United States
Environmental Protection
Agency
Region 4
345 Courtland Street, NE
Atlanta, GA 30365
EPA 904/10-S4 126
November 1984
£EPA
Environmental
Assessment
Mountain Communities
Wastewater Management
Alternatives Report
Volume III - Institutional
Management Alternatives
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION IV - ATLANTA
MOUNTAIN COMMUNITIES WASTEWATER
MANAGEMENT ASSESSMENT
ALTERNATIVES REPORT
VOLUME III
NOVEMBER 1984
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VOLUME III
TABLE OF CONTENTS
LIST OF TABLES
LIST OF FIGURES
INTRODUCTION
Chapter 4 INSTITUTIONAL MANAGEMENT ALTERNATIVES
4.1 Introduction
4.2 Management Functions
4.2.1 Problem Identification
4.2.2 System Planning and Design
4.2.3 Construction and Installation
4.2.4 Permitting
4.2.5 Operation and Maintenance
4.2.6 Monitoring and Compliance
4.2.7 Training and Public Education
4.3 Alternative Management System Models
4.3.1 Conventional Homeowner-Centered Management
4.3.2 Conventional System With Monitoring
4.3.3 Private Ownership With Required Operation,
Maintenance and Monitoring
4.3.4 Private Ownership With Public Operation
and Maintenance
4.3.5 Public Sector-Oriented Management
4.4 Evaluation of Alternative Management Systems
4.4.1 Development of Community Profile and
Definition of Needs
4.4.2 Identification of Management Objectives
4.4.3 Selection of Most Appropriate Management
System
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FACT SHEETS
BIBLIOGRAPHY
APPENDIX III-I Financial and Field Management Contract and
Financial Management Contract
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LIST OF TABLES
No.. Title £§5£
4-1 Responsibilities Carried Out Under Alternative Management 4-30
Systems
4-2 Regulatory Authorities of State Organizations—North Carolina 4-49
4-3 Regulatory Authorities of State Organizations—Kentucky 4-50
4-4 Regulatory Authorities of State Organizations—Georgia 4-51
4-5 Regulatory Authorities of State Organizations—South Carolina 4-52
4-6 Regulatory Authorities of State Organizations—Tennessee 4-53
4-7 Regulatory Authorities of State Organizations—Alabama 4-54
4-8 Personnel Requirements for Various Management Functions 4-65
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VOLUME III
LIST OF FIGURES
Following
No. Title Page
4-1 Fact Sheet —.Conventional Homeowner-Centered Management 4-78
4-2 Fact Sheet — Conventional System with Monitoring 4-78
4-3 Fact Sheet — Private Ownership with Required Operation, 4-78
Maintenance and Monitoring
4-4 Fact Sheet — Private Ownership with Public Operation and 4-78
Maintenance
4-5 Fact Sheet — Public Sector-Oriented Management 4-78
4-6 Generalized Selection Process for Institutional Management 4-44
System
(Fact Sheets are located at back of chapter)
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VOLUME III
INTRODUCTION
Volume III of the Alternatives Development Report is comprised of
Chapter 4—"Institutional Management Alternatives". This chapter developes
and describes institutional management systems which may be implemented to
meet the wastewater treatment and disposal needs of mountain communities.
Fact sheets describing the key components of each system are also included.
This chapter includes a discussion of the various functions which must be
carried out by a management agency and techniques or methods which can be
employed to successfully accomplish these functions. The final section of
this chapter presents a method for selecting an appropriate management
system for a community.
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VOLUME III
CHAPTER 4
INSTITUTIONAL MANAGEMENT ALTERNATIVES
4.1 Introduction
This chapter of the Alternatives Development Report discusses in-
stitutional management systems which may be employed to meet the waste-
water treatment and disposal needs of mountain communities. As identified
in the previous study report these needs are unique, and conventional
institutional mechanisms have not always been successful in addressing
them. Few 201 Plans have been implemented in the study area and of those
that have, most are in the larger communities. One primary reason for this
is the lack of institutional organization in the smaller, less affluent
mountain areas. Small communities simply do not have the necessary
agencies and expertise to undertake conventional, large-scale planning and
construction projects. Many of the communities in the study area do not
even have sufficient manpower and skills to assume the responsibilities
required by EPA under alternative, smaller scale wastewater management
techniques such as management of on-site systems. Also, statutory and
regulatory requirements may place further limits on the ability of a
community to carry out certain management functions.
The following sections of this chapter present information about a
range of institutional management systems including a number which may
better meet the unique needs of many mountain communities. Section 4.2
describes the various functions which must be performed as part of any
overall management system to successfully manage community wastewater
needs. A number of alternative techniques which may be used to carry out
the functions are also described. A technique is a single method or
procedure which can be used to achieve a specified goal or, in this case,
which can be used singly or together to carry out management functions (as
described in Section 4.2). Each of the functions may be performed by a
different public or private entity depending on community goals and the
structure of the overall management system which is selected by the
community.
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Section 4.3 addresses the various institutional arrangements which
may be used to carry out the required management functions. This section
is designed to address generic types of management systems and is not
intended to cover every specific system alternative which may be avail-
able. Every management system that is implemented will probably be
unique, with different functions being performed by different entities.
The final section, 4.4, describes a three-step methodology which may
be used to select an appropriate management system for a community. This
process is based upon identifying the communities' needs; environmental,
political and socioeconomic limitations and strengths; defining management
objectives in terms of which functions will be performed and by whom; and
then selecting an overall approach to carry out the management functions.
In putting this chapter together, a great deal of information was
utilized when possible from existing sources. In particular, the
following publications, noted in the bibliography, were extremely useful:
U.S.EPA, 1979; U.S. EPA, 1980; and U.S. EPA, 1983.
This chapter does not present specific, detailed costing information
for each of the management alternatives discussed. This cost data will be
provided, however, in the final report.
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4.2 Management Functions
The proper management of wastewater systems requires that an insti-
tutional management system be established which has sufficient capabil-
ities to perform or have performed a variety of functions. The management
functions listed here are activities which are necessary to maintain
adequate public service and to guarantee long-term performance of waste-
water systems. These functions are:
• problem identification
• system planning and design
• construction and installation
• permitting
• operation and maintenance
• monitoring and compliance
• training and public education.
There are various techniques which may be used to carry out these
functions. The approach which is actually used will vary from one
community to the next based upon the community goals, management system
selected and capabilities of the community.
The following section describes examples of ways in which these
functions can be carried out. It is not necessarily meant to be all-
inclusive.
4.2.1 Problem Identification
Problem identification is necessary to substantiate the existence
of wastewater treatment problems and define the nature of present and
future system needs. Problems can be identified via surface or groundwater
sampling, various survey and remote sensing methods and other techniques.
The following are descriptions of some of the different ways of identifying
areas of inefficient wastewater management. The following are examples of
methods used to identify wastewater treatment problems.
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Sanitarian Surveys
A sanitarian survey generally consists of resident interviews,
visual site inspections and, if necessary, water supply inspections. The
objective of the survey is to collect and analyze data to assess the need
for improved wastewater facilities in unsewered areas and also to assess
on-lot suitability of locations proposed for development. Several
specific objectives can be achieved through the survey:
• identification of possible sources of water quality and public
health problems,
• evaluation of causes of system malfunction,
• assessment of the feasibility of the continued use of on-site
systems or of new systems,
• provision of information on types and frequency of malfunctioning
systems,
• collection of data on individual properties and their on-site
systems for future use.
The sanitarian survey process includes preparation, on-site in-
spection, homeowner questionnaire and data analysis. The survey may also
include well or spring inspection; water supply sampling and analysis;
sampling and analysis of surface water receiving wastewater effluent; and
soil sampling and analysis. The survey also may include inspection of
streams, drainage ditches, tile fields and lakes and ponds on or adjoining
the property for signs of illegal discharges, nutrient enrichment and
possible impact on drinking supply.
Water Quality Sampling
Since the contamination of surface or groundwater is a potential
consequence of a malfunctioning on-site system or centralized treatment
system, the sampling of those waters is a possible method for validating
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the existence of a problem. Although, generally not in itself a
determinant of wastewater treatment problems, water quality sampling in
conjunction with other methodologies (i.e. sanitarian surveys) can be used
to confirm the existence of a problem. Surface water quality sampling is
used in the case of a centralized system disposing to a surface water and
also in the case of on-site systems with direct disposal to a surface
water. Groundwater sampling (well and spring) generally is used to confirm
potential contamination from on-site systems.
Aerial Photography
Aerial photography can be used to provide data on surface mal-
functions of on-site systems. Once the photos are obtained on-site
malfunctions can be defined quickly without intruding on private
property. The process has three steps, involving photography acquisition,
identification of suspected malfunctions and subsequent field checking of
those malfunctions.
Water Meter Installation
This technique involves purchasing and installing water meters to
monitor the volume of water released, particularly into a septic tank
system. This is a method that can determine whether the use of excessive
amounts of water are contributing to on-site system malfunctions. This
technique involves reviewing the theoretical water usage of a family based
on size, age and hygenic habits and comparing this figure to the actual
metered water usage to determine whether water usage may have been
excessive. It may be possible to install the meter for only a short period
of time and then reuse it elsewhere.
4.2.2 System Planning and Design
Planning and design of needed wastewater facilities are the manage-
ment functions which are carried out after problems have been identified
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and needs defined. The .two functions are separate activities but are often
combined and performed by the same entity. Planning involves developing an
overall approach to meeting the community's water quality and wastewater
disposal needs. Preparation of the plan requires the delineation of a
study area which may encompass a number of communities, one community or
only a specific sub-area within a community. The planning process includes
the assembly and analysis of data on cost, performance and design criteria
for alternative wastewater facilities; and the collection and review of
environmental information and land development trends. The relative
suitability of alternative systems is then determined based on a com-
parison of design criteria and study area needs and environmental
characteristics. A system is then selected which is cost-effective and
environmentally acceptable and implementable without excessive operating
requirements.
Once a system has been selected, design activities are begun. This
involves preparation of plans and specifications showing the type, size
and location of facilities to be constructed which will treat and dispose
of wastewater in an acceptable manner. If numerous individual, on-site
systems are proposed in the plan, the design activities may also include a
site-specific assessment of new or replacement facility needs and a
detailed site assessment. Examples of methods which may be used for
planning and design purposes are discussed below. There are additional
planning methods which include the same activities but not as part of a
generally recognized procedure.
Sewage Official
A Sewage Official is an individual responsible for issuing permits
for small-scale wastewater treatment and disposal facilities, in addition
to a number of other duties in the system application, evaluation and
inspection process. These individuals, frequently referred to as Sewage
Enforcement Officers (SEO), sanitarians or health officers, are generally
in charge of soil/site investigations, conducting and/or reviewing soil
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tests, reviewing designs and performing inspections during the con-
struction process.
In many states, these officials are licensed or certified following
rigorous training in the fields of soils, geology and wastewater manage-
ment techniques and practices applicable to their respective areas of
jurisdiction. Generally, an individual who wishes to become a Sewage
Official is trained, examined and licensed usually, but not necessarily
always, at the state level.
Perform Site-Specific Analysis for Determination of Appropriate
On-Site System
This technique involves performing a site feasibility analysis, which
includes a soil survey, topographic survey, and a land use and geologic
analysis. At a larger level, it involves collecting site-specific data
through a sanitary survey, well sampling, septic tank inspection and soil
sampling. These procedures may be used to determine the most appropriate
on-site system and location.
201 Wastewater Facilities Planning
The 201 planning process is pursuant to Section 201 of the Clean Water
Act of 1972, 1977, and 1981 Amendments and is generally referred to as the
Construction Grants Program. The purpose of Section 201 is to assist
communities in developing and implementing wastewater treatment plans and
practices through a three step process. In entirety, the grant process
involves funding the planning, design and construction of a treatment
system. Of interest here is Step 1, Facilities Planning, which involves
receipt by a community of a grant to perform preliminary planning and
engineering and also Step 2, system design. To apply for a Step 1 grant, a
community must submit the following items to the applicable state agency:
1) a Plan of Study, 2) clearinghouse comments about the proposed project,
3) application, EPA Form 5700-32, and 4) the selection of a professional
engineer. Following receipt of a Step 1 grant, the grantee must prepare a
facilities plan which includes the following key elements:
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• discharge or effluent limitations,
• existing and future study area conditions,
• description and evaluation of costs, operation and
implementation of possible wastewater alternatives
including innovative and alternative technology,
. municipal pretreatment program (if domestic & industrial wastewater
will be treated),
• Infiltration/Inflow (I/I) Analysis,
• Sewer System Evaluation Survey (SSES),
• environmental evaluation of each alternative,
• public participation program,
• archaeological investigations,
. selection of preferred alternative,
• if necessary, intermunicipal agreements.
Once completed, the plan is submitted to the regional or state
clearinghouse for comments. If any negative comments are received,
potential mitigation measures must be described. Next, the plan and all
comments received on it must be submitted to the applicable state agency for
approval.
Following approval, the grantee may apply for a Step 2 grant for
facilities design. If awarded, the applicant must consider the following
technical and administrative items:
• project design,
• project specifications,
• project cost estimates,
• continue development of the facility's Plan of Operations,
the SSES and the User Charge Systems.
The completed plans, specifications and estimates should be submitted
first to the respective State for review and approval prior to being sent to
EPA. Following approval, the grantee may apply for a Step 3 Facilities
Construction Grant. A number of activities, in addition to the actual
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construction, are involved in the construction process following awarding
of the grant:
• bid advertising,
• receipt and review of bids,
• changes in grant amount,
• protests,
. award of construction contracts,
• preconstruction conference,
• construction schedule,
« change orders,
• on-site inspection,
• grant payments,
• audits.
For small communities (population 25,000 or less) with small projects ($4
million or less) a combination Step 2/3 grant to cover design and
installation costs may be applied for to help the process.
in order to qualify for a Step 1, facilities planning grant, an
applicant must; 1) be a public body created under state law, 2) have as a
principal responsibility, the treatment, transport, or disposal of liquid
wastes of the public in a particular geographic area, 3) have the legal
authority to construct and manage the proposed facility, 4) be the
designated agency identified in an approved Water Quality Management (WQM)
Plan (where applicable) and, 5) have a project on the state priority list.
The 1981 Amendments to the Clean Water Act incorporated significant
procedural and administrative revisions. One of these changes dispensed
with grants solely for facilities planning and design (formerly Step 1 and
Step 2 grants). Under Section 3 of the 1981 Amendments, grants for Step 3
would include an allowance for facilities planning and design which can be
advanced to small community grant applicants which otherwise would, as
judged by the state, be unable to prepare a facilities plan and design. The
201 process, however, as described in previous paragraphs can still be
considered a valid model for facility planning.
