California Department of Public Health Webcast Evaluation and Design of Small Water Systems Technical, Managerial, and Financial Capacity and Sanitary Surveys Dale Newkirk, P.E. & Professor Jeannie Darby
Lecture Objectives • Learn about the technical, managerial, and financial (TMF) issues of small water systems • Lean about sanitary surveys and how TMF capacity are an integral component to the survey
SDWA §1420 Capacity Development • To receive their full Drinking Water State Revolving Fund (DWSRF) allotment, States must: • Ensure all NEW CWSs and all NEW NTNCWSs have adequate capacity before commencing operation • Implement a strategy to assist PWSs in acquiring and maintaining capacity • California SDWA goes beyond the federal requirements by applying the TMF Capacity Criteria to transient non-community water systems and to water systems changing ownership.
Section 116540 Health and Safety Code No public water system that was not in existence on January 1, 1998, shall be granted a permit unless the system demonstrates to the department that the water supplier possesses adequate financial, managerial, and technical capability to assure the delivery of pure, wholesome, and potable drinking water.
SRF Incentives for Capacity Development • No SRF loans to systems that do not have adequate capacity, unless funding will: • Help the system achieve and maintain compliance, and • The system will make changes in operations to ensure capacity
Capacity Definition • Water system capacity is the ability to plan for, achieve, and maintain compliance with applicable drinking water standards • For a water system to have “capacity” it must have adequate capability in three areas: technical, managerial, and financial
Essential Elements of Water System Capacity Technical Managerial Financial
Mandatory TMF Elements • Consolidation Evaluation • Ownership • Budget Projection • Water Rights
Necessary TMF Elements • Technical Evaluation • System Description • Operators • Capacity Assessment • Plan. • Training • Organization. • Emergency Response Plan • Capital Improvement Plan • Budget Control
Examples – Systems That Have Capacity • Files complete and timely reports • Follows standard operating procedures • Demonstrates pride of ownership • Conducts effective board meetings • Has a computer and software • Attends professional meetings • Communicates well with customers • Meters and bills for cost of service
Examples – Systems That Lack Capacity • Does not answer the phone • Has an owner who is absent and uninvolved • Cannot complete timely reports • Does not review or revise rates • Cannot provide consistent service quality • Experiences high water losses • Does not maintain expense data • Has a crumbling distribution infrastructure
Technical Capacity • The physical and operational ability of a water system to meet SDWA requirements, including the adequacy of physical infrastructure and the technical knowledge and capability of personnel
Source Treatment Distribution Technical Storage Pumps Monitoring & reporting Management & operations Operator certification
Technical Capacity - Goals • The GOALS are to: • Identify system components or operating issues that are limiting the ability to consistently provide adequate water, both in quantity and quality • Develop a plan • Resolve limiting issues
Elements of Technical Capacity • The physical and operational ability of a water system to meet SDWA requirements, including the adequacy of physical infrastructure and the technical knowledge and capability of personnel • Source water adequacy • Infrastructure adequacy • System operations
a. Source Water Adequacy • Can the system reliably deliver an adequate quantity from its sources? • Demand, production capacity, average and maximum daily production • Ability to meet future demand or need to identify alternative sources • Metering • Water use records • Contingency plan and redundant sources • Water rights
a. Source Water Adequacy • Is the source of generally good quality? • Proximity to contamination sources • Monitoring and evaluating raw water quality • Treatment needed • Alternative sources
a. Source Water Adequacy • Does the system have a wellhead protection or source water protection plan? • Protect your source to minimize contamination and treatment • Proactive approach • Key is the ability to control land use in vicinity of the source where possible and to remain aware of potential land use issues
a. Source Water Adequacy • Source Water Assessment and Protection: Ground Water • Well location, construction • Classified as ground water or ground water under the direct influence of surface water (GWUDI) • Define recharge area • Identify sources of contamination within recharge area (agriculture, drainfields) • Emergency spill response plan • Awareness of land use issues and control of land use activities (where possible)
a. Source Water Adequacy • Source Water Assessment and Protection: Ground Water • Define area of contribution – e.g., watershed • Identify sources of contamination (Point and non-point sources) • Reservoir treatment • Intake protection • Emergency spill response plan • Ability to control land use activities
Source Protection Well Herbicide
b. Infrastructure Adequacy • Can the system provide water that meets SDWA standards and satisfies customers? • Want to avoid: • Maximum Contaminant Level (MCL), treatment technique violation, detect of a contaminant can create a reaction-infrastructure repair or replacement • Customer complaints (taste, odor, low pressure) – also cause a reaction – infrastructure repair or replacement
b. Infrastructure Adequacy • Assess all system components for proper operation, life expectancy, and ability to meet current and future needs • The goal is to identify which components and equipment must be repaired, replaced, or improved through strategic planning • Through an asset inventory, develop a capital improvement plan
b. Infrastructure Adequacy • Evaluate all system components and equipment • Sources, intakes, transmission mains (already discussed) • Treatment • Storage • Pumps • Distribution system
c. System Operations • Is the operator certified? • Does the operator know the drinking water standards and how to implement them? • Does the operator understand the system’s technical and operational characteristics? • Does the system have an effective O & M program?
