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Asset Management for Publicly Owned Treatment Works

Asset management is a process that municipalities can use to effectively manage infrastructure investments. It includes defined procedures to inventory, assess, and track infrastructure throughout its lifecycle, improving its longevity and supporting municipal planning. DEC and Environmental Facilities Corporation (EFC) conducted a pilot program to test and improve the Asset Management Guide for Publicly Owned Treatment Works. DEC solicited volunteers for the pilot program in late 2015. DEC selected 10 municipalities to participate in the pilot program. The selected participants provided feedback on their experiences that helped to shape DEC's guide. For questions or inquiries regarding asset management, please contact us at Asset@dec.ny.gov.

DEC selected 27 municipalities across the State to participate in the program. New York State Environmental Facilities Corporation (EFC) hired Arcadis to serve as Program Advisor and 10 additional engineering firms to build local knowledge and capacity across New York State. For more details about what is expected of participating municipalities and anticipated program activities, view the Call for Communities Guidelines for Participating Communities (PDF). For a full list of the municipalities and engineering firms selected to participate, view the 2022 Asset Management Program Facilities and Engineering Firms (PDF).

The application is a fillable PDF form that has been designed to work best with Adobe Reader or Acrobat version 11.0 or greater. To ensure compatibility, please save the application before beginning to enter any information, then open the saved copy of the application using the latest version of Adobe Reader, available as a free download (leaves DEC website).

Asset Management Resources

The Asset Management Guide (PDF) provides the reader with an understanding of the minimum requirements and best practices of asset management as they relate to sustainably operating, maintaining, and funding POTW infrastructure. DEC and EFC covered the contents of the Asset Management Guide during a 2022 NYWEA Member Education webinar (leaves DEC website).

Additionally, DEC has developed and assembled resources that municipalities can use to start their own asset management programs.

Each Chapter includes resources to facilitate the development of the asset management program. These resources are documented in the guidance and reflect the minimum elements of a successful asset management program. Access the resource files listed below.

Chapter 1 - Introduction to Asset Management

  • Toolbox #1 (Excel)
  • Asset Management IQ (PDF)

Chapter 2 - The Asset Management Team, Staffing, Succession

  • Toolbox #2 (Excel)
  • Blank Knowledge Retention/Staffing Plan (Word)

Chapter 3 - Current State of the Assets

  • Toolbox #3 (Excel)
  • Example Geodatabase Specifications (PDF)
  • Toolbox #4 (Excel)

Chapter 4 - Level of Service

  • Toolbox #5 (Excel)
  • Level of Service Workshop (PowerPoint)

Chapter 5 - Assessing Asset Risk

  • Toolbox #6 (Excel)

Chapter 6 - Planning, Managing, Funding

  • Toolbox #7 (Excel)
  • Example Capital Improvement Plan (Excel)
  • Toolbox #8 (Excel)
  • Example Simple Rate Analysis (Excel)
  • Example Advanced Rate Analysis (Excel)

Chapter 7 - Implementation and Reporting

  • Toolbox #9 (Excel)
  • Asset Management Plan (Word
  • Annual Report (Word)
  • Alternative Annual Report (Publisher)
  • Outreach Meeting (PowerPoint)

Vimeo Maximo Resource Library

These videos were developed by Barton & Loguidice as part of the pilot program. They are tutorials on how to use IBM Maximo, an electronic asset management software. All video links below leave DEC website.

Intro to Maximo Spatial Map

  1. How to access the map in Maximo
  2. Zooming in and out, panning
  3. Identifying on features/view attributes
  4. Selecting assets
  5. Attribute queries from the map
  6. Map markups and Measurements
  7. Map Symbology/Turning on and off layers

Maximo Spatial Query by Attributes

  1. Basic queries
  2. Queries within a drawn polygon
  3. Queries using an "AND" operator with multiple attributes

Maximo Spatial Asset Creation

  1. Creating a point asset in Maximo, adding it to the map, and populating its attribution
  2. Creating a line asset in Maximo, adding it to the map, and populating its attribution

Maximo Spatial Work Order Creation

  1. From work order tracking, open map option from asset field on a new work order.
  2. From asset application, select multiple asset from map, then create (spatial) single multi asset work order.
  3. From asset application, select multiple asset from map, then create (spatial) work orders for each asset record.
  4. From asset application, select multiple asset from map, then create (spatial) parent work order with child work order for each asset.

