Strategic Planning: 

A Handbook for Small Water 

Systems 

One of the Simple Tools for Effective 

Performance (STEP) Guide Series 
Office of Water (4606M) 

EPA 816-R-03-015 

www.epa.gov/safewater 

September 2003 

Printed on Recycled Paper 
Contents 

Is This Guide for Me? ..............................................................................................................................................................................................1


What Will I Learn From this Guide? ........................................................................................................................................................................2


What is Strategic Planning? ...................................................................................................................................................................................3


How Will Strategic Planning Benefit My Water System? ........................................................................................................................................4


STEP 1: Developing a Strategic Roadmap ..............................................................................................................................................................5


Example Worksheet Defining Your Ideal, Goals, and Values.............................................................................................................................6


Worksheet: Defining Your Ideal, Goals, and Values ..........................................................................................................................................6


STEP 2: Defining Your Area of Service ....................................................................................................................................................................7


Example Worksheet: Current and Future Areas of Service ................................................................................................................................8


Worksheet: Current and Future Areas of Service ...............................................................................................................................................9


STEP 3: Assessing Your System’s Technical, Managerial, and Financial Capacity .............................................................................................. 10


Example Worksheet: Assessing Your System’s Capacity .............................................................................................................................. 11


Worksheet: Assessing Your System’s Capacity ............................................................................................................................................. 11


STEP 4: Identifying Your Options .......................................................................................................................................................................... 12


Worksheet: Identifying Options ....................................................................................................................................................................... 13


STEP 5: Analyzing and Assessing Your Options .................................................................................................................................................. 14


Example Worksheet: Assessing Your Options ................................................................................................................................................ 15


Worksheet: Assessing Your Options ............................................................................................................................................................... 16


STEP 6: Implementing Your Options ..................................................................................................................................................................... 17


Example Worksheet: Implementation Action Plan and Challenges ................................................................................................................. 18


Worksheet: Implementation Action Plan and Challenges ................................................................................................................................ 19


STEP 7: Assess and Evaluate .............................................................................................................................................................................. 20


Appendix A: Safe Drinking Water Act Primacy Agencies ...................................................................................................................................... 21


Appendix B: Tribal Contacts ................................................................................................................................................................................. 26


Appendix C: Other STEP Guide Documents ......................................................................................................................................................... 27

Is This Guide for Me? 

This guide is designed to help owners and operators of community water systems (CWSs) and non-transient non-community water systems 

(NTNCWSs) serving 3,300 people or fewer learn more about the strategic planning process and begin to develop a strategic plan. CWSs include all 

systems (both publicly and privately owned) with at least 25 year-round residential customers or 15 year-round service connections. NTNCWSs 

include all systems (both publicly and privately owned) that are not CWSs and that serve at least 25 of the same people for more than six months a 

year. Typical systems that may find this guide useful include: 

 Small Towns  Manufactured housing communities 

 Rural Water Districts  Homeowner’s associations 

 Tribal Systems  Factories, religious institutions, and 

schools with their own water supplies 

This guide presents basic concepts on strategic planning for small water systems and explains how this process can help improve your technical, 

managerial, and financial capabilities. It provides background information on the process of strategic planning and a series of worksheets from which 

you can begin to develop a written strategic plan. Your State or Regional Tribal Capacity Development Coordinator can provide additional information 

and help you tailor your strategic planning process or written strategic plan to your specific circumstances. For a complete list of state and tribal 

contacts, see Appendices A and B. 

Additional copies of this guide may be obtained by calling the Safe Drinking Water Hotline at (800) 426-4791. You may also download the guide 

from EPA’s Safe Drinking Water Website at www.epa.gov/safewater/smallsys/ssinfo.htm. 

1

What Will I Learn From this Guide? 

The U.S. drinking water industry is facing many key challenges in the 21st 

century. These include replacing aging infrastructure, meeting extensive 

regulatory requirements, operating in an environment with increased competition 

and public expectations, and ensuring system security and safety. 

To meet these challenges and continue to provide a safe and reliable water 

supply, systems will need to be prepared and ensure that technical, managerial, 

and financial structures can respond to changing circumstances. Strategic 

planning can help prepare your water system to meet challenges and maintain 

organizational and financial stability in an uncertain future. 

This guide will: 

 Explain the concept of strategic planning; 

 Explain the benefits of strategic planning for small water systems; and, 

 Illustrate the steps you can take to start the planning process and begin to develop a strategic plan. 

This guide contains a series of worksheets to help guide you through the strategic planning process. Your State or Regional Tribal Capacity 

Development Coordinator can help you fill in the worksheets and develop, implement, and maximize the benefits of, strategic planning. 

2

What is Strategic Planning? 

The idea of strategic planning is to ‘plan today for an uncertain tomorrow.’ It 

can help you address both problems that you know will arise in the future, 

and problems that you can’t predict. It can help your system succeed in a 

changing environment. 

A written strategic plan can be the end result of the planning process. It is 

typically a short document that summarizes what your water system does, 

why it does it, what it is trying to accomplish, and how it will meet its goals 

and values.1 Systems that do not develop a written plan should still engage 

in the strategic planning process. 

