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HomeMy WebLinkAboutUtility Planning Management, Student Manual 2000Statesof Alaska Department,of Conimunity and— Economic Development : a i a Ng i a | — ad a : a Student Manual December 15, 2000 Cover Art: Leanne Pilcher, DCED Utility Planning Management Student Guide State of Alaska Dept. of Community and Economic Development Rural Utility Business Advisor Program Published By Alaska Department of Community and Economic Development Rural Utility Business Advisor Program Project Funding U.S. Environmental Protection Agency Grant #XP 980442-010 Editorial Review Alaska Department of Environmental Conservation Alaska Department of Community and Economic Development Alaska Native Tribal Health Consortium Researched, Written And Designed By HDR Alaska, Inc. 2525 C Street, Suite 305 Anchorage, AK 99503 September 2000 DCED Project Manager Peter McKay Photo Credits Alaska Native Tribal Health Consortium Alaska Department of Community and Economic Development HDR Alaska, Inc. Clip art credit: www.arttoday.com Foreward This course was developed as one of a series of six courses to provide utility managers of small sanitation facilities a basic understanding of the principles and practices involved in managing water and wastewater sanitation facilities. Each class is a 32 hour course. The first course in the series is Introduction to Utility Management. This course provides and overview of what it means to manage a utility, and breaks the management of a utility into five sections; organizational management, personnel management, planning management, operational management, and financial management. The five remaining courses each cover one of these topics to a greater depth. The order that a student completes the classes is unimportant other than the Introduction class should be taken first. It is hoped that by the time the utility manager completes all six of these classes, that they will have a good understanding, and the tools to address most of the issues that they will have to face in managing a utility. Often we are asked, “Who should attend this class?”. The courses are targeted at managers of water and wastewater systems in communities with a population between 100 and 1500. Communities smaller than 100 will usually have very limited systems and staff, and not need, nor have the capabilities to do most of the processes, described in this course. Those systems that serve communities over 1,500 in population typically have hired experienced professional staff that have already implemented the process described here, or contract for their implementation. What if there is not a person with Manager as title? While there may not be a person with that title, there is usually one person that is responsible for overseeing the day to day operation of the utility, this person is the Manager. This person can actually be a Council Member, Mayor, Chief, Operator, or Clerk. The easiest way to identify this person is to ask either the clerk or operator “If a customer came to you with a complaint that you could not fix immediately, who would you tell them to talk to?” That person is most likely the Manager. Advanced Utility Planning Class This course is the advanced course specifically on planning for water and wastewater utilities. We realize that there are many ways to do planning. This course is based upon the process described in The Alaska Sanitation Planning Guide for Small Communities. The planning steps described in this course will lead you through a process that will give you a good quality plan. If you are have already started planning, and are using a different process, there are also many topics discussed in this course that can be applied to your planning process to make sure that it does not miss any critical steps. While this class is aimed at sanitation utility planning, to a large extent planning is planning. Most of the processes described in this course can be applied to any planning process that may be going on ina community. Table of Contents COURSE INTRODUCTION LESSON 1: LESSON 2: LESSON 3: LESSON 4: LESSON 5: LESSON 6: LESSON 7: LESSON 8: INTRODUCTION TO UTILITY PLANNING GETTING READY TO PLAN COLLECTING INFORMATION DEVELOPING ALTERNATIVES EVALUATING ALTERNATIVES CHOOSING THE BEST ALTERNATIVE PUTTING THE PLAN INTO ACTION COURSE SUMMARY 11 31 50 55 69 75 96 12/15/2000 Utility Planning - Advanced Course Introduction State of Alaska How to use this student manual Xeptre ay” hs = >—apepirtinene of Com Pe a ai The student manual covers the course ee’ ae called “Introduction to Utility ait ie Piece Getic ersten ||| Utility P anning single topic. There are 8 lessons in i afagement a. the course. All slides used during the course are included in the manual. Supplemental Training Materials There are several supplemental materials to assist you during the course and later when you return to your community. The supplemental materials are useful complements to the other training materials. For example, you will see references to the sanitation planning guide and technical appendices. In addition, it could be useful to obtain a copy of a sanitation master plan from another community in your region. Review an actual sanitation master plan to see how the ideas you learn in the course are explained or described in the actual planning document. ker a Student Manual : December 15, 2000 Organization of the Student Manual There are several exercises that will be completed during the course. There are also a pre-and post-test. There are also worksheet for most of the chapters to help review the material. Purpose of the Worksheets and Exercises The worksheets and exercises are a large part of the course. Each lesson has a worksheet and exercise provided. They are designed to complement and expand upon the materials discussed in the lessons. Department of Community and Economic Development Pagel Utility Planning — Advanced 12/15/00 Lesson 1 Introduction to Utility Planning Lesson 1: Introduction tili nnin Lesson 1: 4 hours eae wey Pla 3 * Class Introductions Schedule: oh! k : e Introductions | hour ousekeeping e Icebreaker 15-30 minutes * Purpose of the course e Course Overview 1 hour i. Expectations e Pretest 1 hour i tls : * DCED Utility Training Series Learning Objectives Overview * Local Planni After completing this lesson you ae should be able to identify the 6 * Planning for Utilities courses that make up the DCED utility training program and identify and briefly describe the 8 training lessons that make up the Utility Planning Course. The student manual contains information that corresponds to each [setietamiine tortie’ | Slide 2 lesson lecture, references for additional information on sanitation planning, and a set of worksheets. Overview This lesson is an introductory lesson that describes the basic outline of the DCED Utility Training program and the outline of the 8 Lessons that make up the Utility Planning Course. The Governor’s Council on Rural Sanitation sponsored development of this curriculum along with the Sanitation Planning Guidebook (supplement to this course) because they discovered that it is not enough to provide money and engineers and materials to rural communities. Building a good water and sewer system is part of building a good community and it takes the whole community to do that, working as partners with agencies and consultants. This course is designed to improve your understanding of the planning process. Page 2 Community and Economic Development 12/15/2000 Utility Planning - Advanced DCED Utility Training Series Overview There are 6 week-long courses DCED Utility Training offered by DCED. They are: Series Overview 1. Introduction to Utili : +heemiebedataaad « Six Courses (32 hours each) Management 2. Organizational Management ~ Introduction to Utility Management 3. Financial Management ~ Organizational Management ‘ Personnel Management ~ Financial Management 5. Operational Management I and I — Personnel Management 6. Introduction to Utility — Operations Management Planning EEE) Planning Each course is 32 hours long (4.5 days). This course is but one of those 6 weeklong courses — /ntroduction to Utility Planning. Department of Community and Economic Development Page 3 Utility Planning — Advanced 12/15/00 Introduction to Utility Management The Introduction to Utility Management is the first one of the 6 course series. The course provides an overview of the five utility management topics: Organizational Management Personnel Management Operational Management Financial Management Planning The goal of the 32 hour Introductory course is to provide utility managers of small water and sewer facilities a basic understanding of the principles and practices involved in managing their facilities. Small facilities means communities of 100-1500 in size. By taking the introductory course, students should be well-prepared to go on to the more advanced courses on each specific topic. Introduction to Utility WET reeeeeele Ist course in the series One week long Provides an overview of the five utility management topics — Organizational Management <= — Planning — Personnel Management — Operational Management — Financial Management Page 4 Community and Economic Development 12/15/2000 Utility Planning - Advanced Organizational Management This course is designed to provide more detail on the following concepts of Organizational Management. What is an organization Accountability Level of Service Public Relations Utility Ordinance Work Space Management Customer Agreements Agencies and outside help Roles & Responsibilities Regulations The course discusses various forms of local organizations that may own, govern, or manage and operate water and wastewater utilities in Alaska. The course addresses the governance of a utility, including local laws and legal documents. The course focuses on the Organizational Management Achieving efficiency through a well- though-out organizational structure. ¢ What is an * Public Relations organization? * Record Keeping * Level of Service * Work space * Utility Ordinance management * Customer Agreements help * Roles * Regulations * Responsibilities * Accountability * Agencies/ Outside Slide 5 organization of the entity that will manage and operate the utility including an overview of the responsibilities, authority, and accountability of personnel. Department of Community and Economic Development Page 5 Utility Planning — Advanced Financial Management This course describes the two main elements to Financial Management. For a utility, Financial Management has two basic systems: a financial information system and a management information system. Financial Information. This section of the course includes information on: procedures and record-keeping requirements, accounting processes, payroll and purchasing, billing and collections, and budgeting. Management Information. This section of the course includes information on: procedures and reports that allow the manager to determine how well the utility is meeting the needs of the customers and goals set out in the annual operations plan. During this course you will gain information on establishing utility rates. The section 12/15/00 lee Overtones Bookkeeping, budgeting, and support functions. + Authorizing * Financial documents Reporting ¢ Annual . pre setting Operating miing an Budgets collections R ; * Risk management TASerNE ¢ Insurance * Accounting * Financial Audits Processes * Payroll * Purchasing * Management Reports ee also presents reporting procedures to ensure funds and assets are used properly. In addition, this section offers information on risk management, insurance, preparing management reports and authorizing documents, and financial audits. Page 6 Community and Economic Development 12/15/2000 Utility Planning - Advanced Personnel Management This course describes the tools a utility manager needs to keep the work force working to its fullest. Personnel Management Topics are focused on Personnel Keeping the work force working to Management and include: their fullest. * People, leadership & e People, leadership, and ; management skills management skills ¢ Safety Policies & Programs e Safety policies and programs + Employee Policies & e Employee policies and Procedures procedures * Effective Communication e Effective communication ee Slide 7 Department of Community and Economic Development Page 7 Utility Planning — Advanced 12/15/00 Operational Management This course addresses the day-to-day, nuts and bolts skills necessary to run a utility or Operational Oj oe My Ereroneloele Management. Day to day nut and bolts skills for the Topics include: manager * Maintenance * Asset Inventory e Maintenance and management management * Contingency systems system response plan e Developing an operations and * Developing an * Time preventive maintenance plan operations & management ° pe collection and reporting preventative * Computer use 7 Coninemnn | maintenance plan e Contingency response plan : . ee te 2 * Data collection e Time management : and reporting © Computer use Eee Slide 8 Page 8 Community and Economic Development 12/15/2000 Planning for Utilities This week-long course on Planning for Utilities covers 8 topics, including today’s introduction. The topics are: Getting Ready to Plan: This section will explain what planning is and why we plan, keys to success and building community capacity. It also includes a presentation of public involvement techniques. Collecting Information. This section will present how to identify problems and set community goals and objectives for addressing the problems. Techniques on how to do this will be discussed. This section also covers mapping information and forecasting. Identifying Choices. This section teaches the student how to develop water and sewer alternatives. Utility Planning - Advanced Planning for Utilities * Weeklong Course * Covering 8 Lessons — Introduction — Getting Ready to Plan — Collecting Information — Identifying Choices — Evaluating Alternatives — Choosing the Best Alternative — Putting the Plan into Action — Course Overview Ee Slide 9 Evaluating Choices. This section teaches the student how to evaluate the range of alternatives identified. Choosing the Best Alternatives. This section teaches the student how to select and refine the preferred alternative, developing project plans, capital improvements programming, and draft and final master planning documents. Putting the Plan Into Action. This section presents information on funding, permitting, force accounting and contracting, and operations and maintenance. Course Overview. This last section includes a community self-evaluation, class review, and final test. Department of Community and Economic Development Page 9 Utility Planning — Advanced Pre-test The Pre-test is a tool for assessing your understanding of utilities management planning. It is designed to cover a range of planning concepts. Many students will be unfamiliar with planning when they take the pretest and may score poorly on it. However, the goal is to test what you know before presenting the course information. Many of the questions you miss on the pre-test will likely be answered as you proceed with the course, complete the worksheets and participate in the exercises. By the end of the course, your score on the final test will likely be much better. The test is closed book and contains 50 questions. Once everyone has completed the test, the instructor will review and discuss the answers with the class and any questions. 12/15/00 Pretest * Goal is to test what you know before the class * Closed Book * 50 questions ¢ Review and discussion to follow test Rae Slide 10 Page 10 Community and Economic Development 12/15/2000 Utility Planning - Advanced Lesson 2 Getting Ready to Plan L 2 4.5-5.5h ee esson 2: .5 — 5.5 hours ; Getting Ready to Plan Length: : ; <6 ¢ Planning Overview e Planning Overview 1 hour * Keys To Success ® | Bees fe eeooene tome * Building/Identifying Community e Public Involvement 1 hour C ity e Lesson Worksheet .5 hour ere, e Exercises approximately 1.5 - 2 ¢ Form a Work Group hours Learning Objectives The goal of this lesson is to describe what planning is, why it is important, and what it will take to have a successful planning process before you begin to plan. After completing this lesson you should be able to: Define what planning is and why it is important. Identify the keys that will make your planning efforts a success. Define stakeholders. Know why to form a work group. Understand what community capacity means and how it applies to planning. The next two sections provide a brief overview of what will be covered in the lesson. More detailed slides follow. Topics to be covered include: e Planning Overview —an overview of what planning is and why it is important. e Keys to Success — what it takes to have a successful planning process. That is, those elements that need to be in place before we start the planning process. e Form a work group — using a work group as a means of creating a successful planning process.” © Community Capacity — the importance of the concept that DCED calls ‘community capacity’.” Department of Community and Economic Development Page 11 Utility Planning — Advanced 12/15/00 Planning Overview Three topics will be presented in this section: Planning Overview e What is planning? Planning for sewer and water systems is called “sanitation planning.” * Community Plans * Why Plan? e Why plan? Reasons for planning Why . a for a utility. ¢ Planning Steps ¢ What is Planning e What are the steps in the planning process? Details on the steps. | Planning for Utilities | Slide 12 Page 12 Community and Economic Development 12/15/2000 Utility Planning - Advanced What is Planning? There are several key characteristics of planning. Anecdotes (in quotation 5 A Bs marks) from community residents and What is bed Evavevets : state and federal agencies have been — included. Planning is: * a way to control your future rather Planning is a process that brings people than having it control you together to help make well-considered . seinan : decisions about the future. In this * about setting priorities and solving sense, most everyone does some problems, Panis. Ruldings pee eater aed * away of communicating a sewer system is part of building a good a community and it takes the whole community’s wants and needs, community to do that, working as * a way to use traditional knowledge, partners with agencies and consultants. * a process that promotes creativity. Planning is about setting priorities and solving problems. “Planning allows us to identify our problems, prioritize, and identify solutions that will work for us.” Planning is a way to control your future rather than having it control you. “Without a plan events tend happen to a community and the community is always on the defensive; responding. A plan allows the community to be out front - dictating the events.” Slide 13 Planning is a way of communicating a community’s wants and needs. “Agencies, developers, and others will look to the plan as the community’s common voice, expressing the wants and desires of its residents. Without a plan, nonresidents can only guess at what you want, or they will rely on only one or two voices (perhaps the mayor or city manager).” Planning is a way to use traditional knowledge. “Planning can allow you to capture and document the knowledge of elders and residents to make better decisions and express that knowledge to agencies, engineers, and future generations.” Planning is a process that promotes creativity. “Planning relies on being inclusive. This means lots of people will help put input into the plan. The more people involved, the more creative the ideas will be.” Department of Community and Economic Development Page 13 Utility Planning — Advanced 12/15/00 Community Plans This section presents information on Local Planning. Local