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Land Management
Land management is an important, if not sometimes critical, wastewater
management technique. Development of a conventional septic tank or
alternative on-site system on an inadequate size lot or in an area which
does not have sufficient physical means for treating wastewater can pose a
real threat to ground and surface water quality (as well as other natural
features) and ultimately to the health of those involved. Additionally,
construction of small-scale centralized sewer systems can have a signi-
ficant, and often-times unwanted, impact on land use by encouraging future
development.
These impacts can be controlled by including a land management
function. This function could be provided in one of two ways: through
coordination with existing agencies or by developing land management
responsibilities within the management agency. The following land manage-
ment tools could be implemented to restrict the use of on-site systems,
thereby lowering the potential for significant adverse consequences:
• establish minimum lot size zoning requirements and usage
restrictions,
• regulate development through subdivision review and approval,
• designate areas potentially sensitive to soil-dependent systems
based on the county soil survey results,
• regulate local improvements that may have an impact on the
management agency such as schools, parks, road and drainage
construction/improvements.
At a minimum, the following items should be included as part of the land
management function:
• physical features survey, including soils, climate,
topography, geology, and water quality survey,
• aesthetic/cultural survey,
• biological survey,
• evaluation of land development trends/patterns and expected
growth,
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. identification of location and density of noncentral systems
and proposed utility extensions,
. identification of current regulations and institutions,
. socio-economic evaluation, e.g. population, employment,
tax base, household size, etc.
implementation of measures such as these can assist management agency
personnel in more efficiently performing their respective jobs. For
instance, if a management or other agency has previously designated areas
which are sensitive to soil-dependent systems, fewer financial and per-
sonnel resources are expended in performing site investigations.
4.2.3 Construction and Installation
Construction and/or installation management functions are those func-
tions necessary to ensure that the centralized or on-site system is
constructed or installed in conformance with approved plans and speci-
fications and/or acceptable engineering practice. These functions can
consist of developing guidelines and procedures for installation review,
field supervision of installation and construction, establishing and
implementing installer licensing, training and certification programs and
establishing and implementing a construction permit program.
Construction/Installation Permit Program
This function is described also under the following section on
permitting. Implementation of a construction permit program will ensure
that proposed system construction or existing system repair is performed
according to specified standards and approved designs. An installation
permit program includes the review and approval of system design and a site
evaluation before granting of the permit. A prerequisite to developing a
construction or installation permit program is the development of guide-
lines or standards by which an installation or construction procedure is
reviewed. The installation or construction practice must conform to these
standards to be considered permittable. Permit fee ranges for study area
states are listed in the 'Permitting1 section.
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Sewage Official
As discussed under Planning and Design, the Sewage Official can be
responsible for an on-site wastewater system from system planning to actual
installation. The Sewage Official, termed a sanitarian, health officer or
Sewage Enforcement Officer (SEO), is an individual qualified to supervise
the installation of the system thereby helping to ensure that installation
practices conform to specified standards and approved designs.
Installer Training Program
This function is also discussed as a public education management
function and involves developing and implementing a training program for
system installers to allow them to perform their service with maximum effect
and efficiency by conforming to installation standards.
Installation/Construction Field Supervision
Supervision of installation or construction of wastewater facilities is
crucial to ensure that any design changes made necessary by unforeseen
natural or other occurrences are handled correctly. Supervision also
ensures the use of proper installation practices.
Wastewater Personnel Certification Program
This methodology is described in detail as it affects all system
personnel in the construction and installation process. It involves
developing and implementing a training and certification program for system
installers to allow them to perform their service with maximum effect and
efficiency, conforming to installation standards.
4.2.4 Permitting
The permitting functions described in this section are designed to
ensure compliance with predetermined standards before, during and after
construction or installation through requirements for various permits or
licenses. Permitting as a function for ensuring compliance is not to be
confused with "Compliance" as a function, which consists solely of
enforcement methods. The following are examples of permitting method-
ologies.
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Homeowner Permit Program—"Permit-to-Operate"
A «Permit-to-Operate" is basically a permit granted to system owners
which is designed to ensure that the system 1S operating properly and that
proper maintenance procedures are being followed. The permit can be issued
on an annual or biannual basis, contingent upon the user providing
information about the system's operating condition and about maintenance
procedures (i.e. septage pumpage records) which have been taken. The
management agency may institute a regular on-site inspection program to
determine condition of the system. If a system is not operating properly a
permit can be refused, and enforcement measures (described in a later
section) may be implemented.
Wa
stewater Personnel Certification Programs
Development of a certification program ensures proper installation,
operation and maintenance of an on-site system by requiring site evalu-
ators, soil testers, system designers, system installers, system in-
spectors and septage pumpers and haulers to be certified. These programs
can effectively regulate the type of individual involved in wastewater
management, thereby ensuring that only qualified personnel perform the
various tasks. Certification requirements can include previous education/
experience and periodic enrollment in training programs to improve skills.
The program should also contain provisions for revoking of certification
should an individual fail to comply with wastewater management regulations.
Yearly Homeowner Revocable Operating License Program
This technique is similar to, and may be used in place of, the
homeowners -Permit-to-Qperate". A homeowner would be responsible for
obtaining a license to operate an on-site system. The homeowner must
produce an approved location and system type before the license is granted.
The homeowner would also have to provide some form of proof that the system
was inspected at least every two years, to ensure compliance with any
applicable standards and regulations. This requirement could be met
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through an inspection by the management agency, or submission of an
inspection report from a certified private contractor. At this time the
license will or will not be renewed. The license can be revoked at any time.
An active recordkeeping system is critical to the effective operation of an
operating license program.
Occupancy Permit
These permits are issued after the final system installation inspection
and are designed to ensure that occupancy of the structure does not exceed
the on-site system's capacity. These permits are required each time the
property changes owners.
Construction/Installation Permit Program
Implementation of a construction permit program will ensure that
proposed system construction or existing system repair is performed
according to specified standards and approved designs. An installation
permit program includes the review and approval of system design and a site
evaluation before granting of the permit. A prerequisite to developing a
construction or installation permit program is the development of guide-
lines or standards by which an installation or construction procedure is
reviewed. The installation or construction practice must conform to these
standards to be considered permittable.
Currently, in Alabama and in South Carolina counties, there is no
standard fee for a septic tank installation permit, although a few counties
in Alabama may charge a minimal fee. In Georgia, permit fees are set by each
district health department. These fees range from $10 to $150, although a
few districts charge nothing. In North Carolina counties, fees range from
$0 to $25. By Kentucky law, local health departments can charge up to $100
for a permit. More may be charged if the local Board of Health applies to
the state, and, in fact, county fees in the state do range from $50 to as
high as $200 or more. This fee covers the initial site evaluation
(sometimes two or more visits) and the final inspection and issuance of the
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certificate of completion. Some Kentucky counties have indicated that
their actual permit program costs can run as high as $400/site, while others
noted a cost as low as $66/site. It is felt that an across-the-board county
fee of $150/site would cover actual program costs. In addition, in Kentucky
there is a $9 state fee per site. This fee covers a number of activities,
including in-field consultations with local inspectors, if necessary. In
Tennessee, each county assesses a $35 permit fee per site, which covers the
initial inspection by the local health department official and any
subsequent visits. In addition, if deemed necessary, a site evaluation will
be performed by a soil scientist for a fee of $40/lot (or a $25 fee for a
subdivision and then $15 for each individual lot).
4.2.5 Operation and Maintenance
Cost-effective and efficient use of a wastewater treatment system
involves implementation of both a routine and an emergency maintenance
program. Routine maintenance is a function not widely performed but if
performed periodically, can ensure satisfactory system performance and
prevent premature system failure. Regular system maintenance prevents on-
site system failure, thereby decreasing sewage exposure, water pollution
and nuisance complaints. In addition to the following methods, the issuance
of a "Permit-to-Operate" as described in the section on permitting may also
be considered an operation and maintenance function because implementation
of a routine maintenance program should be an important step in obtaining an
operating permit or license. Also, attaching the operating permit to the
property deed is a way of ensuring routine maintenance. This technique is
described in the monitoring and compliance section as a method for enforcing
maintenance action ("Deed Attachments"). The following are examples of
operation and maintenance methodologies.
Routine Preventive Maintenance Program
The first step in developing a routine, preventive maintenance program
is to locate and identify all existing on-site systems within a given
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"planning" or "study" area, noting age, last date of maintenance, and
location of the cleanout part of the tank. Also included should be a
homeowner interview to determine if system problems are occur ing, an
inspection of the system for evidence of past and present malfunctions,
checking of septage pumpage records and perhaps sampling of well or surface
water downstream from the site. Next, an inspection of the solids build-up
in the tank should be made to determine whether it is necessary to remove
accumulated solids, scum and liquids. Tank pumping, cleaning diversion
valves, line cleaning and unclogging, "resting" periods, or even system
replacement should be part of the maintenance program. The inspection
portion of the program is recommended initially to be made once every two
years. At a later point, the schedule may be modified to compensate for
other factors which affect system performance such as tank size and number
of people in the household served.
Emergency Maintenance Program
Guidelines for an emergency maintenance program may be limited to those
malfunctions which pose an immediate threat to public health or to ground or
surface water quality, and can consist of having qualified individuals on
call to do an emergency system inspection and perform maintenance pro-
cedures.
Septage Collection and Disposal Program
This technique consists of developing policies and regulations to help
ensure that septage and sludge are properly collected, transported and
disposed of in an environmentally sound and safe manner. The program can
include:
• training, licensing and certifying involved individuals,
• periodic inspection and certification of all vehicles used to
transport residuals,
• limiting the disposal of residuals to approved sites,
• regulating the method of disposal,
• operating and maintaining disposal facilities in accordance
with prescribed performance standards.
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The program can be developed to include customers on either an areawide
or countywide basis.
Flow Reduction Program
A flow reduction or water conservation program can be developed as part
of an overall maintenance program. In the case of on-lot systems it might
first be necessary to install water meters or tracking devices to determine
whether excessive water usage is a problem. As part of the flow reduction
program, low-volume flush toilet tanks, low-flow showerheads, low-flow
faucet aerators and suds-saver washing machines could be installed to
reduce water usage, resulting in reduced hydraulic overload and increased
efficiency of septic tanks and treatment beds. Also, a leak detection
survey and repair program can be implemented as part of the flow reduction
program in areas using either on-site systems or served by a centralized or
small community system.
To implement a successful flow reduction program, changes to building
codes may be needed to require water saving fixtures and devices in new
construction. To implement such a program in existing structures, co-
operation will be needed between the implementing agency and the citizen.
Citizen education is also necessary for successful program operation.
implement Homeowners Warranty (HOW) Program
The HOW program was established in 1974 by the National Association of
Home Builders (NAHB) in an attempt to resolve homeowner complaints about
defective new homes without governmental intervention. HOW offers warranty
and insurance on homes constructed only by HOW members, although many other
similar warranty programs backed by insurance have been developed. The
federal government also provides some warranty protection.
involvement by the HOW Corporation with on-site wastewater systems is
primarily limited to well and septic systems and/or municipal water and
sewer services for single family homes and low rise condominiums. System
performance is warranted as it relates to HOW-approved standards.
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Use of Maintenance Permit Forms
The maintenance permit form is a method used to both remind and require
the homeowner to determine, at given intervals, whether their system needs
to be pumped. Such a requirement may be included as part of the individual
permit, since the period between pumpings will reflect that individual
homeowner's tank and use characteristics. The maintenance permit form
would be mailed to the homeowner every one, two or three years (depending
upon tank and use characteristics) requiring a licensed septage pumper to
inspect the tank and pump it if necessary. The pumper would then sign the
form and return it within a given time period, indicating whether the tank
was pumped. This action would validate the homeowner's permit.
Distribute Reminder Notices in Routine Mailouts
This method involves periodically notifying the homeowner of the need
for normal system maintenance. Individuals can be notified through routine
mailouts, such as tax notices, water bills, etc.
Plot Plan Submission
This technique involves requiring applicants for on-site waste disposal
system permits to submit a plot plan indicating the location of the system
and showing distances to buildings, roads, lot lines and other markers. This
method familiarizes the homeowner with the system and its location, saving
time and expense during inspection and maintenance procedures.
Installation of Service Call Light System
A service call light unit is a monitoring methodology used to alert the
homeowner to the need for maintenance of his on-site system. The service
call light is connected to the unit and activates when the water in the pump
chamber reaches a predetermined level. A plate is installed on the light
unit and contains a service number to call when the light is on. After the
4-18
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service number is called, the customer should be reassured that there is no
cause for immediate alarm and that someone will respond within several
hours. This is another method of ensuring proper and routine system
maintenance.
Develop Wastewater System Inspector/Sanitarian Certification
Program
This technique involves developing and implementing a program to
instruct an individual in pre-installation evaluations (including recog-
nizing adverse soil, geologic and topographic conditions) and post-
installation regular inspection (recognizing the consequences of a mal-
functioning on-site system). The inspector or sanitarian after suc-
cessfully fulfilling program requirements would be issued a certification,
good for a predetermined length of time. The benefits of implementing such
a program include more efficient system inspections and more effective and
timely maintenance.
implement Wastewater Treatment Plant Circuit Rider Operator
This technique involves appointing one trained person responsible for
overseeing the operation and maintenance of some or all municipal or small
community systems in a given area. This person may be assisted, when
necessary, by employees of system owners. Other responsibilities of the
circuit rider operator could include stockpiling and distributing parts and
supplies, taking samples and overseeing their delivery to a lab for analysis
and acting as an ombudsman.
Establish Detailed Maintenance Management Program
This technique is applicable to a small community or centralized
wastewater treatment system. It involves implementing a systematic and
comprehensive maintenance program to keep the facility operating ef-
ficiently without interruptions, and to preserve the substantial capital
investment in equipment, structure and control systems. The program should
4-19
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include three elements: asset management, inventory and control, and
records and monitoring.
Asset management refers to establishment and maintenance of records for
each piece of equipment. This record system should include:
• equipment description
• manufacturers equipment (name plate) data
• spare parts and material required to maintain the equipment
• inspection and lubrication records
• preventive maintenance records
• repair records.
The following financial data should also be included as part of asset
management:
• date of acquisition
• costs
• maintenance and repair cost
• labor hours
• useful life.
These equipment records should be kept up-to-date routinely, requiring
total commitment of staff (chief mechanic or record clerk) to record
maintenance data as the tasks are completed, and periodic reviews by the
utility manager to ensure that records are kept up-to-date.