There are 7 steps to strategic planning: 

1. Developing a strategic roadmap. 

2. Defining your area of service. 

3. Assessing your system’s technical, managerial, and 

financial capabilities (i.e., its capacity). 

4. Identifying your options for fulfilling your area of service. 

5. Analyzing and assessing your options. 

6. Implementing your options through an action plan. 

7. Evaluating your options. 

Developing a Strategic Roadmap 

Implementing your Action Plan 

Defining your Area of Service 

Assessing TMF Capacity 

Identifying your Options 

Analyzing and Assessing your Options 

Evaluating the Planning Process or Written 

Plan 

The 7 Steps of Strategic Planning 

Plan 

To plan strategically or to draw up a written strategic plan, you will need to look at all aspects of your system and develop values and goals. While 

this could lead to organizational, financial, or technical changes in the way your system operates, the benefits of strategic planning will make your 

efforts worthwhile. 

1 For more information on strategic planning, see: http://www.allianceonline.org/faqs.html 

3

How Will Strategic Planning Benefit My Water System? 

In general, small water systems draw up formal plans for important capital improvements projects and when such plans are required (e.g., for 

permits, licenses, rate review processes, etc.). This kind of long-range planning typically involves developing a goal and a series of milestones that 

will be met over a certain period of time. However, it typically does not prepare systems to successfully respond to unknown or changing 

conditions, nor does it involve improving operations and management. Strategic planning on the other hand, will not only guide these infrastructure 

improvements, but will also focus the use of limited resources on previously defined priorities, improve decision making, and enhance 

responsiveness and performance of a system. 

For example, system security has recently become a top priority for systems. Traditional long-range planning can provide a time frame and plan of 

action for systems to make needed security-related improvements or otherwise upgrade security measures. Strategic planning will not only provide a 

road map for accomplishing these tasks, but will also prepare your system to effectively respond to unexpected events, while accomplishing the 

overall goals and objectives of your system. 

Strategic planning can: 

 Help you understand what services your system currently provides and what services you would like to provide in the future to best 

serve your customers. 

 Allow you to concentrate on making good decisions now so that your system will be successful in the future. 

 Focus your energy and resources. 

 Ensure that system employees, owners, and managers are all working toward the same goals. 

“If it ain’t broke, don’t fix it” is not a sensible approach to planning. It does not allow your water system to prepare for and adapt to changing 

circumstances. Strategic planning will. 

4

STEP 1: Developing a Strategic Roadmap 

The first step in learning how to plan strategically and create an effective strategic plan, is developing a strategic roadmap and defining your ideals, 

goals, and values. A strategic roadmap will help you determine the purpose of strategic planning for your system, and what you intend to gain from 

the process. Ultimately, your answers will provide a guide, or roadmap, by helping you shape your actions to meet your ideals, goals, and values. 

Consider the following questions: 

1. What is your system trying to accomplish, and why? 

Answering this question will help you understand what the day-to-day purpose of your system is, 

and the fundamental reasons for its existence. 

2. How can this be accomplished? 

Answering this question will help you understand how to achieve your purpose (defined by 

answering question 1). 

Your answers to these questions should address both the practical operation of your system (e.g., achieving delivery of clean water to customers 

through proper treatment and storage methods), and the broader goals of which system personnel should be aware (e.g., public health protection). 

Your answers to these questions would also serve as a basis for vision and mission statements in a written strategic plan should your water system 

decide to do one. Once you have considered your answers to the above questions, the following worksheet will help you develop your own strategic 

roadmap by asking you to address your system’s: 

Ideals An image of what your system should become. 

Goals The day-to-day and overall operation and management objectives or aspirations for your system. 

Values	 The beliefs you would like to guide your system’s employees; explain what is most important to your system and your 

system’s employees. 

A completed example and a blank worksheet are provided. Once you have defined your goals and values, you will need to assess whether the way 

in which your system is currently being maintained, managed, and operated is helping to accomplish these goals or promote these values. 

5

Worksheet: Defining Your Ideal, Goals, and Values


S trategic Roadmap

I deals

G oals

( according to priority)

V alues

E xample - Strategic Roadmap

I deals

The XYZ Water System will provide safe, clean drinking water to its customers by

ensuring the safety and security of its supply and the system, meeting or exceeding

existing and new federal and state regulations, and consistently evaluating and

improving management and operations.

G oals

( according to priority)

To meet or exceed all water quality standards and customer expectations, have an

adequate and safe supply of water, and provide water at a reasonable cost.

V alues

To conduct our business in a way that builds consumer confidence, promotes a

supportive work environment, protects public health, and minimizes cost while still

providing superior service and product.

6

STEP 2: Defining Your Area of Service 

Defining your area of service involves deciding which functions or roles your 

system will or will not be responsible for. It is important to note that not every 

system is suited to provide every service. Defining your area of service will 

focus the strategic planning process and allow you to more effectively meet 

your goals and fulfill your values. 

Water systems can provide a number of services in the areas of source water 

development and protection; drinking water treatment; treated water storage, 

transmission, and distribution; and retail customer services. Nowadays, 

security issues are also a major concern.2 The following worksheet will allow 

you to define your area of service including your current roles and functions and 

provides space for you to list the services, roles, and functions you would like 

to provide in the future. 