Consolidation (M) • The water system must submit an assessment that identifies all existing public water systems located within five miles of the project water system. The assessment must determine the feasibility of incorporating into an existing water system or being owned, operated, or managed by another agency.
System Description (N) • A description of the as-built drawings maintained and procedure used to ensure as-built drawings are created for all new facilities. • A map showing the location of the system’s existing service area, each water source, treatment facility, pumping plant, storage tank and pressure zone in the system as well as all distribution system piping.
System Technical Evaluation (N) • A technical evaluation including: • Ability to comply • Assess treatment facilities for compliance • Assess the source, storage and distribution system’s design capacity • Show ability to measure the water quantity • Describe the design basis of all new facilities (SRF Loan) • An evaluation of the condition • An evaluation that identifies all critical facilities. • A prioritized list of deficiencies and needed system improvements.
Certified Operators (N) • The name and grade of certification of each operator. • Provide the name and qualifications of each person. • If the operator(s) have not been hired, a plan and schedule for hiring one. • A description of relevant training and experience.
Source Capacity Assessment (N) • A ten-year growth projection Documentation of the amount of water needed. • Description of sources currently used or proposed. • A plan and schedule to obtain additional water rights. • Description of groundwater aquifers used. • The safe yield of all well and surface water sources. • Existing source pumping, conveyance capacity, and water storage. • Documentation of water quality testing and assessment procedures. • Provide a characterization of the water quality. • Map and description of all major sources of contamination.
Operations Plan (N) a) Daily operational practices. b) Emergency operational practices. c) Flushing dead-end mains. d) Storage tank inspection and cleaning. e) Main repair and replacement. f) Consumer complaint response procedures. g) Maintenance and testing of backflow prevention devices. h) Inspecting and exercising water main valves. i) Maintenance of master flow meters. j) Responsibilities of operating personnel. k) Operation of all production, transmission and distribution facilities. l) Record keeping. m) A maintenance plan for all facilities to be constructed under the SRF program.
Training (N) • A plan for keeping the management and operators current with the requirements of managing and operating a water system. This plan can be submitted as part of the water system's Operations Plan.
Managerial Capacity • The ability of a water system to conduct its affairs in a manner enabling the system to achieve and maintain compliance with SDWA requirements, including institutional and administrative capabilities.
SDWA Compliance and Managerial Capacity • In addition to meeting standards for water quality, the SDWA requires: • Monitoring • Reporting • Consumer Confidence Report • Compliance can be an indicator of managerial capacity
Elements of Managerial Capacity • Ownership accountability • Staffing and organization • Effective external linkages
a. Ownership Accountability • Are the system owners clearly identified? • Can owners be held accountable for the system?
b. Staffing and Organization • Are operators and managers clearly identified? • Is the system properly staffed and are staff appropriately trained? • Do staff understand the regulatory requirements?
Owner, Board of Directors, or Other Oversight Body System Manager Financial Personnel Technical Personnel
c. Effective External Linkages • Does the system’s staff interact well with customers, regulators, and other entities? • Is the staff aware of available external resources, such as technical and financial assistance?
Role of Training • Professional development opportunities • New roles and skills for personnel • Training for various levels • External training opportunities • Requirements may be linked to operator certification or other programs
Ownership (M) • Description of the type of system ownership along with the name(s), address(es), and phone number(s) of the owner(s). • If Temporary ownership, then timing of ownership description needed. • If land not owned, then long term use agreement needed. • Owner must list all public water systems that are currently or have previously been owned by the applicant. • Sole proprietor must submit details of how the system will continue to be operated. • Disclosure of any encumbrances, trust indentures, bankruptcies, decrees, legal orders.
Water Rights (M) • If groundwater in an unadjudicated basin, then a copy of the deed for the parcel that the well is located on will suffice. • If the source water is subject to permit requirements under the SWRCB, a copy of the water rights permit must be included. • If groundwater is an adjudicated basin, must be demonstrated by confirming documents from the basin watermaster