The second part of a maintenance management program is the development
of a spare parts inventory and control system. This system is essential to
the effective management of a facility through:
• assuring the availability of necessary spare parts and materials
for both preventive and corrective maintenance
• maintaining optimum quantity levels
• monitoring quality
• minimizing the cost of carrying excess parts.
4-20
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in order to maintain an efficient inventory system, all items need to be
identified, classified and a control system should be developed. The
classification system can be based on such things as cost, usage, delxvery
time, shelf life, and impact on plant operations. Quantities and reorder
policies need to be established, particularly to ensure an adequate supply
of the most critical spare parts.
The inventory control system should include:
. item identification
• units of measure
• purchasing lead time
• stock requirements
• reorder points
• quantities on hand
• cost.
The final element in the maintenance management system is the estab-
lishment of a process for reporting and monitoring the maintenance program-
-the "work order" system. This is a structured procedure which is used to
initiate all preventive and corrective maintenance activities (above
certain time requirements) and to ensure that all tasks are completed in a
timely manner.
implement a Comprehensive Energy Management Program
The implementation of a comprehensive energy management program is
essential to efficient management of a centralized or small community
wastewater treatment plant. The aim of such a program is to plan, monitor
and control energy usage and cost without sacrificing facility operations.
in order to develop such a program, the utility manager must sufficiently
understand energy usage in his operation, must have developed adequate
baseline data (such as for energy consumption, cost, operating procedures
4-21
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and design conditions), and have reviewed operating and maintenance
procedures to determine the impact on energy management alternatives. The
utility manager should also become familiar with the billing system used to
assess energy user charges.
4.2.6 Monitoring and Compliance
The purpose for implementation of monitoring procedures is to observe
overall system performance through periodic water quality monitoring or
through routine inspection. Regular monitoring will also help to detect
system failures as early as possible thereby preventing potentially serious
impacts. Compliance procedures are necessary to ensure that a system is
conforming to predetermined standards for safe and efficient system
operation. These procedures basically consist of enforcement mechanisms.
Examples of monitoring and compliance methodologies are described here.
Perform Periodic Monitoring of Well, Spring and Other Waters
This is a preventive maintenance technique involving periodic sampling
of well or spring water to determine if contamination from on-site systems
is occuring, generally conducted to comply with permit requirements.
Parameters to sample for could include fecal coliform, fecal strep, pH,
total suspended solids, total dissolved solids, hardness, turbidity or
color, temperature, taste or odor, and toxic substances. The parameters
sampled depend upon the particular case.
Perform Periodic System Inspections
The performance of routine inspections can be part of a regular
biannual maintenance program as described in the previous section or it can
be conducted at shorter intervals. An inspection program can consist of
checking a system for evidence of past and present malfunctions, checking of
septage pumpage records, and inspecting the solids buildup in the tank. At
this point system maintenance can be initiated, if necessary. A checking of
4-22
-------
c» also be part of the inspection progra,.
notice
statin, that a violation
viol,tion
injunction or similar penalties.
system.
8oncompliance .itb =
P ^ution, co,t is.a.e o£ an
» ^ ^ 1§ Just one o£ the
.Eailing" system into
The use of injunctions is another
of a court order to an individual to
or
^
than just a fine or a citation.
Citation_ReEor_ts
These techniques involve ^J^^T^. °V-a
information regarding trie
. , , j __„ ^f <-v>e svstem on
attachment refers to a list o:
4-23
-------
question being attached
system during that
performMoe
"adequate installation.
SYStem wil1
due to
Personnel
pumpcr5
«.p=n.lbllity to per£ot, servlces ' ™. ««pt the
f thelt profession ; ^ «quired regulatlons and stanaard
Bonding protects the " ;° d° S° -' '-"» in £orteiture o£
incurring costs ot repairi "*" and »»^9e»ent agenoy from
— b the erSo L;:;;:;: have
to
Again, if a homeowner refuses to h
several notices, an option is to contract'ltl
^i9n ana install a replacement system
contractor could either be bllled J J'h f°r the ^ineer and
against the property. homeowner or piaced as a
4-24
-------
-=••:.=:
r: r,r:. .......
threatening problems remain unabated.
Hunic
ipal -a.te.ater treatment plants
are
to -
402 „, tne Clean «ater Act o
in turn, can cause a violation of »» oontrolling
to tne proper funot.on.n, o£ tne .ac.Uties One me ^
system icaarn, is to retire th. «» p.«tt« to - P
ne. .tenons. oonneetlonS ana .ooK-ups o ^l" ^ Ment
plant over tne aurat.on or the per»t. *» ^ 2oni map=, and/or
.ith current land use plans, open space plans, off
capltal improvement bua,ets o£ rnvolve enc ^
4.2.1 Training and Public Education
The ob.ect.ve of the trainin, ,nd pubUc eaucation funcUon of
ent is to inform and educate sanitarians, plant oper
Baste»ater management is t ^ ^^ ^^ on
4-25
-------
a routine
and/or educational program. ** "** "° aCC°mpllsh an
£2ndH£t_Publicjteetiri
*~•—-^±ii!iSH^' workshons =^j/_.. _
for
ana
incluae homeomer
need
— . •— ..,=
„.,„,.„.
This technique is basioall
aesorlbed, except that it i
their
and site evaluators.
This technique can als
progrMS for
.
r:~:,r
"
students-
i£ns_and/orOther
^an.tarxan to system
4-26
-------
coverage, etc, as discussed in this section.
naintenanc. -tip.' to o~.it.
-"""• «» J This
Thls
.nstane. to p.ov.de to tb. «eo»net
This
ao.
plan of his property
effective
and efficient system maintenance.
water-table depth and
4-27
-------
The following section of the
institutional ,anagment
—sent generalized
"itutional Mnagemen
-notions is _„„»
"..nagement is provided under
«»• »UH certaln
function to be performed under any of
ons for Y
functions
they have been discussed
, it should be
»ni=h . particular co^unity implements
community needs and c.p.bilities.
of
b
«-
of public ln_
«teMi»e public
""
""y
There are
""
°"
4.3.1 convention,! Ho»eo»ner-Centered Mana,ement
party
-ency .often oounty
-Pliance with he.lth reguLtns
tank-soil absorption sy,t«.
Cement syste is
«*
a;;r9rnt
Conventional septio
4-28
-------
----- "
homeowner and private contractor are respo functions, while others
public agency of some sort is responsible for
are not carried out at all.
problem has already become apparent.
after a
aevelop aaequate designs for diHlcult ter.a.n,
or requirement to employ a aesign engineer.
by private septic installation con-
~ ,„. -
there
r:«r::r ™ „,—=:; - -~» r:
r™""'.,r:.;=: ,:„,,.».- - —««••
on-site systems.
Monitoring and compliance are the re
However, under the conventional management apprc
not carried out. Few health departments have the
4-29
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TABLE 4-1
RESPONSIBILITIES CARRIED OUT UNDER ALTERNATIVE MANAGEMENT SYSTEMS
System
Conventional
Management
System
Problem
Identification
0
Planning/
Design
o/y
Construction/
Installation
Y/Y
Operation/
Permitting Maintenance
Z (if any) X/X
Monitoring/ Public
Compliance Education
0/Z (if any) 0
Conventional
With Monitoring
O/Y
Y/Y
Z (if any) X/X
Z/Z
I
Ul
o
Private Owner-
ship/Required
O&M and Monitoring
O/Y
Y/Y
Z (if any) X/X
Z/Z
Private Ownership/
Public O&M
O/Y
Y/Y
Z/Z
Z/Z
Public Sector-
Oriented
Management
Z/Z
Z/Z
Z/Z
Z/Z
0 - No party specifically responsible
X - Homeowner or private entity
Y - Private contractor
Z - Public agency
-------
carry out regular, scheduled system monitoring. Their activities are
general* confined to enforced of health department reguiat.ons when a
violation is reported.
Public education is another necessary function which is often given
minim,! attention under the convention,! management approach. Some health
departments provide pamphlets on system installation and maintenance but
that is often the extent of the education effort. There are examples where
greater information such as design manuals have been made available and,
clearly, this is a more successful approach. Generally, public educate is
not an activity required by law or local regulation, but is , function wh.ch
,„ agency/entity may elect to carry out separately or as part of an overall
program.
Resource Requirements
Resource requirements for this type of management system are minimal.
in highly rural areas the public agency's responsibilities are often
carried out with a small district staff covering a number of counties.
Larger counties have individual staffs. Total personnel requirements wxll
vary with the size of the community, but typically will range from as few as
two up to five or more. Among the capabilities included are (generally) a
department director (sometimes an appointed, non-paying position), one or
two registered sanitarians, one or two inspectors, and perhaps clerical and
administrative support. Facility and equipment requirements are also
minimal and can include a few soil augers and soil survey information.
Construction equipment used for installation would usually be owned by a
private contractor.
Examples and Contacts
This system is in
States.
place in most non-urban communities in the United
4-31
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4.3.2 Conventional System With Monitoring
Description
This system is basically a modification of the conventional management
approach. The wastewater facilities are still for the most part privately
owned and operated under this alternative but a public agency assumes
responsibility for scheduled monitoring as well as permitting and
compliance. This type of management system would also be most applicable in
low-to-moderately developed areas where septic systems are primarily used
for wastewater treatment and disposal; however, it would also be readily
applicable to cluster systems owned and operated by a homeowners
association or other private organizations. Figure 4-2 summarizes the
various information on this management system.
Responsibility Centers
Overall responsibility for management functions under this system are
more evenly split between the homeowner, private contractor and public
agency than with the conventional system. The health department is still
the public agency most likely to have responsibility for public management
functions under this system. In some communities, however, (see Section
4.4) another form of public agency such as a special district or authority
may be necessary in order to have adequate powers to carry out monitoring.
Problem identification is not often a strong function under this
management system. It is unlikely that any formal program for water quality
sampling, aerial survey or other problem identification activity would be
carried out by a public agency as part of this alternative. However, some
problems and potential problems would be identified by the public agency
through the system monitoring process.
Responsibility for planning is still not necessarily assumed by any
party under this system. System design is, again, carried out mostly by
private contractors with the same limitations as noted in 4.3.1. However,
4-32
-------
if the responsive public agency has the necessary authority and staff
capabilities, it could choose to provide design assistance.
Operation and Maintenance are performed by a private homeowner or
associ tion. This activity would vary little fro. the procedure as carr.e
o under the conventional management system. But, .1th »">™"<*
information fro. the monitoring program, it would often be possrble to oarry
out necessary maintenance before a system failure occurs.
Monitoring and compliance are the maior responsibility of a public
agency under this system. By performing scheduled monitoring of system
Rations, the public agency would be ab!e to greatly crease he
performance of wastewater system. Although the public agency is
L for the monitoring activity it is not necessary that the agency
itself carry it out. There are , number of aiternatives to mon.torrn,
directly by the public agency.
One alternative is to have the homeowner monitor the system himself and
then provide the management agency with some certifiable results. Another
approach would be for the agency to delegate the monitors respons.bUrty
to a private contractor who would report bac* with the results.
under either of these options, it is most lively that the public
management agency would retain responsibility for any compliance actions
resulting from the monitoring. As under the conventional manageme
system, it is probable that enforcement actions would be confined to
responses available under existing health regulations.
Public education activities would also be the responsibility of the
public agency. There wou!d be nothing limiting the scope of this act^ty
under this system, though public agencies typically responsible for
wastewater management do not often carry out extensive publrc educate
programs, as discussed in Section 4.3.1. since a public educate program
4-3 3
-------
pubii<
-rvey i
Examples
aiternative-
In
-.».. ... ..
„ „„„ ,„ ,,
information on this ptograB is!
"""
Mr. Mike Bradley
Heaith
4-34
-------
4.3.3 Private Ownership with Required Operation, Maintenance and
Monitoring
Description
•„ is basically a modification of the conventional
a and operated by a homeowners association or other private organ-
~-=-=^--
on Figure 4-3.
under this system, the responsibility for management functions are
amlng the homeowners, public agency and private contractor
homeowner complaints and the system monitoring process.
is not a function necessarily performed by any party
design assistance couid be provided by the public management agency.
4-35
-------
as r maintenance ar «
'
^ncu. ao no
und- this —
4-36
-------
are similar to those for the conventional
activicie ^nvllie. To perform these functions a
manage homeowner maintenance activities. To p „.,„,,.,.. one
public agency department director is necessary to oversee activities, one
two registered sanitarians .depending on the si,e of the planning area
one or two inspectors, and clerical and administrative support. Clerical
port needed may be greater than under the conventional
simply due to additional paperwork resulting from homeowner -proof of
maintenance- submittals and/or contractor certifications. Equipment re-
q ements include eesentials necessary for water Duality monitoring soil
augers and soil surveys, construction equipment used for system i -
Illation and any la. facilities necessary for water quality testing would
probably be owned by a private contractor.
Examples
There are no known examples of this management system currently in
t
bul must submit to , health department inspection every two years. II ^ the
system needs repair or pumping the homeowner is responsible and must submit
proof of maintenance to the health department.
mother similar system 1. in place in Stinson Beach, California. The
Stinson Beach County Water District manages both new and old on-s.te a d
alternative systems. The District is responsible for inspection, mon -
toring and enforcement. The Stinson Beach County water District, water
Quality supervisor is the contact for information on this system.
4-37
-------
4.3.4 Private Ownership with Public Operation and Maintenance
Description
This uanagement system takes even ^ of the .
private lnaiviaual or aviation ana gives lt to the public J
in thl. system, the ho»eo»ner ouns his systM and the pubuc '
operatlon,
.tth pre_set standards. Becau5e Qf
type em s genetaiiy ^^^^
n areas of moaerate.to.hi9h use o£ lndivldual ^^ ^^ ^
s- Fi9ure 4
Responsibility Center
K, - Ues
pubuc agenoy. The private hc»eo»ner simply oms the system »hil.
tesponsibie
typlcally not the responsibul
. Problem areas are genetally ^
.n on-golng b,sls, but the publlo ^^.^ agency .s r
.onltotlng the systen fot problems
niques when a problem is identified.
Planning Is ,lso not ^
Design can „ perfotmea by
fro. th. implementing pubUc agency when
necessary.
operation ana maintenance are the responsibility of the public agency
Because th. public agency ...ploys inaiviauals ,u,ll£iea in effect^
4-38
-------
operation and maintenance of an on-site system and because *. agency
operates on a pre-set, routine schedule, system problems are xdentxfied
before system failure occurs. The public agency does not necessary have
to perform maintenance activities. Maintenance work may be contracted to
private parties (particularly septage pumping and hauling).
