United States
Environmental PtOtecbon
Agency
' Office of Water
Washington. DC 20460
October 1987
&EPA
Developing An Outreach
Program For Small
Communities
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DEVELOPING AN OUTREACH
PROGRAM
FOR
SMALL
COMMUNITIES
October, 1987
Prepared by
Rural Community Assistance Corporation
Sacramento, California
For
Municipal Facilities Division
Office of Municipal Pollution Control
U.S. Environmental Protection Agency
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Acknowledgments
This report has been prepared by the Rural Community Assistance Corporation (RCAQ
under a grant from the U.S. Environmental Protection Agency. James Pagan, JwT Associates,
collaborated extensively with RCAC on this project.
It was made possible only through the cooperation and preseverance of many individuals.
Richard Dreher and William French provided their expertise for the development of this
report. A note of thanks is extended to the individuals that provided input about their
existing outreach programs, especially Fred Esmond, Tom Feeley, Don Hassall, Andy Jordan,
Karen Mand, Diane Perley, David Pilliod, Sharon Rollings and Jane Shautz. Sarah Chancy
summarized their input. The peer reviewers for their invaluable comments on che final
draft. A special note of thanks to Nicole Rowell, who produced it.
Finally, we wish to thank John Flowers and Don Niehus, U.S. EPA Office of Municipal
pollution Control's Municipal Facilities Division. Without their direction and guidance, this
project would not have been possible.
Elizabeth Ytell
Rural Community Assistance Corporation
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Table of Contents
CHAPTER I. INTRODUCTION 1
Purpose 1
Background 2
Overview of Outreach 3
CHAPTER H. GETTING STARTED 6
Introduction 6
Organize the Team 6
Assess the Problems Facing Small Communities 8
Survey the Available Resources 12
Assess Constraints to Developing and Implementing the Program 14
Establish Goals and Framework for Outreach 15
CHAPTER m. EVALUATING AND SELECTING OPTIONS 16
Introduction 16
Develop Activities to Solve the Problem 17
Identifying Gaps in Existing Resources 18
Compare Organizational Strategies 18
Select Framework and Components of the Outreach Program 22
CHAPTER IV. IMPLEMENTING AN OUTREACH PROGRAM 23
Introduction 23
Select a Work Group for Implementing the Program 23
Develop a Realistic Implementation Plan 24
Work Out the Program Details 25
Sell the Program 26
CHAPTER V. MEASURING AND EVALUATING THE OUTREACH PROGRAMS'
SUCCESS -. 30
Introduction 30
Incorporate Evaluation into the Planning Phase 31
Document the Effectiveness of an Assistance Program 31
Suggestions for Evaluating Outreach 31
Incorporate Results into Program Improvements 33
CHAPTER VI. CASE STUDIES 35
Introduction 35
Blue Grass Area Development District, Inc 36
Colorado Environmental Training Center 39
Municipal Technical Advisory Service 43
New York State Self-Help Support System 47
Ohio State Cooperative Extension Service 51
Rural Community Assistance Programs 54
CHAPTER VH. RESOURCES FOR OUTREACH 58
Introduction 58
Contacts and Resources for Outreach 58
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Table of Tables
Table 1-Summary of Local Wastewater Problems and Causes 10
Table 2-Summary of Outreach Programs and Activities 19
Table 3-Matrix for Selecting Types of Outreach Activities 29
Table 4-Selecting Measures for Success 32
Table 5-Milestone System 34
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CHAPTER I
INTRODUCTION
Overview
Small Communities face many difficulties with development
and operation ofwastewater treatment systems and this
continues to present challenges to state government. This
publication is designed to provide state agencies with a
framework for developing an outreach program to assist small
communities. It includes suggestions for planning and imple-
menting a program as well as examples of selected outreach
programs currently working with small communities.
Purpose
As part of EPA's efforts to assist small communities, the Agency has engaged in numerous
discussions with state agencies and organizations that provide assistance to small communi-
ties. Although some states are actively assisting small communities, EPA is suggesting that
states formalize existing activities and integrate them more fully into their overall agency
goals and objectives. Those states that have not begun activities to assist these communities
are being encouraged to establish programs to help them meet the water quality goals of
the Clean Water Act. This publication presents a process for developing an outreach
program which includes:
o Assessing and ranking system problems;
o Determining program options;
o Implementing program recommendations.
The information in this publication is based on discussions with twenty-one state agencies
and organizations currently providing some type of assistance to small communities. It
illustrates the potential that outreach has for improving the financing, development,
operations and management of small wastewater treatment utilities. While these existing
programs differ in how they are organized and the kinds of assistance they provide, each has
been successful in helping small communities.
The primary audience for this publication is state agency staff and policy-makers. It offers
them information on how to develop an outreach program and a number of resources to
contact in conjunction with beginning this process. Although particular emphasis is placed
on assisting small wastewater treatment plants, states are encouraged to combine their
efforts with existing or future assistance programs for small water systems. Typically, the
problems communities experience with managing and operating their wastewater systems
are similar, if not identical, to those associated with water systems. It should be noted that
cooperative efforts within EPA's Offices of Drinking Water xnd Municipal Pollution Control
are underway and that the agency will continue to stress the importance of coordinating
outreach and assistance for both water and wastewater systems.
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Background
Problems Facing Small Utilities
According to EPA, approximately 14,000 small communities with wastewater facilities are
experiencing significant problems. Of these, 7,000 need to make improvements in the
operation and maintenance of their facilities, while 3.500 are experiencing threats to public
health. Moreover, 3,000 of these communities face problems which may require construc-
tion or major repairs to their treatment systems. Most of these problems result from a lack
of local financial, technical and management. Many communities could avoid costly
construction projects through improving their management skills, more adequate financing,
and better system operations and maintenance.
Because of the economic conditions in rural areas, many communities have difficulty
financing wastewater treatment improvements. Wastewater treatment systems are expensive
and may be a community's largest capital improvement project It is difficult to spread
these costs among a limited number of households. Often, they find it difficult to secure
private financing and there is stiff competition for the limited grant funding. They may not
be familiar with available loan/grant programs or, moreover, know that they might be
eligible for them. They may not have the expertise to put together a fundable application.
Some funding sources require extensive documentation of the problem and without an
understanding of how to prepare this information, communities may give up before even
getting started.
Those communities with existing systems often fail to set adequate user charge rates to
recover the costs of operation. Also, operation problems result from not having qualified
staff available to run these systems-in pan due to operators leaving for higher paying, more
challenging positions. Finally, the management of small systems is affected by poor
communication and conflicts that sometimes occur at the local level.
Goals of the Clean Water Act
Protecting public health and improving water quality are the major goals of the Clean Water
Act. Small communities often experience considerable difficulty in achieving these goals.
Communities may have problems coping with increased reporting requirements, public
notifications/education, monitoring and understanding technology and financing options.
As a result, EPA's commitment to helping small communities is growing. The Agency
supports outreach as a process for reaching local officials and as a way to begin addressing
problems they face. To this end, states should develop their expertise and capabilities in
this area. The Water Quality Act of 1987 authorizes up to one million dollars annually for
EPA's National Small Flows Clearinghouse at West Virginia University to expand assistance to
small communities. The Clearinghouse will become the central point of contact for accessing
and receiving information on small communities assistance. This information will be
available to agencies and organizations at the regional, state, and local levels.
With the re-authorization of the Clean Water Act comes the transition from the construction
grants program to state revolving loan funds (SRF). Federal grants to states will be used to
make loans to communities. As the states allocate more of their own resources to financing
construction of wastewater treatment systems, there is a greater need to protect monies that
have been loaned to communities. Smaller communities may experience difficulty repaying
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loans. This makes it even more important to provide assistance to strengthen the manage-
ment capabilities at the local level. States may want to assume the role of servicing loans to
communities, similar to the type of assistance that banks provide to their lenders.
Amendments to the Safe Drinking Water Act
The 1986 amendments to the Safe Drinking Water Act reflect the importance Congress has
placed on solving the problems of small communities. Every public water supply must
comply with the Primary Drinking Water Regulations. The amendments also require states
to develop programs for protecting areas around wells supplying drinking water. States
have to develop wellhead protection programs that include defining state and local
government responsibilities to protect groundwater. Technical assistance must be incorpo-
rated into state wellhead protection plans. An EPA lists identifies 1,700 small water systems
that are currently out of compliance with the Safe Drinking Water Act. This represents a
significant challenge to state water resource agencies. EPA is asking state water pollution
control agencies, health departments and allied state offices to coordinate outreach for
wastewater systems with efforts to help small water systems. Joint programs for helping
communities are encouraged.
Overview of Outreach
Outreach is a broad term used to define the process for establishing and maintaining
ongoing communication between the state and local levels. While the priority is on reaching
small, rural communities, the ultimate goals of outreach are to protect water quality and
public health, and maintain a sound investment in publicly-owned treatment facilities.
Outreach includes coordinated efforts to improve awareness of wastewater problems and
alternatives for addressing them.
The objective of outreach is to motivate small communities to meet municipal wastewater
treatment requirements through low cost system design, solutions that don't require
construction, and improved operations and maintenance. This means helping local officials
obtain resources and information to make these improvements. A variety of activities can be
undertaken, including: training, education, information transfer, operations, management
and financing assistance.
The outreach program may have as many as four components:
o Assistance includes direct support to communities with problem identification,
financing, engineering reviews or other aspects of utility operations and management.
It is conducted on-site, often by a circuit rider who provides resources and informa-
tion for the community. Other kinds of assistance may include acting as representa-
tives of local officials with funding agencies, regulatory agencies, and citizens at public
hearings. Circuit riders also help communities complete funding applications, compli-
ance documents and project reports.
o Training/Education includes formal or informal instruction for local officials, plant
staff, and/or the public. Training consists of educating groups of individuals through
conferences, seminars and workshops. Education includes instruction in classroom
settings through correspondence courses, demonstrations of in-plant operations or
laboratory procedures.
