This document summarizes a presentation on helping small and rural water utilities build resilience. It discusses the challenges small utilities face, an overview of tools and concepts for technical assistance, and emerging risks like drought and cybersecurity. Regionals can help utilities with funding acquisition, inter-organizational cooperation, planning, and community-based water resiliency beyond traditional mutual aid networks. The presentation emphasizes that resilience is a journey requiring ongoing efforts like risk assessment, emergency planning, and asset management.
1. www.efcnetwork.org
NADO ED Conference - April 12, 2023 – Denver, CO
Trainer: Jack Kartez, New England Environmental Finance Center
Water Resiliency Means Business (for you too…)
Roles for Regionals
In Supporting Small & Rural Water Utilities
This program is made
possible under a
cooperative agreement
with US EPA.
4. • Southwest Environmental Finance Center at the University of New Mexico
• Syracuse University Environmental Finance Center
• Environmental Finance Center at The University of North Carolina at Chapel Hill
• Environmental Finance Center at Wichita State University
• Environmental Finance Center at Sacramento State
• New England Environmental Finance Center at the University of Southern Maine
• Environmental Finance Center at the University of Maryland
• Government Finance Officers Association (GFOA)
• National Association of Development Organizations (NADO)
• Mississippi State University Extension
• Environmental Finance Center West
• Great Lakes Environmental Infrastructure Center at MTU
The Small Systems Water and Wastewater Teams
6. Dr. Jack Kartez – Some Trainer Background
Practice Areas: Natural Hazards & Disaster Planning
Climate Adaptation Planning & Finance
Organization Development
Local Government Finance
Founding Faculty, Texas A&M Hazard Reduction & Recovery Center, 1991
Co-Founder,, Emeritus Director New England Environmental Finance Center, 2001
7. Certificate of Completion
We are happy to provide certificates to registered attendees; but cannot guarantee that you
will be able to get specific PDH or CEU credit.
You must attend the entire session
• You must register and attend using your real name and unique email address
• Certificates will be sent via email within 30 days and are for your personal
records. Again, we cannot guarantee that this session will meet your CEU or PDH
requirements.
If you have questions or need assistance, please contact smallsystems@syr.edu.
8. • Why is there a need to help community water facilities?
• What is the current “Risk and Resilience” national rule?
• What are tools and concepts used for TA?
• What is risk anyway? What are emerging risks?
• What role is there for regionals?
Session Themes: Water Utility Resilience (and you)
9.
10. It’s not just Jackson or Flint
What Are the Challenges Facing Water Utilities?
26. • Hazard: Flood Losses to Plant
• Consequence Level (expected loss in event): $ 500,000
• Likelihood: 2% each year
• Cost of Mitigation: $3,000,000 (present dollars) Oops!
• Yet: Probability of Event Over 20 Year Asset Life = 1.0
Risk Analysis: Quantifying Decisions
Into Cost-Benefit Terms (Is Difficult)
27. Risk management allows entities to operate more effectively
in environments of uncertainty by providing the discipline
and structure in which to address these issues … risk
management is interrelated with … an entity’s
governance, performance management and internal
controls. The process of risk management provides the
rigor and structure necessary to identify and select among
alternative risk responses … to reduce risk, and the
methods and techniques [for selecting responses]. … The
process would include support and buy-in from upper
levels of management and stakeholders.
SOURCE: Heavily condensed from USGAO, 2006, “Risk Management—Further Refinements Needed to Assess
Risks & Prioritize Protective Measures at Ports and Other Critical Infrastructure.” GAO 06-91, p. 104.