Monitoring and compliance are also the responsibility of the public
management agency. The public agency generally establishes a routine
.onitoring schedule which can include regular inspections and/or water
quality monitoring. Routine monitoring by trained personnel is also an
effective failure - preventing method. System monitoring is designed to
ensure that the system is complying with set standards. The public agency
is responsible for compliance measures which can range from violation
orders to condemnation proceedings (see Section 4.2.6).
Education of local citizens is also primarily the function of the public
agency although, as previously noted, it is not a requirement. Since the
property owner is responsible for paying the public agency for its serves
(0&M, Monitoring) then the private homeowner should be aware of the type and
extent of services being provided and also how to detect a potential system
problem between monitoring activities. Public education is a technique
which is generally given very little attention under almost any system.
However, the greater the involvement of the public agency, the greater the
probability they will provide for education of the public.
Resource Requirements
Resources required for this management system are similar to those for
the systems discussed previously. However, due to the increased par-
ticipation of the public agency in management of the system, more personnel
would be required at that level. Again, the staff must be of sufficient size
to manage individual, cluster and small community systems. Also, the agency
must be able to efficiently and expertly undertake the operation, main-
4-3 9
-------
tenance and monitoring activities associated with the facilities A M -
agency department director is necessarv t „ facilltle^ A publxc
-notions by overseeing management s ^^ ™ »~
Perform, opetat ' "•*" ^
Examples
There are no known existing systems of f-hic *-
of a system .i.llK to thls '" "" '" "" ""*
4-3.5 Public Sector-Oriented Management
Description
4- 40
-------
This management system is applicable in. areas which are
Highly developed with individual on-site systems, cluster systems,
community systems and conventional collection and treatment systems.
4-5 is a summarization of this management system.
The responsibility for Cement functions under this system Ues
»holly with the public agency. Problem identification should be a
elatlely strong function under this system Problems w.t pres
systems and potential problems with future systems are inves ..gated by h
public agency, once the agency has identified problems and thus denned the
of the particular individual or co-unity, the agency then becomes
esponsible for planning the approach to meeting those needs. The pubUc
Tagement agency may plan the facilities or may contract that respon-
sibility to a professional engineering firm.
The public agency is also responsible for facilities design This
again is a function which the agency may opt to contract out completely
consulting engineers or system installers.
operation ana maintenance are also the responsibility of the public
" ln effects
Since the public agency employs individuals
e atlon and maintenance of on-site systems and because the agency
operates on a pre-set, routine schedule, system problems are made apparen
b fore failures can occur and before extensive (and expensive, repa.r wor*
i. nec.ssitatea. under this system, the public agency does not necessar, y
have to perform operations ,nd maintenance activities for on-s.te systems.
Maintenance activities may be contracted out (particularly for septage
Tumping and hauling, or may be delegated to the homeowner with adegu.te
supervision.
Monitoring and compliance activities are also performed by the publ.c
agency. The public agency develops a routine monitoring schedule wh.ch can
illude regular inspections and/or water Duality monitoring. Hout.ne
4-41
-------
system monitoring is another effective
i t
"quired, the public e
s «^:r ;: n;;y:::r;ubr
ho.omer should '
the hOTeomer
between .onitcring «ti,ltl«.
responsibie
are not
at
• department director
• inspectors (soil inspeotot.
• sanitarians
• plant operators
• senior engineer
• junior engineer
• environmental planners.
—ctlon
samples; however, where
Examples
for water
in
or
systems. However, this type of
management
4-42
-------
system is typical of any publicly-owned centralized small community or
conventional collection and treatment system in the study area.
One specific example in the study area is the city of Hinesville,
Georgia. A treatment plant is being constructed jointly by the city and the
Army. Following operation, the city will assume operation for the Army's
portion of the plant. A contact is Mr. Billy Edwards, Hinesville City
Administrator, (912)876-3564.
Outside the study area, Florida General Development Utilities (GDU),
inc. is a publicly-regulated private utility which owns, operates and
maintains septic tank-effluent pump systems at two developments. GDU's
Sanitary Engineer in Miami is a contact.
4- 43
-------
4'4 Evaluati°" of Alternative Management syg<-omo
The process which a community uses to select a suitable institutional
management system involves decision-making on a wide variety of issues
Figure 4-6 presents a diagram of one possible approach to selection of a
management system which includes three main steps, a number of con-
siderations within each step and decision-making inputs concerning tech-
nical and financial alternatives. The three major steps are:
• development of a community profile and definition of needs
• identification of management objectives
• selection of most appropriate management system.
A discussion of each of these steps follows. The objectives of this section
are to demonstrate the use of this selection methodology, to identify
community needs and objectives, what the limiting features of each system
are, and which system may be most suitable for a given community.
4.4.1 Development of Community Profile and Definition of Needs
The development of a community profile is the first step in the
selection process. The objective of this step is to obtain and review
sufficient material to clearly define current and projected needs and
describe those community characteristics which may limit the range of
feasible management alternatives.
The initial data collection and analysis effort should focus on natural
and man-made features of the community which affect existing and future
wastewater facility needs. The four major categories of information are:
• natural and physical features (e.g. depth to water
table, depth to bedrock, lot size)
• existing wastewater disposal techniques
• growth and development patterns
• problem areas where existing systems are presently
not functioning properly.
4-44
-------
GENERALIZED SELECTION PROCESS
FOR INSTITUTIONAL MANAGEMENT SYSTEM
DEVELOP COMMUNITY
PROFILE AND DEFINE NEEDS
. NATURAL AND PHYSICAL FEATURES
. EXISTING WASTEWATER DISPOSAL TECHNIQUES
. GROWTH AND DEVELOPMENT PATTERNS
. PROBLEM AREAS
. AVAILABLE EXPERTISE
. AVAILABLE REGULATORY AUTHORITY
. COMMUNITY ATTITUDES
SELECT TECHNICAL
APPROACH
ASSESS MANAGEMENT
FUNCTIONS
WHICH FUNCTIONS WILL BE
PERFORMED
ASSIGN RESPONSIBILITY FOR
FUNCTION PERFORMANCE
EVALUATE FINANCING
OPTIONS
•LIMITING FACTORS FOR EACH SYSTEM
-REGULATORY REQUIREMENTS
-REQUIRED EXPERTISE
-PUBLIC ATTITUDES
- APPLICABILITY OF VARIOUS
TECHNICAL APPROACHS
MANAGEMENT SYSTEM MOST APPROPIATE
NEEDS AND CHARACTERISTICS
FIGURE 4-6
-------
Data whlch can be collected fro, secondary sources will, in general, be less
expensive than new data collection. Possible sources range from USGS to
state and local agencies and local septic tank installers and w,ll
drillers. Techniques for problem identification were discussed in Section
4.2. These ranged from water quality sampling to aerial surveying. Current
problem areas are identified based on the results of sampling and surveys
and consideration of the physical constraints and potential for improved
functioning through proper operation and maintenance, where systems are
inadequate, the reasons should be recorded.
Future needs are assessed based on a consideration of factors which may
constrain future system implementation including:
• Physical features such as large steep slopes, shallow depth to
bedrock or water table
• high quality streams
• lack of permittable surface disposal options
. lack of residuals disposal options.
These factors are considered in light of future growth and development
trends. Developable areas which could become future problems due to these
or other constraints are identified. Based on this information a summary of
Physical limiting factors and current and future needs can be made.
The second data collection and review effort should focus on collection
of information pertaining to institutional arrangements, regulatory re-
quirements, and community attitudes. The ability to implement a management
agency which will then be able to perform the required management functions
will in large part depend upon these local attitudes, and the extent of
expertise and regulatory authority which is available.
Local expertise may be found within existing wastewater management
agencies, other public agencies, or private organizations or contractors
Capabilities available from each of these locations should be inventoried
to determine the basic level of expertise, both public and private, in the
community. The types of capabilities which may be necessary and which
4- 45
-------
should be sought would include:
• administrator
• design engineers
• soil scientist
. inspectors
. operators
. laborers
• plumber
• permit administrator
• water resources scientist
• environmental planner
. laboratory technician
. clerical/administrative assistant
• attorney
• public information specialist.
The types of skilled personnel available to the community can directly
influence the choice of management functions carried out and the selection
of an overall institutional management system. The more functions and
greater the level of management proposed, the greater the level and number
of skills required. Where the management agency will only be responsible
for permitting and compliance, only administrative skills may be required.
However, if it is being considered that the agency should assume re-
sponsibility for other functions such as planning, system ownership,
operation and maintenance, then additional expertise would clearly be
required. When decisions are made regarding management functions, con-
sideration must be given to the inventory of available expertise, since any
function which cannot be performed by personnel available in the community
must be performed by new personnel hired when the management agency is
formed or be contracted to private individuals or companies.
Available local regulatory authority is likely to be as great a
limitation in design and selection of a management system as any other
factor. The functions which the management agency can assume are in large
part determined by the statutory and regulatory authorities and limitations
4- 46
-------
under which it will operate. It is always possible fco introduce ^
legislation or propose regulatory changes which will permit a management
agency to perform functions which would otherwise be limited; however it is
recommended that management systems be designed which can perform necessary
functions for the most part under existing law and regulations.
There are certain minimal types of authority which any management
agency will need to be able to exercise in order to be successful. These
Powers have been identified previously by others (Otis, 1978) and as
presented below have been further modified:
• to own, purchase, lease and rent both real and personal property,
• to meet the eligibility requirements for loans and grants for
construction of wastewater (particularly decentralized) systems
from both federal and state governments,
• to enter into contracts, undertake debt obligations either by
borrowing and/or by issuing stock shares or bonds, and to sue
and be sued,
• to fix and collect charges for sewerage usage, including taxes
for payment of construction of decentralized systems and user
charges,
• to operate and maintain installed units,
• to plan and control how and at what time wastewater facilities
will be extended to property within the jurisdiction,
• to regulate the planning, design, construction and operation, and
maintenance of decentralized systems, and
• to have right of entry onto private property to inspect for adequate
performance or operate and maintain wastewater facilities.
There is a wide range of different entities in each state which may be
granted these authorities, including specifically:
4-47
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city
county
interlocal agreement
joint management agency
county service district
county water & sewer
district
. sanitary district
. water & sewer authority
. metropolitan water
district
. metropolitan sewerage
district
. private corporation
. combination of above.
in general, however, each of these entities is some variation of either a
new or existing municipal agency, public authority, special district, :oint
management agency or private corporation. The characteristics of these
different entities are described below.
1 Kvigtina Public Agency - This would include municipal health
departments, planning or public works department or other advisory/
regulatory agencies. Generally, county agencies would have the
same authorities to undertake wastewater management functions as
those in incorporated areas (see Tables 4-2 through 4-7).
2. New Public Agency - This would be a new county or municipal agency
established specifically for the purpose of managing wastewater
needs. It would be provided with all necessary authorities to
implement required management functions within the limits of state
and local law and regulation.
3. special District (or Service District) - An independent unit of
government with limited powers to provide services (e.g., water
supply and/or sewerage services) to an area within a municipality
or county. In terms of wastewater services, a special district's
powers are generally parallel to those of a municipality or county
(The extent of these powers is usually precisely defined by state
enabling legislation). Generally, a special district may issue
general obligation and revenue bonds, establish rates and charges
for services, and levy property taxes. Special districts are
4- 48
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Power
i
Receive grants/
loans
TABLE 4-2
REGULATORY AUTHORITIES OF STATE ORGANIZATIONS
NORTH CAROLINA
County
Water &
Sewer
Interlocal Management Service
Surveys of Sanitary
problems/needs
Issue general
obligation bonds
Issue revenue bonds
Impose Assessments
Levy taxes
—
Set fees, rates or
Hold title to all real
property of the system
Enter into contracts
Install/operate/
maintain systems on
private property
Bater Resoutoes
-------
Ul
o
TABLE 4-3
REGULATORY AUTHORITIES OF STATE ORGANIZATIONS
KENTUCKY County
joint County Water &
Power
only pubUc boay c,n issue ^..U
* v
bonds, issue revenue bonds
"" "l11
Source: Kentucky Natural Resources and Environmental Protection Cabinet.
Private
Corporation^
Surveys of Sanitary
problems/needs
Issue general
obligation bonds
Issue revenue bonds
_ . •
Impose Assessments
••
Levy taxes
Set fees, rates or
charges
Receive grants/
loans
Hold title to all real
property of the system
Operate System
___ ——
Enter into contracts
Install/operate/
maintain systems on
private property
-------
Power
TABLE 4-4
REGULATORY AUTHORITIES OF STATE ORGANIZATIONS
GEORGIA
County
Joint County water &
Inter local Management Service Sewer
""
i
U1
Operate System
Enter into contracts
Install/operate/
maintain systems on
private property
management services through contractural arrangements.
or loans.
Private
Corporation]
Surveys of Sanitary
problems/needs
Issue general
obligation bonds
Issue revenue bonds
Impose Assessments
"—
Levy taxes
Set fees, rates or
charges
Receive grants/
loans
Hold title to all real
property of the system
, Georgu Depart.ent 0£
-------
TABLE 4-5
REGULATORY AUTHORITIES OF STATE ORGANIZATIONS
SOUTH CAROLINA
Joint County Water &
interlocal Management Service Sewer Sanitary
ro.-ntv < Agreement Agency . District District m.trict , Authority
Install/operate/
maintain systems on
private property
1 Private utilities may provide
of public bodies (including
, although they
powers).
"*
"" ""
Source: South Carolina Department of Health and Environmental Control.
Private
Surveys of Sanitary
problems/needs
Issue general
obligation bonds
Issue revenue bonds
—.
Impose Assessments
Levy taxes
1 Set fees, rates or
charges
Receive grants/
loans
Hold title to all real
property of the system
Operate System
Enter into contracts
-------
Power
TABLE 4-6
REGULATORY AUTHORITIES OF STATE ORGANIZATIONS
TENNESSEE
County
Joint County Water
Interlocal Management
'
•f Set fees, rates or
01
CO
Private
ration
Surveys of Sanitary
problems/needs
Issue general
obligation bonds
Issue revenue bonds
—
Impose Assessments
' • —
Levy taxes
Receive grants/
loans
Hold title to all real
property of the system
Operate System
Enter into contracts
Install/operate/
maintain systems on
private property 1
Powers are not covered in laws.
Source: Tennessee Department of Health and Environment.