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o Information Transfer includes the distribution of information and materials as well
as the use of audiovisual materials to help local officials and the public develop a
greater understanding of wastewater system design, financing, operations, and
management issues. Publications such as brochures, reference guides, and "how to*
materials are used to provide communities with an awareness of resources they can
use. Universities, colleges, and research institutions also perform computer searches
and distribute bibliographies of selected water and wastewater topics.
o Follow-up includes communication with small communities after they have been
given assistance, attended training sessions or received information. Follow-up activi-
ties include on-site visits, making phone calls, conducting surveys or distribution of
additional information and resource materials. Continued contact with communities
encourages an on going dialogue between the state and local level.
The approach a state adopts may depend on: the priority a state places on assisting small
communities, the nature of the existing problems (cost recovery, poor maintenance),
available resources (funding, equipment, laboratory facilities), and staffing (availability,
expertise). An outreach program may evolve from one or more management and institu-
tional options. These are reviewed in detail in Chapter III.
Potential Target Audience for Outreach
Outreach programs have the potential for reaching a broad target group. However, elected
officials, management personnel and treatment plant staff should be given priority. Addi-
tional audiences that can benefit from outreach include the public, consulting engineers,
operator trainers, cooperative extension agents and public health officials.
The Challenge of Motivating Small Communities
The biggest challenge of outreach is identifying incentives that will motivate participation in
an outreach or assistance program. This issue needs to be addressed in the assessment
phase of the program's development. There may be communities with problems that don't
think they need help and aren't willing to commit their time. And, it is important to identify
ways to meet their needs. Also, local officials may feel threatened by attempts to help-firom
the "outside." Therefore, a certain level of trust and confidence have to be established from
the very beginning.
Outreach Involves Developing Partnerships at All Levels of Government
The individuals who were contacted for this project emphasized the need for cooperation
and coordination among government agencies and organizations. Communication at all
levels of government is crucial to the success of outreach.
The emphasis on outreach has to be on understanding local problems from the "local" point
of view. This is a common theme of programs like New York's Self Help Support System and
the agencies operating the Rural Community Assistance Program (RCAP). They approach
outreach by helping communities develop the capabilities to solve their own problems. This
involves solving local problems with a partnership approach between the local community
and the state built on communication and trust.
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Benefits of Outreach
Many small communities have problems complying with the National Pollution Discharge
Elimination System (NPDES) Permit Program as well as having other potential public health
concerns. Outreach creates an opportunity to prevent problems before enforcement actions
are necessary. Other benefits include the development of technically feasible treatment
systems that communities can afford, realistic user rates and improved operations and
maintenance. A formal outreach program makes it possible to help communities develop
the capabilities to evaluate, plan, finance, construct, operate, and manage their water and
wastewater treatment facilities.
Scope and Organization of Publication
This publication provides a framework for developing an outreach program or expanding an
existing state program. It discusses:
o Identifying and analyzing problems;
o Selecting possible solutions; and
o Implementing the solutions.
It includes a review of selected program options based on discussions with numerous state
agencies and organizations currently operating outreach programs for small communities.
Chapter VI includes a discussion of six specific outreach and assistance programs including:
Colorado's Environmental Training Center, Kentucky's Blue Grass Area Development
District, New York's Self Help Support System, Ohio State University's Cooperative
Extension Service Program for Small Communities, Rural Community Assistance Program
and the Tennessee Municipal Technical Advisory Service.
The last chapter provides a summary of other resources and programs that assist small
communities.
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CHAPTER II
GETTLNG STARTED
Overvietv
This chapter suggests some initial steps to be taken by states
developing a framework for evaluating and implementing an
outreach program.
Introduction
An outreach program needs to be designed within the framework of existing conditions. To
provide such a framework, states should first conduct an assessment of their needs, their
capabilities and their resources. This assessment will help develop the outreach program's
scope. To help ensure the success of the assessment process, an orderly approach should
be carried out, including the following steps:
o Organize the team;
o Assess die problems facing small communities;
o Determine awareness and willingness of small communities to solve their problems;
o Survey the available resources (e.g. financial resource, available expertise and informa-
tion);
o Assess constraints to developing and implementing the program; and
o Establish goals and framework for outreach.
The following sections describe the elements of each step, including features that may vary
from state-to-state. Case examples of how some states approached and conducted their
assessments are provided in Chapter VI.
Organize the Team
As the development of a state assistance program begins, a team should be organized to
conduct die assessment and make recommendations as to program needs and design.
In order to present a well-rounded program, many states have established a team of
members of the key agencies and interest groups to be affected by the program. The use of
a broad-based team approach can serve several functions during die assessment:
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o It provides a combination of experiences and expertise that establishes a consensus of
ideas. This helps to balance the assessment process as well as the ultimate design and
implementation of the outreach program.
o It develops a broad support base for the proposed outreach program that can
influence whether it is enacted. Team members may have political leverage within
their particular spheres of interest.
o It adds program validity and may enhance acceptability to the local
others who will participate in the program.
governments and
Team Members
The team should include representatives from the diverse groups involved in the outreach
program including:
o State agencies that will provide outreach;
o Other institutions and private organizations that have applicable experience and are
willing to provide outreach;
o Local communities or advocacy organizations which understand the needs of small
communities; and
o State legislature or policy level staff interested in small community programs.
While this broad representation offers many benefits, the group should not be so
cumbersome that it cannot work together or that it will prolong the development process.
One way to handle the size-problem is to organize a relatively small "study group" of 5 to 10
people within the larger organization. They can meet periodically with a larger 'advisory
group" to review progress and provide input. This advisory group can also help with the
initiation of the new program and might even serve as the foundation for the advisory board
once the program is underway.
To assist the team as it begins its work, members will conduct research, organize meetings,
etc.-or they may be able to delegate some of these activities to the staff of their own
organizations.
Roles and Responsibilities
The team will have a number of roles and responsibilities when developing the program,
including:
o Establishing the overall goals and objectives for outreach initiatives;
o Assessing, categorizing and ranking the problems of small communities;
o Establishing method for identifying problem communities;
o Identifying the institutional and legal constraints and developing strategies to over-
come them (at the state and local level);
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o Evaluating and selecting program options;
o Recommending the final scope of the program;
o Developing a strategy for successful implementation; and
o Establishing a monitoring and evaluation process.
Authority of the Team
When setting up on evaluation team or on advisory committee, specify their authority and
limits. For example, make it clear whether the task force has the authority to approve the
results of the study or whether they will provide recommendations. And if so, to whom they
report. For instance, will the results of the assessment and analysis be reported to the lead
agency, the legislature or the governor? This chain-of-command should be developed with
final program implementation in mind. How the program will be implemented and who the
primary movers are affects how the assessment team should be organized and authorized.
Assess the Problems Facing Small Communities
Once the team is formed and staffed, the second step in the assessment is to identify and
compile the types and magnitude of the problems facing small communities, and determine
which can be helped through outreach.
The information may be compiled through a variety of sources including:
o Needs surveys, diagnostic management review, reports, or operation and management
reviews from state and federal regulatory agencies;
o State and local health departments;
o Related state or federal programs, such as Farmers Home Administration;
o Community Development Block Grant agencies;
o Field-based outreach programs, such as Rural Community Assistance Programs and
regional planning agencies;
o Representatives of local communities, such as the state municipal league;
o Community financial data from the state's treasurer, audit or tax offices; and
o Cooperative extension services.
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Categorize and rank these problems according to their significance to the state's overall
water quality and public health program. For example, they may be categorized and ranked
order of their impact on noncompliance, water quality, public health, and/or public
in
nuisance.
Because solutions to the problems are likely to exceed the capabilities and resources of the
state, at least in the short-term, the program may have to target the most significant
problems first. Ranking problems helps the state deal with the trade-offs inherent in setting
up the outreach program.
Small community wastewater problems may have one or more causes that can be solved
through outreach and assistance. It is important to identify the underlying cause or me
problem before structuring an outreach program. For example, permit violations are a
noncompliance problem. The cause may be inadequate design, poor operation, inadequate
maintenance, or lack of funds. Table 1 is a matrix that helps summarize and identify the
underlying cause (s) to the wastewater problems of small communities.
Needs Assessment
The needs assessment allows the team to quantify the problems of small communities,
identify the underlying causes and identify the characteristics of the communities that may
affect the solutions that are ultimately chosen. Variables include:
o Types of communities:
• size . .
- type of treatment, age of facility, date of last upgrade wastewater load
- minor vs. major facility; on-site; non-discharging facilities
- demographic data (population, growth rate, development pattern, land use mix)
• economic data
o Types and magnitude of problems:
- permit violation, nature, duration
- water quality impact
- public health impacts
o Underlying causes:
- inadequate land use planning and controls which contribute to wastewater problems
- improper planning or design (too complex or expensive)
- faulty construction
- poor operation (operator turnover, lack of training, lack of personnel)
- inadequate maintenance
- poor management practices
- lack of financial resources
- limited technical resources
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Table l~Summary of Local Wastewater Problems and Causes
(Example)
Causes
Ranking
of
Problems
Noncompllance
Significant
Standards
Violations
Minor Standards
violations
Periodic Plant
Upsets
Reporting
Violations
Water Quality
Raw Discharges
Fish KJUs/
Contaminated
Shellfish Beds
Violation of
Scream
Standards
Public Health
Nonpoint Source
Pollution
Contaminated
Wells
Bacterial Scream
Violations
* =
IK 5 *
s , 5 i I * > y
W 3 8S ^ •• — 2 3 ^» C •••
S u • 0 • S«M ?• J5 S **
= = .£ If .a^tSjs^S^a:-
II a I . . i ! H 1 M 1 H U 1
;?fiiHljMi!ilal1iM
1 1 1 1 1 1 1 i i i 1 1 n 1 1 ! 1 1 1
1 I I I 1 1 I 1 1 i
J S
= s
1 2
£ M
5 15 1 -3 = -f
s 2 a a .2 j
^
10
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o Types of assistance needed:
• on-site technical assistance
• training
- improved communication among officials
- project management
- selection of low cost technologies
- construction financing
- grant management
• financial management
• improved operation and maintenance
- public education
o Distance between communities with compliance problems
The concerns and needs of the potential participants should also be identified during the
needs assessment to define the focus and scope of the program. The perception of
problems may vary among state officials and local managers and operators. Interviews,
surveys, or workshops with local community officials and interest groups can develop a
better understanding of the local needs, concerns and willingness to correct problems.
