STATE ASSET MANAGEMENT INITIATIVES
February 26,2019

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Office of Water (4606M)
EPA 800-F-19-002
February 2019

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Introduction
Background
This document is an update to the 2012 State Asset Management Initiatives Document, which
originated from the 2010 National Capacity Development/Operator Certification Workshop. A
workgroup was formed to evaluate and report best practices in building and evaluating
managerial capacity. Part of the workgroup's efforts included assessing how states were
utilizing asset management practices to help strengthen water system managerial capacity. The
workgroup developed a matrix summarizing what initiatives states are taking regarding asset
management.
In 2018, at the request of the United States Environmental Protection Agency (EPA) and the
Association of State Drinking Water Administrators (ASDWA) states provided updates on their
asset management activities.
Purpose
The purpose of this document is for state agencies to learn about the various initiatives that
other states are undertaking involving the promotion of asset management. The categories of
initiatives include: funding activities, regulatory activities, assistance activities and internal
activities. The matrix on pages one and two provides a snapshot of each state's activities. The
remainder of the document contains descriptions that states provided about the activities. Not
all activities marked in the matrix have associated descriptions. For more information please
contact the state programs.
From 2012 to 2018, there was a significant increase in the number of state activities involving
asset management. Table 1 is a comparison of the amount of states that undertook activities in
each activity category in 2012 and 2018.

Funding
Regulatory
Assistance
Internal
2012
21
20
34
34*
2018
41
33
44
33
Table 1: Comparison of the amount of states that undertook activities in each category in 2012 and 2018.
internal activities for 2012 included "Participates in State/EPA AM Workgroup." Internal activities for 2018 did
not include this subcategory.

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Asset Management State Initiatives Matrix
Last Revised: 11/9/18

Asset Management Funding
Activities
Asset Management Regulatory
Activities
Asset Management Assistance
Activities
Asset Management Internal
Activities
SRF Priority
Points
Funding for AM
Planning
Utilizes DWSRF
Set-Asides
Loan Condition
Required
Training
Sanitary Survey
Planning
Requirements
Capacity
Development
Strategy
Needs
Assessment
Training
Outreach
CUPSS Support
On-Site Technical
Assistance
Guidance
Document
Questions in
Capacity
Assessments
State Specific
Workgroup
Meetings
Training for State
Staff
Considering
Incentives in SRF
Program
Considering a
Requirement
Alabama
X






X




X






Alaska













X





Arizona


X




X

X
X

X





X
Arkansas
X
X
X


X
X
X

X
X
X
X
X
X

X


California

X
X


X



X
X

X



X

X
Colorado


X




X

X

X
X
X





Connecticut
X
X
X
X

X
X
X
X
X
X
X
X
X
X

X

X
Delaware


X







X
X




X
X

Florida
X
X
X
X





X

X
X



X
X

Georgia





X
X
X











Hawaii

X
X

X
X
X




X
X




X

Idaho
X
X
X


X

X

X
X

X
X



X

Illinois
X

X
X

X

X
X
X
X
X
X



X
X
X
Indiana

X
X


X
X

X


X
X
X
X

X
X
X
Iowa









X
X

X

X

X
X

Kansas
X

X



X
X

X



X





Kentucky
X
X
X


X
X
X

X
X
X
X

X

X


Louisiana
X



X
X

X

X
X

X
X


X


Maine

X
X
X
X


X

X
X
X
X
X
X




Maryland
X


















Massachusetts

X
X
X

X
X
X
X
X
X
X
X
X
X

X

X
Michigan

X
X


X
X
X
X
X
X
X
X
X


X

X
Minnesota

X
X


X



X


X






Mississippi


X






X









Missouri
X


X

X

X

X


X

X




Montana

X







X
X

X
X



X

Nebraska







X




X






1

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Asset Management State Initiatives Matrix
Last Revised: 11/9/18

Asset Management Funding
Activities
Asset Management Regulatory
Activities
Asset Management Assistance
Activities
Asset Management Internal
Activities
SRF Priority
Points
Funding for AM
Planning
Utilizes DWSRF
Set-Asides
Loan Condition
Required
Training
Sanitary Survey
Planning
Requirements
Capacity
Development
Strategy
Needs
Assessment
Training
Outreach
CUPSS Support
On-Site Technical
Assistance
Guidance
Document
Questions in
Capacity
Assessments
State Specific
Workgroup
Meetings
Training for State
Staff
Considering
Incentives in SRF
Program
Considering a
Requirement
Nevada



