When filling in the worksheet, consider whether you have been successful in 

performing all of your roles or if there are services that you have had trouble 

providing effectively. Ultimately, you may decide to expand or limit your 

system’s functions. For example, a system may choose to purchase treated 

water from a wholesale provider and concentrate its efforts on distribution and 

retail customer services. Both a completed example and a blank table are 

provided. The example is not exhaustive, but gives an indication of the things 

you might want to consider regarding expanding, reducing, or altering your 

system’s roles. 

WATER SYSTEM ORGANIZATIONAL STRUCTURES 

A water system’s organization can be divided into three 

parts: 

• Governance focuses on 

accountability and provides 

direction to and oversight of, 

the overall operation and 

management of the water 

system. 

• Management focuses on 

responsibility and controls 

the day-to-day operation and 

management of the system. 

Strategic planning is a 

function of management. 

• Operations focus on performance and must 

meet certain performance standards. 

2 For more information on the measures you can take to assess and improve your system’s security see ASDWA/NRWA’s “Security Vulnerability SelfAssessment Guide for Small Drinking Water Systems,” November 2002, and other security-related information on ASDWA’s Web site 

(http://www.asdwa.org/) and EPA’s Water Infrastructure Security Web site at http://www.epa.gov/safewater/security/index.html. 

7

Example Worksheet: Current and Future Areas of Service


E xample

A rea of Service C urrent Role F uture Role

S ource water

d evelopment &

p rotection

Conduct routine O&M, compliance

monitoring, well head protection;

implement source water protection plan

Continue current role, address and finance

security-related measures, and consider the

development of a new source to meet future

demand

W ater treatment

Conduct routine O&M, compliance

monitoring, lab analysis, asset

maintenance, operator training

Continue current role but consider optimizing

treatment processes, purchasing treated water,

or installing additional treatment to meet new

regulations

T reated water

s torage &

d istribution

Conduct routine O&M; compliance

monitoring; leak detection and repair;

storage tank inspection, repair,

rehabilitation; corrosion control

Continue current role but consider contracting

out for O&M service or consolidating with nearby

systems, and secure financing to replace pipes

and mains on schedule

R etail customer

s ervice

Install new connections; conduct meter

installation and rehabilitation; meter

reading; billing and collections

Continue current role but consider partnerships

with nearby systems to provide better retail

customer services at a lower cost and begin to

review rates on an annual basis

S ecurity issues

Install and maintain fencing around

critical system components

Maintain fencing; consider having staff patrol

the system to discourage trespassing and

tampering; work with local and state officials to

develop an Emergency Response Plan ERP)

conduct a vulnerability assessment

( ;

8

Worksheet: Current and Future Areas of Service


A rea of Service C urrent Role F uture Role

S ource water

d evelopment &

p rotection

W ater treatment

T reated water

s torage &

d istribution

R etail customer

s ervice

S ecurity issues

9

STEP 3: Assessing Your System’s Technical, Managerial, 

and Financial Capacity 

An important part of strategic planning involves assessing your system’s capabilities. You

may already have some of this information in the form of self-assessments, sanitary

surveys, and loan and permit application data. Assessing your capabilities includes an

assessment of your:

 Physical infrastructure3 and operational abilities (technical capacity). This includes

deciding whether processes need to be changed or improved upon, and assessing

the technical knowledge and qualifications of your system’s operators. For

example, consider the number of Continuing Education credits earned by operators,

their understanding of new and upcoming regulations, and their level of certification.

 Institutional and administrative abilities (managerial capacity) and deciding whether

your system’s affairs are conducted in a manner that enables you to maintain

compliance, operate efficiently, and meet customer expectations.

 Ability to acquire and manage financial resources (financial capacity) and deciding whether you will be able to continue current operations,

make necessary repairs and replacements, and afford upgrades.

Knowing your strengths and weaknesses in these three areas will help you refine your goals to focus on areas that need improvement, and

capitalize on your strengths. The following worksheet provides space for you to note your strengths and weaknesses in the three components of

capacity. Both a completed example and a blank table are provided.

3 Assessing your system’s capabilities should involve an in-depth inventory of your system’s infrastructure. This can be completed through the development

of an asset management plan. Asset management is a planning process that ensures that you get the most value from each your assets, and have the

financial resources to repair and replace them when necessary. Successful asset management depends on knowing about the condition and value your

system’s assets and regularly communicating with management and customers about future needs. This understanding is key to developing a thorough

and useful strategic plan. For more information on Asset Management, see EPA’s Asset Management Guide (EPA 816-R-03-016), which can be obtained by

calling the Safe Drinking Water Hotline (1-800-426-4791).

10

Worksheet: Assessing Your System’s Capacity4


C apacity S trengths W eaknesses

T echnical

M anagerial

F inancial

C apacity S trengths W eaknesses

T echnical

Reliable source of drinking water; little

trouble meeting SDWA standards; system

operator is properly certified.

Outdated asset inventory and no asset management

plan; have not addressed needed security upgrades.

M anagerial Good relationship with customers and

regulators; operator properly trained.

Part time operator; board members not trained on

upcoming regulatory requirements.

