SEPA
Unit>
Erwii
DC 20460
June 1979
EPA/430/9-79-013
Management of
Small-to-Medium
Sized Municipal
Wastewater
Treatment Plants
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MANAGEMENT OF
SMALL-TO-MEDIUM SIZED
MUNICIPAL WASTEWATER TREATMENT PLANTS
by
Culp/Wesner/Culp-Clean Water Consultants
Box 40
El Dorado Hills, CA 95630
Contract No. 68-01-4917
EPA
Project Officer
Lehn Potter
July, 1979
Prepared for
U.S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF WATER PROGRAM OPERATIONS
WASHINGTON, D.C. 20460
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DISCLAIMER
This report has been reviewed by the U.S. Environmental Protection Agency,
and approved for publication. Approval does not signify that the contents neces-
sarily reflect the views and policies of the U.S. Environmental Protection
Agency, nor does mention of trade names or commercial products constitute
endorsement or recommendation for use.
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CONTENTS
Figures iii
Tables v
Introduction 1
Purpose 1
Scope 1
Structure 2
1. Management Opportunities, Responsibilities, and Constraints .... 3
Opportunities and responsibilities 3
Constraints 3
2. Evaluating the Effectiveness of Plant Management 5
3. Organizational Considerations 9
Type of ownership 9
Internal organization 10
4. Regulations 19
5. Planning, Programming, and Budgeting 23
Records - the basis for planning 23
Long range planning 34
Budget preparation and control 35
Preventive maintenance budget 35
Corrective maintenance budget 36
Major repair budget 36
Total maintenance budget 37
Emergency planning 37
Insurance 40
6. Financing 43
General considerations 43
Capital costs 43
Determining total annual revenue requirements 46
Distributing the costs among users 47
Establishing user charges 48
Rate increases 49
7. Evaluating Staffing Needs 51
General considerations 51
Determining staff size 51
Determining the qualifications and skills needed 65
Certification programs 70
Training programs 75
Safety programs 79
8. Employee Relations 87
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Recruiting new employees 87
Communications 88
Personnel records 96
Salary and benefit structure 96
Motivation 97
Absenteeism 101
Promotion policies 102
Collective bargaining and contract administration 102
9. Public Relations 105
Routine public contacts 105
Relations with other departments or agencies 107
Public information programs . 107
10. Selection and Use of Consultants 119
Types of consultants 119
Why hire a consultant? 119
Selection procedures 119
Working with the consultant 121
11. Contracts for Operation and Maintenance 123
Full operation and maintenance contracts 123
Operational assistance contracts 127
12. Energy Conservation 129
The need for conservation 129
Energy uses in wastewater treatment 129
Conservation possibilities and programs 129
Solar energy 136
Management of operations 139
References 141
Appendices
ii
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FIGURES
Number Page
1 Organization chart illustrating structure for co-ordination of
different functions 13
2 Typical report forms 25
3 Sample equipment record card 30
4 Sample inventory card 31
5 Sample storeroom ticket 32
6 Sample purchase order 33
7 Staff size vs. actual flow - primary treatment 53
8 Staff size vs. actual flow - trickling filter 54
9 Staff size vs. actual flow - activated sludge 55
10 Staff size vs. actual flow - advanced treatment 56
11 Labor requirements for primary sedimentation 57
12 Labor requirements for sedimentation 58
13 Labor requirements for primary sludge pumping 59
14 Labor requirements for laboratory 63
15 Table of adjustments for local conditions 64
16 Organization chart - conventional wastewater treatment plant .... 66
17 Organization charts - plant size: 10 mgd or less 67
18 Form for estimating plant staffing positions 71
19 Certification requirements 73
iii
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Number Page
20 Average annual training expenditures 76
21 Average annual training expenditure per $100 salary cost 76
22 Injury frequency rate vs. year 80
23 Injury frequency rate vs. population served by system 81
24 Supervisor's accident report form 85
25 Monthly accident summary form 86
26 Example new release 109
27 Expenditure distribution of operating funds . . 113
28 Anaerobic digester gas utilization system 137
29 Solar energy system for water and space heating 138
iv
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TABLES
Number page
1 Management Evaluation Form 6
2 Example Job Descriptions 14
3 Example Use of Budget Comparison for Cost Control - Operations
and Maintenance Expenditures Compared With Budget -
January 1, 1978 Through June 30, 1978 38
4 Example Capital Budget - Five-Year Plan for Vehicles 39
5 Level of Utilization Determination 61
6 Certification Program Administration 74
7 Ranking of Factors Limiting Performance for Thirty Evaluated
Facilities 77
8 Minimum Recommended Safety Equipment for Wastewater Works
Personnel 84
9 Illustrative Personnel Performance Evaluation Form 91
10 Total Suspended Solids (Non-Filterable Residue) 114
11 Summary of Operating Results 115
12 Energy Requirements for Continuous and Intermittent Operation
of a Vacuum Filter System 135
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INTRODUCTION
This manual is intended for those who manage wastewater treatment systems.
These people, whether they be city managers, mayors, plant managers, or chief
operators, play a crucial role in the successful operation and maintenance of the
treatment facilities. This success is the key to realizing the full potential of
the capital investment associated with the facilities. Regardless of the adequacy
of the system design or the skills of the plant staff, plant performance is
directly related to the effectiveness of the plant manager. The plant manager
must show his staff the style, pace, and attitude he wants them to adopt and
maintain.
There are many manuals and handbooks dealing with the technical aspects of
wastewater treatment process operations, plant maintenance, troubleshooting, etc.
These have been published by the U.S. Environmental Protection Agency, profes-
sional organizations, and private concerns. On the other hand, little attention
has been given to overall plant management. This manual provides the information
needed by plant managers to be more effective in their jobs.
PURPOSE
Although small- to medium-sized municipal wastewater treatment plants con-
stitute over 95 percent of the plants in the United States, the operators of
these plants often have limited training or experience in management. Many times
their responsibilities encompass a variety of duties, leaving little time for
them to develop the skills required to be effective managers. This manual is
intended to fill the gaps where the manager lacks experience and to identify
areas where he can best develop his management skills.
Completing the simple evaluation form in Section 2 will show the manager
areas where his management practices are weak; it also is a handy reference to
the sections of the manual which provide specific information on good management
practices. Using the guidelines provided in this manual on implementing new or
improved management programs will help the manager become more effective and use
his time more efficiently.
SCOPE
As indicated by the title, this manual is for the managers of small- to
medium-sized municipal wastewater treatment plants. Although much of the infor-
mation would be useful to any plant manager, it is primarily aimed at those indi-
viduals managing plants in the range of 3 to 10 mgd.
Managers of very small plants may not be concerned with all of the topics
discussed in the manual. Their staffing structure, for example, might be very
simple. They may only have one or two people working for them. On the other hand,
their system may be so small that they might operate the plant alone, perhaps on
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a part-time basis only. In contrast to this, plants greater than 10 mgd serve
sizable populations and may involve shift operation and relatively complex staff-
ing and administrative arrangements. In such cases, professionally trained man-
agers may be directing system operations.
The topics addressed in this manual cover the most common areas of deficient
management. The information is intended to be comprehensive without being overly
specific. Very detailed or localized information was intentionally left out so as
not to confuse those managers not affected by it. Examples have been used for
illustrative purposes, however, care must be taken to consider how local condi-
tions might influence the actual application of these management tools.
STRUCTURE
This manual is divided into twelve major sections which cover various
aspects of plant management. Each section is intended to be self-contained,
although there are interrelationships among the topics discussed.
In addition to the table of contents, there is a graphical summary at the
beginning of each section of this manual. This illustration identifies the major
subject areas discussed in the section and key management tools and practices
included in it. This format is useful in quickly identifying the location of a
particular subject and showing its relationship to other subjects within the sec-
tion. The cited references are listed in numerical order at the end of the man-
ual. In many cases, more specific detail on a particular subject is available in
these references. A list of the publishers' addresses has been included so copies
can be ordered for the plant library.
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MANAGEMENT OPPORTUNITIES,
RESPONSIBILITIES & CONSTRAINTS
OPPORTUNITIES & RESPONSIBILITIES
Efficient operation to meet legal
requirements at reasonable cost
Adequate record system
Planning & budgeting
Good working conditions & employee
incentive
Good public relations
CONSTRAINTS
Legal framework
Facility limitations
Financial
Staffing
Public attitude
Consultants
Resource availability
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SECTION 1
MANAGEMENT OPPORTUNITIES, RESPONSIBILITIES, AND CONSTRAINTS
OPPORTUNITIES AND RESPONSIBILITIES
The proper operation and maintenance of a community's wastewater treatment
plant is an important community function* The cost of wastewater treatment can be
a big item in the municipal budget. Your responsibility for the wastewater system
gives you the opportunity to contribute to a clean, healthful environment at
least cost.
It is important that you not only have the technical skills needed but also
provide effective management of the system to achieve the primary purpose of the
wastewater treatment system - to provide an adequate level of wastewater treat-
ment in an economical manner. Your responsibilities to do this include (1):
• Providing efficient, continuous operation of the system so that all
legal requirements are met at reasonable cost and without unnecessary
consumption of resources
• Maintaining adequate system records
• Providing responsible officials with information essential to planning,
budgeting, and management of the system
• Maintaining good working conditions and incentives for employees
• Establishing and maintaining good public relations
Meeting these responsibilities requires teamwork among all involved. It is
your job to keep the city management informed of your needs and accomplishments,
and how your program fits in with the other city programs. You are the profes-
sional from whom other officials expect answers about the treatment plant. As a
manager, you must consider the factors of people, finance, and administration as
well as the technical aspects of plant operation. As plant size increases, you
have to leave more of the technical work to other personnel and concentrate on
the management aspects (2). In anticipation of this, you should have an ongoing
program to train an assistant who can take over as your responsibilities change.
CONSTRAINTS
Numerous constraints can provide a challenging opportunity for wastewater
system managers. These are highlighted here and discussed in more detail in later
sections of this manual.
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Federal, state, and local laws and regulations - These include the
organizational framework of the utility itself, the level of treatment
required by the discharge permit, equal employment opportunity require-
ments, Occupational Safety Health Act, Federal Clean Water Act and
Amendments, local building codes, public utility commission regula-
tions, etc* See Section 4 for discussion*
Treatment facility - Deficiencies in size, nature or construction may
be corrected in time, but can be significant on a short-term basis.
Financial resources - Legal limits on bonded debts, acceptability of
user charges, and compatibility of staff salaries with those in other
municipal departments. See Sections 5 and 6 for discussion.
Staff - Qualifications and number can be modified in time if past prob-
lems in employee selection, motivation and training can be overcome.
See Sections 7 and 8 for discussion.
General public - Negative attitudes can result in difficulty passing
bond issues or establishing rate increases; good public relations
should be established. See Section 9 for discussion.
Consultants - Various types of consultants can provide invaluable
assistance in design, financial planning, operations, and public
relations, but can also impose constraints on system management. See
Sections 10 and 11 for discussion.
Resources - Availability and cost of electricity, fuel, chemicals,
etc* can be a limitation. See Section 12 for discussion.
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EVALUATING THE EFFECTIVENESS!
OF PUNT MANAGEMENT I
• Management evaluation form
- Basic organization
— Planning & budgeting
— Staffing
— Employee relations
— Publif relations
— Use of consultants
Problem analysis
— Define problem
— Find cause
— Consider alternative
— Analyze alternative
— Adopt solution
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SECTION 2
EVALUATING THE EFFECTIVENESS OF PLANT MANAGEMENT
The first step in improving the management of the wastewater treatment sys-
tem is making an objective, realistic evaluation of current management. Such an
evaluation will identify areas in need of improvement. Table 1 is given to assist
in the evaluation. Each "No" answer will reflect a target area. The related sec-
tion(s) of this manual are noted. For example, if the item "The budget has proven
realistic" is answered "No," then Section 5 should be used for guidance. Table 1
is not a substitute for a thorough, detailed analysis, but it will point to areas
which need more study.
The later sections of this manual provide specific guidance for specific
problems. However, the real problem must be correctly and fully defined before
they will be useful. For example, high turnover of personnel indicates a problem
with employee relations. The problem could be caused by poor salaries, poor work-
ing conditions, a supervisor who cannot get along with people, lack of
opportunity to advance, or frustration with having more than one boss. The
effect of "losing too many people" could be related to any one of the above
cauaes. Determining the real cause is a key to improved management. A problem
cannot be solved until its true cause is known. A decision to make a change to
overcome a problem based on the wrong cause will not be effective and may
actually worsen the situation.
The following steps provide a logical approach to problem solving which
apply regardless of the nature of the problem. Following them will reduce the
common errors of jumping to conclusions and adopting the wrong solution.
Define the problem
Find
the
cause (s
0
Consider alternatives
to eliminate the cause(s)
Consider problems
with each alternative
Adopt solution
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TABLE 1. MANAGEMENT EVALUATION FORM
If no,
Item Yes No refer to manual section
BASIC ORGANIZATION
Responsibilities assigned based on
an organization plan 3
Each position has a job description 3
Reporting responsibilities defined 3
Each individual has only one "boss" 3
No < one supervises more than 5 people 3
There is an organization manual 3
PLANNING AND BUDGETING
An accurate set of as-built
drawings is maintained 5
There is an equipment numbering
system for identifying major
equipment items 5
A maintenance schedule is maintained 5
Cost codes are used to determine
where costs are occurring 5
Accounting records adequately define
nature of costs 5
An annual budget is prepared 5
The budget has proven realistic 5
Insurance needs are regularly evaluated 5
Actual costs are compared to
budgets at regular intervals 5
STAFFING
Staff size appears to be reasonably
balanced with the work load 7
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TABLE 1 (Continued)
If no,
Item Yes No refer to manual section
STAFFING (Continued)
The staff has the skills needed
for good plant operation 7
Operators are encouraged to be
certified 7
Personnel ate encouraged to attend
training courses 7
On-the-job training is provided 7
There has been a lack of accidents
and Injuries at the plant 7
Accidents are promptly reported
and the causes analyzed 7
Problems with equipment or treatment
processes are quickly corrected 7
EMPLOYEE RELATIONS
Turnover of personnel has been
reasonable 8
Employee absenteeism is reasonable 8
Applicants are interviewed and
tested 8
New employees receive orientation 8
There is an employee manual which
contains policies on vacation, sick
leave, etc. 8
Current employees are carefully
considered for promotion to
vacancies 6
Exit interviews are held with
employees leaving 8
Salaries and benefits are
competitive 8
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TABLE 1 (Continued)
If no,
Item Yes No refer to manual section
EMPLOYEE RELATIONS (Continued) ~~ ~~
Personnel performance measured
against established standards 8
PUBLIC RELATIONS
Relations with regulatory agencies
are positive
Recent bond issues for the wastewater
system have passed
Wastewater system personnel frequently
attend city council meetings
The relationship with the city
council is good 9
Complaints are promptly handled 9
Have operators talked to citizens'
groups or schools in the last year 9
An annual public report on plant
operations is prepared and distributed 9
CONSULTANTS
The plant O&M manual is useful 10
Procedures based on qualifications
and proven experience have been estab-
lished for the selection of consultants 10
The need for consulting services
is widely advertised 10
The operators have a good relationship
with the consultants 10, 11
Design consultants follow-up
after the plant is in service 10, 11
Contract clearly defines terms & condi-
tions of technical, financial & legal
responsibilities of all parties 11
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13 ORGANIZATIONAL CONSIDERATIONS]
TYPE OF OWNERSHIP
• Public
• Private
INTERNAL ORGANIZATION
• Principals of organization
• Structuring an organization
• Job descriptions
— Example
• Making the organizational
plan work
• Relationship with other
departments
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SECTION 3
ORGANIZATIONAL CONSIDERATIONS
TYPE OF OWNERSHIP
Public
Most of the wastewater treatment systems In the U.S. are publicly-owned.
These systems usually operate under one of the following organizations (3):
• The wastewater utility is part of a city department which reports to a
city council and mayor (city council form).
• The wastewater utility is part of a city department which reports to a
city manager who in turn reports to a city council (city manager
form).
• The wastewater utility is separated from other departments and reports
to a municipal board or commission other than the city council.
• The wastewater utility is in a separate utility district apart from the
city government and reports to a utility board.
• The wastewater utility is a regional authority which serves more than
one town or county and reports to an authority board usually made up of
representatives from each jurisdiction.
In the small- to medium-sized municipal wastewater treatment systems under
the city council form of government, the manager of the wastewater system usually
has the chance to be directly involved in decisions made by the city council. The
council often turns to the wastewater system manager for status reports and
information needed for the city budget.
Under the city manager form, the wastewater treatment system manager is not
directly involved with the council. In either form, the wastewater manager's
involvement is less if the wastewater utility is part of a larger public works or
engineering department. In these cases, the manager's influence on the municipal
decision-making process is dependent upon his dealings with the city manager or
public works director. The manager's cost analyses and budget preparation can
become more complicated if office practices such as accounting and billing are
combined with those of other departments or divisions within the same
department.
In cases where the wastewater manager reports to a separate municipal board,
utility district, or regional wastewater authority, it usually means that the
wastewater system activities are separated from other government departments.
This often is more efficient because the wastewater manager is in direct contact
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with his board and is involved in the policy discussions. Separate budgets and
accounting also provide for more effective planning.
You should:
• Identify the form of government under which you are operating.
• Concentrate your efforts on providing information and influencing gen-
eral policy on the right person or persons. Concentrating your communi-
cation effort on the wrong person may create poor relations with the
people that make management decisions affecting the wastewater system.
For example, if you report to a city manager, concentrate your efforts
on communicating with him rather than individual council members.
Private
A few cities are served by privately-owned wastewater utilities. These util-
ities are often operated by corporations whose stockholders elect a board of
directors. Each of these utilities usually has a manager who reports to the
executive officer of the corporation.
INTERNAL ORGANIZATION
Principles of Organization
There are some widely accepted, basic rules of organization which apply to
any size or type of organization (3):
• Each person should have clearly defined responsibilities.
• Each person should always have the authority he needs to meet his
responsibilities.
• Each person must know who supervises him.
• The organization should be based on the objectives to be achieved and
not on the abilities and limitations of the management or staff.
• No one should have more than one boss.
• No one should directly supervise more than about 5 people (the exact
number depends on the nature of the work performed).
• Criticism should be made privately, never in the presence of others.
• Promotions, wage changes, and disciplinary action should be approved by
the supervisor directly responsible for an individual.
• The organization should be simple and flexible.
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Structuring an Organization
An organization is made up of groups with different functions (such as oper-
ations, maintenance, etc.) (4). A planned system is needed to coordinate the
efforts of these groups. The structure must establish a clear-cut line of author-
ity and responsibility for each person in the organization. The factors that
determine how many people can be supervised include the type of work and the
location of the personnel. One construction foreman may be able to supervise 20
laborers working in one small area. However, experts in the management area agree
that as a general rule one person should not attempt to directly supervise more
than 5 people. The management plan should reflect this consideration.
To illustrate the application of organization principles, consider the
organizational framework for a 10 mgd wastewater treatment system. A smaller sys-
tem may not separate the functions to the same degree but the basic concepts
would still apply. The system is an activated sludge treatment plant with the
following process:
Primary Sedimentation
Aeration Basins
Aeration Equipment
Secondary Sedimentation
Return Activated Sludge Pumping
Waste Activated Sludge Pumping
Primary Sludge Pumping
Chlorine Contact Basins
Chlorination Equipment
Gravity Thickening
Dissolved Air Flotation Thickening
Vacuum Filtration
Polymer Feed and Storage
Incineration
The most important step in setting up the organization is to identify the
functions to be carried out. In our example, the wastewater system is separate
from other municipal departments. It has its own clerical and accounting staffs.
The functional groups which form the organization include:
• Plant operations - The function of the plant is to produce effluent
with a required degree of treatment. This is done by the plant staff
who operate pumps, valves, and other process controls and equipment.
• Plant maintenance and repairs - The plant equipment, grounds, and
structures must be maintained in presentable, safe, and operable condi-
tion to be functional. The duties of the maintenance group include
equipment repair, preventive maintenance, stocking spare parts and
tools, grounds work, etc.
• Collection system maintenance and repairs - Maintenance of gravity
sewers may be a fairly simple task done by the plant maintenance crew.
Force mains with remote pump stations or combined systems may require a
separate maintenance group.
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• Laboratory - Specially trained technicians are needed to do laboratory
analyses for process control and for compliance with state and federal
regulatory requirements.
• Clerical - Clerical tasks required may include cost records, billings,
typing letters, maintaining personnel and other files, etc.
Figure 1 illustrates a typical five-function organization. The operation and
maintenance functions have been subdivided to reduce the number of subfunctions
managed by any one individual. For smaller systems, some functions might be com-
bined and the responsibility of a single individual. There are dangers, however,
in assigning too many jobs to one person. All functions must be accomplished
regardless of plant size and the one-boss/five-person management policy should
not be forgotten. It is important, too, that adequate backup be provided in the
event that a staff member is unable to complete his assignments. Don't overlook
your own position; have a well-trained assistant who can take over if you're
gone.
Job Descriptions
Any organization is made up of people whose functions are different. For
example, the operation of the treatment plant and the maintenance of the plant
equipment are different functions which are often assigned to different people.
The organizational arrangement must offer a means to coordinate the different
functions. Each function and the area of responsibility of each individual must
be defined.
Misunderstanding and conflict are inevitable if individuals try to define
their own duties. Written job descriptions defining the responsibilities of each
position will bypass this hazard. Table 2 offers two examples of job descriptions
- one for a supervisory position and one for a staff position. As with all job
descriptions, they include:
Position title
Duties of the position
Who the individual reports to
Who the individual supervises
Qualifications required
Why bother to prepare job descriptions? They actually serve many purposes.
They help in recruiting personnel because they present a brief, uniform descrip-
tion of the job to every candidate. They help in screening personnel for trans-
fers and promotions. Appraisals of performance (discussed in Section 8) are more
meaningful when they are based on a job description.
If you don't already have job descriptions for some or all positions, here
are some suggestions on how to prepare them:
• Ideally, the person in the job should write the first draft himself. If
he's never written a job description before, give him some kind of out-
line to follow or a list of key questions to consider such as:
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ADMINISTRATION
Plans, directs, coordinates system operation;
public relations
-i
OPERATION
General supervision of
all shifts
WASTEWATER TREATMENT
Preliminary, primary, seco
secondary sludge, sludge
pumping, disinfection
SLUDGE DEWATERING
Conditioning, thickening,
vacuum filtration
SLUDGE INCINERATION
Incineration, ash
disposal
MAINTENANCE
Maintain, repair all plant facilities
MECHANICAL
MAINTENANCE
Maintain, mechanical equip,
such as pumps, scrapers, .
mobile equip. Incineration
ELECTRICAL
MAINTENANCE
Maintain conduits,
motors, generators,
lighting
BUILDINGS AND
GROUNDS
Maintain plant
roads, yard
Janitor service,
painting
SUPPLIES
"Receive and
dispense
supplies, tools
LABORATORY COLLECTION
SYSTEM
Inspect and maintain pump stations,
CO 11 ectlon Unas
LABORATORY
Process, control tests, routine monitoring for
regulatory agencies
CLERICAL
Billing, accounting, typing
Figure 1. Organization chart illustrating structure for co-
ordination of different functions.
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TABLE 2. EXAMPLE JOB DESCRIPTIONS
EXAMPLE A
MAINTENANCE MANAGER
General Statement of Duties
Manages the maintenance of the wastewater treatment and solids processing
facilities.
Organizational Responsibility
Works under the general direction of the System Manager, directs the work
of maintenance supervisors. Confers with Operations Manager on critical
process operations and maintenance priorities.
Typical Duties
1. Establishes procedures and schedules for maintenance of facilities and
equipment.
2. Proposes replacements, repairs, and facility modifications, estimates
costs and presents recommendations as necessary.
3. Evaluates results and costs of preventive and corrective maintenance
work.
4. Administers maintenance personnel, recommends appointments, assigns
responsibilities, directs accident prevention and training activities,
etc.
5. Participates in planning and preparation of annual budgets for mainte-
nance of facilities and equipment.
6. Develops and presents reports on maintenance facilities and equipment.
Minimum Qualifications
Three years' management experience in plant maintenance.
Ten years' progressive experience in the management of plant maintenance,
including specific experience with both mechanical and electrical
equipment.
Desired Knowledge, Skills, Abilities, and Education
Five years' progressive experience in maintenance management of wastewater
treatment or other processing industry facilities. Knowledge of equipment,
process control, and instrumentation.
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TABLE 2 (Continued)
EXAMPLE B
PLANT OPERATOR
General Statement of Duties
Performs skilled work to control physical, chemical, and biological waste-
water treatment process.
Organizational Responsibility
Works under the general direction of a Operations Supervisor. Does not
supervise other employees.
Typical Duties
1. Monitors the performance of and operates mechanical devices designed
to process wastewater.
2. Controls the quantity and quality of solids processed through the use
of laboratory test procedures, flow measuring devices, and control
instrumentation.
3. Monitors unit process variables and initiates changes as determined
through calculations, test procedures, and independent judgement in
order to achieve operational goals.
4. Starts up and shuts down components of wastewater treatment processes
as required and/or directed.
5. Records quality of treated wastewater using laboratory tests such as
turbidity, dissolved oxygen concentration, chlorine residual, colori-
metric analyses, and temperature.
6. Samples wastewater and solids processing streams.
7. Provides minor mechanical maintenance, adjustment, and inspection to
equipment as directed.
8. Requests maintenance for the repair, modification and/or improvement
of equipment as needed.
9. Assists in maintaining equipment and in providing a neat and orderly
work area.
10. Keeps unit process operation log sheets.
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TABLE 2 (Continued)
Minimum Qualifications
Ability to do problems in decimals and fractions.
Ability to interpret charts and flow diagrams.
Ability to work with minimal supervision and exercise independent
judgement.
Ability to perform minor mechanical maintenance.
Ability to understand basic physical, chemical, and biological principles.
Ability to communicate effectively verbally and in writing.
Capable of working with others.
Desired Knowledge, Skills, Abilities and Experience
Licensed wastewater treatment plant operator.
Working knowledge of wastewater treatment plant equipment.
Working knowledge of routine maintenance of wastewater treatment plant
equipment.
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- What is your Job title?
- What is the title of the person you report to?
- Who do you supervise (by job title)?
- What are your regular duties?
- How much supervision do you receive? Give some examples.
- What equipment do you operate?
- What is your education and experience?
• The supervisor should review the first draft and note any changes he
feels should be made. If the person is unable to write his own job
description, the supervisor will have to do it.
• The employee and supervisor should sit down together and work out any
differences between the first two steps.
Making the Organizational Plan Work
An organizational plan like that shown in Figure 1 provides a structure for
coordinating different work functions. However, the plan and related job descrip-
tions cannot provide successful operation of a wastewater treatment system alone.
They are only a tool for helping people work together. Good working relationships
require understanding and flexibility. Among the key ingredients of a successful
organization are:
• Make the organization plan available to everyone.
• All employees should clearly understand the limitations of their func-
tions so that they can do their work right. The manager must thoroughly
understand his organization and must watch the areas where overlapping
leads to jealousy and friction.
• Be flexible. Modifying the organizational structure should not become a
hard or dreaded job.
• Keep people informed. The average human being is curious. He enjoys
knowing what's going on, even though it has no direct bearing on his
function. The general condition of the city's budget and the activities
of other departments are of Interest to the people working in the
wastewater division. Early release of information on changes in the
plant gives people a feeling of being part of the group and reduces
"behind the scenes" gossip.
• Encourage employees' groups where the staff can meet to discuss plant
problems and plans.
• Be sensitive to people. Be sympathetic to hardship cases, promote from
within your staff whenever possible, and maintain conditions which
encourage career service.
• Try to anticipate problems so they can be prevented rather than
corrected.
17
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• Don't make important decisions when you are tired or emotionally
upset.
An organization manual is very useful in letting everyone known where they
fit into the system. The manual should include the current organization chart,
the job descriptions for each position, and a discussion of how the various
groups should work together. Such a manual is also useful in the orientation and
training of new employees.
Relationship with Other Departments
Many small- to medium-sized wastewater systems do not include all of the
needed functions (such as clerical, accounting, etc.) and rely on other municipal
departments for these functions (5). In these cases, coordination and cooperation
are extremely important. Even when such services are not involved, you must
clearly understand how the various municipal departments work together and how
municipal decisions are made (6). Communications with other departments are
important because their policies and programs can affect the wastewater system.
Day-to-day situations such as closing streets for line repair or replacement call
for coordination with the police department and refuse collection operations.
Decisions made by the planning or zoning agency can have a major effect on the
long-term capacity needs of the system. Budget coordination with other municipal
departments is essential if the wastewater system is to be adequately funded. You
cannot focus your attention solely on your own organization, but must also
communicate and coordinate with other municipal departments (see Section 9).
18
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4 REGULATIONS
Federal water pollution laws
State laws & regulations
Equal opportunity
O.S.H.A.
Safe Drinking Water Act
Industrial p retreatment
Meeting reporting requirements
-------
SECTION 4
REGULATIONS
The passage of the Federal Water Pollution Control Act (Public Law 92-500)
in October, 1972 represented the most complicated and comprehensive regulations
related to wastewater treatment ever enacted. It also marked a period in which
the number of federal and state laws and regulations affecting the wastewater
treatment field increased dramatically. Many of the requirements are directly
related to the planning and design of facilities and don't directly impact the
management of your system. Only those which most directly affect your management
practices will be discussed.
Federal Water Pollution Laws
Public Law 92-500 and the Amendments of 1977 establish several constraints
to system management. One of the most direct concerns is the National Pollutant
Discharge Elimination System (NPDES) which established a system of discharge per-
mits. The discharge permit for your plant defines the quality of effluent that
must be produced, and outlines the tests to be performed, frequency of testing,
and acceptable method of sampling to be used with each test. (These are not
necessarily the same as your process control tests.) The EPA administers this
program except in those states which have been given regulatory authority.
In addition to specifying the effluent quality and sampling techniques, the
permit may also establish:
Pretreatment requirements
Seasonal requirements for different levels of treatment
Constraints on sludge disposal
A schedule for modification of the system
Monitoring requirements for the receiving stream
Frequency of reporting
Pretreatment requirements are intended to control the concentrations of cer-
tain pollutants in industrial wastewater discharged to municipal systems. These
standards apply to heavy metals, trace elements, and other pollutants which are
difficult to treat by conventional treatment processes, might upset plant opera-
tions, or which could restrict the use of sludges*
Seasonal requirements for different levels of treatment are found in cases
where receiving water flows are extremely low at certain times of the year or
where fish life may be harmed during summer months and/or periods of migration.