-------
I
(Jl
TABLE 4-7
REGULATORY AUTHORITIES OF STATE ORGANIZATIONS
ALABAMA
City County
joint County
Interlocal Management Service
areement Aaency District
Surveys of Sanitary
problems/needs
Issue general
obligation bonds
Issue revenue bonds
Impose Assessments
Levy taxes
Set fees, rates or
charges
Receive grants/
loans
Hold title to all real
property of the system
Operate System
Enter into contracts
Install/operate/
maintain systems on
private property
_ — —
X
X
X
X
X
X
X
1
— —
— _ ,
••'
zn
X
—
X
— -,
X
_ ••
L_
X
j-
X
...1
-—
1
J 1
County
Water &
Sewer "
District
=
X
Sanitary
District
X
__ ••
Sewer
Authority (
X
.
Private
Corporation
X
1
Note: Sewer authorities in resort areas have the same regulatory powers as cities/counties.
Source: Alabama Department of Environmental Management, 1984.
-------
usually created to perform, specific functions with costs i
bein, Paid only by those reslding ^ ^ ^^
districts can appear .. sanitary districts, 3,nllation dlstricts
ana
4. or . one variation of a sPecial district ^ ,. ,
Of .overrent ,or a special purpose typ. of government)
aut orlzea to per£orB specie functions ,e.g., provlde Mt.
and/or se»er,g. services, . lts jurisdiction,! covera9e is flex-
*», U can be comprised of a municipality, group of muni-
ipalit.es, county, or 9roup of counties. „. revenues are lifted
to th derived
Pe ra or state grants for tnese purposes. It cannot issue 9eneral
ob!19atlon ponds or levy property taxes like a municipality or
speclal district. A9ain, state enabHn, Ie9islation defines the
powers of an authority (Beston, 1979).
iaa^ffijs^ntjjena - cities and counties and other political
subdrvisions and ,gencies of local c.overnn.ent are authorized by
interlocal a,ree,ent to create a joint n,an,ge«ent ,9enoy to
administer any underpin, each is authorized to carry out alone
The ]01nt man,9ement agency i, thus a special for™ of interlocal
contract. Typically, in a sin,ple interlocal contract, on. unit
.d-unisters the undert,king for all participating units, where ,
3oint management agency is used, a separate agency is created to
administer the undertaking.
Units that create a joint agency n,ay confer on it any power,
duty, right, or function needed to carry out the undertaking,
except that titie to all real property needed fc, the activity must
be held by the participating units individually or jointly as
tenants in common. Tne advanfcage Qf ^ .^ ^^ ^^ ^
that it provides a single administrative structure that is in-
4-55
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dependent from the administrations of the participating units. It
may be especially useful where several units are cooperating and
agreement for administration by one of them by contract would be
difficult to reach.
The major limitation of the joint management agency is that it
is not a unit government. It has no independent taxing capacity,
although it may be empowered to issue revenue bonds and it could be
authorized to establish rates, fees, and charges for water and
sewerage services, for example, and to enter into contracts for
construction and for the purchase of apparatus, supplies, ma-
terials, and equipment as necessary to operate water and sewerage
systems.
Hiot-nricallv. the private homeowner has as-
6 Private homeowner - Historicaxxy, cue F
most functions for individual, on-site wastewater manage-
ment. Thaslhe authority under state and local laws to undertake
most of the necessary functions. However, the homeowner cannot
assume responsibility for cluster or centralized systems. Home-
owners also have not, in the past, adequately performed operation
and maintenance functions without significant public overview.
7 p^ivaIe__Jfor_Profit1 - A sole proprietorship or incorporated
such as a septage hauler, plumbing contractor, or private
utility formed to provide sewerage services. Private utilities are
usually regulated by the state public service or public utility
commission (Weston, 1979).
8 Piivate_iNpnpiofitI - A property owners' association or a privately
owned cooperative can finance and manage sewer services for a
specific area. Depending on state legislation, these entities may
also be regulated by a public service or public utility commission
(Weston, 1979) .
4-56
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Tables 4-2 through 4-7 summarize infonnation on the availability of
necessary authorities to each of the specific types of entities listed
above. This inflation is for the states in general and does not address
specific authorities of individual cities and towns.
information on availability of these authorities in North Carolina is
Presented on Table 4-2. North Carolina statutes allow for the formulation
of all of the above organizations to provide wastewater services Of
course, each organization is not necessarily authorized to exercise all
functions associated with wastewater management; however, in North Carolina
the majority of entities can perform all functions (see Table 4-2) The
statutory powers delegated to each type of management agency/organization
are presented in Table 4-2 and briefly described here, in addition, North
Carolina Statutes allow for the formation of Metropolitan Water Districts
(MWD) and Metropolitan Sewer Districts (MSD). These agencies are discussed
here, but not presented in the table.
The first three agency types listed, a city, county and an interlocal
agreement, are basically authorized through state regulations to undertake
all of the powers or functions listed in Table 4-2. The major limitation of
the 301nt management agency wastewater management organization in North
Carolina is that, because it is not a unit of government, a joint agency has
no independent taxing capacity.
A county service district can perform all functions listed in Table 4-
since it is not a separate unit of government. The service district is
designed to provide services on a less than county-wide basis with full or
partial support from property taxes.
A county water and sewer district is a county service district (see
above) that is a separate unit of government. Generally, territory within
a city or town is not included within a water and sewer district unless the
governing body of that city or town agrees. A county sewer district has the
4- 57
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same financing powers as a county. The .aior limitations with the county
se»er district are that each district »t be created within a single county
and no procedure has been developed to extend a district's boundaries after
it is created.
Another entity, the sanitary district, is an independent unit with
lifted powers. These are relatively prevalent in North Carolina.
Basically, the sanitary district has the same powers as a city or county
with a few exceptions. Namely, the sanitary district cannot levy special
assessments to extend sewer lines, require installation of sewer lines xn
new subdivisions or adopt subdivision regulations. Sanitary districts may
overlap cities.
A water and sewer authority in North Carolina is a unit of government
which may provide only sewer and water services. The chief limitations of
this organizational approach are that it cannot levy property taxes or assue
general obligation bonds. It also does not receive federal revenue-sharing
funds, community development grants, local option sales taxes or other
state taxes shared with cities and counties. One of the major advantages of
this approach is that it can bring together many governmental units when a
multi-unit interlocal contract is not possible politically.
The Metropolitan Water District (MWD) is an independent unit of
government with financing limitations similar to those of the sanitary
district discussed previously. The MWD may only be formed within the
boundaries of a single county and none of its revenues may be used for debt
service on water and sewerage facilities.
The Metropolitan Sewerage District (MSD) is authorized only to provide
sewerage services. Buncombe County in the study area currently has an
operating MSD.
A private water and sewerage company is still another option for
providing sewerage services in North Carolina. Although many exist in the
4-58
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state-76 of the states' 100 counties have them (1977 data from the N.c
Utilities Commission; Water Resources Research Institute of the University
of North Carolina,-fewer customers are served per system than the
publicly-owned ones. As of 1978, 349 companies were subject to regulation
by the N.c. utilities Commission. These companies operated 55 sewer
systems, serving an estimated 13,000 sewer customers. (Water Resources
Research Institute of the University of North Carolina).
A combination of any of the above organizational arrangements may be
implemented in the state. Existing state legislation is flexible enough to
permit a combination arrangement to be developed for any area specially
suited to its needs.
information for Kentucky is presented in Table 4-3. According to
Kentucky statutes, cities, counties, special districts and private persons
are all authorized to engage in the treatment and discharge of wastewater
Counties and special districts may engage in the management of wastewater
w.thin their political boundaries, as may designated classes of cities
Only a public body may issue general obligation bonds, issue revenue bonds
and levy taxes in the state.
in Georgia (see Table 4-4), any of the organizations presented at the
beginning of this section may
activities which they may undertake, however, are limited. Only a city or
county can issue general obligation bonds or levy taxes. Only public
entities may receive grants or loans. Private groups can undertake other
wastewater activities only through contractural arrangements.
in South Carolina (Table 4-5), again wastewater services may be
provided by counties, cities, special purpose districts and private
utilities. All of these entities, with the exception of private utilities,
may carry out wastewater management activities.
4- 59
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The state of Tennessee also allows for the formation of all of the
entities/agencies listed earlier in this section. Regulatory authorities of
the various organizations are given in Table 4-6. Basically, the agencies
listed in the table have all of the authorities listed with just a few
exceptions. The authority to install, operate or maintain systems on
private authority is not covered in Tennessee regulations. In addition,
special districts may not sell general obligation bonds or levy taxes.
Homeowners Associations (one example of a private corporation) have not
proven satisfactory for wastewater management in Tennessee (Tennessee
Environmental Council). As a matter of fact, the East Tennessee Regional
Health Office in Knoxville does not allow Homeowners Associations to
possess discharge permits due to difficulties encountered in enforcement
(McKinney, 1984).
Table 4-7 presents regulatory authorities of various entities/agencies
in the state of Alabama. Alabama statutes allow just six general entities
to perform wastewater management activities in the state. These are:
counties, municipalities, public corporations, sewer authorities, boards of
water and sewer authorities and sewer authorities in resort areas. A
combination of these entities can also provide services. Sewerage serves
cannot be provided by interlocal contracts, joint management agencxes or
county service districts.
It should be noted that, with the exception of information on North
Carolina statutory powers, the above data was derived from questionnaires
sent to state personnel (see bibliography). As such, there may be
exceptions or prerequisites to performance of any of the powers listed for
the various entities. Those exceptions noted in the questionnaire
responses are listed as footnotes on each applicable table.
A
4-60
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Fro. the information received on the ouestionnaires and presented on
th preceding tables it »Ould appear that Jn eyery .^
u ntityas adequate
- — t
wastewater needs. However. because this authority is often ..pressed in
very general terms, it requires interpretation of statutes and relations
to determine whether authority to carry out a certain activity is
specifically 9r.nted. Though the respondents to the auestionnaire generally
interpret broad authorities to apply to most specific activities, local
government official are often less lively to assume public responsibility
for an activity without a specific grant of authority. This may explain
*y. although broad authority apparently exists, many local goLnlnts
express the belief that additional legal authorities are needed. Por this
reason it »ou!d be beneficial if state statutes and regulations could be
revised to specifically identify all of the activities listed on Tabies 4-
2 through 4-7 being authorized to all the local entities sho»n.
A final factor to be developed as part of the co™unity profile is an
assessment of community attitudes. Community attitudes on growth, devel-
opment, public authorities and responsibilities, and environmental guality
and management vary throughout the region. These attitudes in turn will
strongly aff.ct the functions which can be assumed, the extent of public
involvement in carrying them out and the success which is experienced once
the management system has been selected. Some information about community
tuudes ls usually obvious to anyone worKin, in the community as , result
Of past experiences. Other information can be gained thrown a ouestion-
naxre or door-to-door survey. lt is important that sufficient information
be given to residents before their opinions are sampled. Once the overall
needs for wastewater management and the alternative approaches are clearly
descried to the community, questionn,ires and surveys can provide val-
uable. sometimes surprising insights into prevailing concerns and at-
titudes.
With this last piece of information, the first major step in the process
of selecting an institutional management system is complete. At this point
it should be possible to clearly identify co^nunity wastewater needs and
4-61
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available resources and public opinions concerning ways of meeting these
needs.
4.4.2 Identification of Management Objectives
as
ft secona m,30r step in aeterminin, the most appropriate
system is determining which function, neea to be incorporated rnto e
agement structure ana .ho .HI be responsive for —' «
is most aesirable that aH of the management functrons
section 4.2 be performea. however, the choice is left to the
»hlch are performed by a public ,an.ge»ent agency ana ho» the others are
p rfor^a. „ construction grants Ending is to be usea, EP, rW«« ttaj
projects incluaing on-site or cluster treatment systems, proviae for
management of the following activities:
. assuming responsibility for the systems incluaing proper
installation, operation ana maintenance;
. assuring that systems will be constructed, operated and
maintained to protect underground potable water sources,
. developing a user charge system;
. obtaining reasonable access to all systems;
. establishing a comprehensive management and periodic inspection
program including water well testing.
Beyond these basic requirements, the incorporation and manner of
performance of management functions will ^ .««*- by many a.fferen
Ltors. The most basic factors affecting the section of management
.unctions to perform are the type of wastewater facilities in the commun
ana the extent of current and existing wastewater problems. *s the numbe
ana complexity of systems increase ana the extent of wastewater
expanas, the neea for strong management of monitoring, complrance, oper-
on ana maintenance becomes greater, with more systems ana more extensive
neeas, th. retirement for central, long-range planning also becomes
essential. Decisions about future treatment and disposal techniques can no
longer be left to hunareas of inaiviaual homeowners.
4-62
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Natural and physical features of the community will also affect
performance of management functions, m communities which have experienced
little difficulty with wastewater disposal and have a vast amount of
developable land which is readily suitable for on-lot disposal, septic
xnstallers or other private contractors may be fully capable of completing
system designs. On the other hand, in the difficult physical environment of
most mountain communities it may be preferable for system design to be
carried out by design engineers employed by the management agency.
Available expertise will also affect the incorporation of various
functions. The type of expertise required for certain functions may be
quite specialized and the level of effort required may be extensive (see
Table 4-8) . if there is no expertise available to carry out planning or
desxgn, for example, it would mean that these functions would either have to
be deleted from the management agency list of responsibilities or be
performed by a private organization or contractor. While lack of expertise
IB clearly not a valid reason for not performing a critical function, it
should certainly be considered in terms of management needs and financial
and other limitations.
Prevailing state and local regulatory authority will also have a major
impact on the functions performed by the management agency, in some states,
regulatory authority will not permit certain public management agencies to
raxse revenues or allow the formation of a private homeowners association to
manage wastewater. The regulatory authority to require homeowner main-
tenance through maintenance permits and other devices may also not be
available. All of these factors will affect local decisions as to how to
best perform operation and maintenance functions.
Community attitudes toward public management activities should also be
considered in deciding which functions to assume. As discussed in the
section above, many communities are reluctant to assume any responsibility
for operating and maintaining wastewater facilities other than conventional
centralized collection and treatment systems. in areas where prevailing
4-6 3
-------
rr
private sector.
Hand-in-hand with these decisions on which functions to perform
Public entities described in Section 4.4.1 which may be considered for
carrying out required management functions include the follow^
. existing municipal or county agency
. new municipal or county agency
. special district
. authority
. joint management agency.
» nu,ber of non-public entities »ay also carry out ~ent functions
with proper system design. These other entities would Delude,
. private homeowner
. private, for profit organization
. non-profit private organization.
„ a private entity is selected to perforn, n,an,ge.ent functions an
arrang™ent «.t >e .ade for d.l.atin, and -**"«*» »"^7»
otherwise the result is often a lac, of »,nage«ent over the ~" ^ »
existed before overall .astewater .anage.ent efforts »ere wle»entea.
nlMber of methods for de!egating or supervisin, »,nage.ent functions .ere
discussed in the review of techniques in Section 4.2. Of those Usted, th
ollowin, are considered »»on9 the ,ost effective for ensure, proper
4-64
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TABLE 4-8
PERSONNEL REQUIREMENTS FOR VARIOUS
MANAGEMENT FUNCTIONS
Function
Problem
Identification
System Planning
and Design
Planning
Person-days
Required
12/system
N.E.