F inancial

Books and records are maintained according

to generally accepted accounting principals;

budget reviewed annually.

Lacking detailed valuation of assets; reserve

account not fully funded; rates have not been

reviewed since rate setting hearing.

4 Remember to consider:

•For technical capacity - the adequacy of your source water, physical infrastructure, operator expertise and knowledge, and overall

operations and maintenance.

•For managerial capacity - your system’s ownership structure; staffing and organization; and relationships with customers, regulators,

and technical assistance providers.

• For financial capacity - your system’s revenues, credit worthiness, and fiscal management and controls.

11

STEP 4: Identifying Your Options


At this point in the strategic planning process, you have defined your

current services and roles and decided what services you would like to

provide in the future. You should also have a good understanding of the

strengths and weaknesses in your technical, managerial, and financial

capabilities. This information will allow you to identify a range of options to

best fulfill your goals and values.

One goal of strategic planning is to fully consider the widest possible range

of alternatives over a long-term time frame and not just choose the “quick

fix”. This involves thinking about options that can be implemented within

your system’s current structures, and options that may require reorganizing

or fundamentally changing your system’s ownership, managerial,

operational, and physical structures.

The worksheet on the next page provides space for you to list options for

your system. List as many options as you can think of even if they do not

seem feasible. An option that does not seem feasible in the near term may

be more feasible in the longer term and other options may be more feasible

when implemented in combination. You will assess each option in Step 5.

Some examples of strategic options appear in the box to the right. For

additional ideas talk to your State or Regional Tribal Capacity Development

Coordinator. Contact information appears in Appendices A and B.

Strategic Options Examples 

Purchase wholesale treated water while

continuing to serve as a distributor

Build stakeholder involvement and community

interest in source water protection program

Physically interconnect with another system

Develop an asset management plan and

capital improvement plan, and research

potential funding sources for infrastructure

improvements

Contact local authorities to discuss working

with system staff to conduct frequent patrols

of the system and developing an Emergency

Contact List

12

Worksheet: Identifying Options


A rea of Service O ptions

S ource water

d evelopment and

p rotection

W ater treatment

T reated water

s torage and

d istribution

R etail customer

s ervices

S ecurity issues

13

STEP 5: Analyzing and Assessing Your Options 

In order to thoroughly assess your options and determine their feasibility, you must consider the long-term economic, regulatory, and implementation


impacts the options will have on your system. Options can impact a technological aspect of your system (source water development and protection,


treatment, storage and distribution) or an organizational aspect (retail customer services, operation and


management, ownership).


Pursuing an option, or combination of options, could result in reorganization or a change to your ownership or


management. Other options may be easily worked into the current structure and operating environment. The


optimal choice is one that will achieve your goals at the lowest possible cost and allow you to succeed in a


dynamic environment.


To fully assess each option, consider the following questions:


� How will this option affect the technical, managerial, and financial capacity of the system?


� Is the option consistent with your system’s goals and values?


� Will implementing the option ensure continued compliance with current and future regulatory standards?


� Is the total cost of choosing and implementing this option within your system’s current or potential financial means?


� Will the option be accepted by the governing board, town managers, the community, and regulators?


� Will the option increase the quality or reliability of service and be accepted by customers?


� Will the option positively or negatively impact system security?


� Can this option be practically implemented by water system managers and operators?


The following worksheet provides space for you to consider the pros and cons for each option you identified in the previous step. Remember to 

consider future challenges that your system may encounter such as increasing regulatory requirements and customer expectations, replacement and 

major rehabilitation of physical assets, and maintaining and upgrading security measures. Both a completed example and a blank table are provided. 

Once you have made your choices, you may wish to go a step further and write up a formal strategic plan. Businesses typically develop formal 

strategic plans as a management tool to: develop goals towards which all employees can work; ensure that the company is achieving the highest 

performance standards possible; and guarantee success and adaptability in a changing business environment.5 

5 http://www.allianceonline.org/faqs.html 

14

Example Worksheet: Assessing Your Options


A rea of

S ervice

O ptions P ros C ons O ptimum Solution

S ource water

d evelopment

a nd

p rotection

Implement

source water

protection plan

Will lead to a better

understanding of quality or safety

concerns; ensures safe supply

Gathering community/system

support could be difficult; costly

and time-consuming; unknown

contamination sources

Develop inventory of known

and potential sources for

contamination; build

stakeholder involvement

and community interest in

source water protection

program

Develop

alternative

source of supply

Will lead to a better

understanding of quality or safety

concerns; ensures safe supply

System has had no significant

water quality issues to date; upfront capital expenditures

W ater

t reatment

Continue with

disinfection only

Least expensive option; effective to

date

May not be sufficient for

compliance with new

regulations

Continue to use disinfection

only; new source water

protection measures will

keep the system in

compliance

Purchase treated

water

Option for complying with new

regulations; will eliminate

treatment costs and required plant

modifications

Significant change to system's

area of service; may increase

costs

T reated water

s torage and

d istribution

Increase storage

capacity

Continued delivery to customers

even if supply is disrupted

Need updated asset

management plan to assess

need; would require up-front

capital expenditures

Complete asset

management plan and

capital improvement plan;