For example, ammonia concentrations are sometimes limited to protect fish life
during warm weather periods.
19
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Constraints on sludge disposal to protect public health and prevent crop
damage may apply if the sludge is used for agricultural purposes or as soil con-
ditioner* Public health related constraints include stabilization requirements
for pathogen (disease causing organism) destruction and restrictions on public
contact or consumption of food crops. Protection of crops consists of limitations
on heavy metals, especially cadmium, which could damage plant life or cause
health hazards to consumers of the crop grown.
System modification schedules are usually provided when a new permit is
Issued having more stringent standards than can be met with existing facilities.
These schedules are provided so that your agency has time to build a new facility
or modify one that is existing.
Monitoring requirements for the receiving stream are often needed to docu-
ment the impact of the discharge. Frequency of reporting tells the required time
interval for submitting permit reports.
It is essential that you read and understand your discharge permit. If you
are uncertain about any of the sections of the permit, contact your state pollu-
tion control agency or consulting engineer for clarification. Violations of your
permit may result in substantial fines (up to $25,000 per day) imposed on your
agency or city. However, if for any reason you don't have the required monitoring
data, don't falsify records or reports. Note the causes for the lack of informa-
tion and leave the records blank. There have been recent instances where opera-
tors and local officials have been prosecuted, convicted, and fined for making
false reports.
The Clean Water Act Amendments of 1977 also restrict the use of general
property taxes and cost recovery from industry for financing wastewater treat-
ment. These restrictions are discussed in Section 6, Financing.
State Laws and Regulations
Most state laws and regulations have been developed to meet federal require-
ments or modify them to suit local conditions. In addition, many states have a
mandatory operator certification regulation and some have voluntary operator
certification (see Section 7). Most states define the certification requirements
as part of the permit requirement.
Equal Opportunity
Equal employment opportunity is implemented through affirmative action
plans. These plans require that no qualified individual be refused employment
because of race, color, age, or sex and that minority ratios of the surrounding
community be somewhat reflected in employment ratios.
You should know your local agency or municipality affirmative action plan.
Do not rely solely on a personnel department to tell you who you can or cannot
hire. It is important that you have capable, qualified people to operate the
treatment plant.
20
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OSHA
The most important development in many years in the field of safety is the
Occupational Safety and Health Act (OSHA) of 1970. The purpose of the law is "to
assure so far as possible every working man and woman in the nation safe and
healthful working conditions and to preserve our human resources."
OSHA provides that each employer:
Has the general duty to furnish each of his employees employ-
ment and places of employment which are free from recognized
hazards that are causing or likely to cause death or physical
harm; and has the specific duty of complying with safety and
health standards promulgated under the act.
The employee has to comply with the safety and health standards and all
rules, regulations, and orders issued which apply to his own actions and
conduct.
A detailed document, "Occupational Safety and Health Standards/' presents
very specific standards on mechanical equipment, handrails, chemical handling,
emergency equipment, protective clothing and equipment, electrical systems, etc.
These standards are available from the U.S. Department of Labor, (Chapter XVII,
Part 1910 - Occupational Safety and Health Standards) and contain the following
major sections:
Walking-Working Surfaces
Means of Egress
Powered Platforms, Manlifts, and Vehicle Mounted Work Platforms
Occupational Health and Environmental Control
Hazardous Materials
Personal Protective Equipment
General Environmental Controls
Medical and First Aid
Fire Protection
Compressed Gas and Compressed Air
Materials Handling and Storage
Machinery and Machine Guarding
Hand and Portable Powered Tools and Other Hand-Held Equipment
Welding, Cutting, and Brazing
Special Industries
Electrical
This list reflects the comprehensive nature of these standards. You should
obtain a copy of the standards from your city or agency attorney, consulting
engineer, or from the regional Department of Labor Office.
Some of the provisions Included in OSHA have caused a great deal of concern.
The law provides the right of inspectors to come into a plant and investigate the
work conditions, to issue citations for violations of standards, and to assess
fines against the employer. The law gives employees the right to request an
21
-------
inspection, to accompany the inspector, and to review and have access to certain
information.
The law defines specific records that must be maintained by the employer,
provides the format for the records, and requires the records be available to the
inspector upon request. The law defines standards applicable to many kinds and
types of work which are specific and detailed. During an inspection the inspector
applies the standards and can fine the employer for violations.
You must do the following to insure compliance with OSHA:
• Review the OSHA standards. Provide equipment and working conditions for
employees which meet these standards.
• Provide safety rules to be followed by employees. Also, safety tips,
such as lifting techniques to prevent back injury, should be provided.
• Observe employee work habits and remind them that they are also respon-
sible for accident prevention.
Safe Drinking Water Act
This act will normally not directly impact sewage treatment plant manage-
ment. However, increased restrictions on disposal of water treatment sludges and
requirements for higher levels of water treatment may increase the interest in
disposing of the water plant sludges to the sewage treatment plant. Collection
system maintenance is an important aspect of cross-connection control.
Industrial Pretreatment
The Clean Water Act Amendments of 1977 require that industrial dischargers
to municipal systems meet pretreatment standards. These standards have been
developed by the EPA. It is the responsibility of the municipality to monitor
industrial dischargers to see that pretreatment standards are met. Individuals
with special training in industrial waste monitoring should be responsible for
the program. Due to the importance of this program, this person should answer
directly to the superintendent rather than being part of another group such as
the laboratory. If there are only one or two individuals providing all the labor
for the system operation, maintenance, and laboratory testing, they should obtain
additional training to meet this requirement.
Meeting Reporting Requirements
The above regulations impact management of small- to medium-sized municipal
wastewater treatment plants by greatly increasing the administrative requirements
or "paperwork." This work takes time and results in increased labor for the
superintendent and secretary as well as support staff. A chart should be prepared
listing all report and record keeping requirements with due dates for each. You
can then make a work plan so you can routinely and efficiently prepare the needed
reports.
22
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PLANNING, PROGRAMMING
& BUDGETING
I
RECORDS - THE BASIS FOR PLANNING
• Importance of good records
• Types of records
• Performance records
—Typical report forms
• Physical facilities
• Maintenance
-Sample equipment record card
-Sample inventory card
-Sample storeroom ticket
-Sample purchase order
• Cost records
LONG RANGE PLANNING
0 & M budgets
Capital budgets
1
FMERGENCY PLANNING
Preventative
maintenance
Standby power
Operations plan
1
INSURANCE
• Fire and other
damage coverage
•Liability
-------
SECTION 5
PLANNING, PROGRAMMING, AND BUDGETING
RECORDS - THE BASIS FOR PLANNING
Importance of Good Records
Keeping records is important for the long-term operation of the system. Good
records should:
• Verify the efficiency of process units and the overall treatment
system
• Assist in making decisions affecting plant operation
• Assist in planning and maintaining system equipment
• Maintain separate costs for different functions such as operation,
maintenance, laboratory, etc.
• Provide a basis for budgeting and staffing
• Provide a source of reliable information for plant operators, consul-
tants, and regulatory agencies which will survive changes in personnel
• Provide a basis for justifying system expansion or modification
Types of Records
The types of records of importance in the operation, planning, and budgeting
of a wastewater system include (7):
• Performance
• Physical facilities
• Maintenance
• Costs
Performance Records
Performance records help in making process control decisions, document con-
formance with discharge standards, and provide a basis for plannng expansions
or modification of the treatment processes. The EPA discharge permit specifies
the required effluent quality tests and frequency of tests. In many cases, the
state regulatory agency may require more frequent reports than EPA. Additional
laboratory analyses are usually required for efficient control of plant opera-
tion. The EPA report, "Estimating Laboratory Needs for Municipal Wastewater
23
-------
Treatment Facilities," EPA-430/9-74-002 (8), contains guidelines on the minimum
type and frequency of tests required for the proper control of a wide variety of
unit processes. You should order a copy of this report from EPA and check your
laboratory program against the report recommendations. The WPCF Manual of Prac-
tice No. 11, "Operation of Wastewater Treatment Plants," presents some typical
report forms for data from different types of plants and processes. These are
reproduced in Figure 2.
You should carefully examine the laboratory records to:
• Insure that all analyses provide information that is actually needed
and used. Ask yourself, "What do I use this test result for?"
• Insure that your test program is providing the data for needed planning
purposes. You can do this by reviewing your testing program with your
consulting engineer or other qualified individual.
In addition to analytical records, the plant should keep a daily log of
weather conditions, equipment failures, construction activities, accidents, com-
plaints received, and other Information about the operation of the system such as
units in service, mode of operation, etc. A convenient method for summarizing
operational data is in graphical form. Seasonal trends can then be easily
identified.
Physical Facilities
Unfortunately, wastewater system personnel sometimes break a pipeline that
is not located as shown on plans or which was added with no records ever made
of its location. It is important that an accurate set of as-built drawings and
specifications be kept, Including any additions or changes made by plant
personnel.
Maintenance
Maintenance records are a key part of a sound program. You should study the
EPA report "Maintenance Management Systems for Municipal Wastewater Facili-
ties," EPA 430/9-74-004 (9) which contains detailed guidance on establishing good
maintenance records. The maintenance records should contain:
• Equipment records - Each item of equipment should be numbered. You
should keep a card file on each item (filed numerically) with the fol-
lowing information:
- Name and location of equipment or structure
- Name and address of manufacturer, supplier, or builder
- Cost and installation date
- Type, style, model
- Capacity, size rating
- Serial and code numbers
- Nature and frequency of maintenance
- Proper lubricants and coatings
24
-------
MONTH
.19.
Report Form for Treatment Plant
Vacuum Filter and Incineration Data
OPERATOR
Date
1
through
3i
Totals
Mean
Sludge to Filter
(gal)
Total
Solids
<%)
Dry
Solids
(lb)
PH
Chemicals to
Filter
CaO
(ID)
{%)
Fed 2
(lb)
(%)
Filter
Opera-
tion
(hr)
Yield
(psf/hr)
Filtrate
(gal)
PH
Susp.
Solids
(mg/l)
Vol.
Susp.
Solids
(% of TS)
BOD
(mg/l)
Filter Cake
(1.000
lb. wet)
Total
Solids
(%)
Volatile
Solids
(%of TS)
Incineration
Operation
(hr.)
In
Use
Off
Stn-
by
Yield
Fuel
Btu
Remarks
to
Ul
MONTH.
19
Report Form for Treatment
Plant Anaerobic Digester and Sludge Data
OPERATOR
Date
through
31
Mean
Raw Sludge
(gal)
Loading
(lb/1.000
eu. ft.)
PH
Total
Solids
(%)
Volatile
Solids
(%)
Supernatant
Oal)
PH
Total
Solids
(%)
Volatile
Solids
(%)
Suspended
Solids
(mg/l)
5 -Day
BOD
(mg/l)
Sludge near Bottom
Total
Solids
(%)
Volatile
Solids
(%)
Volatile
Acids
(mg/l)
PH
Temp.
(°F)
Gas
Pro-
duced
(cu.ft)
Wasted
(cu.ft.)
Remarks
(include gal. of sludge
to beds)
Source Reference 7
Figure 2. Typical report forms.
-------
MONTH
19
Report Form for
Treatment Plant Miscellaneous Data
OPERATOR
Date
1
through
31
Moan
Weather
Precip.
(in.)
Temp. (°F)
(max)
(min)
Type*
Raw Sewage
Temp.
<°F)
Flow
(mgd)
Avg.
Max.
PH
Grit
(cu.ft./
mil gal.)
Screening
(cu.ft./
mil gal.)
Plant Effluent.
Conform
Density
(MPN/100 ml)
Chlo-
rine
(Ib)
'
Power
(kw-hr.)
Aux.
Fuelt
Remarks
*C-Clcar; W—Windy; CL—Cloudy; CA—Calm; R—Rain; S—Snow.
t Indicate kind and unit of volume.
MONTH
19.
Report Form for Treatment
Plant Primary Treatment Data
OPERATOR
Date
1
through
31
Mean
5-Day BOO
Influent
(mg/l)
(Ib)
Effluent
(mg/l)
(Ib)
Removal
(%)
Susr ended Solids
Influent
(mg/l)
(Ib)
Effluent
(mg/l)
(Ib)
Removal
(%)
Suspended Volatile Solids
Influent
(mg/l)
(ID)
Effluent
(mg/l)
(Ib)
Remarks
Source Reference 7
Figure 2. (continued)
-------
VOLUME (cu.ft.)
MONTH
19
Report Form for Treatment
Plant Trickling Filter Data
RECIRCUUATION PATTERN.
OPERATOR
Date
1
through
31
Mean
R*
S-Oay BOO
Primary
Effluent
(Ib/day/
1.000
(cu. ft.)
Final Tank
Effluent
(mg/l)
(ID)
Removal
(*>)
(W
cu. ft.)
Suspended Solids
Primary
Effluent
(Ib/day/
1,000
(cu. ft.)
Final Tank
Effluent
(mg/l)
(Ib)
Removal
(%)
"«'
cu.ft.)
Suspended
Volatile Solids
Final Tank
Effluent
(mg/l)
(Ib)
Removal
Total Plant
BOD
(%)
Sus-
pended
fifldspw
Remarks
*R
Filter Influent
Plant Influent
to
MONTH
.19
Report Form for Treatment
Plant Activated Sludge Data
OPERATOR
Date
1
through
31
Mean
Air Applied
(hr)
[cfm)
(cu. ft/ID
BOO
Rem.)
5-Day BOD
Primary
Effluent
(W
cu.ft.)
Final
Effluent
P19/I)
(Ib)
Suspended
Solids
Final
Effluent
(mg/l)
(Ib)
Suspended
Volatile
Solids
Final
Effluent
(mg/l)
(Ib)
Removal
Total
Plant
BOD
(%)
SS
(%)
DO
Final
Efflu-
ent
(mg/l)
Mixed Liquor
Sus-
pended
Solids
(%)
Settteabte
Solids
3O mm.
(%)
Sludge
Density
Index
DO
(mg/l)
Return
Sludge
(%)
SS
(mg/l)
Waste
Sludge
(1,000
gal.)
Remarks
Source Reference 7
Figure 2. (continued)
-------
CO
19
Report Form for Treatment
Plant Intermittent Sand Filter Data
OPERATOR
Date
1
through
31
Mean
DOS«
(gpd/
sq.ft.)
5-Day BOD
Influent
(mg/l)
Ob)
Effluent
(mg/l)
(Ib)
Removal
Sand
Filter
(%)
Total
Plant
(%)
Suspended Solids
Influent
(mg/l)
(Ib)
Effluent
(mg/l)
(Ib)
Removal
Sand
Filter
(%)
Total
Plant
(%)
DO
Final
Effluent
(mg/l)
Remarks
MONTH,
19
Report Form for Treatment Plant
Aerobic Digestion and Sludge Data
OPERATOR
Date
1
through
31
Volume
Oal.)
Raw Sludge
Loading
(lb/1,000
cu. ft.)
PH
TS
(%)
VS
(%)
COD
(mg/l)
N
(mg/l)
Digesting Sludge
PH
TS
(%)
VS
1%)
COD
(mg/l)
N
(mg/l)
DO
(mg/l)
Digested Sludge
PH
TS
(%)
VS
(%)
N
(mg/l)
Supernatant
TS
(%)
N
(mg/l)
Source Reference 7
Figure 2. (continued)
-------
The same or separate cards should be used to record maintenance work
done, the type of the work, and who performed the work. Figure 3 is an
example card.
• Records showing schedules for maintenance work - Charts should show
maintenance tasks to be carried out daily, weekly, monthly, quarterly,
semiannually, and annually.
• Records of inventory - A card system to record information on quantity,
item number, description, when last purchased, cost, date, vendor, and
other information is helpful. When items are taken from this stock, the
date and use should be noted on the card. For items which may have long
lead times, a reorder point should be established. Figures 4, 5, and 6
are example forms for control of inventory and ordering of items.
• Costs - As discussed in the next section, accurate maintenance cost
records are very useful in budgeting and in planning equipment
replacement.
Cost Records
The proper control of the management of the system and budgeting is depend-
ent upon accurate cost records. The cost accounting system should provide a
detailed breakdown of past costs so that future expenditures can be planned. You
should review the WPCF Manual of Practice No. 10, "Uniform System of Accounts for
Wastewater Utilities," for detailed information on cost accounting systems.
Evaluation of labor and material costs can be based on the proper use of
time cards and records which describe what was being done (function) and where
it was being done (area). This can be done by having each person use a coded sys-
tem to report what he was doing during the day. For example, a simple system
which would report both function and area charges might look like this (4):
Function Charge
20 - Operations, labor
30 - Operations, maintenance work, labor
40 - Upkeep maintenance, labor
50 - Repair, labor
60 - Additions and expansion, labor
80 - Operating supplies
81 - Repair parts
82 - New equipment
Area Charge
100 - General operations (includes administrative
duties, laboratory testing, etc.)
200 - Preliminary treatment
300 - Primary treatment
400 - Secondary treatment
29
-------
JAN.
1 2 J 1
FEU. | MAR. I APR.
1 2 1 f, \ \ 2 I 1 | ] 2 1 4
MAY
1234
Preventive Maintenance Program
JUNE
1234
JULY
1234
AUG.
1234
SEPT.
1234
Equipment Record Number -
EQUIPMENT DESCRIPTION
Name
Cmnmirm har
Serial No. 1-432-607
Vendor
Morthinaton Corn.
Vendor Address
Vendor Rep. John Doe Phone
Initial Cost Date
Size
Model
Type
OCT.
1234
NOV. DEC.
1234 1234
2
ELECTRICAL OR MECHANICAL DATA
1 1/2 HP
K1824PK71
n
WORK TO BE DONE
Cutting surfaces should be inspected and adjusted
Cutting t
Lubricate
urfacos should bo checked for
communitor with Grease ttl
Change gear motor oil - SAE 10 (Winter)
SAE 30 (Fall &
Inspect for unusual noise or heat
Inspect combs, cutrer teeth, shear bars
Sharpness
- SAE 40
Spring)
, and base
( Summe r ) -
seal
FREQUENCY
Quarterly
Semiannually
Biweekly
puarterly
Daily
Biweekly
TIKE
WORK DONE
DATE
WORK DONE
DATE
WORK DONE
SIGNED
Source Reference 9
Figure 3. Sample equipment record card.
30
-------
STOREROOM INVENTORY CARD
Item Description -
Item No.
Isle No.
Bin No.
Quantity Maximum
Reorder
Minimum
INVENTORY INFORMATION
Quantity
Used
or
Stocked
Date
Signed
Quantity
on
Hand
USAGE OR SUPPLY INFORMATION
Usage - Work Order No.
Supply - Purchase Order No.
Source: Reference 9
Figure 4. Sample inventory card.
31
-------
STOREROOM TICKET
8/7/73
DATE
Joe Smith
EMPLOYEE
Maintenance
DEPT.
John Jones
FOREMAN
Maintenance
DEPT.
COST CODE NO. P25
WORK ORDER NO. 7Q2
WORK DESCRIPTION
Change oil in crear box
ITEM NO.
47
DESCRIPTION
SAE 40 Motor Oil
nondetergent
QUANTITY
8 qt.
UNIT COST
0.79/qt.
TOTAL COST
$6.32
MATERIAL PROVIDED
E. White
(SIGNATURE STOREROOM CLERK)
J. Smith
(SIGNATURE)
8/7/73
(DATE)
8/7/73
(DATE)
Source: Reference 9
Figure 5. Sample storeroom ticket.
32
-------
TO
Piimp Corp.
88 Worthington Drive
St. Louis, Missouri 63043
SHIP TO
T.vnnhhnra RTP
1005 River Road
Lynchburg, VA 24502
IMPORTANT:
Our Purchase Order Number must appear
on Invoices, Packages and Correspond-
ence.
PURCHASE ORDER NO. 972
WORK ORDER NO. 585
DATE INITIATED
DATE REQUIRED
SHIP VIA
P.O.B.
TERMS
8/9/73
R/27/73
QUANTITY
1
1
NOTE
Parts for
Frame typ
Serial Nu
STOCK NUMBER/DESCRIPTION
Drive shaft
Cat. No. 26501
Connecting rod
Cat. No. 26502
pump 8" - 5444C
2 2A5
iber 70 42 89
PRICE
PER
TOTAL
APPROVED BY
J. A. Jones
Source: Reference 9
DATE
8/10/73
SHEET
of.
Figure 6. Sample purchase, order.
33
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500 - Digestion
600 - Filter, drier, and fertilizer storage
700 - Power and blower
800 - Utilities
900 - Warehouse, shop and grounds
If an operator spent an hour in the routine operation of the activated
sludge portion of the plant, he would enter on his time card:
20-400 1 hour
An operator may from time to time perform maintenance work such as making minor
repairs to chlorinators. All work performed by operators, other than routine
operation would be placed in function 30. Function 40 is upkeep maintenance; jan-
itorial work is in this category. Function 50 is repair; repair of a pump for
example. Function 60 is additions and expansions for items such as an Installa-
tion of a better pump seal-water system, general minor new installations, and
minor new process piping, etc.
The example cost accounting code shown above can be modified to provide the
type of information needed for any given system.
LONG-RANGE PLANNING
There is a close relationship between planning and budgeting. The plan-
ning process determines the goals to be accomplished and the budgeting pro-
cess provides the tools to accomplish these goals.
The planning process should establish the goals over a 3- to 5-year period.
For example, such goals might include cleaning of the digester, painting all
building exteriors, or replacing five miles of sewer lines known to be in poor
repair. Target dates for completion should be established for each goal.
A common problem is actually finding the time to do the planning. The day-
to-day problems of running the plant may seem to occupy all of your time. You
must remember that even modest planning efforts will reduce future problems.
In addition to year-to-year and month-to-month planning and budgeting, you
must also consider the long-term future of the system. As wastewater flows
approach the capacity of the plant, a detailed facility plan should be prepared.
Because the time required for the facility plan, design, and construction of a
plant expansion can be as long as five years, you need to carefully watch
increases in raw wastewater flows. If your plant has a capacity of 1 mgd and
flows increase at a rate of five percent per year, you should begin a facility
plan when your flows are about 700,000 gpd. Remember, too, that additions to the
service area may cause sudden increases in flow.
You must also watch the activities of other agencies which may affect the
long-term operation of your system. For example, regional wastewater management
plans or "208 plans" may propose that your plant be eventually replaced by a
regional facility or that it serve as the site for a regional plant* You should
find out which agency is doing the 208 plan in your area and determine the status
34
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of its work. Your consulting engineer or state pollution control agency should be
able to help you with this. If the 208 plan is still under preparation, you
should take the opportunity to contribute to the planning effort.
BUDGET PREPARATION AND CONTROL
The wastewater manager must consider budgets for:
• Operation and maintenance of the existing system
• Capital expenditures for the modification or expansion of the existing
system
Operation and Maintenance Budgets
The basic questions in budget preparation are:
• What tasks or jobs have to be accomplished in the next year?
• When should each of these jobs be done?
• How much time, money, and materials will each job require?
• Who should work on these jobs?
The goals of budgeting are to:
• Control expenditures within planned amounts
• See if any unusual costs are occurring
• Have records that may lead to future savings
• Schedule availability of funds
Typically, the budget is first developed by the head of each department.
For example, you may ask the maintenance superintendent to prepare the first
draft of the maintenance budget for the next year. You can then review each pro-
posed budget and develop a system wide budget. You must balance the needs of the
entire system with the available resources. Unless there has been or will be a
major change in the system from the previous year, the records of actual costs
will provide a good basis for budgeting. The labor from the past year, when
coupled with the expected salary rates for the coming year, is a good basis for
budgeting labor costs. The following example (9) illustrates the basic steps in
preparing a maintenance budget. By studying the maintenance history for the plant
and making allowances for equipment replacement and contract maintenance work, a
sound maintenance budget can be developed. The same basic approach can be applied
to the operations budget.
PREVENTIVE MAINTENANCE BUDGET
Labor for Preventive Maintenance in the Past Year
Mechanic II 6,000 hours
Mechanic I 6,000 hours
Mechanic Helper 12,000 hours
NOTE: No adjustment required for changes in equipment.
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Next Year's Projected Man-Hour Rates
Mechanic II$8.00/hr x 6,000 hr » $ 48,000
Mechanic I $6.00/hr x 6,000 hr - 36,000
Mechanic Helper $3.00/hr x!2,000 hr » 36.000
TOTAL $120,000
Add 5% to Labor Costs to Cover Added Wear and Tear on Equipment
$120,000 + 5% ($120,000) - $126.000
Preventive Maintenance Supply Costs Last Year
Lubricants $ 2,500
Supplies +12.500
TOTAL $15,000
Add 5% to Cover Increases in Costs of Supplies & Lubricants
$15,000 + 5% ($15,000) • $15.750
Labor $126,000
Supplies + 15,750
Preventive Maintenance
Budget $141.750
CORRECTIVE MAINTENANCE BUDGET
NOTE: Calculation similar to preventive maintenance budget calculation. Assume
costs shown below were determined using procedure given for preventive mainte-
nance budget.
Labor $ 70,000
Supplies 25,000
Routine Repair Budget $ 95,000
MAJOR REPAIR BUDET
Last year's projects $ 50,000
Projects that will not
be repeated this year - 35,000
$ 15,000
Projects in active backlog
which will span the new year 20,000
Projects approved for next year 25,000
Forecast of next year's needs 5,000
Major Repair Budget $ 65,000
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TOTAL MAINTENANCE BUDGET
Preventive Maintenance Budget $ 141,800
Corrective Maintenance Budget 95,000
Major Repair Budget 65.000
TOTAL MAINTENANCE BUDGET $ 201.800
The budget and actual costs should be compared as the year goes on. Table 3
is an example of a monthly comparison made by one wastewater utility. This
monthly comparison can be a very useful management tool. It enables you to find
those areas where costs are different than budgeted. For example, there is (and
has been) clearly a problem of spending considerably more for chemicals than
planned. You would check to see if the cause is chemical prices being higher than
planned or more chemicals being used than planned. In the example, it is a case
of more chemicals being required for sludge dewatering than planned. The table
points out that unless the problem is corrected, expenses for the year will be
about $40,000 more than budgeted. This table quickly flags a major problem area
which you would then study more thoroughly to find out:
• What is causing the high chemical usages (sludge characteristics dif-
ferent, overdoses of chemicals, etc.)?
• If the causes can't be corrected, can cuts be made in other costs to
balance the budget or should a change in the budget be proposed to your
board?
Graphical comparisons of monthly costs may also be useful in identifying
differences in actual and budgeted costs.
Capital Budgets
The capital budget is based on a plan which defines the need for major con-
struction contracts or equipment purchases for several years. Many utilities
use a 5-year period for their capital budgets. You should ask each department to
prepare a proposed budget which you can use in developing a system wide budget*
table 4 is an example capital budget for the vehicles used for a regional collec-
tion system and large land treatment system. Similar budgets would be prepared
for treatment equipment and other major items, and then combined into a system
Wide capital budget.
EMERGENCY PLANNING
Emergency operating conditions can result from natural disasters, civil dis-
orders, strikes, faulty maintenance, negligent operation, and accidents. These
emergencies can cause equipment failures, power loss, blocked access, communica-
tions loss, and process failure. You should carefully analyze your system for
Several possible emergency conditions to determine the most vulnerable components
the system.
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CJ
00
TABLE 3. EXAMPLE USE OF BUDGET COMPARISON FOR COST CONTROL -
OPERATIONS AND MAINTENANCE EXPENDITURES COMPARED WITH
BUDGET - JANUARY 1, 1978 THROUGH JUNE 30, 1978.
Object of expenditures
Personnel
Materials & Supplies
Chemicals
Utilities
Outside Services
All Other Expenses
TOTAL O&M EXPENSES
June
actual
$29,500
8,200
11,000
8,000
900
1,950
$59,550
June
variance
favorable/
(unfavorable)
$ 200
(400)
(3,000)
600
100
(50)
$(2,550)
June
year-to-date
actual
$180,000
32,000
70,000
45,000
5,000
11,000
$343,000
Year-to-date
variance
favorable/
(unfavorable)
$ 900
(2,000)
(21,000)
3,000
300
1,000
$(17,800)
Budget
fiscal
1978
$365,000
60,000
92,000
95,000
11,000
24,000
$647,000
Projected
year -end
fiscal
1978
$360,000
64,000
140,000
90,000
10,000
22,000
$686,000
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TABLE 4. EXAMPLE CAPITAL BUDGET - FIVE-YEAR PLAN FOR VEHICLES
Statistics from machin-
Machinery description
Year
1976
1977
1978
1979
1980
To be
replaced
Sta. wagon
-
4 trucks
5 trucks
Sta. wagon
7 trucks
Replacement
Sta. wagon
-
4 trucks
5 trucks
Sta. wagon
7 trucks
ery to be
Original
investment
_
-
$16,200
23,800
5,400
46,400
replaced
Trade-in
value
_
-
$ 4,100
6,000
1,400
11,600
Replacement
machinery
cost
$ 5,400
-
23,700
32,400
7,300
73,200
Cash needs
$ 5,400
-
19,600
26,400
5,900
61,600
Total 5-Year Budget - $110,900
Average - 23,800
An important consideration in emergency planning is that you have trained
someone in your basic duties and responsibilities. Your absence from the treat-
ment facility, be it scheduled or not, may constitute the cause of the emergency
if there is no one to take over while you're gone. It is your responsibility to
see that there is backup for other critical jobs as well.
Some of the key steps which you can take to reduce the vulnerability of the
system to various emergencies include having:
A sound preventive maintenance and testing program
Standby units and separation of vital elements
Standby or alternative power supplies
Alternate operating plans
Adequate chemical supplies
On-site storage of fuel and axuiliary power units, remote and/or auto-
mated controls, and ready conversion of automatic controls to manual
operation
• Portable pumps with fuel-operated units
• Emergency and special operations training sessions
You should develop an emergency organization plan which spells out what each
staff member is to do during an emergency. You should have mutual aid agreements
with other nearby towns or other agencies or companies in your town. Such agree-
ments can provide for equipment and supplies, personnel, and specialized skills
during an emergency. For example, a local construction company may have tractors
and backhoes which would be useful. The plan should include a system for listing
such items and who to contact to obtain the equipment. The EPA report, "Emergency
Planning for Municipal Wastewater Treatment Facilities," EPA Report 430/9-74-013
(10) and AWWA Manual M19, "Emergency Planning for Water Utility Management," (11)
may be useful references for you.
