Collection System of The Future

WASTEWATER
COLLECTION
SYSTEM OF THE
FUTURE
DRAFT
April 2016
A Roadmap to Effective Wastewater

Collection System Management
DRAFT 4/11/2016
Wastewater Collection System of the Future

A Roadmap to Effective Wastewater Collection System Management
This page left intentionally blank for double-sided printing

DRAFT 4/11/2016
Table of Contents
Comment [A1]: Forward??
FOREWORD
ACKNOWLEDGEMENTS
EXECUTIVE SUMMARY
ES-1
1.
CSOTF GOALS AND PROCESS
1-1
2.
INTRODUCING THE CSOTF AGENCIES
2-1
3.
WORKSHOP AND WORK GROUP SUMMARIES
WORKSHOP 1
DISCUSS AND PRIORITIZE TOPICS
3-1
WORKSHOP 2
LEADING INDICATORS
3-2
WORKSHOP 3, 4, & 6
SUCCESSION PLANNING
3-6
WORKSHOP 5
CUSTOMER SERVICE, CMMS, AND MAPPING
3-6
WORKSHOP 7
OPERATIONS AND MAINTENANCE SHOWCASE
3-11
WORKSHOP 8
ASSET MANAGEMENT
3-14
4.
SPECIAL FOCUS ON SUCCESSION PLANNING
4-1
5.
BOARD AND COUNCIL MEMBER PERSPECTIVE
5-1
6.
CONCLUDING REMARKS
6-1
7.
ACRONYMS
7-1
Table of Contents
Comment [A2]: The number 7 on the

list is a different font
DRAFT 4/11/2016

DRAFT 4/11/2016


A ROA D M A P T O E F F E C T I V E W A S T E WAT E R C O L L E C T I O N S Y S T E M
MANAGEMENT
FOREWORD
Many wastewater collection system agencies in the San Francisco Bay Area and throughout California are facing
increasing challenges. Organizations find themselves have found themselves catching up on decades of deferred
maintenance for systems that continue to age continuously failing systems that, yet must continue to perform. In
addition, environmental awareness has increased, along with the publics knowledge and understanding of their
wastewater collection systems. As a result, there is more attention is paid to sewer system management, and sewer
pipelines are no longer out of sight, out of mind.
The Collection System of the Future (CSOTF) describes an agency that is prepared to address current and future
challenges. In their desire to be model collection system agencies, nine San Francisco Bay Area wastewater
collection agencies joined in May 2014 to form the CSOTF workgroup. This group has met approximately
bimonthly to discuss a range of topics and develop a Roadmap for effective wastewater collection system
management.
This Roadmap reflects 18 months of thoughtful discussion and knowledge transferred between these leading
agencies. The CSOTF workgroup has documented key aspects of these discussions, for use as a reference by other
utility managers who are navigating the same path toward improving management of their wastewater collection
system. This document contains information that can be used to fill in gaps in management, operations, and
maintenance, and spark new ideas for addressing collection system challenges. As managers and leaders within
the CSOTF agencies, we strongly encourage all utility managers to read this document and develop the best
practices that are applicable to your individual agency.
Foreword
Comment [A3]: ..increasingly facing

challenges.
Comment [A4]: Desires
Comment [A5]: To use as a
DRAFT 4/11/2016

ACKNOWLEDGEMENTS
This effort was made possible through the commitment and engagement of key staff from each of the CSOTF
agencies, and also the elected policymakers who provided feedback and insight during the project. We would like
to recognize and thank all of the CSOTF participants who contributed significantly to the development of this
report.

Collaborating Organizations
West Bay Sanitary District (Lead Agency)
Phil Scott, General Manager
Sergio Ramirez, Maintenance Superintendent
Castro Valley Sanitary District

Roland Williams, General Manager
Central Contra Costa Sanitary District

Paul Seitz, Collection System Operations
Division Manager
Steve Sauter, Field Operations Superintendent
Dante Marchetti (retired)
City of Livermore
Mike Wells, Collection System Supervisor
Novato Sanitary District

Steve Krautheim, Field Services Manager
Ross Valley Sanitary District

Greg Norby, General Manager
Steve Miksis, Interim Chief of Operations
Union Sanitary District

James Schofield, Collection Services Supervisor
Shawn Nesgis, Collections Supervisor
Andy Morrison (Retired)
West County Wastewater District

Ken Cook, District Engineer
West Valley Sanitation District

Jon Newby, General Manager
V. W. Housen & Associates, Inc. with Dewpoint

Consulting (Consultants)
Vivian Housen, P.E. & Mark Jaudalso (VWHA)
Rita Giacalone, PhD (Dewpoint)
We give special thanks to West Bay Sanitary District for leading this collaborative effort, and to Donna Wies of
Wies Consulting for her valuable insights on succession planning.
Acknowledgements

DRAFT 4/11/2016
Executive Summary
In 2014, West Bay Sanitary District (based in Menlo Park,
California) and eight progressive San Francisco Bay Area
wastewater collection agencies formed the Collection System of
the Future (CSOTF) workgroup. The CSOTF agencies range in
size from less than 150 to over 1,500 miles of sewer pipe. The
systems also vary in age, and topography, and in level of
historical maintenance. Additionally,Ssome agencies also operate
treatment facilities, and one agency is an incorporated City.
As shown on the adjacent map, the CSOTF agency main offices
are located in the following San Francisco Bay Area cities:
Novato ~ San Rafael ~ Richmond ~ Martinez ~ Union City ~
Castro Valley ~ Livermore ~ Menlo Park ~ Cupertino.
Although they are different in many ways, these agencies share
one common attribute - progressive, collaborative leaders who are
interested in continuous improvement. Over the next eighteen
Collection System of the Future Agency
months, the CSOTF workgroup met in a series of workshops and
Main Office Locations
focus group sessions to discuss, compare, and identify key success
factors for effective collection system management. The workgroup compared system and staffing information,
discussed foreseeable changes in regulations, demographics, and collection system management needs, discussed
strategies for how to improve collection system practices to meet these needs, and developed a framework of
ideas and best practices for use by the CSOTF workgroup and other wastewater collection system agencies.
Comment [A6]: Might be a run on sentence
Topics discussed included: Leading Indicators ~ Leadership Training and Succession Planning ~ Customer
Service ~ Computerized Maintenance Management Systems ~ System Mapping, Operations and Maintenance
Showcase ~ Asset Management ~ Board and Councilmember Topics.
LEADING INDICATORS
Leading Indicators are metrics that, wWhen achieved, Leading Indicators are metrics that keep collection system
maintenance out of sight and out of mind. Leading Indicators are specific, measurable, and preventive. If a
manager were to review the list of Leading Indicators for the day or week, this list would provide information on
what is being done right, and not what went wrong.
In order to develop this list, the agencies discussed currently-used leading and lagging performance metrics. From
this list, leading indicators were gleaned and presented in a summary table in this Report. The most common
leading indicators usedin use by the CSOTF agencies were grouped into eight categories:
Customer Service
Staff and Succession Planning
Maintenance and Repair
Data Management and Mapping
Sanitary Sewer Overflows
Safety and Reliability
Source Control
Financial Viability
Executive Summary Page ES-1
Comment [A7]: Potentially rewrite

DRAFT 4/11/2016
LEADERSHIP TRAINING AND SUCCESSION PLANNING

Succession Planning emerged as one of the most important topics of the CSOTF effort. To underscore the
dynamic nature of the current workforce, during the course of the project, four participants retired. CSOTF
agency Union Sanitary District has a well-established leadership training and succession planning program that
served as the starting point for the CSOTF discussions. Section 4 of this report describes the Union Sanitary
District Leadership School and succession planning approach., and It also presents results from a pilot test that
applied the Union Sanitary District approach to a smaller CSOTF agency, West Bay Sanitary District.
Comment [A8]: Rewrite sentence.

Doesnt make a lot of sense. Maybe split
into two?
The succession planning approach begins with the following questions/actions.
#1 Pick a Critical Task/Skill/Position

in Your Organization
#2 If That Person/Skill
Were Lost Today, What
Would You Do?
#3 Brainstorm Ideas for a

Smoother Transition
The process follows up this exploration with planning, using six sequential steps.
Union Sanitary District has 783 miles of gravity sewer pipelines. Over 50 employees are dedicated to the
collection system, and additional staff arestaff is available if needed from the agencys treatment plant. The
agency provides opportunities for cross-training and has developed a knowledge base that is two- or three- people
deep. Many wastewater collection system agencies within California are smaller and may not have these
resources. Therefore, the CSOTF group, led by Wies Consulting, conducted as a pilot study with West Bay
Sanitary District staff to determine if the Union Sanitary District approach could be effectively scaled down.
West Bay Sanitary District has 260 miles of gravity pipelines and half of Union Sanitary Districts workforce.
The pilot study was successful - results as well as example succession planning worksheets are presented in
Section 4.
Succession Planning Process

Step 1: Complete Needs/Risk Assessment
Step 2: Match Strategies to Risk
Step 3: Create Individual Succession Plans for Key Employees
Step 4: Align Organization Policies to Support Succession
Planning
Step 5: Anticipate and Address Barriers
Step 6: Monitor, Review, and Update the Plan
During the review of pilot study results, the CSOTF agencies discussed the possibility of developing an award or
certificate program that is specific to Leadership Development, through an established organization such as
Comment [A9]: What does this mean?