Using the background data, the team can begin to measure the magnitude of small systems
problems to evaluate-and develop or expand-a state outreach program. The team must
summarize:
o The possible number of systems needing help;
o Types of communities with outreach needs (grant vs. non-grant, permit compliance
status, size and economic condition);
o An estimate of the community needs; specifically;
- how many have wastewater problems?
- which problems exist?
o Willingness of communities to take action to solve problems; and
o The types and extent of assistance needed.
Determine Awareness and Willingness of Small Communities to Solve their
Problems
After the problems have been identified, it is necessary to determine state and local
awareness of them. For example, do state agency staff and key decision makers realize the
effect poor operations and management have on the regulatory compliance of wastewater
treatment systems? Do local officials understand that improper system management affects
the community's ability to provide adequate (compliant) service to their customers? An
assessment of the perception of these problems can be made through formal interviews or
informal discussions. It is also important to assess what the priority of small community
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outreach is. What is their willingness to commit resources to correct these problems? How
receptive are local officials to solving them? Without state and local commitment to solving
these problems, it is difficult, if not impossible to do so.
Survey the Available Resources
Once the community needs have been identified and quantified, the resources and
capabilities of the various federal, state, local and private organizations within the state to
solve them should be surveyed.
Organizational Capabilities
In most states, there are a number of organizations that provide, or could provide, outreach
and assistance to small communities. These programs usually evolve within a particular
agency. Often, an agency or organization providing assistance is not aware of related
programs in another agency. To support development of a comprehensive state-wide effort,
all of the existing programs and capabilities should be identified, including:
o Federal programs such as:
- Environmental Protection Agency
- Farmers Home Administration
• Economic Development Administration
- Community Development Block Grant (Department of Housing and Urban Develop-
ment)
o State programs such as:
- cooperative extension service
- water resources agencies
- state health agencies
- other state agencies working with local governments
- universities and community colleges
• environmental training centers (including EPA 104g programs)
o Local programs such as:
- local health departments
- municipal league
- county and township associations
• regional planning agencies
• community organizations/resources
o Field-based technical assistance programs such as:
- Appalachian Regional Commission
- National Environmental Training Association
- National Rural Water Association
- Rural Community Assistance Programs
• Tennessee Valley Authority
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o National associations and state affiliates such as:
- American Water Works Association
• National Association of Counties
- National Association of Regional Counties
• National Association of Towns and Townships
- National League of Cities
• National Rural Water Associates
• Water Pollution Control Federation
These resources should be surveyed to determine their current and potential capabilities
including:
o Activities (e.g. technical assistance, on-site advice, training, demonstrations);
o Staffing mix and skills;
o Information networks;
o Available materials (e.g. brochures and newsletters);
o Efforts made to keep local officials informed (e.g. information meetings, workshops,
'surveys, visits and telephone calls); and
o Previous outreach experiences and lessons learned.
Financial Resources
Existing and potential sources of funding that could be used to support an outreach
program should be identified. These might include:
o Redirecting existing resources (i.e. direct appropriations);
o Using EPA funds under the 106, 205(g), 2050), 104(g) programs, and Safe Drinking
Water Act monies;
o Incorporating funding into the state revolving loan fund program;
o Pooling resources with other agencies and organizations;
o In-kind service agreements;
o Matching funds; and
o Fines; fees (i.e. permits, reviews and inspections).
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Assess Constraints to Developing and Implementing the Program
In conducting the initial assessment, potential problems and constraints may be identified
thac affect the ability to implement an outreach program. These constraints may be either
organizational or institutional.
Organizational Constraints
While surveying existing resources, constraints may appear which limit the willingness or
ability of the agencies to participate in an outreach program such as:
o Existing work load;
o Inability or unwillingness to assume additional responsibilities;
o Budget constraints;
o Familiarity and linkages with other agencies providing outreach;
o Limiting policies and management perceptions about outreach and problems facing
small communities; and
o Unwillingness to attend evening or weekend meetings.
Institutional Constraints
In addition to limitations within agencies, there may be legal and institutional constraints
that must be identified. These constraints are particularly important to final program
implementation. Issues to be identified include:
o State constitutional restrictions;
o State statutes that affect program development;
o Inter-agency relationships and willingness to work together, and
o State legislature's lack of willingness to support assistance for small communities
These constraints may limit program development or present obstacles to be overcome. By
understanding program constraints, a state will be better able to establish an outreach
program both flexible and consistent with the existing conditions. It will also be better able
to develop a strategy for selling the program (See Chapter IV).
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Establish Goals and Framework for Outreach
This initial assessment identifies the framework within which a state outreach program is to
be developed. It includes an identification of community needs, the current state capabili-
ties and resources to provide assistance, and the constraints that will affect the program's
implementation.
Once the initial assessment has been completed, the team should establish the goals and
objectives of the outreach program. These goals should consider:
o Problems to be addressed, and their priorities;
o Target communities;
o Outreach to be provided; and
o The agency(ies) and organizations that will perform outreach activities.
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CHAPTER III
EVALUATING AND SELECTING OPTIONS
Overview
This chapter discusses a process for evaluating the types of
outreach and assistance activities and the different organiza-
tional strategies that have been used by other states to deliver
these services.
Introduction
This chapter will help states evaluate specific outreach and assistance options that best
incorporate the needs and resources of the state. These options can be analyzed in two
ways-by the types of services and information activities that can be provided and by terms
of the organizational strategy that can be used.
The type of outreach activities that a state needs will be determined largely by an assessment
of existing problems and capabilities (See Chapter II). For example, the types of services
most needed might include:
o Information dissemination;
o Hands-on technical assistance;
o Training;
o Trouble shooting; and
o Facility review.
States need to decide which of these activities are necessary and what their priorities should
be in developing the program.
In addition, organization of the outreach program and delivery mechanisms depends on the
existing resources and on the institutional constraints within the state (See Chapter II). A
number of strategies have been used successfully by other states including:
o Single agency;
o Inter-agency;
o Multiple agency;
o Outside organizations; and
o Contract services.
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The advantages and disadvantages of each strategy must be considered within the context of
the state's existing resources to select the one that is most appropriate. To evaluate these
options, several steps should be taken including:
o Identifying and ranking activities that will address the problems;
o Identifying gaps in existing resources;
o Comparing existing services in various programs; and
o Selecting the framework and components of the outreach and assistance program.
Each of these steps is summarized below.
Develop Activities to Solve the Problem
Services can generally be categorized according to:
o Information dissemination and education; and
o Technical assistance.
Within each of these categories however, there are a number of specific activities and
delivery mechanisms that can be used. For example, specific outreach activities include:
Information Dissemination
o Brochures, pamphlets
o Newsletters
o Fact sheets
o Articles and press releases
o Letters to local officials
o State seminars
o Speeches
o Local meetings.
o Case studies of local successes
Technical Assistance
o Identifying needs and goals
o Operations evaluations, troubleshooting
o Low cost technology options
o On-site training
o Engineering reviews
o Management diagnostics
o Referrals to other sources of help
o Conflict resolution
o Financial management reviews
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By understanding the problems identified in the assessment and their underlying causes,
specific outreach activities con be identified to solve them. For example, if the reason for
noncompliance was identified as poor operation, the assistance needed to correct this might
be some combination of operator training or on-site technical assistance.
By taking the results of the needs assessment from Chapter II, types of assistance can be
matched with each of the problem areas. This comparison can be arranged In a matrix
format similar to Table 1 (page 10). Using this format allows the state to identify the
essential activities of the outreach program at a glance. Based on the priority given a
particular problem, die activities of the outreach program can be ranked as well.
Identifying Gaps in Existing Resources
By comparing existing services to the available resources identified in the initial assessment
(See Chapter II). the state can see where there are gaps, or overlaps, in the existing outreach
programs. Again, it is easier to see these relationships if they are summarized in a matrix or
table format similar to Table 1. This helps identify where the program needs are and
determine the organizational structure of the program. For example, if all the components
exist but they are conducted by a number of state agencies, an inter-agency program may be
most appropriate.
Compare Organizational Strategies
As indicated in the previous step, whether the outreach activities currently exist and where
they exist may affect the choice of which organizational strategy to follow. Some strategies
are more appropriate to a particular state than others. For example, if hands-on technical
assistance is needed, a program relying on field-based staff may be more appropriate than
one that is centrally-based.
18
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Table 2-Summary of Outreach Programs and Activities
COMPONENTS OF OUTREACH
PROGRAM
Alaska
Village Safe Water Program
Arizona
biter Tnbal Coucil of Arizona, Inc.
National Environmental Training Association
California
California State University-Sacramento
Great Northern Corporation
Rural Community Facilities Technical
Assistance Program
Rural Development Assistance Program
State of California Programs
Colorado
Colorado Division of Local Governments
Environmental Training Center
National Environmental Health Association
Ohio
Environmental Quality Instructional Resource
Center
Ohio State University Cooperative Extension
Service
Oklahoma
National Rural Water Association
Kentucky
Blue Grass Area Development District, Inc.
