Capacity Development
& the Infrastructure Crisis
New York State Department of Health
David A. Rowley, PE
Western Region Water Supply Engineer
1
Aging Infrastructure Crisis
Coming soon to your
neighborhood?
2
100 years ago...
W.H. Taft was president
Population of Las Vegas was 35
Max Speed Limit in most cities was 10
mph
and your water system was brand new
3
ASCE- 2005
Report Card for
American
Infrastructure:
Water & Wastewater
Utilities Grade?
“D”
4
AWWA- 2001
Dawn of The Replacement Era: Reinvesting in
Drinking Water Infrastructure:
“Repair and replacement of water mains will take
place during the next generation on a scale never
before seen.”
$277 billion over the next 20 years will be needed
to maintain current levels of service.
5
What is the cause?
Old piping
approaching or >100 years
new regulatory requirements
larger service areas stressing old systems
• Are these items really the reasons for this
crisis?
6
Audience PollWater system components> 50 years old?
Written asset management plan?
AMP identify critical components- Single
Points of Failure?
Written emergency response plan?
Written standard operating procedures?
Detailed record drawings?
Regular Rate adjustments?
7
Ant & the Grasshopper
Grasshoppers....
believe that pipes last forever
fail to plan for replacement
fail to charge the true value of water
fail to plan for emergencies
promote the public perception that water
should be cheap/free.
9
Water service vs TV
service?
Does anyone pay more for water?
In many cases,
We inherited this-
and turned it into-
this-
How do we achieve
sustainability?
BACK GROUND
The Capacity
Development Initiative
SDWA provides significant authority and
resources to address the small system
challenge
Among the initiatives is the Capacity
Development Program
14
BACK GROUND
Impact of SDWA on Public
Water Systems
Increased Requirements of Safe Drinking
Water Act (SDWA)
– Stricter regulatory standards
Achieving compliance places a greater
technical, managerial, and financial
burden on Public Water Supplies,
especially small systems
15
CAPACITY DEVELOPMENT
Capacity is…
• Plan
The
Ability
to
for
Achieve
and
Maintain
Compliance
with
Standards
&
Reliable
Service
Sustainability!
16
CAPACITY DEVELOPMENT
Three Elements of Capacity
Technical Capacity
Managerial
Capacity
Financial
Capacity
17
CAPACITY DEVELOPMENT
What is Capacity
Development?
Process by which water systems acquire,
maintain, and build upon their technical,
managerial, and financial capabilities.
18
CAPACITY DEVELOPMENT
Goal of Capacity
Development
• Nonviable
Capacity
• Water
• System
Grasshoppers
Development
Viable
Water
System
Ants
19
CAPACITY DEVELOPMENT
Three Elements of Capacity
Technical Capacity
20
TECHNICAL CAPACITY
Technical Capacity
The physical and operational ability of a
water system to meet regulatory
requirements
Elements of Technical Capacity
– Adequacy of source water
– Adequacy of infrastructure
– Technical knowledge/Capability of personnel
21
TECHNICAL CAPACITY
Source Water Adequacy
Does your system have a reliable and
adequate source of drinking water to meet
current and future demands and future
rules?
– Alternate sources
– Backup power or other emergency provisions
– Water rights
– transmission capability
– drought issues?
22
TECHNICAL CAPACITY
Infrastructure Adequacy
EPA definition:
• the system can provide water that meets
regulatory standards because its
infrastructure, from source through
distribution, is in good condition and has
not exceeded its useful life.
24
TECHNICAL CAPACITY
Infrastructure Adequacy
What are the condition and life expectancy
of infrastructure components (from source
through distribution)?
– Evaluate all system components for proper
operation to maintain adequate water quality
and quantity
– Asset Inventory - Identify what components
must be repaired, replaced, or upgraded
based on life expectancy and future needs
25
TECHNICAL CAPACITY
Infrastructure Adequacy
Does the system have an asset
management plan (AMP)?
– An AMP is a tool to help you plan, fund, and
carry out necessary infrastructure
replacements and improvements.
– Use the asset inventory and life expectancy
information to help develop a AMP
– 5-year projection and update every year
26
TECHNICAL CAPACITY
Technical Knowledge /
Capability of Personnel
Does the system have access to trained
personnel?
– Are operators properly certified?
– Does the system have an O&M manual?
– Standard Operating Procedures?
– Is there a formal training program for
operators?
27
CAPACITY DEVELOPMENT
Three Elements of Capacity
Technical Capacity
Managerial
Capacity
28
MANAGERIAL CAPACITY
Managerial Capacity
The expertise of the water system’s
personnel to administer the system’s
overall operations, including institutional
and administrative capabilities
29
MANAGERIAL CAPACITY
Elements of Managerial
Capacity
Ownership Accountability
Staffing and Organization
Effective External Linkages
30
MANAGERIAL CAPACITY
Ownership Accountability
Are the system owners clearly identified?
Can the owners be held accountable for
the system?
31
CAPACITY DEVELOPMENT
Three Elements of Capacity
Technical Capacity
Managerial
Capacity
Financial
Capacity
35
FINANCIAL CAPACITY
Financial Capacity
Financial resources and fiscal
management that support the cost of
operating the water system
Elements of Financial Capacity
– Revenue sufficiency
– Credit worthiness
– Fiscal controls
36
FINANCIAL CAPACITY
Revenue Sufficiency
Do revenues cover costs?
– subsidy program?
Does the system charge an appropriate
rate for water service?
Does the system have revenue to fund an
asset management plan?
37
FINANCIAL CAPACITY
Fiscal Management
and Controls
Are records maintained?
Are appropriate budgeting, accounting
and financial planning methods used?
Does the system manage its revenues
effectively?
39
ROLE IN PUBLIC HEALTH
Capacity Development
and the Owner
1.
2.
3.
4.
5.
6.
Know your system (Managerial Capacity)
Be familiar with regulations and their general
requirements (Technical Capacity)
Communicate with your operators – The top complaint
operators and other employees have about their
board/council  “They don’t listen to what I say.”
(Managerial Capacity)
Communicate with your customers (Managerial
Capacity)
Create and implement an asset management plan
(Managerial and Financial Capacity)
Ensure water rates are appropriate to finance the
operation of your system (Financial  Managerial 
Technical)
44
ROLE IN PUBLIC HEALTH
Capacity Development
and the Owner
Know where to get assistance (Technical, Managerial,
and Financial Capacity)
8. Know your staff and their job responsibilities. A clear
division of labor helps everybody know who’s doing
what, why and when. (Managerial Capacity)
9. Know your own responsibilities and liabilities
10. Plan for the future (Managerial Capacity)
– Do you know what it will take to meet future
operating demands?
– Are you prepared to handle emergencies
(contingency planning)?
- Do you have a business plan or asset management
plan?
7.
45
Questions?
David A. Rowley, PE
Regional Water Supply Engineer
New York State Department of Health
Western Region
dar08@health.state.ny.us