DRAFT 4/11/2016
California Water Environment Association (CWEA). This concept will be developed further, outside of the
CSOTF effort.
In summary, for a succession planning program to be successful, the following key concepts should be
considered:
Get started. Senior management and Board/Council support is are needed for a succession planning
process.
Provide leadership development to maximize the ability to recruit from within
Develop written or video procedure manuals for essential tasks carried out by key positions
Anticipate retirements to allow adequate time to prepare successors
Seek outside expertise if needed to address areas in your succession plan where gaps remain
CUSTOMER SERVICE
The CSOTF agencies had a wide range of ideas regarding how customer service is
defined. In order to improve customer service, an agency must first define what it means
to both the agency and the community.
Customer service is most typically provided through several means: Phone Contact,
Face-to-Face Contact, and through a website or other written literature. The CSOTF
agencies shared ways to improve each of these methods of communication. Common parameters for success
included:
Timely response
Appropriate training for staff in contact with the public
Process for soliciting feedback and improving service
Some CSOTF agencies also solicit feedback from their communities through a survey or questionnaire, and
shared lessons learned and ideas for assuring that the information received is useful and informative.
Customer Feedback Summary

Agency A
Issues two separate questionnaires for different situations. 35 percent response rate. Results are
used to improve service.
Agency B
Survey is issued after every interaction. 20 percent response rate. Provides positive feedback to balance out the negative response heard by elected officials.
Agency C
Questionnaire is issued after every service call, supplemented by an annual survey for entire service
area. 13 percent response rate responses are generally positive. All responses are tallied and reported to the elected policymakers.
Agency D
Questionnaire is issued after each service call. Resulting response show a 92 percent satisfaction
rate. When the response is not positive, a phone call is made to further discuss and attempt to resolve the issue.
Comment [A10]: Break up into two

sentences? Too many ands

DRAFT 4/11/2016
Agency E
Paper questionnaires have been discontinued at this agency. The responses were nearly always positive, and did not provide information that could be used for continuous improvement. Moved to a
more proactive customer outreach and education program.
DATA MANAGEMENT & MAPPING

The CSOTF agencies use different software providers for their Computerized Maintenance Management Systems
(CMMS). Some systems include a field/mobile component, as well as an office-based system. All of the agencies
use ESRI Geographic Information System (GIS) mapping software. The way in which the CMMS is used varies
from being a simple data storage tool, to a complete asset registry with work order management.
Although the software platforms and use of CMMS varied between the agencies, several consistent messages
were emphasized by the CSOTF agencies with regard to effective implementation of the systems.
Tips for Successful CMMS Implementation
Invest the resources and time to make the system work
Include backup and storage needs when costing out the system
Work hard to clean up the data before it is imported into the CMMS
Assign dedicated staff who receiving training in use of the software

Try to assign a CMMS Champion who is a planner/scheduler
Maintain momentum during implementation or the system will never be used
Train and expect field crew to improve accuracy in data collection
Assign supervisory staff to regularly review and utilize knowledge gained through the CMMS
OPERATIONS & MAINTENANCE SHOWCASE

One CSOTF workshop was dedicated to the Operations and Maintenance Showcase. This workshop provided
each agency with the opportunity to discuss an aspect of collection system management that they do well or feel is
innovative within the industry.
Summary of Topics from the Operations and Maintenance Showcase

Risk-based rehabilitation and replacement program. This presentation explained the computerized model in use to
prioritize capital improvement needs based on Likelihood and Consequence of failure.
Coordinating in-house point repairs with contracted line replacements. In this presentation, the agency described
how in-house point repair crews address an entire neighborhood in advance of planned pipeline rehabilitation work,
which results in a comprehensive and coordinated basin-by-basin approach to capital improvements.
Pipeline point repairs using cured-in-place liner technology. This agency provided a video showing an in-house
trenchless repair of a problematic pipe failure using cured in place liner technology. Additional information about
Comment [A11]: Change
DRAFT 4/11/2016

the technology and its benefits were provided.

DRAFT 4/11/2016
Summary of Topics from the Operations and Maintenance Showcase

(continued from previous page)
CCTV inspection as a complete assessment tool. This discussion highlighted the value of CCTV beyond routine pipeline inspections. For example, CCTV is also used to conduct QA/QC of cleaning, to assess laterals from the main lines,
and other activities.
Integration of fleet maintenance and the CMMS. This agency described how facility asset management methods
are now being used for fleet management. By assigning likelihood and consequence of failure metrics to fleet, the
agency has improved its ability to anticipate fleet replacement needs and stabilize funding needs.
Exemplar Sanitary Sewer Overflow (SSO) response. The O&M showcase concluded with a discussion on thorough
and timely SSO response, including example reports.
ASSET MANAGEMENT
The CSOTF agency staff workshops concluded with a
discussion on asset management. During this workshop,
the agencies described the tools and processes in use to
prioritize repairs based on risk.
All of the agencies utilize a risk-based methodology., and
most The majority of these agencies have developed
computerized tools to perform the risk calculation
through the weighting and scoring of Likelihood and
Consequence of Failure parameters.
Data from the agencys CMMS, and information
available through GIS maps, are combined to determine
relative risk. Likelihood of Failure parameters focused primarily on CCTV inspection results, which supersede
information on pipe age in assessing risk. Consequence of Failure parameters included the proximity of each
pipeline to waterways and critical facilities. Asset management program results are used to prioritize capital
improvements, stabilize rates, and for some agencies, secure loan funding.
BOARD AND COUNCIL MEMBER PERSPECTIVE

A final workshop was held at the January 2016 California Association of Sanitation Agency (CASA) conference,
to solicit feedback from the member agency elected officials that were able to attend this conference. To
supplement the information that was discussed by staff, the elected policymakers brought new awareness to
several topics of concern:
A solid understanding the agencys mission is the foundation of good goal-setting.

In order to establish clear direction for the agency, policymakers must be well-informed of management
challenges and field operations. Well-defined metrics are very important from a Board perspective in
understanding how to guide the agency.
Comment [A12]: Correct use of commas?
DRAFT 4/11/2016

Technology will become more prevalent in measuring system efficiency.

As technology improves, agencies will find it easier to collect real-time data on system flows. Managers should
begin thinking about the timing for this technology, how resulting data can be used, and the value that this
technology will provide.
Comment [A13]: What does this

mean?
Educate the community with effective communications.

Wastewater collection systems should emulate other industries that have been successful in public outreach, and
have changed the vision of that industry. One example provided was the solid waste industry. Solid waste
providers have effectively changed the way that the customer views its waste. Customers have moved from a
disposal-based mentality to a recycling mentality through a sustained and multi-faceted program of customer
outreach and education.
Private lateral ownership and maintenance present challenges that must be addressed.
The topic of lateral ownership and maintenance was raised not only by the elected policymakers, but by many
other CASA agencies that were not part of the CSOTF workgroup. This topic warrants future workshop
discussion. Key areas of concern are summarized in the table below.
Lateral Ownership and Maintenance Topics for Future Discussion

Consistency in ownership philosophy
Lateral replacement programs and testing requirements
Lateral inspection technology
Managing illegal discharges to the lateral pipeline from private properties
Private lateral insurance programs
Communication and outreach
Comment [A14]: Unsure if a comma is

needed

DRAFT 4/11/2016
Section 1 | CSOTF Goals and Process

The Collection System of the Future (CSOTF) workgroup was convened to achieve the
following goals:
1. Complete informal benchmarking among the participating agencies.
2. Identify foreseeable changes in regulations, demographics, and collection
systemcollection system management needs.
3. Develop strategies for improving wastewater collection system management.
4. Develop a framework of ideas and best practices that can be used by public
agencies to help align their organizations with the future needs of wastewater
collection systems.
The process began in January 2014 with an informational session held at the California
Association of Sanitation Agencies (CASA) annual conference. Following this initial
session, West Bay Sanitary District, as the lead agency, and eight other agencies
signed an agreement to form the Collection System of the Future workgroup.
In May 2014, the CSOTF workshops were initiated, with meetings held
approximately bi-monthly in 2014 and 2015. To supplement these meetings, focus
group sessions were held on key topics, and each agency was interviewed
individually to collect a library of Best Management Practices. The CSOTF group
introduced the document to the wastewater community at the April 2016 California Water
Environment Association (CWEA) Annual Meeting.
CSOTF WORKSHOPS
CASA Roundtable Session & Information
Gathering
CSOTF Workgroup Formed
Discuss and Prioritize

