate change impacts that may affect small water
systems and suggests approaches to deal with those impacts.
http://www.nrwa.orR/benefits/whitepapers/2010 Update/Climate%20white%20paper%
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New England Water Works Association, The Drinking Water Workforce Crisis on the
Horizon: What Can be Done to Recruit and Develop Future Operators and Who Can Do
It?— This brochure recognizes the threat of the impending shortage of qualified drinking
water operators and identifies actions stakeholders (e.g., systems, public officials, states,
associations and EPA) can take to recruit, train and retain the next generation of drinking
water professionals.
httD://www.newwa.org/Portals/0/Utilitv%20Resources/DW%20Workforce%20Brochure-
Revised%2012-9-20110/o20Low%20Res.pdf
Rural Community Assistance Corporation, Sustainable Infrastructure for Small System
Public Services: A Planning and Resources Guide— This guidebook provides informational
material, worksheets, examples, case studies and resources on water conservation,
energy efficiency and renewable energy for small systems.
http://www.rcac.org/assets/green infra/gig. pdf
Rural Community Assistance Partnership, Formulate Great Rates: The Guide to
Conducting a Rate Study for a Water System— A guide to developing a fair and equitable
rate structure in a small drinking water or wastewater systems. The guide walks users
step-by-step through various worksheets in a process to calculate rates. Detailed
instructions (including calculations) are provided for each worksheet, which can be
completed by hand or electronically.
http://www.rcap.org/rateguide
Syracuse University Environmental Finance Center, The Value of Water: What's it Worth
to You and Your Community?— This public education brochure presents easy-to-read
information to consumers describing: the importance of water to the public; water supply
and consumption; water and wastewater infrastructure; aging and impaired
infrastructure and the value of water. The brochure can be downloaded for printing and
is available in an interactive electronic version.
http://efc. syracusecoe.org/efc/sub. html?skuvar=251




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Washington State, Small Water System Management Program Guide—This guidebook is
divided into managerial, technical and financial chapters. Each chapter includes a table of
"Next Steps," which can be used to track unaddressed items and planned future system
improvements. This guidebook contains tables and links to Excel spreadsheets with an
explanation of how to use them.
http://www.doh.wa.gov/CommunitvandEnvironment/DrinkingWater/WaterSvstemDesig
nandPlanning/SmallWaterSvstemMgmt.aspx
Water Environment Federation, Survival Guide: Public Communications for Water
Professionals—This guide was developed by communications experts in the water quality
field, and can help systems overcome challenges and seize opportunities for developing
positive relations with customers, community leaders, interest groups, the media and
other individuals and organizations. This guide includes options for public education, how
to perform public education, how to handle the media and associated examples.
www.wef.org/WorkArea/DownloadAsset.aspx?id=7120
                Programmatic Tools
Effective Utility Management Resource Toolbox—This tool is a compilation of resources
that corresponds with the "Ten Attributes of Effectively-Managed Water Sector Utilities"
(Attributes) and the five keys to management success. The EUM Attributes provide a
succinct indication of where effectively-managed systems focus their efforts and what
they strive to achieve, and offer a useful and concise reference point for system managers
seeking to improve organization-wide performance. The Attributes comprise a
comprehensive framework related to operations, infrastructure, customer satisfaction,
community welfare, natural resource stewardship and financial performance. The Keys to
Management Success include frequently used management approaches that have been
shown to help systems manage more effectively. The Keys can help systems integrate
improvement efforts across the Attributes.
http://www.watereum.org/resources/resource-toolbox/
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EPA, Check Up Program for Small Systems (CUPSS)— CUPSS is a free, EPA supported
desktop software application that helps systems with maintaining an asset inventory
through planning, budgeting, financial planning and keeping up-to-date maintenance
records. CUPSS can help systems to develop a record of assets, a schedule of required
tasks, an understanding of their finances and a tailored asset management plan.