research funding sources

R etail

c ustomer

s ervices

Partner with

nearby system(s)

for operation

and

management

services

Potential cost savings for

customers; no change in ownership

Loss of some autonomy for system

managers, operators, and

community

Use partnerships to increase

efficiencies and reduce

costs; develop oversight

board to ensure autonomy

and needed decision

making authority

S ecurity

i ssues

Develop and

implement a

vulnerability

assessment (VA)

and ERP; begin

frequent system

patrols

Immediate response in emergency

situations; discourages trespassing

on system property or tampering

with system infrastructure;

eliminates threats to system security

Understaffed local authorities

may not be able to patrol; with

limited system staff, frequent

patrols and proper system

operation could be difficult;

completing ERP/VA may require

outside (e.g., consultant)

assistance and up-front

expenditure

Contact State Coordinator

for more information on

ERPs; meet with local

authorities and system staff

to discuss sharing patrol

responsibility

15

Worksheet: Assessing Your Options


A rea of

S ervice

O ptions P ros C ons O ptimum Solution

S ource water

d evelopment

a nd

p rotection

W ater

t reatment

T reated water

s torage and

d istribution

R etail

c ustomer

s ervices

S ecurity

i ssues

16

STEP 6: Implementing Your Options 

Strategic planning takes time and effort. It is important to realize however, that implementing the options you have selected will involve additional ongoing commitments. You may need to gather additional technical, managerial, and financial resources which may require additional planning. You 

need to make sure that everyone involved in implementing the options (managers, operators, governing board, etc.), and everyone who will be 

affected by it (your customers, regulators, etc.), is committed to its success. 

Implementing your options involves identifying challenges that could arise during and after implementation, and developing an action plan to address 

these challenges. This can include developing a time line of upcoming regulations; a schedule for monitoring and evaluating your system’s 

technical, managerial, and financial progress; and plans for continuous improvement. 

To implement your chosen options, you need to develop an action plan. YOU MAY NEED TO: 

�	Provide special training for technical staff or � Obtain approvals, permits, and certifications 

management. from relevant authorities (e.g., from a PUC for a 

� Make personnel changes. rate change).


� Address new regulatory and legal � Re-examine your system’s revenue-raising


requirements. mechanisms. 

� Inform relevant parties of changes and garner � Find outside public or private sources to fund 

support from regulators, system staff, changes. 

managers, consumers, and the community. 

The following worksheet is designed to help identify potential challenges and develop an action plan to address obstacles to successful 

implementation. It provides space for describing your challenges and your plans for overcoming them. This worksheet will also help you set out a 

schedule for implementing your options. A completed example and a blank worksheet are provided. 

17

Example Worksheet: Implementation Action Plan and Challenges


C hosen

O ption

R equired Actions1 P roposed

S tart/End Date2 R elated Challenges3 P lans to Address Challenges4 

D evelop

s ource water

p rotection

p lan

Conduct and assess results of

source water inventory 11/1/03 to

1/1/04

Limited staff resources to

complete inventory; limited

by personnel knowledgeable

on potential security/

contamination threats

Use available state resources

(technical or financial assistance);

look into possibility of countywide

program or cooperation with nearby

systems

Identify potential

contaminants and threats

Discuss follow-up actions

1/1/04 to

Ongoing

Gathering stakeholder

interest in follow-up

actions; limited financial

resources

Publicize source water protection

efforts to gain community support for

involvement in the program;

investigate available state resources

Meet with regulators and

affected land owners

D evelop

a sset

m anagement

p lan

Train staff

1/1/04 to

3/1/04

Considerable time

commitment; new process for

system staff

Use existing guides to fully

understand the process before getting

started

Conduct inventory

Secure additional funding

R eview

c urrent rates

Meet with public utility agency

3/1/04 to

4/1/04

Any rate changes will

require PUC approval; ratereview process is cumbersome

and expensive; rate

increases will be unpopular

Consider alternatives like

consolidation with another system,

further reducing area of service, or

seeking state or federal assistance

Hold public meetings

Meet with neighbor system

B egin

f requent

s ystem

p atrols

Contact local authorities

11/1/03 to

Ongoing

Limited financial resources

and available time of

authorities and system staff;

familiarizing local law

enforcement with critical

system components

Contact State Coordinator for

available resources on system security

to educate local authorities and

system staff on the importance of

security; look into alarm system

installation if system patrols cannot

be conducted as often as desired

Set up meeting with local

authorities and system staff

Develop patrol schedule

1 D escribe the steps that are required for implementation of each option. These might include key meetings, financing approvals, or any construction projects, for example. If there are multiple

s tages to completing your chosen option, you may want to group these actions accordingly. 2 E nter the date on which you hope to start and finish the required action. If there is no specific date set, enter in a month or day by which you would like to have this part of the plan set in

m otion. 3 S ummarize any potential problems related to each required action. Think about these before the project begins, and make any changes or updates as the project progresses. 4 E nter any ideas for overcoming potential problems or any problems already encountered. As your options are implemented and new or different challenges arise, edit your plans accordingly.