Topics
2 Leading Indicators
USD Leadership
School
Succession Planning
Pilot Study Results
Services,
5 Customer
CMMS, Mapping
Succession Planning
and Leadership
O&M Showcase
8 Asset Management
Board Member Perspectives
CSOTF Roadmap Document

Goals and Process Page 1-1
DRAFT 4/11/2016

DRAFT 4/11/2016

Section 2 | Introducing the CSOTF Agencies

The CSOTF agencies are diverse in system size, topography, age, and level of historical maintenance. The
workgroup included agencies with only collection systems, agencies with both the collection system and
treatment plant, sanitary and sanitation agencies, and one City.
The following charts summarize and compare the CSOTF agencies.
AGENCY SIZE
The CSOTF agencies range in
size from less than 150 to over
1,500 miles of sewer pipe. Half
of the agencies have primarily
gravity systems, and the other
half manage a number of lift
station. Novato Sanitary District has the highest number of
pumping stations, with one
pump or lift station for every
five miles of gravity sewer on
average.
CCCSD: Central Contra Costa County Sanitary District

WVWD: West Valley Wastewater District
WBSD: West Bay Sanitary District
NSD: Novato Sanitary District
CVSD: Castro Valley Sanitary District
USD: Union Sanitary District

Livermore: City of Livermore
WCWD: West County Wastewater District
RVSD: Ross Valley Sanitary District
CSOTF Agencies Page 2-1

DRAFT 4/11/2016
SSO PERFORMANCE
SSOs per 100 Miles of Sewer Pipe
The CSOTF agencies have generally performed well in terms

of SSO management. One
agency is currently under a
Consent Decree from the Regional Board and is aggressively
addressing the issues causing
SSOs, through a combination of
capital and O&M improvements.
14.00
12.00
10.00
8.00
6.00
4.00
2.00
0.00
STAFFING EFFICIENCY
Staff comparisons are difficult to assess, as some agencies contract out services that other agencies handle inhouse. However, based on the small CSOTF sample, having more staff does not assure fewer SSOs. Having four
to five maintenance staff for every 100 miles of pipe appears to be appropriate.
CSOTF Agencies Page 2-2
DRAFT 4/11/2016

Section 3 | Workshop and Work Group

Summaries
Identify and
Prioritize Topics
Leading Indicators,
Technology
Each CSOTF workshop involved a half-day discussion that involvedincluded

10 to 18 participants including collection system supervisors, department
managers, and agency managers. Each discussion began with a brainstorm of
individual methods and lessons learned on the topic at hand. Some of these
discussions led to separate focus group discussions to gain more information
from a smaller number of agencies. The Succession Planning discussion
launched a pilot study and ideas for implementing a broader leadership program
within the wastewater collection system community.
Comment [A15]: Said discussion 3

times in one sentence
Formatted: Highlight
WORKSHOP 1- IDENTIFY AND PRIORITIZE TOPICS

USD Leadership
School
Succession Planning
and Leadership
Customer Service,
CMMS, Mapping
Succession Planning,
Pilot Study Results
O&M Showcase
The objectives for the CSOTF effort were defined in Workshop 1. The desired
outcome of CSOTF effort was to present a cafeteria plan of ideas that
wastewater collection system leaders could use as a resource in the management
of their own systems. The CSOTF workgroup was careful to limit overlap with
efforts in process by other entities, such as the California Association of Sewer
Service Excellence (CASSE) and Bay Area Clean Water Association
(BACWA). These efforts are more heavily focused on day-to-day operations
and maintenance. CSOTF looks further into the future, and attempts to focus
on broader management topics.
The CSOTF workgroup reviewed and further prioritized initial topics of interest
that were generated by the CASA agencies. The following table shows the top
ten topics, as ranked by the CSOTF agencies, with the highest-ranked topics at
the top of the list.
TOP TEN TOPICS OF INTEREST BY CSOTF AGENCIES, LISTED

BY PRIORITY
1. Leading Indicators Metrics That Define Effective Collection System
Management
2. Pipeline Repair Planning/Optimization (Asset management)
3. Technology and Data Collection in the Field
4. Defining and Providing Quality of Service
Asset Management
5. Computerized Maintenance Management

6. Management of Sewer Laterals
7. Preparing for 3rd Party Lawsuits
Board Member
Perspectives
8. Right-Sizing an Agency
9. Inflow and Infiltration Reduction
10. Flow-Based Rates
Workshop and Work Group Summaries Page 3-1
Comment [A16]: Remove extra space

in list below

DRAFT 4/11/2016
The CSOTF workgroup established a defined timeline and budget for the effort. The top five topics, plus a new
topic of Succession Planning, were discussed within this timeline.
The final CSOTF workshop gathered ideas from CSOTF agency policymakers. During this final workshop, the
importance of Lateral Sewer management was emphasized. The CSOTF group may discuss lateral sewer issues
in one or more future workshops. This report will be amended as appropriate to include the findings and
recommendations from any future discussions.
WORKSHOP 2 LEADING
INDICATORS
The leading indicator discussion began with a
powerful question from a member agency
manager.
If I were to receive a piece of paper every

Monday morning that could tell me
whether my agency is being effective, what
would that piece of paper include?
The CSOTF group kept this question in mind when discussing leading indicators. Leading indicators are targets
that, if achieved, assure effective collection system management. By contrast, lagging indicators inform the
agency after an event has already occurred. Often, tracking and analysis of lagging indicators are required to
formulate meaningful leading indicators.
The most prevalent leading indicators were grouped into the categories that are shown in the table below. Leading
and lagging indicators were also discussed as an integral part of each CSOTF workshop and focus group
discussion.
LEADING VS. LAGGING INDICATORS

CATEGORY
EXAMPLE LEADING INDICATORS
EXAMPLE LAGGING INDICATORS
Customer Service
Public outreach effectiveness

Response time
Customer complaints or response

after they occur
Percent of pipe effectively cleaned or

inspected
Unplanned outages
Failure rates
CIPs completed vs. planned

Hot spot planning effectiveness
SSO statistics
SSMP, OERP, SOP development and

training effectiveness
Blockage statistics
Proactive succession planning and

leadership training effectiveness
Retirement and other employment

data
Completeness and frequency of updates to CMMS and maps
Missing or incorrect data
Training goals and effectiveness
Lost time, accidents
Financial Viability
Targets to achieve long-term financial

stability
Rates in comparison to peer agencies,

debt service
Workshop and Workgroup Summaries Page 3-2

DRAFT 4/11/2016
The following table provides a snapshot of the performance metrics that were currently place among the CSOTF
agencies during the CSOTF effort. An interesting observation iswas that many of the current metrics comprise
lagging indicators. The CSOTF agencies are transitioning many of these metrics into leading indicators.
METRICS IN USE BY THE CSOTF AGENCIES
Operations and Maintenance
CMMS Customer Service
AGENCY

and Backups
Customer Service Rating

Customer Service Response Time
Development Review Response Time
#, Accuracy, Tone of News Articles
# Customer Calls
x
x
x
x
x
x
Maps are Complete and Current
Complete and Updated Asset Inventory
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
# of Repairs (Specific Problem Areas)

# of CIPs Completed
Repair or Replacement Backlog
Manholes Repaired or Replaced
PS Work Orders Completed
Miles of Pipe Cleaned/Year
Ratio of Planned to Unplanned Maintenance
Pipeline Cleaning Q/C Completed
Miles of Pipe Inspected/Year
Fuel Usage / miles driven
Pump Uptime
# of Mainline SSOs
# of Dry Weather SSOs
SSO Breakdown by Category
% SSOs Contained
Overflow Cause
Overflow Volume
SSO Response Time and Hours
SSO Cause
SSO Response Cost
Pump Station SSOs
Service Call # and Response Time
Backups by Cause
Stoppages by Cause
Lateral SSOs by Cause
Private Lateral Service Calls
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x

DRAFT 4/11/2016
METRICS IN USE BY THE CSOTF AGENCIES (CONTINUED FROM ABOVE)
Financial Risk Mgmt
Succession
Planning
Source
Control
AGENCY
# of Pollution Prevention Inspections
# Businesses in Compliance
Employee Survey - Value to District, Pride in