http://www.epa.gov/cupss
http://water.epa.gov/infrastructure/drinkinRwater/pws/cupss/traininR.cfm
EPA, Energy Star Portfolio Manager— This is an interactive energy management tool that
allows systems to track and assess energy and water consumption across their entire
portfolio of buildings. Whether systems own, manage or hold properties for investment,
Portfolio Manager can help set investment priorities, identify under-performing buildings
and verify efficiency improvements. The tool works in a secure online environment, and
systems can work towards receiving EPA recognition for superior energy performance.
http://www.energystar.gov/index.cfm ?c=evaluate performance.bus portfoliomanager
EPA, Tabletop Exercise Tool for Water Systems: Emergency Preparedness, Response,
and Climate Resiliency (TTX Tool)— This PC-based tool contains materials to assist
systems interested in planning and facilitating tabletop exercises. The TTX Tool contains
15 scenarios that address an all-hazards approach to emergency preparedness and
response, including natural hazards and manmade incidents, and also introduces users to
the potential impacts of climate change on the water sector. The natural and manmade
hazards address short-term emergency response activities, whereas the inclusion of
climate change-related scenarios provides an opportunity for systems to consider and
implement long-term planning measures into their operations in order to mitigate the
potential impacts of climate change. Each scenario has a fully-customizable Situation
Manual, Additional Discussion Questions and PowerPoint presentation. Users can modify
these materials, allowing them to conduct a tabletop exercise to meet their specific
needs.
http://yosemite.epa.gov/ow/SReg.nsf/description/TTX Tool
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EPA, WaterSense Program— The WaterSense Program offers tools to water systems to
protect the future of the nation's water supply by promoting water efficiency and
enhancing the market for water-efficient products, programs and practices. Water
systems can apply to become a WaterSense Program partner and receive tools they can
use to promote their own water efficiency programs.
http://www.epa.gov/WaterSense/pubs/utilities.html
Department of Housing and Urban Development (HUD)-Department of Transportation
(DOT)-EPA Partnership for Sustainable Communities— The Partnership for Sustainable
Communities is an interagency partnership between EPA, DOT and the U.S. Department
of Housing and Urban Development (HUD). The Partnership works to coordinate federal
water, housing, transportation and other infrastructure investments to enhance the
sustainability and livability of communities. The Partnership's website provides links to
publications and other materials (e.g., case studies) developed or sponsored by the
participating agencies.
http://www.sustainablecommunities.gov/
Kentucky Infrastructure Authority, Water Resource Information System (WRIS)—
Kentucky's WRIS website, developed through the cooperative efforts of water and
wastewater treatment systems, includes a geographic information system (GIS) and
information on state water resources, project development, emergency response,
regulations, planning and other topics.
http://kia.ky.gov/wris/
Missouri Rural Water Association, Smart Phone Apps For iPhone and Android— These
smartphone apps are free of charge and are available at both the Google Play Store and
the Apple Store. Users simply search "MRWA" to download the apps. The apps can
assist water system personnel with a variety of functions, including well disinfection
dosage, disinfection calculations, sizing chemical pumps, well drawdown, water
treatment dosage calculations, water leak loss calculations and flushing flows.
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New York State and New York State Rural Water, Small System Template for Standard
Operating Procedures— This Standard Operating Procedures form provides templates to
help small water systems maintain effective and efficient practices by organizing system
information, including personnel contact information and operating practices, into one
document.
http://www.nvruralwater.org/downloads/files/SOPFormsforSmallSystemsvJulv2009.pdf
San Diego Public Utilities Department, Customer Satisfaction Survey— San Diego's Public
Utilities Department encourages customers to report on their satisfaction with the
Department's service through periodic door-hanger surveys (also accessible to customers
and other systems online).
http://www.sandieRO.Rov/water/Ren-info/outreach/opssurvey.shtml
Water Environment Research Foundation and Water Research Foundation, Sustainable
Infrastructure Management Program Learning Environment (SIMPLE)— This website
contains processes, practice guidelines and templates to assist systems in developing an
asset management plan. The website also contains a suite of asset management tools
that walk small systems through five key asset management steps, including: developing
an asset inventory, prioritizing assets, planning for the future, carrying out the plan and
next steps. The tool includes corresponding resources including guidance and templates.
http://simple.werf.orR/Books/Contents/What-is-SIMPLE-/Overview



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