New Hampshire
X
X
X
X

X
X

X
X
X
X
X
X
X
X
X

X
New Jersey
X
X
X



X


X

X

X


X
X

New Mexico
X
X
X
X

X

X

X
X
X
X
X
X
X
X
X
X
New York
X
X









X
X




X
X
North Carolina
X
X







X
X





X


North Dakota


X






X


X






Ohio

X
X
X
X
X
X
X

X
X
X
X
X
X
X
X


Oklahoma



X



X

X
X
X
X
X
X

X


Oregon

X










X






Pennsylvania
X
X
X


X
X
X

X
X
X
X

X


X
X
Puerto Rico



















Rhode Island


X
X


X
X

X


X

X
X



South Carolina









X
X

X
X


X


South Dakota

X
X


X



X


X



X


Tennessee



















Texas
X
X
X





X
X
X

X
X
X

X
X

Utah



















Vermont
X
X
X


X

X

X
X
X
X
X
X

X
X
X
Virginia
X
X
X
X

X

X

X
X
X
X
X
X
X
X


Washington
X

X
X

X
X
X

X
X
X
X
X

X
X
X
X
West Virginia

X
X
X





X
X
X
X
X
X

X
X
X
Wisconsin
X
X
X


X





X

X
X

X
X

Wyoming



















2

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State Asset Management Initiatives Descriptions
Last revised: 11/9/18
(Assume activities apply to both Drinking Water and Wastewater unless otherwise specified. Not all activities
marked in the matrix on p. 1 and 2 have associated descriptions).
Asset Management Funding Activities
State
Description
Provides State Revolving Fund (SRF) Priority Points for Asset Management
Alabama
Bonus points for sustainability measures including asset management awarded for both
Drinking Water State Revolving Fund (DWSRF) and Clean Water State Revolving Fund (CWSRF).
Arkansas
Bonus priority points for up-to-date asset management plans for DWSRF loans.
Connecticut
Priority ranking points and subsidization funds to eligible Public Water System (PWSs) that
have or will prepare (as a condition of the loan) asset management plans.
Florida
Does not provide priority points but incentivizes asset management planning by giving a 0.1%
interest rate break for sponsors that have an implemented asset management plan.
Idaho
Additional SRF priority points given for asset management.
Illinois
The Public Water Supply Loan Program is modifying its project prioritization system and will
add points for loan applicants that are developing and implementing asset management plans
or conducting similar activities.
Kansas
Adds up to 10 points for systems that implement an asset management program, which
requires a governing body resolution mandating asset management process and/or support for
it (DWSRF only).
Kentucky
SRF applicants receive an additional 20 priority points for having an Asset Management
Program or similar planning documents.
Louisiana
Priority points assigned at the application phase.
Maryland
Additional SRF priority points given to PWSs that have asset management plans.
Missouri
Priority points assigned if the system has completed an asset inventory, including the condition
and age of assets, for all critical assets in their system and has incorporated replacement
schedules into annual and capital improvement budgets.
New Hampshire
10 points if an active asset management program is in place.
New Jersey
25 points for current asset inventory or rate setting study; 50 points for five-year capital
improvement plan.
New Mexico
Gives priority points in the DWSRF ranking criteria for having all or portions of an asset
management plan complete.
New York
Priority points added for projects that include developing an asset management plan.
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State
Description
North Carolina
Points can be awarded for implementing an asset management plan (system must document
how the plan has been implemented).
Pennsylvania
An actively implemented asset management plan is worth up to five priority ranking points.
Vermont
Priority points added for projects where a PWS has an approved asset management plan
(DWSRF only).
Virginia
Priority Points in the "Sustainability/Reliability/Green Project Reserve" section of the
construction fund application are awarded. Up to five points for having: asset inventory,
expected life, documented maintenance schedule, and a resulting capital improvement plan.
Washington
Offers two bonus points for an asset inventory with all major assets, life expectancy and
installation date included, and one bonus point for attending an asset management training.
Wisconsin
10 priority points are available for PWSs that create a new asset management plan for review
and approval by the Wisconsin Department of Natural Resources (WDNR); five priority points
are available for PWSs that revise/update an asset management plan for review and approval
by the WDNR.
Funding for Asset Management Planning
Arkansas
Set-aside assistance is available for asset management planning.
California
Funds asset management activities as part of an infrastructure planning project that solves
another drinking water issue. It does not fund asset management activities as a stand-alone
item.
Connecticut
Development of an asset management plan can be financed through an SRF loan.
Florida
Allows asset management plan development as an eligible cost under construction loans and
offers up to 50% principal forgiveness for small disadvantaged sponsors for the asset
management plan costs.
Hawaii
Utilizes DWSRF set-aside funding to provide an engineering services contract for small water
systems so that those systems can develop an overall infrastructure condition assessment,
identify acute infrastructure needs, and utilize DWSRF funding to meet prioritized needs.
Idaho
Funding is provided for asset management planning grants.
Indiana
DWSRF Loan Program will use its DWSRF Set-Aside allotments to continue promoting the
implementation of the Safe Drinking Water Act (SDWA).
Kentucky
Water systems can incorporate asset management planning as part of capital projects.
Maine
Asset management plans can be developed under the Capacity Development Grant Program.
The grant reimburses PWSs 50% of the project costs up to a maximum of $15,000.
Massachusetts
Development of an asset management/capital improvement plan can be financed through an
SRF loan.
Michigan
Allows for SRF funds to be used towards asset management when asset management is a part
of the proposed construction project.
Minnesota
Eligible for loans to fund asset management planning.
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State
Description
Montana
Offers planning grants that may be used to incorporate asset management planning into
capital improvement plans.
New Hampshire
Asset Management & Financial Planning Grant Program: 100% match up to $20,000 for PWSs
serving populations of 200 or greater.
New Jersey
Funding is available for systems that conduct asset management planning resulting in capital
improvement projects. Specifically, systems serving fewer than 10,000 are eligible for principal
forgiveness loans of up to $100,000.
New Mexico
Uses DWSRF set-aside funding to aid in completing asset management plans.
New York
Asset management planning is a reimbursable expense (DWSRF only).
North Carolina
Offers Asset Inventory & Assessment (AIA) Grants. The grants are up to $150,000 and can be
awarded for both water and sewer infrastructure. Funds can be used to: Identify the water and
wastewater infrastructure components that comprise its water and wastewater systems,
create an asset inventory, determine the condition of these assets, prioritize the most critical
infrastructure needs, and develop a capital improvement plan to fund the projects.
Ohio
Offers asset management planning loans at 0% for five years, with the possibility of up to
$10,000 in principal forgiveness.
Oregon
100% principal forgivable funding up to $20,000 for developing an asset management plan
through Oregon's Sustainable Infrastructure Planning Projects Program.
Pennsylvania
Provides up to $25,000 of funding toward development of an asset management plan.
South Dakota
Provides Small System Planning Grants to systems seeking funding. The planning document
that is developed using these grant funds provides the initial asset inventory should a system
wish to pursue formal asset management activities.
Texas
Asset management planning can be funded as part of comprehensive SRF construction project.
Vermont
Forgivable asset management planning loan funding is available for publicly-owned community
water systems (CWSs) (Drinking Water only).
Virginia
Planning and Design Grants can be used for asset management plans. Planning and Design
grants are up to $35,000 and are competitive applications. The Small Project Engineering
Services Program provides up to $10,000 to start an asset management plan for small systems.
These projects are developed based on referrals from the Office of Drinking Water Field Office
staff.
West Virginia
Cost of developing an asset management plan must be included in the loan (DWSRF only).
Wisconsin
Asset management planning can be funded as part of comprehensive SRF construction project.
Utilizes DWSRF Set-Asides for Asset Management Training/Technical Assistance
Arizona
Available via the capacity development training program for small systems. On-site technical