District
Experience Turnover Rate
Eligible and Anticipated Retirements
Vocational Certificates
Years of Service
Safety Training Class Hours
Insurance Claims - #, $
Lost Time Hours
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
Revenue-to-Expense Ratio
Debt Service Coverage Ratio
Sewer Service Charge Comparison
After reviewing and discussing the factors that are currently tracked by CSOTF agencies, the table on the
following page presents example Leading Indicators in place by the agencies.
DRAFT 4/11/2016

EXAMPLE LEADING INDICATORS

CATEGORY
Customer Service
LEADING INDICATORS
100% of responses made in less than XX minutes
XX% of time an issue is addressed in first attempt
Phone tree leads to human contact in XX buttons
100% of planned CIPs completed

XX% of system replaced annually, using risk model results
XX% of system cleaned annually, with clear result
XX% of system inspected per year
XX% of cleaned pipes Pass follow-up inspection
Pump uptime XX%
100% of SSO response in less than 60 minutes

XX% of private laterals inspected in conjunction with mainline inspection
work
100% of known lateral issues (visible roots, defects, etc.) addressed with
homeowner
XX% of planned hot spots cleaned on schedule
Source Control
XX% of food service establishments inspected annually

100% of business in compliance with FOG ordinance
Succession Plan in place for 100% of Supervisors and Managers

XX of field maintenance staff have CWEA Grade X Certification or higher
Maps and CMMS reviewed and updated every XX months
100% of planned training is completed and documented quarterly
Financial Viability
Financial Strategy reviewed and updated every XX years.

Integrated master plan (condition, capacity assessment) updated every XX
years to support budgets and rates.
Established budgets incorporate XX-year forecast for labor, operations and
maintenance costs, and capital improvements.
DRAFT 4/11/2016

WORKSHOP 3, 4 AND 6 USD LEADERSHIP SCHOOL, SUCCESSION

PLANNING, AND PILOT STUDY RESULTS
Workshop No. 3 was a turning point for the CSOTF group, as it introduced
the topic of succession planning. This topic was quickly identified as
having an elevated priority in terms of developing a consistent roadmap
among the CSOTF agencies. Current practices varied widely, from having
no strategy, to having an informal plan, to Union Sanitary Districts
structured succession planning and leadership development program.
The topic of
Succession Planning
is presented as a
standalone discussion,
in Section 4 of this Report.
WORKSHOP 5 CUSTOMER SERVICE, COMPUTERIZED MAINTENANCE

MANAGEMENT SYSTEMS, AND MAPPING
Focus group discussions were held to refine the topics of customer service, computerized maintenance
management systems, and mapping. The focus group results were brought back to the CSOTF workgroup in
Workshop No. 5.
Customer Service
Customer Service is a challenging topic for wastewater service agencies. is a challenging topic. The best
customer service is provided when the system works efficiently and effectively. However, since most of the
facilities are underground, this service is invisible to the customer. Often, it is only when the system has a failure
that the public become aware. Exceptional service when responding to our customers is an important step toward
building the publics confidence in the agencys management goals and day-to-day activities needed to achieve
these goals. In addition, customer awareness is different than customer service, and is an important component of
providing effective service.
With this challenge in mind, the CSOTF workgroup identified and compared current and desired activities
relating related to three areas in which the public assesses collection system performance.
Day to Day Contact
Post-Response Experience
Satisfaction with Watewater

Rates
Phone
Contact
Response
Time
Smart
Planning
Face to
Face
FollowThrough
Service
Written
Materials
Value
Added
Comment [A17]: Typically, the public

only becomes aware of service when
there is a system failure.
DRAFT 4/11/2016

CUSTOMER SERVICE STRATEGY

DESCRIPTION
Phone contact
HOW TO ASSURE / MEASURE CUSTOMER

SERVICE
Provide 24/7 access within a specific
number of rings or buttons.
Day-to-Day Contact
Provide an option that sends the caller to

a live person.
Face-to-Face (F2F)
contact
Provide training in customer communications, focusing on field staff and frontcounter staff.
Attempt to completely address issue during the first F2F encounter.
ACTIONS TO IMPROVE SERVICE
Conduct audit of communication tree

and response times, and update if
needed.
Request feedback through a postevent customer service survey (or

"suggestions box") and take comments seriously.
Be honest when delivering bad news and

suggest alternatives.
Website or other
written materials
Design a clear, informative, easily navigated website.

Establish process to assure response within one or two days.
Track website hits and page hits, and

link the most popular items to the
homepage.
Wastewater
Rates
Post-Response
Experience
Allow a dialog box to augment phone or

email contact option.
Relates to a onetime, urgent need
(e.g., sewer service
call, SSO)
Establish targets for response time and

communicate these to the resident.
Develop follow-up survey form and

provide this form to every customer
after an issue is addressed.
Provide frequent and repeat training to

staff to ensure consistency in service.
Develop and implement a process to assure post-response follow-through with
the customer.
Rate satisfaction is
tied to customer
confidence and perceived value
Demonstrate continuous improvement in

service through customer contact, outreach, and communication. Convey excellence in management and value-added
services.
Consider using this form internally to

improve internal customer service and
communication.
Develop an ongoing, two-way communication strategy that involves

written, verbal, and electronic tools.
Improving Customer Service is a cyclical process that is informed by post-event customer feedback. Several of
the CSOTF agencies have had, or currently have questionnaires and surveys to gather information in advance of
arising issues. issues arising. These agencies shared their thoughts on the individual customer surveys, as
summarized on the following page.
DRAFT 4/11/2016

Focus Group Feedback - Customer Service Surveys
Agency A uses two different questionnaires to solicit feedback. The first questionnaire is issued after each response calls, and the second questionnaire is issued as a component of the
lateral grant program. This agency has a 35% response rate, and finds the questionnaire responses helpful in improving specific aspects of sewer service.
Agency B issues a customer service survey after each customer interaction. The survey has a 20 percent response rate. Prior to establishing the customer service survey, most of the feedback received
was related to complaints, and was therefore negative. The broader survey has returned mostly positive
feedback, forming a more balanced understanding of agency service. This agency also uses social media
for customer outreach, and has established a committee to oversee customer contacts that are made
through these sites. Internal customer surveys are used to evaluate and improve intra-departmental interactions and collaboration.
Agency C distributes questionnaires after responding to each stoppage or overflow. This agency also
sends an annual questionnaire to the service area. Customers are asked to provide ratings from 1 to 5 on
a number of topics. The agency has an average response rate of 13 percent on the annual questionnaire, and most responses are positive. Results are reported to the Board.
Agency D distributes questionnaires after each service call, and has a 92 percent satisfaction rate.
When negative feedback is received, the comments are usually related to rates. The agency follows up
on all negative feedback by contacting the customer for details and further discussion. Most of these
calls end on a positive note.
Agency E has issued paper questionnaires in the past, before the onset of the internet. The response
rate was also about 13 percent. However, since most of the feedback was positive, the questionnaire
results were not that useful in terms of improving customer services. These questionnaires are no longer in use, and the agency now offers customer outreach and education. Informational material emphasizes the services and value that are provided to the ratepayer.

DRAFT 4/11/2016

Data management and maps are important form the foundation of effective collection system management. Some
CSOTF agencies that are in the process of finalizing their computerized maintenance management systems and
maps, monitor this progress using metrics. Others, with robust systems and processes for updating these systems
in place consider the Computerized Maintenance Management System (CMMS) as a tool for success, and not a
process to be measured and monitored.
Comment [A18]: Reword?
Use of CMMS and Mapping

Data integrity is crucial to planning, decision making, and producing timely and accurate reports. The CMMS and
GIS have improved in value if these tools are able to produce the reports needed for Regional Board inspections.
The CSOTF agencies shared their vision of transitioning moving to a more universal approach in data collection
and information sharing which that follows the movement that has occurred in the last decade with CCTV
inspection data collection and standardization.
CMMS systems that are used in use by the CSOTF agencies include Accela and ICOMMM (agencies using these
software programs are in the process of changing vendors), Hansen, Innovyze Infonet, and Lucity. There are
numerous other CMMS programs that provide the same functionality as the listed programs, and the CSOTF
group does not endorse any individual single software provider.
Use of CMMS ranges from being a simple data storage tool, to serving as a complete asset registry with work
order management.
Data
Collection
Data Storage
Work Order
Generation
Maintenance
Schedule
Optimization
CIP
Prioritization
GIS
Integration
Some CSOTF agencies use the field/mobile module of their CMMS program. There was general consensus that
the field module is a benefit, but if budget is constrained, not critical to sewer system maintenance. If an agency
uses the mobile module, they must also retain hardcopy data in the trucks, for reference when internet service is
not available. Cloud-based storage has been discussed at some agencies, but not implemented by any of the
CSOTF agencies.
Lessons Learned during CMMS Implementation