Comptram
Kentucky Rural Water Association
Maine
New England Regional Wastewater Institute
New York
Self-Help Support System
Tennessee
Municipal Technical Advisory Service
Tennessee Valley Authority
Vermont
Financial Operations and Management
Evaluation Program
West Virginia
National Small Flows Clearinghouse
Regional
Rural Community Assistance Programs
TECHNICAL
ASSISTANCE
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19
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While the organization of the program may be affected by the types of problems to be
addressed and assistance to be provided, it will also be determined by other, more political,
factors. Criteria to consider include:
o The state's responsiveness to outreach needs and activities;
o Existing responsibilities, authorities and resources of agencies and organizations
within the state;
o Potential for conflict with other programs;
o Legal constraints;
o Political acceptability;
o Ability to implement quickly; and
o Financial resources.
Existing state programs have successfully used a number of organizational strategies to
support their outreach programs. The most common strategies include:
o In-house programs—based primarily within one agency;
o Inter-agency programs—carried out by several agencies through formal cooperative
agreements; may include public/private partnership;
o Multiple agency programs—based on an informal network of agencies or organiza-
tions within the state;
o State funded programs—based in quasi-governmental organizations but funded with
state or federal funds; and
o Contract services programs-carried out by independent national, regional or local
not-for-profit organizations.
Each of these approaches is highlighted below:
In-house Programs
Some states have developed their outreach program within one lead agency, such as the
California State Water Resources Control Board's Grantee Management Assistance Program.
This type of program is usually staffed within the central agency and its regional field offices
and funded from the agency's general budget.
These programs can offer a full range of outreach activities. Because they are central-
ly-based, they are well equipped to provide comprehensive training and educational
programs and information dissemination, but less suited to field-based activities.
When housed within the state's regulatory agency, this type of program is sometimes
perceived by local communities as an arm of enforcement and may therefore discourage
voluntary participation. Control and monitoring of the program tends to be better due to
operational accountability within one agency.
20
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Inter-agency Programs
Some states have developed outreach programs that rely on the cooperation and coordina-
tion of several state agencies. New York's Self Help Support Program includes three
agencies and a nonprofit organization. It is jointly sponsored by the departments of State,
Environmental Conservation, Health and the Rensselaerville Institute.
Staff and funding are provided by participating agencies and generally support the full range
of outreach programs. Regional field offices are used to undertake on-site activities.
This approach requires much closer coordination among the agencies to ensure that there
are no duplications or gaps in the outreach activities. Formal inter-agency agreements are
often developed to define the roles and responsibilities of the agencies.
Control and accountability are more difficult to maintain because of the number of agencies
involved but this strategy allows for a more diverse program drawing on a wider range of
expertise. In addition, it may avoid the territorial disputes that sometimes arise among
competing state agencies.
Multiple Agency Programs
Some state outreach programs have evolved through the efforts of several agencies, often
working independently. For example, in Colorado, the State Division of Local Government
offers financial management assistance to communities, the Colorado Environmental
Training Center is responsible for operator training and certification, the Colorado
Municipal League conducts workshops for local officials on wastewater planning and finance
and the local associations of governments provide training and technical assistance to small
communities.
Each program tends to be autonomous, with its own policies and procedures, staff and
budgets. Frequently there is little or no formal coordination among agencies although they
sometimes coordinate through an informal network.
These agencies offer very specific types of assistance without a comprehensive view towards
the needs of the state. Without coordination, these types of programs tend to have both
gaps and overlaps in outreach activities. There is also no centralized control and overview of
these various agencies. Accountability and monitoring of results is solely in-house.
Separately-Funded Programs
Some states have set up outreach programs in separate quasi-governmental agencies that are
funded directly with federal or state funds. For example, the Municipal Technical Advisory
Service (MTAS) was established and funded directly by the Tennessee Legislature.
In most respects, this strategy is similar to the in-house agency strategy, offering a range of
outreach activities through central office or field-based staff. The primary difference is in
the public perception of the program. Generally, its only mandate is outreach and, although
it may balance its program with other objectives such as enforcement, it maintains a "white
hat" image. Activities undertaken by local colleges, universities and cooperative extension
offices are generally well respected and trusted.
21
-------
Monitoring and control are somewhat more removed than with in-house programs, and are
generally accomplished through the budget review process.
Contract Services Programs
Some states rely on national, regional or local organizations to provide outreach assistance
to small communities. For example the California Department of Economic Development
provides funding to Rural Community Assistance Corporation (RCAQ to provide water and
wastewater outreach to small communities. These tend to be locally-oriented organizations
that provide hands-on technical assistance to communities. They are less suited to
broad-based information dissemination.
Because of their local nature and lack of regulatory mandate, these programs generally rely
on voluntary participation. They tend to be successful in developing local trust and
motivation.
Summary
These programs are often monitored and controlled through the annual reporting require-
ments built into the funding agreements.
These organizational approaches should be compared with local outreach needs and
existing resources to select the strategy or strategies appropriate to achieve the state's
outreach goals.
Select Framework and Components of the Outreach Program
This step summarizes the results of the previous analyses. It should include:
o A description of the types of services to be provided;
o A description of the delivery methods to be utilized; and
o The organizational structure to be used.
This framework provides the basis for developing the detailed outreach program discussed
in the next chapter.
22
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CHAPTER IV
IMPLEMENTING AN OUTREACH PROGRAM
Overview
this chapter suggests steps for developing and implementing
an outreach program. The steps for implementation were
developed through discussions with selected outreach and
assistance programs.
Introduction
Implementing an outreach program presents a difficult challenge. The key to getting
services to those who need them is making the assistance visible, accessible and useful. To
build support for-the program, an outreach program must be sold, not only at the outset,
but as an ongoing activity. Program support can result from meetings, mailings and other
public education efforts.
Having developed the framework for the outreach program, the next step is to develop the
program details and a plan for implementation. These steps include:
o Select a Work Group for Implementing the Program
o Develop a Realistic Implementation Plan
o Work Out the Program Details
o Sell the Program
Select a Work Group for Implementing the Program
At this point, it is time to designate a small work group with the responsibility for getting the
program underway. Establish a work group following the suggestions (that appear in
Chapter II) for organizing the assessment team. A well-rounded program will take shape if
the work group is made up of members of key agencies and organizations that will be
affected by the program. A state may want to select individuals that:
o Have the authority to make crucial decisions;
o Have experience in developing outreach programs;
o Possess management experience;
o Understand how to work with small communities; and
o Have a commitment to the concept of outreach.
23
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Several of the agencies contacted for this project were organized by one or two individuals
committed to starting a program. Great Northern Corporation (a Western Rural Community
Assistance Program field agency) was organized by three people interested in operating a
program for rural communities in Northern California. Ohio State's Cooperative Extension
Service program was developed and set up by one individual. The Tennessee Municipal
Technical Advisory Service's program was developed by a working group of three. There is
no magic number for the size of the group. Setting up a large program, however, may be
more work than one person can handle.
Develop a Realistic Implementation Plan
The implementation of a program requires the development of a realistic time line and
schedule of tasks. These factors should be taken into consideration: delays in the deci-
sion-making process, failure to reach agreement on key program decisions, availability of
start-up funding, and lags in the hiring process.
Use the Goals and Information Developed by the Assessment Team
The work group can use the goals and information developed by the assessment team
(discussed in Chapter II) as a framework for implementing the outreach program. The goals
for the program should reflect the problems to be addressed, communities that will be
targeted, and the type of outreach to be provided. The outreach program should also
address the state's objectives for wastewater improvement.
The work group should explore the best way for using existing and anticipated resources to
begin the program. Because funding may be limited, states may want to consider an option
that requires minimal funding. This option may include:
o Inter-agency agreements;
o Reprogramming resources; or
o Sliding scale fee-for-service for participating
communities.
Next, Determine What Can Realistically be Achieved
The work group may want to consider implementing the program in phases. This is
accomplished by reviewing the problems identified by the assessment team and determining
which ones should be given priority. These priorities should be developed in relation to the
goals for outreach. The work group should also consider what can be achieved with
existing funds, resources, and staff. Next, the group can decide on the phases of the
program. For example, an information and referral network component may be set up the
first year, an on-site assistance component the next.
The schedule for implementation should include:
o Tasks to be completed;
o Their order of completion;
24
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o How they will be accomplished;
o Dates for completion; and
o Who will be performing them.
Provide the Team with Implementation Updates
It is important to update individuals participating on the outreach team to keep the
momentum for the project alive. New York's Self Help Support System staff emphasizes the
need for ongoing communication. They hold frequent meetings with cabinet level officials
of state government to inform them about their project activities. They mentioned that
officials at this level of government were receptive to ideas that could address their
problems. Encouraging this dialogue helps keep interest in the New York program alive.
Work Out the Program Details
It is important to allow sufficient time to create a workable program. Implementation may
take anywhere from four months to a year. The following steps to implementation
represent tasks that may be assigned to specific members of the work group. They can be
earned out simultaneously.
Setting Up the Management Framework
This depends upon the program option selected by the state. The work group needs to
obtain the necessary approval for the framework of the program from the appropriate
authority or governing body. Next, the group will want to select the types of outreach
activities they will offer. Table 3 (on page 29) illustrates the types of activities that could be
included in the program. It also provides a listing of causes. The work group may want to
use this matrix or a similar method to determine their program activities.
Develop the Staffing Recommendations
After the management framework has been determined, the work group can generate the
staffing recommendations. The tasks included in this phase of implementation are:
o Design the organizational chart-Where will the program fit into the overall
organization of the agency? If outreach involves two or more agencies, develop a chart
illustrating the relationship among them; and a diagram depicting the channels of
communication and supervision.
o Create the staffing design—Examine existing positions and resources. Will there be
an outreach coordinator or program director? Will there be full or pan time staff?
Does the program use field-based staff? What will their relationship be to the central
office?
o Develop/modify the job descriptions-Determine the skills and qualifications
needed for each position. Obtain examples from other outreach programs.
