Public Involvement and Education: The Critical Elements to the Success of Stormwater Utilities

Public involvement and public education: These two components are critical to the development of a stormwater utility and are directly related to a program’s success or failure. This article presents results of a study, from an interdisciplinary perspective, that identifies relationships between a utility’s internal customers–the staff–and the general public, or the external customers. Research has demonstrated the need for education, participation, and interaction throughout the development of the stormwater utility in each customer level: staff, local elected officials, and the general public. This study demonstrates that the success of a stormwater utility is dependent upon involvement and education at each level.

This article is a summary of my dissertation, which focuses on stormwater utilities in the 21^st century. One objective of the study I conducted was to supply a foundation for the creation of a successful stormwater utility through the development of each customer level. The success of the stormwater utility is mandatory for the achievement of watershed management goals in water quality and water quantity. The stormwater utility is not only equitable and stable but is also a dedicated funding source. A stormwater utility can work only if the staff, local elected officials, and general public are in harmony with this phenomenon.

Objectives and Methods

For this study, I reviewed the literature, surveyed stormwater utilities, and reviewed the critical elements necessary for the success of these utilities. I analyzed the importance of the general public’s participation and their interaction in the development of the stormwater utility. I also questioned the role of elected officials and their relationship to the success of a stormwater utility. The research was conducted to ensure replicable methods and to test the hypotheses, described below.

The database for analysis was limited. The research and authorship of information related to stormwater utilities is still in the embryonic stage, and not many professionals have authored books on their findings. The relevant literature, by three recognized national experts, forms the foundation of this study. There has been a significant amount of publication on the subject of citizen involvement and democratic principles in the different disciplines of government policies.

I surveyed a randomly selected sample of 48 stormwater utilities in the United States, then used the survey results to test the hypotheses. The surveys were conducted by direct phone interviews, and survey results were reviewed and tabulated. The surveys build the foundation for reporting the level of commitment of the three identified customers and their relationship to a successful stormwater utility. Additional support information was collected from the stormwater utility managers and from consultants. The additional information was necessary to investigate potential limitations of the study as well as to understand additional characteristics that might affect the overall program.

Results

The survey results indicate a distinct change in the general public’s behavior and attitude in the acceptance of a stormwater utility when they are allowed the opportunity to participate in its development. When public education and public involvement occur during the decision-making process, the success is categorically higher. The presence of educational tools alone, without citizen involvement, presents an additional challenge in the acceptance of the stormwater utility by the general public because the utility staff does not necessarily involve the public. The study demonstrated and supported the hypothesis that all three customers–the staff, elected officials, and general public–when led by a staff “champion,” can promote the success of the stormwater utility. Additional limitations were found outside these factors and were considered in the beginning of the research. Additional investigation should be considered into each state’s regulations as they relate to legislated revenue-collection methods allowing the collection of user fees and taxes.

Conclusion

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Based on the findings of this study, stormwater utilities will succeed when these critical elements are applied in the development process. If increased ad valorem taxes are not an acceptable solution to achieving watershed management goals, stormwater utilities appear to be the most equitable, stable, and appropriate funding mechanism available for implementation of a successful program. The success of the stormwater utility will prevail only when public education and public involvement occur with the staff, local elected officials, and general public.

Introduction to the Study: Why?

It has become obvious to stormwater managers and consultants that increasing taxes at the local level is neither an acceptable nor a stable long-term fix for the stormwater issues presented. Stormwater utilities have been around since the early 1970s, but they have not reached the limelight until recently. With the onset of the total maximum daily load (TMDL) program and the National Pollutant Discharge Elimination System (NPDES) Phase II, local government officials are searching for an appropriate funding solution for stormwater management. This solution must be fair and equitable and present a stable funding source. A suitable measure is a user-fee system designed around the stormwater management program.

The stormwater utility has been neither popular nor accepted by the general public when forced upon them without education and involvement in the process. The general public might not like the additional user fee, but when presented with all the options, they usually agree that the stormwater utility is the best solution.

The stormwater utility was analyzed from the following four hypotheses.

Hypothesis One

Without the stormwater utility staff being knowledgeable and informed, the stormwater utility is likely to fail during its creation.

The following questions were surveyed:

• Did staff have knowledge and understanding of a stormwater utility program prior to the establishment of the utility?

