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State Guidance
States can use capacity development to efficiently target the technical, financial and managerial needs of many small systems and then directly address those needs through specific activities that help systems enter and remain in compliance. EPA developed the following reference materials to support the implementation of state capacity development programs. These documents provide more information on the purpose and importance of capacity development, particularly for small water systems, and the ways in which states and other organizations can help build small system capacity.
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Capacity Development Program Implementation
These materials provide core guidance for building state programs and offer a national vision for the future of capacity development.
- National Capacity Development Strategic Plan (PDF) (32 pp, 1.2MB)
(EPA 816-K-07-003, January 2008) This plan provides a roadmap identifying how EPA’s National Capacity Development Program will support the Office of Water’s strategic goal to improve PWS performance. - Reporting Criteria for Annual State Capacity Development Program Implementation Reports (June 2005) (PDF) (5 pp, 1.8MB)
Memo from the director of OGWDW to the Regional Drinking Water program managers. - Handbook for Capacity Development: Developing Water System Capacity under the Safe Drinking Water Act, as amended in 1996 (PDF) (141 pp, 404K)
(EPA 816-R-99-012, July 1999) A comprehensive discussion of the history and objectives of capacity development and the programs in place to support the initiative. - Guidance on Implementing the Capacity Development Provisions of the 1996 SDWA Amendments (PDF) (60 pp, 157K)
(EPA 816-R-98-006, July 1998) Information on the statutory requirements for state capacity development programs. - Building Water System Capacity: A Guide for Tribal Administrators (PDF) (6 pp, 2.8MB)
(EPA 816-K-01-006, July 2001) A handbook on understanding the importance of capacity development for tribal water systems. Provides a basic overview of capacity development and the merits of increasing small tribal systems’ technical, managerial, and financial capabilities. Includes contact information for EPA Regions and other assistance providers serving the needs of tribal water systems.
Helpful Information for State Programs
These documents offer additional guidance, suggestions and considerations for effective implementation of state programs.
- State Programs to Ensure Demonstration of Technical, Managerial and Financial Capacity of New Water Systems (PDF) (138 pp, 819K)
(EPA 816-R-01-018, July 2001) A comparative summary of innovative state programs to ensure that new water systems have adequate capacity. - Analysis on the Use of Drinking Water State Revolving Fund Set-Asides: Promoting Capacity Development (PDF) (120 pp, 2.9MB)
(EPA 816-R-06-004, December 2007) The purpose of this document is to identify the multiple uses of the Drinking Water State Revolving Fund (DWSRF) set-asides in promoting capacity development efforts. - Improving Security through Capacity Development: Capacity Self-Assessments (PDF) (12 pp, 3MB)
(EPA 816-F-05-008, November 2007) A guide to the relationship between security and capacity development and to using existing tools to help address small system security needs. - Using Technical, Managerial, and Financial Capacity to Improve System Security—Suggestions for States (PDF) (2 pp, 217K)
(EPA 816-F-07-010, November 2007) Key considerations on integrating capacity development programs and security-related activities, and security-related resources for small water systems.
History of the Capacity Development Program
The Safe Drinking Water Act (SDWA) Amendments of 1996 became law on August 6, 1996. Capacity development under the 1996 Amendments has three major components outlined in the table below:
| Section | Description |
|---|---|
| Section 1420(a) New Systems | Under penalty of Drinking Water State Revolving Fund (DWSRF) withholding, States must have a program established to "ensure that all new community water systems and nontransient, noncommunity water systems commencing operations after October 1, 1999 demonstrate technical, managerial, and financial capacity with respect to each national primary drinking water regulation in effect, or likely to be in effect, on the date of commencement of operations." |
| Section 1420(c) State Capacity Development Strategies | Under penalty of DWSRF withholding, the State must develop and implement a "strategy to assist public water systems in acquiring and maintaining technical, managerial, and financial capacity." |
| Section 1452(a)(3) Assessment of Capacity |
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However, States may provide assistance if
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- Final Report of the National Drinking Water Advisory Council Small Systems Implementation Working Group (PDF) (55 pp, 118K)
(EPA 816-R-00-012, April 2000) Findings of the working group, established in 1997 to evaluate the challenges facing small systems and the strategic options for providing capacity development assistance. - Visit EPA’s 1996 SDWA Amendments page for background information and the full text and summaries of the Amendments, which brought small systems and capacity development into focus.