25
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o Develop the salary schedule for positions-Integrate the salary schedule into the
existing agency or program requirements. Strive for competitive salaries to attract
qualified individuals.
o Begin the recruitment of staff-Recruit in-house, advertise through traditional
methods such as classified ads, and contact state and national professional organiza-
tions.
Develop the Operating Budget
Using the information developed from the staffing recommendations, the work group can
develop the operating budget for the outreach program. These tasks include:
o Identify existing and anticipated finanHal resources
- grants: EPA 104(g)(l), 106, 2050) programs; other federal agencies
- reprogram existing funds
• legislative appropriations
- fee-for-service
• special tax
• private contributions (e.g. foundations)
- combining resources from other state agencies or organizations
o Determine budget allocations for
• personnel
- travel
- equipment
• resource materials
- space/operating costs
-training
o Monitor efforts to obtain long-term financial support
- Have complications developed?
- Is it necessary to change strategies to gain support?
- Consult with task force members.
Sell the Program
It is important to publicize outreach. From the beginning, staff time and funding should be
available to market the outreach program. State agency staff, policy makers, funding
sources, and the communities targeted for assistance have to buy into the concepts of
outreach and assistance. Again, this is an ongoing effort.
Many of the agencies contacted put considerable time and effort into setting the stage for
their programs. A lot of their energy went into developing an awareness of the needs of
small communities and ideas to solve them. States may want to consider using the needs
assessment phase of planning as an opportunity to gain support for outreach. Obtaining
input from individuals who can influence the decision-making process will help sell the
program.
26
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The state agencies and organizations contacted in conjunction with this report provided
their suggestions on getting support for outreach. These include:
Preparation During the Planning Phase
o Hold preliminary meetings with key agency staff, policy makers and local officials;
o Obtain input from policy level individuals concerning their perceptions of problems of
small communities;
o Ask for input on outreach strategies and program(s) that should be developed;
o Hold a round-table or forum on outreach;
o Maintain ongoing communication during all phases of planning;
o Talk with existing outreach providers in your state and from others;
o Identify potential hurdles that could delay the development and implementation of a
program;
o Develop a back up plan to achieve the desired outcomes;
o Work with groups and organizations that have established reputations as outreach
providers;
o Survey state agencies, organizations and local officials determine problems and
potential solutions;
o Use the media to publicize outreach; and
o Develop case studies on "real world" problems that have been solved; emphasizing the
potential of outreach.
Gain Acceptance for Outreach at the State Level
Develop credibility in the eyes of the legislature and other state agencies and organizations
to ensure their continued support and participation. Work with:
o Key state legislators
o State local government program
o State health department
o Community Development Block Grant program
o Farmers Home Administration
o Cooperative extension services
o State water resources program
27
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o State officials, Association of State and Interstate Water Pollution Control Administra-
tors (ASIWPCA), Water Pollution Control Federation, American Water Works Associa-
tion, municipal league, association of counties, special district associations, and other
local government organizations
Gaining Acceptance for Outreach at the Local Level
Local officials may believe that no one else understands their problems. They may also be
skeptical of efforts initiated by state regulatory agencies. This manifests itself through
skepticism and a lack of trust.
It is necessary to identify opportunities to establish local support. Some suggestions
include:
o Using a needs assessment to initiate a dialogue about outreach;
o Identifying the problems local elected officials, treatment plant managers and
operators are experiencing; and
o Asking what would motivate them to participate in a program.
As part of its outreach program, Colorado's Division of Local Government makes routine
visits to communities and encourages frequent phone contact with outreach staff. New
York's Department of State held a series of regional workshops to promote the Self Help
Support system. This gave their outreach effort local visibility.
Getting the Word Out
Raising the awareness about outreach will generate interest in the program. Take advantage
of opportunities to:
o Speak at state associations and professional organization meetings;
o Develop and distribute brochures on the program;
o Prepare news releases-target small, local papers; and
o Meet with state legislative representatives
- discuss objectives of outreach, program activities, legislative and budget concerns;
- review availability of program resources to meet the needs of their constituents.
28
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Table 3~Matrix For Selecting Types of Outreach Activities
(Example)
Problems
Types of
Outreach
Technical
Assistance
Operations Audits
Review of Plans
Project Financing
& Management
Utility Manage-
ment (or
Operations &
Maintenance)
Hotline
Training
Utility
Management
Rate Setting
Operations &
Maintenance
Laboratory
Analysis
Education
Certification
Degrees
Information
Dissemination
Publications
Newsletters
Audiovisual
Resources
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29
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CHAPTER V
MEASURING AND EVALUATING THE OUTREACH
PROGRAM'S SUCCESS
Overview
Chapter V examines the Importance of evaluating the effective-
ness of outreach, provides suggestions for measuring the
program's success and demonstrates using the evaluation
process to improve outreach.
Introduction
Evaluating outreach is necessary to determine how effective the program has been. It
accomplishes two purposes:
o It provides a mechanism for obtaining feedback from participating communities; and
o Documents the results of the program.
Ongoing evaluation enables staff to incorporate comments into future activities. Program
results can also be presented to policy makers to develop continued support for the
program. The need for evaluation must be recognized at the outset of program design and
im plementation.
In compiling the information from organizations providing outreach, it was noted that few of
the organizations formally evaluate their outreach activities. Many outreach providers
believe that the benefits (of outreach) are difficult to quantify. Success may be determined
by asking local officials (that have participated in outreach programs) questions like, "what
would have happened without any help from the Self-Help Support System?" Both
quantitative and qualitative evaluation measures can be useful in reassessing the objectives
of the program and specific types of outreach.
The following sections include a discussion on how to:
o Incorporate evaluation into the planning phase;
o Document the effectiveness of an outreach program;
o Suggestions for evaluating outreach; and
o Incorporate results into program improvements.
30
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Incorporate Evaluation into the Planning Phase
From the onset, states should incorporate evaluation into planning their outreach programs.
This will provide a framework for gauging the success of the program. First, decide the
desired outcome of the outreach activities. Next, determine how the results will be
accomplished. Finally, identify improvements that can be used to measure the success of
the program.
Evaluation can also be used to set the parameters to influence decisions on funding
outreach. These individuals making these decisions will want to know what kind of return
they can expect for their investment. It will be useful to identify outcomes of the program in
relation to:
o The costs of operating an outreach program;
o The time it will take for the results of the program to pay off;
o The guidelines that are set for measuring improvements at the local level.
Document the Effectiveness of an Assistance Program
Evaluation and measurement are useful to document results of the program and to provide
a system of checks and balances for improving the ongoing program. There is a difference
between measurement and evaluation. Measurement pertains to assigning numbers to
events or items. Some examples of variables that can be used to measure outreach activities
are described in Table 4 (seepage 32). The challenge is to select the most appropriate item
to measure. Evaluation requires making judgements about solutions, methods or materials.
If outreach is being tried in a state for the first time, it may be difficult to establish local
credibility for the program. Both evaluation and measurement are necessary to ensure the
continued support for the program. Ongoing evaluation of an outreach program is the only
way to determine the effectiveness of the methods used to assist communities.
Suggestions for Evaluating Outreach
First, consider how the evaluation will be conducted. Will it include:
o Input from participants (tear-out evaluations in publications, evaluation forms from
seminars, questionnaires);
o Self evaluation; or
o An evaluation conducted by a neutral, third party?
Next, select the evaluation methods to be used. Examples include:
o Conducting interviews;
o Collecting and reporting data;
31
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o Developing historical data (case histories, success stories);
o Evaluation forms; and
o Pre and post tests.
Table 4-Selecting Measures for Success
The variables selected for measuring program effectiveness depend
upon how the information will be used. Typical measures include:
MEASURE
o Number of communities assisted
• limited assistance (phone calls, one-time site visits
to communities)
- direct assistance (intensive ongoing site visits)
o Number of communities brought into compliance
- total number of communities (verify numbers with
regulatory staff)
o Number of communities maintaining compliance
• develop documentation with regulatory and outreach
staff
o Identify improvements in utility operations and
management (by recording)
- Discharge characteristics
- Reduction in energy use
• Percentage of increased revenue collection
- Improved budgeting/record keeping
. Establishing management information or purchasing
system
o Number of persons trained
- number of individuals attending workshops, conferences,
or training sessions
o Number of new wastewater treatment systems constructed
• owners acceptance of facility
The actual program activities can also be used to assess the activity levels of the program
itself. Measures that are intended for internal use include:
o Number of training sessions;
o Number of site visits;
o Number of persons certified; and
32
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o Project results (e.g. cost savings from improved or revised facility plans; increased
compliance; increased population served).
Measure the Project Development Process
The development and construction community facilities projects may take as long as ten
years. The milestone system is used by the Rural Community Assistance Programs (RCAPs)
as a way to review a project's progress over long periods. This is done by dividing the
project into smaller steps-milestones. Percentages are assigned for each milestone so the
total adds up to 100%. The milestone percentage is multiplied by the number of
households to be served by the project. This figure is termed an equivalent connection unit
(ECU). The stages of the milestone system are shown on Table 5.
Incorporate Results into Program Improvements
By examining program successes and failures, ongoing changes can be made to improve the
overall program. Although evaluations have the potential to be subjective, feedback from
evaluations can also be used to:
o Identify and select more appropriate methods to provide specific outreach activities;
o Identify gaps in assistance; and
o Identify emerging issues and problems facing small communities.