Seventy-eight percent of the respondents acknowledged that the staff had a fair-to-good level of knowledge on the subject of stormwater utilities before the utility was created. If the staff had little knowledge, it did not take them long to achieve a comfortable level of acceptance. Acceptance of the program is necessary not just internally on the part of stormwater staff but also on the part of the finance department, developmental services, and others. It is critical that all accept their roles in the process of implementing the utility.

• Was a consultant retained to assist in the creation of the stormwater utility?

Seventy-one percent reported the use of a consultant to assist in the formulation of the stormwater utility. The expert consultant was retained not only to set up the format of the utility but also to educate the staff.

• Did your program have a public education component?

Thirty-six percent reported that they did not have an educational component.

• Was a consultant retained for the public education component of the program?

Surprisingly, only 44% of the stormwater utilities used a consultant for public education and public involvement. Furthermore, they reported using the consultant on a limited basis. Respondents commented that local staff were more accepted locally; the general public did not want an “outsider” telling them what they could do or expect. Local trust is a must.

• Approximately how much funding was budgeted for the public education component during the creation of the stormwater utility?

Sixty-five percent of respondents reported $5,000–$10,000 budgeted. Thirty-five percent reported budgeting $25,000 or more for public education during the creation of the utility.

Conclusions

I observed that many public works professionals have no knowledge of the stormwater utility or its composition. The lack of references and articles on this subject reflects this; publishing needs to continue. There are a limited number of seasoned experts in this field nationwide, and consultants with demonstrated success–not just knowledge of the topic–are greatly needed. Few have published, and this leads one to conclude that stormwater has yet to become a professional discipline. Could the lack of published material be because professional consultants deem their work proprietary? History will tell. Few have written the prescription, as have Thomas Debo and Andrew Reese in Municipal Storm Water Management (1995). And few colleges and universities have recognized the needs for a stormwater curriculum.

Recommendations and Comments

Hypothesis Two

Without the education and involvement of knowledgeable and informed elected officials, the stormwater utility is likely to fail during its creation.

• How many commissions or councils had previous knowledge of a stormwater utility concept?

Sixty-three percent of the commissions surveyed had some knowledge of the stormwater utility program prior to creation of the program.

• What was the overall education level of the board of supervisors or other elected group?

Four percent of the boards had an average educational level of high school, 37% had two years of college, and 59% had an average of four years of college.

• Did one elected official take the lead role on the board as a champion of the stormwater utility?

In 77% of the elected boards, one elected official rose to the challenge and led the effort.

• Was the board’s final adoption of stormwater utility unanimous?

A surprising 81% of the elected boards approved the stormwater utility unanimously.

Conclusions

Elected officials cannot champion something they know nothing about. It is up to the professionals in the field to communicate and educate the local elected officials. Education starts with knowledgeable staff, but it must not stop there if stormwater utilities are to succeed. This study has demonstrated that the transfer of knowledge must continue to local elected officials so they can make informed decisions on stormwater issues. Elected officials can be the stopping point of a stormwater utility if not brought into the equation at the onset of the program. Their education and involvement are critical to the acceptance of this stormwater management practice.

Results of the survey and phone interviews showed a need for local elected officials to be brought into the process early. The size of the board had a direct relationship to the learning curve: Larger boards were more cumbersome, with too many folks trying to understand the issues in multiple districts. An elected champion was a good tool to have and usually kept the group focused on the issues.

Recommendations and Comments

I interviewed several elected officials, and the following reflects some of their comments and thoughts. As a group, they had a hard time supporting a stormwater utility during an election year. One comment was “Timing is everything,” as it is in any venture. Some events that spurred elected officials along in supporting a utility were major rain events and floods. Yet another selling point for a stormwater utility is that it is the most fair and equitable program available to mitigate stormwater issues. Educating elected officials about the workings of a utility reinforces to them that it is a good planning tool and helps develop a stormwater action plan. Pointing out that water and wastewater funding once came from the general fund budget and now is paid for by a user fee is very effective in gaining their support for the stormwater utility user fee.

The surveys were augmented with an average of 23 minutes of phone interviews with professionals from each utility. Consensus among those interviewed was that public works as a profession has not done well in communicating upward to local elected officials our needs and requirements to do our jobs. It is good to be able to look to ourselves for improvement. Stormwater utilities will test our abilities to the limit. I belong to seven national and state water-related professional associations, each with its own mission and set of priorities. Creating one national organization would allow us to focus on holistic watershed-related issues, not just on issues of concern to specific populations, or on flooding issues or drinking water or wastewater. There are specific organizations doing superbly in each of these areas. Nonpoint-source and stormwater organizations could look to the models of the Georgia Association of Stormwater Management Agencies and the Florida Stormwater Association for the national components.