Set and Review
Design Standards .5/month
Design Conventional
Systems .25-1/system
Design I/A
Systems
Construction
Installation
Inspection
Installation
Permitting
Operation and
Maintenance
Monitoring and
Compliance
Water Quality
Monitoring
- Wel1
- Surface water
Enforcement
•5-2/system
-2/each
3-8/system
•I/permit
N.E.2
.I/well
N.E.2
2/violation
Personnel
Required^
m,c
c,d,m
a,f,g,h,i,j
b,c
d'f'9,h,i,j,n
Public Education .5/month
d,f,g,k,l,n
d/f,g,k,l,n
b,c,d,e
b,c
Comments
Inspect septic tank,
drainfield and wells;
interview homeowner only
Involves only design
after site analysis
completed
# may vary dependent
on type
Involves time involved
in permit issuance only
Dependent on level of
involvement and type
of systems
Dependent on type and
size of water body and
other factors
Involves inspection
and court time
4-65
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TABLE 4- 8(cont'd)
Personnel Required
a - System Designers
b - Clerks
c - Administration
d - Inspectors
e - Attorney
f - Soil Scientist
g - Laborers
h - Equipment Operators
i - Plumbers
j - Small Waste Flows Construction
and 0 & M Supervisor
k - Laboratory Technicians
1 - Water Resource Scientist
m - Environmental Planner
n - Wastewater System Operators
N.E. + Not Estimatable.
Source: Adapted from Technical Reference Document, Final-generic Environmental
Impact Statement, Wastewater Management in Rural Lake Areas, Volume n,
U.S. EPA Region V, 1983.
4-6 6
-------
Private implementation of management functions:
• certification programs for private contractors
• operating permits for private systems
• maintenance permit forms.
in section 4.4.!.
-"-"-t.rl.tl™
4.4.3 selection of Most Appropriate
«,nagenlent Syste|n
type of
in general
4-67
-------
Tn. feaeiMUtv °f private entities assuming responsibiUty for «-
functions is li.lt- * t*l. understanding of system OSM requirement
the difficulty encountered in performing maintenance tasHs. - *•
complexity of system increase,, greater expertise « reared, and the
ab ity of private downers to adequately assume these f unions de-
creases. Th's can be overcome by delegating these functions to private
contractors such as septage haulers or septic tank installers.
Since few functions are performed by the public sector, expertise
quired is limited. Typically. ,11 public management funct.ons can be
carried out by the staff of an existing Municipal or county agency su h a
th health or public »orks departments. .1th this approach, no new legal
luthorlties are retired, fees or charges are minimal and there should be
little public resistance to the governmental controls reared.
This management approach is normally adequ,te for rural areas .ith
scattered development, farms and large-tract subdivisions where physica
features do not limit the suitability of conventional on-site or clustered
systems. Since this system does not include any planning function the area
should also be one where future growth is projected to be l^ted or whe e
gto.th can be aocom^dated on lands which are suitable for
treatment and disposal systems. Since system maintenance is ^™'
not carried out at ,11 and proper operating techniques usually not followed
in high growth areas or communities with physical limitat.ons on-site
system failures will -cur and can result in impacts to ground and surface
water quality.
This management system differs little from the conventional management
alternative. It is generally most applicable to conventional on-lot and
cluster systems. However, because monitoring is carried out, this approach
be m0re suitable in areas with a higher number of failing systems,
may
4-6 8
-------
aot provided -
£or
;::r:
- r
The selection of a public agency to perfom
:,;;;' Td on variations in -"•^ ^ — ^ «
expert.se. If an exlstlng agencyi such ^ ^ ^
:pr;r'trs adequate authotity ana «-' "
to ,ss»e the responsibuuy. „ new legal
pe
1
easier ln some areas to take this approach.
or the Zegal ana staff expertise limitations in so»e
-nit.es ana the publlc resistanoe to
4-6 9
-------
to delate - • ::rr:uo:e:r:::;:r.
,
tractors could be used to ensure tna .n«allers is performed
contractors such as septage pumpers or system Lnstallers
properly and on a regular basis.
The advantage of this management aUernative is
cegular monitor can ^^^ .
811 tyP6^" "t7e LU; --„ proper* ^ areas .it. .eater
systems «ill be more likely be more adequately served
"
-. a^-i, - - «
out, public resistance may not be significant.
adequately met.
lj_jteu»tenanc£_andJtonitorjjK
This management system builds upon the previous example by adding
prevalent
because operation and maintenance will be
systems using land disposal, for example.
lt should be pointed out that there are no limitations on the
.mplementation of conventional collection and treatment systems „«,„,
4- 70
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,
pubUcly-owned, operated and
— :;,=: — : :;;;: ;
leSSt "
procedures are being followed.
With the addition of required Om. tht. mnageK!nt alternatlve
even .ore applioabie to communities ^ '
The required operation and maintenance functions can ptobably be
ed out .ith little additional staff expertise or legal authoritie
under this ™,nage»ent alternative 0SM functions TOuld not be dire tt
a9ency-
„ ™ost states to require maintenance functions to be carried
out .here syste.s are »alfunctioning and causin, a potential public health
4-71
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described in Section 4.2 which would be appropriate are:
. revocable operating license
. deed attachment
. septage collection and disposal program
. maintenance permit forms
. service call light system.
Despite the
alternative provides a good miaaxe-wi.- —-
_ . • _|_ — a Y"^ CctlT £ IGCl
reliable performance of a wide vane y
suitable in both low growth, sparsely populated communities, as well a
—^rrr=:::rr;« rrrrr:;
public resistance could be a significant problem.
Ownership with Public operation_and Maintenance
This management alternative differ, from the above approach in that the
operation and maintenance function is performed directly by the publ
Management agency instead or being retired of the private system owne .
This alternative comes close to what could be termed a m°"i**°^"
system in that, while the homeowner or other private party retarns o P
of the wastewater facilities, .11 other functions are provided for by
-i A HO annl icable to communities
management agency. This approach would be applicable
similar to those suitable for the above alternative, however, its ap
ion could be limited because of the level of expertise and regulatory
authorities retired, and by the reluctance of private cities in many
areas to accept such a high level of public agency involvement.
4-7 2
-------
for clerical and administrative
recrements can be lessened by the use 0£ ^^ T »
example, but the numb_er Q£ staf£ Md range ^ -
be beyond the range of many n,ountain comunlties. ?
to
purpose ^ vary fron, state_to.state
the enoy t. unllkel
funetlo,, health deartme
th.lr s-o- lt is more ll that aaequate autnority
all phases of »astewater management. it can ensure
-,,uate system performance ana Kaste.ater treatment ,or all
present problems in managing waste»ater.
of
»
On
the other hana, to implement this alternative retires an agen=y with
ve staff expertise ana broaa regulatory authority But the
factor for this approach is th. potential for public
4-7 3
-------
This could come on two fronts. First, private homeowners would have to pay
to have the operation and maintenance functions for on-site systems
performed by the public agency. Though these functions should be carried
out by homeowners they are typically not performed under the conventional
management system currently in place in most communities. Therefore, the
homeowner is not aware of their costs. Secondly, to the extent that a
homeowner is willing to expend the funds for necessary O&M, most would be
more likely to contract privately for such services. In general, citizens
in many communities may resist the public sector's assuming responsibility
for such extensive management functions.
Appendix III-A presents two sample management contracts currently used
in the Commonwealth of Kentucky by the Water Resources Assistance Corpor-
ation (WRAC). WRAC, a non-profit corporation, provides financial and field
management services to various entities which are not large enough to
economically provide these services themselves. The basic concept of the
WRAC program is that of the "Private Ownership With Public Operation and
Maintenance" management system. The two contracts presented in Appendix
III-A detail WRAC's responsibilities under each management program. They
could also be used, however, to contract with a private, for profit
organization.
Public Sector-Oriented Management
Under this management alternative a public agency assumes ownership of
all wastewater facilities and either performs or has performed all of the
necessary management functions. This approach is typical in more populous
urban and suburban areas where conventional centralized collection and
treatment systems are prevalent. Though it is most likely that public
ownership of facilities would be applied to large-scale conventional
treatment plants and sewers, such an approach also may be applied to small
community, cluster and on-site systems. Complete public responsibility may
be the preferred approach for communities with numerous wastewater pro-
blems, extensive growth and natural or socioeconomic limitations.
4-74
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authlr 't "<•-«• f°< "P-i- ana legal
p u MY °£ the manage"ent •"•'»"•••• S-" 11 systems L.
P bUcly-ownea ana maintainea, th. „„„,„ of ^
be extensive. There wouia also be a retirement for numerous staff „
'
ana
. uip^t r^,i,«lt. could also be ntm
f nc 10n »ould ilso be c,rried out unaer tMs P
ou uner tMs ^^
.oula e a neea £or envitonmental planners ana .uf r with reiatea p ann „"
1SclpllneS. The auern,tive to staff ej[pertise in P
^legate the planning £unction to . contractor_
A SySt.n, such as this .hich concentrates nana^nt factions with the
Public sector also requlres extensive regulatory authorUies in oraer t
carry out these functions. ln .aaition to the authorUies requirea
Previous alternatives th. key authority necessary TOUla be the ability t
o.n :aste»ater facilities, incluaing septic tanks ana disposal fle!a
P ate property. There i. So.e type of Mnagement agency in all states
-th the wt to „,„
_ n
ae,ulsltlon or ne»ly constructea systems wouia not see, to present any Xegal
oble»s. However, acquiring ownership M «,,.«„ syst_ ^ ' '
may prnt Ie9al probiens
• .
a proble. P,rticul,rly with a ™anagement a.strict which en-
compasses more than one jurisaiction.
son,, of these limitations may be overcome by selection of the proper
ag ncy to Cement the management functions. The agency woula neea to h!v
e»tensive staff expertise ana regulatory authority. „ poss.ble, it shoula
be able to carry out planning functions. Expertise to proviae useful public
eaucatlon services woula also be benef.cral. An ,gency such as . ^
.wer arstrict which can issue bonas, own property ana have the flexibility
to operate within different JurisaicUonal sett.ngs TOUld be appropriate to
implement this management system.
4-75
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Community attitudes toward public involvement affect decisions con-
cerning the ownership of wastewater facilities. In many communities there
may be widespread acceptance of public ownership of centralized collection
and treatment facilities, yet there may be a correspondingly strong belief
that ownership of on-site systems be maintained by private homeowners. Such
attitude- may cause the public to be resistant to this management
alternative.
The advantages of this system include the fact that private individuals
and organizations are relieved of any liability associated with management
of wastewater facilities. Homeowners and private organizations also would
be spared the cost of system repairs and major capital expenditures from
failure of their systems. Under this alternative the greatest degree of
water quality and public health protection would be obtained. A system such
as this is fully applicable in communities which have had a high incidence
of wastewater problems and where future problems are forecast.
There also are significant limitations to this approach. Costs for a
large agency staff would be high. Also, the costs incurred in accepting
liability for repairs and replacement of systems would be significant.
under an averaging method of assigning costs, individuals would pay equal
shares of the expense of failing systems and system replacement regardless
of their own level of needs. As mentioned above regarding system ownership,
many individuals may object to this cost sharing for on-site systems,
despite the fact that it is the typical approach for conventional
centralized systems.
The levels of staff expertise and regulatory authority are extensive
and the need for a large, broad-based public agency is probable. Given all
these factors, such an all-encompassing approach may not be most appro-
prlate for many mountain communities. Though there are significant
benefits to this approach, the implementation problems may outweigh them in
all but the most populous metropolitan portions of the region in which other
"urban-type" services are provided.
4-76
-------
This chapter has presented a great volume of information about
alternative institution.! management systems including the management
functions whlch must be carried out, different techniques which may be used
for each function, five alternate system models which may be used to
coordinate overall management functions, and a procedure for identifying
the management system most appropriate for a specie community.
The management system models presented vary primarily in the degree of
Public sector control which is exercised. There ls a range from nearly no
Public involvement to total public ownership and control Along with the
variation in degree of public control there are different requirements for
staff expertise, legal authorities, level of public involvement and costs.
The selection of a management system most appropriate for a particular
community will hinge largely on consideration of these requirements, along
wxth a determination of existing and future wastewater needs and problems
The actual management system which is selected based on these factors will
in most cases never be exactly the same as any of the five models. There
will always be some changes in the responsibilities for particular
functions or the techniques which are used to carry them out. However, for
any management system to be successful there must be some formal procedure
provided for carrying out all seven of the key management functions:
• problem identification
• system planning and design
. construction and installation
» permitting
• operation and maintenance
• monitoring and compliance
• training and public education
The most appropriate management system for mountain communities will be
that which successfully carries out each of these functions with the most
cost efficiency and widest degree of support from the communities resi-
4-77
-------
dents. That .111 not always be the syste. .ith the greatest degree ot di.«=t
public-sector control.
It is i^ortant to note here that most c«-unities in the study area are
^.iiur .ith the ,an,,e.ent syste. concept. Therefo^ ^ o
knowledge or experience on the part of both the oubl.c official and the
den ,ay ^ —ent system ^-.nft^n ai«icult. S.ooth
en
Ltroduct.on of the syste, to the ««nity. i. tbi. case, »ay requlr.
Ph,sln9. Thrs procedure .ntroduces the syste., one phase at , t«.
possibly resultrng in greater understanding and therefore, greater ,c-
ceptance of the management process.
4-78
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MOUNTAIN COMMUNITIES
WASTEWATER MANAGEMENT
ASSESSMENT
ALTERNATIVES
DEVELOPMENT REPORT
FACT SHEET
MANAGEMENT
TECHNIQUES
__
Figure 4-1
Conventional Homeowner-Centered Management
-------
DESCRIPTION OF SYSTEMS
The traditional homeowner-centered approach involves a private party
such as a homeowner owning, operating and maintaining the wastewater system
A public agency such as a county or city health department would be responsible
for ensuring compliance with health regulations. This system is generally
utilized in areas where the primary type of wastewater facility is the septic
tank-soil absorption field. »ep*«.
RESPONSIBILITY CENTERS
Problem Identification—not necessarily
the responsibility of any one party
since problem identification is not
routinely carried out. Generally,
if the health department is the im-
plementing agency, they carry out
problem identification functions on
an as-needed basis.
Planning—not normally carried out
unless a problem arises.