33
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Table 5-Milestone System
Water/Wascewater Facility Development
Equivalent Units
Project Selection
.15
Ml
Completion: Agreement Between
RCAC and Community
Equivalent Units
Preliminary Plans
.25
M2
Completion: Acceptance of
Preliminary Engineering
Equivalent Units
Financing
25
M3
Completion: Financing Commit-
ment of 50% of Project Cost
Ml PnmarvActivities
TA Request
Determine Eligibility
Needs Assessment
Training for Problem solving
Sue Assessments
Preliminary Investigations
M2 Primary Actrvioes
Consultant Training
Selection of Consultants
Operating Entity
Public Hearings
Predevelopment Application
Preliminary Engineering
M3 Primary Activities
Financial Training
Imcal Finanong Plan
Financing Applications
Sign-up Orientation
Financing Revisions
Preliminary Engineering Revisions
Equivalent Units
Final Plans
.10
M4
Completion: Nonce to Advertise
for Bids
Equivalent Units
Construction
.05
M5
Completion: Owners'Acceptance
of Facility
Equivalent Units 20
Operation & Management M6
Completion: Documents for
O & M Assistance Provided
M4 Primary Activities
Financing Completion
Final Plans and Speoficioons
Meeting Funding Conditions
Easements. Right-of-way
Complete User Sign-up
Approval: Final Plans
M5 Primary Activities
Bid Advertising
Preconstruction Conference
Loan Closing
Construction
Resident Inspection
Final Inspection
M6 Primary Activities
O & M Troubleshooting
Management Assistance
Rate Structure Analysis
Financial Management Assistance
Operator Training Assistance
34
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CHAPTER VI
CASE STUDIES
Overview
This chapter provides examples of selected outreach programs.
The case studies include program description, background/his-
tory, institutional issues, measures of success, potential for
replication and similar programs. A brief summary about a
community the organization has assisted is included at the
end of each case study.
Introduction
Twenty-one (21) state agencies and organizations providing outreach and assistance to small
communities were contacted as pan of this project. Most of the programs contacted assist
communities with populations under 10,000. All of the programs are designed to address
problems with wastewater systems and many also target small water systems. Most of these
programs offer on-site assistance including help with: compliance problems, project
financing, financial management and rate setting, engineering design review and construc-
tion management. These programs are summarized below:
o Organizations that develop and distribute publications and audiovisual materials on
treatment plant design, construction, operations and management such as:
- National Small Flows Clearinghouse at West Virginia University;
- Environmental Quality/Instructional Research Center at Ohio State University;
- National Environmental Training Association; and
- Office of Water Programs at California State University at Sacramento.
Please refer to Table 2 (page 19) for information on other programs that disseminate
information.
o Environmental Training Centers operate in over thirty states. Education and treatment
plant operator certification have been their primary focus. Recently, these programs
have placed even greater emphasis on management assistance. None of the outreach
activities carried out by these organizations are tied to the regulatory functions. Most
of the programs, however, help communities correct their compliance problems.
o Examples of programs developed in association with universities and community
colleges include:
- Colorado Environmental Training Center (Red Rocks Community College);
- Tennessee Municipal Technical Advisory Service (University of Tennessee); and
- Wastewater Treatment Alternatives Program (Ohio State University's Cooperative
Extension Service).
35
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o Direct assistance with communities is a. part of most outreach programs, like:
- Great iS'orthem Corporation;
- New York's Self-Help Support System;
. Inter Tribal Council of Arizona, Inc.; and
- Rural Community Assistance Programs (RCAPs).
Six selected programs ore reviewed in this chapter and summaries of other programs appear
in Chapter VII. Several points concerning the programs currently providing outreach are
summarized below.
Blue Grass Area Development District, Inc.
Lexington, Kentucky
Program Description
Purpose
Blue Gross Area Development District (ADD) is one of fifteen regional planning and program
development agencies under Kentucky's Department of Local Government. The overall goal
for the ADDs is to help local units of government carry out federal, state and local programs.
Blue Grass Area Development District serves 17 counties, 31 cities, and 1 metropolitan
government.
Blue Grass's water and wastewater program is housed in their department of community
and economic development. The goals of the program are to implement its regional sewer
and water plan, help communities implement state and federal initiatives, respond to local
needs, and improve day-to-day management and operations of community water and
wastewater treatment systems.
Activities
Blue Grass is involved in a variety of activities designed to assist small communities. The
water and wastewater staff provide training and technical assistance to local officials on
planning, management and financing. They also conduct four workshops every year for
engineers, mayors, and public works directors.
The staff is involved in troubleshooting, helping communities identify problems and
assisting them in developing appropriate solutions.
More recently, Blue Grass ADD has been helping cities obtain public funding for water and
sewer projects through a variety of sources such as CDBG grants and EPA construction
grants. They also offer training for local officials on loan/grant applications for funding and
grants management. In some instances, Blue Grass administers grant programs for commu-
nities that do not have the necessary personnel or expertise. Blue Grass also provides help
with water and sewer projects in six mountain counties with funding from the Appalachian
Regional Commission. Blue Grass also publishes a monthly newsletter for the 17 counties in
their service area and prepares audiovisual materials for seminars and training.
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Approach
The water and wastewater staff at Blue Grass ADD respond to local needs by troubleshoot-
ing, problem solving, and providing technical assistance and training. The staff has made it a
priority to work with officials, from communities with populations under 5,000. The
objective is to build their management capabilities. As part of their assistance to communi-
ties, Blue Grass staff maintain an ongoing dialogue with communities. The staff spends
approximately 40% of its time in the field.
Additionally, the program goals and activities are dynamic, adapting and responding to the
changing needs at the local and* state level.
Staffing
Three of the thirty-five employees at Blue Grass ADD work in the water and wastewater
division. One is a professional sanitary engineer who began the program. The second is a
circuit rider/roving city manager. The third individual performs the division's administrative
tasks.
Funding
Blue Grass receives part of their funding from the State of Kentucky. These funds are
matched by money from the Appalachian Regional Commission and the Economic Develop-
ment Administration. Blue Grass ADD also obtains grants for specific projects, as well as
local service contracts for administering grants. In addition, local governments in Blue
Grass's service area pay an annual fee of 16 cents per capita-this is equal to $75,000 in
operating funds for the entire organization.
Background/History
How the Program Began
Kentucky's Area Development Districts were created to facilitate the implementation of
federal and state programs at the local level. Since Kentucky has 120 counties, and over 400
municipalities, the state wanted to regionalize the responsibility for implementing these
programs. In 1967, the Governor signed an executive order establishing the boundaries of
the ADD's, and in 1972 the state legislature gave the ADD's the status of a public body and
funding to carry out their responsibilities. Blue Grass opened its doors in early 1972.
Key Program Players
When Blue Grass began its water and sewer program, one of the staff members surveyed the
needs and issues in the 17 county area. Because the ADD's are state-mandated and funded,
there were no financial or political obstacles to inhibit program start-up. Within a few years,
the program gained visibility and credibility at both the local and state level. The Kentucky
Division of Water has been very supportive with local project activities.
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Institutional Issues
Kentucky's Area Development Districts are instruments of local governments with the legal
status analogous to special districts. This strengthens the position of the Blue Grass ADD in
dealing with state and federal agencies, and separates them from non-profit groups. All
ADD's are non-regulatory. And, therefore, are not perceived as pan of the state bureaucra-
cy. Kentucky's Department of Local Government coordinates the funding and work efforts
of all 15 ADD's, and administers regulations as to the composition of the boards.
Blue Grass ADD has two Boards. A 73-member Board of Directors, made up mostly of
locally-elected officials, conducts quarterly meetings to: determine the overall strategies,
policies and programs to the District, conduct the affairs of the District in an orderly
manner, coordinate the work of the District Advisory Committees, and represent the District
to sute and federal agencies. A seventeen-member Executive Board, elected from the
Board of Directors, meets nine times a year to oversee the ADD's programs. The ADD is
served by several advisory committees made up of about 200 lay persons representing a
broad range of interests.
Evaluation/Measures Of Success
Communities Assisted
Blue Grass works all the communities in its 17 county service area. It works with
communities with less than 3,000 people on strengthening management capabilities.
How the Organization Measures Effectiveness of Outreach
The water and wastewater program at Blue Grass ADD does not have a formal evaluation
process for its programs. However, staff periodically review its efforts in obtaining funding
applications for water or wastewater projects, as well as its problem solving and technical
assistance capabilities. Blue Grass ADD has a high rate of success in obtaining funding for
local projects. Project staff provide an extensive analysis of funding strategies for construc-
tion projects in an effort to achieve the most cost-effective solution (for the community).
The ADD staff also assess the effectiveness of its efforts by identifying and comparing
improvements communities make-resulting from their assistance. For example, is the
treatment plant recovering its costs?
Potential For Transfer
In 1984, U.S. EPA awarded a grant to Blue Grass ADD to present its program at meetings in
various states. The workshops were designed to communicate the potential a regional
planning agency has for for providing assistance to small communities. Blue Grass staff
believe that states interested in dais type of program will need the support of their
legislature.
Blue Grass ADD staff believe similar programs can work if agencies hire qualified staff.
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Success Story
Berry, Kentucky
The city of Berry, Kentucky, did not have a community-wide water system. The people
either hauled in water or used rainwater runnoff stored in cisterns. The mayor contacted
Blue Grass about helping them obtain a new system of their own. Because Berry's
population is just under 250, the Blue Grass ADD staff suggested that Berry purchase water
from the neighboring community of Cynthiana, population 6,000. Blue Grass determined
that this option would be far less expensive than developing an entirely new separate
system. However, there was a history of non-cooperation between the two cities. Because
of this, Blue Grass approached Cynthiana on Berry's behalf to explore the possibility of an
agreement between the two cities. Cynthiana officials enthusiastically agreed to work with
the city of Berry on a water project.
Farmers Home Administration approved a grant and loan to finance the project. But, the
bids came in $30,000 over budget, so the city and its engineer decided to lower project
costs by decreasing the size of the pipes, and eliminating the fire hydrants from the plan.