assistance is provided through third party contractors funded through set-asides.
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State
Description
Arkansas
Asset management assistance is available to systems that lack financial and managerial
capacity through technical assistance providers under the Capacity Development program. The
capacity development and small systems set-asides are used to provide on-site technical
assistance to help with asset management plans.
California
Uses set-asides for asset management training and technical assistance, which includes on-line
trainings, web-based tools, and on-site technical assistance, as needed.
Colorado
Employs a Managerial and Financial Capacity and Training Specialist to provide water system
asset management training and technical assistance upon request. The position and
development and delivery of asset management training are funded by set-asides.
Connecticut
Used set-aside funds to contract a technical assistance provider to help PWSs prepare asset
management and fiscal plans, some of which were used by borrowers to satisfy a loan
requirement for subsidy. Additionally, the contractor offered three asset management
classroom training events to small PWSs during the 2016-2018 contract period.
Delaware
Funds Delaware Rural Water Association (RWA) to provide training to small municipalities in
using Check Up Program for Small Systems (CUPSS) and creating asset management plans.
Uses set-asides to fund a CUPSS circuit rider that targets four systems each year.
Florida
Contracted the Florida Rural Water Association (RWA) to develop asset management plans for
small communities, with priority given to those that either have a loan or are in the process of
getting a loan.
Hawaii
Use set-aside funding to conduct hands-on education for the water utilities to conduct their
own water loss audits. The resultant focus on the condition of underground assets can drive
water systems to utilize DWSRF funding to affect infrastructure renewal. Uses set-asides to
fund a circuit rider contract (2018-2021) that assists small water systems with Technical,
Managerial and Financial (TMF) priorities.
Idaho
Set-asides can be used for asset management planning grants.
Illinois
Efforts are underway for using set-aside funds to arrange for a circuit-rider who will assist
smaller communities with rate analysis, asset management, system analysis, water loss, and
more.
Indiana
All set-aside money is received and maintained by the Indiana Finance Authority (IFA) in the
SRF Fund areas. In Fiscal Year (FY) 2018, the state will take 4%, or $679,120 of the
Administrative Set-Aside. In FY18, the state will take $500,000 of the state Program
Management Set-Aside to ensure sufficient sources of safe drinking water for Indiana
populations by implementing a water supply study in Southeastern and Central Indiana.
Kansas
Used set-asides to develop an asset management manual that guides systems in developing
and implementing asset management programs. Set-asides are also used to hold training
sessions on how to utilize the manual.
Kentucky
Set-aside funding can be used for water systems to incorporate asset management planning or
technical assistance as part of capital projects.
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State
Description
Maine
The Capacity Development Grant Program and Capacity Development Training Reimbursement
Fund are funded through the 15% Capacity Development set-aside. These programs assist
PWSs with asset management planning and training.
Massachusetts
The Massachusetts Department of Environmental Protection has provided grants for capital
improvement planning in the past. This may continue in the future contingent upon sufficient
funding from EPA for the state programs.
Michigan
Utilizes set-aside funds to perform financial assessments for small communities.
Mississippi
Utilizes set-asides to provide free training on asset management to water systems.
New Hampshire
Set-asides can be used for asset management and financial planning grants.
New Jersey
Small system technical assistance can be funded through non-project set-aside funds. Funding
is available for systems that do asset management planning that results in capital
improvement projects. Specifically, systems serving fewer than 10,000 are eligible for principal
forgiveness loans of up to $100,000.
New Mexico
Uses set-aside funding to aid in completing asset management plans.
North Dakota
Uses set-aside funds to implement training through technical assistance providers.
Ohio
Use the Local Assistance set-aside to build an asset management program.
Pennsylvania
Set-aside funding can be used to provide technical assistance to small systems. Provides up to
$25,000 of funding toward development of an asset management plan.
Rhode Island
Uses set-asides to fund Facilities Improvement Plans for small community and non-transient,
non-community water systems (NTNCWSs).
Texas
Uses set-asides to fund training, including asset management training.
Vermont
Uses set-asides to fund asset management training workshops, leak detection surveys, and
stand-by power evaluations.
Virginia
Uses the 15% set-aside to provide assistance to small communities.
Washington
Uses set-asides to fund a technical assistance contract with Rural Community Assistance
Corporation (RCAC). They provide direct assistance for creating asset management programs
for individual systems as well as frequent trainings around the state. Set-asides are also used
to fund technical assistance with Washington State Department of Commerce - Small
Communities Initiative.
West Virginia
Uses set-asides to fund Rural Water to provide periodic asset management training and
technical assistance. Capacity Development and project engineering staff also aid during asset
management plan development.
Wisconsin
Funds on-site technical assistance provided by Wisconsin Rural Water Association (RWA).
Asset Management as a Condition of Loan Agreement
Connecticut
Asset and Fiscal Management Plans are required for small PWSs to receive federal subsidy
funds as a condition of their SRF loan. It is also a condition for all PWSs to receive state subsidy
funds as a condition of their SRF loans.
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State
Description
Florida
Required as condition if a PWS is receiving a reduced interest rate.
Illinois
Required indirectly through Illinois' requirements to show an ability to repay loans.
Maine
Asset management training is required for PWSs that will be receiving principal forgiveness for
at least 20% of the DWSRF loan amount, based on qualifying as a Disadvantaged Community
System. This training is funded through the DWSRF 15% set-aside used for capacity
development.
Massachusetts
A rating of adequate capacity is necessary to qualify for a loan. A rating of conditional capacity
may still allow a PWS to qualify for a loan but only if there is an enforceable plan in place to
achieve adequate capacity. Capacity Development promotes asset management.
Missouri
DWSRF loan applicants must submit a copy of their existing equipment's anticipated repair and
replacement schedule and five-year capital improvement plan.
New
Hampshire
Small systems must develop an asset management plan (termed a business plan) for the entire
system.
New Mexico
"At risk" utilities are required to prepare asset management plans (CWSRF only).
Ohio
Asset management is being used as the demonstration of capability that is required prior to
loan award.
Oklahoma
There is a requirement for DWSRF loan recipients that they conduct basic asset management
activities. This is assessed via a Capacity Development Assessment conducted on the water
system prior to loan closing and approval. The Capacity Development Coordinator will assist
systems to develop proper asset management procedures when needed.
Rhode Island
Requires all small PWSs to work with a contracted vendor to develop a Facilities Improvement
Plan that incorporates asset management planning principles, recommendations, and data.
Virginia
For construction loans, asset management planning can be a condition of the loan. In this case,
the asset management plan costs are included in the Engineering Costs for the project.
Washington
Requires that all PWSs have a comprehensive plan that includes aspects of asset management,
including a balanced budget, list of planned improvements and a plan for funding the
improvements. Currently working to incorporate all aspects of asset management into an
existing comprehensive planning document.
West Virginia
Requires, as a condition in bonds, for systems receiving West Virginia Drinking Water
Treatment Revolving Fund (DWTRF) funding to also track compliance with SDWA
requirements. Submits asset management plans as a condition of the loan.
Asset Management Regulatory Activities
State	Description
Asset Management Training Requirement
Hawaii	May adopt admin rules requiring Board Training for all new PWSs and for select existing PWSs.
Louisiana	Management training is now required for all PWSs under an Administrative Order.
8