Design—Private septic installation con^
tractors.
Operation and Maintenance—Homeowner.
Monitoring and Compliance—Public agency
e.g. health department.
Public EducatiOB-Not a required respon-
sibility of any agency/entity.although
public agency may elect to carry out
education activities.
RESOURCE REQUIREMENTS
Vary with community size but can range from two to five or more
individuals including a department director, registered sanitarians, inspectc
clerical and administrative support. Soil augers and soil survey information
are main materials and equipment needs.
struction equipment.
Private contractors provide con-
EXAMPLES AND CONTACTS
Typical system in most non-urban communities
in the United States.
J V
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MOUNTAIN COMMUNITIES
WASTEWATER MANAGEMENT
ASSESSMENT -
ALTERNATIVES
DEVELOPMENT REPORT
FACT SHEET
MANAGEMENT
TECHNIQUES
Figure 4-2
Conventional System With Monitoring
-------
DESCRIPTION OF SYSTEMS
EXAMPLES AND CONTACTS
Madison County, N.C. On-Site Management District.
Mike Bradley
Madison County Health Department
Route 7, Box A
Marshall, NC 28753
(704) 255-0695
RESPONSIBILITY CENTERS
Problem Identification—No formal pro-
cess, however the public agency may
identify problems through the moni-
toring process.
Planning—Not carried out by any party.
Design—Private septic installation
contractors with assistance by the
implementing public agency if it is
a special district or a wastewater
authority.
Operation and Maintenance—Private
owner or association.
Monitoring and Compliance—Public agency
(e.g. health department); homeowner;
private contractor.
Public Education—Not a required respon-
sibility of any agency/entity, although
public agency may elect to carry out
education activities.
RESOURCE REQUIREMENTS
-------
MOUNTAIN COMMUNITIES
WASTEWATER MANAGEMENT
ASSESSMENT
ALTERNATIVES
DEVELOPMENT REPORT
FACT SHEET
MANAGEMENT
TECHNIQUES
Figure 4-3
Private Ownership with Required Operation,
Maintenance and Monitoring
-------
DESCRIPTION OF SYSTEMS
,
RESPONSIBILITY CENTERS
^Problem Identification—Mn formal pro-
cess, however the public agency may
identify problems through the mon-
itoring process.
Planning—Not normally carried out by
any party.
Desigji--Private system design and in-
stallation with assistance by the
implementing agency if it is a
special district or a wastewater
Operation and Maintenance—vn,,n*r horned
owner or association; public agency
when homeowner fails to produce proof
of maintenance.
Monitorino and Compliance—P..M i,. agency;
homeowner; private contractor.
Public Education—MO* a required respon-
sibility of any agency/entity, although
Public agency may elect to carry out ,
education activities. I
RESOURCE REQUIREMENTS
fe£S==2^?Msr-^: •=£=: ^
EXAMPLES AND CONTACTS
. Marin County, California health department
J biennial inspection program.
. Stinson Beach, California. Water district manages
both new and old on-site and alternative systems?
District is responsible for inspection, monitoring
and enforcement. y
Su^rvi BeaCh COUnty Water District, Water Quality
-------
MOUNTAIN COMMUNITIES
WASTEWATER MANAGEMENT
ASSESSMENT
ALTERNATIVES
DEVELOPMENT REPORT
FACT SHEET
MANAGEMENT
TECHNIQUES
Figure 4-4
private Ownership with Public Operation and
Maintenance
-------
DESCRIPTION OF SYSTEMS
The private ownership/public operation, maintenance and monitoring approach
involves individual ownership with public operation, maintenance and monitoring
The public agency would also be responsible for permitting and enforcement of
compliance measures. This type system, because of extensive requirements for
personnel resources, is generally only feasible in areas of moderate-to-high
use of individual septic systems or cluster systems.
RESPONSIBILITY CENTERS
'Problem Identification—not routinely
carried out by any one party. Pro-
blem identification functions are
carried out on an as-needed basis
by the public management agency.
Planning—not typically carried out
on a formal basis unless a pro-
blem arises.
Design—Private contractors.
Operation and Maintenance—Public agencyV,
private contractors.
Monitoring and Compliance—Public agency.
Public Education—Not a required respon-
sibility of any agency/entity, although
public agency may elect to carry out
education activities.
RESOURCE REQUIREMENTS
Varies with size of planning area, however, with functions which must be
performed by the public agency, three to five or more system inspectors and three
to five or more registered sanitarians and relatively extensive clerical and
administrative support would be necessary. Main equipment resources needed
include water quality monitoring accessories, and soil augers and surveys
Construction equipment and lab facilities may be provided by private contractors,
nUra
EXAMPLES AND CONTACTS
Georgetown Divide Public utility District (GDPUD).
District manages on-site and alternative systems
through following functions:
- site evaluations,
- design,
- inspections,
- monitoring.
Water Quality Superintendent, GDPUD, Georgetown
California.
J V
-------
MOUNTAIN COMMUNITIES
WASTEWATER MANAGEMENT
ASSESSMENT
ALTERNATIVES
DEVELOPMENT REPORT
FACT SHEET
MANAGEMENT
TECHNIQUES
Figure 4-5
Public Sector - Oriented Management
-------
DESCRIPTION OF SYSTEMS I
involves total public responsibility for the wastewater system from
problem identification and planning to performance of operation and
maintenance and monitoring activities. The public agency can contract out
or delegate much of its responsibility to a private contractor or the homeowner
Applicable in areas that are moderately-to-highly developed with individual
on-site systems, cluster systems, small community systems and conventional
centralized facilities.
RESPONSIBILITY CENTERS
ance—Public
actor).
Public Education— Public agency.
Problem Identification-Public agency. Monitoring and Compli
Planning—Public agency; private con- (some private contr
tractor.
Qgsign—Public agency; private con-
tractor.
Operation and Maintenance—Public
agency; homeowner; private con-
tractor.
.RESOURCE REQUIREMENTS
Personnel required include: department director, sanitarians, inspectors
oumn »'« *»"ty monitoring), planners, design engineers, and septage
pumpers and haulers. Equipment includes soil augers, soil surveys, water
EXAMPLES AND CONTACTS
No publicly managed on-site or cluster systems
currently in operation in the study area. Typical
of any publicly-owned centralized small community
or conventional collection and treatment system in
the study area.
Specific examples:
. City of Hinesville, Georgia. Plant is being
constructed jointly by the city and the Army.
Following operation, the city will assume
operation for the Army's portion of the plant
Mr. Billy Edwards,
City Administrator
(912) 876-3564
. General Development Utilities (GDU), Inc., Florida
Publicly-regulated private utility owns, operates
and maintains septic tank-effluent pump systems
at two developments.
GDU, Sanitary Engineer, Miami, Florida.
J V,
-------
CHAPTER 4 BIBLIOGRAPHY
-------
BIBLIOGRAPHY
CHAPTER 4
American Society of Agricultural Engineers. 1982. Proceedings of the
Third National Symposium on Individual and Small Community Sewage
Treatment. 345 pp.
Batz Michael R. "Operation and Maintenance Functions of an On-site
Wastewater Management District." NSF Sixth National Conference.
11 pp.
Berkowitz, Steven J. June 1981. On-Site Wastewater Treatment Problems
and Alternatives for Western North Carolina. Water Resources
Research Institute of the University of North Carolina. 148 pp.
Brown, R.M. "Practice, Policy, Experience: Where are We?" NSF Sixth
National Conference. 23 pp.
Bucks County Planning Commission. A Plan for the Management of On-Lot
Sewage Systems. 8 pp.
Ciotoli, Peter A., Glenn M. Johnson and Don C. Niehus. "Role of Public
Agencies and Private Interests in Implementing On-Site and Small
Community Wastewater Management Programs." NSF Sixth National
Conference. 17 pp.
F.R. Schutz Consulting Engineers. May 1983. Madison County Clean Waters
Project. Step 1 - Sewage Facilities Planning Report.
Huang, Jerry Y.C., August 1983. "Management of On-Site Disposal Systems:
Case Study." Journal of Environmental Engineering, Vol. 109,
No. 4. 14 pp.
Institute of Natural Resources, The University of Georgia. April 1983.
Legal Aspects of Water Resources; A Survey of the Law in Georgia.
255 pp.
Land-of-Sky Regional Council. April 1983. Management Handbook for
Wastewater and Water Services in Western North Carolina. 42 pp.
Land-of-Sky Regional Council. April 1983. Madison County Joint Wastewater
Treatment Management Project. 57 pp.
MacGregor, Alan S. "Management Districts - A Key to Implementing an
On-Lot Disposal Alternative." NSF Fourth National Conference.
9 pp.
Maryville Utilities Board. January 1983. A Feasibility Study of an
On-Lot Management System. 21 pp.
-------
National Small Flows Clearinghouse and Cooperative Extension Service
December 1982. Summary of state Guidelines & Regulations for
Small Wastewater Flows. 33 pp. West Virginia University:
National Utility Contractors Association. Evaluation of Wastewater
Treatment Alternatives for Small Communities.101 pp.
Plews, Gary. "Management Guidelines for Conventional and Alternative
On-Site Sewage Systems - Washington State." NSF Third National
Conference. 7 pp.
Prince, Richard N., Marie Eisen Davis and Kent B. Seitzinger. "Design
and installation Supervision by an On-Site Management District "
NSF Sixth National Conference. 8 pp.
U.S. Environmental Protection Agency. January 1983. Final-Generic
Environmental Impact Statement, Wastewater Management in Rural
Lake Areas. 168 pp.~~~~~
U.S. Environmental Protection Agency, March 1983. Technical Reference
Document. Final-Generic Environmental Impact Statement WastiwIteT
Management in Rural Lake Areas. Volnmp Tr P^ T ^ ynlumc IT
Part 2—3—4.
U.S. Environmental Protection Agency. November 1979. Interim Study
Report. Management of On-Site and Small Community Wastewater
Systems. 211 pp. ~ : :
U.S. Environmental Protection Agency. July 1982. Wastewater utility
Record Keeping, Reporting and Management Information Systems
88 pp. ' — J '
U.S. Environmental Protection Agency. July 1982. Construction Grants
1982 (CG-82) . 127 pp.
U.S. Environmental Protection Agency. March 1981. Facilities Planning
1981. Municipal Wastewater Treatment. 116 pp. "
U.S. Environmental Protection Agency. August 1980. Planning Wastewater
Management Facilities for Small Communities. 148 pp.
U.S. Environmental Protection Agency. January 1981. How to Obtain
Federal Grants to Build Municipal Waatewater Treatment Works.
43 pp. Second Edition. ~ ~
U.S. Environmental Protection Agency. May 1977. Choosing Optimum
Management Strategies. Pollution Control Systems. EPA Technology
Transfer Seminar Publication. 55 pp.
U.S. Environmental Protection Agency. March 1977. Legal and Institutional
Aggro-aches to Water Quality Management Planning and Implementation
-------
Waldorf, Lawrence and Joe L. Evans. 1982. Individual On-Site Wastewater
Systems. Proceedings of the Eighth National Conference 1981.
350 pp.
Water Pollution Control Federation. The Clean Water Act. Showing
Changes Made by the 1977 Amendments and the 1978 Amendments to
Sections 104 and 311.
Wiswall, Kenneth C. and Peter A. Ciotoli. "Management of Alternative
Systems: Issues, Problems, Constraints and Opportunities. NSF
Sixth National Conference. 15 pp.
Personal Communications
Ault, James C. 1984. Director, Division of Construction Grants and Loans.
Tennessee Department of Health and Environment.
Harleston, John. 1984. Staff Attorney. South Carolina Department
of Health and Environmental Control.
Hudgins, Olivia H. 1984. Associate General Counsel. Alabama Department
of Environmental Management.
Ledbetter, J. Leonard. 1984. Director, Environmental Protection
Division. Georgia Department of Natural Resources.
McKinney, David. 1984. East Tennessee Regional Health Office, Knoxville.
Saucier, John W. 1984. Tennessee Environmental Council.
Wicker, Jake. 1984. Institute of Government. The University of
North Carolina at Chapel Hill.
Williams, Art. 1984. Manager, Water/Waste Branch. Office of
General Council. Kentucky Natural Resources and Environmental
Protection Cabinet.
-------
VOLUME III APPENDICES
-------
APPENDIX III-l FINANCIAL AND FIELDJjAgAGEMENT
^^
CONTRACT
-------
APPENDIX III-l
WATER RESOURCES ASSISTANCE CORPORATION -
FINANCIAL AND FIELD MANAGEMENT CONTRACT
1. Water Resources Assistance Corporation, hereafter WRAC, is a non-
prom corporate established to provide various services to water districts,
municipal water systems and related entities.
r hereafter Water System, is a Water
County,
District providing water service in .
Kentucky.
3. Water System has determined that it is in the best interest of its
consumers to have WRAC provide exclusive financial and field management
services to the System. These services are to consist of operating the
system, connecting customers, reading the meters, preparing and sending
bills, collecting revenues, making repairs, water sampling, keeping financial
records, making reports to regulatory and funding agencies, and other related
financial and field management services as are set out below.
4. WRAC does not assume responsibility for any existing contractual or
financial obligations of the Water System, but will collect the bills, keep
the financial records and recommend action on financial obligations to the
Water System. WRAC will maintain Water System inventory of materials and
supplies pursuant to the execution of this contract. WRAC will also oversee
for the Water System any special contract services, i.e., line extension
contracts, etc., to the same extent that the District would so function
exclusive of professional service contracts. In instances where it is
necessary to obtain extraordinary services or supplies from an outside
source, WRAC will not obligate Water System for any such obligations without
prior approval of the Water System except in the case of emergencies, and
-------
APPENDIX II-A
WATER RESOURCES ASSISTANCE CORPORATION -
FINANCIAL AND FIELD MANAGEMENT CONTRACT
1. Water Resources Assistance Corporate, hereafter WRAC, is a non-
profit corporation established to provide various services to water districts,
municipal water systems and related entities.
2
— —— — ' hereafter Water System, is a Water
District providing water service in
. County,
Kentucky.
3. Water System has determined that it is in the best interest of its
consumers to have WRAC provide exclusive financial and field management
services to the System. These services are to consist of operating the
system, connecting customers, reading the meters, preparing and sending
bills, collecting revenues, making repairs, water sampling, keeping financial
records, making reports to regulatory and funding agencies, and other related
financial and field management services as are set out below.