Hypothesis Three

Without the general public being knowledgeable and informed, the stormwater utility is likely to fail during or even after its creation.

• What was the average education level of your community at the time of the utility’s creation?

Thirty-five percent of the communities surveyed had an average of a high school level of education, 46% reported an average of two years of college, and 19% reported four years of college.

• What was the per-capita income?

Six percent reported $15,000, 37% reported $25,000, and 57% reported $35,000.

• What was the general public’s knowledge level on stormwater issues?

Researched showed that, overall, 45% of the general public had limited or no knowledge of stormwater issues, 42% had a fair knowledge level, and 12% had a good knowledge base of stormwater-related issues.

• Did a local stormwater champion evolve during the creation of the stormwater utility?

Fifty-five percent of the communities surveyed reported that a general public champion came forward during the campaign to create the utility.

• What were the total dollars spent on education?

Fifty-two percent reported budgeting $5,000, 12% budgeted $10,000, 32% budgeted $25,000, and 6% budgeted $35,000 or more.

Conclusions

Because the general public is a critical component to the achievement of a successful stormwater utility, stormwater professionals and consultants must keep their communication skills honed. It is necessary for the stormwater manager to articulate the messages needed to ensure that the community can comply with NPDES permits and successfully achieve TMDLs. The general public must be educated about these issues and the possible solutions. Furthermore, as many respondents noted, education without action does not achieve the desired result; the general public must also be involved in reaching the goal, whether creating a stormwater utility or achieving clean water.

Recommendations and Comments

The US was founded on governing through active participation. Our elected officials and staff are charged with formulating, educating, and providing the foundation to lead a successful campaign. It is clear that to reach the desired objective, we cannot leave anyone out of the equation. Our mission can furnish a diagram on paper, but the successful management of water resources both in quantity and quality depends on involvement. Local governments that have failed in their efforts to promote a successful stormwater utility did so in many cases because of little or no education of the general public. It is not the public’s educational level or per-capita income that affects the success or failure but, rather, their inclusion or exclusion in the process.

Hypothesis Four

It is necessary for a staff champion to come forward to lead, guide, and direct the stormwater utility to success.

• Did the stormwater utility develop a staff champion?

An overwhelming number of communities–75%–reported that the stormwater utility developed a staff champion.

• What length of time did it take to develop the stormwater utility with a champion over the same time without a champion?

Overall it took less time to develop a stormwater utility with a champion than without one.

• How effective was the role of the staff champion?

Seventy-one percent reported that the staff champion was very important in leading the creation of the stormwater utility.

• What is the relationship between the “championed” utility and the public education dollars budgeted?

The research supported the theory that the communities with a staff champion were able to generate more funding for public education than the communities with no staff champion.

• Did the staff champion influence the development of an elected champion?

Seventy percent reported that the staff champion nurtured an elected official and developed his or her support in the creation of the utility.

• Did the staff champion influence the development of a general public champion?

Sixty-six percent of the staff champions had a direct relationship in developing a general public champion.

Conclusions

I surveyed professionals working within local governments, consultants, and local elected officials for additional observations. Almost unanimously, the interviewees responded that a staff champion was critical to orchestrate the creation of the successful utility.

The research has demonstrated the need for an individual to rise to the occasion. The leader must be able to communicate horizontally as well as vertically. It should be this person’s objective to provide a strong foundation through education and demonstrated management skills and to convey this to the staff, local elected officials, and general public.

Recommendations and Comments

The stormwater champion must put into effect the management skills and passion to see the project through. A quote from Vince Lombardi is fitting: “What is needed in the world today is not just engineers and scientists, but rather people who will keep their heads in an emergency and in every field: leaders, in other words, who can meet intricate problems with wisdom and with courage.”

Closing Remarks

It is apparent that the stormwater discipline and the stormwater utility are just now coming into their own. In the early 1970s, the Clean Water Act and environmental concerns spurred the development of the stormwater utility on the West Coast. In the late 1980s, the NPDES Phase I program peaked the stormwater utility graph once again. Now NPDES Phase II and the TMDL program are pushing the stormwater utility to a new level. Stormwater utilities are helping stormwater management take its place alongside water and wastewater services.