18

i i

rt/E l l

Worksheet: Implementation Action Plan and Challenges 

s that are required for implementation of each option. These might include key meetings, financing approvals, or any construction projects, for example. If there are multiple


ing your chosen option, you may want to group these actions accordingly.


which you hope to start and finish the required action. If there is no specific date set, enter in a month or day by which you would like to have this part of the plan set in


tential problems related to each required action. Think about these before the project begins, and make any changes or updates as the project progresses.


r overcoming potential problems or any problems already encountered. As your options are implemented and new or different challenges arise, edit your plans accordingly.


C hosen

O pt on

R equired Act ons1 P roposed

S ta nd Date2 R elated Chal enges3 P lans to Address Chal enges4 

1 D escribe the step

s tages to complet 2 E nter the date on

m otion. 3 S ummarize any po 4 E nter any ideas fo

19

STEP 7: Assess and Evaluate 

Strategic planning helps you face an unpredictable future successfully. This does not mean that your current plan will address every circumstance 

or provide a solution for every challenge. There may be elements that don’t work, or problems that arise that need additional analysis and action. 

Or, you may want to make changes if the results are not serving your system’s or your customers’ best interests. 

On-going monitoring and evaluation will help you assess whether your system is operating the way you want it to. The worksheets in this guide 

should be reviewed, revised, and updated on no less than an annual basis to reflect any financial, managerial, technical, or strategic changes 

affecting your system. 

Remember, strategic planning is a continuous process that can result in continuous improvements. The planning process and the values and goals 

that define your system should allow you to respond more effectively, quickly, and creatively in the future. 

There are numerous tools and resources that can make strategic planning easier. The following Appendices provide a list of State and Regional 

Tribal Capacity Development Coordinator contacts and additional EPA resources that will help you navigate through the strategic planning process. 

Plan

Revise Evaluate

20

Appendix A: Safe Drinking Water Act Primacy Agencies 

For additional information or to learn more about the laws in your own state, please contact your EPA Regional Coordinator or State Drinking Water Agency. 

E PA Region 1 w ww.epa.gov/region1/eco/drinkwater/index.html ( 617) 918-1584

C onnecticut

D epartment of Public Health: Drinking Water Division

w ww.dph.state.ct.us/BRS/water/dwd.htm ( 860) 509-7333

M aine

M aine Department of Human Services: Division of Health Engineering

w ww.state.me.us/dhs/eng/water/index.htm ( 207) 287-2070

M assachusetts

D epartment of Environmental Protection: Drinking Water Program

w ww.state.ma.us/dep/brp/dws/dwshome.htm ( 617) 292-5770

N ew Hampshire

D epartment of Environmental Services: Water Supply Engineering Bureau

w ww.des.state.nh.us/wseb/ ( 603) 271-2513

R hode Island

D epartment of Health: Office of Drinking Water Quality

w ww.healthri.org/environment/dwq/Home.htm ( 401) 222-6867

V ermont

D epartment of Environmental Conservation: Water Supply Division

w ww.vermontdrinkingwater.org ( 802) 241-3400

E PA Region 2 w ww.epa.gov/region02/water/drinkingwater/ ( 212) 637-3879

N ew Jersey

D epartment of Environmental Protection: Bureau of Safe Drinking Water

w ww.state.nj.us/dep/watersupply/safedrnk.htm ( 609) 292-5550

N ew York

D epartment of Public Health: Bureau of Public Water Supply Protection

w ww.health.state.ny.us/nysdoh/water/main.htm ( 518) 402-7650

P uerto Rico

D epartment of Health: Public Water Supply Supervision Program

w ww.epa.gov/region02/cepd/prlink.htm ( 787) 977-5870

V irgin Islands

D epartment of Planning and Natural Resources: Division of Environmental

P rotection

w ww.epa.gov/region02/cepd/vilink.htm ( 340) 773-1082

21

E PA Region 3 w ww.epa.gov/reg3wapd/ ( 215) 814-2300

D elaware

D elaware Health and Social Services: Division of Public Health w ww.state.de.us/dhss/dph/hsp.htm ( 302) 739-541

D istrict of Columbia

E nvironmental Health Administration: Water Resources Management Division

w ww.dcwasa.com/ ( 202) 535-219

M aryland

D epartment of the Environment: Public Drinking Water Program

w ww.mde.state.md.us/aboutmde/reports/index.asp ( 410) 537-300

P ennsylvania

D epartment of Environmental Protection: Bureau of Water Supply Management

w ww.dep.state.pa.us/dep/deputate/watermgt/wsm/

w sm.htm ( 717) 787-5017

V irginia

D epartment of Health: Division of Water Supply Engineering

w ww.vdh.state.va.us/ddw/index.htm ( 804) 786-556

W est Virginia

B ureau for Public Health: Environmental Engineering Department w ww.wvdhhr.org/oehs/eed/ ( 304) 558-298

0

0

2

6

1

E PA Region 4 w ww.epa.gov/region4/water/ ( 404) 562-9345

A labama

D epartment of Environmental Management: Water Supply Branch

w ww.adem.state.al.us/WaterDivision/

W aterDivisionPP.htm ( 334) 271-7773

F lorida

D epartment of Environmental Protection: Drinking Water Section

w ww.dep.state.fl.us/water/drinkingwater/index.htm ( 850) 487-1762

G eorgia

D epartment of Natural Resources: Water Resources Branch w ww.dnr.state.ga.us/dnr/environ/ ( 404) 656-4087