Asset Hierarchies and Maximo Drill-down

  1. Concepts of Asset Hierarchies
  2. Searching

Advanced Searching and Map Functions

  1. Advanced Searching of Data in Applications
  2. Viewing Assets on Maps
  3. Navigating Maps
  4. Reviewing Data on Maps in Maximo

Navigation and Searching Data

  1. Logging into Maximo
  2. Navigating to Applications
  3. Searching for Data in Applications

Creating New Asset Records

  1. Duplicating Existing Assets
  2. Creating New Assets from Scratch
  3. Populating Asset Information
  4. Changing the Status of Assets

Modifying the Hierarchy

  1. Searching Using Location Hierarchy
  2. Adding New Levels to the Hierarchy
  3. Removing Existing Levels in the Hierarchy
  4. Changing the Status of Locations

Job Plans

  1. Overview of Job Plans
  2. Searching the Job Plan Library
  3. Duplicating Job Plans
  4. Editing Job Plans
  5. Creating Job Plans from Scratch
  6. Changing the Status of Job Plans
  7. Use of Job Plans on Work Orders

Preventive Maintenance (1)

  1. Overview of Preventive Maintenance (PM) Application
  2. Searching for PM Schedules
  3. Understanding PM Scheduling
  4. Fixed vs. Floating Schedules
  5. Modifying PM Schedules
  6. Creating a New PM Schedule

Preventive Maintenance (2)

  1. Job Plan Sequencing
  2. Forecasting Preventive Maintenance

Maximo Reporting

  1. How to review and export data from Maximo to Excel
  2. How to run reports in Maximo
  3. How to email reports from Maximo
  4. Scheduling reports to email on a recurring basis

Asset Data Validation

  1. Understanding how asset data in Maximo drives CIP
  2. Querying Maximo asset data
  3. Saving Maximo queries
  4. Reviewing and updating pertinent asset data

Ad-Hoc Reports

  1. Create your own reports
  2. Ad hoc reporting tool
  3. Saving data for a report
  4. Saving and running reports
  5. Exporting data from a report
  6. Reviewing report data in Excel
  7. Running report for other assets
  8. Editing existing ad-hoc reports

How to Focus Your Time

  • What you should do if you only have 10 minutes per week to dedicate to asset management

Introduction to Maximo Work Orders

  1. Introduction of Work Order Concepts
  2. Create a Work Order in Maximo
  3. Create Work Orders from the Asset Application
  4. Finding work orders
  5. Assigning work orders
  6. Adding work orders to users start centers

Processing Work Orders

  1. Adding labor to work orders
  2. Adding notes to work orders
  3. Completing work orders
  4. Understanding closing work orders
  5. Overview of work order statuses

Recording and Updating Asset Condition Scores in Maximo

  1. Overview of condition assessment work orders
  2. Reviewing previous condition scores for an asset
  3. Reviewing last time a condition was performed
  4. Understanding the attributes used to assess asset condition
  5. Grasping the asset condition scoring formulas
  6. Tracking time or other costs associated with performing condition assessments
  7. Timing for conditions scores to update the asset record
  8. Reviewing the audit of data on asset records
  9. Impacts to Likelihood of Failure from condition scores
  10. Quick updates to asset condition scores
  11. Impacts of condition to replacement timeframes
  12. Understanding frequency for performing condition assessments

Maps in Maximo

  1. Applications that use maps
  2. Collection System Assets
  3. Limit on the number of assets that can be mapped
  4. Zooming and changing background mapping
  5. Symbology - different types of assets
  6. Viewing the legend
  7. Getting additional details on assets from the map, reviewing specifications
  8. Viewing work orders on mapped assets
  9. Viewing the Asset Hierarchy/Drilldown
  10. Viewing maps for work orders

Swapping Assets

  1. Swapping Assets examples
  2. Creating and completing work orders (adding asset, adding time, adding notes)
  3. Swapping assets in Work Order Tracking
  4. Swapping assets in Asset application

Disclosure Statement

The Asset Management Guide and the associated materials have been made available for immediate use; however, these documents will be periodically revised as users provide feedback. Please note that the Guide does not establish any regulatory requirements.

DEC is actively working on the following sections of the Guide:

  • Preventive Maintenance
  • Planned and Predictive Maintenance Programs
  • Sustainable Ownership
  • Integrating Operation & Maintenance Practices
  • Integrating Resilient Infrastructure & Likelihood of Failure

If you have suggestions for content improvement of the sections identified above or identify an error, please let us know by submitting a comment through the form (leaves DEC website) or sending an email to Asset@dec.ny.gov.


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