planning : involves the development of a variety Community Plans of plans - not just sanitation master plans. Local planning includes comprehensive plans, coastal management plans, and other plans * Coastal Management Planning such as capital improvement plans, transportation Be and park plans, * Other Plans to name a few. * Comprehensive Planning Comprehensive Plans. Generally speaking, comprehensive plans include a statement of the community’s vision, its goals and objectives for development, and policies to guide the physical, social, and economic development of the community. Comprehensive plans typically are prepared in advance of utility plans. Coastal Management Plans. Certain communities and regions within the | Planning for Utitiies | Slide 14 State’s coastal area have developed or are in the process of developing coastal management plans and programs. Coastal management plans, like comprehensive plans, contain policy statements, goals, standards, background studies and maps to guide future development. Transportation plans address the relationship of land use and the movement of people and freight into, out of, and within the community. Transportation plans also typically include land use policies, mapping and a capital improvement element. Other Plans. There are other plans that support and supplement the comprehensive planning and coastal management planning efforts of local communities. For instance, a capital improvement plan is a tool for planning and scheduling capital improvement projects. It includes a list of projects by priority, information about each project, a schedule for seeking funding, and a construction schedule. Page 14 Community and Economic Development 12/15/2000 Why Plan? There are at least six reasons to plan. However, the following list of reasons is not exhaustive. As you read this list, think of your own reasons to plan. e To save money: If you plan wisely for sewer and water projects, your community could avoid making expensive mistakes. ¢ To encourage planning for the rest of the community: Water and sewer planning allows everyone to think of the future. It allows the community to think about where houses, schools, businesses should be. e To make the community strong: To improve community health (for our kids!). A strong and healthy community is a unified community. Utility Planning - Advanced ¢ To get funding * To save money ¢ To encourage planning for the rest of the community ¢ To make the community strong ¢ To make things happen * To build business in the community Eee Slide 15 e To get funding: Agencies that provide money for projects like to see that a community has thought it through - the plan shows that your community is organized. Granting agencies are more and more giving higher scores for projects that are part of a plan. e To make things happen: Solve your old problems as you set new goals. Meet the future head on. e To build business in the community: A dependable water and sewer system is attractive to business. Department of Community and Economic Development Page 15 Utility Planning — Advanced 12/15/00 Planning Steps This section presents information on the planning steps. There are basically 5 steps to the planning process. While the names or titles might differ, the steps are the same whether you are preparing a sanitation master plan, a comprehensive plan, financial plan, capital improvements plan or any other type of plan. e Step 1 - Getting Ready to Plan. Are people ready to plan, to begin the process, committed to doing the work? e Step 2 - Collecting Information or finding out the facts about your community including problems, the vision for the future, and the trends for growth. e Step 3 - Identifying Choices (Alternatives) or coming up with Planning Steps Step Task Checklist ‘What does it mean? 1.Getting Ready to Plan ° Keys to success. Do people want to plan for this? Where do we want to go? 3.[dentifying Choices (Alternatives) a Form a work group. ¢ Whois leading? © Generating interest in the plan. | @ Figuring out if we are ready to begin our plan. 2 2.Collecting Information | 9 Problems, goals, and objectives. : Wie nell j 2 Collecting background aI, one # Whatishere? © Forecast community growth. : Where are we headed? ° What kinds of water or sewer Develop water and wastewater systems would work or not work for alternatives. us? Evaluate alternatives. ‘¢ Getting the information to help us decide which is best for us. 4,Choosing the Best Alternative Select a preferred alternative, Refine the preferred alternative. Develop a draft & final master plan document. ‘¢ Choosing the system that we want, ¢ Put our decisions in writing so everyone else will know what we want, ‘5.Putting the Plan Into Action ‘Finding money. Designing and building your Getting permits. system. ¢ Putting engineering details to our Operating and maintaining the plan. utility. ‘¢ Building our improvements ¢ Keeping our system running. | Planning for Utilities | Slide 16 a range of options and evaluating them - there is more than one way to solve the problems identified in Step 2. e Step 4 -Choosing the Best Alternative or choosing the system you want, refining it, and putting it into writing (draft and final master plan). e Step 5 - Putting the Plan into Action or designing and building the system; operating and maintaining the utility. Includes finding the money, permits, engineering details, construction and O & M. Page 16 Community and Economic Development 12/15/2000 Utility Planning - Advanced Keys to Success This section introduces the 6 keys to a successful planning process. ya6 Additional details on each key are | ares to Success included in subsequent sections. Briefly the 6 keys to success are: & Commitment & Start Talking © Commitment & PI ~~ I © Start Talking es Planning Coordinator e Identify a Planning Coordinator & Timing * Name | & Heading Off Conflict e Heading off Conflict i eh Th] . e Forma Work Group & Building/Identifying Community Capacity Meanie Slide 17 Department of Community and Economic Development Page 17 Utility Planning — Advanced 12/15/00 Commitment This section provides detail on the importance of commitment. Ss | Commitment Commitment. Without support and backing, your plan may not go far. Get commitment from your * Need to get commitment from: community’s leaders and residents — leaders early in the process. If the — residents community really wants the sewer ‘aff — sta and water master plan and the leaders support the effort, the process is more likely to succeed. Who should you get commitment from? e Leaders - Without the support of leaders it will be difficult to get important decisions. The plan could simply stall if leaders are not supportive and willing to devote the time it will take to make the plan successful. e Residents - If you don’t have | Planning for Utilities | Shel commitment from residents, they won’t show up at meetings. Ultimately, without the support of residents the solution you end up with may not be satisfactory to those who will have to use the system and will be impacted by the solution you come up with. e Staff - The staff play an important role in the success of a plan. They are your technical support and potentially your contact with state and federal agencies and the consultant. One key to determining if there is commitment to doing a plan is to conduct public involvement early - even before you apply for the state or federal grant and long before a consultant is selected to do the work. Effective techniques for determining if there is commitment include: visioning exercises and surveys. Use one or both of these public involvement techniques to determine if the community wants to do the plan AND if leaders are ready to support it. Visioning prior to beginning the sanitation master planning process can help bring different groups together and can help foster commitment to the plan. Page 18 Community and Economic Development 12/15/2000 Utility Planning - Advanced Start Talking Start Early. Starting early is important. It’s not too early to begin 4 discussing sanitation planning in your i Sirus Talking community. It’s never too late to start a public involvement process. ¢ Start Early Develop ownership. Involving * Develop ownership people before the process even starts el ; helps them feel a sense of ownership * Provide information in the plan’s outcomes. Let them | ee know you care about what they think Ba 2 and will use their ideas in the plan. enero ; Provide information. Residents need to know about the planning process. Tell them the steps involved, why the plan is a good idea and how they can help. Use techniques appropriate to your community. Some public involvement techniques al ay that can be used to “start talking” include: e informal small group discussion, Slide 19 e intensive interviewing, and © surveys. A discussion of these and more public involvement techniques to get people talking will occur later in this section of the course. Department of Community and Economic Development Page 19 Utility Planning — Advanced 12/15/00 Planning Coordinator This section presents information on the idea of hiring a planning coordinator. Why have one, how they can help the planning process, and what is their role in the process? a) : : 7 Planning Coordinator * Resident, staff person, or leader Why have a planning coordinator? ¢ Driving force Every project should have a point of contact. Before you begin the planning process, identify a planning * Motivator coordinator - a resident, city staff person, or leader in the community to serve as the point of contact. * Spokesperson What can they do to make the process successful? The plan coordinator becomes the driving force behind the scenes - making sure things that need to get done, get done. The coordinator is the one in contact with the consultant, the state and federal = = me ‘ ; agencies, and the community. 2 What makes a good planning Slide 20 coordinator? The coordinator must be someone that gets people motivated, is committed to the project, and is a good communicator. Do they feel comfortable working with a diverse group of people (their own community, state and federal agencies, etc)? They can be a resident, a staff person, or a community leader. What is the role of the plan coordinator? e Resident, staff person, or leader - The plan coordinator does not need to hold any particular position within the community. Their personality is more important. Can they work well with others? Driving force - The coordinator keeps the plan moving, makes sure things happen. e Spokesperson — The coordinator needs to be able to answer questions about the plan from local residents, and potentially speak at planning commission, assembly, or council meetings. e Motivator - The coordinator gets people excited about the plan. Page 20 Community and Economic Development 12/15/2000 Timing This section discusses timing and the planning process. Someone once said, “Timing is everything.” This same statement applies to sewer and water master planning. If the timing for doing a plan in your community is not right, the planning process will be difficult and the plan will likely not be completed or be successful. How do you determine if the timing is right? Look to your community to answer this question. Ask yourself, the planning coordinator, and leaders in the community the following questions: e What are the seasonal limitations on doing a plan - identify the subsistence and construction seasons for your community. Notify the grantor and consultant of these times. Utility Planning - Advanced * The time of year, or competing issues can distract the community and affect the success of your plan. « Are water and sewer issues front and center? ¢ Are people distracted? * How long will a plan take and do you have the time? Ee Slide 21 e Have you done a visioning or goal setting exercise recently? What were the results? ¢ Do you know what the most important issues facing the community are? Is water and sewer at or near the top of the list? Or is the need for a new fire hall more important? ¢ How long will the plan take and do you have the time to complete it? Department of Community and Economic Development Page 21 Utility Planning — Advanced 12/15/00 Heading off Conflict This section presents information on how to head off conflict. Conflict in the community can be the downfall of your plan. If there are factions in the community, now may be a bad time to start the plan. Typically residents know if there is conflict in the community. Are groups getting along? If there is conflict, but the plan is going ahead anyway, the community or plan coordinator may want to suggest some ways to work through the conflict so that it does not get in the way of the planning effort, i.e. conflict resolution. How do you head off conflict? It is good to know how to deal with disputes. This technique is often called Conflict Resolution and typically means that you do the following: Conduct a Conflict Assessment Invent options that help everybody. Think creatively. Heading Off Conflict * Conflict in the community can be the downfall of your plan. ¢ Are groups getting along? Slide 22 Planning for Utilities Rely on traditional ways that work in your community. Work together and focus on real interests & values. Ask all involved to work through the conflict. Do not exclude anyone and minimize disruptions. Page 22 Community and Economic Development 12/15/2000 Utility Planning - Advanced Building/Identifying Community Capacity This last section in the Keys to Building/Identifying Success defines for the student the Li é A concept of “community capacity.” Community Capacity The concept of community capacity is woven throughout this course on * Adequate Personnel utility planning and is also addressed * Training and Skills in more detail in the other DCED . . utility management curriculum. In * Finance and Funding fact, there are whole weeklong * Structure and Policies training courses provided by DCED that address the following community capacity topics in more detail. Adequate personnel. The community needs enough people to do the work. If there are not enough people to administer the project, the project is likely to fail. Training and skills. People must have the right skills. For example, what happens to an accounting system if they don’t have a trained | Planning for Usitities | Slide 23 bookkeeper? In order to complete all five steps of the planning process your personnel will need skills in engineering, public involvement, construction management, personnel management, financial management, and organizational management. Finance and funding. Doing the plan, completing the engineering, constructing the improvements, and operating and maintaining the system takes money, equipment, time etc. Does the community have these resources? Think about what happens if the community does not have the financial ability to manage the money or does not have the funding to do the project. Structure and policies. Planning, constructing, operating, and maintaining the system requires good organizational structure and policies. Does the community have this in place? Do they have the wherewithal to get organized? Department of Community and Economic Development Page 23 Utility Planning — Advanced 12/15/00 Form a Work Group This section presents information on organizing the public involvement effort and the importance of the work Form a Work Group group to successful communication during the project. ¢ Why form a work group? There are many ways to effectively — Help get commitment organize the public involvement effort for the plan. They might include forming a citizen advisory ~ Help with communieation — Help coordinate other group or work group. pldgned yctifities — Help.tesolve conflicts Why form a work group? Baile nity Sippor +t ~~ from key people e To help get commitment to do the ~ ae - . master plan. e To help with communication. The work group will be knowledgeable about the plan and schedule, and can pass that information on to community members. The work group can serve as the forum for specific public involvement techniques | Planning for Usitities | iammiend used during plan development. ¢ To help coordinate other planned activities. Working with the plan coordinator and other work group members ensures better coordination and less overlap. e To help resolve conflicts. e To build community support from key people. Ifall stakeholders are involved in the work group, there will be more “buy-in” and support for the project as it moves through the planning process. e To generate good ideas. The more diverse the group, the better the ideas. : OR te Refer to Appendix A in the Sanitation Planning Guidebook for information on stakeholders and forming a work group. Page 24 Community and Economic Development 12/15/2000 Utility Planning - Advanced Work Group Membership and Role How do you determine who should be involved in the work group? Be inclusive. Invite everyone who may be: e interested in the outcome of the group’s efforts. For example, the work group? Work Group Membership & Role ¢ Who should be involved in community leaders, agencies, business owners, the school district, and housing authority will likely be interested in sanitation planning as it may impact their decisions. — Those interested in the aoe be outcome — Those affected by the planned action F s¢ knowledgeable about “the planned action “ + What is their role? e affected either directly or indirectly by the planned action. For example, residents, businesses, village and Regional Corporation could be directly affected by the location of sewer and water lines in relation to their property. i _ a eel | Planning for Utilities | Slide 25 e knowledgeable about sewer and water and land use issues in your community. For example, long-time residents, elders can provide tremendous knowledge about the community that may not be “published” data. What is the role of the work group? The work group provides a forum for stakeholders: e To represent their interest by voicing the knowledge and opinions of those they represent at work group meetings. e To take information, decisions, and questions from the work group back to those they represent. e To actively attend work group meetings and help complete special projects, (i.e. provide labor) e To represent the work group by listening and answering questions outside of meetings. For example, if stopped at the store, the representative should be prepared to listen and respond. Department of Community and Economic Development Page 25 Utility Planning — Advanced : 12/15/00 Public Involvement This slide introduces the concept of public involvement. It provides a brief overview of the key elements of . Public Involvement public involvement section that will be discussed. Each student should understand the answers to the _ * Why? following questions by the end of the * Who? unit: ; * When? e Why involve the public? * How? e Who should be involved? e When do you include them? e How do you do it? Eee Slide 26 Page 26 Community and Economic Development 12/15/2000 Utility Planning - Advanced Why involve the public? This section presents details on why you need to involve the public in the utility master plan process. Why involve rates public? Reasons include: * Build Ownership Build Ownership. To empower and ¢ Notification assign responsibilities for taking action. With public involvement you gather different opinions, expertise, * Data Gaps and experiences that you can combine to achieve your community’s goals. With ownership, the community will * Education more likely support the project. * Guidance * Document Review ¢ Leadership Notification. To inform them about the planning process. Notification is an important and critical role of public involvement. With adequate notification of a project purpose and schedule, you are sure to gain interest in the