Blue Grass advised against these reductions, as the revised project would not meet the
community's fire protection needs. They suggested instead, that the county government be
contacted for the money needed to construct the system as designed. Berry received the
extra $30,000 from the county. Within a year after the system's completion, Berry used it to
extinguish a large fire.
Colorado Environmental Training Center
Red Rocks Community College
Golden, Colorado
Program Description
Purpose
The Colorado Environmental Training Center (COETC) is a state-wide EPA 109(b) training
center for water and wastewater operators (i.e. training facility constructed in pan with EPA
grant funds). The goals of COETC are to protect the environment and public health by
building the capabilities of water and wastewater treatment plant personnel in operating and
managing their systems.
Activities
COETC offers three major programs at the Community College:
o Undergraduate Associate Degree in "water-Wastewater Technology
This program is designed to prepare students for employment in jobs related to
water-wastewater treatment. Emphasis is placed on water-wastewater plant opera-
tions, problems and cost analysis.
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o Operator Training and Certification
COETC operates the state's operator training and continuing education program. The
program combines classroom instruction laboratory and field work to provide
participants an experience-based understanding of all aspects of water-wastewater
treatment operations and management. COETC also conducts workshops on utility
operations and management at locations throughout the state. Some of the workshop
topics include cross connection and backflow prevention, pump operation and
maintenance and utility management.
o On-Site Operator Training
Under EPA's 104(g) grant program, COETC offers on-site training and technical
assistance to operators of wastewater utilities with flows under 1 million gallons per
day (MGD) or less experiencing operation problems. These plants have not met their
National Pollution Discharge Elimination System (NPDES) compliance requirements.
Communities participating in the program are selected by the Department of Health in
conjunction with COETC. They work primarily with staff of plants that have not met
compliance.
This year, COETC has been developing a leadership and management pilot for small
communities. The purpose of the project is to prepare a curriculum for developing the
leadership skills of local officials in small communities. Next year, COETC plans to pilot test
the materials with the city council of Wiggins, Colorado. This project is being funded
through the Rural Community Assistance Corporation's Western RCAP.
Approach
Staff take their expertise directly to the community. The goal of the outreach component of
COETC's program is to develop affordable solutions to wastewater problems in small
communities. The program is based on a "hands on" philosophy integrating technical
concepts and theories with practical management assistance. Circuit riders perform compre-
hensive diagnostic reviews (CDRs) on all aspects of utility operations and management.
Based on the CDRs, staff provide extensive on-site assistance to each community. This
assistance ranges from trouble-shooting to identifying operation and maintenance problems
to helping the utility determine a rate structure for cost recovery. COETC staff believe small
communities respond to solutions that are specific to their problems.
Staffing
COETC has four full time staff including the director, water/wastewater technology
instructor, outreach coordinator and secretary. The director, instructor and outreach
coordinator each hold Class A Water/Wastewater Operator Certificates. Two part-time
instructors are also part of the environmental training center staff.
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Funding
Funds from the state legislature are appropriated annually based on enrollment in the
community college's associate degree program. Other sources of funds include an EPA
104(g) grant for outreach, revenues from workshops COETC sponsors and a contract with
Rural Community Assistance Corporation.
Background/History
How the Program Began
US EPA's Office of Municipal Pollution Control has devoted substantial resources to
construct and upgrade wastewater treatment facilities throughout the country. EPA has
encouraged states to establish wastewater operator training programs. Forty-five states have
programs similar to Colorado Environmental Training Center's.
In 1969, the Colorado State Board of Community Colleges approved the two year associate
degree program in Water-Wastewater Technology at Red Rocks Community College in
Golden, Colorado.
In 1975, Red Rocks Community College received a $500,000 grant from EPA to build a
109(b) wastewater operator training center for the state. Over ten years, the governor of
Colorado, EPA, the Colorado Department of Health and the State Board of Community
Colleges worked .with Red Rocks to construct the facilities for the Colorado Environmental
Training Center (COETQ. Also in 1984, the college obtained another grant from EPA's
Office of Municipal Pollution Control to provide outreach training to wastewater utilities.
The college continued to offer the operator training and certification along with the
associate degree program in water-wastewater technology. In 1985, the training center was
completed.
Key Program Players
Although a formal task force was not established, there was considerable support from the
governor, the administrative officials from Red Rocks Community College, the State Board
of Community Colleges, EPA's regional and federal Offices of Municipal Pollution Control,
and the Colorado Department of Public Health. The momentum to establish the environ-
mental training center continued over the ten years it took to build it.
Currently, COETC has a twenty member advisory committee made up of local officials
representing every community and town surrounding the Denver Metropolitan Area. Its
purpose is to determine policy directives for COETC. This committee has provided
invaluable assistance to the COETC staff. Communicating with and obtaining input from
local, state and regional officials is crucial to the success of COETC. In 1987, this advisory
committee was given the "Outstanding Advisory Committee Award* by the State Board of
Community Colleges and Occupational Education and the State Council on Vocational
Education.
COETC's outreach program has a much greater emphasis on the evaluation and assessment
of operation and management problems. Their approach to outreach has become more
formal and systematic as a result of the emphasis on evaluation. As awareness increases
about utility management problems and the inability to recover plant operating costs, the
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staff have broadened the scope of their assistance. Outreach involves working with the
decision-makers in the community in addition to helping plant operators play a larger role in
the overall management of the utility, particularly the budgeting and accounting functions.
Institutional Issues
CO ETC has entered into cooperative training agreements with EPA and the state Depart-
ment of Health. They also have a cooperative agreement with a Department of Labor-fund-
ed nonprofit organization to provide a retraining program for displaced workers. The
nonprofit organization pays the tuition of die program participants.
Evaluation/Measures Of Success
Communities Assisted
In COETC's outreach program, 27 communities were assisted this past year. According to
the program staff, this is the average number of communities they assist each year.
How the Organization Measures Effectiveness of Outreach
The measure for success is whether the community has achieved compliance.
Potential For Transfer
According to COETC staff, their outreach program has the potential for being developed by
other states. Support from state and local officials will make it easier to start a new program.
Hiring field staff that have a thorough understanding of plant operations and management
and who can establish rapport with local officials provide the key to developing a successful
program.
Similar programs are operational in 45 states funded in part by EPA 104(g). In addition,
over 30 states operate wastewater training centers. Their programs are beginning to
broaden their scope to include administrative and financial management assistance. In
addition to treatment plant staff, they are creating programs for local elected officials and
policy makers.
Success Story
Victor, Colorado
Victor, Colorado is a community of 200. Victor is located 10,000 feet above sea level in the
Rocky Mountains. The community's activated sludge system didn't meet the requirements
for their NPDES permit. Because of the high altitude, a building was needed to cover the
system and prevent freezing. A consulting engineer hired by Victor told them it would cost
$200,000 to make improvements to the system, like many towns, Victor did not have the
resources to cover these costs. The Department of Health Services asked Colorado
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Environmental Training Center (COETC) to work with Victor as part of the outreach
program. COETC staff performed a comprehensive diagnostic review in Victor and began
working with local officials to find a solution to their problem. COETC worked with Victor
on analyzing the potential for using their own manpower and resources to construct the
building. As a result of this self-help approach, Victor put up the building at a cost of
$12,000.
Victor's participation in the outreach program brought them into compliance and the
improvements made their system cost substantially less than anticipated.
Municipal Technical Advisory Service
University of Tennessee
Nashville, Tennessee
Program Description
Purpose
The University of Tennessee's wastewater outreach program was founded in 1984, as part of
the Municipal Technical Advisory Service (MTAS). The goal of MTAS's program is to help
communities become self-suffiaent in financing and managing their wastewater treatment
systems. Objectives of the program include:
o Assisting municipalities in financing and managing grants for wastewater treatment;
o Providing guidance to local government on wastewater issues;
o Assisting state and local government in optimizing the financial resources to achieve
goals of the Clean Water Act; and
o Helping communities solve inter-governmental conflicts.
Activities
MTAS helps mayors, town managers, and municipal governing bodies plan and evaluate
policy, and improve system and operations. A team of consultants offers training and
information in project financing and management. Activities include: on-site assistance,
training, project management and information dissemination. MTAS consultants also pro-
vide on-site assistance at wastewater treatment facilities and serve as liaisons between
regulatory agencies and communities.
Approach
MTAS consultant's are located in three offices across the state. Since the program began two
years ago, MTAS has assisted over 200 communities in Tennessee.
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Wastewater consultants spend approximately half their time in the field. Their primary
activities include on-site management, operations, and maintenance assistance for facilities.
MTAS also works with communities on project financing. Other activities include assessing
financial resources, performing rate studies, reviewing staff qualifications, developing
budgets, and developing management strategies to implement local action plans.
MTAS uses a video training program, 'Investment in Excellence.' This program emphasizes
organizational goal setting, individual performance, and encourages productivity for organi-
zations. It is based upon practical techniques, concepts and applications for the workplace.
The goal of the training program is to motivate personnel to strive for excellence in the areas
of management and supervision.
When a community does not have a full-time staffer only one or two staff members, the
MTAS field consultant forms a project management committee with the assistance of the city
council. The consultant serves as an ex qfftcio member of the committee, guiding the
project to completion. The MTAS consultant is authorized to work with the local govern-
ment on pollution enforcement matters up to the point of an official hearing or court action.
MTAS's goal is to bridge the communication gap between city administration, operators of
wastewater treatment plants, and the Tennessee State Department of Health and Environ-
ment (TDHE).
MTAS prepares publications and audiovisual materials. City officials receive MTAS publica-
tions free of charge. Also available is Tech Trends, a newsletter which features articles on
wastewater treatment challenges and successes in Tennessee municipalities. The MTAS
library is the state's most comprehensive collection of publications and materials on
municipal operations.
MTAS coordinates its program with the Tennessee Department of Health and Environment.