There are many options and configurations available for a CMMS. These options result in a wide range of cost
and time commitment. The CSOTF agencies can all attest that CMMS implementation can be challenging. The
following Lessons Learned are provided to help prepare other agencies for this task.
Comment [A19]: Rewrite

DRAFT 4/11/2016
LESSONS LEARNED DURING CMMS IMPLEMENTATION
Invest the resources and time to make the system work.
Include backup and storage needs when costing out the system.
Work hard to clean up the data before it is imported into the CMMS.
Assign dedicated staff who receiving training in use of the software. Get this person on board as early
as possible. The person needs to be a Champion of the CMMS and of data integrity.
Try to assign a CMMS Champion who is a planner/scheduler, and not an IT person. This person can also
be the agencys asset management champion.
Maintain momentum during implementation or the system will never be used.
Train and expect field crew to improve accuracy in data collection.
Assign supervisory staff to regularly review and utilize knowledge gained through the CMMS.
If you have to choose between GIS and CMMS due to budget constraints, first get GIS and use it as
your CMMS.
CMMS and mapping capabilities are continuously improving. The CSOTF agencies that fully utilize their CMMS
systems brought ideas to the group as to how these tools can be further improved in the future. Some of these
agencies are working with the software vendor to help them to develop these capabilities.
IDEAS FOR CMMS IMPROVEMENT
Data Integration (Similar to the service that is under development and available through a company
called T4 Spatial).
Ability to readily integrate Panaramo data.
Ability to reliably assist in dynamic infrastructure repair planning.
Systems that allow data exchange for regional integration of CMMS data.

DRAFT 4/11/2016
2
OPERATIONS
AND
MAINTENANCE
SHOWCASE
WORKSHOP 7 OPERATIONS AND

MAINTENANCE SHOWCASE
Individual discussions were held with each CSOTF agency to
review maintenance practices, and identify similarities and
differences between the agencies. Following these discussions,
seven CSOTF agencies shared one aspect of their operations that
was of interest to the CSOTF group. Detailed discussion
summaries were provided to the CSOTF agencies. Highlights from
these discussions are presented below.
AGENCY A - RISK-BASED REHABILITATION AND REPLACEMENT PROGRAM

Agency A highlighted their risk-based modeling approach. The computer-based model assigns a risk score to every
pipeline, and considers the likelihood and consequence of failure of that asset. The model is a work in progress,
which is updated as new data is collected.
Factors that comprise likelihood of failure include items such as age, condition, and hydraulic capacity. Factors
that comprise the consequence of failure include the proximity to waterways, community centers, critical facilities, and roadway arterials, both major and minor. If another agency were to construct a similar risk model, the
agency would customize these factors based on the needs of their agency. Agency A learned, through the development of their model, to limit the number of likelihood and consequence factors, in order to avoid diluting results. In addition, correct weighingweighting of the factors is critical to create accurate results.
Data sources included physical geographic and asset information, closed circuit television inspection defect scores,
and results from the hydraulic model as stored in the agencys CMMS. The results are used to develop and update
the agencys capital improvement program. Using the tool, the agency has been able to avoid knee jerk reactions to repairing pipelines that may have a higher likelihood of failure, but have a lower consequence of failure
than other needs.
The agency emphasized that the model is always a work in progress. Having too many categories dilutes results. It
is also important to correctly weigh consequence factors. Using the correct weighting of consequence factors is
also important.
AGENCY B COORDINATION OF POINT REPAIRS WITH PIPE REPLACEMENTS

Agency BC coordinates pipeline point repairs, using both open trench repairs and cured-in-place pipe, with their
pipeline replacement program. This agency identifies all of the rehabilitation projects that are required in a given
subcatchment, and then conducts in-house point repairs in advance of the pipeline replacement project. In this
way, after the pipelines have been replaced, the entire subcatchment can be considered restored.
The agency has retrofitted a truck that is dedicated to point repairs. They complete from 40 to 70 patches up to 10
feet long per month, for pipes between 6 and 24 inches in diameter. The agency adds an accelerant during cold
weather. They complete the patch during the day, and allow the patch to cure overnight.
DRAFT 4/11/2016

OPERATIONS AND MAINTENANCE SHOWCASE (CONTINUED)
AGENCY C - PIPELINE POINT REPAIRS USING CURED-IN-PLACE PIPE LINER

Agency C presented a YouTube video showing the repair of a significant pipeline break using cured-in-place pipe
patch technology. The technology involves pulling a resin-infused felt tube through the pipe to the location of the
defect, and then inflating and curing the felt liner with hot water. The resulting cured liner is similar to an arterial
stent. Due to the criticality of this repair, cleaning and the repair were completed under video surveillance.
The agency has completed isolated repairs using cured-in-place pipe technology since 2010, and now has a dedicated vehicle that is equipped with a winch and a lateral video camera. A two-person crew installs two or three
patches per day with an average of about 65 patches per year. This supplements their open trench repair work,
which requires a 3-man crew. The agency completes approximately 75 open trench repairs or replacements per
year.
The agency distributes a one page flyer, which is also on their website, to homeowners in areas where they are
doing the pipe patch work. The repair is effective in vitrified clay pipes up to 12 inches in diameter, but will not
adhere to plastic pipe.
Agency CB advised other agencies to review the published expiration date, as the epoxy will not set if it is expired.
Also, the location of the defect must be verified. If the original measurement (typically using the CCTV inspection
record) is incorrect, then there is the possibility of also installing the patch in the wrong location.
AGENCY D CCTV INSPECTION AS A COMPLETE ASSESSMENT TOOL

Agency D uses CCTV inspection in several ways. First, they conduct quality assurance and quality control (QA/QC)
on cleaning pipelines using CCTV inspection. They complete QA/QC on each cleaning crew every week. QA/QC
inspections focus on the more difficult lines, which are pipes that are hard to access, have a maintenance history,
or have known roots, grease or grit. Cleaning activities have had a 90% pass rate. When a line does not pass
QA/QC, the field crew leader reviews the video and the cleaning crew that originally ran the line re-cleans the line.
The agency also completes routine CCTV inspections. During a bi-monthly operations meeting, CCTV videos conducted in response to overflows or stoppages from the prior two weeks are reviewed. Managers, superintendents,
and supervisors attend this meeting, and collectively develop solutions to identified issues.
Finally, the agency is piloting the SL RAT(what does this mean??), which is an acoustic tool used to determine
whether there is a stoppage in a line. This tool is most useful in lines that have no history of blockage (i.e., lines in
new residential subdivisions), and results are used to confirm that CCTV of the new line can be deferred. The
equipment is not as effective in older lines with joint offsets.
DRAFT 4/11/2016

OPERATIONS AND MAINTENANCE SHOWCASE (CONTINUED)

AGENCY E INTEGRATION OF FLEET MAINTENANCE INTO CMMS
Using the APWA(acronym??) Fleet Replacement Guide, Agency E is developing a program that integrates vehicle
repair and replacement schedules into their CMMS. The current approach schedules replacements based only on
vehicle age only. The new tool will be used to fine-tune the vehicle replacement budget. The agencys goal is to
more accurately predict replacement costs more accurately and spread them out over a longer term, in order to
level out the highs and lows that accompany vehicle replacements.
The APWA Fleet Replacement Guide is available through APWA online:
http://www2.apwa.net/bookstore/detail.asp?PC=PB.A1223
The agency is considering using a similar methodology to more accurately estimate replacement costs for plant
equipment.
AGENCY F EXEMPLAR SSO RESPONSE

Agency F provided example post-SSO follow-up reports showing the detailed information that is retained by this
agency. They reviewed the steps taken to respond to and address an SSO. In addition to assessing the primary
cause, the agency reviews mainline maintenance history and documents any outside circumstances (e.g., if a
downstream resident has had their lateral cleaned recently). They also use the hydraulic model to help confirm
estimates for quantity lost, and offset this volume with the amount recovered. The agency suggested that other
agencies improve public education and work closely with area plumbers to help reduce SSOs caused by debris
from lateral maintenance.
During this discussion, another agency discussed the third-party lateral insurance program that has been implemented in their service area. This program has noticeably increased the number of permits that are pulled by private homeowners for lateral inspections and replacements.
DRAFT 4/11/2016