outcome. Guidance. To receive guidance and rs Slice direction from the public throughout the process. Without public guidance, the proposed project may not be built, the best solution may not be identified, or you are likely to end up with a dissatisfied citizenry. Data Gaps. To gather information from the public to fill in the gaps and to take advantage of local knowledge. Traditional knowledge can then be incorporated into the overall project description and alternatives analysis and refinement. Document Review To have the public review key documents - this ensures that the project is on the right track. By involving the public, you create a cooperative atmosphere for developing and evaluating alternatives. Education. To educate and in turn build support for the project and encourage ownership in the results. Leadership. To inspire and promote leadership for the process and project. Department of Community and Economic Development Page 27 Utility Planning — Advanced 12/15/00 Who should be involved? Everyone, but most importantly - Stakeholders Who should be involved? What is a Stakeholder? A stakeholder is someone who is: ; ¢ People who are particularly e Particularly interested in the interested in the group’s group’s efforts. efforts ¢ People who are affected by Affected by the pl d action. : if Pe the planned action e Knowledgeable about the planned ¢ People knowledgeable about action. the planned action What is the relationship of stakeholders to the Work Group? All workgroup members should be stakeholders but not all stakeholders will be invited to be on the work group. The Work Group is made up of “stakeholders” that represent the Pee Slide 28 community, the state and federal agencies and regional groups. Page 28 Community and Economic Development 12/15/2000 Utility Planning - Advanced When and how should we involve the public? There are numerous effective When and how should we techniques for involving the public. Depending on the particular situation, involve the public ? one technique may be more appropriate and more effective. Technique Informal Small Group Public meeting Public hearing Facilitation Open Office Policy * Informal Small Group Below is a description of techniques ¢ Public Meeting and when and how they might be used. * Public Hearing * Facilitation When and How to Use the * Open O ffice Policy - | | Technique? Talking at the post office, store, etc. Use to gather information informally, to allow people to communicate informally. Good any time during the process. Keep track of what you hear. Nota hearing but somewhat | [MMMM Site29 formal; held throughout the process to gather information and comments on project alternatives; to select preferred alternative. Need to advertise and keep track of what is said. Be prepared; consider the use of a facilitator. Formal, decision-making meeting. Typically used at the end when adopting resolution in support of the project. A hearing is usually held before adopting the Preferred Alternative. Need to advertise and keep minutes. A technique that allows the meeting to be focused and maximize participation. Can be used at any time during the process. Use a trained facilitator. Useful when there is controversy or difficulty reaching consensus. Whether planning coordinator or work group, be available, approachable and keep an open door policy throughout the planning process. Department of Community and Economic Development Page 29 Utility Planning — Advanced When and how should we involve the public (continued)? Techniques (Continued) Brainstorming Visioning Problem- solving Public survey Intensive interviewing Large group response exercise When and How to Use the Technique? Thinking out loud about all ideas & solutions. Good for identifying issues; useful when determining pros and cons. Need to follow the tules for brainstorming. A shared image of what folks want in their community. This technique is very useful at the beginning of the process. Rules apply; this is not intended to be a free-for-all. Use a facilitator. Quick-paced group meeting to identify solutions to problems. Good when 12/15/00 When and how should we involve the public? * Brainstorming * Visioning * Problem Solving ¢ Public Survey * Intensive Interviewing Large Group Response Exercise Planning for Utilities developing alternatives; people work hard to come up with solution. Ensure that the structure is well designed and that facilitator is prepared. Determines public opinion. This is also good at the beginning of the process. Survey questions should be structured so that answers are easy to analyze and quantify. If feasible, the entire community should be included in the survey. It’s a good idea to test the survey to make sure the questions are easily understood. Allows more focused survey. Good for working with elders or persons having a special/long-time relationship in the community or specialized knowledge; useful for alternatives analysis as complement to a public meeting. A way to quickly display and summarize responses of a large group of people to a set of questions. Use this technique during development and refinement of alternatives. Page 30 Community and Economic Development 12/15/2000 Utility Planning - Advanced Lesson 3 Collecting Information Pela ee 7) Lesson 3 esson 5: \. ours = a Collecting Information h: ies wins * Identifying Problems e Problem Identification & Goal * Setting goals, and objectives There are four components to be discussed in the Collecting Information section of the course. They are: e forecasting the future Setting 1.5 hours Background Information and Forecasting 1.5 hours * Forecast the future _ Lesson Worksheet .5 hours Exercises 1.5 hours * Background information identifying problems setting goals and objectives ae collecting background information, and Ee Slide 31 Learning Objectives. To understand why it is important to identify specific issues or problems in the community early in the process, how to set goals and objectives for the future, and how to collect the right information. After completing this lesson you should be able to: Understand how to identify a problem and how to set goals and objectives. Describe how to collect technical information. Understand more about using maps. Understand forecasting techniques. Department of Community and Economic Development Page 31 Utility Planning — Advanced 12/15/00 Problems, Goals and Objectives This section presents details on identifying problems, and setting goals and objectives. Problems, Goals, and Objectives 2) * Identifying Problems Identifying Problems. The first step in sanitation planning is to identify the problems or issues. Knowing what it ¢ Setting Goals is you need to fix, resolve, improve, or build provides you with the basic focus for the sanitation plan. * Setting Objectives Use facilitation and brainstorming techniques or hold a visioning session or public meeting to identify water and sewer problems as well as general community problems and issues. Problems may include not only sewer and water problems but also may include other community development concerns such as location of future housing, public facilities, schools, roads, airport and oy any environmental problems. In some cases, the problem may present Slide 32 itself as an opportunity for the individual community. Setting Goals & Objectives. “If you don’t know where you are going, you'll never get there.” This holds true for sanitation planning. The goals and objectives bring the sanitation plan to life. If you don’t have a clear vision of your goals for resolving the identified problems, the project is more likely to fail. Page 32 Community and Economic Development 12/15/2000 Utility Planning - Advanced How do we identify problems? The key to identifying the problem is to know who to ask and how to ask them. An engineer alone should not identify water and sewer system problems. Everyone must help identify problems, needs, goals, and objectives. . Ask the Public. The Work Group is a good place to start. The Work Group must hear from the public. Get residents to talk about the problems they have with the community as a whole and not just the water and sewer problems. Using a small group discussion technique and brainstorming, facilitate a problem-identification session. Be sure to include not only the Work Group members but anyone interested from the community, the local government, the state and federal governments, and regional organizations. In addition to the small group meeting, consider doing a survey of the community and intensive or informal interviews with community leaders. Ask residents to identify the problems they have had, ones they see coming up, and which ones are short-term and long-term problems. Have residents tell you which problems are most important. These two additional techniques will allow you to reach a wider, more diverse group that may be unwilling or unable to attend meetings. Ask an Engineer. Assuming there is an engineer assigned to the project (either consultant or state/federal staff), ask them to identify water and sewer problems in your community. Ask them to supply supporting information such as reports, maps, photographs, and cost estimates to upgrade or repair. You may need to have the engineer inspect the existing system. Ask them to list the problems from a professional engineering perspective. It’s not too early to start thinking about the cost of operating and maintaining a new water and sewer system. The problems you may be having operating or maintaining your current system are important to know about as you start to think about the system you want in the future. Ask your staff: Talk to your utility operator, your village or city administrator, and anyone else on staff that might have had experience with both managing the utility and maintaining and operating the utility. Note: Many general community development problems are closely linked to water and sewer problems. Can you think of any in your community? Department of Community and Economic Development Page 33 Utility Planning — Advanced 12/15/00 Setting Goals What is a goal? Goals are broad statements designed to solve the problem identified. Goals are @) guiding statements of what the community would like to become in ; the future. * What is a goal? Setting Goals * How do we identify our goals? How do we identify goals? In order ~ Public Involvement Techniques to set goals and define your community’s vision for the future, the ¢ Example goals community should answer key questions such as: e Where are we headed? What will our village look like in 20 years? e What values do we find most important? e What kind of future do we want to create? The answers to these questions guide ° your water and sewer plan because | community goals: Slide 34 Describe what people want Look to the future Say things that most everyone can agree with State the issues that residents find most important Example Goal Statement. To provide flush toilets to each house in the community. Public Involvement Techniques for Setting Goals. Brainstorming, creating a vision, public survey, and large group response exercise are techniques that can be used to set goals. Page 34 Community and Economic Development 12/15/2000 Utility Planning - Advanced Setting Objectives What is an objective? Objectives lead to action. Objectives help ensure ) Setting Objectives the goal is reached. An objective is a specific way to * What is an objective? attain the broader goal. Its results can be measured. Objectives help to bring agreement on how to achieve * How do we identify our objectives? the goal. Without an objective the goal may end up being meaningless. * Objectives lead to action — Public Involvement Techniques « Example objectives How do we identify our objectives? Will we know one when we write one? You can tell you have written an objective when it identifies what is going to be done to achieve the goal. The objective will state when the goal is to be done and sometimes who will do it. Writing goals and objectives is more \ ee challenging than naming problems | because goals and objectives refer to the future and not to your everyday experience. They are important for guiding future development and therefore critical for planning your water and sewer upgrades. Example of an Objective. At least 60% of all households shall be hooked up to sewer by the year 2005. Public Involvement Techniques for Setting Objectives Large group response exercise, facilitation, and structured problem solving are techniques that can be used to set goals. Department of Community and Economic Development Page 35 Utility Planning — Advanced 12/15/00 Background Information Gather information that is relevant to the problems you are trying to solve 3} ackground and that is relevant to the goals and objectives you want to achieve. Begin Information by reviewing the problems identified, the goals to be achieved, and the objectives for reaching those goals. ¢ What information do I need ¢ Where to get information Work with the community to ask the * Mapping your information following questions: Where can I get information? Knowing where to acquire information is critical to this step. A good place to start is organizing your efforts using the checklist on page 13 of the guidebook. Conduct interviews with community members and surveys of residents, collect maps, gather information and reports from non-profit organizations, libraries, state and federal agencies, Internet sources, and perform field studies if What information do I need? Typically you will need data about existing conditions - this includes socio-economic, physical, and community information. Different types of information will be needed depending on the scope or type of your plan or project you are working on. What about maps? Maps are an excellent way to display information and to get people talking about everything from the location of problems to the creation of solutions. Every master plan should have mapped information about the community setting (buildings, important areas), the physical conditions (soils, wetlands, and flood areas), the proposed alternatives, and the preferred alternative. Page 36 Community and Economic Development 12/15/2000 Utility Planning - Advanced Where to get information. There are three general places where you can obtain information about your community. a) Where to get information Ask community members. Traditional local knowledge is an important part of the information about a community. Talk to elders and community leaders - ask them to share their knowledge about the village, the environment, history, etc. ¢ From the Community * Gather information from other organizations * Do field studies to fill data gaps Other Organizations. State and federal agencies, non-profit organizations, libraries, and the Internet have a wealth of information that can be used in this planning step. Be sure to use the checklist in order to keep your effort organized and efficient. Field Studies. When you cannot find published information, you may have to conduct field studies and gather the information first-hand. Many field a ae Slide 37 studies can be done by the community; others may have to be done by trained scientists, engineers, etc. Department of Community and Economic Development Page 37 Utility Planning — Advanced 12/15/00 From the community. There are many information sources right in your own community. From the Community Members. There are e ommunity people in your community with information you need for the master ¢ Community Members plan. Elders, community leaders, community health aides, city or village employees, the local storeowner, teachers, and other residents all may have information about the community, its existing water or sewer system (if there is one), and the physical environment. * From Maps Maps. One idea you might want to try is to have the people in your community make a map. Have them locate important buildings, subsistence use areas, berry-picking, hunting and fishing, and cultural areas. Have them mark where flooding has occurred. Identify the location of sacred places that need to be protected and avoided. Have them locate potential water sources. Using this same base map, ask the work group members or leaders to identify areas suitable for future housing or a new sewage lagoon or new school or water treatment plant. Slide 38 Surveys. Community surveys and assessments are a good way to evaluate your water and wastewater system to get an idea of your community’s ability to operate and maintain what you have already. This information will plan for its future needs. Community Capacity. In planning for sanitation improvements, assessing your community’s capacity cannot be overemphasized. It is important that the project in your community has been planned, designed, and implemented to fit your capacity to operate and maintain it. Many projects have been planned, designed, and implemented when later it was determined that the community did not have the capacity to run the system or improvements. Gathering Information via Telephone. If you use the telephone to gather information (a community survey or agency contact), be prepared to take notes. Be courteous, identify yourself up front, determine whether you are talking to the right person, ask clear concise questions, ask for hard copies of reports, and thank the person for their time. Page 38 Community and Economic Development 12/15/2000 Utility Planning - Advanced From other organizations State and Federal Agencies. Many state agencies may have already From other gathered information about your @ 5 : community. Agencies like the Organizations ADOT&PF collect community : transportation information as they * State and Federal Agencies develop airport, road, or marine * Nonprofit Organizations highway projects in each community. In many cases, ADOT&PF or another agency may have aerial photography ¢ Internet or detailed maps. In some cases, they may have collected physical information (soils, geology, wetlands, hydrology) for their projects. The DCED and ADOL collect information about the people and economy in your community. This includes information about the local government structure, the population, employment, income, land use, and site control or land ownership. The USFWS and ADFG collect important information about fish and wildlife - species, population, breeding, rearing | Planning for Utilities | Slide 39 and feeding habitat, vegetation and wetlands, and subsistence. The ADEC may have information regarding air, land and water quality, and contaminated sites. * Libraries Nonprofit Organizations. Valuable information can also be found from your local nonprofit. For example, the regional nonprofit corporation may have more current demographic, land ownership information, and even mapping. The local housing authority will have information on housing needs and proposed housing projects. The University of Alaska (ISER) and statewide tribal organizations (like AVEC in the Yukon-Kuskokwim region or Chugachmiut in the Prince William Sound region) and others also collect information for many rural Alaska regions. Libraries and the Internet. Alaska libraries are linked to each other and to the Internet making research much easier nowadays. Many of the state and federal agencies and nonprofits also link to the Internet and to the state library system. If you do not have Internet access, calling the library will also work. In addition, most agencies and other nonprofit groups have their own libraries with specialized information. If your community does not have Internet access, you can get help from many libraries by calling directly and asking the reference desk for assistance. It is helpful if you know the specific type of information (for example, subject, author, etc.) you need before calling. Department of Community and Economic Development Page 39 Utility Planning — Advanced 12/15/00 From field studies. What if information you need does not exist? You may need information that has not been collected and published in a report. Some of the information you may need will never have been collected before by anybody. In this case, your community may need to do field studies or other research. Some studies need qualified people. Some studies will require that you or the funding agency hire someone with special training to do the work. Qualified people should do the work to ensure that the findings provide you with accurate information. Some studies your community can do itself. The limits to the type of information your community can collect on its own depends on how technical the information you need is and whether you have residents with the time and knowledge to collect it. a) Field Studies * Some studies need qualified people * Some Studies you can do yourself * Where to get help | Planning for Utilities | Slide 40 In many villages, locals will keep track of weather or flooding information, collect water samples, or identify culturally important areas. Where can I get help? If you do not have people in your community that can do field studies, you may need to contact ANTHC, the EPA, or the ADEC/VSW for funding assistance. They can sometimes fund hiring a contractor to do the studies and in some cases, local volunteers may be able to assist with these contracted studies. Conclusions. Whether you find the information published in a report or have a study done by a consultant, the results may be too technical and difficult to understand. Technical advisors like engineers or scientists employed by one of the agencies, a regional housing authority, or the regional health corporation can help you understand the study findings. Page 40 Community and Economic Development 12/15/2000 Utility Planning - Advanced What information do I need? This section discusses how to identify the information needed for the What information master plan. e) do I need ? * Social and Economic Information Every master plan or sewer and water project will require a slightly different set of information. * Physical Environment & Natural However, there are three main types Resource Information of information that are typically ; [ i nesded. * Community Information e Social and Economic Information. This is information about the people in the community - the demographics, social and government structure, and the local economy. e Physical Environment & Natural Resource Information. This information is about the land and water, the fish and wildlife, and the overall physical 2 characteristics of the community and environs. © Community Information. This information is about the community itself - the land ownership patterns, the land use (both existing and future), and the areas important for cultural use by the community. Department of Community and Economic Development Page 41 Utility Planning — Advanced 12/15/00 Social and Economic Information Community Description. This is a description of the community location and the historical and cultural setting. For example, if the community is a traditional village, discuss its history, how it came into being, the people that live there and * Demographics their historical and cultural relationship to the larger region. This information will help with evaluating * Services alternatives and potential effects of alternatives on the local residents. @ Social and Economic Information ¢ Community Description * Government ¢ Economy Demographics. Prepare a demographic profile describing the community’s population by age, race, gender, income, education level, marital status, etc. Profile information will be useful in preparing forecasts of future growth. Typically, population information is relied upon when planning for future water and sewer. Population information, along with information | Planning for Usitiies | Slide 42 you gathered regarding housing (community information) will help you forecast future needs. Government. Describe the form of local government and its roles and responsibilities. Each community may differ - some will have a city government, others will have a tribal government. Include a description of the village and regional corporation and their role and responsibility in the community. This information is important when assessing community capacity to build, own, operate and maintain a utility. Services. Local health and social service agencies (state, federal or nonprofit) will have information on the past and current health risks and problems in the community. Contact the local clinic officials and health workers, the school administration, and local health corporation sanitarian/engineers. Economy. Collect information about local businesses such as the type of business, and whether or not the business has been successful or plans to expand. This information will support your forecasts of future growth and your analysis. Page 42 Community and Economic Development 12/15/2000 Utility Planning - Advanced Physical and Natural Resource Information Climate. Temperature, precipitation (rainfall, snowfall) and wind information will be used when preparing engineering analysis of the alternatives. Some system technology may be very climate- * Hydrology sensitive. What works in one region ; ba sae may not work in another. r * Fish and Wildlife ¢ Land Features al Environment & Natural Resource a) Was le ¢ Climate Hydrology. Surface hydrology and ground water information includes information on flooding (how often, * Geology & Soils when, depth, etc.), availability of * Vegetation & Wetlands year-round water supply, ir groundwater flow and levels, and proximity of rivers or streams. * Natural Hazards Fish & Wildlife. This is information on species and the current and historical location of breeding, rearing, and feeding habitat. Land Features. Important land re Sess features such as lakes, rivers, hills, and the coastline will affect the location of the alternatives. Geology & Soils. Soil types, the presence of permafrost, earthquake susceptibility, and erosion may be engineering issues of concern when designing the set of alternatives. Vegetation & Wetlands. Plant types and location and wetland types and location need to be evaluated when considering land disturbance impacts from construction of a new system in the community. The physical or natural resource information affects the engineering feasibility of a project and may also affect state and federal agency permitting step in the master plan. The level of detail about the physical conditions should be commensurate with the foreseen impacts of the project. For example, discussion about impacts to the physical environment may need to be more detailed if the community were converting from a honeybucket system to a piped system than if the project were replacing an existing piped system. Department of Community and Economic Development Page 43 Utility Planning — Advanced 12/15/00 Community Information Land Ownership - Collect information on “site control” or who owns or has rights to ownership of the land in your community. This information will be important when locating potential water or sewer routes, treatment plants, or sewage lagoons. Deeds, leases or easements are common forms of written authorization to use land Planning for the Future. This is land use information about existing and future locations for: Residential Development. Collect data on the existing number of houses (single family, apartments, etc.) and their condition (e.g. hooked up to water/sewer). Contact the local housing authority about plans for future housing - what type, how many units, location. Use the local comprehensive plan. 2) ¢ Land Ownership ¢ Planning for Future — Residential Development — Commercial Development — Institutional Development — Industrial Development — Transportation ¢ Important Community Areas — Cultural issues — Traditional use areas for berry picking, fishing, boat storage etc. | Planning for Utilities | Slide 44 Community Information Commercial Development. Contact local businesses about their plans for the future - are they planning on expansion? Do they know of other new businesses that might be coming to town? The Alaska Department of Labor may have information on business operations (number of employees, revenue generated). Institutional Development. Collect information on schools, government, health and social services, and public safety. Contact the local village or city council, nonprofits, and regional organizations (school district, state agencies) for information on existing development and plans to add new institutions (new schools, new post office, new jail, new clinic, etc.). Industrial Development. Information for industrial development can also be collected from state and local agencies and Native corporations for their plans regarding industrial projects (fuel storage, power development mining, etc.). Transportation._Collect information on existing and future transportation projects from ADOT and from the local village comprehensive plan or local government. Important Community Areas. Collect this information from local residents. Supplement with information from the state and federal agencies and the local nonprofits. Page 44 Community and Economic Development 12/15/2000 Utility Planning - Advanced Mapping your information. A good way to display the information you have gathered is to map it. There are different types of mapped information, and ways it can be used in the master plan ee) Mapping your Information « Why map your information? Why Map Your Information? * Paper Maps Whether they are simple or highly . i ; technical, maps are an excellent way : What - e Geographic to depict information. Maps can be Information System? paper maps or developed using a computer and a Geographic Information System (GIS). Paper Maps. Published “paper maps” of the community can be used to show the location and extent of natural earth surface features and man-made objects. They provide a basic reference onto which other specialized information is placed. Paper maps might include cadastral gi maps to graphically define land ownership (e.g. tax map). Once you Slide 45 have the base map, take a sheet of clear plastic and lay it over the base map and draw the features you want to show such as flood areas, new housing, city hall, schools, the airport, roads, important subsistence use areas. This is a way to collect and present a variety of information. Geographic Information System (GIS). This is a term that encompasses the entire field of computerized mapping that can perform a number of technical functions. Geographic Information Systems (GIS) or computer mapping is a more technical way to make the same map layers. The computer can also keep track of all the information about things on your map: information on buildings (typical gallons of water use, for example), streams (peak flows, types of fish, spawning times). Department of Community and Economic Development Page 45 Utility Planning — Advanced 12/15/00 Forecast the Future Forecasting Community Growth. Do you have enough houses or do you need to plan for a new subdivision? @ Forecast the Future How many houses must your water source serve in five years? Ten? Twenty? How big must your sewage lagoon be in 20 years? Before you * Forecasting Techniques can list alternative water and sewer systems that will work in your community, you need to decide how many people will live there in the years ahead. This is called forecasting. Forecasting predicts change in the future. * Forecasting Community Growth ¢ How is the forecast used? From population projections, you can estimate needs for housing, other land uses, and the type and size of the water and sewer system. Forecasting Techniques. Many techniques have been developed to forecast community growth. This lesson will present an overview of Ir = =—s_— lites three. How is the forecast used? The forecast is used to predict what may happen in the future. By knowing how many people the system will serve in the future will help determine how big to build it today. Communities are not necessarily at the mercy of past trends or future impacts that often appear beyond their control. Your community’s goals can influence growth. For example, your community may state goals about how to use and sell land, how to make sure people have jobs, and how to build and take care of roads, boardwalks, docks, and airports. If the community decides not to sell any city land, the population may shrink. If it decides there is a goal to sell a lot of land for housing, the population could grow. The goals and objectives you have been developing will influence the forecast and can powerfully direct your plan. This lesson will present ways to use the forecast in developing alternatives. Page 46 Community and Economic Development 12/15/2000 Utility Planning - Advanced Forecasting Community Growth Why do you do forecasting? Population size provides the basic yardstick for estimating a community’s need for additional housing, an adequate water supply, sufficient sewer treatment capacity, and is also used to predict future overall land use needs. A utility master plan is an overall plan for the utility for 5-10 years into the future. Forecasts are a key element of the plan. How do you use the information you have gathered? So far you have collected information on: e the community’s vision and its goals, and objectives for the future e the community’s existing and historical population This information is used in Forecasting Community erceiate * Why do you do forecasting? * How do you use the information you have gathered? Slide 47 ares um elit developing growth scenarios or trends. For example, the vision, goals and objectives direct how land is to be used and developed and how quickly the community wants growth to occur. The population data tells you how much you have grown in the past and can help you understand how quickly you might or might not grow in the future. How is the forecast used in the master plan? The social and economic information you gathered will help estimate future population. Once you have estimated the number of people who will live in your community in the future, you can direct engineers to figure out whether or not the existing water or sewer system can handle that future demand. Next the future population information is converted into demand estimates for water and sewer services and used to size facilities. This information will be presented in the master plan analysis of alternatives. Department of Community and Economic Development Page 47 Utility Planning — Advanced 12/15/00 Forecasting Techniques There are basically three techniques a community or consultant can use to project population growth. ae) Forecasting Techniques Extrapolation. This technique means you extend past trends into the future and base future growth on past * Theoretical Models growth trends. Estimates of current population are actually a projection from the last census data to the current year. In view of this, projection methods can be similar to those used for estimating current population. Using published information from the Alaska Department of Labor you can analyze past population trends and make some assumptions about future trends. For instance, if between 1990 and 2000, the community’s population grew at 3%, you could extrapolate that the community will grow another 3% between 2000 and 2010. There are some inherent HE Planning for tities | Slide 48 problems with doing such an analysis - you may be basing a projection on information unique to the decade (oil prices were really high, growth statewide was booming) that may no longer apply to population trends for the next decade. ¢ Extrapolation ¢ Intuitive Predictions Theoretical Models. Using information such as population and employment, complex theoretical models can be developed to predict growth trends in a community. Examples of theoretical models include cohort survival method, net migration and natural increase methods. Cohort survival is a detailed, very accurate short-term projection and can handle multiple variables. This method is useful for gathering information about the population composition in addition to population size and is often used when planning for things like trends in school enrollment. The Institute for Social and Economic Research (ISER) at the University of Alaska uses a theoretical model. Intuitive Predictions. These types of predictions rely on experienced or knowledgeable judgement about what is likely to happen in the future. Interviewing community leaders is a technique for helping get information useful for intuitive predictions. Page 48 Community and Economic Development 12/15/2000 Utility Planning - Advanced How is the forecast used? To project demand for future services. Once you have estimated How is the the number of people who will live in your community, you can predict the forecast used? number of households requiring water and/or sewer service. The ¢ Project demand for future services. projected demand for service can then ¢ Determine if existing facilities have be used by the engineers. sufficient capacity. To determine if existing facilities ¢ Determine what needs to be built have sufficient capacities. For and how big. example, you can direct engineers to take the projected demand and figure out if the existing water or sewer system can handle it. To determine what needs to be built and how big to build it. The analyses of the demand and capacity form the basis for determining what needs to be built and how big to build it. You can now direct the engineer to take the projected demand and the analysis of existing capacity and come up with Slide 49 a range of choices or alternatives for you to review. Department of Community and Economic Development Page 49 Utility Planning — Advanced 12/15/00 Lesson 4 Developing Alternatives Pee Lesson 4 L : : ‘ : oe sa <= Me aTo once NCrrehies Length: : e Developing Alternatives 3 hours * Create Ideas e Lesson Worksheet .5 hours. ¢ Form Alternatives e Exercises 45 minutes ¢ Screen the Alternatives. Learning Objectives To learn how to create sanitation plan alternatives. After completing this lesson participants should be able to: e create ideas and form alternatives e create alternatives that provide useful comparisons in technologies or locations e screen or eliminate alternatives that are infeasible or unrealistic. There are the three topics to be covered in this section: Slide 50 e How to Create Ideas Le SS e How to Form Alternatives e How to Narrow down the number of Alternatives Page 50 Community and Economic Development 12/15/2000 Create Ideas The first task in developing water and sewer system alternatives is to generate ideas. The work group should use the public participation activities outlined in this manual and in the Sanitation Planning Guidebook (along with Technical Appendices) to come up with as many water and sewer system upgrade ideas as possible. It is wise to list as many options as possible because: e You are less likely to overlook the best ideas. e By considering everyone’s ideas, you will gain community support for the final alternatives selected. ¢ Good ideas may be generated out of seemingly weak suggestions. Who should be involved in creating ideas and why? The work group should lead the effort in this important first task of identifying choices and should come up with a large number of varying ideas. Utility Planning - Advanced oy Create Ideas ¢ Who should be involved in creating ideas and why? * What public involvement techniques work well? What public involvement techniques work well for creating ideas? Brainstorming Structured problem solving Intensive interviewing Visual presentations Facilitation Informal small group discussion Department of Community and Economic Development Page 51 Utility