K entucky

D epartment of Environmental Protection: Drinking Water Branch w ater.nr.state.ky.us/dw/ ( 502) 564-3410

M ississippi

D epartment of Health: Division of Water Supply

w ww.msdh.state.ms.us/watersupply/index.htm ( 601) 576-7518

N orth Carolina

D epartment of Environment and Natural Resources: Public Water Supply

S ection

w ww.deh.enr.state.nc.us/pws ( 919) 733-2321

S outh Carolina

D epartment of Health and Environmental Control: Bureau of Water

w ww.scdhec.net/water/html/dwater.html ( 803) 898-4300

T ennessee

D epartment of Environment and Conservation: Division of Water Supply

w ww.state.tn.us/environment/dws/ ( 615) 532-0191

22

E PA Region 5 w ww.epa.gov/r5water/ ( 312) 886-4239

I llinois

E nvironmental Protection Agency: Division of Public Water Supplies

w ww.epa.state.il.us/water/index-pws.html ( 217) 785-8653

I ndiana

D epartment of Environmental Management: Drinking Water Branch w ww.ai.org/idem/owm/dwb/index.html ( 317) 308-3282

M ichigan

D epartment of Environmental Quality: Drinking Water and Radiological

P rotection Division

w ww.michigan.gov/deq ( 517) 335-9216

M innesota

D epartment of Health: Drinking Water Protection Section

w ww.health.state.mn.us/divs/eh/index.html ( 651) 215-0770

O hio

E nvironmental Protection Agency: Division of Drinking and Ground Water

w ww.epa.state.oh.us/dsw/ ( 614) 644-2752

W isconsin

D epartment of Natural Resources: Bureau of Water Supply

w ww.dnr.state.wi.us/org/water/dwg/index.htm ( 608) 266-2299

E PA Region 6 w ww.epa.gov/region6/water ( 214) 665-2757

A rkansas

D epartment of Health: Division of Engineering

w ww.healthyarkansas.com/eng/index.html ( 501) 661-2623

L ouisiana

O ffice of Public Health: Division of Environmental and Health Services

w ww.dhh.state.la.us/OPH/safewtr.htm ( 225) 765-5038

N ew Mexico

E nvironment Department: Drinking Water Bureau

w ww.nmenv.state.nm.us/dwb/dwbtop.html ( 505) 827-7536

O klahoma

D epartment of Environmental Quality: Water Quality Division

w ww.deq.state.ok.us/WQDnew/index.htm ( 405) 702-8100

T exas

T exas Commission on Environmental Quality: Water Supply Division

w ww.tnrcc.state.tx.us/permitting/waterperm/pdw/

p dw000.html ( 512) 239-6096

23

E PA Region 7 w ww.epa.gov/region7/water/dwgw.htm ( 913) 551-7030

I owa

D epartment of Natural Resources: Water Supply Section

w ww.state.ia.us/epd/wtrsuply/wtrsup.htm ( 515) 725-0275

K ansas

D epartment of Health and Environment: Public Water Supply Section

w ww.kdhe.state.ks.us/pws/ ( 785) 296-5514

M issouri

D epartment of Natural Resources: Public Drinking Water Program

w ww.dnr.state.mo.us/wpscd/pdwp/homepdwp.htm ( 573) 751-5331

N ebraska

D epartment of HHS Regulation and Licensure

w ww.hhs.state.ne.us/enh/enhindex.htm ( 402) 471-2541

E PA Region 8 w ww.epa.gov/region08/water/ ( 303) 312-7021

C olorado

D epartment of Public Health and Environment: Drinking Water Program

w ww.cdphe.state.co.us/wq/wqhom.asp ( 303) 692-3500

M ontana

D epartment of Environmental Quality: Public Water Supply Section

w ww.deq.state.mt.us/wqinfo/index.asp ( 406) 444-3080

N orth Dakota

D epartment of Health: Division of Municipal Facilities

w ww.ehs.health.state.nd.us/ndhd/environ/mf/index.htm ( 701) 328-5211

S outh Dakota

D epartment of Environment and Natural Resources: Drinking Water

P rogram

w ww.state.sd.us/denr/des/drinking/dwprg.htm ( 605) 773-3754

U tah

D epartment of Environmental Quality: Division of Drinking Water

w ww.deq.state.ut.us/eqdw/Index.htm ( 801) 536-4200

W yoming

E PA Region VIII: Wyoming Drinking Water Program

w ww.epa.gov/region08/water/dwhome/wycon/wycon.html ( 303) 312-6312

24

E PA Region 9 w ww.epa.gov/region9/water/index.html ( 415) 744-1884

A merican Samoa

E nvironmental Protection Agency: American Samoa

w ww.epa.gov/Region9/cross_pr/islands/samoa.html ( 415) 744-2170

A rizona

D epartment of Environmental Quality: Drinking Water Monitoring and

A ssessment Division

w ww.adeq.state.az.us/environ/water/dw/index.html ( 602) 207-4644

C alifornia

D epartment of Health Services: Division of Drinking Water and

E nvironmental Management

w ww.dhs.cahwnet.gov/org/ps/ddwem/ ( 916) 323-6111

G uam

G uam Environmental Protection Agency

w ww.epa.gov/region09/cross_pr/islands/guam.html ( 671) 472-8863

H awaii

D epartment of Health: Environmental Management Division

w ww.hawaii.gov/health/eh/sdwb/index.html ( 808) 586-4258

N evada

D epartment of Human Resources: Bureau of Health Protection Services