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INSURANCE
What type of insurance (in addition to types provided as fringe benefits for
hospitalization, life, etc.) should the wastewater utility carry? Coverage for
fire, explosion, wind, hail, and extended coverage should be considered. You need
to determine which facilities should be covered, with what type of coverage, and
the amount. To decide this, you should list all the plant components, their cost,
and their susceptibility to damage. For example, you might analyze components as
follows:
• Aeration tank:
Structure $100,000
Contents (diffusers, etc.) 50,OOP
$150,000
The structure is open and below ground. There is no mechanical or
electrical equipment involved. There appears to be no risk of loss due
to fire, explosion, wind, or hail.
Do not insure.
• Influent pumping station and contents;
Pump housing (reinforced concrete) $ 80,000
Contents (pumps, piping, etc.) 70,000
$150,000
This item houses the influent pumps used in connection with the skim-
ming tank. There is a remote possibility for gas to find its way into
and to collect in this structure, therefore there is the potential for
loss due to fire and explosion.
Should be insured.
With this type of analysis, you can decide the value of items which may be
subject to damage from insurable causes. (Most fire insurance policies extend
coverage endorsements to cover losses from hail, windstorm, explosion, aircraft,
and vehicles.) They usually do not cover losses from floods, water backing up
through sewers or drains, groundwater exerting pressure on floors, earthquakes,
losses resulting from nuclear reaction or radiation, losses due to equipment
breakdown, or fire damage to electrical equipment when the fire was caused by a
defect in the equipment such as a short in a motor winding. Flood and earthquake
insurance can be obtained in many states although the costs may be high and the
risks low.
Sometimes improved fire protection may lower insurance rates. Installing or
increasing the number of fire hydrants may lower insurance rates enough to jus-
tify their cost. In some cases extending the city limits to include a plant may
lower the rates. Competent insurance agents can inspect your plant and suggest
changes which would lower rates.
Utilities should carry liability insurance (insurance covering personal
injury and property damage) on all company-owned vehicles, including heavy mobile
40
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equipment, which is operated on public streets, alleys, highways, etc. If utili-
ties and municipalities own and operate a lot of vehicles, there is some question
as to whether or not collision insurance to cover damage to such vehicles can be
justified. Operators of small fleets may feel justified in carrying both liabil-
ity and collision insurance* You must use judgment to determine the coverage
which you can reasonably afford.
Public liability, or general liability insurance, covers claims resulting
from bodily injury to private persons and/or damage to private property. As an
example, such an insurance policy might cover claims of bodily injury and perhaps
property damage resulting from a major explosion in a sewer main. Policies and
policy endorsements for public liability insurance are available to cover almost
any and all risks. The types and amounts of coverage to be carried are dependent
on the risk which you wish to assume and are again a matter of judgment.
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6 FINANCING"")
GENERAL
CONSIDERATIONS
- Equitable cost
recovery from
all users
'
CAPITAL COSTS
• General obligations
bonds
• Revenue bonds
• SfieciaJ assessment
bonds
• State & Federal
grants
• Operating revenues
• Contributions
• Other sources
~
DETERMINING TOTAL ANNUAL
REVENUE REQUIREMENTS
— Cash needed to meet
annual 0 & M plus
debt repayment
DISTRIBUTING COSTS
AMONG USERS
— Distribute costs
according to flow,
waste strength,
services rendered,
etc
ESTABLISHING
USER CHARGES
— Annual review of
charge rates
— State regulatory
controls
_L
RATE INCREASES
— Importance of
good public
relations
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SECTION 6
FINANCING
GENERAL CONSIDERATIONS
Both good management practice and federal law require that the revenues
needed to operate a publicly owned wastewater utility be collected from the users
in proportion to the benefits that each receives. As the cost of wastewater
treatment and general tax rates increase, opposition to taxes traditionally used
to pay for wastewater treatment has become widespread* The Clean Water Act of
1977 restricts the use of general property or ad valorem taxes to cases where
these taxes were used for wastewater system revenues as of December 27, 1977, and
where the system Including the taxes, results in operation, maintenance, and
replacement costs being distributed proportionately among all classes of users*
Because of these factors, it has become common to recover most of the operating
and maintenance costs through a system of service charges. Capital costs are usu-
ally funded through a combination of federal and state grants and various types
of bonds. You may want a consulting engineer or a financial consultant to help
develop a detailed financial plan for your system*
The purpose of this section is to acquaint you with some of the considera-
tions and alternatives involved in financing your system. This will allow you to
contribute to the development of your financial plan and to better explain the
basis of sewer service charges to your customers*
CAPITAL COSTS
Most of the local share of major capital expenditures is normally met
through the sale of bonds. These bonds may be sold so that they all are payable
at one time or so that some are due each year over a period of several years.
This second case is the most common because this type of bond is more flexible in
the bond market, making it easier to meet the debt service requirements. Bonds
are usually sold for a term about equal to the useful life of the facilities
involved, typically 20 to 30 years. A very short term places too much burden on
the initial users. A term longer than the useful life of the facility is unfair
to future users because they will be paying for replacement facilities while
still paying for the original facility.
The types of bonds commonly used include general obligation bonds, special
assessment bonds, and revenue bonds. The part of the capital costs not financed
through bonds is usually funded through state and federal grants, operating rev-
enues, or contributions (12).
General Obligation Bonds
General obligation bonds are backed by the full taxing power of the issuer.
That is, the Issuer can use ad valorem (general property) taxes to repay the
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bonds. Such bonds become a part of the overall municipal debt. This debt is usu-
ally limited by law to some percentage of the total assessed valuation of taxable
property. Some states also regulate the rate at which such bonds become due to
Insure that not too much of the debt is passed on to later generations. In many
cases, the sale of general obligation bonds requires a bond election. General
obligation bonds have several advantages:
• Interest rates are lower because they are backed by the full credit of
the community.
• The security feature usually enables public sale at attractive terms.
• Overhead costs for financing are usually less because they do not
require the detailed documentation needed for revenue bonds.
• Although the ability to use general taxes makes the bonds attractive,
they can also be repaid with service charges which comply with the
Clean Water Act requirements for user charges.
In some cases, where the revenues from user charges are pledges to repay the
bond, the bonds may not have to be included in the local bonding limit. When the
local bonding limit is approached, then other means such as revenue or special
assessment bonds are needed for long term capital funds (13). If your community
has a local bonding limit, it may have been established in the original charter,
amendments to the charter, or by state law. The limit is often set as a percent-
age of the assessed valuation. Your city manager should be able to provide
information regarding this matter.
Revenue Bonds
Many cities and districts have the right to issue revenue bonds specified in
their charter or under state law. Before considering this alternative, it is
Important that your attorney confirm your legal ability to issue the bonds. Rev-
enue bonds for a system with a history of sound management can be sold at favor-
able terms. There are usually no legal limits on the amount of revenue bonds
which can be issued; however, excessive offerings represent high risks to invest-
ors. User charges from the wastewater system are used to repay revenue bonds.
Revenue bonds have advantages since:
• They are not included in legal debt limitations.
• They usually do not require voter approval.
• They can be used to finance projects beyond the boundaries of a city or
district.
• In some cases, revenues from a long established water utility can be
pledges to a wastewater bond issue if both utilities are operated by
the same entity.
One difficulty with selling revenue bonds for entirely new systems is that
there is no established record of earnings. Another is the fact that net
44
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revenues must be somewhat higher than are actually necessary to repay the bonds.
This margin over the debt requirements, termed "coverage," varies with the risk
of the issue from 20 to 50 percent. The margin is intended to protect against
unplanned costs or lack of planned revenues.
Special Assessment Bonds
Special assessment bonds can be Issued when only certain properties are
served as in the case of sewers, where the benefits to individual properties are
obvious. The assessments are usually made on front-footage or area.
The bonds are not payable from general taxes, but rather by benefit assess-
ments. Because the bonds are not backed by general taxing authority, they are
considered a greater risk by investors than general obligation bonds. As a
result, they usually have higher interest rates. The actual rate depends chiefly
on protective features provided, such as provisions for enforcing collections,
the status of the lien relative to other liens, or penalty provisions for unpaid
assessments which can be used to build up a reserve. Because of the higher rates
paid for assessment bonds, many local governments borrow construction capital
general obligation bonds which are repaid through special assessments.
State and Federal Grants
The EPA construction grant program has provided billions of dollars for con-
struction of publicly-owned wastewater treatment plants. Five billion dollars
per year have been allotted for fiscal years 1979 to 1982. The regulations con-
cerning grant eligibility of various components of a system are lengthy, subject
to frequent revision, and will not be reviewed here. Your consulting engineer or
state pollution agency can be contacted for current grant regulations if you are
attempting to determine if a certain construction project is grant eligible.
Recent changes restrict the grant eligibility of collection lines. Certain types
of projects using new approaches may be eligible for an 85 percent federal con-
struction grant rather than the normal 75 percent. In many states, the state pol-
lution agency provides grants for portions of the remaining 15 to 25 percent.
In addition to the EPA construction grant program, there are other federal
agencies which may make grants or loans. Because the details of these programs
also change frequently, it is not practical to present details of each program.
The following agencies may have current programs which may be of value to you.
The Farmers Home Administration has a program, "Financial Assistance to Small
Towns and Rural Groups," which may provide grants to small (5,500 population or
less) rural towns or villages. The Department of Housing and Urban Development
can provide long-term (40-year) loans to finance construction of all types of
public works when such credit is not otherwise available on reasonable terms.
Operating Revenues
It is common practice for publicly-owned wastewater utilities to use some
funds derived from revenues for routine system extensions, replacements and modi-
fications, or improvements at the treatment facility. In many cases, fixed
45
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amounts are set aside each year in a capital improvement fund for such purposes.
This practice permits budgeting on an orderly, even basis and allows occasional,
large capital expenditures from operating revenues.
However, caution should be exercised in using a current surplus for the
total cost of constructing major facilities which will be useful for many years.
A fair share of the cost of facilities should be borne by all users, present and
future.
As noted earlier, operating revenues from user charges can also be used for
repayment of general obligation bonds.
Contributions
In some instances, customers are required to pay the total capital cost of
facilities. An example of this is lateral sewers constructed at the builder's
cost in new developments. In this case they would be required to make a contribu-
tion to cover the cost of the system extension.
Other Sources
Although not frequently used for financing wastewater utilities, you should
not overlook the possible use of local taxes on income, sales, liquor, cigarette,
and hotel/motel occupancy. A resort area may find, for example, the hotel/motel
occupancy tax to be especially fair since a significant part of the cost of the
treatment plant may be related to the capacity needed for the peak tourist
season.
Another common source of capital funds is short-term notes. These notes are
usually issued during the early stages of a project to cover cash flow. They are
usually repaid through long-term general obligation or revenue bonds. The
short-term notes permit placing a long-terra issue on the market at a time when
interest rates are favorable; they provide time to determine total costs before
proposing a major bond issue.
DETERMINING TOTAL ANNUAL REVENUE REQUIREMENTS
The total annual revenue requirement for a publicly-owned wastewater treat-
ment system is the amount of cash needed to meet the costs of operating and
maintaining the system and for improvements not covered by debt financing, as
well as paying the debts.
The debt requirements include the principal, interest, and reserve payments,
if any, and are usually payable in annual installments. Obviously, enough cash
must be collected to pay the installments when they are due.
Revenues must also be collected to pay operation and maintenance expenses
such as salaries, power, fuel, maintenance supplies, chemicals, insurance, pro-
fessional services, fringe benefits, etc.
46
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In addition, it may be necessary to raise cash for capital items not covered
by long-terra debts such as trucks, replacement of broken service lines, and
equipment replacement. There also may be taxes which must be paid.
The following example shows how the local revenue requirements may be esti-
mated for an example 5 mgd activated sludge plant and collection system:
Initial cost $7,885,000
Federal construction grant (on plant
construction of $5,885,000 only) $4,413,750
Local capital cost funded with revenue bonds
at 7% interest for 20 years; equal annual
installments of $ 327,650
Debt coverage requirement = 20% x $327,650 $ 65,530
(Specified in the bond issue to provide a margin of
safety in generating annual revenue for debt service.)
Annual operating expenses
Labor $ 155,470
Power 31,360
Fuel 36,000
Maintenance Materials 47,340
Chemical (chlorine and polymer) 81,100
TOTAL $ 351,270
Reserve fund for plant replacements, modifications, repairs not
included in operating expenses or in original bond issue $ 25,000
No tax payments
The total annual revenue requirements would then be:
Debt service, principal and interest 327,650
Debt service, coverage 65,530
Operating expenses 351,270
Reserve fund 25,000
Taxes 0
TOTAL $ 769.450
The above example assumes that the debt repayment schedule is based on a
series of uniform annual payments. Some bond issues may have a repayment schedule
which results in different amounts being due each year.
DISTRIBUTING THE COSTS AMONG USERS
The following general principles determine the allocation or distribution of
costs to the users of the system:
• Operating expenses for treatment plants are primarily related to the
volume and strength of the wastewater received. Undeveloped sewered
47
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properties do not contribute to treatment operating costs. These costs
should be recovered from the current users of the system. Where there
is only one class of user (all domestic), the costs are directly
related to flow. In the case where an industrial waste enters the
system, the difference in waste strength must be considered in allocat-
ing costs.
• Operating expenses for separate sanitary collection systems are pri-
marily related to flow from each user. For a combined sewer system,
some costs are related to runoff from undeveloped property.
• Capital costs for the treatment facility are primarily related to the
waste loads from the existing users although undeveloped property
should share in the cost because some reserve capacity has been built
for future service to these properties.
• Capital costs for the collection system should be shared by all pro-
perty owners since undeveloped lots as well as current users both bene-
fit from the system.
To determine the responsibility of each customer class for costs of service,
it is necessary to allocate each element of plant investment and operating
expense.
Costs related primarily to flow of wastewater include operating and capital
costs for a majority of collection system costs and certain treatment costs.
Some costs of treatment are affected by the strength of wastewater to be
treated. These costs may be further separated into costs that vary with BOD,
suspended solids, and, in certain instances, nitrogen and phosphorus. Appendix A
presents an example to illustrate the methods which can be used to distribute
costs.
ESTABLISHING USER CHARGES
EPA regulations require that user charges be reviewed annually and revised
as needed to reflect actual O&M costs. Even if you have an established sewer
service charge structure, you must be prepared to evaluate the charges on a
regular basis. Appendix A gives an example showing how user charges may be set
after the costs are distributed.
Individual homes do not have meters to determine wastewater flow. One common
approach is to base the wastewater charges on a percentage of the metered water
flows. For example, if the average domestic water demand were 4.0 mgd for an
average domestic sewage flow of 3.25 mgd, the wastewater billings could be based
on a flow of 81.25 percent (3.25/4.0) of the metered water flows. In areas where
there is extensive warm weather irrigation, the charges can be based on the
average water use during only the non-irrigation months or some other representa-
tive period.
For example, at Stevens Point, Wisconsin (14), the charge structure speci-
fies that "The amount of water used by residential customers during the winter
48
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quarter of each year shall be used as a basis for determining the maximum sewage-
service charge for that particular quarter and the three succeeding quarters."
The ordinance also states that if the usage at any time falls below the winter
quarter volume, the customer's bill for that particular period will be the
smaller amount. Painesville, Ohio, requires that the monthly sewer bill during
June, July, and August not exceed the maximum sewer service charges for the first
five months of the year. Those rates which exempt three of the summer months
from the meter readings are not completely fair to the customer who uses large
quantities of water to start a new lawn before or after this exempt period.
EPA regulations also permit user charges based on a percentage of water
bills in cases where the water is based on a constant cost per gallon.
In cases where the water usage is not metered, several approaches have been
used in establishing user charges based on size of water connection; number and
type of water-using fixtures such as toilets, sinks, garbage grinders, showers,
bath tubs, etc.; number of rooms, etc. "Municipal Sewer Service Charges," avail-
able from American City Magazine, describes many alternate approaches.
The example in Appendix A gives a better understanding of the factors to
consider in setting rate structures. This example only illustrates how the
factors may be considered in establishing an equitable rate structure. You may
need a qualified consultant to help develop a plan for your specific community.
RATE INCREASES
The rates charged by most privately-owned utilities are controlled by state
regulatory commissions. However, the rates of most public utilities are not
subject to state control and may not even be subject to court review. Even with-
out this regulation, you must still have a properly designed rate structure.
Since the public is likely to be against an increase in sewer service
charges (or even a change in the rate structure), a carefully planned, long-term
public relations program (see Section 9) is needed to meet this opposition. A
good public relations program will have informed the public of the value of the
services you provide. Without this understanding, strong public opposition is
likely when a change in service charges is announced. Doing a good job and
letting the public know about it are important to the acceptability of rate
increases.
Most public utilities hold public hearings on proposed rate changes before a
adopting them. This provides a chance to educate the public as to the need for
change and for public input in setting up the new charges. However, a very
small percentage of customers will attend such hearings. The majority of the
public will not be heard from until they receive the notices.
Before notices of rate changes are mailed to the customers, it is wise to
have an educational program in the local news media. As with the hearing pro-
cess, this will reach only a minority of your customers. Only the receipt of the
next bill will get the attention of all of your customers. The notices of the
rate increases or changes should accompany this bill. The notice must be care-
fully prepared in a courteous tone. A harsh, cold notice merely stating that the
49
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rates have changed will cause resentment. The notice should explain the need for
the change in a simple manner. Put yourself in the shoes of the customer and ask
"How would I react to this notice?"
Try to anticipate tfie need for a rate change well in advance (i.e., opera-
tion of an expanded plant, higher levels of treatment, etc.) so that you can plan
the timing of the notices. If possible it is wise to announce rate changes at a
time when they will not be confused with other local issues such as hearings on a
new wastewater facility plan, a local property tax change, or other local elec-
tion issues. Avoiding these other issues may reduce the spillover of emotions
from unrelated local issues to your sewer service charges.
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7 EVALUATING STAFFING NEEDS
GENERAL
CONSIDERATIONS
- Understaffing
- Overstaffing
— Contracting
services
CERTIFICATION
PROGRAM
— Mandatory
— Voluntary
— Advantage
DETERMINING
STAFF SIZE
— Labor
requirements
- Level of
utilization
- Classification
- Shifts
JL
DETERMINING THE
QUALIFICATIONS
AND SKILLS NEEDED
— Organization charts
— Job descriptions
TRAINING PROGRAMS
- Types:
Preparatory
Skill management
Skill improvement
— On the job
— Miscellenebus
SAFETY PROGRAMS
-Responsibilities:
Provide safe place
Provide safe tools &
equipment
Hire qualified personnel
Train workers in safe
practices
-Accident report forms
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SECTION 7
EVALUATING STAFFING NEEDS
GENERAL CONSIDERATIONS
Selecting the right sized staff with the proper skills is critical. Under-
staffing may eventually cause increased costs from lack of needed maintenance,
poor treatment process performance, and poor morale among employees who are over-
worked. Overstaffing is expensive. Layoffs of extra staff are not only painful to
the individuals who lose their jobs, but are also expensive. You may have spent a
lot of time and money to train the employee. Deciding who is going to be laid off
often runs into personnel complications, union rules, and union contract condi-
tions. Reductions in staff may cause strikes and other disruptions and troubles.
Unemployment compensation may be costly. Both hiring and firing are costly.
For all of these reasons, use great care before you establish any new posi-
tion that might become a "permanent" one. When there is any doubt, either don't
create the position or establish it on a temporary basis. When a position becomes
vacant, ask yourself if the position is really necessary. Consider these
factors:
Conservation of manpower
Elimination of unnecessary work
Full use of manpower
High costs of manpower
Dangers, costs, and complications from overstaffing
If you are now contracting for certain work, such as lawn maintenance or
instrumentation maintenance, you should not ordinarily give up this method to
permit your work force to do the work. Any temporary gain in savings will
probably be eaten up in the long run by rising labor costs. The trade-offs
between contracting for services and doing them in-house should be carefully
examined. If specialized skills are needed on a short-term basis, it may be most
economical to hire a consultant; however, a premium price may be paid for con-
sulting services over an extended period of time.
DETERMINING STAFF SIZE
There are several methods used in planning the staffing requirements for
wastewater treatment facilities. These are reviewed briefly and their limitations
identified.
51
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Determination of Labor Requirements
Comparison with Other Facilities—
One of the most common methods is to review the staffing level at similar,
operating facilities (15). This approach will identify differences between your
staff level and what is "typical" for other facilities.
The major shortcomings of this approach are that the mistakes of past can be
repeated, operational differences and differences in job functions are not easily
compared, and the productivity of the staff is not reflected. However, this
method does provide a "first cut" estimate of staffing level.
Staffing Guidelines-
Published staffing guidelines take two general forms: curves showing total
staff size as a function of wastewater flow, or a series of curves showing the
labor requirements for different unit processes as a function of wastewater flow
or a basic design parameter for that process.
The first type does not improve on the method of comparing staffing levels
with other operating facility. Examples of this method are included on Figures 7,
8, 9, and 10. These curves do not reflect differences between the types or sizing
of processes for liquid or sludge handling at different plants. They provide only
a "first cut" estimate of staff size. The scattered data points indicate varia-
tion in staff size for a particular flow. It should be noted that most of the
data points for these graphs fall below flows of 10 mgd.
The second type of guideline is a better method. This method (17) involves
listing the unit processes at the treatment facility. The labor requirements for
each process at the plant can be estimated from curves or tables and then added
together to determine the total annual labor requirement.
Published staffing curves based on unit processes are plotted in terms of
either the design flow or a basic design parameter. Curves based on flow would
be accurate If all design engineers used the same criteria for sizing the various
processes. This does not happen. Therefore, some uncertainty of staffing esti-
mates results from curves based on flow. However, such unit process curves can
provide improved estimates for a particular facility.
The labor requirements from individual process curves plotted as a function
of a basic design parameter result In even more accurate estimates, since the
actual sizes and types of the individual processes are considered.
Examples of the two types of unit process curves are shown in Figures 11,
12, and 13. Figure 11 shows the labor requirements for primary sedimentation and
raw sludge pumping based on average plant flows. Figures 12 and 13 show the labor
requirements based on basic process design parameters. Some of these curves
divide the total labor requirements into operation and maintenance. Inspection of
the curves shows the basic differences between the approaches. For example, when
you consider 10 mgd primary sedimentation basins designed on the basis of over-
flow rates of 600 or 1,200 gpd/sq ft, the following results are obtained:
52
-------
HI
N
53
u.
u.
<
H
-------
ui
120
90
LU
rsj
CO
LL
<
60
30
4F
s
4
' S = 1.19Q-»2.59
10
Source: Reference 16
Figure 8.
30
60
FLOW, mgd
90
120
Staff size vs. actual flow - trickling filter.
-------
240
Ul
Ul
15
0
0 10 15
Source: Reference 16
75
105
FLOW, ngd
Figure 9. Staff size vs. actual flow - activated sludge.
-------
Source: Reference 16
ACTUAL FLOW, mgd
Figure 10. Staff size vs. actual flow - advanced treatment.
-------
10,000
1.000
I
a
E
'
CO
«
4
Z
100
B
B
I
4
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OPERATION-
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-UDES
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GE
2 3 4 5 6789
2 3 4 5 6 789
1 10
PLANT DESIGN FLOW, mgd
2 3456 789
Source: Reference 18
Figure 11. Labor requirements for primary sedimentation.
57
-------
.
;
•.
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100.000
9
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,
10.000
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E LA
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2 34 56789 2 34 36789 2 34 56789
10 100
SURFACE AREA, 1.000 sq It
1.000
Source: Reference 19
Figure 12. Labor requirements for sedimentation.
58
-------
100,000
10.000
«
z
fl
1.000
100
MAINTENANCE LABOR
100 1.000
FIRM PUMPING CAPACITY, gpm
2 3 456789
10.000
Source: Reference 19
Figure 13. Labor requirements for primary sludge pumping,
59
-------
10 mgd Primary Sedimentation and Sludge Pumping,
man-hours per year
Figure 11 2,700
Figures 12 and 13
600 gpd/sq ft 2,100
1,200 gpd/sq ft 3,200
Individual Evaluation—
Individual evaluation requires experience with all the unit processes and
equipment at the plant. To do this, you would start by listing all the unit
processes and operations at the plant. For each process or operation, you would
list all the operational functions that would be carried out each day. Based on
the equipment manufacturers' recommendations, a similar list for the preventive
maintenance of all the equipment would be needed. Based on a combination of judg-
ment, common sense, and past experience, you can estimate the time required to
perform all activities listed. The sum of the labor requirements provides an
estimate of the overall labor requirements for the plant.
Determination of the Level of Utilization
The level of utilization is an estimate of the actual productive time spent
on the job. Productive time is less than the total available time of 2,080
hours per year, based on a 40-hour week. One report (19) has placed this at 1,872
hours per year, another (18) at 1,500 hours per year, and a third at 1,550 (15)
hours per year. However, it is best to determine the value individually for each
type of plant.
The main items to consider in estimating the level of utilization are:
Vacation
Holidays
Average sick leave
On-the-job training
Safety and other meetings
Productivity factor (accounts for such items as picking up equipment
off the plant site, coffee breaks, discussion groups, area coverage,
and other miscellaneous lost time items)
The first three items are easily determined. Safety and other meetings can
be estimated. On-the-job training should be planned, the time required can then
be estimated. Training generally accounts for about 1 to 3 percent (20 to 62
hours per year) for typical secondary plants and about 3 to 5 percent (62 to 104
hours per year) for complex advanced treatment plants. Discretion and judgment
should be used in determining the requirments. During start-up of a new plant or
an upgraded plant, training requirements for the first year may reach as much as
10 percent (208 hours per year) of the annual available time.
Other items that may reduce productive time include off-site travel for
parts and equipment (which could be significant if the plant is some distance
60
-------
from the nearest major city); plant coverage, which is related to the general
layout of the plant and the distance between various processes and equipment; and
coffee breaks and discussion groups.
An example of a level of utilization computation is shown in Table 5. The
numbers are typical, but are not based on any specific plant. The annual hours
(1,656 hours) represent the time available for plant operation and maintenance
from each employee. Therefore, to determine the total staff required, the annual
labor requirement (in man-hours) would be divided by 1,656 hours. Once the total
number of people required for the plant is determined, then an organization can
be established.
TABLE 5. LEVEL OF UTILIZATION DETERMINATION
Item Hours
Annual vacation 80
Paid holidays 80
Average sick leave taken 56
On-the-job training 50
Safety meetings 6
Miscellaneous meetings 2
Off-site travel, plant coverage,
coffee breaks 150
TOTAL 424
Annual hours available 1656
(52 wks x 40 hrs - 424 hrs)
Determining Number of People by General Classification
The people required for plant operation will fall into the following five
general categories:
• Administration
• Laboratory
• Site work
• Operation
• Maintenance
61
-------
The number of personnel required for plant administration and site work can
be estimated from individual published curves. The curves for plant administra-
tion are usually based on plant flow. The results from the curves must be
adjusted to reflect the actual management structure. For example, if the plant is
owned and operated by a city, town or community, the administration requirements
are usually lower than if the plant is in a separate district. With a separate
district, more administrative staff are required for accounting, monthly billing
and other work that would normally be handled by the city staff.
The labor requirement for laboratory operation is directly dependent upon
the number of samples taken per year and the number of tests conducted on each
sample. An estimate of the time can be obtained from published curves, such as
the one in Figure 14. For a more detailed evaluation, the time required for each
test can be used to estimate annual labor requirements. The number of tests
depends on many factors, such as the variability of flow, the NPDES permit
requirements, the amount of in-plant testing necessary to operate the plant
efficiently, and any other testing completed for historical reasons or to deter-
mine plant efficiency.
The level of laboratory staffing can also be estimated using data from
another EPA report (8). This report has recommended staffing requirements as a
function of plant design flow and the level of treatment. The annual hourly labor
requirement can then be adjusted using factors for local conditions.
The two remaining categories are for the operation and maintenance person-
nel. Some of the guidelines have separate curves for operation and maintenance
labor for each unit process. For those curves with a single value for both
operation and maintenance requirements, the ratio of personnel in each category
can be affected by several factors:
Capacity of facility
Type of treatment process
Complexity of equipment
Plant layout
Climate
Variability and strength of influent wastewater
NPDES discharge standards
As a general rule, as flow increases, the percent of labor for operation
decreases. Typical ratios are about 70/30 (70 percent operation, 30 percent
maintenance) for mgd and 60/40 for 10 mgd plants. The effects of other factors
have been estimated as shown on Figure 15.
Although the use of adjusted curves can give good estimates, local factors
and past experience are the best sources of information for making labor
estimates.
Shift Coverage
The decision of whether to provide partial or full shift coverage can be a
difficult one. The total number of staff for shift work is the number in each
position on the shift times a factor, which depends on the level of utilization.
62
-------
100,000
9
8
7
6
5
4
5
2
10,000
9
f *
1 S
4
3
§ 2
1.000
I
6
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IV
3 4 5 67 89
3 4 5 6 7 89.
10
NUMBER OF DAYS SAMPLES ARE COLLECTED PER YEAR
3456 789
1.000
Source: Reference 20
Figure 14. Labor requirements for laboratory.
63
-------
LOCAL CONDITION
PLANT LAYOUT
UNIT PROCESSES
LEVEL OF TREATMENT
TYPE OF WASTE REMOVAL
REQUIREMENT
INDUSTRIAL WASTE
PRODUCTIVITY OF LABOR
CLIMATE
TRAINING
AUTOMATIC
MONITORING
AUTOMATIC
SAMPLING
OFF-PLANT
LABORATORY WORK
OFF-PLANT
MAINTENANCE
AGE AND CONDITION
OF EQUIPMENT
STORM AND
INFILTRATION FLOW
PRESENT FLOW OPERATION
AT LESS THAN DESIGN FLOW
PATTERN OF STAFFING
ADJUSTMENT
COMPACT
roroWrk - 50%
Operation*, maintenance — 10%
STANDARD EQUIPMENT.