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State
Description
Maine
Asset management training is required for PWSs that will receive principal forgiveness for at
least 20% of the DWSRF loan amount, based on qualifying as a Disadvantaged Community
System.
Ohio
Rural Community Assistance Program (RCAP) asset management training is required for
disadvantaged communities.
Asset Management Questions within Sanitary Survey
Arkansas
During the sanitary survey, systems are asked if they have a long-range plan on file that is less
than ten years old.
California
Currently creating, piloting, and planning to implement a financial management checklist to be
used in sanitary surveys. The checklist includes questions regarding asset management
inventories and plans.
Connecticut
Incorporated additional questions on asset management into the sanitary survey. Questions
are also included in the capacity assessment tool that is updated during each sanitary survey
for CWSs.
Georgia
Include asset management related questions and language in sanitary survey report.
Hawaii
Technical, managerial, and financial (TMF) capacity questions are included in the sanitary
survey inspector questions.
Illinois
A capacity development questionnaire is completed during the sanitary survey for community
water supplies, and the questionnaire includes questions regarding asset management.
Kentucky
Systems are asked if they have an asset management plan; asset management planning
resources are discussed and distributed during the sanitary survey.
Louisiana
Incorporates basic financial questions on asset management into the sanitary survey.
Massachusetts
Asset management questions and language have been added to the sanitary survey report.
Asset management planning resources are discussed and distributed during the sanitary
survey.
Michigan
CWSs serving more than 1,000 people are required to have an asset management program.
Engineers check to make sure that the systems have an asset management program when they
conduct the sanitary survey.
Missouri
On-site technical assistance for asset management is provided by staff during sanitary surveys.
New Hampshire
Includes asset management questions and language in sanitary survey report.
New Mexico
System is asked if it has, or is in the process of developing, an asset management plan.
Ohio
Asset management questions are incorporated into the sanitary survey process.
Pennsylvania
Asset management questions have been added to Module 8 of the Sanitary Survey Checklist
for full inspections of water systems.
Vermont
Questions regarding asset management are asked during the sanitary survey.
Virginia
Sanitary surveys include basic questions regarding the use and implementation of asset
management plans.
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State
Description
Washington
In 2011, incorporated additional financial/managerial questions, some of which confirm
whether the system completed a component inventory and assessment, list of system
improvements, and operating budget. Once asset management requirements are integrated
into the planning document, they are planning to add a question verifying that asset
management has been incorporated.
Wisconsin
Discuss capital improvement/replacement plans, and preventive maintenance plans during
surveys.
Asset Management Planning Requirements
Arkansas
All CWSs and non-transient non-community water systems (NTNCWSs) in Arkansas are
required to have a written long-range plan addressing projected needs for source, treatment,
storage, and distribution for at least 10 years, and must demonstrate the system's technical,
financial, and managerial capacity to comply with the SDWA.
Connecticut
Public Act 18-168 requires PWSs serving less than 1,000 people to develop asset and fiscal
management plans and update such plans annually. This must be completed no later than
January 1, 2021.
Georgia
Requires new community and non-transient non-community water systems (NTNCWSs) to
submit a business plan (containing elements related to asset management).
Hawaii
Requires all new PWSs to have a sustainable business plan that contains elements of asset
management (e.g., reserve replacement fund).
Kansas
CWSRF loans require a fiscal sustainability plan that includes an asset inventory and a plan for
replacement of those assets.
Kentucky
Plans to incorporate asset management concepts into Wastewater Planning Regulations (401
KAR 5:006) (Wastewater only).
Massachusetts
Requires all new or substantially modified PWSs to demonstrate capacity. Massachusetts
Department of Environmental Protection may require a system to undertake planning and to
implement actions identified in the planning document if there is also technical violation.
Michigan
CWSs serving more than 1,000 people are required to have an asset management program.
New Hampshire
Included in capacity development regulations. Small systems must develop an asset
management plan (termed a business plan) for the entire system. Large systems are required
to develop an Asset Management Maintenance and Renewal Plan for the funded asset(s).
New Jersey
The Water Quality Accountability Act (N.J.S.A. 58:31-1 et seq.) became effective on October 19,
2017 and require asset management plans for all PWSs with more than 500 service
connections. The act lists specific requirements that must be addressed in the plan, including a
water main replacement schedule.
Ohio
Senate Bill 2 section 6109.24(B) requires PWSs to demonstrate technical, managerial and
financial (TMF) capability of the system to comply with rules by developing an asset
management program by October 1, 2018.
Pennsylvania
Current regulations require the development of a business plan during the permitting process
for new water systems.
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State
Description
Rhode Island
Elements of the Water Supply System Management Plan incorporate asset management
principles such as system management, including system safety and reliability, infrastructure
maintenance, repair, and reduction of leakage (TITLE 46 Waters and Navigation CHAPTER 46-
15.3 Public Drinking Water Supply System Protection) (Drinking Water only).
Washington
Currently working to incorporate all aspects of asset management into an existing
comprehensive planning document. All PWSs are required to have a water system planning
document. The details of this requirement are not yet complete.
Asset Management within Capacity Development Strategy
Alabama
Capacity Development Studies of PWSs are conducted, and asset management is included in
the study. Once the state reviews a capacity development study, it is sent to the water system
for their review and a request is made for an official response from the system. If no response
is received, enforcement action against the system is considered by the state.
Arizona
Includes asset management principles in Capacity Development Strategy.
Colorado
The first strategic goal of Colorado's Capacity Development Strategy contains the provision to
provide continued one-on-one water system training and technical assistance through the local
assistance unit's capacity coaching and training workgroup, other Safe Drinking Water Program
groups and other technical assistance providers. Provided training may and has included asset
management.
Connecticut
Includes asset management principles in Capacity Development Strategy.
Georgia
Includes asset management principles in Capacity Development Strategy.
Illinois
Includes asset management principles in Capacity Development Strategy.
Kansas
Includes asset management principles in Capacity Development Strategy.
Kentucky
2008 revision of its Capacity Development Strategy includes a discussion on the importance of
planning for infrastructure maintenance and replacement.
Louisiana
Includes asset management principles in Capacity Development Strategy.
Maine
The Capacity Development Strategy Implementation Plan includes asset management training
and support.
Massachusetts
Includes asset management principles in their Capacity Development Strategy.
Michigan
Performs asset management reviews and financial assessments.
Missouri
Systems commencing operation after October 1, 1999 must prepare a five-year capital
improvement budget and capital improvement plan.
Nebraska
In the future, may include asset management within the strategy because of the importance of
planning for infrastructure maintenance and replacement.
New Mexico
Includes asset management principles, training, and an understanding of plan implementation
in the Capacity Development Strategy and capacity assessment process.
Ohio
Capacity Development Strategy has been revised to require asset management.
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State
Description
Oklahoma
Capacity Development Strategy includes a directive that set-asides may be used to promote
asset management at public water supplies. This potential use of set-aside money is currently
being explored.
Pennsylvania
The need for an asset management plan is a capability weakness that is identified during
Technical, Managerial, and Financial (TMF) assessments that are conducted by the Capability
Enhancement Facilitators.
Rhode Island
Uses set-asides to fund Facilities Improvement Plans for small community and non-transient,
non-community water systems (NTNCWSs). The state is also developing a contract to work
with a vendor to provide training on financial and managerial capacity (including asset
management) to systems receiving principal forgiveness or below-market interest rates.
Vermont
Capacity Development Strategy includes asset management principles.
Virginia
Asset management will be assessed for inclusion during the next strategy update.
Washington
Comprehensive planning is a fundamental component of Washington Department of Health's
(DOH) Capacity Development Strategy. All systems are required to plan, and planning
requirements include aspects of asset management, including a balanced budget, list of
planned improvements and a plan for funding the improvements. They are planning to update
Capacity Development Strategy starting in 2018.
Asset Management and the Infrastructure Needs Assessment
Connecticut
Utilizes asset management plans while assessing the PWS needs during the Drinking Water
Infrastructure Needs Survey and Assessment (DWINSA).
Illinois
Utilizes the Drinking Water Infrastructure Needs Survey and Assessment (DWINSA) as an
opportunity to encourage asset management planning. The information provided regarding
inventory and other planning data gathered for the DWINSA raises awareness and can open a
dialogue between state regulators and local officials (Drinking Water only).
Indiana
Every four years, Indiana has an opportunity to increase funds available to drinking water
systems via the Drinking Water Infrastructure Needs Survey and Assessment (DWINSA) During
a DWINSA year, a sample of drinking water systems are asked to provide information related to
20-year capital improvement needs. The results of the survey directly impact the Indiana
DWSRF Loan Program's national allotment.
Massachusetts
Provides all the PWSs that they are working with for the Drinking Water Infrastructure Needs
Survey and Assessment (DWINSA) an asset management plan based on the inventory and other
existing planning data gathered.
Michigan
Performs needs assessments by reviewing capital improvement plans, as well as their asset