Risk Management: Broad Definition
28. 1. Emergency Response Plan Status (yes,no, trained/exercised)
2. National Incident Management System (NIMS) [training/use]
3. Mutual Aid and Assistance Arrangements [scope, local-WARN-interstate]
4. Emergency Power for Critical Operations (EPCO) [1 or more days backup]
5. Minimum Daily Demand/Treatment (MDDT) [backup storage, 1 or more days]
6. Critical Parts and Equipment [lead time to acquire/deploy, 1 or more days]
7. Critical Staff Resilience (CSR) [percent of staff cross-trained or available for backup]
8. Business Continuity Plan (BCP)
9. Utility Bond Rating
10.GASB Assessment = asset management % coverage of assets index
11.Unemployment Rate in Service Area [% above/below national average]
12.Median Household Income [percent above/below state average]
** EPA “Vulnerability Self-Assessment Tool” – a research-based tool
The Utility Resilience Index in VSAT**
36. EPA’s February 2021 Re-assessment of Cyber
Threat Likelihood for Water Infrastructure
37. From the experts: cybersecurity user best practices
• Have a Cybersecurity Emergency Response Plan
• Maintain an updated inventory of hardware and software
• Perform regular cyber threat and vulnerability monitoring
• Establish complex passwords and a good password policy
• Use multifactor authentication
• Update or patch software regularly
• Utilize reputable antivirus and malware software
• Remove or disable unused features, ports, software, and devices
• Use network firewalls
• Limit remote connections to SCADA* systems
• Install independent cyber-physical safety systems (cut-outs)
There are other basic practices as well…see links in the resource document.
* Supervisory Control and Data Acquisition systems
And… most important of all train
everyone in what to do … and not!
See the “Guided Tools” Document for Resources, Next Steps
39. "Resilience is a journey,
not a destination”
SOURCE: “Water in a Changing Climate: reducing risks, leveraging
opportunities and enhancing resilience”. White Paper, March
2022: WSP Engineering and Alliance for Global Water
Adaptation
40. How Are, or Should, Your
Regional Organizations
Engage With the Water
Sector to Support Water
Lifeline Resiliency?
41. NADO case studies for the EFC TMF program:
Spurring Areawide
Collaboration for Water
Helping With Utility
Workforce Crisis
Creating Learning Resources for
Water Resiliency
Partnering Water &
Economic Development
43. “You can’t replace 27 years of intelligence in five minutes. It
just doesn’t happen.” A recent NADO RF case study explores
how the neighboring Pennyrile Area Development
District has partnered with water and wastewater systems in
its region to address institutional knowledge losses.
State and local partners came together to establish
the Hire to Operate (H2O) program . . . with grant
administration and oversight provided by GRADD.
The program’s goal is to increase the number of
certified operators in Henderson, McLean, Union,
and Webster counties through a Registered
Apprenticeship Program (RAP).
Kentucky RDO’s Workforce Initiatives for the Water Sector
44.
45. How Are, or Should, Your
Regional Organizations
Engage With the Water
Sector to Support Water
Lifeline Resiliency?
47. Areas Ripe for Regional (COG, EDD) Help
• $$$ Money (of course …)
• Accessing the Federal Aid
Expansion (ARPA, BIL)
• Promote Use of Fiscal
Health Tools (like from
EFCs)
• Promote Blended
Projects—such as CDBG
and SRF
• Knowledge and Organization
• Understanding of Risk
• Climate Trends
• Cyber Threats
• Collaboration (and connection)
with regional partners—CBWR,
Regionalization IF appropriate
(a third rail…)
• Workforce, Workforce,
Workforce!
• Other Engagement in the CED
48. Funding for Public Water Supply Enterprises
Operations & Maintenance
• Customer Rates for Service
• Property Taxes (Municipal-
operated)
• Realized Efficiencies
Capital Investment
• Revenue & G.O. Bonding
• Loans-State Revolving Funds (SRF*); Other
State Appropriations; Some
USDA Rural Development
• One-Time Grants (Some SRF has forgiveness;
some opportunities to combine w/ CDBG
projects)
• Presidential Disaster Recovery Funding (but no
better resilience)
• Hazard Mitigation Grants (e.g., FEMA-BRIC,
better resilience)
• * SRF $ plus-ups from BIL legislation.
54. Some Ideas:
• Convene Community Partners
• Help Utility Create Own CBWR Engagement--Facilitate Engagement
• Provide Technical Assistance
• e.g. Franklin COG provided the GIS support to initiate regionalization planning
• Assistant With Novel Funding Strategies
• Show Connection of Utility Security to Climate Planning
•
55. "Resilience is a journey,
not a destination”
SOURCE: “Water in a Changing Climate: reducing risks,
leveraging opportunities and enhancing resilience”. White
Paper, March 2022: WSP Engineering and Alliance for
Global Water Adaptation