SAME MANUFACTURER
mofntenoneo — 10%
PA1UARV
Sepervfeeiy. Clerical
AVERAGE
No edYusfmenf
STANDARD EQUIPMENT,
DIFFERENT MANUFACTURERS
No odyvrfment
SECONDARY
No ooViirtmonr
PERCENTAGE OF WASTE REMOVAL
SUCH AS '85% REMOVAL OF BOD'
NONE OR CONSTANT
No oW/VStMOftf
HIGH
SEASONAL
Operation* +5%
EXTENDED
YaroVork + 50%
Operation*, maintenance -f 70%
NON-STANDARD EQUIPMENT
DIFFERENT MANUFACTURERS
Operation*, maintenance + 10%
ADVANCED *»»»'»<«on'. Clerical
Laboratory tZ%r AWT pmcort
AMOUNT OF WASTE IN EFFLUENT. SUCH
AS 'NO MORE THAN 20 MG/L BOO*
Lofcoraferr '{2*
AVERAGE (6'i-HR/DAYI
No oo-foxmmr
MODERATE WINTERS
No aoVevtmenf
CERTIFICATION AND
CONTINUING EDUCATION
NONE
Operation* +5%
NONE
(.••oratory. Operation* +5%
NONE
No oJ/».(-.n<
NONE
No oaV'fmenr
ERRATIC
Laboratory, Operation* +10%
LOW
Operation*, maintenance 4 75%
EXTREME WINTERS
Maintenance +10%
CERTIFICATION BUT NO
CONTINUING EDUCATION
No oo>»tme»t
MONITORING ONLY
No orffaifntent
OF INFLUENT AND EFFLUENT
Cofcoratory, Operation* — 5%
FOR RECEIVING-WATER
MONITORING ONLY
Lafcorolory - 10%
CORRECTIVE MAINTENANCE ONLY
Maintenance - 25%
RELATIVELY NEW AND/OH
WELL-CARED FOR
No ooViolmont
NEITHER CERTIFICATION NOR
CONTINUING EDUCATION
5epervi*orr, Operation* +10%
MONITORING WITH FEEDBACK
Operation* — 5%
Maintenance +5%
THROUGHOUT PLANT
Laboratory - 10%
FOR ENTIRE PLANT
ALL MAINTENANCE EXCEPT MINOR
PHEVENTATIVE EQUIPMENT MAINTENANCE
Maintenance • 90%
RELATIVELY OLD AND/OR
POORLY CARED FOR
Increase maiirrenonce +10%
NO ADJUSTMENT. EXCEPT MAY INCREASE SOLIDS DISPOSAL
FOR INCREASED SCREENINGS AND GRIT
NO ADJUSTMENT. EXCEPT COMPLETELY BYPASSED
UNITS MAY BE SUBTRACTED OUT
SMALLER NIGHT AND WEEKEND
STAFF THAN ORDINARY
DECREASE APPROPRIATE
STAFFING PROPORTIONATELY
NIGHT STAFF: 1 FOR EVERY 3
OF
WEEKEND STAFF:
NO ADJUSTMENT
DAY STAFF
1 FOR EVERY 3
OF WEEKDAY STAFF
LARGER NIGHT AND WEEKEND
STAFF THAN ORDINARY
INCREASE APPROPRIATE
STAFFING PROPORTIONATELY
Source: Reference 18 . .
Figure 15. Table of adjustments for local conditions.
-------
For example, for the level of utilization presented earlier of 1,656 hours (Table
5), the factor would be 5.29 (24 hrs x 365/1,656). This means that you need about
five people for each position if it is staffed continuously. However, if the
weekend and night shifts can be staffed by skeleton crews, this number can be
reduced. For example, with a six-person dayshift staff and only two people on the
offshifts, the total staff would be fourteen people.
Factors that affect the need for shift coverage include effluent quality,
public health and safety, variability of influent quality, complexity of pro-
cesses, level of discharge standards, etc. Some points to consider are:
• Plant capacity
• Highly variable influent quality (strength) or a large proportion of
industrial wastes
• The reliability of the electrical energy supply and the frequency of
power outages
• Advanced wastewater treatment processes at the plant
• Highly specialized equipment that requires close attention and a lot of
maintenance
• Effluent discharge to highly sensitive water bodies such as just
upstream from a raw water intake or into a primary contact recreational
lake or stream
• The amount of remote monitoring and automation at the plant
• Effluent making up more than 50 percent of the receiving water flow
• Providing shift coverage without increasing the number of personnel
(usually requires a staff of about 20 people)
After considering all these points carefully, you should use your own judg-
ment on whether or not full shift coverage is warranted. Automatic monitoring
and controls with remote alarms may be used to minimize plant staffing require-
ments. For example, an alarm system at the local police station may be used to
signal equipment failure. The police can then contact an operator by phone.
DETERMINING THE QUALIFICATIONS AND SKILLS NEEDED
Determining the qualifications for your staff is based on common sense and
judgment. However, there are some basic guidelines that may make the selection
easier. The first is that nobody should have direct supervision of more than five
people, which in turn requires that you develop an organizational chart. A typi-
cal chart which can be adapted for any plant is shown on Figure 16. For plants
less than 10 mgd, two organizational structures are shown on Figure 17. To assist
you, a list of 21 job titles and brief descriptions are included here. These are
from a U.S. EPA report (19), which should be reviewed for more detailed informa-
tion about each position.
65
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OPERATIONS SUPERVISOR
cn
SHIFT FOREMAN
OPERATOR II
OPERATOR I
LABORER
| SDPERINTENDENT [
[ASSISTANT SUPERINTENDENT}
CLERK TYPIST
MAINTENANCE SUPERVISOR
—{ AUTO EQUIPMENT OPERATOR {
LABORER
UNCE FOREMAN
MECHANIC II
MECHANIC 1
CE HELPER
3FR
— | ELECT
1 ELECTF
— 1 STOREK
— j PAINTE
— r.nsTnni
CHEMIST
LABORATORY TECHNICIAN
Figure 16. Organization chart - conventional wastewater treatment plant.
-------
I SUPERINTENDENT j
[ OPERATOR II I | MAINTENANCE MECHANIC II | | ELECTRICIAN II )
| OPERATOR I I { MAINTENANCE MECHANIC I |
| MAINTENANCE HELPER |
AUTO EQUIPMENT OPERATOR
LABORER
ALTERNATIVE 1
I OPERATOR II I
I
[OPERATOR » i
MAINTENANCE HELPER
AUTO EQUIPMENT OPERATOR
LABORER
ALTERNATIVE 2
Figure 17. Organizational charts - plant size: 10 mgd or less.
-------
• Superintendent - Responsible for administration, operation and mainte-
nance of entire plant and review of operation and maintenance func-
tions. Exercises direct authority over all plant functions and person-
nel. Organizes and directs activities of plant personnel, including
training programs.
• Assistant Superintendent - Assist superintendent in review of operation
and maintenance functions and planning special operation and mainte-
nance tasks and alterations.
• Clerk Typist - Clerical duties such as typing operational reports and
filing, and other routine clerical duties.
• Operations Supervisor - Supervises and coordinates activities of plant
operators, laborers, custodians, and other plant personnel. Prepares
work schedules subject to the superintendent's approval. Inspects plant
to determine efficiency of operation and maintenance requirements.
• Shift Foreman - Supervises operation of plant, under general direction
of supervisors. Performs duties of operations or maintenance supervi-
sors in their absence. Replaces operation or maintenance worker during
emergency.
• Operator II - Operates treatment facilities to control flow and pro-
cessing of wastewater, sludge and effluent. Observes variations in
plant monitoring equipment and makes necessary adjustments. Takes
samples and performs routine laboratory tests and analyses. Performs
routine maintenance functions and custodial duties. Operates and main-
tains power generating equipment and incinerators.
• Operator I - Assists Operator II in performing the operation and main-
tenance duties as outlined or shall perform tasks as requested.
• Automotive Equipment Operator - Operates automotive equipment such as
trucks, tractors, or fork lifts. Assists in loading and unloading of
equipment. Operates equipment to cut grass and weeds, bulldoze soilf or
remove snow. Performs maintenance on the equipment.
• Maintenance Supervisor - Supervises all preventive and corrective main-
tenance on entire plant. Plans, schedules, and directs all maintenance
work. Supervises and instructs maintenance workers. Supervises inspec-
tions of contract maintenance and submits maintenance budget requests.
Responsible for maintenance records.
• Mechanical Maintenance Foreman - Supervises mechanical maintenance crew
in performance of maintenance repair tasks on machinery, equipment,
buildings, structures and grounds. Supervises and instructs maintenance
personnel on routine and emergency tasks. Consults supervisors regard-
ing preventive maintenance program. Establishes and operates preventive
maintenance program. Performs inspections and determines repair
methods. Works with contractors and manufacturer's representatives on
difficult tasks. Maintains maintenance records.
68
-------
• Maintenance Mechanic II - Performs preventive and corrective mainte-
nance on mechanical and electromechanical machinery and equipment,
under direction of superior. Assists in keeping maintenance records and
installs and sets up new equipment. Supervises, instructs, and inspects
work of Mechanic I, Maintenance Helper, or Laborer to ensure proper
performance of maintenance work or repairs.
• Maintenance Mechanic I - Under the direction of Mechanic II, Foreman,
or Supervisor, performs or assists in performance of preventive and
corrective maintenance. These tasks may also include limited laborer
and custodial duties. Also, assists in keeping maintenance records.
• Electrician II - Performs corrective and preventive maintenance on
electrical or electronic operating and control systems. Performs tasks
using independent judgment in solving problems or under general super-
vision of maintenance supervisor or assistance superintendent. Main-
tains maintenance records and supervises Electrician I, Maintenance
Helper, and/or Laborer.
• Electrician I - Assists Electrician II or performs corrective and pre-
ventive maintenance on electrical systems, fixtures, or equipment.
Performs tasks based upon oral and written instructions including
specifications, codes and wiring diagrams. The work is frequently per-
formed independently and inspected by supervisor. Maintains maintenance
records and supervises Maintenance Helper and/or Laborer.
• Maintenance Helper - Assists maintenance mechanic in maintaining and
repairing equipment, machinery, buildings and grounds. Duties also may
include maintaining simple maintenance records and performing laborer
tasks as required.
• Laborer - Performs general tasks such as cleaning equipment, maintain-
ing buildings and grounds, performing custodial tasks and carries or
holds material, supplies, or tools to assist operating and/or mainte-
nance personnel.
• Painter - Prepares surfaces for painting such as scraping, washing,
burning, sanding, sandblasting, puttying and caulking. Matches, mixes,
and blends various interior or exterior paints or wall covers and
applies them. Erects and uses ladders, scaffolding, and swinging stage
equipment. Performs simple sign painting, using stencils. Requisitions
material and equipment. Responsible to maintain, clean, and store tools
and equipment; and clean or have arrangements made for laborer to clean
the work site.
• Storekeeper - Requisitions, receives, inspects, verifies, stores, and
issues materials, supplies, tools, and equipment. Maintains inventory
records; controls material; and reports materials used, spoilage or
other losses, inventory adjustments, and refusal of shipment.
Responsible for determining method of storage, identification and
location of stock. Divides stock quantities into portions to fill
orders and identifies when reorder is required.
69
-------
• Custodian - Cleans all or designated portions of wastewater treatment
plant and grounds. Performs general custodial duties such as cleaning
restrooms, maintaining supplies, emptying waste cans and ashtrays,
maintaining grounds, picking up litter, sweeping walks, and shoveling
snow or cutting grass. Reports any repairs or adjustments required.
• Chemist - Supervises and performs specialized and complex chemical,
bacteriological, and physical tests and analysis of wastewater and
sludge samples. Assembles data, maintains records and prepares
reports.
• Laboratory Technician - Assists chemist in above tasks. In absence of
chemist, operates laboratory.
Using these summary descriptions, and considering the type of process and
equipment at the plant, the number and qualifications of staff can be estimated
for your plant. A form, shown on Figure 18 can be used as an aid to determine
the number of people and skill levels. Appendix B contains some examples which
show how to use this form with published staffing guidelines. Reference 15 also
has an example of how to apply it.
CERTIFICATION PROGRAMS
A 1975 survey of the operator certification requirements in the U.S. showed
that about 80 percent of the states have mandatory requirements for certifica-
tion (21). They usually apply only to the superintendent or chief operator, how-
ever, some states require that the shift foreman or person in charge of day-to-
day operation also be certified.
The certification requirements are set by each state. They generally take
the form of a written and/or oral examination. In most states wastewater treat-
ment plants are classified depending on the complexity of treatment, population
served, downstream watercourse conditions, and potential health hazards. Operator
qualification requirements for the four plant classifications might be like these
(22):
Class I - Grammar school education or equivalent, one year experience and
a passing grade in a written examination.
Class II - Grammar school education or equivalent, three years' experience
and a passing grade in a written examination.
Class III - High school education or equivalent, five years' experience and
a passing grade in a written examination.
Class IV - Class III certificate, two years in responsible charge of a
Class III or Class IV wastewater treatment works and a passing
grade in a written examination.
In some instances, there are other limitations (such as the minimum length
of time you have been operating wastewater treatment plants) before you can get
Class IV certification. Also, some states include a fifth wastewater treatment
70
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Project
ESTIMATED PLANT STAFFING COMPLEMENT
Computed by
Date
Staff Position
Administration S General;
Superintendent
Assistant Superintendent
Clerk Typist
Storekeeper
Subtotal
Operation Labor;
Operations Supervisor
Shift Foreman
Operator II
Operator I
Automotive Equipment Operator
Subtotal
Maintenance Labor;
Maintenance Supervisor
Mechanical Maintenance Foreman
Maintenance Mechanic II
Maintenance Mechanic I
Electrician II
Electrician I
Painter
Maintenance Helper
Subtotal
Laboratory;
Chemist
Laboratory Technician
Subtotal
Site Work;
Laborer
Custodian
Subtotal
Total Labor Requirements
*Man hours divided by level of utilization
Estimated Annual
Payroll Requirements
Man hours Number of
employees*
Suggested
Staffing
Number of
employees
Figure 18. Form for estimating plant staffing positions.
71
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plant classification* You should determine the classification of your wastewater
treatment plant and make sure that all certification requirements are met. Usu-
ally, the higher and more complex the level of treatment, the higher the clas-
sification level and operator certification requirement. The plant classification
level may be part of the NPDES discharge permit.
The states having mandatory or voluntary certification requirements are
shown on Figure 19. Table 6 shows the certification program administration and
agency in charge of the program for wastewater treatment facilities. This should
be used carefully because, of those states reporting voluntary certification pro-
grams, two have been re-evaluating their programs and are tending towards man-
datory certification.
Certification of plant operators does provide benefits to everyone associ-
ated with wastewater treatment programs. Whether or not certification is required
for a position at your plant, you should encourage your staff to be certified.
The benefits which you should describe to them are:
State Agencies
Certification gives the responsible state agency the chance to set minimum
standards for the staff at all wastewater treatment facilities. Operation by a
qualified operator can reduce the chance of public health hazards and nuisance.
Many states have passed laws that require monthly reports from plants; a certi-
fied operator is more likely to be capable of understanding and completing these
reports. Many states have noticed improvement in plant operation after mandatory
certification was started, which has resulted in less operational assistance
requests of the state agency.
Plant Owner
The major benefit realized by the owner is the protection of the capital
Investment, which results in longer facility life, reduced corrective maintenance
requirements, and lower operating costs. The qualified (certified) operator is
more likely to understand the benefits of preventive maintenance, which can
extend the life of all equipment. He will also be more aware of the laws and
violation penalties.
There are indirect benefits to the owner such as improved quality of the
receiving stream, protection of water supplies, and general improvement of the
aquatic environment. Finally, the owner has a group of qualified people to choose
from for other positions.
Plant Employees
Employee benefits resulting from certification include a recognized level
of skill and knowledge, better defined professional status and responsibility,
job security, and established career service. These benefits have been reported
in those states that have mandatory certification requirements as well as by
operators obtaining certification on a voluntary basis.
72
-------
M = Mandatory
V = Voluntary
Figure 19. Certification requirements.
-------
TABLE 6. CERTIFICATION PROGRAM ADMINISTRATION
Wastewater programs
State
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Administration
-> & tn 3
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Industry
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Certification
Type administered by
Voluntary
Mandatory
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
c
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TRAINING PROGRAMS
There are many reasons for training wastewater treatment plant personnel.
They include investment protection, efficient plant operation and maintenance,
and promoting a good self-image. Today's treatment facilities are more complex
and difficult to operate than the majority of the treatment plants constructed
prior to passage of PL 92-500. The more complex plants require more skilled
operators to meet discharge standards. The importance of training operators has
been analyzed (23) in terms of the amount spent on training programs for those
plants meeting and not meeting the design BOD removal criteria. The results of
this analysis, shown on Figures 20 and 21, indicate a direct relationship between
the amount spent on training and the number of treatment plants meeting the
criteria. The analysis shows that "the average training expenditure was in every
case higher at the facilities operating at or above the design level for BOD
removal." Other results of this analysis were that the training expenditures at
small plants with satisfactory treatment performance were twice those where
design removal efficiencies were not reached, and that the average treatment
plant performance improved by about 24 percent when the plant was operated by
satisfactorily trained personnel. The training cost as a percentage of salary
budget will vary significantly with the size of the plant and the skills and
abilities of the operators.
There are other benefits from proper training of plant personnel. These
include avoiding damage to expensive machinery, the ability to troubleshoot a
plant and the ability to fine tune a plant for good treatment at minimum cost.
There are three types of training:
• Preparatory training involves training a new recruit entering the
wastewater treatment profession. The training might take the form of a
two-year course at an accredited community college or vocational
school. The course should provide the fundamentals of wastewater treat-
ment technology. Preparatory training may also be useful for experi-
enced operators wishing to improve their positions by promotion or
transfer to other plants.
• Skill maintenance training is the training needed to help plant opera-
tors maintain skills necessary to perform their work. This might take
the form of on-the-job training sessions or short courses at local or
nearby community colleges.
• Skill improvement training is similar to the first training program
except it would involve short courses, correspondence courses, and on-
the-job training. This program might be used to teach existing person-
nel how to operate a treatment facility that is being expanded, or to
operate a particular piece of equipment.
The methods, aids, and personnel used for operator training are very impor-
tant. A recent study for the EPA evaluated the problems being experienced at many
wastewater treatment plants (24). The plants were evaluated in detail and items
most commonly limiting the performance of each plant were determined and ranked.
The top ten items are given here in Table 7. The first four are related to plant
operation. The study showed that in many Instances the problem was caused by
75
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SATISFACTORY
PERFORMANCE
UNSATISFACTORY
PERFORMANCE
$285
$115
$444
$996
$335
1 MOD 1-10 MGD
Source: Reference 23
10 MGD
Figure 20. Average annual training expenditures.
•
'"
•
$1.38
$0.65
(0.94
iO.84
1 MGD 1-10 MGD
Source: Reference 23
SATISFACTORY
PERFORMANCE
UNSATISFACTORY
PERFORMANCE
$0.59
$0.24
10 MGD
Figure 21. Average annual training expenditure
per $100 salary cost.
6
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improper guidance or training. In nearly all facilities surveyed existing person-
nel had the aptitude to learn how to achieve better plant performance.
TABLE 7. RANKING OF FACTORS LIMITING PERFORMANCE FOR THIRTY EVALUATED FACILITIES
Item
no.
1
2
3
4
5
6
7
8
9
10
Ranking
(total
points)
1
2
3
4
5
6
7
8
9
9
Factor
Operator Application of Concepts
and Testing to Process Control
Sewage Treatment Understanding
Technical Guidance
Process Control Testing
Sludge Wasting Capability
Process Flexibility
Process Controllability
Clarifier (Secondary)
Sludge Treatment
Aerator
No. of
times
cause
occurred
28
20
17
21
18
16
20
11
15
9
No. of
times
cause
ranked #1
6
4
5
0
3
2
0
2
0
2
Total
points
53
42
37
34
33
32
31
21
19
19
On-The-Job-Training
On-the-job training can be a formal classroom approach or through individual
instruction as part of a normal daily routine. The classroom approach should be
arranged at the end of one shift and the beginning of the next shift in order to
have as many people as possible attending the class.
The principal reasons for training and, more particularly, for on-the-job
training include:
• To transfer ideas from the design engineer to the plant staff
• To provide information on specific unit processes used at the plant
• To show methods for optimizing the efficiency of unit processes using
the actual treatment units involved
• To provide "hands-on" training with feedback at a full scale, operating
facility
• To use the classroom and "hands-on" approach to minimize trial-and-
error plant operation
• To increase operator confidence by giving "hands-on" experience in the
presence of the instructor
77
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Miscellaneous Training Courses
There are several other methods available for training wastewater treatment
plant operators. These include short schools; correspondence courses; college
extension classes; and classes at community colleges, vocational schools, and
special schools offered by many state agencies. Many of the schools offer con-
tinuing education units for their courses. A certain number of these units may be
required for certification renewal in your state. These alternates are briefly
discussed below.
• Short Schools - Offered by state pollution control agencies or univer-
sities, short schools are usually held once per year. They are usually
classroom-type courses taught by experienced, certified operators who
may also have college degrees. You should check with the local state
regulatory agency or local Water Pollution Control Association to find
out about the courses held in your area.
• Correspondence Courses - Correspondence courses are completed by mail.
The type of course allows self-pacing and the chance for the student to
test the course material at his facilities. The student must work
alone, without personal contact from an instructor. Correspondence
courses include those offered by the Water Pollution Control Federa-
tion, California State University of Sacramento, and International
Correspondence School.
• College Extension Courses - These courses are similar to the short
schools, but are offered by the extension division of local universi-
ties. The extension classes are frequently geared to more specialized
skills and can be taken for college credit.
• Community Colleges - The community colleges or two-year schools that
serve your area may offer a complete two-year associate degree in
wastewater treatment plant operation. These courses provide ideal
training for those people starting a career in the wastewater treatment
field. Part-time or evening courses are also suitable for the fully
employed operator. You should contact the local community college for
more Information about these classes.
• Vocational Schools - One- or two-day schools or seminars are often held
throughout each state. These schools are put on by state agencies as
well as by the EPA and private consultants. You can get the school
schedules from your state pollution control agency. In some instances,
you can arrange to hold these special schools at your plant.
• Local Association Schools - The local Water Pollution Control Associa-
tion and other such organizations hold schools for operator training.
Information on times and locations can be obtained from the magazines
or bulletins published by the local association or from the Association
secretary.
78
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Selecting a Training Approach
There are several factors to consider in deciding which training approach to
use. You must compare the advantages and disadvantages of each approach. Some
are listed below (25):
Type of Course
On-the-job training
by the use of the
demonstration
approach.
Advantages
Learning in a practical
situation, trainee can see
and hear the operation.
Disadvantages
Self-instruction by Cost/man hour is usually
correspondence course low, trainees are actively
or other educational involved, instruction is
packages. self-paced and consistent,
and materials have been
pre-tested and their
effectiveness proven.
Classroom approach.
Less time-consuming, more
material can be covered
quickly, fewer inter-
ruptions allow instruc-
tor to pursue objectives,
and the same lecture can
be given to more than one
group with little in-between
preparation.
May be one-way communica-
tion, difficult to set up,
may place heavy demands on
instructor, limited number
of trainees can partici-
pate.
Slow feedback, no instruc-
tor for supplemental guid-
ance, requires high level
of motivation, and can be
difficult to teach "hands-
on" experience because
specific self-instruc-
tional materials are not
always available.
Communication may be one-
way, opportunities for mis-
understanding information
are great, and lectures
cannot be tailored to in-
dividual needs and may
lack trainee involvement.
Planning a lecture that
will hold the interest of
the trainees is difficult.
SAFETY PROGRAMS
A WPCF Safety Survey taken in 1978 (26), shows an increasing trend in the
injury frequency at wastewater treatment plants, as can be seen in Figure 22.
Figure 23 shows that the injury frequency rate increases sharply until the
population served is about 250,000. The decline for the larger plants may be due
to having a full-time safety officer at the plant. This information points out
the need to pay more attention to safety in the small- to medium-sized municipal
wastewater treatment plants. The following suggestions on how to set up a safety
program and the benefits to be derived from them may be helpful to you in
assessing your safety needs.
A good safety program at a wastewater treatment facility can reduce the
frequency and seriousness of accidents. A successful safety program must start
with management; it is up to you to start and follow the program. A good program
will accomplish three goals: reduce the total cost of operations, Increase
79
-------
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COLLECTION SYSTEMS
ALL WASTE WATER WORKS
TREATMENT PLANTS
LEGEND
ANNUAL AVERAGE
LONG TERM TREND: 1967 TO PRESENT
1968
1970
1972
1974
1976
1978
YEAR
Sources Reference 25
Figure 22. Injury frequency rate vs. year.
80
-------
Ul
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8
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3
~3
0.1
10
100
1,000
10,000
POPULATION SERVED BY SYSTEM IN THOUSANDS
Source: Reference 25
Figure 23. Injury frequency rate vs. population served by system.
81
-------
productivity (the level of utilization), and provide a feeling of security and
well-being for plant personnel. Safety is the common sense approach to any task,
but the real key to safety is the individual worker (13).
At the start of the program, you should explain it completely, name a person
to be in charge of it, describe the advantages of it, and finally, spell out the
responsibilities of each individual. At smaller treatment plants, you may be the
supervisor and, therefore, have the complete responsibility for directing the
safety program. You should encourage the plant staff to take a course in safety
and first aid taught by a qualified safety engineer and first aid instructor. An
outside safety consultant should be hired about once a year to check on your
safety program. This person should also make periodic checks of operational pro-
cedures and report any safety hazards or areas in need of improvement. The safety
engineer or technician should also establish a set of safety rules for each part
of the plant.
After the safety program has been prepared you should have regular safety
meetings at the plant. These meetings should be held monthly, or more often,
depending on the potential hazards at the plant. The meetings should be 10 to 30
minutes long and the employees should be encouraged to actively participate.
You should have the meetings at the beginning or end of a shift, but always on
paid time to indicate the importance you place on the program. Films on safe
driving, slips and falls, gases, danger of fires, etc., are very helpful instruc-
tional aids.
You have the primary responsibility for safety at your treatment facility.
It covers four major areas (27):
• Providing a safe place to work
• Providing safe equipment and tools
• Hiring only qualified personnel, or personnel with an interest and
aptitude for learning
• Training workers for job skills as well as safety precautions
Some safety features of the plant that must be maintained are:
• A minimum of two employees should be assigned for any work' that is
potentially dangerous such as manhole inspections, machinery mainte-
nance, etc.
• Handrails should be provided around all basins and openings.
• All stairs, walkways, and platforms should be free of grease, oil, and
debris, and well lighted.
• Adequate ventilation systems should be provided for all enclosed
spaces.
•
• Life preservers and throwlines should be provided adjacent to all
basins, ponds, and lagoons.
82
-------
• Protective guards should be provided on all rotating machinery*
• Protective guards and handrails which can be removed for maintenance
should be replaced af.ter maintenance work is complete.
• Where flammable gases may be present, explosion-proof electrical equip-
ment should be provided and all bolts, gaskets, globes and guards
should be intact.
• Carbon dioxide fire extinguishers should be provided adjacent to motor
control centers and automatic control systems.
• Signs should be provided at the entrance of all wet wells and rooms in
which toxic or flammable gases may be present.
• Instrumentation for the detection of toxic and flammable gases and low
oxygen levels should be provided and should be operational.
• All boats at lagoons should be provided with a life jacket for each
person.
• All vehicles should be equipped with appropriate safety equipment,
including lights, horns, windshield washers, and fire extinguishers.
• Pressure vessels should be operated within their design rating and
should have a pressure relief valve.
• Ear muffs should be provided at the entrances of all rooms that are
excessively noisy.
A list of minimum recommended safety equipment is given in Table 8.
After a new employee has been hired, you must be sure that he is given the
proper training in both the work skill for the position and in the safety pro-
gram. This will greatly reduce the chance of accidents.
In case of accident, the immediate supervisor and safety officer should be
informed. The supevisor should investigate each accident thoroughly and complete
an accident report similar to the one shown on Figure 24. In the event an
employee needs medical attention, he should be taken to a specified doctor,
clinic, or hospital. The accident report should show the doctor's name and diag-
nosis, the cause of the accident, and what has been done to prevent it from hap-
pening again.. The information on these forms can be used to prepare a monthly
summary of all accidents. A form such as the one shown on Figure 25 can be used.
should review these reports to find ways of decreasing accidents.
83
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TABLE 8. MINIMUM RECOMMENDED SAFETY EQUIPMENT FOR
WASTEWATER WORKS PERSONNEL
Equipment
Use
Portable air blower (gas motor or
electric motor operated)
Electric explosion-proof lantern
Safety harness
Hose mask with hand blower and
50-ft hose
Two self-contained air packs for
plants using chlorine
Ventilating manholes and other enclosed
subterraneous structures
Illumination in tanks or sewers where
gas may be present
For workers entering deep manholes or
tanks
Respiratory protection in all gas and
vapor atmospheres including oxygen
deficiency
Respiratory protection against chlorine
gas leaks
84
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CITY OF PORT ARTHUR No.
SUPERVISOR'S ACCIDENT REPORT
A.M.
Name of Injured Date of Injury Time P.M.
Department_ Division
Location Occupation__
Doctor Hospital Estimated Lost Time_
Describe the Injury
Describe fully how accident happened, and what employee was doing when injured:
CAUSES OF ACCIDENT
Unsafe Equipment Unsafe Conditions Unsafe Act
Explain the above:
What has been done to prevent a recurrence of this type of accident?_
Witnesses:
Reported by:
Approved by Dept. Head
Approved by city Manager
Source: Reference 13
Figure 24. Supervisor's accident report form.
85
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CITY OF PORT ARTHUR MONTHLY ACCIDENT SUMMARY
00
Department & Divisions
General Government:
City Manager
City Secretary
City Attorney
Finance
Tax
Personnel
Inspection & Permits
Public Safety:
Police
Fire
Civil Defense
Health:
Electrical :
Public Works:
Engineering
Street Maintenance
Street Construction
Urban Renewal
Drainage
Bridge
Sanitation
Administration
Parks & Recreation:
Library:
Water & Sewer:
Water Office
Water
Sewer
rOTALS
THIS MONTH
Man Hrs
Worked
Minor
Ace.
L.T.
Ace.
Days
Lost
Fre-
quency
Sever-
ity
c
Man Hrs
Worked
tJMULA1!
Minor
Ace.
IVE I
L.T.
Ace.