management program.
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Asset Management Assistance Activities
State
Description
Asset Management Training
Arizona
Developed asset management module under management training track in FY17; expanded to
full-day workshop in FY18 where PWS brings requested data to begin an asset management
plan during workshop.
California
Uses DWSRF set-asides for asset management training and technical assistance. This includes
on-line trainings, web-based tools, and on-site technical assistance, as needed.
Colorado
Employs a Managerial and Financial Capacity and Training Specialist to provide water system
asset management training and technical assistance upon request.
Connecticut
Contracted Rural Community Assistance Partnership (RCAP) to provide a series of three Asset
Management Training Workshops between 2016 and 2018.
Florida
Florida Rural Water Association (RWA) conducts activities as discussed in DWSRF set-asides
section above.
Idaho
Workshops have been conducted to introduce the SMART Management Financial tool to
operators.
Illinois
Water Loss Accounting Project - the Illinois Environmental Protection Agency partners with the
Illinois Environmental Resource Training Central, Illinois Rural Water Association (RWA), Illinois
Section of the American Water Works Association (AWWA), and other state and local
stakeholder groups to provide feedback on educational programs for water supply officials.
Asset management training has been provided as part of these training opportunities. A
request for proposal bid review was initiated on April 23, 2018, and the contract should begin
in May 2018.
Iowa
Sponsored EPA's Advanced Asset Management Training.
Kansas
Provides training workshops for systems interested in developing an asset management
program and provides the tools needed to start that development.
Kentucky
Capacity development staff have developed an asset management training, which includes
hands-on exercises. This training has been delivered at various meetings, including Area
Development Districts, Rural Water, Rural Community Assistance Partnership (RCAP), and
Kentucky Water and Wastewater Operators' Association (Drinking Water only).
Louisiana
Asset management training courses are offered at Louisiana Rural Water Association (RWA)
conferences.
Maine
The Capacity Development Training Reimbursement Fund (TRF) allows training providers to
receive funding for training PWS operators, owners, and personnel. Asset management training
is eligible for TRF funding.
Massachusetts
Provides web-based resources, tools, fact sheets, and self-assessments (based on
Washington's). Massachusetts Department of Environmental Protection (DEP) will also provide
class room training as resources allow.
Michigan
Makes training available for any water supply who requests it. In addition, they offer training
through the financial assessments.
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State
Description
Minnesota
Asset Management Training is provided by Minnesota Rural Water Association (RWA).
Mississippi
Provides free training on asset management for water systems. The training is provided as two
seven-hour training sessions, focusing on the five core questions of asset management
framework, long term funding plans, rate setting, and implementation.
Missouri
Partners with technical assistance providers, like Environmental Finance Centers (EFC), to offer
asset management training.
Montana
Contracts with Rural and Tribal Environmental Solutions to offer asset management training,
outreach, and on-site assistance to water systems.
New Hampshire
Annual workshops are held with several opportunities to expand asset management
knowledge.
New Mexico
Funds asset management classroom trainings and provides individual assistance with plan
development as well as DWSRF set-aside funds.
North Carolina
Provides training for potential applicants to apply for the Asset and Inventory Assessment (AIA)
grants (as well as all the other funding programs).
North Dakota
Uses set-aside funds to implement training through technical assistance providers.
Ohio
Maintains an asset management webpage with resources, rules, training, and templates.
Oklahoma
The Capacity Development Program regularly conducts outreach training, of which asset
management is a part. Outreach training is conducted several times a year at locations across
the state.
Pennsylvania
The Environmental Finance Centers (EFC) occasionally offers a one-day Asset Management
Workshop through the EPA Technical Assistance Grant. In addition, Pennsylvania Department
of Environmental Protection (DEP) offers a two-hour web-based training course on Earthwise
Academy called "Leadership and Decision Making for Sustainable Water and Wastewater
Infrastructure" that discusses the benefits of asset management.
Rhode Island
Developing a contract to work with a vendor to provide training on financial and managerial
capacity (including asset management) to systems receiving DWSRF principal forgiveness or
below-market interest rates.
Texas
Asset management training is provided by Texas Commission for Environmental Quality (TCEQ)
as well as other assistance providers both on-site and as a classroom exercise.
Vermont
Education and training is offered through asset management training workshops, Vermont
Rural Water Association (RWA) classes, and Rural Community Assistance Partnership (RCAP)
classes (Drinking Water only).
Virginia
Working to establish an Asset Management Workgroup to include members that can train
waterworks staff to conduct asset management assessments, as well as train other technical
assistance providers on asset management.
Washington
Contracts with Rural Community Assistance Corporation (RCAC) to provide training and
technical assistance. Evergreen Rural Water of Washington also provides training and technical
assistance within the state.
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State
Description
West Virginia
Capacity Development staff developed an asset management training which includes
presentations and guidance documents. This training has been delivered to Rural Water and
Rural Community Assistance Partnership (RCAP).
Asset Management Outreach
Arizona
Promotes asset management in management training track and on Capacity Development
website. Provides technical assistance through the Capacity Development technical assistance
program.
California
Uses DWSRF set-asides for asset management training and technical assistance. This includes
on-line trainings, web-based tools, and on-site technical assistance, as needed.
Connecticut
Conducts outreach to small system owners/operators to offer contracted asset management
trainings.
Delaware
Works through the Capacity Development Program and the Rural Water Association (RWA) to
encourage systems to have an asset management plan (Drinking Water only).
Illinois
Water Loss Accounting Project - the Illinois Environmental Protection Agency partners with the
Illinois Environmental Resource Training Central, Illinois Rural Water Association (RWA), Illinois
Section of American Water Works Association (AWWA), and other state and local stakeholder
groups to provide feedback on educational programs for water supply officials. Asset
management training has been provided as part of these training opportunities.
Kentucky
Asset management planning resources are discussed and distributed during the sanitary
survey. Asset management fact sheets are provided to systems to give to boards (Drinking
Water only).
Louisiana
Promotes asset management in trainings and through third party technical assistance
providers.
Maine
Asset management is discussed during capacity development reviews. Development of an
asset management plan is strongly recommended if a PWS does not have one.
Massachusetts
Technical assistance staff provide program support for the development and implementation
of various SDWA programs, including but not limited to: Lead & Copper Rule, Lead Service Line
Replacement program, Per- and Polyfluoroalkyl Substances, Revised Total Coliform Rule and
Level 1 and Level 2 surveys, distribution systems operations, hydraulics, storage, maintenance
operations, and technical treatment issues.
Michigan
Offers seminars on asset management, as well as outreach related to the financial
assessments.
Montana
Rural and Tribal Environmental Solutions, under contract with the Montana Department of
Environmental Quality (DEQ), offers asset management training, outreach and on-site
assistance to water systems.
New Hampshire
Provides asset management outreach via Small Systems Help Center Webpage, which lists
asset management forms.
New Mexico
Promotes asset management for both funding and Capacity Development programs.
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State
Description
North Carolina
Conducts outreach regarding the importance of asset management and planning grant
opportunities.
Ohio
Conducts outreach to all PWSs regarding asset management requirements, emails,
presentations, webinars, and workshops.
Oklahoma
Capacity Development Program regularly conducts outreach training, of which asset
management is a part. Outreach training is conducted several times a year at locations across
the state.
Pennsylvania
The Operator Outreach Assistance Program can provide one-on-one assistance to small water
systems to develop an asset management plan.
Texas
Provides outreach on asset management at workshops, conferences, on-site visits, and in
written documents and articles.
Vermont
Education and outreach is ongoing through the Capacity Development Program, as well as
through sanitary surveys, regarding the benefits of asset management plans (Drinking Water
only).
Virginia
Developed simple small system asset inventory spreadsheets, which are available on the
Capacity Development webpage. Asset management is taught in both Management, Methods
and Money: Understanding Concepts in Capacity Development and in Establishing a Successful
and Sustainable Waterworks. Capacity development staff write articles published in Streamline
Magazine on asset management. Presentations on asset management are taught by staff
nationwide and statewide.
Washington
Asset management work group will begin a formal outreach program now that all their
recommendations have been approved by management. The group will gather feedback on
their recommendations from stakeholders prior to initiating change.
West Virginia
Provides information to water systems on asset management whether they are seeking
Drinking Water Treatment Revolving Fund (DWTRF) funding or not (Drinking Water only). They
are continuing to discuss sustainability and asset management at state conferences like the
annual Rural Water Association (RWA) conference. They are also continuing to work with sister
agencies, Bureau for Public Health (DWSRF) and the Public Service Commission, to educate
communities about asset management (Drinking Water only). With the asset management
plans received, West Virginia intends to use this information as part of the review for the
community's next project (Drinking Water only). Have presented at technical assistance
providers conferences on asset management (Drinking Water only).
CUPSS Support
Colorado
Employs a Managerial and Financial Capacity and Training Specialist to provide water system
asset management training and technical assistance upon request.
Connecticut