WORKSHOP 8 ASSET MANAGEMENT

The asset management discussion focused on two questions:
Does the agency use a risk model and risk management approach to prioritize asset management?
If so, describe the risk model how is it used and what does it include?
CSOTF AGENCY ASSET MANAGEMENT APPROACH
Nearly all of the CSOTF agencies have a numerical risk model. Those without a risk model follow the same
approach, although more subjectively.
Risk is defined by an algorithm that factors

Likelihood of Failure and Consequence of
Failure. Assets with the highest Risk Score
are repaired first, thereby prioritizing
needs within available budgets.
CMMS data used in the risk assessment include CCTV data, pipe asset data, maintenance findings, and SSO
records. Agencies vary in the amount and quality of data that is collected and stored. All agencies used the
National Association of Sewer System Companies (NASSCO) Pipeline Assessment Certification Program
(PACP) scoring system to record defects.
GIS data used to assess risk include proximity to waterways, proximity to critical facilities, and geotechnical/seismic hazard information
Additional information used in the risk model includes hydraulic model results, inflow and infiltration data,
and manhole inspection results
Asset management program results are used to prioritize near-term and long-term capital improvement
needs, stabilize rates, and secure loan funding. Updates are completed every one to five years.
Some agencies use the risk model to assign a risk score to every pipe. However, other agencies use results to
develop general priorities, assign a percentage of system replacement needed, or confirm other master plan
recommendations.
Two of the CSOTF agencies extended the asset management approach to their linear assets and fixed assets,
such as pump stations.
DRAFT 4/11/2016

The asset management discussion extended beyond comparing risk models and asset management approaches.
Additional topics that warrant further discussion by the CSOTF agencies and other agencies are listed below.
Pipeline Useful Life
A range of published useful life values for different pipe materials is available. However there is no
standard pipeline material, or range of useful life that is recommended for the wastewater collection
system industry.
Any standard must factor in the condition of pipe joints and lateral connections.
Cured-in-place pipe replacement, including cured-in-place point repairs has changed the remaining life of
existing pipe.
If an agency has completed CCTV inspection of the entire system, and also knows pipe age, an agencyspecific estimate for pipe useful life vs.parameters such as material or setting may be possible. However,
without system-wide CCTV data, this analysis would be difficult.
Suitable Ra te o f Replacement
The most suitable rate of replacement is unique to an agency. However, 1 percent per year is a likely
minimum target. Some agencies with older systems and numerous issues should consider two percent
replacement per year in the near-term, transitioning to a slower replacement rate.
For some agencies that have not wanted to incur debt, infrastructure needs may require a loan. Increased
communication and education of ratepayers should begin sooner than later.
For those agencies with numerous pump and lift stations, the financial and operational impact of these
facilities must be considered along with the linear assets. When improving facilities, agencies must
consider whether stations can be consolidated to reduce capital and operational costs.

DRAFT 4/11/2016
WORKSHOP 9 IDEAS FOR FUTURE DISCUSSION ON SEWER LATERALS

After concluding the CSOTF workshops, a final opportunity arose to gather feedback from the larger wastewater
community at two January 2016 California Association of Sanitation Agency (CASA) conference roundtable
sessions. The feedback gathered from these roundtable sessions underscored a need for further discussion on the
topic of sewer lateral ownership and maintenance. This was a topic that was also raised by the CSOTF group, but
not addressed within the scope of the project. The CSOTF group is exploring the possibility of re-opening
discussions in order to address this topic.
Lateral Ownership and Maintenance - Potential Topics for Discussion

Comparing data between agencies, when ownership and maintenance responsibilities vary widely
Ownership of the connection between the main

and lateral
Coordination between cities and agencies, since

private laterals are located under public roads
Managing illegal discharges from pools and

sump pumps, etc.
How to effect replacement of the upper lateral
Smoke testing best management practices
CCTV inspection vs. pressure test for laterals
Consistency in lateral replacement ordinances
Private lateral insurance programs
New and Improved lateral inspection equipment

and technology
Utilizing real-time water data to reduce excess

wastewater discharge (e.g., from leaking toilets)
Examples of lateral replacement communication

and outreach
DRAFT 4/11/2016

Section 4 | Special Focus on Succession Planning

Collection system agencies rely upon qualified, trained, and knowledgeable staff to carry out their missions,
provide services, and meet their organization's goals. Succession planning allows an agency to continue these
services, and fulfill their mission ifin the event that a key staff member should leave. We are in a unique time in
history, where the need for succession planning holds great importance is more important than ever. A wave of
retirements has begun, as baby boomers leave the workforce. As vacancies in senior or key positions occur, there
are statistically fewer people available to fill them. Younger managers interested in moving up, may have not had
enough time in the workforce to sufficiently develop the skills and experience required to manage teams or make
difficultneeded decisions. Four key members of the
CSOTF group retired during the course of the CSOTF
workshops, which underscores the timeliness of this
Four key members of the CSOTF group and
discussion.
wastewater collection system community retired
during the course of the CSOTF workshops, which
With careful planning and preparation, organizations
underscores the timeliness of this discussion.
can manage changes that occur when a key person
leaves an agency. Although the type and extent of
succession planning will be different for each agency,
organizations of all sizes should have some type of succession plan in place.
WHAT IS SUCCESSION PLANNING?

Succession planning acknowledges that leadingkey staff members will someday leave the agency, and prepares
the agency to fill these positions seamlessly. Critical positions are those positions that are crucial for continued
operation of the organization, primarily due to skill and job knowledge. An essential key component of succession
planning is employee development, which allows resources to be drawn from within the organization. However,
an effective plan must also consider perpertualexternal recruitment.
Effective succession planning supports organizational stability and sustainability by establishing a process that
minimizes disruptions to an agencys Level of Service. Board members
demonstrate their leadership by having the strategies and processes in
BENEFITS OF STRATEGIC
place to ensure that these transitions occur with little disruption to the
PLANNING
agency.
Assures sufficient staffing
needed to address transiThe Board, Council, or other governing body is responsible for succession
tions
planning for the most senior manager in the organization. The Board hires
Provides an established
this manager to implement the agencys Mission and Vision, and execute
process for career develthe Strategic Plan. The governing body is responsible for developing a
opment
succession plan for this manager. In turn, this manager is responsible for
Enhances the agencys
developing and implementing a succession plan for other key positions in
reputation, which helps in
the organization.
attracting and retaining
quality employees
WHY IS SUCCESSION PLANNING IMPORTANT?
From a Board or Council perspective, good succession planning assures

that the organization has a plan to support service continuity when senior managers leave the agency. However,
succession planning has added benefits throughout the organization, the most important one being that it
Succession Planning Page 4-1
DRAFT 4/11/2016

communicates to employees that they are valuable. Other ways in which succession planning benefits an agency
include:
Assurance of sufficient staffing to implement the Strategic Plan.
An established process improves the potential for qualified, motivated staff to step seamlessly into
positions when key employees leave the organization.
A commitment to career development, which also enhances the agencys ability to recruit and retain topperforming employees.
An external reputation as an employer that invests in its people, which supports trust in management.
THE CSOTF APPROACH TO SUCCESSION PLANNING

Succession Planning began as one component of a larger agenda that was
developed for CSOTF Workshop No. 6. During this workshop, the group looked to
CSOTF member Union Sanitary District (USD) to provide examples from their
effective Succession Planning program, which was initiated in 2001 and has been
updated and implemented on an ongoing basis since this time. USD staff prepared
two presentations for the CSOTF group the first presentation described the
Succession Planning program, and the second presentation provided details on the
USD Leadership School. Implementation of the Leadership School has been a key
component of the success of the Succession Planning program.
A substantial amount of discussion followed these two presentations. As a result,
the CSOTF group decided to address Succession Planning in more depth, and
across several workshop sessions.
The USD effort was developed and is being implemented by an internal team that
is well-versed in organizational development, leadership management, and
strategic planning. Shortly before the CSOTF discussion, a valuablekey member
of the USD team retired and formed Donna Wies Consulting (DWC). The CSOTF group brought DWC on board
to help define key aspects of Succession Planning for the CSOTF Roadmap. Since the original work completed by
DWC was for USD, which is a larger agency, the team was interested in learning whether the USD model could
The CSOTF Roadmap takes a successful large-agency Succession Planning program and provides a similar approach for midsize to small agencies that have fewer staff with broader job responsibilities, and often, more restricted budgets.
be applied to a smaller agency. A smaller agency might have less depth in staff for each position, or may have one
or more staff members that have several job responsibilities.
DWC contracted separately with CSOTF member West Bay Sanitary District (WBSD) to develop a pilot
Succession Planning program that could be applied to a smaller agency. DWC was successful in developing a
plan for WBSD, and shared this plan and the results with the CSOTF group. A summary of the DWC pilot study
is included as a separate document at the end of this chapter.
Comment [A20]: Split into two sentences