HIS ^
Days
Lost
•EAR
Fre-
quency
Sever-
ity
Source: Reference 13
Figure 25. Monthly accident summary form.
-------
["9 EMPLOYEE RELATIONS |
RECRUITING
NEW EMPLOYEES
— Application
forms
- Interviews
- References
- Conditional
period
COMMUNICATIONS
SALARY & BENEFIT
JTRUCTURE
- Must be
competitive
• Written policy manual
• Day-to-day contact
• Performance
evaluations
-Example form
-Private interview
PERSONNEL RECORDS
Application forms
Interview notes
Salary records
Vacation and sick
leave records
1
MOTIVATION
— Individual
needs
— Recognition
- Positive
leadership
ABSENTEEISM
~ Set a good example
- Require medical
certification o f
illness
- Accumulate unused
sick leave
PROMOTION
POLICIES
- Merit not
seniority
COLLECTIVE BARGAINING &
CONTRACT ADMINISTRATION
— Uriiori negotiating
- Employee grievances
~ Labor contracts
-------
SECTION 8
EMPLOYEE RELATIONS
RECRUITING NEW EMPLOYEES
Staffing a plant with well-trained employees with high morale and a desire
to do a good job will get the most out of your plant (18).
Good recruitment and selection of employees is a key to successful operation
and maintenance. You must remember that sewage treatment plant employment is not
attractive to most people unless there is no other source of similar employment
or the salaries being offered are comparatively high. A survey (29) found that in
half of the wastewater treatment plants studied, it was difficult to recruit
people* Notices and advertisements announcing the job openings should stress pos-
itive aspects such as the technical challenges, the chance for training and
advancement, fringe benefits, the steady nature of the work, and salaries. Good
salaries are a key, of course, in attracting personnel. Poor salaries make
recruiting good personnel difficult.
In planning and implementing a recruitment program, you must consider the
requirements of affirmative action hiring. If you do not have an affirmative
action program, you should look into developing and implementing one. The first
step is to examine your recruitment and hiring policies to see how they might be
changed if they are not in compliance with the Equal Employment Opportunity Com-
mission (EEOC) guidelines. You should then adopt measures to make up for past
weakness and promote equitable hiring practices. Remember, however, it is crucial
that your staff be properly qualified for the jobs they hold. Underqualification
or overqualification can present serious operating problems.
The first step in hiring is to have the applicant fill out an application
form. Your community may already have developed a form which you can use with
little change. It should include a work history, references, and educational sum-
mary. You must recognize that some applicants will exaggerate their qualifica-
tions. The application form should state that false statements are grounds for
discharge. When this warning is printed on application blanks, it tends to mini-
mize such statements; it also provides a sound basis for discharge.
Applicants typically give people who are especially friendly to them as ref-
erences. You should talk with an applicant's former employers and also with his
references in person or by telephone. These persons will be more frank and honest
in a confidential personal conversation than they will In general letters of ref-
erence. Many bad personnel selections have been made by accepting the statements
on applications, in reference letters, and in interviews at face value.
The best of the applicants are usually interviewed. Interviews offer some
hazards because of possible prejudice on the part of the interviewer, whether it
be the color of the skin, the sex of the person, the way he looks or talks, or
something else.
87
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One method of selecting employees is the use of an examination on basic
mathematics, mechanical aptitude, and general intelligence coupled with a medical
examination. Experience (30) has shown that most people recruited with this
approach show good interest in their jobs. You should work with your city's civil
service personnel to set up appropriate testing procedures. If you don't have a
civil service department, contact a nearby city or your Water Pollution Control
Association for example exams.
Even a good, honest, and complete evaluation of an applicant is no substi-
tute for personal experience with the individual. A period of trial or probation-
ary employment gives you the chance to measure the employee's ability. If the
employee proves inadequate, he should be dismissed or assigned to a more suitable
position.
In the event an employee leaves, you should have an exit interview with him.
This will be useful to you in finding out why he's leaving and determine any
problems he sees with his job and your management policies. It is useful for the
employee since he will get a final evaluation of his performance. Every effort
should be taken to see that both of you remain calm and unemotional, but frank.
COMMUNICATIONS
Employee Manual
You should have a manual for your employees which has written policies on
sick leave, vacation, training, insurance, holidays, etc. The manual need not
be elaborate. However, it is important to give written personnel policies to all
employees.
Day-to-Day Contacts
Keep in mind the following general guidelines (31) in your day-to-day deal-
ing with your staff:
• People need to feel significant. They need to belong; they need secu-
rity and opportunity. When you help people meet these needs, you are
being a good manager. It is not enough to feel these things - action
must reflect attitude.
• Use praise and sincere appreciation rather than criticism.
• Know and be known by your people - let your actions honestly represent
your attitudes.
• Stress advantages, not punishment and penalties.
• Learn to listen as well as to talk. If you are getting a negative reac-
tion from your listeners, change your approach.
• Maintain self-control.
88
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• Repeat directions and explanations until they are remembered and
understood.
• Encourage employees to discuss their problems with their supervisor.
Performance Evaluations
A good evaluation of performance of each employee is important* A regular,
formal review of performance can be a good communication and management tool*
Many managers don't like this task, but it can be of value if properly used.
The goals of performance evaluation include: improved employee performance,
motivation, and morale; employee development; better supervisor-employee communi-
cations; and good basis for assignments, promotion, merit increases, layoff,
transfer, and the like. Other benefits include discovering areas in which train-
ing is needed, and finding all of the employee skills and talents* Some general
points to keep in mind on performance appraisals are:
• Performance refers to what an employee has done or is doing. Don't
guess about what the employee might be capable of doing or what you
would like him or her to do. Performance is on-the-job behavior that
can be recorded and evaluated.
• Evaluation is measuring what a person does in relationship to what he
is supposed to do in his job.
• Potential is an estimate of how a person will perform in a new posi-
tion. It is based on accurate records of past and present performance.
• Don't confuse performance with personality unless you can show that a
personality trait, or its absence, affects performance*
• Measure what is accomplished rather than how it is accomplished. Dif-
ferent people achieve results in different ways, and the result is what
counts. If a method is unsafe, however, it must not be permitted.
• Single out the key factors which make the difference between superior
and average performance. Poor self-discipline, for example, may make a
person unsuitable for certain assignments, even though he or she is
good in other respects.
• Make certain that the evaluator does not let prejudices influence his
judgments. This is no easy task. All people are affected by certain
characteristics, mannerisms, or physical aspects of other people. By
concentrating on results, prejudices will be less likely to affect the
evaluation.
• Always think of performance. One-time errors or achievements will be
less likely to distort long-term evaluation.
• Keep ratings private.
89
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Many different types of forms have been developed for use in performance
appraisals. Table 9 is an example form.
The following steps are involved in an effective appraisal (32).
Before you discuss the review with the employee, collect facts and make a
careful appraisal. When you list areas in which the employee is weak, give
specific examples. For example, if you feel he lacks initiative, be ready to
point out instances where he failed to show initiative. Simply telling him he
needs more initiative will be of little help to him. In making your evaluation,
you should ask yourself if you have done all you can to help the employee do a
good job.
The next step in preparing for the interview is to decide what you want to
accomplish. Do you want to help the employee understand what his faults are and
why he should correct them? Do you want to let him know how effective he is and
that you are thinking of giving him added responsibility? Do you want to get him
to agree with you on specific steps for his own improvement? Knowing your basic
aim will enable you to organize your remarks more effectively. In planning what
you're going to say, consider his personality and try to use an approach that
will put him at ease.
The interview should be conducted in private. Make sure that you will not
be interrupted by phone calls or visitors.
Use an informal tone and emphasize that the purpose of the interview is to
help the employee help himself. Ask the employee how he is coming along on the
job and what problems or obstacles he feels he has. Encouraging him to talk may
help him understand his position better and it will help you understand his atti-
tudes and outlook. Let him know you are interested in what he is saying. Here
are a few pointers on being a good listener:
• Listen attentively so he feels you are eager to understand every word
he says.
• Nod or say "I see" or "I get what you mean" from time to time. This
will encourage him to keep on talking.
• When he has finished talking, summarize what he has said. Then give
him time to make corrections or additions.
What the employee tells you may force you to make some changes in your eval-
uation of his performance. Some problems that you were unaware of may have
affected his work. Do not launch into your appraisal without considering what you
have just learned.
Discuss the employee's strong points early in the interview. Mention exam-
ples of outstanding performance that you have observed. Encourage him to keep
working on his stronger characteristics.
//hen reviewing weak areas, discuss only weaknesses for which you can provide
examples. Without examples, the employee may feel that you are being unfair.
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TABLE 9. ILLUSTRATIVE PERSONNEL PERFORMANCE EVALUATION FORM
Name: Date:
Date of Entry
Job Title: Into Present Job:
Organization
Name and title of person making performance appraisal:
MAJOR CATEGORIES (FROM LOW TO HIGH)
Job Knowledge: the information on work duties which an employee should know
for a satisfactory job performance.
Poorly informed about work duties
^^ Lacks knowledge of some phases of work
Moderately informed; can answer most common questions
Understands almost all phases of work
Has complete mastery of job
Quality of Work: doing work that meets or exceeds quality standards.
Usually below minimum acceptable quality
~~~~ Often below minimum acceptable quality
3^2 Acceptable quality most of the time
Often above acceptable quality
High quality work consistently exceeds acceptable standards
Quantity of Work: the amount of work an individual does in a normal day.
Does not meet minimum requirements
~^^_ Does just enough to get by
Volume of work is satisfactory
Very industrious; does more than is required
Superior work production record
Stability: the ability to withstand pressure and to remain calm in a crisis
situation.
Goes "to pieces" under pressure; is "jumpy" and nervous
~^2. Occasionally "blows up" under pressure; is easily irritated
' Has average tolerance for crises; usually remains calm
Tolerates most pressure; likes crises more than the average person
Thrives under pressure; really enjoys solving problems
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TABLE 9. (Continued)
Accuracy: the correctness of work duties carried out
Makes many and frequent errors
Makes recurrent errors; is generally careless
Usually accurate; makes only a limited number of mistakes
Is exact and precise most of the time; requires little supervision
Is almost always accurate; requires absolute minimum of supervison
Alertness: the ability to meet changing conditions and to solve new problem
situations, and to grasp instructions.
Slow to grasp a situation
Requires extensive and detailed instructions and explanations
Grasps instructions with average ability
Usually quick to understand and learn
Exceptionally keen and alert
Creativity: the capacity for having new ideas for finding new and better ways
of doing things and for being imaginative.
Rarely has a new idea; unimaginative
Occasionally comes up with a new idea
Has average imagination; has reasonable number of new ideas
Frequently suggests new ways of doing things; is very imaginative
Continually seeks new and better ways of doing things
Dependability: the ability to do assigned jobs well with a minimum of direction;
reliability.
Requires close supervision; is unreliable
Sometimes requires prompting
Usually takes care of necessary tasks and completes with reasonable
promptness
Requires little supervision; is reliable
Requires absolute minimum supervision; highly reliable
Drive: the desire to attain objectives and to achieve assignments.
Has poorly defined goals and acts without purpose; puts forth little or not
effort
Sets goals too low; does little to achieve
Has satisfactory goals and usually acts to reach them
Strives hard; has high desire to achieve
Sets high goals and strives to reach these
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TABLE 9. (Continued)
Courtesy: the polite attention an Individual gives to fellow workers, superiors,
and to other people*
Discourteous and sometimes antagonistic
Sometimes tactless, thoughtless, or too blunt
Agreeable and pleasant under most situations
Almost always very polite and willing to help
Inspiring to others in being regularly courteous and pleasant in work
relationships
Sociability: the friendliness and warmth which an individual imparts in his
attitude toward customers, other employees, his supervisor and the persons he
may supervise.
Distant and aloof; these qualities adversely affect work
Approachable; friendly once known by others
Warm, friendly, and sociable most of the time
Sociable and out-going
Extremely sociable; excellent at establishing good will
Personality: an individual's behavior characteristics or his personal
suitability for the job.
Personality is unsatisfactory for this job
Personality is questionable for this job
Personality is satisfactory for this job
Desirable personality for this job
Outstanding personality for this job
Personal Appearance: the personal impression an individual makes on others.
(Consider cleanliness, grooming, neatness, and appropriatness of dress, if these
are relevant to this job.)
Very untidy or poor taste in dress
Sometimes untidy and careless about personal appearance
Generally neat and clean; satisfactory personal appearance
Careful about personal appearance; good taste in dress
Unusually well groomed; very neat; excellent taste in dress
Physical Fitness: the ability to work consistently and with only moderate
fatigue. (Also consider and weigh physical alertness and energy.)
Tires easily; low on energy
Frequently tires and is slow
^^ Meets physical and energy job requirements
Energetic; seldom tires
Excellent health; little fatigue; highly energetic
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TABLE 9. (Continued)
Attendance: frequency and punctuality in coming to work, conforming to work
hours, and not abusing sick leave.
Often absent without good excuse and/or frequently reports for work late
Lax in attendance and/or reporting for work on time
Usually present and on time
Very prompt; regular in attendance
Always regular and prompt; volunteers for overtime when needed; highly
conscientious about attendance and punctuality
Housekeeping: the orderliness and cleanliness in which an Individual keeps his
work area.
Disorderly or untidy
Some tendency to be careless and untidy
Ordinarily keeps work area fairly neat and clean
Conscientious about neatness and cleanliness; above average
Unusually neat, clean, and orderly; outstanding
Overall Evaluation: in comparison with other employees with the same length of
service on this job.
Definitely unsatisfactory and far below average
Substandard but making progress
Doing an average job; satisfactory performance
Definitely above average
Outstanding
SPECIFIC COMMENTS
Major points, subjects, or areas for improvement are:
1.
2.
3.
4.
These can be strengthened by doing the following:
-------
TABLE 9. (Continued)
Major strong points are:
1.
2.
3.
4.
These can be used more effectively by doing the following:
RATED BY
(NAME) (DATE)
A copy of this report has been discussed with me and has been given to me.
( EMPLOYEE' S SIGNATURE ) DATE
If the employee disagrees with this rating in any way, he will note specifically
the points of difference, attach a sheet, and sign it.
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Don't make unfavorable comparisons with the work of others, don't blame the
employee for poor performance, and don't talk down to him.
Before you offer any suggestions for improving performance, ask the employee
for his ideas. If he has none, put your suggestions in the form of a question:
"Do you think you could do a better job if...?" or "Is there anything I can do to
help you?" When he has agreed with you on the steps to be taken, tell him what
standards you want him to meet and how you will measure achievement. Be sure he
feels they are reasonable.
In ending the interview, review the points that have been made and encourage
the employee to summarize them in his own words. Assure him that you are inter-
ested in his progress and tell him you are ready to talk to him at any time.
If the employee is cooperative and you have handled the interview with
skill, everything should go smoothly. Occasionally, however, an employee may give
you a hard time. He may be angry when he hears your appraisal of his work. At
such times, do not become emotionally involved. Renain calm. Do not attempt to
force him to agree with you. If he starts to argue with you, it is best to end
the interview.
No matter how well you conduct the interview, you must follow through after-
wards. After you have worked out an improvement plan with an employee, make a
point to see how he is doing. Praise him for any progress he has made. If he
still has difficulties, try another approach. Unless you follow through,
employees may decide that the interviews do not mean much and they will be less
cooperative the next time.
PERSONNEL RECORDS
An elaborate set of personnel records and forms is not needed, but there is
certain information on each employee that should be kept as part of a permanent
record:
Original application form
Your notes from the initial interview
Insurance and tax forms
Performance appraisal forms
Salary history
Sick leave and vacation history
Training and/or certification achievements
Notes from an exit interview if the employee leaves for any reason
SALARY AND BENEFIT STRUCTURE
In order to attract and retain good people, it is necesary to have a com-
petitive salary and benefit structure. If you are part of a municipal govern-
ment, the general structure may be city-wide. A separate wastewater utility has
more direct control over the structure.
The WPCF conducts a national survey of salaries and fringe benefits of water
pollution control facilities personnel every two years. The survey is summarized
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in "Deeds and Data" (33), and the full report ("Personnel Advancement Committee's
Wastewater Treatment Facilities Salary and Fringe Benefits Survey") may be
ordered from the WPCF. Among the fringe benefits studied in the survey are vaca-
tion time, holidays, sick leave, sick leave carryover, vacation carryover,
retirement pension programs, health insurance, surgical insurance, major medical
insurance, life insurance, types of working agreements (union, non-union, civil
service), educational expenses, technical organization membership dues, work
clothes expense, etc.
Your review of the WPCF survey will provide an estimate of competitive sala-
ries and fringe benefits in wastewater treatment facilities similar to yours. You
must also, of course, be aware of the salary and fringe benefits of local indus-
tries which may compete for the same type of personnel you seek.
Document your arguments if you find that your salary and fringe benefit
structure is not competitive. This documented case should then be presented to
your governing board. If an effective public relations program has resulted in an
educated board and public, a well documented problem will have a better chance of
being resolved. Without documentation and education, an inadequate salary struc-
ture is likely to persist and result in maintenance costs which might be higher
than if salaries are competitive.
MOTIVATION
You can use your position to improve motivation of your staff. First, you
must recognize the aspects of work that most people consider important. Accord-
ing to a U.S. Department of Labor survey (34), the eight most important factors
in order of performance are:
1. Interesting work
2. Enough help and equipment to get the job done
3. Enough information to get the job done
4. Enough authority to get the job done
5. Good pay
6. Opportunity to develop special abilities
7. Job security
8. Seeing the results of one's work
Of course, each individual has his own set of needs. Status may be important
to one but not to another. You should recognize the needs of each individual in
deciding how to motivate him.
Many studies have shown that workers want to feel important* Remember these
needs and try to meet them. People want to be treated as individuals; they want
to know that they and their work are important; and may want to have more chal-
lenging work. These are important needs (35).
Motivation studies have found that higher pay usually motivates individuals
for a period of time, but then it loses force without even more economic rewards.
In time, economic rewards are taken for granted. Still, even if their effect is
only for a short period, such incentives will continue to play a strong motivat-
ing role, for inadequate pay causes worker dissatisfaction.
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As part of a public utility, you don't have much freedom to use pay raises
as incentives. You must use other ways to reward workers such as certificates
and letters of recommendation, testimonial dinners, or public recognition for
outstanding job performance. The average individual likes recognition.
Your leadership characteristics will be a strong factor In determining the
motivation of your staff. The following comparison (34) of positive and negative
leadership characteristics will provide some practical guidance to you In terms
of motivating your staff:
4.
5.
Positive Leadership Action _
Consistency. The able leader is
consistent in his behavior pat-
tern. For example, he is not warm
and friendly one day and cold and
distant the next; a tough and
then an easy disciplinarian. He
knows that people like to know
what behavior to expect.
Negative Leadership Action
Inconsistency. People do not know
how to react when a leader varies
his behavior pattern widely. If he
is a firm disciplinarian on one
occasion and soft on another, he
will confuse his staff and cause
hard feelings.
Friendliness. He does not overdo 2. Aloofness. People like to have
their boss act in a friendly,
informal manner towards them. The
friendliness. Genuine friendliness
means neither over-familiarly
nor an attempt to win a cheap
popularity. It Is a sincere
liking of people.
An Individual approach. The good 3.
leader tailors his approach to
each person on an individual basis.
He knows that what works well with
one person may not go over with
another. He studies each individual
who is assigned to him so that he
knows well how he acts and reacts.
For a leader to influence people in
a highly successful way, he must
treat each differently.
A good listener. When someone is 4.
talking to him, the leader is
alert and shows It. He concen-
trates on what the speaker is say-
ing. He knows something about
listening skills in man-to-man
communications .
A prompt disciplinarian. The com- 5.
petent leader knows that he should
.apply disciplinary action as soon
manager who rarely says a friendly
word is rarely liked and is often
not trusted.
A standard approach to dealing with
people. This approach gives little
or no consideration to the differ-
ences in individuals.
A poor listener. This person has
never learned how to listen. He
is a poor communicator because he
is a bad receiver.
A procrastinator in matters of
discipline. Long delays in
applying needed disciplinary
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Positive Leadership Action
Negative Leadership Action
7.
8.
as possible for maximum effective-
ness and consistency of action. He
also makes his action impersonal.
Straightforwardness-openness. A
good leader gives an individual
a straight answer or he refuses
comments if he cannot give such
an answer. This does not mean,
however, that he is blindly blunt
or that he is undiplomatic. But
he does not manipulate the truth
to serve his own purposes.
Supports his staff. The strong
leader builds loyalty by giving
solid and consistent support to
his staff. They know they can
count on him in tough situations
even at the risk of his own
position.
Gives credit when credit is due.
The strong confident leader always
seeks to give his staff and others
credit for achievements. He makes
it a point to always acknowledge
their contributions. He is gener-
ous in sharing credit'even when he
himself is mainly responsible for
an accomplishment.
Provides opportunities for growth
and development. The alert leader
is always looking for ways in
which he can help individuals to
develop and advance. He is not
only highly receptive to training,
but actively promotes it.
action cause it to lose some of its
effectiveness and often awakens
deep resentment in the individual.
Deviousness. Some individuals
almost always act in a devious
manner. One is never certain
whether they are telling the
whole truth or partial truths.
One never knows what underlying
purpose they have in mind. They
are often schemers whose actions
are either unethical or lie in
that gray zone between ethical and
unethical conduct. Once a leader
gets a reputation as a devious per-
son, he is not trusted.
Wishy-washy in his support of
staff. There are few patterns
of leadership action that hurt
morale and damage loyalty more
than taking a wishy-washy, non-
commital stand. Besides weakening
loyalty, the staff will avoid
necessary risks if they think
that their leader will not
support them.
Hogs the credit or falsely takes
credit. Some individuals who
hold managerial positions are
very stingy in acknowledging the
contributions of others. This
type not only creates resentment'
but kills initiative.
Takes little or no interest in
the growth and development of the
staff. He is indifferent. His
interest is sometimes solely the
job, not people. To this individ-
ual, training is largely a waste of
of time and money.
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Positive Leadership Action
Negative Leadership Action
10. A cooperator and team player. The J.
competent leader knows that coop-
eration and teamwork are
essential for organizational
effectiveness and accomplishment
of objectives. Although he does
not compromise his principles,
he does try to find common
grounds for acceptable compro-
mises in areas of differences.
11. Receptive to new ideas. The LI.
leader is willing to look at a
new idea on its merits. His
people know that he welcomes new
ideas, will try to evaluate them
carefully and impartially, and
will try to put them into effect
if they are worthwhile. As a
result he creates a positive
climate for new ideas within
his organization.
12. An innovator. The modern leader 12.
knows that he must not only be
receptive to new ideas but must
find and apply new approaches
and techniques.
13. Recognizes and praises good work 13.
and outstanding accomplishments.
The leader knows that people both
need and want recognition as indi-
viduals and acknowledgement of
good work.
14. A firm stand. The strong leader 14.
takes a stand on issues. He is
not blindly stubborn but holds
fast to his position when he
thinks he is right.
15. Objectivity. The good leader 15.
tries to minimize his bias and
to deal with issues and people
in an objective way.
A loner. This person is so much of
an individualist that he cannot
act as a good team member, nor does
he know how to compromise when com-
promise is essential.
Negative toward new ideas. He has
a constantly negative attitude
toward ideas. His first reaction
almost always is, "It won't work."
He is basically a negative person.
Sometimes he is a jealous person
who does not want anyone to receive
credit for something new.
A standpatter. This person is the
type who says, "The method has
worked O.K. for the past fifteen
years. Why should we change now?"
Indifferent. Rarely utters a word
of praise or looks at people as
individuals, but is often quick
to critic i. Basically, this
person d iOt like people.
Rarely takes a strong stand. This
individual wants always to be on
the winning or the popular side.
He wets his finger and holds it
up to see which way the wind is
blowing. Gets the reputation as
an opportunist.
Lets personal bias, likes, and dis-
likes unduly influence him. Some-
times he actually takes pride in
his prejudices.
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ABSENTEEISM
Absenteeism by people who are not sick can upset the operation and mainte-
nance of your system and undermine the moral of those staff members who report to
work regularly. Some employees believe that they have the right to use sick leave
for additional paid time off. Such absences are annoying, increase costs, and
upset other staff members. Increasing the size of the staff to cover these
absences is uneconomical and foolish. Many approaches have been taken to curb
unjustified absences (30). The degree of success of each approach depends on
staff attitudes, the firmness with which the approach was applied, the support of
the policy makers, and where they are involved, the unions.
Various techniques can be used to curb absenteeism.
• The supervisor must set an example by coming to work regularly and on
time.
• Any unauthorized absence must be reported at least two hours prior to
the scheduled start of a shift. Failure results in loss of pay or
suspension.
• An employee absent two or more days in a row must present a medical
certificate before returning to work.
• Spot checks should be made by having a supervisor or physician visit
the home of the chronically absent employee. If he is not found at home
or does not have an adequate excuse, he should be reprimanded and
cautioned that a repetition could result in a suspension with a loss in
pay or possible dismissal.
• Require a medical certificate for each leave, with or without pay,
taken by an employee whose record shows frequent absences. Further,
penalize his service record by adjusting for absences. This particular
technique is important because the good worker will not develop a
"taken for a sucker" attitude.
• Permit the accumulation of unused sick leave time up to sixty or more
days with the understanding that this accumulated time would be added
to an employee's terminal leave upon retirement, or paid to his estate
upon his death.
• Establish a policy to provide additional paid sick time where an excel-
lent attendance record has been maintained and the work performance has
been satisfactory.
• Experience has show that when the last two items are properly publi-
cized they are effective in reducing absenteeism. They overcome the
employee's fear that he may lose accumulated sick leave credit. The
knowledge that additional sick leave may be granted during a long ill-
ness serves as an incentive to accumulate sick leave credit and to
maintain a satisfactory performance record.
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PROMOTION POLICIES
In every organization, a major factor in maintaining employee morale is the
promotional system. It should be fair and impartial. There are few things that
discourage an ambitious and competent person more than to believe that the system
of promotion is unfair and not merit-oriented. He will often seek employment
elsewhere. It is not enough for you to know that the system operates without
bias; it is equally important that the employees believe and know that it is
impartial. This does not mean that you should attempt to convince employees that
a promotion system is fair when it is not. It must be truly one without bias of
any kind.
You must let the employees know what the standards are, what promotional
factors are involved, and how selections are made. It is always important to
indicate what weight various factors receive. It is sometimes desirable, too, to
tell people who fail to get promoted exactly why they fail. This task is often a
distasteful one. Many managers do not like it and avoid it. Although a manager
may not convince a doubting employee of the reasons he was denied promotion, the
majority of employees will appreciate this information, provided they have confi-
dence in the integrity of the manager himself. The failure to tell employees why
they fail has two consequences. First, they do not know where they should try to
improve their performance and they must fall again. Second, they will sometimes
lose faith in their supervisor.
Seniority-oriented promotions are often made when they should be merit-
oriented. Such promotions reduce employee initiative and ambition. If an organ-
ization is unionized, the seniority problem is even worse. Seniority often should
be given some weight for certain positions. However, giving seniority too much
weight will discourage younger, ambitious people. It will discourage work per-
formance and self-development efforts. It will eventually lead to a mediocre
organization.
COLLECTIVE BARGAINING AND CONTRACT ADMINISTRATION
For many years, city employees were represented by employee associations
when they discussed matters pertaining to salaries, working hours, working con-
ditions, and fringe benefits with the city council. In recent years, there has
been a major effort by labor unions to organize public employees (36). Even the
small- to medium-sized municipal wastewater treatment plant staff may now be part
of a public employees union. You may have to conduct union negotiations.
Unions may influence the attitudes of your personnel. If the unions impose
limitations on work areas, they can create an air of non-cooperation* On the
other hand, they can also help promote a good relationship between management and
labor, stressing the need for teamwork.
If your personnel are unionized, you must deal with the union business agent
and sometimes with one or more representatives of the union who are public works
employees. They are often called "shop stewards." Whatever their title, you will
have contact with these individuals and must learn how to work with them. Besides
good working knowledge and negotiating skill, good labor-management relations
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depend heavily upon the personalities involved. If there are personality clashes,
there is bound to be trouble.
There are two major areas of labor-management relations: collective bargain-
ing to establish contracts, and administration of the contract. Knowledge, skill,
and experience are needed in the contract negotiations. Some practical points
related to negotiating (34) are:
• Think in terms of good-faith collective bargaining. Give reasons for
proposals offered, and present reasons why proposals are opposed. In
this connection, do not assume that "inability to pay" is a good answer
to a demand for raises. Even if there is a legal limit to raising
taxes, there is great danger in relying on it as the answer. Such an
"answer" implies that the economic demand is justified and it is just a
question of "finding the money." When this is done, little or no effort
is given to the analysis as to the real merits of the demand.
• Recognize unions as essentially political in nature and respect their
chosen representatives. Do not surprise the union, and do not be
tricky. Think of the long-term effects of actions you take, and the
way you take them.
• Fight if you know you are right. Tools to manage and a merit personnel
system are examples where a good rational fight can be waged. Remem-
ber, the burden of proof is initially on the party proposing any
change.
• Avoid proposals that use a simple formula to solve a union request on a
permanent basis. A proposal of 5 percent extra pay for shift differen-
tial or longevity is an example of this. You will get more mileage out
of a cents-per-hour adjustment for such an item, since, as wages go up
in the years ahead, you will have the opportunity to renegotiate the
item.
• Remember, the management pay plan is stronger than anybody's word. The
pay plan should not be "union made," but should reflect equity, merit,
and performance.
• Subjects outside the scope of bargaining should be handled in a common
sense way with a sincere public-interest orientation to keep them out-
side the scope of future bargaining.
After the labor contract is negotiated and signed, it must be administered.
This takes skill and good faith on the part of both management and labor. Public
vorks managers need training to know how to deal with labor representatives;
otherwise, friction, and bad working relations are likely to occur.
Employee grievances may take a lot of time and effort. In unionized organi-
sations, grievance procedures will often be spelled out in labor contracts. It is
" important that grievances be handled quickly and in an impartial manner. Undue
-------
Never make false promises.
Whatever the provocation, keep your temper in leash.
Do an adequate job of documenting disciplinary cases and other prob-
lems; you are likely to lose grievance cases if you do not.
Catch and treat personnel problems early, otherwise they may become
larger.
Always stick to facts in labor disputes and insist that labor union
representatives do likewise.
Anticipate areas or situations where trouble is likely to arise with a
union and prepare your strategy well ahead of time.