Planning — Advanced 12/15/00 Form Alternatives Once you have created a list of ideas, the work group should briefly consider each idea and make a shorter list of alternatives the community can consider in more detail. In the previous Create Ideas step, the work group was charged with producing a long list of creative ideas that could be narrowed into a shorter list of alternatives. Now the work group should keep the following in mind when forming alternatives: e Public Concerns and Desires. Are the alternatives acceptable to the community? e Problems Identified That Need to be Solved. Do each of the alternatives solve the problem? e Forecasts. How much demand is projected? e Engineering Recommendations. Form Alternatives Public Concerns What problems need to be solved? What does the forecast indicate? What does the engineer recommend? What is needed to serve future areas Community Capacity Ee Slide 52 Do the alternatives meet the engineering criteria recommended? e Existing and Future Use for Land. What services are needed to serve projected land use needs? © Community Capacity. Is the community able to keep each alternative running? To shorten the list of alternatives, the work group should organize all the ideas. They could group similar ideas, geographical areas, most popular, or least popular ideas, etc. If you want to know the cost differences between a pipe system and a haul system, isolate these two types in two alternatives. If you want to know the costs and impacts of expanding your community eastward as opposed to northward, compare those areas in two alternatives. Page 52 Community and Economic Development 12/15/2000 Utility Planning - Advanced Form Alternatives (continued) Structure your set of alternatives in order to compare and contrast ideas. This is an important step to ae Form Alternatives complete before beginning to refine or limit the number/range of l alterfiatives. * Use alternatives to compare and contrast: Different Technologies. Alternatives ~ Different technologies can combine different types of technology together such as flush/haul and pipes or specifically separate different technologies to compare and contrast things like cost or feasibility. Check with other communities to see what technology worked for them. Find out if they came up with a combined technology or a new technology. — Different locations and routes — Different ways of satisfying community goals and objectives Different Locations and Routes. An alternative may focus within one type of technology but explore a range of locations such as a piped system with a variety of routes. In other words, | Planning for Utilities | Slide 33 there may be more than one way to route the system and you may want to test several routes to see which has lower costs or impacts. Review the community’s goals and objectives for future land use (housing, important cultural areas, subsistence use areas, roads, facilities) and compare routings of the system with overall community development desires. Different Ways of Satisfying Community Goals and Objectives. Some alternatives may meet the community’s goals and objectives better than other alternatives. “One size does not fit all.” In other words, form alternatives that fit with community goals and objectives. You might specifically structure alternatives to see which ideas might fit together better from the perspective of what the community wants. Department of Community and Economic Development Page 53 Utility Planning — Advanced 12/15/00 Screen the Alternatives This section describes ways to narrow the range of alternatives based on what you know. This is sometimes called “fatal flaw analysis.” Essentially if there is a major problem with an alternative you should consider aa Screen the Alternatives ¢ Use the information you have dropping that alternative from further gathered to help shorten the list for consideration. fatal flaws based on: ~ Technology During this step, the work group takes the longer list of alternatives and narrows the list down to a manageable ~ Economics number. This narrowing down is — Social Implication achieved by grouping and eliminating alternatives that seem unrealistic or — Environment ¢ After you have done a preliminary infeasible. The work group should screening, you are ready to evaluate consider technology, the environment, the alternatives you have left. economics, and social implications. For example: Technology. If the technology is not appropriate to the community or the community lacks the capacity to build, operate and maintain it, perhaps the Ir Sess alternative should be eliminated. Environment. If the impacts to the environment are so serious that the alternative cannot be approved by the agencies (i.e. permits will not be issued), perhaps it should be removed from the list as infeasible. Economics. What are the engineering costs? Is there funding to build it AND operate and maintain it? Can the community afford the alternative that has been formed? Social Implications. Will the alternative conflict with community functions and lifestyles? After you have organized the ideas into groups and have considered which would work best, you should have a range alternatives. These are the alternatives for your plan. You are ready to move onto the evaluation step. Page 54 Community and Economic Development 12/15/2000 Utility Planning - Advanced Lesson 5 Evaluating Alternatives Q Lesson 5 L 5: 4 hours f S “e i Evaluating Alternatives Length: oe oe : ; sae © Evabusting Alternatives 3 hours. * Criteria for Evaluating Alternatives e Lesson Worksheet .5 hours. * Presenting and Considering Your e Exercise .5 hours Choices This section presents how to evaluate alternatives and how to effectively present and consider the range of choices. Learning Objectives To learn how to evaluate a set of alternatives. To learn how to I SS Criteria for Evaluating Alternatives Presenting and Considering Your Choices organize the alternatives so they can be evaluated efficiently and effectively. After completing this lesson you should be able to evaluate a range of alternatives using the criteria specified in the lesson effectively organize and present choices for consideration understand the terms “evaluate” and “criteria” be able to identify several criteria. Evaluation of alternatives should be governed by criteria - you objectively consider a range of options that could solve the identified problem and meet the community’s goals and objectives. This means that the criteria you use to evaluate the alternative should relate back to the community’s statement of the problem, its goals and objectives, forecasted demand for services, and the information about the community (e.g. the socio-economic, physical conditions). Department of Community and Economic Development Page 55 Utility Planning — Advanced 12/15/00 Criteria for Evaluating Alternatives This section presents the criteria used ©) Criteria for Evaluatin g to evaluate alternatives. NT ti ematives The work group, the engineer, and stakeholders in the community must be involved in evaluating alternatives. ¢ Forecast and vision In addition to the list of criteria to be presented in this lesson, there may be different or additional criteria specific ¢ The environment to the project that should also be considered. For example, you may want to have an engineer work with ¢ Experience of other Communities each alternative to give more detail about how it would work in your : ; community. *« Community capacity ¢ Community input * Community function ¢ Effects on residents ¢ Engineering feasibility The purpose of the criteria is to ensure that the evaluation is focused, objective, and thorough and results in an alternative that works best for the community. Suggested criteria for evaluating a Slices alternatives include: community input forecast and vision community function the environment effects on residents experience of other communities engineering feasibility community capacity Not all criteria have to be used; refine them, or think of others that are more applicable to your situation. Different factors are important to different communities, and more or different information may be required for your community to make a decision on your preferred alternative. Page 56 Community and Economic Development 12/15/2000 Utility Planning - Advanced Community Input Does the alternative do what the community wanted (look back at your goals from Step 1)? For example, does the alternative avoid areas that are important to the community? ey Community Input * Ask the public again. Ask the public again. Go back to the community and ask them if the TE proposed range of alternatives objectives. address their concerns. Ask them if * Does the alternative do what the the criteria used to evaluate the io eee? alternatives make sense. CONMBUAILY WAnISs * Review community goals and * Does it satisfy community concerns? Review the community vision, goals and objectives. Do the alternatives : meet the goals and objectives for the this stage? future spelled out earlier in the planning process? Revisit any changes now. * How do we get community input at Does the alternative do what the community wants? Does the technology proposed fit with the local lifestyle? | Planning for Utilities | Slide 57 Does it satisfy community concerns? Does it address the problems the community identified earlier in the planning process? Do the alternatives avoid the important areas like berry-picking areas, graveyards, and historic buildings? How do we get community input at this stage? Community input can be gathered using a couple of different public involvement techniques. You could begin by preparing a flyer describing each of the various alternatives under consideration. Distribute the flyer to every boxholder in town. Post it at the city/village offices, clinic, school, post office, store, community hall, etc. Follow up with a public meeting where the engineers can present the alternatives and the advantages and disadvantages of each. The work group should participate in the meeting and share their observations on each of the alternatives. Open the meeting up for facilitated discussion - using a round robin approach, ask for comments on the alternatives. Record comments, concerns, suggestions. Department of Community and Economic Development Page 57 Utility Planning — Advanced 12/15/00 Forecasts and Vision @ Will the alternative work in the future, based on the forecasting and ey ay TeeTA Tar aaa Toten the community vision you came up with in Step 2? For example, will the alternative work for proposed tourism * Review forecasts for community seas! growth - do they still make sense? In Step 2 of the planning process, ¢ Review community vision for forecasts were developed for the where, when, and how growth future based on population growth should occur. Does the alternative estimates and the community vision siottha vigi on? for growth (e.g. slow, moderate, fast). palisty Mle Visions * Does the alternative fully satisfy Review Forecasts. Now is the time to the growth projection and see if the forecasts still make sense. : 9 Pisani tig chmuedia eens locations for future growth? believe that the projected growth is too fast, too slow? Does the alternative provide enough capacity? Review community vision for where, when, and how growth should occur. : This is important when evaluating ia ra alternatives. If the community has | SC adjusted its vision for growth, corresponding forecasts and engineering estimates may also need adjustment. For instance, if the community vision has changed from a slow-growth vision to an aggressive or fast-growth vision, the corresponding demand for services will have changed (i.e. increase). This change in vision and forecasted demand affects engineering design, project costs, and overall project schedule. Does the forecast fully satisfy the growth projection and locations for future growth? It is vital that the forecasts and vision be reviewed with the community and work group to confirm that the projections and locations for future growth are still accurate. If the alternatives do not satisfy the vision and forecasts, the end result will be a dissatisfied community and an unsuccessful project. Has there been a change in land use patterns? Perhaps new housing is proposed in an area that was otherwise not considered in the community’s plan for the future. Suddenly land became available, funding was issued, and the housing authority wants to put the new houses in a completely different area than previously planned. This change in the location of growth will affect engineering design (e.g. routing of system, location of treatment plant), project costs, and construction schedule. Page 58 Community and Economic Development 12/15/2000 Utility Planning - Advanced Community Function Does the alternative work okay considering the community’s buildings, land ownership, other pipes or wires, etc. For example, does the alternative block boardwalks or trails? Q | Community Function * Does the alternative fit with the layout of the community (location Does the alternative fit with the of buildings, pipes, roads, and layout of the community? How a important areas)? community functions must be * What about land ownership (site respected by the alternative. This control)? means each alternative should ; SI consider the location of buildings * Is the system compatible with how (houses, stores, etc.), trails systems, the community functions (lifestyle)? important areas, and community lifestyle. For instance, if a community relies on its trail network for getting around, the routing of the water or sewer system should be made to fit as best it can. Where possible, conflicts with these trail networks should be avoided or at least mitigated (e.g. si aciieeae Lines provide pipe crossings). In many communities, the buildings are clustered together in the core of the village allowing little room for the construction of a piped system. In order for the alternative to work, there will be temporary disruption to the occupants of those buildings during construction. In some cases, there may even be the need to move or demolish the buildings. What about land ownership? Each alternative should consider land ownership. Where necessary, some lands may need to be purchased or easements attained in order to develop the alternative. Contact all landowners early in the alternative development step to ensure their full participation in the evaluation. Note: Each alternative brings a change of some sort to how the community functions. A community that previously hauled its waste to the lagoon may now be a community with flush toilets in every home. Recognize that this change in lifestyle is not minor or trivial - educate residents on how the proposed system will actually work in the home. In addition, houses may not be set up to receive the proposed system and changes in the house design will be necessary. This could be a temporary disruption to the lifestyle of the occupants and should be discussed in the alternatives evaluation. Department of Community and Economic Development Page 59 Utility Planning — Advanced 12/15/00 The environment Does the alternative harm the land or wildlife that is important to the community or agencies? State and Federal agencies will look at flood areas and erosion, fish and wildlife habitat, and climate. Questions the community should ask: e Does the alternative harm the environment? e Will the environment harm our investment? Here is a chance to use the environmental information you gathered earlier in the planning process. The land, water, and wildlife in a community are important to residents and to state and federal agencies. Harmony between the people and the environment is usually encouraged and alternatives that account for potential damages to the environment are typically preferred. er The Environment ¢ Does the alternative harm the environment? ¢ Will the environment harm your investment? Think about: — Fish and wildlife — Flooding — Erosion — Sensitive area — Other??? Ee Slide 60 That is why state and federal agencies with regulatory authority (jurisdiction by law), agencies with special expertise, and stakeholders are teamed together to review the alternatives for impacts to the environment. State and federal agencies examine each of the alternatives and consider the impacts to the following: fish and wildlife habitat water quality erosion flooding wetlands subsistence historic preservation Community residents should review each of the alternatives for the impacts that harm the land, water, wildlife, and sensitive areas important to the community. In addition, residents should look at whether the environment will harm their investment in a particular system (e.g. flooding, erosion etc.). For instance, if you select a system that is compatible with the local environmental features, it will likely be easier to build, operate, and maintain. Page 60 Community and Economic Development 12/15/2000 Utility Planning - Advanced Effects on Residents With projections in mind for costs to operate the new system and for population, will people be willing to pay what it will cost to run the Q | Effects on Residents system? For example, how much will * Economic impact. What will my the system cost each resident? How , 7 will it affect current lifestyles? saomtbty 018 pe * Can the community afford this Any system your community chooses alternative? to build will have an effect on the residents. It will have an effect because it is a change from how or homes? things have always been done previously and change always results in some effect - positive or negative. ¢ What about impacts to their lifestyle Economic Impact. As you consider each of the alternatives, include a review of the economic impact of the alternatives. This does not mean the cost to build, operate, and maintain it but rather the cost to each resident. Has the alternative specified how much the monthly household bill be? | Will residents be able to afford to pay the water and sewer monthly charge? Can the community afford the alternative? This means, can the community afford to pay for the administration of the system - sending out bills, collecting fees, etc. There will be more discussion on this aspect when we review community capacity later in the lesson. Lastly, what about the impacts to their lifestyles and homes? There will be impacts before, during, and after construction of the project. It is important to review each of the alternatives with the community and ask them to identify whether one alternative or another is preferable based on the effects on residents. Department of Community and Economic Development Page 61 Utility Planning — Advanced 12/15/00 Experience of other communities Has this kind of alternative worked well in other communities? Look at other villages’ water and sewer systems either by visiting or talking ae on the phone. Ifa particular system pentane LESS was not successful in another ¢ Ask other communities about community, it may not be in yours. their system ey Experience of Other It can be very useful to ask other ~ Do they like that system? why or communities about their experience. why not? Ask other communities what they like — How much does it cost them? about their system. — Do they have problems operating | or maintaining it? Does it work? Why or why not? Communities can learn from what others have already experienced. Just like you pass down from generation to generation what you know about hunting, trapping, beadwork, dollmaking, and food preparation, to name a few, find out what has worked and not worked in other communities. . Slide 62 What were the costs to residents, unit | costs, maintenance requirements, and reliability? Check to see if the alternatives you are considering have ever been used in another community. If so, what were the circumstances? Was it a community