w ww.health2k.state.nv.us/bhps/phe/sdwp.htm ( 775) 687-6615

E PA Region 10 w ww.epa.gov/region10/ ( 206) 553-1389

A laska

D epartment of Environmental Conservation: Drinking Water and Wastewater

P rogram

w ww.state.ak.us/dec/deh/safewater.htm ( 907) 269-7653

I daho

D epartment of Environmental Quality: Water Quality Division

w ww2.state.id.us/deq/water/water1.htm ( 208) 373-0502

O regon

D epartment of Human Resources: Drinking Water Program

w ww.ohd.hr.state.or.us/dwp/index.htm ( 503) 731-4317

W ashington

D epartment of Health: Drinking Water Division

w ww.doh.wa.gov/ehp/dw/ ( 360) 236-3096

25

Appendix B: Tribal Contacts 

For additional information or to learn more about the laws governing your Tribe, use the contact information provided in this Appendix. 

U S EPA Headquarters

A merican Indian Environmental Office w ww.epa.gov/indian ( 202) 564-0303

U S EPA Regional Tribal Capacity Development Coordinators

E PA Region 1 w ww.epa.gov/region01/topics/government/tribal.html ( 888) 372-7341

E PA Region 2 w ww.epa.gov/region02/nations/index.html ( 212) 637-3600

E PA Region 4 w ww.epa.gov/region04/ead/indian/index.htm ( 404) 562-6939

E PA Region 5 w ww.epa.gov/region5/water/stpb ( 312) 353-2123

E PA Region 6 w ww.epa.gov/region06/6xa/tribal.htm ( 800) 887-6063

E PA Region 7 w ww.epa.gov/region07/government_tribal/index.htm ( 913) 551-7030

E PA Region 8 w ww.epa.gov/region08/tribes ( 303) 312-6116

E PA Region 9 w ww.epa.gov/region09/cross_pr/indian/index.html ( 415) 744-1500

E PA Region 10 y osemite.epa.gov/r10/tribal.NSF/webpage/

t ribal+office+homepage?opendocument ( 206) 553-4011

O ther Contacts

A dministration for Native Americans w ww.acf.dhhs.gov/programs/ana/ ( 877) 922-9262

B ureau of Indian Affairs w ww.doi.gov/bureau-indian-affairs.html ( 202) 208-3710

I ndian Health Services w ww.ihs.gov ( 301) 443-3024

N ative American Water Association w ww.nawainc.org ( 775) 782-6636

26

Appendix C: Other STEP Guide Documents 

This brochure is one in a series of Simple Tools for Effective Performance (STEP) documents for small drinking water systems. The STEP documents can 

be obtained from EPA by calling the Safe Drinking Water Hotline at (800) 426-4791 and requesting the document by its publication number. The documents 

can also be found at www.epa.gov/safewater/smallsys/ssinfo.htm. 

AVAILABLE NOW 

A Small Systems Guide to the Total Coliform Rule (TCR)


This workbook is designed to help small systems understand the TCR and


the mandatory monitoring required under the rule. The workbook provides


sample worksheets to help systems organize and track TCR monitoring


data, and provides appropriate follow-up actions should monitoring show a


positive presence of coliform.


Publication number EPA 816-R-01-017A


Published: June 2001


Safe Drinking Water Act (SDWA) Regulation Overview Brochure for Small


Systems


This brochure summarizes SDWA regulations that currently exist, are


proposed, or are under development that affect or will affect small water


systems. The brochure emphasizes how the regulations relate to each


other, and explains the multi-barrier approach to microbial and chemical/


radiological risks and how SDWA regulations fit into this type of framework.


Publication number EPA 816-R-03-017


Published: September 2003


Complying With the Revised Drinking Water Standard for Arsenic: Small


Entity Compliance Guide


This workbook is designed to help systems understand and achieve


compliance with the Arsenic Rule. The workbook provides sample


worksheets to help systems organize data, and provides guidance for small


systems on their selection of appropriate compliance options.


Publication number EPA 816-R-02-008A


Published: August 2002


Asset Management Workbook


This workbook will guide small systems through the process of developing


an asset management plan and includes worksheets on completing a


thorough asset inventory; prioritizing the rehabilitation and replacement


of your assets; developing a simple asset management plan: and carrying


out the plan. The workbook also provides information about how asset


management can help improve your system’s financial health and ability


to provide safe drinking water.


Publication number EPA 816-R-03-016


UNDER DEVELOPMENT 

Disinfectants/Disinfection By-Products (D/DBP)Rule Workbook 

Rate-Setting: A Handbook for Small Systems 

Restructuring: A Handbook for Small Systems 

27