At the end of every year give each employee a statement of the amount
of money in the form of fringe benefits that has been spent on him.
Many employees are unaware of these figures.
Be careful not to overstaff; it will be difficult in unionized organi-
zations to reduce labor forces.
Do not surrender your rights to install work measurement and perform-
ance standards, ways to increase employee productivity, or ways to
reduce labor costs in collective bargaining negotiations.
Hold fast to the right to have contracts with individuals or private
consultants to carry out any type of work for your organization.
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9 PUBLIC RELATION;
ROUTINE PUBLIC
CONTACTS
-Telephone colls
-Correspondence
-rUnplanned visits
PUBLIC INFORMATI
• News release
-Example
• Public preser.
• Plant tours
• Annual reports
-Major eve
-Service pr-
-Financial
-Operating
-Summary
_L
DELATIONS WITH OTHER
DEPARTMENTS OR AGENCIES
-Don't air internal conflicts
-Maintain good relations with
other agencies
\MS
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SECTION 9
PUBLIC RELATIONS
Your wastewater system exists to serve the needs of the public and you will
have truly public relations. Whether these relations are good or bad can have
a major influence on how successfully your system will operate. Good public
relations greatly improve the chances that you will be able to have competitive
salaries and be able to obtain funding for system Improvements. Good public
relations depend on many factors other than your ability to Issue good press
releases and compete for news media attention - factors which often are first
throught of when the term "public relations" is used. Sound and efficient opera-
tion are essential to good public relations (37). No amount of publicity can hide
poor operations. However, sound policies and efficient service alone may not win
public support. It is important to both do a good job and to let the public know
about it. A key to good public relations is the routine public contact during the
course of billings, handling complaints, answering inquiries, etc.
ROUTINE PUBLIC CONTACTS
Many of your contacts with the public occur when a customer calls by tele-
phone. Your telephone manners are very important in creating a friendly atmos-
phere. The following guidance has been developed (38):
• Answer calls promptly. Your conversation Is off to a favorable start if
you answer promptly, on the first or second ring, if possible.
• Extend a pleasant greeting. You will make friends by greeting the
caller in a friendly, courteous manner. Be alert, enthusiastic, and
sincere.
• Answer by identifying yourself. It is easier if the caller knows at
once to whom he is speaking. Say: "Wastewater Department, Allen (or Mr.
Allen) speaking."
• Leave word when away from the phone. Leave word where you can be
reached and when you will be back with the person who answers your
phone while you are gone.
• Show real interest in the conversation. Don't handle it as just another
crank call.
• Be sympathetic. Don't take the attitude that your utility never makes
mistakes.
• Be responsive. If you can't answer the question on the spot, call back.
Don't make the customer call again.
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• Be patient. Don't cut the call short; let the caller finish what he has
to say.
Handling customer complaints offers an opportunity to improve your public
relations. Most customers don't call unless they receive poor service or are
faced with an immediate problem. Since the customer feels he has a justified
complaint, it won't do any good to bluntly tell him he is mistaken. Courtesy and
diplomacy are more effective. When a citizen has aired his complaint, he feels
better about it, especially if he has a receptive listener.
It takes self-control to listen to complaints, but this is what must be
done. If the complaint is valid, you should acknowledge it and say what correc-
tive action you will take. You should not make promises just to get rid of the
individual or forget what you said you would do.
You should set up adequate procedures to handle citizen complaints and
decide how much time to spend on them. Most citizens who telephone or who call
in person want to talk to the "head man." Some of this is necessary, but don't
let your management duties suffer because of it.
While you are correcting a problem, the complaining customer should be kept
informed of what is being done in his behalf. When the problem is solved, give
him a brief, accurate and easily understood report. Several weeks after the con-
dition has been corrected someone should make a telephone call to ask if every-
thing is satisfactory.
Some of these procedures may seem so obvious or unimportant that it is dif-
ficult to understand why they are frequently neglected. Some of these sugges-
tions may add steps to existing procedures for handling complaints. Even if your
complaint-handling procedures seem satisfactory, re-examine them periodically to
see if they can be improved.
Your correspondence is also an important public relations factor. Many
officials who are concerned about the citizen's interests in face-to-face con-
tacts are very careless in their correspondence. They will allow letters to go
unanswered; they are abrupt or even rude in their wording; they use dull,
stilted, "business English;" and they add the final insult by using a rubber
stamp signature. Letters are substitutes for face-to-face contacts; the public
relations requirement in face-to-face contacts also applies to correspondence.
The following are points to remember:
Write in a friendly style
Be clear, brief and accurate
Put the most important points first
Use non-technical language
Check facts and review letters carefully
Don't send out letters with messy corrections, typographical errors,
smudges, etc.
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You must also remember that the public will form impressions of your opera-
tion from what they observe when they come to your office, plant, or city hall.
The employees they encounter should provide prompt, courteous attention.
The behavior of personnel will have a bearing on the citizen's impression.
Employees who are reading or eating at their desks or who are engaged in lengthy
personal conversations with their colleagues or on the telephone create a poor
impression. A room should be set aside in which employees can take their lunch or
coffee breaks*
Citizens will also carry away a favorable or unfavorable impression of a
government from the appearance of its buildings, offices, and equipment. Build-
ings and grounds should be well maintained, offices should be clean and neat, and
equipment should be kept in good condition.
RELATIONS WITH OTHER DEPARTMENTS OR AGENCIES
A factor having an important bearing on public relations is the relationship
between your department and the other departments and agencies of the municipal
government. Some shortsighted department officials make public issues out of
internal conflicts (5). They carry on feuds with other departments; they make
derogatory remarks about other departments when talking to people; and they
announce that their department is the one bright spot in the municipal picture.
The result of these conflicts is usually that the public believes most of the
unfavorable things said about the others and little of the good that a department
claims for itself. Friction between departments cannot be eliminated entirely,
but there is no excuse for ruining the public relations of the entire local
government by public exposure of internal disputes.
To improve public relations, establish cordial relations with your govern-
mental neighbors and don't try to improve your image at the expense of other
departments. This advice applies to relations with other municipalities and with
agencies of federal, state and county governments.
PUBLIC INFORMATION PROGRAMS
A good guide to public information programs is "Public Information Hand-
book," (39) available from the Water Pollution Control Federation. It tells how
to run an organized public information program without hiring a professional
public relations consultant.
Among the key ingredients in an effective public information program are:
• News releases
• Public presentations
• Plant tours
• Annual reports
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News Releases
The news release is probably the most commonly used method of getting Infor-
mation to various news outlets such as newspapers, magazines, radio and tele-
vision. A news release is a written version of the story you wish covered by
the news media. In most cases all the basic information will be contained in the
first few sentences or paragraphs. These are the "who, what, why, where, and
when" that should be in the opening sentences of any release. The remainder
should further discuss these facts, simply and clearly, without repetition.
A news release should include the name, address, and telephone number of the
originator or someone who can supply additional data or answer questions, and
when the story can be released (such as "For Immediate Release").
Figure 26 is an example news release. The release should be typed on your
letterhead. News releases, such as the example, describing the achievements of
the utility staff serve the purposes of both public information and employee
recognition. Other activites which may justify news releases include plans for
plant expansions, plant open houses, planning meetings, presentations at state or
national meetings, and construction contract awards.
Some key points to remember about news releases are:
• The story must be timely - not old news.
• Type the release in double-spaced format with wide margins.
• Double check the release for spelling, facts, and figures - never
exaggerate the facts.
• The first paragraph should answer the questions: who, what, where,
when, and why.
• Don't use too much detail - use a separate data sheet for the editor's
reference if the story requires such backup.
• Keep a current list of newspapers and radio or TV stations that may be
interested in your stories.
• Make sure that the release is sent to news outlets that can use it and
is addressed to the staff member who is most concerned.
Frequently, a release will be accompanied by one or more photographs. In
fact, a photograph with a short descriptive caption can in itself be a news
release. For example, a picture of a ground breaking ceremony or a ribbon cutting
announces that work is underway or a job is completed and in service. Some points
to remember in using photographs:
• Try to avoid obviously posed pictures
• Use a professional photographer
• Provide 4" x 5" or 8" x 10" glossy prints
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Mlllbrook Wastewater Utility District
246 Main Street
Millbrook, California
916-421-5711
March 15, 1979 Contact: R.J. Smith, Manager
FOR IMMEDIATE RELEASE
MILLBROOK'S WASTEWATER OPERATORS RECEIVE RECOGNITION
Millbrook, California - Two of Millbrook's wastewater
treatment plant operators, Bill Johnson and Tom Wilson became
certified operators under a State of California certification
program. R.J. Smith, Wastewater Utility District Manager,
said that their certification at the highest level (Grade V)
recognized by the State reflects the unusual skill and dedi-
cation of Millbrook's staff. "Of the 600 certified operators
in California, only 41 are certified at the Grade V level and
most of these are working in communities far larger than
Millbrook," Smith reported.
Johnson and Wilson, who have been on the District staff
since 1968 when the most recent District plant expansion was
completed, have received awards from the California Water
Pollution Control Federation for their operation of the
Millbrook system.
Figure 26. Example news release.
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• Make sure the picture background is clean and neat and doesn't show
fire or safety hazards.
• Take two of every key photograph
• Keep a current file of plant and personnel photographs
• Use black and white film for prints to be published
• For any photograph issued with a release, prepare a caption on a sep-
arate sheet of paper and paste it to the print.
Public Presentations
Speaking before local groups can be valuable in winning support for a pro-
gram or spreading specific information. Many clubs, social organizations,
political groups, and the like have a program chairman who schedules speakers.
The early fall is a good time to approach local organizations, either by mail or
telephone, with a proposal that water pollution control be included in the pro-
gram plans. It is wise to include a list of possible topics, making sure it is
flexible enough to fit the interests of the specific group. In identifying poten-
tial groups for presentations, do not neglect the young people. Speaking at
schools can be a most rewarding experience to speaker and audience alike.
Some key points related to public presentations are:
• Use staff members who make interesting presentations for public
speaking - you should listen to their presentations prior to the public
meeting.
• Keep a good file of slides and other good visual aids. Do not over
crowd the slides - make sure they can be read from the back of the
room!
• Do not talk down to your audience regardless of their age or attitude.
• Keep the tone of the talk conversational to maintain the listener's
interest.
• Be prepared to answer questions.
• Be sensitive to time constraints - running over your allotted time
(especially at groups who meet at lunch time) leaves a bad impression.
Plant Tours
Plant tours are exceptional opportunities for talking to a "captive" aud-
ience with an expressed interest in what's happening. Giving tours depends on
the accessibility of the plant, its physical arrangement, considerations of
safety and good sense, sufficient parking facilities, etc.
A plant visit must be interesting, informative, and of some value to both
the visiting group and the plant. If these requirements cannot be satisfied, it
may be advisable to avoid tours.
For plant tours, keep the following in mind:
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• Plan your tour presentation in advance. Place yourself in the position
of an uninformed visitor and go through the plant from end to end.
• Prepare a plant map and tour summary to hand out to visitors.
• Be prepared to answer pointed questions - somebody in the group may be
hostile to public employees.
• If there are more than 15 people in the group, split up into two or
more groups each with a tour guide.
• Tailor the length of the tour to the interest and age of the group -
one or two hours may be appropriate for engineering students, but not
for a junior high group.
• Do not "snow" the audience with technical terms.
• Make sure there are no safety hazards along the tour route.
• If your normal housekeeping is not something you want the public to
see, correct the housekeeping rather than eliminate tours. Obviously, a
poorly kept plant will make a poor impression.
• Send a follow-up letter thanking the group for their interest and
extending an invitation for another visit.
• Keep a log of plant visitors.
Annual Reports
An annual report on the wastewater system offers an excellent chance for
positive public relations. The report should have a narrative discussion on the
year's activities, the plans for service, and interesting statistics. Small util-
ities have found the following approaches useful for distributing their annual
reports:
• Present a summary report in the daily paper or as a Sunday supplement.
• Print the summary report so it is a self-contained mailer for distribu-
tion to all customers.
• Have a printed and bound copy of the complete report available at the
utility offices.
The annual report should contain (the last item may be only in the full
report and not the summary report):
• A discussion of the major events (for example, major additions to the
plant, major repairs or replacements, etc.) of the past year and the
plans for the next year. You may want to Include a comparison of your
wastewater service charges with those of neighboring towns.
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• A summary table showing the population and industries served, the
number of connections, the average daily and per capita flows, and the
treatment standards versus treatment performance.
• A description of the receiving water body quality and the contribution
that the treatment system makes to maintaining uses of the receiving
water.
• The financial balance sheet for the last year - preferably the last
three to five years with a description of the meaning of the balance
sheet items. "Pie charts" showing costs and revenues may also be useful
(Figure 27).
• Monthly operating data for the major unit processes and/or treatment
parameters (see Table 10 for an example) and an overall summary (Table
11).
The report organization, typography, illustrations, and arrangement should
be carefully and neatly done to make a favorable impression. If your utility has
not previously used the annual report as a public relations tool, you should con-
tact other utilities to get copies of their reports.
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PRIMARIES, THICKENING
ZIMPRO & DECANT
SECONDARY
17.9%
WASTEWATER TREATMENT
13.7%
ADMINISTRATION, ACCOUNTING,
GENERAL EXPENSES
PHOSPHATE
CHLORINATION 0.5%
INDUSTRIAL WASTE
GRIT & SCREENING 0.3*
ORDINANCE SUR VEIL LANCE O3*
Source: Reference 40
Figure 27. Expenditure distribution of operating funds.
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TABLE 10. TOTAL SUSPENDED SOLIDS (NON-FILTERABLE RESIDUE)
Raw influent
July '77
August
Sept.
Oct.
Nov.
Dec.
Jan. '78
Feb.
March
April
May
June
77-78 Avg
76-77 Avg
75-76 Avg
74-75 Avg
mg/1
501
438
483
489
441
402
405
515
489
461
689
382.
438
436
486
408
Ib/day
13,610
11,950
13,770
15,160
12,790
12,080
12,460
12,730
13,070
13,980
20,540
10,690
13,569
11,915
15,070
12,569
lb/cap/
day
1.18
1.04
1.20
1.32
1.11
1.05
1.08
1.19
1.14
1.22
1.79
.93
1.19
1.04
1.30
1.09
Primary effluent
mg/1
127
126
123
132
115
106
126
130
132
131
116
100
122
122
116
125
Ib/day
3,360
3,370
3,450
3,910
3,220
3,150
3,280
3,210
3,510
4,020
3,600
2,780
3,405
3,269
3,598
3,736
% rem
75
72
75
74
75
74
74
75
73
71
83
74
75
72
76
70
Final effluent
mg/1
14
18
13
16
16
18
16
16
20
18
17
12
16
14
16
16
lb/
day
374
464
364
463
445
521
437
403
523
544
557
346
453
356
519
495
% rem
97
96
97
97
97
96
96
97
96
96
98
97
97
96
95
95
Source: Reference 40
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TABLE 11. SUMMARY OF OPERATING RESULTS
POPULATION
Estimated connected - Grand Haven 9,000
Estimated connected - Spring Lake 2,500
11,500
Population Equivalent - BOD 63,359
Population Equivalent - SS 61,667
(Population Equivalents are calculated on the basis
of raw sewage - 0.17 Ib of BOD/cap/day and 0.22
Ib of SS/cap/day)
RAINFALL
Monthly average, in. 3.05
SEWAGE
Total mil gal treated 1,216
mil gal per day 3.3
gal/cap/day 290
ACTIVATED SLUDGE
mil cu ft used 3.170
cu ft air/gal sewage 2.6
cu ft air/lb BOD fed It332
cu ft air/lb BOD removed 1,413
cu ft air/lb MLVSS under aeration 423
Aeration, hr 5-28
Percent return sludge 58
Sludge age, days 7»9
5-DAY BIOCHEMICAL OXYGEN DEMAND
Raw, mg/1 382
Prmary Effluent, mg/1 235
Final Effluent, mg/1 l2
Influent, Ib/day 10,771
Influent, Ib/cap/day °-9A
Primary Effluent, Ib/day 6,643
Percent primary removal 38
Final Effluent, Ib/day 40A
Final Effluent, Ib/cap/day 0-0*
Total plant percent removal 96
Lb applied per 1000 cu ft of aeration tank 44
Lb applied per 100 Ib MLVSS under aeration 33
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TABLE 11. (Continued)
SUSPENDED SOLIDS
Raw, mg/1438
Primary Effluent, mg/1 122
Final Effluent, mg/1 16
Influent, Ib/day 13,569
Influent, Ib/cap/day 1.19
Primary Effluent, Ib/day 3,405
Percent primary removal 75
Final Effluent, Ib/day 453
Final Effluent, Ib/cap/day .04
Total plant percent removal 97
Lb removed per mil gal treated 3,938
PHOSPHORUS
Raw, mg/1 5.5
Primary Effluent, mg/1 3.3
Final Effluent, mg/1 0.7
Influent, Ib/mo 4,641
Final Effluent, Ib/mo 586
Total plant percent removal 87
Fe applied, mg/1 4.3
Total Ib Fe used 43,307
Cost of Fe $3,681.14
SLUDGE
Primary Sludge, mil gal 6.34
Primary Sludge, mil Ib 3.83
Waste Activated, mil gal 63.14
Waste Activated, mil Ib 4.12
Wet Air Oxidation, mil gal 18.50
Wet Air Oxidation, mil Ib 6.71
Rate, gpm 63
Reactor Temperature, °F 383
Reactor pressure, psi 309
Decant overflow, mil Ib 2.20
Thickener overflow, mil Ib 1.68
Vacuum filtered, mil Ib 4.62
^Filtrate, mil Ib .24
UTILITIES
Electrical Energy
Grand Haven Pumping Station total KWH used 250,080
Cost per KWH 5.09$
Cost per mil gal pumped $17.01
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TABLE 11. (Continued)
Electrical Energy (continued)
Spring Lake Pumping Station total KWH used 82,269
Cost per KWH 3.933*
Cost per mil gal pumped $25.30
Plant use total KWH 5,506,800
Cost per KWH 3.00$
Cost per mil gal treated $135.26
Total electric cost for plant use and pumping $178,981.14
Total KWH used 5,839,149
Total cost per XWH 3.07$
Total cost per month $14,915.10
Total cost per day $490.36
Total cost per mil gal $147.21
Gas
Cubic feet for heating and operating 15,835,100
Total gas cost $34,013.92
Cost per 100 cu ft 21.404
Water
Gallons plant use 18,118.00
Total water cost $4,413.43
Cost per 1000 gal 24.40+
COST
Net cost of wastewater treatment $756,303.03
Cost per mil gal wastewater treated $622.12
Cost per ton of influent BOD $384.75
Source: Reference 40
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SELECTION AND USE OF CONSULTANTS
TYPES OF CONSULTANTS
SELECTION PROCEDURE
—Qualifications
statements
-Proposals
—Interviews
-Method o f payment
WHY HIRE A CONSULTANT?
-Special skills
— Independent opinion
-Lack of manpower
or time
-Authoritative report
WORKING WITH
THE CONSULTANT
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SECTION 10
SELECTION AND USE OF CONSULTANTS
TYPES OF CONSULTANTS
Consultants may be used for the following purposes:
Planning and design of new facilities
Solving operation and maintenance problems (See Section 11)
Operating the treatment plant (see Section 11)
Providing financial audits
Advising on financial matters such as bond issues
Improving public relations
Solving management advice
Managing the construction of a project
WHY HIRE A CONSULTANT?
You may decide to hire a consultant because you (41):
• Need skills that are not available on your staff
• Need an independent opinion
• Do not have the time or staff available to work on the problem
• Need an authoritative report for your superiors or a state or federal
agency
SELECTION PROCEDURES
The first step in selecting a consultant is to write down what you want him
to do and what qualifications he should have. You should then let consultants
know you may be needing their services. This can be done by advertisements In
major metropolitan newspapers in your area and in professional trade journals.
You may also send the proposed scope of work directly to consultants which have
been recommended to you by other towns or districts. You should ask those that
respond to send their general qualifications to you.
The qualification statements should be reviewed by at least a three-person
review board. At least one of the board should be a professional in the consult-
ant's field. Take the time to call some of the firm's other clients. Ask these
other clients:
• Did the firm perform as expected?
• Was the work done on time?
• Was the work done within budget?
• Would you use the firm again?
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You should make a list of criteria which will be used to rank the firms
(such as specialized experience in your problem area, location, adequate staff
size to do your work, ratings by other clients, etc.). You may wish to use more
professionals in the consultant's field to serve as (or on) the review board.
Nearby universities, professional associations, and other government agencies are
possible sources of professionals for your review board. After rating the quali-
fication statements, select 3 to 5 firms to prepare detailed proposals and to
interview for the work. The same review board should be used for the interviews.
In reviewing the proposals, concentrate on the qualifications of the firm's
people that will be assigned to your project. Insist that the proposed project
manager for your work be present at the interview.
After the proposals and interviews are evaluated, negotiations with the top-
rated firm should be held to finalize the scope and cost of the work. There are
several basis for calculating costs (42):
• Per Diem - A certain cost per day is paid for services with this
approach. The daily rate includes overhead and profit but not expenses
such as travel or meals. This approach is often used for work which
is hard to define in scope and is only a few days in duration; for
example, troubleshooting an O&M problem or testifying in court.
• Cost Reimbursement - Services are paid on the basis of salary cost,
overhead, and a fixed profit. This is often used for design contracts
and studies. A cost ceiling or budget amount which cannot be exceeded
is often established.
• Lump Sum or Fixed Price - The scope of work is accomplished for a spec-
ified dollar amount. This approach is often used for routine sampling
programs or reports of clearly defined scope.
• Retainer - This method is used when the need for a consultant's serv-
ices is expected to last for a long time. It insures that a certain
person will be available as needed. To guarantee these services, a cer-
tain amount is paid at regular intervals for which the consultant pro-
vides certain specified services as well as being available, generally
on a per diem basis, as required by the client.
If EPA grants are involved, there are regulations related to consultant
selection and contracts that must be followed. These regulations affect:
• Method of payment - for example, per diem contracts are usually limited
to $10,000 or less; percentage of construction costs as a basis for fee
is prohibited
• Public notice - procedures vary with the size of the project
• Evaluation procedures - certain criteria must be used
• Negotiation procedures
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• Basis for cost proposals and cost review
• Required contract provisions
You should obtain a copy of the current EPA regulations from your EPA
regional office (40CFR, part 35.937).
A useful reference for consultant selection and contracts is "Consulting
Engineer-A Guide for the Engagement of Engineering Services (47), available from
the ASCE.
WORKING WITH THE CONSULTANT
Once the consultant is under contract, you should:
• Review with him what you want done once more to make sure there is no
confusion.
• Make sure the consultant knows who to report to on your staff and which
staff members have information he may need.
• Provide any facilities or services (such as office space or secretarial
help) that will make it easier for the consultant to do the job.
• Meet regularly to discuss his progress to make sure that he stays on
the track.
• Don't treat the problem as solved just because you've hired a con-
sultant. You must have a continuing commitment to solve the problem
and work with the consultant until the solution is developed.
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CONTRACTS FOR OPERATION AND MAINTENANCE
FULL OPERATIONS AND MAINTENANCE CONTRACTS
Reason for private 0 & M contracts
How are these contracts established?
-Scope of services
-Treatment conditions
-Plant staffing
-Sludge handling
-Plant improvements
-Terms and conditions
-Regulatory reporting
-Performance guarantee
Disadvantages of full 0 & M contracts
OPERATIONAL
ASSISTANCE CONTRACTS
-Federal grant funding
to 75% for plant
startup and operator
+r« i n i n n
training
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SECTION 11
CONTRACTS FOR OPERATION AND MAINTENANCE
Operating and maintaining today's complicated wastewater treatment facili-
ties can be a major problem for the small- to medium-sized community. The skills
required for new plants are often considerably higher than in the past. Many
communities don't have the financial resources to hire, train, and keep adequate
personnel. Some may overlook the need for upgrading staff to operate the new
facilities. As a result, many new facilities may fail to meet discharge
standards. An approach to consider is to hire someone on a contract basis to
operate and maintain the treatment plant.
The concept of contracting areawide management is currently being studied
and tested. Such a plan would be highly site specific and affect only a few
plants nationwide. Detailed discussion of this concept is not included since it
may lead to confusion among the plant managers not affected by it.
Several private organizations have been formed to contract operating and
maintenance services ranging from full-service contracts to giving special advice
on operations. Under a full-service contract, the contractor has complete respon-
sibility for operation and maintenance of the plant. The plant personnel become
employees of the management organization. Several consulting engineering firms
and other consultants provide advice on operations. These firms review practices
and procedures and advise the plant staff of changes to improve performance,
reduce operating costs, etc. The firm has no managerial responsibility for plant
operations. These approaches are described in greater detail in the following
sections.
FULL OPERATION AND MAINTENANCE CONTRACTS
There are several organizations that provide full operation and maintenance
service. The extent of services can be tailored to the specific desires of the
community. One organization provides full operation and maintenance for five
municipal wastewater treatment plants ranging in size from 4.7 to 21 mgd. Another
provides varying levels of operation and maintenance service at six facilities.
.Reasons for Private Operation and Maintenance Contracts
Under what conditions should a community consider contracting with a private
firm to operate and maintain the wastewater treatment facilities? What are the
key factors contributing to such a decision? You must analyze physical, finan-
cial, legal, and political factors to determine what is in the best Interest of
your community.
Currently, less than two dozen community treatment plants are operated by
contractors* In all but a few cases, the contractor was hired because the
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municipality didn't or couldn't operate the plant satisfactorily. For example,
effluent discharge standards weren't met or persistent odor problems caused com-
plaints. In several of these installations, the staff didn't have the skills to
operate complicated solids handling facilities; this led to overloading the plant
and odor problems. One community hired a contractor to eliminate a complex union
problem. It wanted to prevent potential labor problems from leading to violations
of discharge standards. At a new regional plant without previous staff, the
elected directors chose to contract operations and maintenance with a private
organzation. High operating costs have caused others to consider the contract
approach.
How Are These Contracts Established?
What is involved in establishing a full operation and maintenance contract
with a private organization?
Once the community has decided on a full operation and maintenance contract,
it requests proposals from organizations that offer these services. The prepara-
tion of a detailed proposal requires a review of the operation and management of
the plant and an inspection of the facilities. This analysis will reveal whether
the plant is physically capable of meeting treatment objectives if operated and
maintained properly. From this information, a plan outlining proper operation and
expected performance can be developed. The contractor must also decide if the
facilities can be operated within the existing budget. The contract will be for a
fixed annual fee and will have a performance guarantee.
Competitive proposals should be sought from several organizations. You
should prepare detailed specifications to compare the proposals. Major items in
the specifications may be:
Scope and extent of services
Treatment conditions
Plant staffing
Sludge handling and disposal
Plant improvements
Terms and conditions of the contract
Reports to regulatory agencies
Performance guarantee
Owner's rights of inspection
Scope and Extent of Services—
The requests for proposals must completely define the scope and extent of
services to be provided and must contain guideline specifications to allow bid
comparisons. Most full-maintenance contracts are similar; however, there are some
differences in the services being offered. For example, some contractors will
assume operation and maintenance responsibilities for the collection system and
pumping stations, as well as for the treatment plant.
The extent of financial responsibility for repair and replacement of equip-
ment during the contract period can vary. Some organizations assume full finan-
cial responsibility for repair or replacement of an equipment item; others estab-
lish a maximum allowance determined by equipment age, physical conditions, etc.
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Some organizations provide a performance guarantee which includes the finan-
cial responsibility for fines levied for effluent discharge violations. Any
limitations on the amount of the fine must be clearly defined in the proposal. It
is important to remember that the owner has the ultimate legal responsibility for
compliance with discharge requirements, regardless of what contractual arrange-
ments have been made for operation and maintenance.
The requests for proposals must state what portion of the costs of utili-
ties, chemicals, maintenance materials, etc*, will be paid by the management
organization.
Treatment Conditions—
The contract should state the wastewater flows and characteristics to which
the performance guarantee applies. Such factors as the average daily flow, peak
daily flow, peak hourly flow, influent pH range, total and soluble BOD (30-day
average), suspended solids (30-day average), and ratio of peak daily to average
daily loading must be specified.
Plant Staffing—
You must consider how and to what extent the contractor proposes to use
existing staff. Since private 'operation of publicly-owned treatment facilities
can be a sensitive issue, maximum support for private operation must be gained by
assuring employees of the city that they will not lose their jobs.
Generally, the contractor will utilize as much of the existing staff as pos-
sible. The contractor will use one of its trained employees to manage the plant
and train an assistant. The services of home office support personnel will be
used to train existing staff and establish new operation and maintenance proce-
dures. Most of the plant operation staff will likely be existing employees of the
city.
Sludge Handling and Disposal—
The handling and disposal of waste solids and sludges must be defined in the
request for proposals. If waste solids are to be hauled from the plant and
disposed of by landfill or land spreading, the procedures for this service must
be defined in the scope of the contract.
Plant Improvements—
Full operation and maintenance contracts don't include construction of plant
improvements or additions. The contract may include minor plant or process mod-
ifications required to meet performance standards. If, for example, during a con-
tract period a major plant modification is required (such as the addition of a
new clarifier or pump station), the contractor will often define what is needed
and provide design recommendations for the Improvement. The contractor will then
give the responsibility of design, equipment purchase, and construction to the
owner. However, in some cases, the contractor will design minor improvements with
its own engineering staff and will assist the owner in obtaining the equipment
and administering a construction contract. These services are outside the general
scope of the management contract and must be negotiated separately. In developing
the contract specifications, the limits of responsibility for capital improve-
ments must be clearly defined*
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Terms and Conditions of Contract—
The contract must fully define the terms and conditions covering financial
and legal responsibility of each party, such as price, duration of contract, and
method of payment.
Provisions for cancellation of the contract by either party and any finan-
cial liabilities of either party at time of cancellation must be included. Gen-
erally, contract cancellation can be initiated by either party after filing writ-
ten notice 90 to 180 days prior to the cancellation date.
All contracts will have clauses for inflation in the cost of utilities,
materials, chemicals, and, in some cases, labor. Some organizations offer an
annual fee with fixed labor costs for the duration of the contract, in which case
the contractor absorbs increases in labor costs. Others include inflation
factors which are tied to national indices, such as the Consumer Price Index.
These inflation factors can have a significant effect on the cost over the life
of the contract and should be established and agreed upon when negotiating the
contract.