4. WRAC does not assume responsibility for any existing contractual or
financial obligations of the Water System, but will collect the bills, keep
the financial records and recommend action on financial obligations to the
Water System. WRAC will maintain Water System inventory of materials and
supplies pursuant to the execution of this contract. WRAC will also oversee
for the Water System any special contract services, i.e., line extension
contracts, etc., to the same extent that the District would so function
exclusive of professional service contracts, in instances where it is
necessary to obtain extraordinary services or supplies from an outside
source, WRAC will not obligate Water System for any such obligations without
prior approval of the Water System except in the case of emergencies, and
-------
wlll in those instances make every atte.pt to obtain prior approval fro, an
authorized agent of the Water System.
5. WRAC's policy requxres that WRAC treat each Water System with which
it contracts as a separate and distinct entity. WRAC will therefore maintain
separate records and ban, accounts enabling it to do so. The Water System
Bh.ll designate an FDIC insured ban, to be used as a depository for funds
received on its behalf by WRAC, and all such funds will be maintained in a
separate account in Water System's name in that bank.
6. WRAC will maintain office hours from 8:00 a.m. to 4:30 p.m. weekdays
(excepting legal holidays). WRAC will arrange for staff to attend the
ninthly meeting of the Board of Commissioners of the Water System. WRAC
will assign personnel to respond to emergency problems outside of normal
working hours (see Section 14 below). It is understood that all other
services will be performed during normal working hours.
7. BILLING: WRAC agrees to read the customers meters, prepare and
send monthly bills, including delinquent and disconnect notices, to receive
payment and deposit them to Water System credit in the designated bank, and
to prepare and maintain appropriate billing records including:
a. A customer profile card for each customer.
b. A customer folder for each rental unit.
c. A monthly billing register containing information
on all accounts billed.
d. A monthly billing journal
e. A monthly consumption report
8. ACCOUNTING: WRAC will maintain Water System's accounts in a form
where all separate accounts required by the Kentucky Public Service Commission,
-2-
-------
oralnanoes, or souna
.ui prepare montMy statement of
ana ao relocations. ana Blll also ptepare projectlons Q£
expenses where appropriate.
fil. an periodlc repotts
.ut. ana .eaeral funaing ana regulatory agencies ana »m in adaltlon
routine aata to support rate
of Dlreotots of th.
on ,
to
avallable, and obllgatlons.
to obllgatlons requiring payment.
WKAC snan prepare oheoks £or
member of the Water System Boara of Commissioners.
11. OPEMTOTS, ^0 Wlll perform all routine oPerating £unctlons
including:
b! oonne0os ~™~°» "> «»«», system
c. Disconnects
d. Meter changes
e. Water sampling and records
f- Water testing and records
9. Chenncal treatment and records
h. Master meter reading and records
i. Visual inspection of facilities
3. Flushing lines as required
K. Maintaining system maps
12.
repairing »ater leaks not requiring reP!acement or renewal of
or app0rtenanoes ana routine maintenance of ,u facilities o»nea by
tne water System not r,guiring replaoement or renewal =f
-3-
-------
sp.cU.caUy excluding repainting of water towers and pump house,.
It is understood and agreed that this Agreement shall apply only to
routine operations and maintenance necessary to provide service to customers
of the water System and shall be lifted to normal repairs and scheduled
maintenance.
Repairs to the system shall be deemed normal maintenance if such repairs
do not require complete replacement of a major component, i.e., secUon of
piping, major control mech.ni.rn, pump, water meter, electric motor, etc.
The corporation shall exchange from the inventory customer meters as required
to maintain continuity of service and billing for the consumer, but is not
responsible for repairs to such meters.
13. NON-EMERGENCY RENEWAL AND REPLACED AND SYSTEM EXTENSIONS: WRAC
agrees to make non-emergency renewal and replacements, extensions of the
system, and ne» commercial-rndustrral connections, if it has personnel and
facrUties available for such serves, at its cost. Suoh services shall
be performed only after , cost estimate has been made by WRAC and approved
by the water System, in additron, it 1. understood that no line extens.ons
shall be made unless same is subject to the standard water Extension Contract
as approved by the Board of Commissioners and no new commercial-industrial
connections shall be made unless in accordance with the rules and regulations
of tb. water system. All such services are in addit.on to the serves
under the basic contract and are not covered by the basic contract charge.
14. EMERGENCY RENEWAL AND REPLACEMENT: In the case of an emergency
situation, WRAC shall attempt to contact the appropriate agent of the water
system to obtain approval of immediately required renewal and replacement.
However, it is understood that if no such contact can be made, WRAC is
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to ,ake those repairs necessary under the circumstances, ana to
be compensated for the actual cost of the repays including time and one_
half the normal sa!ary rate of employees, as required by la», in addition
to the basic contract charge.
15. INVENT WMC agrees to maintain a compute inventor, of materials
and suppi.es as reared for the routine operation and maintenance of the
»ater System. The Water System »m be invoioed fO[
as same are acquired and/or placed in service.
16. COMP^SATZON, WRSC shall commence to perform ail of the above
described services on f
__for a charge to the Water System of
• Per month per residential equivalent customer billed.. Water System
agrees to pay BRAC a sum equal to the number of residential equivalent
customers billed the prior month times the monthly rate each month beginnlng
one month after service is commenced, water System also agrees to pay WEAC
for all other services rendered under this contract or »hich may be agreed
to in addition to the contract thirty ,30, days after such services are
rendered.
17. RENEGOTIATE OP AMOUNT OP COMPENSATION, BESC shall at the close
of the second quarter review all services performed under the contract ana
tabulate the total receipts under this contract and provide such information
to the water System. If the amount of revenue received is 9re,ter than the
actual costs of providing these services by more than 10,, the charge per
-nth per customer billed shall be adjusted proportionately for the remaining
two quarters of the contract year.
18. COSTS: For the purpose of computing cost under this contract,
* Calculated on the basis Of_ .customers.
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WRAC shall maintain records of materials and supplies and employee and
equipment time utilized in performing services under thi. contract. Employee
time shall include employee benefits, employer taxes and other costs directly
related to the payment of wages. Equipment time shall delude operating
and and maintenance costs, depreciation, finance charges and other charges
directly related to the utilization of the quipment. Administrative overheads
including supervisory salaries, rents, utilities, interest cost on inventory,
office equipment, and related charges may be allocated directly, as a
percentage of other charges, or on a per customer basis, using generally
acceptable principles of cost accounting.
19. POWERS: The Water System hereby authorizes the Corporation to
act as agent for the Water System in carrying out the functions that WRAC
has agreed to perform. WRAC agrees to obtain insurance to protect itself
and the Water System against any error or omissions by itself or its employees
as available and to inform the Water System of the limits and coverage of
the insurance that has been obtained. WRAC shall also provide fidelity
bond coverage by an insurance company on all WRAC employees handling Water
System funds.
20. DURATION: The contract shall become effective and shall remain in
effect for a period of one year from effective date gxven above, provided
however, that the charge for succeeding years will be established as set
out in Sections 17 and 18 above. An executed copy of this contract shall
be submitted to the Economic Development Administration (EDA) as per direction
of that Agency. Notice of termination of contractual arrangement may be
given by either party for cause upon 30 day written notice to the other
party, upon written approval of the EDA and/or its successors.
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21. Authorized agent(s) of the Water System
10, and 14 above is/are:
Chairman and/or Commissioner(s)
22. Depository Bank for Water System
pursuant to Sections 4,
pursuant to Section 5 above is
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IN WITNESS WHEREOF, the Water Resources Assistance Corporation, a non-
, a Water
profit Corporation, and the . ,
System, have caused their corporate name to .be signed hereto, attested by
their duly authorized officers, on respective dates as hereinafter set
forth:
ATTEST:
Water Resources Assistance Corporation
BY:
BY:
Date:
ATTEST:
BY:
Title
Water System
BY:
Chairman
Commissioner
Commissioner
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State of Kentucky
County of
I, the undersigned, a Notary Public in and for said County, in said
State, certify that _, whose name as Chairman of the
Water Resources Assistance Corporation, a Corporation, is signed to the
foregoing instrument and who is known to me, acknowledged before me on
this day, that, being informed of the contents of such instrument, he,
as such officer, and with full authority, executed the same voluntarily,
for and as the act of said Corporation.
Given under my hand, this the day of 19
Notary Public
My Commission Expires
State of Kentucky
County of
I, the undersigned, a Notary Public in and for said County, in said
State, hereby certify that__
whose name as of the ~~ ~'
a water system is signed to the foregoing instrument and who is known'
to me, acknowledged before me on this day, that being informed of the
contents of such instrument, he, as such officer, and with full authority
executed the same voluntarily, for and as the act of said water district.
Given under my had, this the day of
19
Notary Public
My Commission Expires
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FINANCIAL MANAGEMENT CONTRACT
1. Water Resources Assistance Corporation, hereafter WRAC, is a
non-profit corporation established to provide various services to small
water districts, municipal water systems and related entities which are not
large enough to economically provide such services for themselves.
2 , hereafter Water System, is a Water District
providing water service in . __County, Kentucky.
3. Water System has determined that it would be more economical and
efficient to have WRAC provide financial management services to the Water
System than to continue to perform such services for itself. These services
are to consist of reading the meters, preparing and sending the bills,
recording invoices and recommending payment of bills, preparing reports,
and other related bookkeeping and financial management functions as are
set out in more detail below.
4. WRAC does not assume responsibility for any contractural or financial
obligations of the Water System, but will merely collect bills, keep the
financial records, and recommend action on financial obligations to the
Water System. It is understood that this agreement can in no way alter,
change, lessen or mitigate contractual obligations of the Water System.
5. WRAC's policy requires that WRAC treat each Water System with which
it contracts as a separate and distinct entity. WRAC will therefore maintain
separate records and bank accounts enabling it to do so. The Water System
shall designate an FDIC insured bank to be used as a depository for funds
received on its behalf by WRAC, and all such funds will be maintained in
a separate account in Water System's name in that bank.
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6. WRAC will maintain office hours from 8:00 a.m. to 4:30 p.m. weekdays
(excepting legal holidays) and will be available during those hours to
answer questions regarding bills. WRAC will arrange for staff to attend
the monthly meeting of the Board of Directors of the Water System. It is
understood that all other services will be performed during normal working
hours.
7. BILLING: WRAC agrees to read the customer meters, prepare and send
monthly bills, including delinquent and disconnect notices, to receive
payment and deposit them to Water System credit in the designated bank, and
to prepare and maintain appropriate billing records including:
a. A customer profile card for each
customer.
b. A customer folder for each rental unit.
c. A monthly billing register containing information
on all accounts billed.
d. A monthly sales report.
e. An open balance register.
8. ACCOUNTING: WRAC will maintain Water System's accounts in a form
where all separate accounts required by the Kentucky Utility Regulatory
Commission, bond ordinances, or sound management practice can be readily
ascertained. WRAC will prepare monthly statement of accounts, will balance
the accounts and do reconciliations, and will also prepare projections of
income and expenses where appropriate.
9. REPORTS: WRAC will prepare and file all periodic accounting and
financial reports required by state and federal funding and regulatory
agencies and will in addition provide routine financial data to support
rate increase applications.
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10. PAYMENT OF BILLS: WRAC shall at the monthly meeting of the Board
of Directors of the Water System report on revenues, showing sources, funds
available, and obligations. WRAC will make recommendations to the board as
to obligations requiring payment. Upon authorization by the Water System,
WRAC shall prepare checks for signature by the Chairman or other designated
member of the Water System Board of Directors.
11. INVENTORY: The Water System will give WRAC its existing inventory
of billing and accounting materials and supplies. WRAC will supply all
future billing and accounting materials and supplies.
12. COMPENSATION: WRAC shall begin providing the above-described
services on for a charge tO the Water
System of $ per month per customer billed. Water System agrees
to pay WRAC a sum equal to the number of customers billed the prior month
times the monthly rate each month beginning one month after service is
commenced. The Water System and WRAC may also agree for WRAC to furnish
additional services not specifically designated above. Such an agreement
shall be in writing, and shall set out the amount to be paid or the rate at
which such amount is to be computed. Sums owing under such agreements
shall also be due and payable the month after the services are rendered.
13. RENEGOTIATION OF AMOUNT OF COMPENSATION: During the first year of
this contract, WRAC shall at the close of each quarter review all services
performed under this contract and tabulate the total receipts under this
contract and provide such information to the Water System. If the amount
of revenue received is greater than the actual costs of providing these
services by more than 10%, the charge per month per customer billed shall
be adjusted proportionately.
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14. COSTS: For the purpose of computing cost under this contract,
WRAC shall maintain records of materials and supplies and employee and
equipment time utilized in performing services under this contract. Employee
time shall include employee benefits, employer taxes and other costs directly
related to the payment of wages. Equipment time shall include operating
and maintenance costs, depreciation, finance charges and other charges directly
related to the utilization of the equipment. Administrative overheads
including supervisory salaries, rents, utilities, interest cost on inventory,
office equipment and related charges may be allocated directly, as a
percentage of other charges, or on a per customer basis using generally
acceptable principles of cost accounting.
15. POWERS: The Water System hereby authorizes the Corporation to
act as agent for the Water System in carrying out the functions that WRAC
has agreed to perform. WRAC agrees to obtain insurance to protect itself
and the Water System against any errors or omissions of itself or its
employees and to inform the Water System of the limits and coverage of the
insurance that has been obtained. WRAC shall also provide fidelity bond
coverage by an insurance company on all WRAC employees handling Water
System funds.
16. DURATION: The contract shall become effective
and shall remain in effect for a period of one year. It may be renewed
for periods of one year thereafter, by the Eater System, provided, however
that the charge for succeeding years will be based on the actual cost for
the prior year after adjustment for known changes.
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IN WITNESS WHEREOF, the Water REsources Assistance Corporation, a
non-profit Corporation, and a water utility system have each caused their
corporate name to be signed hereto, and their corporate seal to be affixed
and attested by their duly authorized officers, on this the day
of 19 _.
ATTEST:
Water Resources Assistance Corporation
BY:
Secretary
BY:
President
ATTEST:
Water District
BY:
Secretary
BY:
Chairman
State of Kentucky
I, the undersigned, a Notary Public in and for said County, in said
State, certify that Bill H. Howard, whose name as Chairman of the Water
Resources Assistance Corporation, a Corporation, is signed to the foregoing
instrument and who is known to me, acknowledged before me on this day,
that, being informed of the contents of such instrument, he as such officer,
and with full authority, executed the same voluntarily, for and as the act
of said Corporation.
Given under my hand, this the
day of
1979.
Notary Public
My Commission Expires_
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State of Kentucky
_
offcer contents °f s»<"> instrument, he, as such
1'
Given under my hand, this the _ day of _ 1979.
Notary Public
My Commission Expires
*U.S. GOVERNMENT PRINTING OFHCE:i 981* -5
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