Contracted with Rural Community Assistance Program (RCAP) to provide one-on-one, on-site
technical assistance with CUPSS set-up and training. Also employs staff who have been
certified as CUPSS trainers through the CUPSS Train-the-Trainer program that can provide on-
site support.
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State
Description
Delaware
Funds Delaware Rural Water Association (RWA) to provide training to small municipalities in
using CUPSS and creating asset management plans. Uses set-asides to fund a CUPSS circuit
rider that targets four systems each year.
Florida
Contracted the Florida Rural Water Association (RWA) to assist small communities in
connection with SRF with their asset management planning activities, including using CUPSS.
Hawaii
Training on CUPSS is provided by Rural Community Assistance Corporation (RCAC).
Illinois
Provides support through the Illinois Rural Water Association (RWA).
Indiana
Still recommends using CUPSS; however, due to staff turnover they no longer have anyone
certificated to train systems for the program.
Kentucky
Asset management planning resources, including CUPSS, are discussed during the sanitary
survey; if a system requests assistance with installing CUPSS, Capacity Development staff will
provide support (Drinking Water only).
Maine
Rural Community Assistance Program (RCAP) Solutions provides CUPSS training and technical
assistance for DWSRF recipients receiving principal forgiveness.
Massachusetts
Promotes CUPSS for small systems.
Michigan
Offers CUPSS support to systems upon request.
New Hampshire
Developing a Pilot Program to aid up to eight communities with asset management planning.
New Mexico
Staff are trained in CUPSS, third-party training providers are also contracted to provide aid.
New York
Provides CUPSS sessions in Operator Trainings and works with the National Rural Water
Association (RWA) to provide CUPSS training.
Ohio
Contracts with Rural Community Assistance Program (RCAP) to provide free classes to PWSs.
Oklahoma
Capacity Development Program has the capability to provide support to CUPSS users upon
request. So far, systems have not requested this assistance.
Pennsylvania
One of the Capability Enhancement Facilitators and an Outreach Assistance provider are
certified CUPSS trainers.
Vermont
Provides technical assistance to small systems with CUPSS. Currently working with a system to
incorporate geographic information systems (GIS) in with CUPSS data.
Virginia
Provides CUPSS training and workshops to water systems through course training. Continues to
promote EPA's CUPSS webinar series.
Washington
Multiple staff trained in CUPSS and can provide technical assistance to CUPSS users.
West Virginia
If systems decide to use CUPSS, staff are available to provide on-site CUPSS assistance.
Wisconsin
Wisconsin Rural Water Association (RWA) offers continuing education courses on CUPSS.
On-Site Asset Management Technical Assistance
Alabama
Alabama Rural Water Association (RWA) provides on-site technical assistance for asset
management with water system.
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State
Description
Arizona
Provides on-site technical assistance through third party contractors funded through set-
asides.
Arkansas
Utilizes the capacity development and small systems set-asides to provide on-site technical
assistance to help with asset management plans.
California
Uses DWSRF set-asides for asset management training and technical assistance. This includes
on-line trainings, web-based tools, and on-site technical assistance, as needed.
Colorado
Employs a Managerial and Financial Capacity and Training Specialist to provide water system
asset management training and technical assistance upon request.
Connecticut
Contracted with Rural Community Assistance Program (RCAP) to provide one-on-one, on-site
technical assistance with CUPSS set up and training, as well as drinking water staff resources.
Florida
Developed an asset management GIS-based app (Diamond Maps) for Florida Rural Water
Association (RWA) for utilities to use at very little cost to them. Currently contracted the
development of the financial component that will work with the app using set-aside funds.
Utilities assisted under referral from SRF.
Hawaii
Continues to fund a circuit rider contract (2018-2021) with DWSRF set-asides that assists small
water systems with Technical, Managerial and Financial (TMF) priorities.
Illinois
Provides aid through the Illinois Rural Water Association (RWA).
Indiana
Asset management and budgeting for short-term and long-term infrastructure replacement
goals is provided to small PWSs to assist them in understanding the cost of operating a PWS
and developing a budget to replace their infrastructure.
Iowa
Assistance provided by the Association of Municipal Utilities can include help with asset
management plans. Their Water Supply Section is working with EPA Region 7 and Rural Water
Association (RWA) to develop hands-on asset management training for small systems (Drinking
Water only).
Kentucky
If a system requests assistance with installing CUPSS or other asset management plan drafting
assistance, Capacity Development staff will provide aid (Drinking Water only).
Louisiana
On-site technical assistance provided by Louisiana Rural Water Association (RWA) circuit riders.
Maine
Rural Community Assistance Program (RCAP) Solutions provides on-site asset management
training technical assistance to water system personnel and trustees.
Massachusetts
Asset management planning resources are discussed and distributed during the sanitary survey
(Drinking Water only).
Michigan
Offers on-site technical assistance for financial assessments.
Minnesota
Technical assistance is provided by Minnesota Rural Water Association (RWA).
Missouri
Partners with Technical Assistance Providers, like Missouri Rural Water Association (RWA) and
the Environmental Finance Centers (EFC), to provide on-site and off-site assistance with asset
management. On-site technical assistance for asset management is also provided by staff
during sanitary surveys.
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State
Description
Montana
Contracts with Rural and Tribal Environmental Solutions to offer asset management training,
outreach, and on-site assistance to water systems.
Nebraska
Nebraska Rural Water Association (RWA) is under contract with Nebraska Department of
Health to provide on-site assistance to small water systems including asset management.
Midwest Assistance Program is under contract with the Nebraska Department of Health to
provide Board/Council training including asset management.
New Hampshire
Staff works with targeted systems to develop asset management plans.
New Mexico
Provides on-site assistance by request using DWSRF set-aside funds.
New York
Provides on-site assistance to small water systems through circuit riders.
North Dakota
Uses set-aside funds to aid systems with on-site assistance.
Ohio
Contracts with Regional Community Assistance Program (RCAP) to provide on-site technical
assistance.
Oklahoma
Capacity Development Program has the capability to conduct asset management training on-
site when requested by a water system. So far, systems have not requested this assistance.
Oregon
Circuit riders can provide on-site technical assistance regarding asset management to small
communities.
Pennsylvania
Employs staff members, through the Operator Outreach Assistance Program, that provide
direct assistance with asset management plan development to drinking water utilities.
Rhode Island
Will connect eligible systems to a vendor that can provide customized financial and managerial
training including asset management topics (pending finalization of a new contract).
Texas
Texas Center of Environmental Quality (TCEQ) contractors work with entities providing free on-
site assistance including asset management.
Vermont
Asset management planning resources are discussed during the sanitary survey and on-site
support through the Capacity Development Program is offered to any water system that
requests it (Drinking Water only).
Virginia
Capacity development staff have been trained in asset management and can assist waterworks
directly. Circuit riders at both Southeast Rural Community Assistance Program (RCAP) and
Virginia Rural Water Association (RWA) have been trained in asset management and can
provide support.
Washington
Contracts with Rural Community Assistance Corporation (RCAC) to provide training and
technical assistance. Evergreen Rural Water of Washington also provides training and technical
assistance within the state.
West Virginia
On-site Technical Assistance is provided by Rural Water, Rural Community Assistance Pogrom
(RCAP), or SRF staff on an as needed basis (Drinking Water only).
Asset Management Guidance Document
Arkansas
Maintains a long-range plan guidance document for new systems and existing systems on the
state website.
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State
Description
Colorado
Managerial and Financial Capacity and Training Specialist prepared various lightweight asset
management guidance documents and templates that are designed to be used by very small
systems when other asset management tools do not meet their needs.
Connecticut
Developed asset management plan and fiscal management plan checklists utilizing EPA
Capacity Development guidance materials (e.g., Step Guides and fact sheets).
Idaho
Developed a contingency/emergency response template to assist water systems with
technical, financial, and managerial capacity requirements.
Indiana
Asset management guidance for SRF mav be found at httDs://www.in.gov/ifa/srf/2376.htm
and for drinking water at https://www.in.gov/ifa/srf/files/Self-
assessment 2015 (MACS approved).pdf.
Kansas
Developed an Asset Management and Energy Efficiency Manual.
Louisiana
Promotes EPA Step Guides for asset management.
Maine
EPA's asset management materials are used to assist PWSs with developing an asset
management plan.
Massachusetts
Currently developing guidance documents for asset management.
Michigan
Published a how-to guide and workbook, which are both available online
(httDs://www.michigan.gov/dea/0.4561.7-135-3313 3675 3691-428688--.00.html).
Montana
Contracts with Rural and Tribal Environmental Solutions to offer appropriate asset
management tools to systems in need.
New Hampshire
Developed a guidance document that is provided to systems as requested.
New Jersey
Has general asset management planning guidance for drinking water and wastewater on its
website (http://www.ni.gov/dep/assetmanagement/), as well as guidance specific to the
Water Quality Accountability Act on the website (httD://www.ni.gov/deD/watersuDDlv/g reg-
wqaa.html).
New Mexico
Has developed asset management guidance documents
(https://www.env.nm.gov/drinking water/resources/), including an asset management plan,
outline, and checklist.
Ohio
Working on guidance to coordinate with asset management rules.
Texas
Texas Center of Environmental Quality (TCEQ) has documents on asset management for water
and wastewater systems.
Vermont
Guidance documents as well as many resources are available on the state website:
http://dec.vermont.gov/water/drinking-water/capacitv-dev/asset-management (Drinking
Water only).
Virginia
Simple Asset Inventory spreadsheets are available online. Links to asset management tools are
available at the same weboage (httD://www.vdh.virginia.gov/drinking-water/caDacitv-