Public liability and property damage insurance covering operations of the
contractor at the publicly-owned wastewater treatment plant must also be
provided. The amount of this insurance must be clearly established during
contract negotiations.
A performance bond should also be considered to insure that the contract is
carried through to completion. In the case of a default, the bond would be used
to pay off the community to restore the plant to public operation.
Contracts must contain a "hold harmless" clause protecting the community
from any liability for death, injury or personal property damage caused by the
contractor's operation of the treatment facilities. Further, liabilities should
also be assigned for any damage or injury occurring from the accidental discharge
of wastewater.
The contract should contain provisions for inspection of books and records
to determine if increases in compensation are justified and for general compli-
ance with provisions of the contracts.
Reports to Regulatory Agencies—
The contract should define the nature and extent of operation and monitoring
reports to be prepared and submitted to regulatory agencies. Generally a con-
tractor will do this in a full operation and maintenance contract.
Performance Guarantee—
In addition to full financial responsibility for operation of the treatment
facilities, some contractors will offer a performance guarantee. This guarantee
transfers the responsibility for meeting effluent standards from the community to
the contractor. However, the legal responsibility for meeting discharge require-
ments is still the owner's, regardless of the contractual arrangements which have
been made for plant operations and maintenance. Within certain limits, the con-
tractor may assume financial liability for any fines for nonaccidental violations
of the discharge standard. The extent to which the contractor will stand behind
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his performance guarantee and his responsibility for any possible fines must be
clearly established during contract negotiations.
Disadvantages of Full Operation and Maintenance Contracts
There are certain disadvantages in contracting with private firms for opera-
tion of publicly-owned treatment works. Since the contractor operates with a
profit incentive, there is a danger that a certain amount of corner-cutting may
occur. One area of particular concern is mechanical equipment maintenance. Some
contracts exclude the cost of equipment repair or replacement or provide only a
limited allowance. Under these conditions, the community doesn't have assurance
that the equipment will be properly maintained. The contract should clearly
describe the type and amount of maintenance to be provided. Equipment repair and
replacement allowances should be realistic and enough to offset the anticipated
expense. The higher the allowance, the greater the incentive for the contractor
to maintain the equipment. Prior to the negotiation of a service contract, the
community should perform a detailed invent6ry, inspection, and assessment of the
condition of all plant equipment. At this time, assistance from equipment manu-
facturers or special consultants will be helpful. A specific maintenance program
must be detailed and agreed upon during contract negotiation.
There is another potential disadvantage of a full maintenance and operation
contract. Where prior operating history and costs are not available (such as for
a new plant or for one with major improvements), it is difficult to know whether
the fee being proposed by a private organization is reasonable. Securing a fair
price for the services is a problem, unless they are sought on a competitive
basis. Presently, there is only one major national firm offering full services.
Under these circumstances, you should ask a consultant experienced in treatment
plant operation and management to help evaluate the proposed cost. The consultant
should review the proposed management and staffing requirments, operational
costs, and maintenance requirements and advise the owner as to whether the
services being offered and the associated fee are reasonable.
OPERATIONAL ASSISTANCE CONTRACTS
An operational assistance contract is quite different rrom a full operation
and maintenance contract. The main difference is that the private organization
doesn't assume administrative and financial control of the wastewater treatment
facilities. Rather, this organization serves as a consultant, furnishing tech-
nical help to solve any treatment problems. It is retained by the community in a
manner similar to the consulting contracts discussed in Section 10.
There are numerous organizations that offer operations review and consulting
services to identify and solve treatment problems. These organizations have
gained practical experience in the operation of treatment facilities. In addi-
tion, numerous consulting engineering firms have recently established operation
and maintenance specialty groups. Some equipment manufacturers offer plant
operational assistance services as well.
As in the case with the full operation and maintenance contracts, the con-
sultant trains plant personnel and sets up proper operating and maintenance pro-
cedures. These services are often provided for a fixed fee negotiated annually.
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With this type of contract, the community makes all management decisions and has
the full responsibility for paying all operating costs such as salaries, utili-
ties, chemicals, etc.
One firm indicated that at the request of a community, it will place one of
its personnel in charge of plant operations to correct operational problems.
Although plant staff are responsible to this manager for direction, he has no
authority to hire or fire personnel. He has little power to correct plant prob-
lems related to personnel.
Plant performance guarantees are not usually offered by operational assist-
ance consultants since they don't have total control over operation and manage-
ment. One firm will assume limited financial responsibility toward meeting a
plant performance guarantee if given enough authority by the community to have
management control of the treatment facilities.
Correcting problems is more indirect with a plant operational assistance
contract. The problem must be presented to the community official responsible for
taking corrective action. Correcting process or mechanical problems may be fairly
easy. Solving a personnel problem which is contributing to poor performance may
be considerably more involved.
Operational assistance service can be very useful at plant startup. Under
current EPA grant funding provisions, the federal government will finance up to
75 percent of an operator training program for the start-up of a community waste-
water treatment plant currently under construction with an EPA grant. The consul-
tant can provide on-site classroom instruction and "hands-on" experience in pro-
cess and mechanical operations, maintenance, and safety and emergency procedures.
The laboratory staff must also be Instructed in sampling and testing procedures,
data collection, and regulatory monitoring and reporting. The operations and
maintenance manual is an important tool in plant start-up and must be updated and
revised on a regular basis. The operations consultant can be very helpful in pre-
paring this document.
To obtain operational services, you should contact various organizations
Offering them. Discuss your problems with them and decide if they offer appro-
priate services. Once you have narrowed the list to a responsive group of poten-
tial service consultants, ask for proposals defining the scope and extent of the
services and a general fee structure. Compare the proposals using a standard set
of guidelines to insure that all contractors will be furnishing the same ser-
vices. From this review, you can select the firm best suited to your needs and
negotiate with them. The fees and terms and conditions of the contract would be
similar to other professional service contracts discussed in Section 10.
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fi2
ENERGY CONSERVATION
JL
THE NEED FOR
CONSERVATION
— Shortages
and rising
costs
_L
ENERGY USES IN
WASTEWATER TREATMENT
~ Liquid and solids
handling processes
_L
RESOURCE RECOVERY PROGRAMS
• Anaerobic digester gas
• Gas production
• Systems to use gas
• Sludge utilization
_L
_L
CONSERVATION POSSIBILITIES
& PRACTICES
• Pump adjustments
• Pump maintenance and
operation
• Plant lighting, heating &
ventilation
• Screening & grit removal
• Sludge pumping
• Trickling filters
• RBCs
• Activated sludge
• Solids retention time
• Sludge dewatering
• Anaerobic digestion
SOLAR ENERGY
_L
MANAGEMENT OF
OPERATION
— Operating
records
- Contingency
plans
-Operator
training
-------
SECTION 12
ENERGY CONSERVATION
THE NEED FOR CONSERVATION
Many secondary and tertiary treatment plants require from 4 to 15 times more
electrical power than the primary plants of the past. Because of this, there is
a real need for energy conservation. Recent shortages and the high costs of
electricity, fuels, and chemicals have become important influences in plant
design and operation.
Until recently, little or no attention to the availability of the consumable
supplies and utilities needed for plant operation has been given in treatment
plant design. However, the fuel shortage in 1973-74 demonstrated how sensitive
the supply of products and utilities is to a dependable supply of crude oil (43).
In addition, there were shortages of some chemicals including lime and chlorine
needed at wastewater treatment plants. While most chemicals and utilities are
available in 1979, their costs have increased greatly over the last five years
and will continue to increase in the future. You can make an important energy
and resource conservation effort in your plant operation.
ENERGY USES IN WASTEWATER TREATMENT
Energy requirements in wastewater treatment are for wastewater pumping, pri-
mary treatment, secondary treatment, tertiary treatment in some cases, disinfec-
tion, building heating and cooling, and sludge treatment and disposal. Energy
requirements for almost all wastewater and sludge treatment processes are given
in a recent EPA report on energy, "Energy Conservation in Municipal Wastewater
Treatment" (MDC-32), EPA 430/9-77-011 (44).
The EPA report showed that trickling filters with rock media require' the
least amount of energy of any secondary treatment method. Only a relatively
small amount of energy is required for preliminary and primary treatment, disin-
fection by chlorination, and for building heating and cooling. Most of the
energy required in a conventional wastewater treatment plant is for the secondary
treatment system. Aeration energy requirements in activated sludge treatment are
often the single largest energy use in a typical wastewater treatment plant.
Sludge treatment processes also require a lot of energy. Energy required
for anaerobic digestion Is affected by air and sludge temperature. Most energy
is required to heat anaerobic digesters in colder climates.
CONSERVATION POSSIBILITIES AND PROGRAMS
This section discusses things that you can do to conserve energy in your
treatment plant. These suggestions should be carefully considered for their
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full effect on the wastewater treatment system. Measures which may help one
plant may not save energy in another or may cause process control problems.
You should be careful when reducing electrical power supplied for treatment
equipment operation. Some may cause some loss in treatment efficiency.
Pump Adjustments
One of the major users of energy in most plants is pumping. Typically,
centrifugal pumps use most of the total pumping energy. For a centrifugal pump,
as the pumping head is increased, both flow and power consumption may be
decreased. By partly closing (or throttling) the discharge valve, an artificial
head is created. This causes a lower flow to be pumped and the power consumption
may be reduced depending on the characteristics of the pump curve and the opera-
ting point. Such adjustments can be made during low flow periods or in initial
phases of plant operation when flows are low. Be careful not to close valves so
far that they plug or that velocities are reduced so low that solids settle in
pipes. Any adjustments or changes in pumping should be very carefully assessed by
someone familiar with your system and knowledgeable about pumping. Poor judgement
may lead to increase in energy consumption and possibly dangerous operating
conditions.
Changes in the type, number and speed of pumps may reduce pumping energy.
If a pump is to be operated at a reduced capacity for a long time, energy can be
saved by installing a smaller impeller in the same pump. This method reduces
power consumption more than throttling.
Perhaps the most common method to vary pumping rate and conserve pumping
energy for larger plants is control of pump speed. One way to do this is to
change pulley sizes for belt-drives or reduce motors to lower speeds. Drives
using manually adjustable pulley and belt systems, two speed motors, and various
types of electronic drives can also be used. These methods require only that
operating personnel turn a handcrank, push a button or turn a knob to adjust pump
speed.
For centrigual pumps, reducing pump speed allows the use of the more effi-
cient, full-size impeller and at the same time provides a quick, easy way to
increase pumping capacity when it is needed. Operation at lower speed also
results in a longer pump life.
When the replacement of existing pumps is being planned, consider variable
speed pumps. Pump speed is regulated automatically by changing motor speed or
using a variable speed drive between the pump and motor. Speed is controlled to
pace the pump flow to items such as wet well level or discharge pressure. This
method can save a lot of energy. However, the initial cost of the drive and con-
troller and increased maintenance costs may be more than the savings in energy
costs. Your consultant can determine if variable speed drives will save you
money.
Propeller or axial flow pumps normally use more power when the discharge
head goes up. Power used by positive displacement pumps is almost directly
related to discharge pressure.
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Energy savings with these pumping systems, particularly from positive dis-
placement systems, can be obtained by varying pump speed. Nearly all of the speed
control methods for centrifugal pumps may also be used for positive displacement
pumps. Small positive displacement pumps, such as those used for chemical feeding
or sludge pumping often have a built-in way to control either the length or
timing of pumping strokes. Adjustments to these types of pumps are easy and
quick. An adjustable timer can be used to control the percent of time the pump
operates.
Energy savings can also be accomplished by sharing the pumping load among
several pumps in a system. Use only the number of pumps necessary to handle the
required volume at any time (44).
Pump Maintenance and Operation
Besides the adjustments to pumps discussed above, operation and maintenance
can also affect energy consumption. Some items to regularly check are:
• Partial clogging or closures in valves, pipelines and pumps.
• Wear on pump Impellers and casings which lowers effclency. Installa-
tion or replacement of wear rings or adjustment of the impeller setting
is all that may be required to regain original efficiencies.
• Improper adjustment of packing causing binding of pump shaft.
• Improper settings for start-stop controls causing too frequent cycling
of pumps.
• Dirty or loose electrical contacts.
Plant Lighting, Heating, and Ventilation
Past practice in many multi-shift plants has been to have all lights burning
continuously regardless of the needs of the area* Non-work areas and yards are
often highly illuminated. The electricity required for lighting in many plants
could be reduced 20 to 30 percent without any loss in work efficiency or safety.
Your ventilation equipment may provide 4 to 6 fresh air changes per hour.
Most industrial plants are designed for 1.5 fresh air changes per hour. If pos-
sible, the number of fresh air changes should be reduced for structures such as
headworks, solids processing, tunnels, and digester control rooms; however, care
must be taken to keep a safe working atmosphere in the various buildings. When
ventilation rates can be safely reduced to 2 to 3 changes per hour, the building
heat requirement may be reduced 25 to 30 percent.
Some energy conservation measures that are applicable to all large buildings
are (7):
• Reduce corridor, room, and outdoor lighting levels as much as possible
considering operational requirements, safety, and security.
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Shut down air conditioning equipment and reduce heating levels in unoc-
cupied buildings as much as possible on weekends and holidays.
Reduce the normal heating and cooling to unoccupied spaces such as
storerooms.
Reduce the amount of outside ventilation air used in heating, ventilat-
ing, and air conditioning systems to meet the minimum safe ventilation
requirements.
For predicted hot days, consider cooling the building below normal at
night and during early morning hours and allowing the temprature to
rise during the afternoon.
Keep air filter systems clean for better circulation and to reduce fan
horsepower.
Inspect and repair, if necessary, insulation, caulking, weather-
stripping, and storm windows of buildings.
Check pipe insulation on all steam or hot water lines passing through
air conditioned spaces and on all chilled water lines or cold air ducts
passing through non-air-conditioned space*
Regularly clean lighting fixtures, lamps, reflectors, and shades to
keep up maximum lighting efficiency.
Post instructions concerning operation and maintenance procedures for
all employees.
Turn off air conditioning shortly before the end of the working day in
areas not used around-the-clock.
For individual air conditioning units, close the damper admitting out-
side air to the minimum position.
To reduce air conditioning loads, close blinds, shades, and draperies
on the sunny side of the building.
Keep outside doors and windows closed during heating and cooling
seasons.
Use a minimum amount of lighting during daylight hours in rooms which
have adequate windows or skylights.
Keep unnecessary lights turned off and shut off lights when leaving
office or other work areas.
Turn off electric fans, coffee makers, and other appliances when not
needed, especially during peak demand periods.
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Screening and Grit Removal
If you have a sludge incinerator, consider burning your screenings rather
than hauling them to land disposal. If you do haul them, provide enough storage
so that you don't waste any trips.
For grit removal, don't make any extra effort to produce a "clean" grit,
which is later disposed of at a landfill. Washing grit may often be unnecessary.
Sludge Pumping
Over-pumping of sludge from settling basins wastes energy. Over-pumping
often occurs during low-flow periods and results in sludge which is too thin.
Pumps should be reset to reflect the low flow.
In addition to increasing the energy required to pump the sludge, there can
be a chain effect throughout the plant. For example, the effects of pumping
sludge with A percent solids versus 5 percent solids include: an increase of 20
to 25 percent in initial pumping energy; increased volume of sludge can affect
loadings, efficiencies and energy requirements for thickeners, supernatant return
pumps, chemical feeding and mixing equipment, digester heating systems and
dewatering systems; and adverse effects on digester gas production and incinera-
tor operation.
Trickling Filters
The major energy consumption in trickling filter operation is the electric-
ity required for recirculation pumping. Attention to pump and motor efficien-
cies is important. The actual effect of increasing and decreasing recirculation
rates should be determined at each plant. Plants which meet effluent discharge
requirements at 1:1 recirculation ratios may also do so at 0.75:1 or 0.5:1 ratios
(7)-
Rotating Biological Contactors (RBC)
Energy consumption is largely for media rotation. If an RBC plant is opera-
ting at less than full design capacity, energy can be saved by leaving a portion
of the contactor units idle, or by reducing the rotational speed. Adjusting
rotational speed of individual stages to meet the discharge requirements should
be done at each plant (7).
Activated Sludge
Energy required for aeration in an activated sludge plant usually exceeds
all other uses in the plant. Because of this, the possibility of energy savings
deserves a great deal of attention.
In diffused-air plants, the major energy user is the blower. Like pumps,
blowers can be either centrifugal or positive displacement. Centrifugal blowers
are most commonly used in large plants but are also used in small plants.
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Centrifugal blowers can be controlled in much the same way as centrifugal
pumps. Air flow can be controlled by partial closure of a throttling valve on the
blower suction or discharge, by changing impeller design, or by changing speed.
One of the easiest, most efficient ways is to adjust the valve on the suction
side of the blower. This method reduces energy consumption more than throttling
the discharge valve for the same reduction in air flow. Because most blower
installations already have the necessary valving, the only cost is for operating
labor. Control of the suction valve can also be made automatic. Seek help from
your consulting engineer to do this; he will be aware of some of the problems
associated with this, such as blower surge and its control.
Air flow and energy consumption can be controlled for positive displacement
blowers by control of speed or the use of several units. You must also consider
the side effects of reducing aeration. It could result in loss of treatment
efficiency and in higher total plant energy uses as a result of an increased
loading on solids processing. Thus, the overall effects of unit energy conserva-
tion on the total activated sludge process 'must be considered.
Proper maintenance of blower bearings, seals, and clearances can reduce
energy use. Mr filters and diffusers must be kept clean. If left dirty they
can account for increased pressure drops of up to 20 percent (44).
Effects of Solids Retention Time on Overall Energy Utilization
Conserving electrical energy use by manipulating the solids retention time
(SRT) results in a tradeoff between aeration basin power and additional sludge
production. The higher the SRT, the larger the aeration energy requirement. The
tradeoff is that sludge production decreases as the SRT increases. So at a higher
SRT, the aeration energy requirements are higher, but the sludge treatment energy
requirements are lower.
The practical limits of SRT vary from 3 days to about 15 days. By varying
the SRT, the energy requirements may vary more than 20 percent. Overall, a lower
SRT should reduce the overall energy requirements if the sludge handling system
is a low energy use system. However, if the sludge produced is treated in an
energy-intensive system, it may be more energy efficient to increase the SRT to
reduce solids production (44).
Sludge Dewatering
Intermittent operation of sludge dewatering processes can save energy
because equipment operated near design capacity has greater efficiency. If your
plant is not yet fully loaded, operating intermittently at full load uses less
energy than running all the time at low loadings.
The following example of a dewatering system consisting of chemical condi-
tioning and vacuum filtration shows the potential for energy savings. Table 12
shows the energy requirements for 1 and 10 mgd plants operated intermittently and
continuously. Intermittent operation could reduce energy consumption by approxi-
mately 45 percent for a 1 mgd plant and by over 20 percent for a 10 mgd plant.
As the size of the plant increases, the saving continues to decrease, but at 100
mgd the saving is still about 15 percent. The total operating and maintenance
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costs would also be reduced through intermittent operation. The savings are
approximately 20 percent for both 1 and 10 mgd plants (44).
TABLE 12. ENERGY REQUIREMENTS FOR CONTINUOUS AND INTERMITTENT
OPERATION OF A VACUUM FILTER SYSTEM*
^•^_^*M>iM^Mi^Mi^_«MM^B^^^^^Bm^BWW
Energy required, kwh/yr
Treatment plant size 1 mgd 10 mgd
Operation
Vacuum Filtration
Chemical Conditioning
Storage
TOTAL
Continuous
32,000
2,800
34,800
Intermittent**
17,400
1,200
500
19,100
Continuous
145,000
7,800
800
153,600
Intermittent
108,300
5,200
4,200
117,700
* Based on treatment of digester primary and waste activated sludge.
** Intermittent operation is for five, 8-hour shifts per week.
Source: Reference 44
Anaerobic Digestion
The digester heating requirements can be reduced by Increasing the solids
concentration in the sludge pumped to the digester. In some cases, the
operating temperature in a lightly loaded digester may also be lowered without
hurting the performance of the digester.
RESOURCE RECOVERY PROGRAMS
Use of Anaerobic Digester Gas
One of the best ways to reduce energy used in wastewater treatment is to
recover and reuse the energy available in sludge digesters. Digester gas can be
used for on-site generation of electricity or for digester and building heating.
Digester gas can also be used off-site in a natural gas supply system. This will
require treating the gas to remove hydrogen sulfide and moisture. Also, in most
cases, the heat value of the digester gas must be increased by removing carbon
dioxide before it is used in a natural gas system. It is very common for digester
gas to be used for digester and building heating and on-site to generate elec-
tricity and drive pumps.
Gas Production
Gas produced by anaerobic digestion is about two-thirds methane and one-
third carbon dioxide with relatively small amounts of water, hydrogen sulfide,
ammonia, and other gases. The heat value of the gas varies from one plant to
another, but is typically about 600 Btu/standard cubic foot (scf). In some
installations the gas is used directly from the digester. In others, water and
hydrogen sulfide are removed to protect engines and other equipment.
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The volume of gas produced in the digester is usually at least 15 scf gas
produced/lb volatile solids (VS) destroyed. For a typical activated sludge
plant, this means about 11,000 scf of digester gas will be produced per million
gallons treated. The heat value of this gas may be high enough to supply about
75 percent of the electrical power needed in the typical activated sludge plant.
Systems to Use Gas
A system to use anaerobic digester gas is shown in Figure 28. Gas from the
digester is cleaned, compressed, and stored. After storage, the gas can be used
directly as fuel to heat the digesters or buildings or as fuel for an internal
combustion (1C) engine coupled to an electric generator. The 1C engine could be
used to generate electricity for general uses or directly coupled to an air
blower or water pump to supply some of the aeration or pumping requirements. The
engines can be equipped with heat recovery systems and the recovered heat used
for building or digester heating. Such systems have been used for over 20 years
in several treatment plants in the United States and other countries (45). Your
consulting engineer can advise you if such a system might be economical in your
plant.
Sludge Utilization
The use of sludge as fertilizer or soil conditioner saves energy two ways;
it can eliminate energy used by some processes such as dewatering and incinera-
tion, and it reduces the need for energy to manufacture chemical fertilizers.
Using sludge on pasture and farm land is simple and relatively low in cost.
Land application has been used to reclaim strip mine spoils or other poor land.
Composted sludge is a good soil conditioner.
There are many local, state, inter-state and federal regulations on the use
of sludge. Information on these rules can be obtained from the wastewater or
solid waste agencies in your area and the local or state public health depart-
ments. These agencies are concerned about ground and surface water pollution
from infiltration and runoff of sludge contaminants. This potential can be kept
to a minimum with proper design, site selection, and operation, and depends upon
soil type, climate, type of crop, application technique, and whether the sludge
is liquid, dewatered, or dry.
If you dry digested sludge on sand beds, you should let the public know it
is available for private use. With good publicity, some towns get rid of all
their dried sludge this way. The most successful programs give the sludge away
and have suggestions on how to best use it.
SOLAR ENERGY
There has been a great deal of publicity about solar heating. It may be use-
ful in your plant for digester hot water or building heating. A system for hot
water and space heating is shown in Figure 29. Solar energy has been proposed for
use in digester heating, but no full scale plants use such a system at present.
One study found (46):
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GAS FROM DIGESTER
0.2 psi 95^ F
STEAM OR HOT
WATER TO
DIGESTER OR
OTHER USE
i
HEAT
RECOVERY
UNIT
Source: Reference 45
SCRUBBER
ALTERNATE
FUEL
SYSTEM
INTERNAL
COMBUSTION
ENGINE
COMPRESSOR
/ STORAGE \
ELECTRICAL GENERATOR
AIR BLOWER
WATER PUMP
EXCESS GAS
BURNER
Figure 28. Anaerobic digester gas utilization system.
-------
AUXILIARY HEAT
SOLAR
RADIATION
03
I
HOT AIR TO
SPACE
HEATING
HOT WATER
STORAGE
HEAT
EXCHANGER
COLD
WATER
HEAT
EXCHANGER
COLD
'AIR IN
t
TO HOT WATER
SYSTEM
AUXILIARY HEAT
Source: Reference 45
Figure 29. Solar energy system for water and space heating.
-------
• It is technically and economically feasible to heat digesters with
solar energy.
• The lowest cost method is to supply about 90 percent of the annual
digester heat requirement with solar energy.
• Preheating raw sludge before it enters the digester is the best method
of using solar energy.
• Solar heating of anaerobic digesters is economically feasible at all
locations in the United States, including Alaska.
• The best size solar heating system would supply 82 to 97 percent of the
annual heat requirement.
Your consulting engineer can advise you if solar heat would be economically
attractive at your plant.
MANAGEMENT OF OPERATIONS
Your main responsibility in management of energy conservation efforts is to
ensure that they do not reduce plant effluent quality or performance of solids
handling systems. You should:
• Be aware of changes in the availability of critical supplies.
• Keep operating records for all electrical power, fuel and chemical uses
for the entire plant and for individual unit processes, where
possible.
• Develop a contingency plan for operating the plant at various levels of
reduced electrical power, fuels, and chemicals in case shortages
occur.
• Explore the possibility of making fuel or chemical substitutions in
case of prolonged shortages.
• Provide training on energy aspects so that your operators can carry out
energy conservation practices.
139
-------
REFERENCES
-------
REFERENCES
1. Pierce, D.M., "Responsibilities of a Sewage Treatment Plant Operator,"
Journal Water Pollution Control Federation, p819, 1957.
2. Quartly, E.V., "The Responsibility of the Administrator and Operator,"
Journal Water Pollution Control Federation, p!080, 1955.
3. "A Training Course in Water Utility Management," American Water Works
Association, Manual M5.
4. Bargman, R.D., "Organization and Management Control in a Sewage Treatment
Plant, "Journal Water Pollution Control Federation, pllAS, 1953.
5. Graeser, H.J., "Sewage Works Management," Journal Water Pollution Control
Federation, p!33, 1953.
6. "Urban Public Works Administration," International City Management
Association, 1976.
7. "Operation of Wastewater Treatment Plants," Manual of Practice No. 11, Water
Pollution Control Federation, 1976.
8. "Estimating Laboratory Needs for Municipal Wastewater Treatment Facilities,"
EPA Report 430/9-74-002, June, 1973.
9. "Maintenance Management Systems for Municipal Wastewater Facilities," EPA
Report 430/9-74-004, 1973.
10. "Emergency Planning for Municipal •Wastewater Treatment Facilities," EPA
Report 430/9-74-013, February, 1974."
11. "Emergency Planning for Water Utility Management," American Water Works
Association, Manual 19, 1973.
12. "Financing and Charges for Wastewater Systems," Joint Committee Report
American Public Works Association, American Society of Civil Engineers,
Water Pollution Control Federation, 1973.
13. Billings, C.H. and Smallhorst, D.F., eds., "Manual of Wastewater Opera-
tions," prepared by the Texas Water Utilities Association, Fourth Edition,
Lancaster Press, Inc., 1971.
14. "Municipal Sewer Service Charges," American City Magazine.
15. Culp, G.L., Benjes, H.H., Jr., and Puntenney, J., "Evaluating Wastewater
Facility Staffing Needs," Journal Water Pollution Control Federation, p226,
November 1977.
141
-------
16. Dames & Moore, "Analysis of Operations and Maintenance Costs for Municipal
Wastewater Treatment Systems," prepared for Office of Water Program Opera-
tions, U.S. Environmental Protection Agency, MCD-39, EPA No. 430/9-77-015,
May 1978.
17. Bauman, E., et al, "Estimating Staffing and Cost Factors for Small Waste-
water Treatment Plants Less than 1 mgd. Part I. Staffing Guidelines for
Conventional Municipal Wastewater Treatment Plants Less than 1 mgd," pre-
pared for Office of Water Program Operations, U.S. Environmental Protection
Agency by Iowa State University, EPA Grant No. 5P2-WP-195-0452, June 1973.
18. CH2M Hill, "Estimating Staffing for Municipal Wastewater Treatment Facili-
ties," prepared for Office of Water Program Operations, U.S. Environmental
Protection Agency, Contract No. 68-01-0328, March 1973.
19. Patterson, W.L. and Banker, R.F., "Estimating Costs and Manpower Require-
ments for Conventional Wastewater Treatment Facilities," prepared for Office
of Research and Monitoring, U.S. Environmental Protection Agency, Project
No. 17090 DAN, Contract No. 14-12-462, October 1971.
20. Gulp, Wesner, Gulp, "Comparative Cost Estimates for Competitive Suspended
Growth Biological Processes," prepared for Municipal Environmental Research
Laboratory, U.S. Environmental Protection Agency, Contract No. 68-03-2556,
June 1978, Final Draft.
21. "Operator Certification - 1975 Status Report," by Association of Boards of
Certification for Operating Personnel in Water and Wastewater Utilities,
Journal Water Pollution Control Federation, p!862, 1977.
22. Baxter, S.S., et al, "Personnel Training, Utilization, and Policy," Journal
Water Pollution Control Federation, pi, January 1968.
23. Gilbert, W.G., "Relation of Operation and Maintenance to Treatment Plant
Efficiency," Journal Water Pollution Control Federation, p!822, July 1976.
24. Hegg, B.A., et al, "Evaluation of 'Operation and Maintenance1 Factors Lim-
iting Municipal Wastewater Treatment Plant Performance," presented at 41st
Annual Meeting of the Rocky Mountain Water Pollution Control Association,
Albuquerque, New Mexico, October 1977.
25. J.L. Krantz, "Planning Training to Achieve Objectives," Deeds and Data,
Water Pollution Control Federation December, 1978.
26. Winkelhaus, C., "Safety Performance of Wastewater Facilities Remains Poor
through Overall Injury Rates Decline Slightly," Deeds and Data, Water
Pollution Control Federation, October, 1978.
27. Gulp, Wesner, Gulp, "Procedures for Operation and Maintenance Evaluation at
Municipal Wastewater Treatment Facilities," prepared for Municipal Opera-
tions Branch, U.S. Environmental Protection Agency, Contract No. 68-01-4727,
October 1978, Final Draft.
142
-------
28. Gerdel, W. E., "Management and Management Responsibilities in Water Pollution
Control," Journal Water Pollution Control Federation, pl!46, 1963.
29. Longino, C.F., Jr., et al, "Sewage Treatment or Pollution Control - Trainees
View Their Job," Journal Water Pollution Control Federation, p41, 1972.