with similar environmental constraints, cultural traits, and lifestyle? Ifa particular system was successful for them, it might also work for you. If it a system was not, then it may not be appropriate for your community. — Other Questions? Are there other questions you want to know about their system? Talk to other people in the community besides the village or city administrator and utility operator. Talk to residents, clinic workers, the utility operator, and business-owners. Ask them if they like the system, how much it costs to operate and maintain, and what kinds of problems have they had with the system. These interviews may mean calling other communities on the phone. However, you may even want to make a visit to the community and check out the system in person. Page 62 Community and Economic Development 12/15/2000 Utility Planning - Advanced Engineering Feasibility Often engineering feasibility is viewed as the primary criterion when evaluating alternatives. It is but one criterion, but it is an important one. Do the engineers think the alternative will work well in your location? Ask an engineer whether each alternative will work taking into account specific ey Engineering Feasibility * Has the engineer described the physical constraints? ~ Soils? engineering points like: Soils? — Slopes? . a a © Age the soils good fir baiting en? * What kind of construction methods will e Does the alternative involve be used? unusual construction work? * How reliable is the system? e Is the alternative reliable? — Pumps? F . . — Pipes? E ¢ How much is construction likely to Figen? He cost? * What will it cost? ; — Capital? e What are the operation & anal maintenance costs and ee considerations? — Utility Bills? Physical Constraints. Each alternative should be reviewed taking into account specific engineering points Engineers ; look at the underlying land formation - | geology, presence of permafrost, soils, the potential for erosion or flooding in order to design a system that will not fail. All of these features can impact the ability to build AND operate and maintain the system. Does the alternative involve unusual construction methods? Have the methods been clearly described along with the additional cost? Is the alternative going to be reliable? Are the pumps easy and inexpensive to operate and repair? Is the material for the pipe suitable for the climate and underlying soils? How much is the project construction going to cost? What is the capital costs for construction and what are the estimated utility bills for each resident? What are the O & M costs and considerations? How much will the utility bills run for homes and businesses? What about management and administration — two key aspects of a successful O&M program? It is okay to ask the engineer which alternative they think will work best in your specific community based on these points. Department of Community and Economic Development Page 63 Utility Planning — Advanced 12/15/00 Community Capacity Can your community handle it? Think about how your community would operate and maintain each of the alternatives. What kinds of management does the alternative require? Consider the reliability of your work force, training needs, number of operators needed for the alternative, and the sophistication of the system (e.g. would it require more of a plumber or more of a computer expert—or both?). What is your community’s technical and financial ability to own, operate and maintain the proposed system? Whether or not your community has this ability should effect your evaluation of the alternatives. Think about how your community would operate and maintain each of the alternatives. What kind of training will be needed? Consider the reliability of the local workforce and the training needs for the entire community. Find out if how many personnel are needed to operate and maintain each alternative. If one operator is not sufficient, ask about the cost if you need to add more trained personnel. Will the system be too sophisticated to repair locally? Would it require plumbing, computer, or even mechanical engineering experience that currently does not exist in the community? What costs are associated with that if you need to bring in trained personnel when repairs are needed? Be sure to refer to earlier discussion on community capacity. Page 64 Community and Economic Development 12/15/2000 Utility Planning - Advanced Presenting and Considering your Choices There are several useful techniques Naeeesnta tates rg for effectively and efficiently 4 : ‘ presenting and considering the Considering Your Choices range of alternatives or choices. They include: ¢ Comparison Chart * Public Involvement ideas for ¢ Comparison Charts helping people “see” what they would be gettin e Public Involvement ideas for g 8 helping people “see” what they ¢ Mix and Match would be getting e Mix and Match | Planning tor Utilities | Slide 65 Department of Community and Economic Development Page 65 Utility Planning — Advanced 12/15/00 Comparison Chart A comparison chart is probably the easiest method for presenting how © : well each alternative will work. After | Comparison Chart the work group has come up with a list of criteria, you can create a chart to present what is good and bad about each alternative. The work group can * Rating and Scoring fill in the chart either by marking with a + or — or by using a scoring system. Using this “scorecard” * Criteria vs. Alternatives ¢ Ranking or Totaling Aleraative T Alternative? Alternative 3 Alternative approach in Step Three (Identifying Capital Cost Choices) allows your community to Operating look at how alternatives compare aul against each other. Preference Considerations Also, instead of a + or — or scoring, vnwapecaal you can write short comments or cost Seay amounts under each of the criteria. tnd Objectives Use the chart to show how well each Counery alternative rates against important community and engineering criteria. Ee Slide 66 Page 66 Community and Economic Development 12/15/2000 Utility Planning - Advanced Public Involvement Helping the community “see” what they are evaluating will make the O) selection process less difficult for C | Public Involvement your community. Once the work group has created a final list of the alternatives that work for the ¢ Ideas for helping people “see” community, present this information what they would be getting: to the public. It is a good idea to — Drawings have an equal amount of information — Photographs on each one, especially if there is a : — Videos perception that you are not treating all of the alternatives fairly. — Site Visits — A walk around the community Below are some ways to involve the public in the evaluation process. Drawings. Techniques that work to help people “see” include visual presentations and public meetings. For instance, use drawings or maps of the alternatives. The drawings should adequately portray what the system might look like once constructed. Pep : + Include a map to show the proposed | Planning for Utilities | Slide 67 routing of the system, the location of the new treatment plant, etc. Photographs. Use photographs and videos where possible - especially from other communities. These techniques help people “see” real-life examples of different systems. If one of the alternatives proposes an aboveground piped system, get photos or a video from where the system has been built so folks can see what it looks like. Site Visits. Site visits are great. If possible select a community where the system you are considering is under construction and then select another community where the system is in place. This allows you to see both the impacts during construction and the final product. Walk around your own community, Take the engineer and walk the routing of the system on the ground to see where system might impact buildings, trails, and sensitive areas. Department of Community and Economic Development Page 67 Utility Planning — Advanced 12/15/00 Mix and Match Do not be afraid to mix and match alternatives. The preferred © alternative may not be exactly like ey Mix and Match one of those evaluated. Pick and choose the best features and refine alignments as necessary. ¢ The preferred alternative may not be exactly like one of those evaluated. For example, one community might ~ Pick and choose best features have difficulty reaching agreement on one alternative or another community might be open to all the alternatives. You can often reach agreement by choosing the parts of each alternative that you like for a final preferred alternative so long as the combined alternative meets the goals and objectives of the community, scores well against the criteria you have selected for evaluation and is still feasible. — Refine alignments — Modify as needed Sy When you discuss mixing and Ss Ry matching, get input from the engineer to ensure that all the technical tte concerns are addressed in the combined alternative. This may mean additional modifications in order to combine the best features and alignments you have selected. In the End. Create a final list of the alternatives that appear to work for the community. Make sure you have an equal amount of information on each one. Get ready to select one of the alternatives in Step 4 and to celebrate the decision! Page 68 Community and Economic Development 12/15/2000 Utility Planning - Advanced Lesson 6 Choosing the Best Alternative Lesson 6: 4.5 hours S Lesson 6 ag Choosing the Best Alternative Length: e Selecting & Refining the Preferred ¢ Selecting a Preferred Alternative Alternative 1.5 hours e Putting the Plan onto Paper 1.5 hours * Putting the Plan on Paper e Lesson Worksheet .5 hours e Exercises 45 minutes * Refining the Preferred Alternative Learning Objectives Selecting a preferred alternative is about making a decision. Students should understand how to determine if their community is ready to make a decision. After completing this lesson you should be able to: e understand terms like preferred alternative, preliminary engineering cs Slide 69 and capital improvement program e know what belongs in a CIP, draft master plan, and final master plan Topics to be discussed in this lesson include: e Selecting a Preferred Alternative e Refining the Preferred Alternative e Putting the Plan on Paper Department of Community and Economic Development Page 69 Utility Planning — Advanced 12/15/00 Selecting a Preferred Alternative By now the community will have a list of alternatives and all the information they need to decide on a preferred water and/or sewer system. Select your preferred alternative based upon . the following: * Acceptance by the community Selecting a Preferred PNoeelenie ¢ Engineering feasibility Acceptance by the community. Have community wants and needs been addressed? ¢ Who selects and how? ¢ Dealing with differences and * Criteria important to the community Engineering Feasibility. Has your ; engineer adequately explained the factions design plans how the system will work ¢ Resolution and celebration in the community? Do residents understand how the system generally works and how much it will cost them? Criteria important to your specific community. Does the alternative satisfy the criteria important to your community? For instance, does the routing of the pipes avoid the graveyard? | Planningtforuitties: | Slide 70 Who selects the preferred alternative and how? In the previous planning step, you evaluated each alternative and presented a comparison chart for the community to review and discuss. Residents and community leaders must fully understand the pros and cons of each alternative. How do you deal with differences of opinions or factions within the community? If there remain unresolved differences of opinion about selecting a preferred alternative, you need to step back and review the evaluation criteria against each alternative. Find out if you missed something important. Engineers and other appropriate technical staff should be contacted with questions. Is it time to pass a resolution approving the alternative? Once you have agreed on the preferred alternative, it’s time to celebrate. A resolution from the local government supporting the preferred alternatives typically required. If you are funding the design or construction on your own, a resolution is not required, but would provide a means of documenting your community’s decision Page 70 Community and Economic Development 12/15/2000 Utility Planning - Advanced Refining your preferred alternative There are no set rules on how a water and sewer project moves from a ees IRs baebbored your Preferred preferred alternative selection (the concept/planning phase) through “preliminary engineering” to the development of a “Water and Sewer Master Plan.” The process depends * Capital Improvements Program on the community and project. 2 Proj ¢ Draft Master Plan However, there are some standard procedures that engineers follow and ¢ Final Master Plan ways you can actively involve your community. Alternative ¢ Preliminary Engineering * Adoption by policy making body. Topics to be presented in this section include: Preliminary Engineering Capital Improvement Program Draft Master Plan Final Master Plan Adoption by appropriate policy- making body There are also many ways you can actively involve your community in this planning step and these are presented in this section. Department of Community and Economic Development Page 71 Utility Planning — Advanced 12/15/00 Preliminary Engineering This section provides details on preliminary engineering. ; Preliminary engineering results in a eesbientiertag En gineerin g series of drawings and maps made with a computer-drafting program. This step takes the preferred Details on: alternative from the concept to the * exact location of features first design level. However, the * land acquisition issues (site control) design is still not set in stone. * materials needed to build each feature The purpose of preliminary of the alternative engineering is to come up with * timing and phasing engineering plans detailed enough for * construction and operation costs a cost estimate and a construction * maintenance requirements schedule that you can use to ask for funding and permits. Topics to be discussed regarding preliminary engineering include: e Project Location. During the preliminary engineering step, the engineer prepares a detailed design of the preferred alternative Eee Slide 7 - making it into a project that agencies can fund. The preliminary engineering should provide a project location (or pipe route) and details on the exact location of project features (water treatment plant, pump station, etc.). e Land Acquisition. Has the land needed for the project been acquired (i.e. site control - easements, row, lease, deed, etc.)? e What materials are needed to build each feature? Preliminary engineering includes a list the required materials needed to build each feature and the costs. e Timing and Phasing of Construction. A description of the timing and phasing of construction, construction and operation costs, and maintenance requirements should be provided. Review the diagrams, figures or maps of the engineer’s findings with your community. Walk residents through the designed system explaining everything from where the important buildings will be to what “in-house” plumbing will look like. If the engineer has adjusted or changed the preferred alternative, ask them to provide written justification for the changes. Page 72 Community and Economic Development 12/15/2000 Utility Planning - Advanced Develop a Capital Improvements Program (CIP) After preliminary engineering a capital improvement program can be developed. You and your engineer should do the CIP. A CIP typically contains the following elements: e A list of capital improvements (things to build) in order of importance or timing e A short description of each feature of the project including costs. This often includes a justification of the need for the project. e Aschedule for seeking funding and likely funding sources e Aconstruction schedule for building each feature and/or project phase. The CIP groups work items together Developing a Capital Improvement Program * List of capital improvements (things to build) in order of importance or timing. * Short description of each feature of the project, including costs. * Schedule for seeking funding ¢ Construction schedule 4 Slide 73 into projects that can be built and funded together as a package. For each of the projects, there should be a construction, operations, and maintenance cost estimate. Even if your community is proposing a large, once-in-a-lifetime project such as storage tanks that cost hundreds of thousands of dollars, the project should be in the Master Plan and CIP. In addition, the CIP should include an assessment of potential local, state, and federal funding sources. After you have the refined project estimates you are ready to prepare a water and sewer master plan for review by residents and agencies. Department of Community and Economic Development Page 73 Utility Planning — Advanced 12/15/00 Draft and Final Master Plan At this point, all information that has been collected and developed can be bound into a draft water and sewer master plan. Be sure everyone gets a look at the draft plan. Consider the following stakeholders: work group funding agencies agencies that consider permit applications e private businesses e engineers © community leaders e the public Use their comments to revise the plan. While the plan is still in draft form, there is still an opportunity to refine or change aspects of the preferred alternative. The city or tribal government can adopt the final plan using a resolution or a formal letter. Funding agencies like to see this formal step to show that your community has accepted the final plan. y ‘ ‘ % Draft & Final Master Plan ¢ What goes in a Master Plan? * Publish the draft plan * Review and comment ¢ Prepare final plan * Resolution and adoption ° ¢ Eee Slide 74 e What goes into the master plan? All the information that has been collected and developed can be put into the draft master plan. Use the outline or table of contents in the technical appendices, including the information you collected from you community along the way. e Publish the draft plan. Print enough copies of the draft plan so the work group, funding agencies, regulatory agencies (those that issue permits), private businesses, engineers, community leaders, and the general public can have a copy. Review and comments. Provide adequate time for review and comment. Build this review time into your overall project schedule. Prepare the final master plan, Based on the comments you receive, revise the plan. This is the opportunity for refinements to the preferred alternative. Extensive changes mean lost time and money and probably indicates something has gone wrong in the process. Resolution and Adoption. The city or tribal government can adopt the master plan using a resolution or formal letter of approval. This shows funding agencies your community is behind the project. Page 74 Community and Economic Development 12/15/2000 Utility Planning - Advanced Lesson 7 Putting the Plan into Action Lesson 7 Putting the Plan Into Action Length: 4 hours igni ilding the Syst are a ti i ae =o Designing & Building What You Want e Operating & Maintaining the ¢ Before Construction System 1.5 hours e Lesson Worksheet .5 hours : ; e Exercises .5 hours * Operations and Maintenance ¢ During Construction This lesson discusses the three stages of putting your plan into action and designing and building what you want in the order they typically occur: e Before Construction - funding, project management, final design and permitting e During Construction - community involvement, operator training, utility management team ° : Slide 75 e Operations and Maintenance - | preventive maintenance, the “six Cs” of utility management Learning Objectives Putting a plan into action is an important part of the master planning process. Students should understand what it takes to implement a master plan. After completing this lesson participants should be able to: e understand what has to happen before construction, during construction, and after the project is built e generally grasp the concepts of project management, permitting, and preventive maintenance Department of Community and Economic Development Page 75 Utility Planning — Advanced 12/15/00 Before Construction This section presents the four tasks that must be completed before construction can begin. eel iByeyceyna) Construction e Funding. When money is needed, where to get it, when to submit grant or funding applications. * Determine Construction Management approach * Funding e Project Management Approach. Whether to manage locally or contract out management. ¢ Permits ¢ Final Design e Final Design. What happens during this stage and how do you keep the community involved. e Permits. Identifying the necessary permits, when and where to get them. Page 76 Community and Economic Development 12/15/2000 Utility Planning - Advanced Funding Construction of your water or sewer system can begin once you have both the design and the funding. Now ‘ Funding funding for planning the project is replace by funding for building the project. * Where to get funding * How - what is the process? Where can you obtain funding? There are several state and federal programs for funding. The two main source include: e Alaska Department of Environmental Conservation Village Safe Water e Alaska Native Tribal Health Consortium * When do I need to get funding? Other sources might be: e Municipal Grants and Loans e Operations Assistance programs e Community Facility Loans e Water and Waste Disposal Loans and Grants : Slide 77 Emergency Community Water | Assistance Grants Community Facilities Guaranteed Loans Rural Alaskan Village Water and Waste Disposal Grants Capital project matching grants from the Alaska Department of Administration Rural Development Assistance Grant and federal CDBG program You should know that the funding sources, amounts available, and requirements can change from year to year What is the process? Each phase of the project outlined in your final master plan may need its own funding. Each of the funding programs has its own process and each program will have an application form. Check with your local ANTHC or VSW engineer for details on the application process and submittal requirements. Most of the answers should be contained in your master plan. When should we apply for funding? Keep track of agency deadlines; they can change year to year. This will be your responsibility — to stay on agency mailing/notification lists and to contact the ANTHC or VSW project engineers on a regular basis regarding application deadlines. Department of Community and Economic Development Page 77 Utility Planning — Advanced 12/15/00 Determine Construction Management Approach The amount of control your community wants determines the construction management a approach it takes. For instance, your community can build the project itself * Force Accounting hiring its own workers (called “force accounting”) or by contracting with a construction firm. Determine Construction Management Approach * Contracting Construction Both systems have a number of advantages and disadvantages. Roce Slide 78 Page 78 Community and Economic Development 12/15/2000 ° Utility Planning - Advanced Force Accounting What is force accounting? Community builds the project itself, eee hiring their own workers. Force Accountin iy Advant . ; ra * What is force accounting? e The community has direct control « Advantages over the project. e There are opportunities to employ and train local residents. e The community makes decisions regarding wages, hiring practices and working hours. e Money (wages) stays in the community adding to the local economy. * Disadvantages Disadvantages e There may be pressure on local government because the community is responsible for keeping the project on schedule and within budget. | I This requires a good payroll and accounting system. Personnel may need training at the community’s expense. Not every community has local labor, management experience, or equipment. Trained people must maintain the construction equipment. There is no one to call to take over. Good project management is needed throughout the project. Regardless of the approach you select, you need trained personnel who will stick it out over the duration of the project. Department of Community and Economic Development Page 79 Utility Planning — Advanced Contracting Construction What does it mean to contract construction? Contracting means a private construction company comes into the community to build the system. Advantages e There is less impact and stress on the community government, accounting systems, and management. The company has its own accountants and construction supervisors. e Contracts can include provisions requiring local hire. e Professional companies usually do the job well and quickly. They are motivated to get the job done (time is money, reputations at stake). Disadvantages 12/15/00 ¢ What does it mean to contract construction? « Advantages ¢ Disadvantages Contracting (@reyatsiensceaceyel Slide 80 e There is less local control and decision making power. Community is not in the decision- making “loop.” e Local hire might not be used. There is less opportunity to train local residents. e There may be fewer benefits to the local economy (jobs, cash flow in the community is not as great). e Money leaves the community (workers do not live in the community and spend their money back home). Page 80 Community and Economic Development 12/15/2000 Utility Planning - Advanced Final Design What happens during final design? Final design means the design of the water and sewer system is completed by an engineer based upon the Master : é : Plan, the CIP, and the preliminary * What is happening during final engineering. The final design plans design? are used by the construction company * Community Involvement to actually build the system. Final Design What about community involvement during this stage of the process? While final design plans are being developed, the work group needs to remain involved. Discussions with the engineer should still be taking place. Involving the work group ensures that local needs and concerns continue to be addressed in the final design. If there are design changes from the master plan, the engineer needs to provide the community with written justification. 2 Some effective public involvement techniques for keeping the work group running AND the community informed include: ¢ Newsletters to each boxholder and/or school child in the community. The newsletter should update residents on the final design features - maps and drawings or photographs should be included. e Public meeting with the work group where final design plans can be reviewed. Use existing forums like village or city council meetings, school open houses, etc. Department of Community and Economic Development Page 81 Utility Planning — Advanced Permits What permits might be needed? You might need several permits from different agencies for different parts of the project. Even though there are as many as 25 possible permits out there, it is unlikely that all will be needed for your project. Early in the planning process, the community has been working with the state and federal agencies through the work group and planning coordinator. These “stakeholders” have been involved in goal-setting and collecting information, alternative development and refinement, and final selection of the preferred alternative. Permit needs were identified and data collected for the master plan that can now be used in the permit application. How do you apply for them? Using Technical Appendix C of the Sanitation Planning Guidebook, you can check off which permits might 12/15/00 Ma Permits * What permits might we need? * How do | apply for them? * What information will I need? * Where do I get that information? Ee Slide 82 apply to your project and begin contacting the proper agency and gathering the application forms and information you need. The Division of Governmental Coordination can help you determine which permits you might need. What information do you need for the permit application and where do you get that information? Your draft master plan will likely contain most or all the information you will need for the application. For example, if in the draft master plan you have identified an alternative that requires gravel or dirt to be put in a wetland or along the edge of a pond or stream, you will need a permit. The plan should provide you with the location of the gravel placement and the amount (engineering details). The permit application will require these kinds of details. Page 82 Community and Economic Development 12/15/2000 Utility Planning - Advanced During Construction Once construction begins, there are three important points to remember: ; ; During Construction © Community Involvement. Keeping folks informed so there are few surprises or emergencies. * Community Involvement * Operator training ¢ Operator Training. Begin * Utility Management Team training for operations now. e Utility Management Team. Plan how the system is to pay for itself. Eee Slide 83 Department of Community and Economic Development Page 83 Utility Planning — Advanced 12/15/00 Community Involvement Continue to involve and inform residents during this stage. Why continue with public involvement? Construction in a community can be very disruptive to resident’s lifestyles, local business, and to local government. When a construction project starts everyone is affected. Construction means movement of dirt, hauling and laying of pipe, truck traffic, dust, noise and a general increase in the level of activity not otherwise experienced in most small communities. This increase in activity could be a shock or cause inconvenience to some residents. Normal routes (trails, pathways, and roads) from houses to the store, post office, and health clinic, for example, could be temporarily changed. What’s the solution? Keep people informed of what is going on. Community Involvement ¢ Why might I want to continue community involvement? * What techniques work? Ee Slide 84 What public involvement techniques work? Continue to use the work group and your planning coordinator to get the word out about what is going to happen during construction. Hold public meetings before construction begins. Go over the construction schedule with the community and gather their ideas on how to make it compatible with local lifestyles. Continue to hold meetings as each phase comes on line. If there are planned breaks in power service, closures of roads and trails, put this information on the radio and post notices in the clinic, city/village office, post office. If your community likes newsletters or flyers, use this medium to get the word out. Don’t wait until the bulldozers arrive! Do it early. Page 84 Community and Economic Development 12/15/2000 Utility Planning - Advanced Operator Training It is never too early to begin training utility operators. Operator Training Why start now? Start Early. Do not wait until construction is complete and the system is operational to begin training. They need to be ready to go ¢ What training do I need? when the system comes on line. Operator training can really begin once the preferred alternative has been selected and the final master plan completed. There is plenty of time while the CIP and final design is being worked on to get those operators trained. * Why start now? * Where do we get training? What kind of training will they need? This will depend on the system you select and develop as part of the final master plan. Where do we get the training? DCED currently offers a range of utility operator training courses. They Ee Slide 85 have plans to continue with this training and expanding the operator training series in the future. Other state and federal agencies may offer training. Department of Community and Economic Development Page 85 Utility Planning — Advanced 12/15/00 Utility Management Team This section presents details on establishing a utility management = Grattan team. ey Management Team What is a utility management team? It takes a team of people to run a utility. Keeping the system running, * Who should be on it? managing people, managing money, . : : pOverhing @achilake penple ntdhelcity Where can I get more information or village to take care of daily and training? operations and make decisions that affect the success of the utility. ¢ What is a utility management team? During construction is a good time to start thinking about the skills of the people you have, make sure they have the training they will need, and that they understand what their roles will be. This needs to happen well in advance of when the system is up and running. Who should be on it? The policy- making body, utility manager, i Slices operator, accountant, citizens (resident, business owner) is a potential member of the team. Where can I get more information and training? Contact the following agencies for information on forming a team: e Rural Utility Business Advisor program (RUBA) e Alaska Native Tribal Health Consortium (ANTHC) e Alaska Department of Environmental Conservation (ADEC) e Rural Development Authority (RDA) Page 86 Community and Economic Development 12/15/2000 Utility Planning - Advanced After Construction: Operation and Maintenance Operation and maintenance of your oo After Construction: water and/or sewer system is more 4 “ than fixing leaks, repairing pipes, and Operations cm Eb loicias changing filters at the water treatment plant. Operation and maintenance is * Preventive Maintenance all of these things and more — it is * The “Six Cs” of Utility Management bookkeeping, paying employees, — Controlling Cash setting and collecting fees, monitoring the system AND taking care of the system. — Creating Structure — Comparing Data — Council Oversight There are two main topics discussed — Cost Figuring in this section: — Communicating e Preventive Maintenance - routine maintenance in order to avoid BIGGER problems e The “Six Cs” of Utility Management — the ADEC rules of thumb for successful O&M Lae Slide 87 Department of Community and Economic Development Page 87 Utility Planning — Advanced 12/15/00 Preventive Maintenance Preventive maintenance is about using the owner’s manual, training : Preventive personnel to take care of the system, ‘ and having a maintenance budget Maintenance established. It’s also about conducting routine maintenance in order to avoid or minimize the chance ¢ Training of bigger and more costly repairs later. * Owner’s Manual * Budget for maintenance * Preventive maintenance schedule Owner’s Manual. Successful operations and maintenance means operators follow the owner’s manual. If the system did not come with one, contact the contractor and engineer to obtain one. The manual should describe procedures for ensuring health and safety in utility operation. Training. If the utility operator does not understand the system, send them to training before you take over the system. Ee Slide 88 Budget for Maintenance. Prepare and adopt a budget strictly for operation and maintenance purposes. It’s much better to have the money already budgeted and available when the system breaks down than to try to find emergency funding. Page 88 Community and Economic Development 12/15/2000 Utility Planning - Advanced The Six “Cs” The Alaska Department of Environmental Conservation has developed a set of recommendations for successful financial management of utility operation and maintenance. It is called the “six Cs” of utility management. These could be considered six critical tasks a community should be able to perform before a new water and sewer system comes on line. e Controlling Cash - funds and assets e Creating Structure -good record- keeping e Comparing Data - from one year to the next © Council Oversight - ultimate responsibility e Cost Figuring - setting rates Une Sh Oy: * Controlling Cash * Creating Structure * Comparing Data * Council Oversight * Cost Figuring * Communicating Ee Slide 89 © Communicating - keep everyone informed Department of Community and Economic Development Page 89 Utility Planning — Advanced 12/15/00 Controlling Cash In order to protect funds and assets of the water and sewer system the following procedures for controlling cash are recommended: Owner’s Manual - this should come with the system selected/built for the community and should describe the continuous cycles of preventive maintenance and procedures for ensuring health and safety. Bill-approval procedures - because different people share the responsibility of preparing/signing checks and approving bills and payroll records it is necessary to clearly describe how billings are to be handled. Revenue, accounts receivable and debt-tracking procedures - schedule these by source, interest rate, and due dates. @ryiisce)lbterementye * Billing Procedures ¢ Tracking revenues and debts * Monitoring and auditing Ee Slide 90 Use of outside monitors and auditors - examine records and assets annually. Established cash control procedures - written receipts for each payment made, ledger to track sales, and safely store cash for deposit. Controlling cash presents special problems because coins and bills can be handled without leaving any record on paper. If doing a coin exchange or selling miscellaneous items make sure a ledger is kept to track sales. Store cash in a locked, secure safe after it has been counted but before it is deposited in a bank. Page 90 Community and Economic Development 12/15/2000 Utility Planning - Advanced Creating Structure In order to give meaning to the records your community keeps, you need to create structure. o Ohuerherelsy Nibutleatine Organizing Records. Records in of themselves are merely pieces of paper. They must be put together to . Computerized System tell a story of how you are doing. Even if you have handled every preventive task accurately and * Where can I get more training? handled every penny of cash with utmost care and responsibility (the 1* C), you still have to put records together to tell a story of how you are doing. * Organizing records * Paper System Creating an organizational system can track the following information: e how much money is coming and where it is going, % e who owes money for past utility F bills, e how much money has been HE Planning forties Sie 91 collected from utility customers, ¢ how much has been spent by the utility on operations, maintenance, and e what were the repair bills? Types of Organizations You Could Create. There are many different types of systems you could choose for your community. Two that work are the computerized system and the old-fashioned paper system. The computerized system usually relies on filed paper records as back up. Either system will require training to ensure competence. Where can you get more training on how to create structure? The state offers numerous training opportunities for record-management and organizational management including the RUBA courses and Clerk’s Training. Department of Community and Economic Development Page 91 Utility Planning — Advanced 12/15/00 Comparing Data Comparing data from one year to the next will be useful to the utility manager and the city or village ' Comparin g Data council. Utility managers can use these comparisons to make decisions. ¢ Progress Reports For example, current and past records ¢ Answer Questions and data can be used as follows: ; ¢ Budgeting Progress Reports. Use current and * Unit Costs past records and data to create reports that compare information over time. These