development/asset-management/).
Washington
Promotes EPA Step Guide for asset management.
West Virginia
Guidance documents and templates are readily available upon request or expressed interest.
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State
Description
Wisconsin
Has a short guidance document that provides some information about maintenance costs, life
expectancy of infrastructure, and preparing a capital improvement plan.
Asset Management Questions in Capacity Assessments
Connecticut
Developed Capacity Assessment Tool for PWSs that asks questions about asset management
planning.
Indiana
Systems are asked during a sanitary survey if they have an asset management program.
Kentucky
Systems are asked if they have an asset management plan during the sanitary survey.
Maine
The Technical, Managerial and Financial (TMF) Capacity Development Summary Checklist asks
if PWSs have an asset management plan.
Massachusetts
An in-depth capacity review can be done upon request for a water supply with significant
needs.
Missouri
Asset management is included in the state's biennial Technical, Managerial and Financial (TMF)
Capacity Survey. This is a voluntary survey sent to the administrative contact of each
community and non-transient, non-community water systems (NTNCWSs).
New Hampshire
In the PWS Self-Assessment for Capacity Assurance, contains "asset inventory" as an indicator.
New Mexico
Includes inquiries about the status of each component of a system's asset management plan as
part of the capacity assessment, including implementation.
Ohio
Established a capability screening tool to uncover deficiencies in capability of water systems.
Oklahoma
Capacity Development Assessment form, the DW-515b, asks if assessed systems are
conducting asset management and has space for detailed answers. The form notes that asset
management is a requirement for DWSRF borrowers.
Pennsylvania
Technical, Managerial and Financial (TMF) Assessment Tool has multiple questions related to
asset inventory and asset management plans.
Rhode Island
Capacity assessments used for new systems and systems seeking SRF funding include questions
on asset management practices.
Texas
The capacity assessment questions include items essential to asset management including
planning, maintenance schedules, and budgeting.
Virginia
The Triennial Capacity Assessment asks: "Does the waterworks have an Asset Management or
a Water Accountability Program?" and "Does the waterworks have a written Capital
Improvement Plan?"
West Virginia
Capacity Development Program Questionnaire "Do you have a written asset management
plan?" as well as specific actions that should be completed when asset management has been
implemented.
Wisconsin
Capacity evaluations require systems to understand the assets they have, the costs of
maintaining them, and how those costs will be paid for.
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State
Description
Asset Management State Specific Workgroup Meetings
New Hampshire
Bi-weekly small systems meetings within the New Hampshire Department of Environmental
Services for systems requiring extra help on infrastructure issues.
New Mexico
Multiagency Water Infrastructure Team focuses on funding water infrastructure projects, but
this group has also developed asset management guidance documents to provide consistency
in asset management plans across various funding sources in the state.
Ohio
Standing capability workgroup meets monthly to address statewide capability concerns.
Rhode Island
Through the guidance of the State's Wastewater Operation and Maintenance Section, regular
Asset Management Workgroup meetings occur where operators and municipal officials discuss
asset management issues and hear from speakers on the subject (Wastewater only).
Virginia
Working to establish an Asset Management Workgroup to include members that can train
waterworks staff to conduct asset management assessments, as well as train other technical
assistance providers on asset management.
Washington
Has an asset management work group that convened in 2017 and includes regional planning
and DWSRF staff as well as a EPA staff member. The work group has obtained approval of
recommendations to management for incorporating asset management in a comprehensive
statewide manner.
Asset Management Internal Activities
State
Description
Asset Management Training for State Staff
Arkansas
Two Capacity Development staff received a "Certificate of Completion" for the CUPSS Train-
the-Trainer Series.
California
Internal staff training for asset management and other financial management elements will be
scheduled for the 2018-2019 fiscal year.
Connecticut
Participate in all available asset management webinars provided by EPA and provide all staff
informal training on asset management principles.
Delaware
Attended CUPSS Training.
Florida
SRF staff have taken in-depth asset management training, and others will be sent to that
training as needed.
Illinois
Water loss accounting training available.
Iowa
Has sent almost all engineering staff and many field inspectors to asset management training;
building an internal work group to assess how asset management can fit into their overall
Capacity Building Program.
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State
Description
Kentucky
Capacity development staff were educated in asset management during development of
training materials. The Capacity Development Section screens webinars relating to asset
management as they are made available and attends asset management sessions at state
meetings (Drinking Water only).
Louisiana
Available at Operator Certification Conferences.
Massachusetts
Staff training sessions at regional offices to share information and experiences from around the
state.
Michigan
In 2017 and 2018, offered training about asset management to all community water supply
staff.
New Hampshire
Survey staff to receive in-house training about asset management principles.
New Jersey
Two staff members received a "Certificate of Completion" for the CUPSS Train-the-Trainer
series.
New Mexico
Staff have attended asset management training and EPA's CUPSS training and they participate
in Environmental Finance Center (EFC) sponsored Asset Management Users Group meetings.
State staff will participate in the planned performance-based training for asset management.
North Carolina
State Capacity Development and DWSRF staff have attended various asset management
trainings including some hosted by the Environmental Finance Centers (EFC) (Drinking water
only).
Ohio
Developed specialized training for state drinking water staff.
Vermont
Capacity development and Drinking Water staff have attended various asset management
trainings, including some by the Environmental Finance Centers (EFC) (Drinking water only).
Virginia
Working to establish an Asset Management Workgroup to include members that can train
waterworks staff to conduct asset management assessments, as well as train other technical
assistance providers on asset management.
Washington
Has multiple staff trained in CUPSS and are able to provide technical assistance as needed. Staff
receive training through a wide variety of resources including, Rural Community Assistance
Corporation (RCAC), Environmental Finance Centers (EFC) Network, American Waterworks
Association (AWWA), EPA and others. Once asset management has been incorporated into the
comprehensive planning document, staff and stakeholders will be trained on the changes.
West Virginia
The asset management roles are split between Capacity Development and Project Engineering
staff. The staffs asset management knowledge was refined during the development of training
materials and basic asset management spreadsheet. Staff also view webinars relating to asset
management as they are made available and attend asset management presentations.
Wisconsin
State Capacity Development and DWSRF staff have attended various asset management
trainings; survey staff receive informal training on the principals.
Considering Incentives for Asset Management in SRF Program
Delaware
Advisory council interested in creating incentives such as bonus priority points for SRF loan
recipients to implement asset management plans.
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State
Description
Florida
SRF is always looking for additional ways to incentivize asset management planning such as the
interest rate breaks, paying for the asset management plan development and possibly
requiring asset management plans for sponsors that receive principal forgiveness, which is
something that the CWSRF program has already implemented.
Hawaii
Providing $1M in principal forgiveness funding for small systems in FY19. Principal forgiveness
will provide a stimulus for these systems to utilize the DWSRF program for prioritized
infrastructure needs.
Illinois
Not currently implementing but will evaluate under future regulatory revisions or as program
matures: provide SRF priority points for asset management, funding for asset management
planning, and utilize DWSRF set-asides for asset management training/technical assistance.
Iowa
Considering adding priority points for asset management; internal discussions taking place.
Montana
Considering providing asset management training to borrowers (DWSRF only).
New Jersey
Evaluating current priority points for asset management; considering enhanced financing or
additional subsidization to promote asset management plans.
New Mexico
Considering an interest rate discount on loans for projects that will provide asset management
plans and formal rate analysis (CWSRF only).
New York
Considering providing reduced interest rate financing for DWSRF projects for water systems
with asset management deficiencies (DWSRF only).
Pennsylvania
Planning to revise ranking criteria to include sustainable infrastructure principles, including
asset management (DWSRF only).
Texas
Considering offering a subsidy to reimburse SRF applicants for asset management planning.
Washington
Offers two bonus points for an asset inventory with all major assets, life expectancy and
installation date included and one bonus point for attending an asset management training.
West Virginia
Implemented an interest rate incentive for asset management. There is an 0.25% interest rate
reduction on subsequent loans if Drinking Water Treatment Revolving Fund (DWTRF) systems
had a previously approved asset management plan and the plan has been maintained. There is
an 0.25% interest rate penalty on subsequent loans if Drinking Water Treatment Revolving
Fund (DWTRF) systems had a previously approved asset management plan and the plan has not
been maintained.
Wisconsin
Considering providing asset management training to borrowers (DWSRF only).
Considering an Asset Management Requirement
Arizona
Considering adding questions about asset management to elementary business plan
requirements.
California
After the roll-out of increased financial capacity elements during sanitary surveys, California
will research the success of other states' asset management programs and evaluate the
increased benefit from implementation of such a program.
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State
Description
Connecticut
House Bill 5151 is currently at the legislature and will require asset management and fiscal
management plans for all small CWSs
(httDs://www.cga.ct.gov/asD/cgabillstatus/cgabillstatus.asD?selBillTvDe=Bill&which vear=2018