DRAFT 4/11/2016
Highlights from CSOTF Workshop Discussions

The CSOTF discussions revealed that it is more common for an agency to have succession planning ideas and
processes in place, without the benefit of a formal succession plan. Often, tThese ideas are often developed on a
case-by-case basis, based on anticipated retirements. Less often, pPlans are less often developed for existing
employees in critical positions that have not indicated plans for retirement. This process is generally successful,
because most separations are planned. However, the absence of a formal Succession Planning process leaves even
the best run agency vulnerable when there is an unplanned departure of a key staff member.
In order to further explore succession planning needs among the CSOTF agencies, the group was led through an
exercise in which the agencies discussed a scenario involving the need to backfill an immediate vacancy for an
actual key job responsibility. After completing this exercise, the CSOTF group developed a list of issues to be
considered during the development of an agency-specific Succession Plan.
#1 Pick a Critical
Task/Skill/Position in Your
Organization
#2 If That Person/Skill
Were Lost Today, What
Would You Do?
#3 Brainstorm Ideas for a

Smoother Transition
HIGHLIGHTS FROM CSOTF WORKSHOP ON SUCCESSION PLANNING
A Needs Assessment approach is critical to effective Succession Planning.

Identify your mission critical positions, and even more important, irreplaceable tasks and skills.
When a single person leaves an agency, this action may start a chain of staff changes that should be part of
the plan. If the departing person had multiple responsibilities, then this change may also initiate the need
for new or different positions.
Determine the difficulty of backfilling special skills and focus first on the most difficult ones to replace.
Identify areas where internal promotional opportunities are not available and develop a plan to address this
issue, including external hiring.
Strive for a 2- to 3-deep approach where possible, and a one-month overlap for planned transitions.
Promote job rotations and skill diversification. Use vacation backup as a way to transition knowledge and
test aptitude.
Cross training and leadership training are very important even in busy times, make an effort to provide
training and learning opportunities.
Involve the Union early on consider a bottom up strategy, where you hear the opinions of staff regarding
their plans for their future.
Dont shy away from overstaffing initially in order to allow cross training among staff. The numbers will
settle out in the future due to attrition.
Smaller agencies assign multiple functions to a single person and may need a different succession planning
strategy than the larger agencies.
Automate/standardize processes and maintain desktop procedures manuals.
Refresh your recruiting materials well in advance of any transitions.
Look at potential partnerships with neighboring agencies to provide learning opportunities.
Support the plan with an attractive training program, including options for educational reimbursement.

DRAFT 4/11/2016
West Bay Sanitary District Pilot Study

A pilot study was conducted for CSOTF agency West Bay Sanitary District, in parallel with the CSOTF
Succession Planning discussions. The pilot study was completed in order to assess whether the approach that was
successful implemented by Union Sanitary District could be downscaled and adjusted to meet the needs of a
smaller wastewater collection system organization. The pilot study concluded that the USD approach can also be
used by smaller agencies. The results from this study, and useful tools that can be used by other agencies, are
included at the end of this Section 3.
Succession Planning Pilot Study Process

Step 1: Complete Needs/Risk Assessment
Step 4: Align Organization Policies to Support Succession
Planning
Step 1: Needs/Risk Assessment

Attachment 1 to the DWC report provides a Needs Assessment Table. This Table is a tool that documents an
agencys succession planning needs and risk. For the WBSD pilot study, managers were asked to complete the
table in order to develop a Succession Plan for themselves, as well as their supervisory staff. The table succinctly
summarizes data for mission-critical positions and responsibilities, such as whether the person has concentrated
skills. Concentrated skills are skills that are only acquired over time or through specialized education and training.
The table also identifies whether a position or role is a high priority management or field supervision role, if the
individual is a separation risk (either through retirement or other), and if there are internal or external candidates
who can assume the responsibilities. This table can be customized to address the individual needs of the agency.
Results were summarized and discussed in a meeting involving the supervisory staff. The results led to
discussions on possible upcoming retirements, skills that were concentrated in one person, on-boarding and
hiring processes, and SOPs, among other topics.
A second workshop was then held with the WBSD management team to review the input that was received from
supervisors. The goal of the workshop was to incorporate supervisor feedback into the succession planning
strategies, in order to further customize a strategy for each department. During this workshop, managers and
supervisors discussed and agreed upon the list of high priority (critical) positions.
Comment [A21]: Acronym?

DRAFT 4/11/2016
West Bay Sanitary District Needs Assessment Process

Workshop No. 1: Needs
Assessment with Managers
Meeting No. 2: Supervisor

Meeting to Brainstorm
Needs
Workshop No. 3: Final

Development of Strategies
Including Supervisor
Feedback
Retirements are easiest to plan for because the person and date of departure are known. Other transitions, either
temporary or permanent, may take an agency by surprise. Some examples of other transitions are vacancies that
occur due to promotion, vacancy due to reorganization, a long-term absence of a critical employee, or a change in
skills requirements of an existing position. The Needs Assessment Table is a very useful tool to begin discussions
related to pending transitions, and to help plan for unanticipated transitions in an agency.

For each mission-critical position and responsibility, the next step in the pilot program was for each manager to
develop succession planning strategies for him or herself, based on the information gathered through the Needs
Assessment discussions. The purpose of this activity was to first, develop an individual succession plan for each
manager, and second, prepare the manager to work with other critical employees on their individual plans.
Attachment B of DWC report provides a Strategies Table to address the four most common areas of risk:
High concentration of skills and knowledge.
High percentage of employees in a classification is eligible to retire.
Low availability of qualified internal candidates.
Low availability of qualified external candidates.
EXAMPLE STRATEGIES TO BACKFILL HIGH CONCENTRATION OF SKILLS
Document and test the work process through Standard Operating Procedures, process
maps, etc.
Identify potential successors and cross-train employees in these critical skills and provide experience through job rotations or temporary assignments.
If the person announces a departure from the agency, develop a plan to overlap the
two employees for one to two months to allow time for training.
Update recruitment materials, including making a decision as to whether the successor should hold the same responsibilities or bring different skills. Prepare effective
testing materials and develop an outreach plan
Using the first category as an example, if the highest area of risk for a given employee is that that employee has a
high concentration of skills and knowledge, strategies to address risk would be as shown below. Each of the
strategies listed would have follow-on actions that are not defined in this report.
Comment [A22]: Not a complete sentence
DRAFT 4/11/2016

Additional succession planning situations may be more Individual Succession Plan Development Process
relevant to your agency. Therefore, it is important to identify
these situations and develop a strategy to address the issues in advance of the time when the position or
responsibility needs to be filled.

As the next step in the WBSD pilot study, for each of the Strategies that are identified in Step 2, the Employee
and their Supervisor met to develop a specific action plan to
address each strategy. Attachment C provides a worksheet that
Document Critical Skills
can be used to develop these action plans. Using the Attachment
C worksheet, the employee and their supervisor discussed and
Strategies for Succession
Plan
documented critical skills, identified and developed specific
strategies that should be used to backfill these skills, and
Detailed Action Items
developed a detailed list of action items. Attachment C also
identifies the person who will lead or execute each action, and the
Assign Lead for Each Action
deadline for completion of the activity. Regardless of the
Item
employee or strategy, one consistent item in each plan should be
to document the persons activities and knowledge in writing. In
Schedule for Completion
some cases, the knowledge may be more effectively documented
using a video recording.
Step 4: Align Organizational Policies to Support Succession Planning

An effective succession planning program must be supported by an established
culture of employee development, teamwork, and communication. Employees
must feel comfortable discussing career goals with their supervisors, and also feel
supported in this regard by management. Performance planning should be
structured to allow opportunities for development toward planned career moves.
Leadership development is critical to train employees before they move into
supervisory and management positions. Formal programs and career paths,
supported by human resource policies, provide the framework needed for
successful career planning.
The organization must also have procedures in place to support effective external recruiting. Having updated recruiting materials avoids delays in the event of an unexpected separation. Improving or maintaining the agencys
visibility and reputation in the local community, and greater wastewater collection system community, will also
support recruiting efforts.
These and other key factors regarding an organizations role in supporting
Succession Planning are described more fully in the DWC report.