reports can be used to answer questions, assist with budgeting, and setting or adjusting rates. * Job Descriptions Answer Questions. Review problems or changes from past experience. Use what you have learned to adjust operation and maintenance procedures, annual budgets, etc. F Budgeting. Initiate a budget process for future operations - past records of Slide 92 revenues and expenses help monitor success of the utility Unit Costs. Compute unit costs of providing products or services - this will help set rates Job Descriptions. Keep employee job descriptions up-to-date in order to ensure that wages are spent efficiently. Conduct employee evaluations - time spent this year on preventive maintenance has decreased over last year because the employees are more efficient Page 92 Community and Economic Development 12/15/2000 Council Oversight Oversight by the policy-making body, whether it be a village council, tribal council or city council, is critical to the successful policy direction of the utility. Reports on the manager’s efforts to keep the utility operating efficiently are key to effective policy direction. Who is responsible for utility oversight? The policy-making body (city, village, or tribal council) has ultimate responsibility for the system. They have fiduciary responsibility - that is, they must ensure that the utility operates on a sound financial basis and benefits its users. Use your reports effectively. There should be a report each month called the “actual versus budget” that shows how the utility is performing financially versus what was budgeted. Reports will help identify problems that need to be fixed. The utility Utility Planning - Advanced * Who is responsible? ¢ Using your reports of various players: — Accountant - Utility manager ~ Council * Make clear and understand the role Ht ee Slide 93 Council Oversight manager may be able to resolve some problems. Some solutions may require council approval. What are the roles and responsibilities of the accountant, utility manager and council? Employees such as the city manager, village administrator, accountant, and utility manager each have their specific responsibilities. They provide the policy-making body with information on specific aspects of the utility operation. However, the policy-making body is ultimately responsible. Department of Community and Economic Development Page 93 Utility Planning — Advanced 12/15/00 Cost Figuring Cost figuring means to determine costs of user services and set rates. Accurate cost figuring is critical to Cost sap reatiuperea long-term successful operation and maintenance. ile ; * How much is it actually costing to How much is it going to cost to run run the system? the system? The community should * Setting billing rates determine costs of user services and set rates. The setting of utility rates is critical to the viability of the utility. Setting rates ensures that the utility provides adequate money for proper management, operation, maintenance, renovation, or expansion. Who sets the rates? Policy-making bodies have responsibility for long- term, efficient utility operation and thus are responsible for setting the a rates. A written procedure must be established and adopted by the E policy-making body and included in a i utility ordinance. A utility ordinance Slide 94 contains the rules and regulations of your utility. How do you set the rates? Fees must cover operating costs and should provide a “savings account” for future repairs. Rates should be fair to all. One method commonly used is where the cost billed to the customer is proportional to the amount of cost incurred to provide the service to the customer. Rate analysis and setting is best accomplished with the help of qualified personnel. RUBA may be able to help or refer you to someone who can. Page 94 Community and Economic Development 12/15/2000 Utility Planning - Advanced Communication Communication should continue to occur as part of operations and maintenance of the utility. a Communicating Public involvement does not end once the utility is up and running. It does change form, however, and becomes * Why continue public involvement? more a part of the utility management . ; Ss . sysiien. An pat of creating the What information does the public organizational structure for the utility, need to know about the utility? be sure to incorporate regular * How can you keep them informed? communication with residents as part of your management approach. ¢ Public involvement does not end. Why should you continue to involve the public? It’s about keeping people informed. Along with its fiduciary responsibility, the council and utility manager are responsible for communicating with the public about epi the utility’s performance. Continued iy support for the utility budget, rates and personnel to operate and maintain the utility depend upon public rr Slide 95 understanding. They need to know how it is working, where the problems are, and the city or village’s plans for resolving them. What information does the public need to know? Tell them about the annual utility budget. Tell them how the utility is performing this year compared to last year. Explain the rate structure - involve the community in setting rates. What techniques work? Besides the official reporting that occur, in order to effectively communicate the budget and other financial aspects of the utility, organize a public meeting during budget time. Send out surveys to find out what people think about the utility operation. If problems arise, use the structure problem-solving technique to work it out in a professional and open manner. Department of Community and Economic Development Page 95 Utility Planning — Advanced 12/15/00 Lesson 8 Course Summary Lesson 8 L : esson 8 @riieomeleener lay Length: 4.5 hours ( : , * Community Self-Evaluation e Community Self Evaluations 1 * Class Review hour : Class Review .5 hours fair aia Final Test 1 hour. ¢ Discussion Discuss Final Test .5 hours Exercise 15 minutes The last lesson covers the following topics: © Community self-evaluation - action planning and assessing community capacity e Class Review - materials presented in this course, test overview, questions e Final Test - see how you did Slide 96 compared to the pre-test | CS e Discussion/wrap up- review test results Learning Objectives To review the next steps to be taking in planning and assessing planning needs. To provide a review of what was covered in the course. After completing this lesson students should be able to: e determine if they are ready and capable to begin the planning process e successfully complete the final test. Page 96 Community and Economic Development 12/15/2000 Utility Planning - Advanced Community Self Evaluation What is involved in action planning and assessing community capacity? Community Self-Evaluation The bulk of the information on this topic has already been presented. : ; However, in the past, the following * Action Planning questions have come up: * Assessing Community Capacity e “J understand the class materials, I am just not sure if our community is ready to launch into a planning process.” e “Are we even ready to pick up the guidebook and start a plan?” e “How do I get my community from where we are today and into a planning process?” The two main topics covered in this section to help you answer the above questions are: | Planning for Utilities | Slide 97 Action Planning. How to identify discrete actions that you and your community can take to get your community ready to begin planning. Assessing Community Capacity. How to determine if your community is capable of doing a master plan and owning, operating, and maintaining a water and sewer system. Department of Community and Economic Development Page 97 Utility Planning — Advanced 12/15/00 Action Planning What is action planning? It is the plan for what my community Action Plannin iy needs to do over the next 1-12 months to be ready to start into our planning project. The plan should ¢Is your community ready to start identify what actions need to happen, planning? who should do them, and when they . ‘ : : : mips tenes Action planning requires efforts to: — assess community capacity What should I do to prepare my — ensure resources to do the plan are action plan? available ~ provide necessary training e Conduct an assessment of the community’s capacity to build, operate and maintain the system they have chosen. e Ensure that the community has the necessary resources to carry out the Master Plan and operate the system. ¢ Provide the necessary training for |_EESS T staff to do the work required of the Master Plan. Page 98 Community and Economic Development 12/15/2000 Utility Planning - Advanced Assessing Community Capacity The concept of community capacity was first introduced in this course in Assessing Community the section called “Getting Ready to Plan” lesson. Capacity * What is meant by community What is meant by community . capacity? You will need to perform capacity? an assessment of your community to determine its capacity to respond to the planning, construction, operation ¢ What kind of organizational and maintenance aspects of a sewer or water system. In planning for sanitation improvements, a community must determine if it is able to build, operate and maintain a project. It is a good idea to decide this before you launch fully into a plan to build something. ¢ Why is it important? structure, skills and resources do you need? Why is it important? How does it affect the ability to plan, construct, operate and maintain a water and/or sewer system? Assessing your community’s ability must be done Ee Slide 99 early in the planning process and re- evaluated throughout the process. Knowing your community’s abilities is a key consideration when selecting the preferred alternative. Many projects have been planned, designed, and constructed when later it was determined that the community did not have the capacity to run the system or improvement. What kind of organization structure and resources do you need? It is difficult to plan, construct and operate a system in you do not have the necessary skills and resources. It may be also necessary to review and make recommendations for management changes to meet the challenge of planning, building, and operating a system before you even begin to plan for that system. Be sure to clearly define utility system staff roles and responsibilities. Department of Community and Economic Development Page 99 Utility Planning — Advanced 12/15/00 Community Capacity There are four key aspects of community capacity. As each community assesses whether or not they are ready to plan, they should ask themselves the following questions: Workforce Availability. Are there people in the community that could do the work? Do you know who they are and their interest in the project? In some communities there are too few people to administer the project. This assessment is critical to both Step1 in the planning process and also to Step 5 Putting the Plan into Action. What actions do you need to take to make sure the necessary workforce is available? Trained and skilled workers. Even if you have enough people to do the work, do they have the training, expertise, and skills to do the work? Community Capacity Workforce available Trained & skilled workers Community support Organizational structure and resources in place Er ee Slide 100 They may need special training or education to do the job effectively. Community support. Can the community support people to do the work? Is village or city budget adequate to pay staff salaries and benefits? Is there a place for them to work (city office, etc)? If training is needed, does the community have the ability to pay for it? Organizational structure and resources. Does the community have the structure and policies in place to run a system? Is the organization clear and does everyone know their role in the process? Have funding sources been secured for both the planning and construction parts? Page 100 Community and Economic Development 12/15/2000 Adequate Resources There are different types of resources a community will need in order to be successful. Financial Resources. Now that we have completed the Master Plan, do we have funding to build, operate and maintain the system we have selected? Personnel Resources. Do we have the ability to pay staff? Does staff have the time and expertise? Do we need to hire a consultant? Physical Resources. Do we have physical resources - computer, office equipment, office space? Utility Planning - Advanced Adequate Resources Adequate resources can be defined in many ways: — Financial Resources — Personnel Resources — Physical Resources — Consultant Resources Slide 101 Department of Community and Economic Development Page 101 Utility Planning — Advanced 12/15/00 Funding a Plan This section presents details on funding a plan. There is a big difference between funding a plan and funding construction. Funding a Plan. Funding for planning the project — the Master Plan — is now replaced with funding construction. The master plan established the long-range direction for the utility. Now the community should be prepared to secure funding for each phase of the project as outlined in the Master Plan. You should know when money is needed for the projects, where to obtain it and when the grant or funding application is due. Funding Sources: e Village Safe Water e Alaska Native Tribal Funding a Plan Do we have all the funding or resources we need? ~ Planning funding vs. construction funding. — Funding Sources * Village Safe Water * Alaska Native Tribal Health Consortium * RDA * CDBG & ICDBG * BIA * Capital Matching Grants * Other Health Consortium. Slide 102 e RDA e CDBG e BIA e other Page 102 Community and Economic Development 12/15/2000 Utility Planning - Advanced Training Opportunities In many instances, staff will need training in order to successfully conduct your plan or operate and maintain the utility. There are different training programs available from state and federal agencies. Utility Management Training Series. The Rural Utility Business Advisor (RUBA) program offers a utility management training series with courses on organizational management, personnel management, operational management, financial management and planning management. Financial Management Training. Council Training: Roles and Responsibilities. This course is offered by DCED in cooperation with the Alaska Municipal League. Certified Operator Training for Primary and Backup Operators. Record Keeping and Payroll Training. Do we have all the expertise we need to run the utility? ~ Utility Management Training Series (RUBA) — Financial Management Training — Council Training: Roles and Responsibilities — Certified Operator Training for primary and backup operators — Record Keeping and Payroll training — Clerk’s Training — Planning for Utilities Workshop Eee Slide 103 Clerk’s Training. This course is offered by DCED in cooperation with the Alaska Municipal League. Planning for Utilities Workshop. The course you are currently enrolled in! Department of Community and Economic Development Page 103 Utility Planning — Advanced Hiring a Consultant When will a community want to hire a consultant? How do we go about retaining a consultant? Develop a statement of qualification and/or request for proposals to define the help you want. Clearly define the need for the project. Be clear about the scope and nature of the project. Include a description of the selection process. How do we know they are qualified to do the work we need done? Get consultant recommendations from other rural communities. Compare notes with other communities that have used consultants for a master plan and find out what has worked well and what has not. Check references and ask around about prospective companies. Interview prospective companies to see if you can work together. 12/15/00 Hiring a Consultant We don’t have all the expertise we need to prepare the plan. ~— What is the process for retaining a consultant? — How do we know they are qualified to do the work we need done? — What about cost? — What is our relationship with the consultant? | Planning for Utilities | Slide 104 What about cost? - Obtain several cost estimates. What is the consultant’s role in the project? Remember the consultant is working for you not leading the effort. The community is in charge of making decisions. In addition to the above steps, each community work group and planning coordinator should also know the law. There may be local laws and regulations regarding the selection of consultants. If you have questions, consult your legal counsel. Be sure to confirm leadership commitment and agree ahead of time that the project should be undertaken. How do you know when to hire a consultant? e staff is too busy e staff needs technical/expert help © project requires an objective evaluation of a complex situation that is too emotional for the community e consulting the work out will avoid unnecessary legal obstacles Page 104 Community and Economic Development 12/15/2000 Utility Planning - Advanced Class Review e Lesson 1. To understand the basic outline of the DCED Utility Training program and the outline of the 8 Lessons that make up the Utility Planning Course. Students (ORT en vatoayy learned to identify the 6 courses * Quick review the lessons before the that make up the DCED utility test training program; . : e Lesson 2. You should have learned * Chance for questions to define what planning is and why it is important; identify the keys that will make their planning efforts a success; define stakeholders; know why to form a work group; understand what community capacity means and how it applies to planning. e Lesson 3. You should have learned to understand how to identify a problem and how to set goals and objectives; describe how to collect technical information; use maps; understand forecasting techniques. e Lesson 4. You should have learned [eae | Slide 105 to create ideas and form alternatives; create alternatives that provide useful comparisons in technologies or locations; screen or eliminate alternatives that are infeasible or unrealistic. e Lesson 5. You should have learned to evaluate a range of alternatives using the criteria specified in the lesson; effectively organize and present choices for consideration; understand the terms “evaluate” and “criteria”; be able to identify several criteria. e Lesson 6. You should have learned to understand terms like preferred alternative, preliminary engineering and capital; improvement program; know what belongs in a CIP, draft master plan, and final master plan. e Lesson 7.. You should have learned to understand what has to happen before construction, during construction, and after the project is built; generally grasp the concepts of project management, permitting, and preventive maintenance Department of Community and Economic Development Page 105 Utility Planning — Advanced Final Test The Final Test is a tool for assessing your understanding of utility planning after the course. It is designed to cover a range of planning concepts. You should now be familiar with planning and score better on the final test than you did on the pre-test. The test is closed book and contains 50 questions. Students have 50 minutes to complete the test. Once everyone has completed the test, there will be an opportunity to review and discuss the answers and any questions. 12/15/00 Final Test Test Overview Goal is to test what you learned in the class Open Book 50 Questions Le Slide 106 Page 106 Community and Economic Development 12/15/2000 Utility Planning - Advanced Discussion Test questions will be reviewed with class. Class evaluations. * Review test questions * Class evaluations Congratulations you have completed the training course! Ee Slide 107 Department of Community and Economic Development Page 107 ¢ ee