&bill num=5151).
Illinois
Legislative Proposal through SB3080. Within 18 months of the effective date of the
amendment, this required every CWS to implement an asset management plan to inspect,
maintain, repair and renew infrastructure.
Indiana
The Indiana General Assembly passed Senate Enrolled Act 362, which became effective on July
1, 2018 and is codified at Indiana Code 5-1.2-10-16. The new law requires that all SRF
Participants that receive a loan or other financial assistance from the SRF Loan Program certify
that the SRF Participant has documentation demonstrating that it has the financial, managerial,
technical, and legal capability to operate and maintain its water or wastewater system in the
form of an asset management program. The Indiana Finance Authority (IFA) looks forward to
working with SRF Participants to facilitate a smooth transition in meeting the requirements of
the new law.
Massachusetts
Reviewing relevant compliance and enforcement documents to incorporate capacity
requirements.
Michigan
Asset management plans have been a requirement for all water systems with a population over
1,000 since January 2018.
New Hampshire
An asset management plan is required in capacity assurance regulations for systems receiving
more than 25 deficiency points.
New Mexico
Considering a requirement for asset management as part of funding (CWSRF only).
New York
Considering SRF program modifications to include asset management.
Pennsylvania
Considering legislation that could require all water and wastewater systems to implement asset
management.
Washington
Planning to incorporate all aspects of asset management into a required comprehensive
planning document for all PWSs. The details of this requirement are not yet complete.
West Virginia
Requires all Drinking Water Treatment Revolving Fund (DWTRF) recipients to maintain an asset
management plan as a Drinking Water Treatment Revolving Fund (DWTRF) funding
requirement in part of the bond documents.
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