30. Sparr, A. E., "Personal Relations In Wastewater Treatment Plant Operations,"
Journal Water Pollution Control Federation, p!443, 1963.
31. Graeser, H.J., "The 'Mf Factor in Wastewater Treatment," Journal Water Pol-
lution Control Federation, p564, 1965.
32. "How to Improve Individual Manager Performance," American Management
Association, 1969,
33. "1978 WPCF Salary Survey of Water Pollution Control Facilities Personnel,"
Deeds and Data, September, 1978.
34. Sheeran, F. B., "Management Essential for Public Works Admnistrators,"
American Public Works Association, 1973.
35. Laehy, G.J., "Wastewater Treatment Plant Personnel: Image and Training,"
Journal of the Water Pollution Control Federation, p!439, July, 1971.
36. Morrison, D.R., and Bacon, V.W., "Union Management Relations in Public Serv-
ice," Journal Water Pollution Control Federation, p7, 1968.
37. Mashaw, L.H., "Public Relations - A Self-Analysis," Journal Water Pollution
Control Federation, p354, 1970.
38. "Public Relations Handbook," Water Pollution Control Federation, 1964.
39. "Public Information Handbook," Water Pollution Control Federation, 1977.
40. "Annual Report on the Operation of the Grand Haven-Spring Lake Authority
Wastewater Treatment Plant at Grand Haven, Michigan for the Year 1977-1978,"
1978.
41. Edwards, J.A., "Selecting an Environmental Consultant," Pollution Engineer-
ing, p30, June 1978.
42. "Consulting Engineering - A Guide for the Engagement of Engineering Serv-
ices," American Society of Civil Engineers Manual 45.
43. Voegtle, J.A., "Be Conservative About Energy," Deeds and Data, Water
Pollution Control Federation, February, 1975.
44. Wesner, G.M., et al, "Energy Conservation in Municipal Wastewater Treat-
ment," MCD-32, U.S. Environmental Protection Agency, March, 1978.
143
-------
45. Wesner, G.M., et al, "Evaluation of Energy Efficiency in Planning Municipal
Wastewater Treatment Facilities," U.S. Environmental Protection Agency,
Draft Final Report, December, 1978.
46. Cassel, D.E., "An Anaerobic Digester Heated by Solar Energy," U.S.
Environmental Protection Agency, Contract No. 68-03-2356, June 1976,
47. Benjes, H.H. Jr., "Attached Growth Biological Wastewater Treatment Estimat-
ing Performance and Construction Costs and Operating and Maintenance
Requirements," prepared for Municipal Environmental Research Laboratory,
U.S. Environmental Protection Agency, Contract No. 68-03-2186, January 1977,
Final Draft.
48. Gulp, Wesner, Gulp, "Cost of Chemical Clarification of Wastewater," U.S.
Environmental Protection Agency, Contract No. 68-03-2186, January 1976,
Final Draft.
144
-------
OBTAINING REFERENCES
Most of the references cited in this report can be obtained from one of the
following sources:
American City Magazine; Buttenheim Publishing Corp; 470 Park Avenue South;
New York, NY 10016
American Public Works Association (APWA) 1313 E. 60th Street; Chicago, IL
60637.
American Society of Civil Engineers (ASCE); 345 E. 47th Street; New York, NY
10017
American Water Works Association (AWWA); 2 Park Avenue; New York, NY 10016
International City Management Association; 1140 Connecticut Avenue, N.W.;
Washington, DC 20036
U.S. Department of Labor; Occupational Health and Safety; Washington, DC
20037
U.S. Environmental Protection Agency (EPA); Office of Water Program
Operations; Washington, DC 20460
Water Pollution Control Federation (WPCF); 2626 Pennsylvania Avenue, N.W.;
Washington, DC 20037
145
-------
APPENDICES
-------
APPENDIX A
EXAMPLE ALLOCATION OF COSTS
-------
Basic data:
Design plant flow = 5 mgd; design sewer system flow = 10 mgd
Population served = 30,000
mg/1 Ibs/day
Volume, mgd BOD SS_ BOD SS
Flows:
Wastewater (non-industrial) 3.25 300 350 8,130 9,500
Industrial 0.75 750 450 4,690 2,800
Infiltration 0.50 -
4.50
Assessed valuation:
Community $80,000,000
Industry 4,000,000
Design loadings:
BOD 16,500 Ibs
SS 15,500 Ibs
Construction Costs
Collection System $2,000,000
Treatment Plant
Primary
Sedimentation Tanks 260,000
Aeration Basins 360,000
Aeration Equipment 230,000
Secondary Sedimentation
Tanks 330,000
Return Activated
Sludge Pumping
Station 160,000
Waste Activated
Sludge Pumping
Station 170,000
A-l
-------
Primary Sludge
Pumping Station 93,000
Chlorine
Contact Basins 140,000
Chlorination
Equipment 37,000
Gravity
Thickener 72,000
Dissolved Air
Flotation
Thickener 180,000
Vacuum Filter 250,000
Polymer Feed
and Storage 50,000
Incineration 1,900,000
Subtotal $4,232,000
Yardwork 592,000
TOTAL
CONSTRUCTION COST $4,824,000
Engineering,
Fiscal, Legal 579,000
Interest During
Construction 482,000
TOTAL CAPITAL
COSTS $5,885,000
Operating Costs (Annual)
Power & Maintenance
Labor Fuel Materials Chemicals
Plant
Primary Sedimentation $10,800 $ 65 $1,600
Aeration Equipment 24,300 22,000 6,400
Secondary Sedimentation 12,600 65 2,000
Return Activated Sludge
Pumping 8,370 840 840
Waste Activated Sludge
Pumping 1,900 90 4,000
A-2
-------
Operating Costs (Annual) (Continued)
Labor
Power &
Fuel
Maintenance
Materials
Chemicals
Plant
Primary Sludge Pumping
Chlorination Equipment
Gravity Thickener
Dissolved Air
Flotation Thickener
Vacuum Filter
Polymer Feed
and Storage
Incineration
Collection System
1,200
10,400
3,600
6,900
22,500
2,800
44,100
6,000
30
-
30
3,800
'2,400
40
38,000
-
1,900
2,500
130
120
17,000
50
6,800
4,000
-
16,700
-
400
64,400
-
-
-
$155,470
$67,360
$47,340
$81,000
Allocate Collection System Costs
The capital costs can be allocated as follows:
Total System
Current Domestic Users
Industry
Infiltration
Future Use
Design Flow, mgd
10.00
3.25
0.75
0.50
5.50
Allocation
32.5%
7.5%
5.0%
55.0%
The costs for future use (55%) should be recovered through property
taxes while the costs for current use (45%) would be recovered from service
charges. In terms of annual revenue:
Annual debt service and coverage on local
capital cost of $2,000,000 for collection system
Required revenue from property taxes (55%)
Required revenue from user charges (45%)
$226,540
124,600
101,940
A-3
-------
The operating costs for the collection system are primarily related to
flow.
Annual O&M costs for collection system from current users
$10,000
Allocate Treatment Plant Costs
A fair allocation of treatment plant costs is more complex because the costs
of some treatment units are primarily determined by flow, some by BOD, and some
by suspended solids. The costs can be categorized by treatment process as
follows:
Total
Capital*
Local
Annual**
Capital
Annual
O&M
Primarily Affected By Flow:
Primary Sedimentation
Secondary Sedimentation
Activated Sludge Pumping
Chlorination
$ 361,400
458,700
458,700
246.000
$1,524,800
$43,200
$12,465
14,665
16,040
29.600
$72,770
Primarily Affected by SS:
Primary Sludge Pumping
Thickeners
Vacuum Filter
Polymer System
Incineration
129,300
350,300
347,500
69,500
2.641.000
$3,537,600
$100,175
3,130
14,580
106,300
2,890
88.900
$215,800
A-4
-------
Total
Capital*
Local Annual** Annual
Capital o&M
Primarily Affected By BOD:
Aeration Basins
Aeration Equipment
TOTAL
$ 502,900
319,700
$ 822,600
$5,885,000
$ 23,265
$166,640
52,700
$ 52,700
$341,270
*Including allowance for yardwork, engineering, fiscal, legal, interest,
etc. requirements of 20%
**Reflects 75% grant funding, and debt coverage
The first step is to allocate these costs between present and future design
loads for each category of costs:
Flow related costs:
Current flows « 4.50 «
Design flows 5.00
BOD related costs:
Current load - 12.820
Design load 16,500
SS related costs:
Current load - 12,300
Design load 15,500
90% to current users
= 78% to current users
= 79% to current users
Capital costs from current users would be recovered through user charges
while costs for future users would be recovered from property taxes:
Local
Capital Costs
From
Current Users
From
Future Users
Flow Related
BOD Related
SS Related
TOTAL
$ 43,200
23,265
100.175
$166,640
$ 38,900
18,150
79.140
$136,190
$ 4,300
5,115
21.035
$30,450
A-5
-------
Plant O&M costs are recovered from current users.
O&M Costs
Flow Related $ 72,770
BOD Related 52,700
SS Related 215.800
TOTAL $341,270
In addition, the reserve fund contribution of $25,000 per year must be
allocated. This requires a judgment as to fair distribution between current and
future users for each system. In this case, 75 percent of the reserve fund is
estimated to be for the benefit of current users.
From Current From Current
Users & Future Users
Collection System
Capital $124,600 $101,940
O&M 10,000
Treatment Plant
Capital 136,190 30,450
O&M 341,270
Reserve Fund 18,750 6,250
TOTAL $630,810 $138,640
User Charges
The revenue to be generated from property taxes for benefits which are
realized by present and future users was $138,640. Based on the total assessed
valuation of $84,000,000, this would require a property tax of $1.65 per $1,000
of assessed valuation.
A-6
-------
The bulk of the revenue ($630,810) is to be raised through charges to the
users who are currently realizing benefits from the system. One approach is
based on the allocation of costs to BOD, SS, and flow as calculated earlier:
Costs Allocated
Quantity
Cost
Flow (4.0 rail gal domes-
tic & industrial)
Sewers
Treatment
Reserve Fund
BOD
Suspended Solids
$134,600
111,670
18,750
70,850
294,940
$630,810
1,460 MG
4,679,300 Ib
4,489,500 Ib
$0.182/1,000 gal
$15.14/1,000 Ib
$65.70/1,000 Ib
The cost for domestic users per 1,000 gal is then:
Flow related
BOD related @ 300 mg/1, 25 Ib/1,000 gal
SS related 6 350 mg/1, 29 lb/1,000 gal
TOTAL
$0.1820/1,000 gal
0.0379/1,000 gal
0.1906/1,000 gal
$0.410/ 1,000 gal
The charge to the industrial user would be:
Flow related
BOD related @ 750 mg/1, 6.25 lb/1,000 gal
SS related @ 450 mg/1, 3.75 lb/1,000 gal
TOTAL
$0.179/1,000 gal
0.095/1,000 gal
0.246/1.000 gal
$0.520/1,000 gal
The total annual revenues would then be:
Domestic User Charges $410/mil gal x 3.25 mgd x 365
Industrial User Charges $520/mil gal
x 0.75 mgd x 365 -
Property Taxes
TOTAL
$486,360
142,350
138.640
$767,350
A-7
-------
APPENDIX B
EXAMPLE STAFFING CALCULATIONS
-------
EXAMPLE DETERMINATIONS OF STAFFING
To supplement the staffing estimation procedures outlined In Section 7,
several examples are presented. The information used in the examples wast derived
from EPA reports (20, 47, 48). The treatment plants included are used only as
examples to show the staffing selection procedure.
The level of utilization of plant personnel was assumed to be 1,656 hours/
year, from Table 1, and the job descriptions in Section 7 were used to specify
job titles. Each of the examples is described briefly in the following para-
graphs. For these examples, the curves used don't separate operation and mainte-
nance labor requirements. Thus, judgment was used in classifying the labor
between operation and maintenance.
Example No. 1 - This example is based on a 1 mgd capacity oxidation ditch
extended aeration plant. The plant doesn't have much mechanical equipment, there-
fore the maintenance requirements are not great. The operational requirements
are estimated to be 70 percent of the total operation and maintenance man-hours.
The annual labor requirement is shown in Table B-l and required staff in Table
B-2. An organizational chart is included to show how the staffing could be set
up, as seen in Figure B-l.
Example No. 2 - The plant is a conventional 1 mgd activated sludge plant
using submerged aeration. The plant is more difficult to operate than an extended
aeration plant and includes more mechanical equipment which requires more mainte-
nance. An operation to maintenance ratio of 0.65 to 0.35 was used. The resulting
labor requirments, job classifications, and organization chart are shown in
Tables B-3 and B-4 and Figure B-2, respectively.
Example No. 3 - The third plant is a 1 mgd rock media trickling filter
plant. The plant is simple to operate and does not contain complex machinery.
Operation requires more labor than maintenance. The annual labor requirements,
the job classifications, and an organizational chart are shown in Tables B-5 and
B-6 and Figure B-3.
B-l
-------
TABLE B-l. EXAMPLE NO. 1 - OXIDATION DITCH
(1 mgd average day flow)
Functional Unit
Unit Parameter
Quantity
Labor,
hr/yr
Raw sewage pumping
Preliminary treatment
Aeration
Final sedimentation
Return sludge pumping
Waste sludge pumping
Chlorination
Sludge drying beds
Sludge hauling
Administrative
Laboratory
Site work
Capacity/flow, mgd 3.5/1.0
Flow, mgd 1.0
Horsepower 60
Area, sq ft 2,916
Capacity/flow, gpm 500/250
Capacity, flow, gpm 25/11
Tons/yr 7.7
Tons/yr 168
Volume, cu yd/yr, 10 mi 670
Capacity, mgd 1.0
# samples*/day 2
# days/yr 100
Site area, sq ft 200,000
1,050
900
1,700
800
300
85
450
200
90
500
TOTAL
8,275
* Samples of influent, effluent, oxidation ditch, and sludge hauled
B-2
-------
TABLE B-2. EXAMPLE NO. 1 - 1 MGD OXIDATION DITCH
Project Example #1; 1 mgd
Oxidation Ditch
Staff position
Administration & General;
Superintendent
Assistant Superintendent
Clerk Typist
Storekeeper
Subtotal
Estimated plant staffing complement
Computed by RBW
Estimated annual
payroll requirements
Man hours
500
Operation Labor;
Operations Supervisor
Shift Foreman
Operator II
Operator I
Automotive Equipment Operator
Subtotal 3.902
Maintenance Laborj
Maintenance Supervisor
Mechanical Maintenance Foreman
Maintenance Mechanic II
Maintenance, Mechanic I
Electrician II
Electrician I
Painter
Maintenance Helper
Subtotal
1,673
Laboratory;
Chemist
Laboratory Technician
Subtotal
Site Work;
Laborer
Custodian
Subtotal
Total Labor Requirements
500
1,700
8,275
Number of
employees*
0.3
2.4
1.0
0.3
1.0
5.0
Date 11/22/78
Suggested
staffing
Number of
employees
J
1.5
0.5
* Man-hours divided by level of utilization (1656 hrs/yr)
B-3
-------
OPERATOR 11(1)
1
OPERATOR I (1.5)
MAINTENANCE HELPER (1)
LABORER (1)
LAB TECH (0.5)
Figure B-l. Example No. 1 - organization chart.
B-4
-------
TABLE B-3. EXAMPLE NO. 2 - 1 MGD CONVENTIONAL ACTIVATED SLUDGE PLANT
Functional Unit
Unit parameter
Quantity
Labor,
hr/yr
Raw sewage pumping
Preliminary treatment
Primary sedimentation
Raw sludge pumping
Aeration
Final sedimentation
Return sludge pumping
Waste sludge pumping
Chlorination
Anaerobic digester
Sludge drying beds
Sludge hauling
Administrative
Laboratory
Site work
TOTAL
Capacity/flow, mgd
Flow, mgd
Area, sq ft
Capacity, gpm
Horsepower
Area, sq ft
Capacity/flow, gpm
Capacity, flow, gpm
Tons/yr
Volume, cu ft
Tons/yr
Cu yd/yr,
Capacity, mgd
# samples*/day
# days/yr
Site area, sq ft
3.5/1.0
1.0
1,607
50
50
2,916
500/250
25
7.7
48,000
125
500
1
2
100
200,000
1,050
900
630
120
1,550
800
300
85
450
1,400
190
80
500
10,155
* Samples of influent, effluent, return activated sludge, digester contents
B-5
-------
TABLE B-4. EXAMPLE NO. 2 - 1 MGD CONVENTIONAL ACTIVATED SLUDGE PLANT
Estimated plant staffing complement
RBW
Project Example #2; 1 mgd Computed by
Activated Sludge Plant
Staff position
Administration & General;
Superintendent
Assistant Superintendent
Clerk Typist
Storekeeper
Subtotal
Estimated annual
payroll requirements
Man hours
500
Operation Labor;
Operations Supervisor
Shift Foreman
Operator II
Operator I
Automotive Equipment Operator
Subtotal 4,910
Maintenance Labor;
Maintenance Supervisor
Mechanical Maintenance Foreman
Maintenance Mechanic II
Maintenance Mechanic I
Electrician II
Electrician I
Painter
Maintenance Helper
Subtotal
2,645
Laboratory;
Chemist
Laboratory Technician
Subtotal
Site Work;
Laborer
Custodian
Subtotal
Total Labor Requirements
600
1,700
10,355
Number of
employees*
0.3
3.0
1.6
0.4
1.0
6.3
Date 11/22/78
Suggested
staffing
Number of
employees
1
1.5
0.5
0.5
0.5
* Man-hours divided by level of utilization (1656 hrs/yr)
B-6
-------
1
OPERATOR I (1.5)
AUTO EQUIPMENT
OPERATOR (0.5)
OPERATOR II (1)
1
MAINTENANCE MECH. I (1)
MAINTENANCE HELPER (0.5)
LABORER (1)
LAB TECH (0.5)
Figure B-2. Example No. 2 - organization chart.
B-7
-------
TABLE B-5. EXAMPLE NO. 3 - 1 MGD, 21-FT FABRICATED MEDIA TRICKLING FILTER PLANT
Labor,
Functional Unit Unit Parameter Quantity hr/yr
Raw sewage pumping
Aerated grit removal
Primary sedimentation
Raw sludge pumping
21' fabricated media TF
Recycle pumping
Final sedimentation
Waste sludge pumping
Chlorination
Anaerobic digestion
Sludge drying beds
Administrative
Laboratory
Site work
Capacity/flow, mgd
Flow, mgd
Area, sq ft
Capacity/flow, gpm
Volume, cu ft
Capacity/flow, mgd
Area, sq ft
Capacity flow, gpm
Tons/yr
Volume, cu ft
Tons/yr
Capacity, mgd
# samples*/day
# days/yr
Site area, sq ft
3.5/1.0
1.0
1,670
100
103,600
5.5
1,820
50
7.7
15,000
92
1.0
2
100
200,000
1,050
900
630
150
450
1,050
660
110
450
1,150
170
500
TOTAL
9,570
* Samples of influent, effluent, trickling filter influent and effluent, final
effluent, digester.
B-8
-------
TABLE B-6. EXAMPLE NO. 3 - 1 MGD, 21-FT FABRICATED MEDIA TRICKLING FILTER
Estimated plant staffing complement
RBW
Project Example //3; 1 mgd Computed by
Fabricated Media Trickling Filter
Staff position
Administration & General;
Superintendent
Assistant Superintendent
Clerk Typist
Storekeeper
Subtotal
Estimated annual
payroll requirements
Man hours
500
Operation Labor;
Operations Supervisor
Shift Foreman
Operator II
Operator I
Automotive Equipment Operator
Subtotal 4,739
Maintenance Labor;
Maintenance Supervisor
Mechanical Maintenance Foreman
Maintenance Mechanic II
Maintenance Mechanic I
Electrician II
Electrician I
Painter
Maintenance Helper
Subtotal
2,031
Laboratory;
Chemist
Laboratory Technician
Subtotal
Site Work;
Laborer
Custodian
Subtotal
Total Labor Requirements
600
1,700
9,570
Number of
employees*
0.3
2.9
1.2
0.4
1.0
5.8
Date 11/22/78
Suggested
staffing
Number of
employees
* Man-hours divided by level of utilization (1656 hrs/yr)
B-9
-------
OPERATOR II (1)
OPERATOR 1
(2)
MAINTENANCE HELPER (1)
LABORER (1)
LAB TECH (1)
Figure B-3. Example No. 3 - organization chart.
B-10
-------
Example No. 4 - The fourth plant is a 5 mgd rotating biological contactor
plant. It is simple to operate and does not contain complex machinery. A 65 to
35 ratio was used to determine the breakdown between operation and maintenance
personnel. The annual labor requirements and the job positions suggested are
shown in Tables B-7 and B-8, and an organizational chart in Figure B-4.
Example No. 5 - This example is a 10 mgd rock media trickling filter plant.
Operation is simple and there is no complex machinery. The annual labor
requirements, a suggested staffing guide and an organizational chart are shown on
Tables B-9 and B-10 and Figure B-5.
Example No. 6 - This plant is a standard 10 mgd air activated sludge plant
including sludge digestion and dewatering. Operation is more complicated and the
process is subject to upset. Maintenance is also more demanding due to the addi-
tional equipment required. Annual labor requirements and the suggested staffing
level are as shown on Tables B-ll and B-12, and the organizational structure is
shown in Figure B-6.
B-ll
-------
TABLE B-7. EXAMPLE NO. 4 - 5 MGD ROTATING BIOLOGICAL CONTACTOR
Unit
Raw sewage pumping
Aerated grit removal
Primary sedimentation
Raw sludge pumping
Rotating media TF
Final sedimentation
Waste sludge pumping
Chlorination
Anaerobic digestion
Sludge pumping
Vacuum filtration
Sludge hauling
Administrative
Laboratory
Site work
TOTAL
Unit Parameter
Capacity/flow, mgd
Flow, mgd
Area, sq ft
Capacity/flow, gpm
Volume, cu ft
Area, sq ft
Capacity, flow, gpm
Tons/yr
Volume, cu ft
Capacity/flow, gpm
Tons/yr,
Area, sq ft
Volume, cu yd/yr
Capacity, mgd
# samples*/day
# days/yr
Site area, sq ft
Quantity
13.5/5.0
5.0
8,330
80
185,000
8,330
100
40
75,000
25
506
400
2,044
5.0
3
300
300,000
Labor ,
hr/yr
1,300
1,900
1,400
140
2,500
1,400
160
780
1,700
85
1,700
380
1,600
2,400
2,100
19,545
* Samples of influent, effluent, trickling effluent, digester, vacuum filter
B-12
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TABLE B-8. EXAMPLE NO. 4 - 5 MGD ROTATING BIOLOGICAL CONTRACTOR
Estimated plant staffing complement
RBW
Project Example #4; 5 mgd Computed by
Rotating Biological Contactor
Staff position
Administration & General;
Superintendent
Assistant Superintendent
Clerk Typist
Storekeeper
Subtotal
Estimated annual
payroll requirements
Man hours
1,600
Operation Labor;
Operations Supervisor
Shift Foreman
Operator II
Operator I
Automotive Equipment Operator
Subtotal 8,739
Maintenance Labor;
Maintenance Supervisor
Mechanical Maintenance Foreman
Maintenance Mechanic II
Maintenance Mechanic I
Electrician II
Electrician I
Painter
Maintenance Helper
Subtotal
4,706
Laboratory;
Chemist
Laboratory Technician
Subtotal
Site Work:
Laborer
Custodian
Subtotal
Total Labor Requirements
2,400
2.100
19,545
Number of
employees*
1.0
5.3
2.8
1.5
1.3
IVH^H^H^^~
11.9
Date 11/22/78
Suggested
staffing
Number of
employees
1.5
J
0.5
12
* Man-hours divided by level of utilization (1656 hrs/yr)
B-13
-------
I
I-1
^
SUPERINTENDENT
I OPERATOR II (1)
ELECTRICIAN II (1)
MAINTENANCE MECHANIC I (1)
OPERATOR I (3)
MAINTENANCE HELPER
LAB TECH (1.5)
LABORER (1)
CUSTODIAN (0.5)
AUTO EQUIPMENT
OPERATOR It)
Figure B-4. Example No. 4 - organization chart.
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TABLE B-9. EXAMPLE NO. 5-10 MGD ROCK MEDIA TRICKLING FILTER
Unit
Raw sewage pumping
Aerated grit removal
Primary sedimentation
Raw sludge pumping
8' rock media TF
Recycle pumping
Final sedimentation
Waste sludge pumping
Chlorination
Anaerobic digestion
Sludge pumping
Vacuum filtration
Sludge hauling
Administrative
Laboratory
Site work
TOTAL
Unit Parameter
Capacity/ flow, mgd
Flow, mgd
Area, sq ft
Capacity/flow, gpm
Volume, cu ft
Capacity/flow, mgd
Area, sq ft
Capacity flow, gpm
Tons/yr
Volume, cf
Capacity/ flow, gpm
Tons/yr, area
Area, sq ft
Volume, cu yd/yr
Capacity, mgd
# sample s*/day
# days/yr
Site area, sq ft
Quantity
25
10
16,700
100
1,412,000
50/50
16,700
150
77
150,000
50
1,012
200
4,088
10
4
300
300,000
Labor ,
hr/yr
1,700
3,000
2,100
160
2,500
2,500
2,100
160
1,100
2,200
110
2,600
500
3,000
3,300
2,800
29,830
* Samples of influent, trickling filter influent effluent, final effluent,
digester, vacuum filter
B-15
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TABLE B-10. EXAMPLE NO. 5-10 MGD ROCK MEDIA TRICKLING FILTER
Estimated plant staffing complement
RBW
Project Example //5; 10 mgd Computed by
Rock Media Trickling Filter
Staff position
Administration & General:
Superintendent
Assistant Superintendent
Clerk Typist
Storekeeper
Subtotal
Estimated annual
payroll requirements
Man hours
Number of
employees*
3,000
Operation Labor;
Operations Supervisor
Shift Foreman
Operator II
Operator I
Automotive Equipment Operator
Subtotal 13.474
Maintenance Labor;
Maintenance Supervisor
Mechanical Maintenance Foreman
Maintenance Mechanic II
Maintenance Mechanic I
Electrician II
Electrician I
Painter
Maintenance Helper
Subtotal
7,246
Laboratory;
1.8
8.1
4.4
* Man-hours divided by level of utilization (1656 hrs/yr)
Date 11/22/78
Suggested
staffing
Number of
employees
0.5
0.5
1
1.5
1
Chemist
Laboratory Technician
Subtotal 3,300 2.0
Site Work:
Laborer
Custodian
Subtotal 2,800 1.7
Total Labor Requirements 29,830 18.0
1
1
1
0.5
18
B-16
-------
CO
[SUPERINTENDENT (i)|-
CLERK TYPIST (0.5)
STOREKEEPER (0.5)
SHIFT FOREMAN (3)
MAINTENANCE MECHANIC II
(D
OPERATOR I (4)
AUTO EQUIPMENT
OPERATOR (1)
1
ELECTRICIAN II (1)
MAINTENANCE MECHANIC I
(1.5)
CHEMIST (1)
LAB TECH (1)
LABORER (1)
CUSTODIAN (0.5)
MAINTENANCE HELPER (1)
Figure B-5. Example No. 5 - organization chart.
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TABLE B-ll. EXAMPLE NO. 6-10 MGD ACTIVATED SLUDGE PLANT
Unit
Unit Parameter
Quantity
Labor,
hr/yr
Raw sewage pumping
Aerated grit removal
Primary sedimentation
Raw sludge pumping
Aeration, including
aerobic digester
Return pumping
Final sedimentation
Waste sludge pumping
Chlorination
Anaerobic digestion
Flotation thickener
Sludge holding tank
Sludge pumping
Vacuum filtration
Administrative
Laboratory
Site work
Capacity/flow, mgd
Flow, mgd
Area, sq ft
Capacity/flow, gpm
cfm
Capacity/flow, mgd
Area, sq ft
Capacity, gpm
Tons/yr
Volume, cu ft
Area, sq ft
Volume, cu ft
Capacity/flow, gpm
Tons/yr,
Area, sq ft
Capacity, mgd
# samples*/day
# days/yr
Site area, sq ft
25/10
10
16,700
50
16,450
4,830/3,500
20,845
240
77
130,000
110
37,000
40
1,675
153
10
4
300
400,000
1,700
3,000
2,100
120
5,500
700
2,300
200
1,100
2,000
500
1,200
100
3,200
3,000
3,300
2,800
TOTAL
32,820
* Samples of influent, effluent, return activated sludge, digester, thickener,
vacuum filters.
B-18
-------
TABLE B-12. EXAMPLE NO. 6-10 MGD ACTIVATED SLUDGE PLANT
Project Example //6; 10 mgd
Activated Sludge
Staff position
Administration & General;
Superintendent
Assistant Superintendent
Clerk Typist
Storekeeper
Subtotal
Estimated plant staffing complement
Computed by RBW
Estimated annual
payroll requirements
Man hours
Number of
employees*
3,000
Operation Labor;
Operations Supervisor
Shift Foreman
Operator II
Operator I
Automotive Equipment Operator
Subtotal 14,239
Maintenance Labor;
Maintenance Supervisor
Mechanical Maintenance Foreman
Maintenance Mechanic II
Maintenance Mechanic I
Electrician II
Electrician I
Painter
Maintenance Helper
Subtotal
9,493
Laboratory;
1.8
8.6
5.7
* Man-hours divided by level of utilization (1656 hrs/yr)
Date 11/22/78
Suggested
staffing
Number of
employees
JL
0.5
0.5
4.5
1
2.0
Chemist
Laboratory Technician
Subtotal 3.300
Site Work:
Laborer
Custodian
Subtotal 2,800
Total Labor Requirements 32,832
2.0
1.7
19.8
1
1
1
0.5
20
B-19
-------
ffl
t
to
o
SUPERINTENDENT
CLERK TYPIST (0.5)
STORE KEEPER (0,5)
SHIFT FOREMAN (3)
MECHANICAL MAINTENANCE
FOREMAN (1)
ELECTRICIAN II (1)
OPERATOR I (4.5)
MAINTENANCE MECHANIC I
(2)
AUTO EQUIPMENT
OPERATOR U)
CHEMIST (1)
LAB TECH (1)
LABORER (1)
CUSTODIAN (0.5)
MAINTENANCE HELPER (2)
Figure B-6. Example No. 6 - organization charts
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