Step 3 and Step 4 describe how individual succession plans are developed, and also
discusses policies or procedures that are needed to support succession planning.
During the process of completing these steps, barriers to implementation of the
program may develop, such as lack of time or resources to implement the action
Comment [A23]: Restructure wording
DRAFT 4/11/2016

plan, absence of management support in light of policies, or reduced interest by an individual employee in
supporting the process. Identifying potential barriers early, and developing separate strategies to address these
obstaclesbarriers are valuable components of the overall program. Facilitation of this phase of the program,
possibly through a SWOT (Strengths, Weaknesses, Opportunities, and Threats) workshop, can be completed by
internal staff, or an external specialist, depending on the specific agency needs.

As staffing transitions occur, the plan should be updated to include new transition strategies for the revised
organization. If a transition is not successful, the updated plan will help the agency to make rapid adjustments and
maintain the desired Level of Service. Sometimes, designated successor(s) leave the organization before the
person that was originally designated as the critical resource leaves the same agency. The plan must be also be
updated when these and other changes take place. Finally, for agencies that engage in regular strategic planning
updates, the succession plan should be included as a key component of this activity.
CWEA LEADERSHIP TRAINING

One of the foundational elements of an effective Succession Plan is leadership training. Union Sanitary District
was able to implement an in-house leadership training program for its employees. However, smaller agencies
need to find external opportunities for similar training.
The CSOTF group has discussed the possibility of developing an award or certificate program that is specific to
Leadership Development, through an established organization such as California Water Environment Association
(CWEA). CWEA hosts robust training programs for collections and mechanical technicians, and there may be an
opportunity to add a leadership component to this technical curriculum. Another option for establishing a
leadership training curriculum could be through the CWEA Supergroup Committee. The Supergroup Committee
is responsible for developing and implementing educational programs for supervisory and management personnel
in all aspects of the water pollution control field. These ideas are in their infancy, and will be developed outside of
the CSOTF effort.
SUCCESSION PLANNING SUMMARY

Succession Planning is a complex activity that is developed
and refined over many years. However, establishing the
foundation for a good Succession Plan can occur quickly and
simply, using the tools and processes that are discussed in
this Section and in the DWC report. Five key ideas to
remember from this Section are follows:
A good plan implemented today is

bette taan a pe eett plan implemented
tomo ow.
~ George Patton
Having a basic Succession Plan for the agencys most critical employees is better than having no plan at
all. Get started early.
Senior management and Board/Council support are needed for a succession planning process.
Plan, support, and regularly implement training and leadership development to maximize the ability to
recruit from within.
Review and update the succession plan regularly, including immediately after any transition in staff.
Develop written or video procedure manuals for essential tasks carried out by key positions. Include stepby-step guidelines.
DRAFT 4/11/2016

Allow adequate time to prepare successors, and allow as much overlap as possible prior to a persons
departure from the agency.
Each succession plan is a unique reflection of the organization. Succession plans are as different from
each other as the organizations for which they are developed. Use the tools provided, and also seek
expertise where needed to complete the Succession Plan.
DRAFT 4/11/2016

Section 5 | Board and Council Member

Perspective
During the January CASA Annual Meeting, a final workshop was held with Board and Council representatives,
and managers who were in attendance at the conference. The purpose of this workshop was to share the results
from the CSOTF effort, and solicit feedback and information from the elected decision makers perspective.
Key ideas from this discussion include the following:
Goal-Setting
The agencys goal now and in the future should be to manage risk. The difficult part of this objective is to define
risk there is a larger world beyond the risk of sanitary sewer overflows that should be considered by the CSOTF.
For example, collection system agencies can be part of the solution to the broader challenge of water resource
sufficiency and management.
The Board of the Future must be educated and have a solid understanding of these larger issues. It should also be
more in touch with the day-to-day operations of a collection system agency to know more about the challenges
that are encountered in the field and within the communities.
The Board of the Future must be given a solid set of metrics to monitor and measure success and improvement.
Technology
The CSOTF will be using smart technology - computer chips placed strategically through the system to monitor
flows and system performance. Research is in process involving some CASA members and the University of
Michigan on this potential.
When is the right time to invest in this technology? Discussion on current opportunities, what we can do with the
results to improve service, potential costs, and potential payback would be useful in assessing the current value of
technology. Some agencies already provide intensive system monitoring let the other agencies learn from their
example.
Communications and Customer Service

The CSOTF can improve its public outreach by emulating other industries. The solid waste industrys success in
converting consumers from a disposal-based mentality to a reuse mentality is a great example. Need to engage the
public find a way for them to think about and work to reduce actions that impact the wastewater collection
systems.
Additional discussion that was held on Lateral Ownership and Maintenance was included in the prior section.
Board and Council Member Perspective Page 5-1
Comment [A24]: This is not a full sentence
DRAFT 4/11/2016


DRAFT 4/11/2016
Section 6 | Concluding Remarks

This report compiles over 30 hours of discussion on important topics related to wastewater collection system
management. The CSOTF work group confirmed, through this process, that there are similarities and differences
between how each agency addresses specific issues, and learned new approaches to difficult challenges. There are
many more ideas that can be shared on each topic, and additional topics that could benefit from future discussion.
The process of discussion and opportunity to meet regularly with peers was invaluable to the team members.
Insert quote here from CSOTF agencies on:

Positive comment about the CSOTF effort
One thing they learned that they are already doing differently
Words of wisdom to give to other agencies as they work toward becoming a CSOTF
Have questions? Please contact us.

Phil Scott, General Manager, West Bay Sanitary District - pscott@westbaysanitary.org
Vivian Housen, P.E., V. W. Housen & Associates - vhousen@housenassociates.com
Concluding Remarks Page 6-1
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DRAFT 4/11/2016

Section 7 | Acronyms
BACWA
Bay Area Clean Water Association
CASA
California Association of Sanitation Agencies
CASSE
California Association of Sewer System Excellence
CCTV
Closed Circuit Television
CMMS
Computerized Maintenance Management System
CSOTF
Collection System of the Future
CWEA
California Water Environment Association
F2F
Face to Face
GIS
Geographic Information System
NASSCO
National Association of Sewer System Companies
PACP
Pipeline Assessment and Certification Program
QA/QC
Quality Assurance/Quality Control
SSO
Sanitary Sewer Overflow
SWOT
Strengths, Weaknesses, Opportunities, and Threats
Comment [A25]: Maybe place this

page at the front of the document?
Formatted: Tab stops: 1.19", Left
Acronyms Page 7-1

Collection System of The Future

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WASTEWATER

A Roadmap to Effective Wastewater

Wastewater Collection System of the Future

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Wastewater Collection System of the Future

CSOTF GOALS AND PROCESS

INTRODUCING THE CSOTF AGENCIES

WORKSHOP AND WORK GROUP SUMMARIES

DISCUSS AND PRIORITIZE TOPICS

CUSTOMER SERVICE, CMMS, AND MAPPING

OPERATIONS AND MAINTENANCE SHOWCASE

SPECIAL FOCUS ON SUCCESSION PLANNING

BOARD AND COUNCIL MEMBER PERSPECTIVE

Comment [A2]: The number 7 on the

Wastewater Collection System of the Future

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Wastewater Collection System of the Future

Wastewater Collection System of the Future

Comment [A3]: ..increasingly facing

Comment [A4]: Desires

Comment [A5]: To use as a

Wastewater Collection System of the Future

Wastewater Collection System of the Future

Castro Valley Sanitary District

Central Contra Costa Sanitary District

Novato Sanitary District

Ross Valley Sanitary District

Union Sanitary District

West County Wastewater District

West Valley Sanitation District

V. W. Housen & Associates, Inc. with Dewpoint

Wastewater Collection System of the Future

Comment [A6]: Might be a run on sentence

Staff and Succession Planning

Maintenance and Repair

Data Management and Mapping

Sanitary Sewer Overflows

Safety and Reliability

Executive Summary Page ES-1

Comment [A7]: Potentially rewrite

Wastewater Collection System of the Future

LEADERSHIP TRAINING AND SUCCESSION PLANNING

Comment [A8]: Rewrite sentence.

The succession planning approach begins with the following questions/actions.

#1 Pick a Critical Task/Skill/Position

#3 Brainstorm Ideas for a

Succession Planning Process

Executive Summary Page ES-2

Comment [A9]: What does this mean?

Wastewater Collection System of the Future

Appropriate training for staff in contact with the public

Process for soliciting feedback and improving service

Customer Feedback Summary

Executive Summary Page ES-3

Comment [A10]: Break up into two

Wastewater Collection System of the Future

DATA MANAGEMENT & MAPPING

Tips for Successful CMMS Implementation

Invest the resources and time to make the system work

Assign dedicated staff who receiving training in use of the software

Maintain momentum during implementation or the system will never be used

Train and expect field crew to improve accuracy in data collection

OPERATIONS & MAINTENANCE SHOWCASE