Stalling
All MTAS staff are employees of the University of Tennessee. The staff consists of a full-time
program manager, two full-time professional engineers, one part-time planner/engineer,
and a part-rime financial manager. Because the staff is well-rounded and works together as a
team as needed. A major strength is their experience in communicating with both
regulatory agencies and cities and serving as liaison between the two.
Funding
MTAS is partially funded with a direct allocation from the Tennessee cities' share of the state
sales tax. The remainder of the funding is a direct appropriation from the state's general
fund. The wastewater technical assistance program is a self-sustaining program under the
MTAS umbrella (i.e. provides assistance relating to many other public services). It is funded
through a $250,000 contract with the Tennessee Department of Health and Environment.
The budget includes line items for salary, benefits, travel, equipment and supplies.
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Background/History
How the Program Began
MTAS was created by the 1949 General Assembly at the request of Tennessee cities. The
major advocate was the Tennessee Municipal League, which saw a need for an organization
to provide technical assistance to Tennessee's municipalities. MTAS was originally a pan of
the University of Tennessee's Cooperative Extension Service. It is now a unit within the
University's Institute of Public Service. Funding from state and local sources in 1986-87 for
the Institute was over $5.3 million, with additional funds from grants and contracts bringing
the total to nearly $6 million. MTAS provides services both to the state and local
communities.
In 1984, the newly-formed State of Tennessee Wastewater Management Task Force focused
on state financial assistance to local governments and financing options for publicly owned
treatment projects. Their recommendations provided the support for the Wastewater
Treatment Construction Act of 1984 which created a $14 million program for wastewater
grants and technical assistance. The state then contracted with MTAS to develop and
implement a program to provide assistance to cities that would be receiving funding under
federal and state initiatives. The result was the Utility Management Program.
Key Program Players
The idea for a state mandated outreach program originated with the assistant commissioner
of TDHE, and the executive director of MTAS. Together with the Tennessee Municipal
League, they drafted an outreach program to help cities optimize their resources.
Since the wastewater program started under the umbrella of MTAS, the executive director
used MTAS's extensive planning capabilities. The result was a program with goals and
objectives flexible enough that work plans could evolve in response to local needs.
The most challenging part of starting the program was obtaining a consensus among TDHE,
MTAS, cities and the League as to program priorities. Closely related was the challenge of
communicating what a new program like this would involve, so that all parties could have
constructive input in planning and implementing the program.
Institutional Issues
Legislation/Cooperative Agreements
The Tennessee Wastewater Treatment Construction Act of 1984 created a $14 million
program for wastewater grants and technical assistance. This Act enables the Tennessee
Department of Health and Environment to contract with MTAS for technical assistance. The
contract with TDHE outlines the scope of the program goals and objectives.
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Evaluation/Measures Of Success
Communities Assisted
In 1985, MTAS assisted 135 communities. The organization assisted 177 during 1986.
How the Organization Measures Effectiveness of Outreach
MTAS measures their success on how well they meet their objectives for any given project.
Since financing and managing wastewater treatment is their mission, die program looks at
the direct monetary benefit their assistance brought to a community, or what costs the
community avoided. A utility's solvency is it's greatest measure of success, and MTAS makes
sure that changes in management, amount of money available from grants or loans or rate
changes, will keep the utility solvent for a seven year period.
MTAS also evaluates client satisfaction on the part of local and state officials through verbal
and written feedback. There is no formal evaluation process for this. MTAS is then
accountable to policy makers to show them they are getting what they paid for. As part of
this effort, MTAS staff communicate routinely with state officials and the legislature.
Potential For Transfer
MTAS is currently involved in a peer-matching program for US EPA. It is designed for states
that are interested in starting outreach programs. The peer-matching includes a one-on-one
meeting with department heads of regulatory agencies to introduce MTAS's program and
answer questions. The purpose of this project is to help other states understand and learn
from the MTAS experience. MTAS has worked with the states of Montana, New Mexico,
Oregon, Vermont and Washington.
MTAS staff think that flexible goals and objectives are the most important part of an
outreach program, particularly if an organization or agency wants to be responsive to
changing needs in communities. The staff also believe that the program would not work
elsewhere unless it was mandated by the state or could successfully obtain funds from other
sources.
Success Story
Erwin, Tennessee
Erwin's (population 4,993) wastewater utility was under order to improve operations.
Correcting the problem would require making extensive improvements to the system. The
alternative prepared by the city's consulting engineer for the 201 Facilities plan would cost
53.8 million. The monthly user charges were projected to be between 540 and 550 per
household. Local officials believed the project was too costly.
They needed to find an alternative that would lower the cost of the project and avoid a
conflict with their consultant. MTAS worked with Erwin on forming a project management
committee. Its purpose was to create a neutral environment to review the proposed project
The committee was comprised of the mayor, city attorney, utility manager, and the
consulting engineer. An MTAS staff person and a state engineer served as ex officio
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members of the committee. After three meetings, the committee identified ways to reduce
the project cost from $3.8 million to $2.2 million. In addition to the reduction in capital
costs, operation and maintenance dollars were deferred.
New York State Self-Help Support System
New York State Department of Environmental Conservation
Albany, New York
Program Description
Purpose
New York's Self-Help Support System assists small communities with limited financial
resources in addressing their water and wastewater problems. The program provides
technical assistance, information and advice to communities across the state. The goal of the
program is to reduce the cost of construction and rehabilitation of water and wastewater
projects. This program is a joint effort of the Departments of State, Environmental
Conservation and Health and The Rensselaerville Institute.
Activities
The Self-Help Support System includes:
o On-site assistance-Department of Environmental Conservation and Health staff lend
their expertise to communities on the design, construction and operation of treatment
systems. The Rensselaerville Institute and Department of State provide assistance with
project financing and planning.
o Training-Workshops are held for state agency staff and local officials on the use of
self help strategies and tools for project management.
o New York's Self-Help Loan Fund-Low income communities using self-help are
eligible for short term project financing at reduced interest rates.
o Information and Referral-Materials (including The Self-Help Handbook"^ and re-
sources on facilities development, operations and management are available to local
officials through Self-Help.
The Self-Help Support System is involved in 150 communities throughout New York. In
1978, 18 projects are either about to begin or are actually under construction. Communities
participating in the program have not historically received construction grants funding and
are financing current projects primarily through loans.
Approach
The philosophy behind New York's program is to enable communities to develop technically
feasible alternatives for water and wastewater treatment. This approach makes it possible
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for communities to reduce project costs sufficiently to enable project implementation.
Self-help is defined as a community doing for itself what usually might be done by
"outsiders", usually saving 30 percent. It consists ofi
o Re-assessing problems and solutions to facilities development;
o Having the community serve as its own general contractor, and
o Maximizing the use of local resources.
The Self-Help approach also helps communities understand what information is needed,
giving them advice on district formation or financing options.
Professional staff from each agency and the Institute incorporate the lessons they have
learned about cost reduction and project management and continually apply them to each
new problem they encounter.
This public/private partnership effort uses the talent and expertise from three state agencies
and The Rensselaerville Institute. The Ford Foundation's commitment to the program
makes it possible to offer communities alternative financing for project development.
Staffing
Staff from the Departments of Environmental Conservation (DEC) and Health (DOH) work
with regional field staff to provide assistance to communities. Currendy, DEC has a full time
professional engineer working with the program, while DOH has a half time position
devoted to self-help. The Rensselaerville Institute administers the New York Self-Help Loan
Fund; this requires one full time staff person. A full-time staff person in the State
Department's Office of Local Government Services assists with publicizing the program and
provides assistance with project administration and financing.
Funding
DEC'S staff position for the program is currently being funded through an EPA 2050) grant-
Funds from DOH and DOS are allocated through each agency's existing program monies.
The Ford Foundation has committed $500,000 to The Rensselaerville Institute for a
revolving loan fund. It is used to provide inexpensive short-term loans to communities for
self-help projects. The Institute also receives a three year $129,000 grant to administer the
loan program.
Background/History
How the Program Began
The Rensselaerville Institute, Rensselaerville, New York has traditionally been involved in
self-help activities and advocacy on behalf of rural communities. The Institute brought dieir
ideas about using self help with water and wastewater projects to the attention of the
Secretary of State. Following this, the Commissioners of the Departments of Health, State
and Environmental Conservation worked widi the Rensselaerville Institute to develop the
concept of the state-wide support system. The agencies entered into a cooperative
agreement with die Institute to establish the program. The support system began about
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three years ago. To get the program underway, the State Department's Office of Local
Government Services conducted regional workshops to explain self-help concepts with local
officials and acquaint them with some of the techniques.
Key Program Players
Representatives of each state agency were all in agreement that there was a need to improve
their communication with communities. There was also a consensus that wastewater
treatment problems are too expensive for small systems to correct in traditional ways. The
concept of the Self-Help Support System appealed to the priorities of the commissioners of
the three agencies. Because The Rensselaerville Institute is a non-profit organization and
operates outside the structure of state government, it made it possible to promote this
program without the delays that may occur within the system. Working with The Institute
also made it possible to obtain the funding from the Ford Foundation to establish the loan
program. The commitment from policy making levels of these agencies and the support of
The Rensselaerville Institute contributed to the success of establishing the Self-Help Support
System.
As the New York program continues, The Rensselaerville Institute has become less involved
in the direct assistance to the communities and is playing a larger role in administering the
loan fund program. DEC, DOH and DOS are collaborating with the Institute on training
state field staff on self-help strategies and tools necessary to provide assistance. The
purpose is to increase state agency staffs knowledge about self help strategies.
Institutional Issues
Legislation/Cooperative Agreements
When the Self-Help Support System was established, a cooperative agreement was entered
into by these agencies and The Rensselaerville Institute.
Evaluation/Measures Of Success
Communities Assisted
Eighteen (18) Communities are either ready to begin construction or have been completed.
One hundred fifty (150) have received information and/or assistance from the Self-Help
Support System.
How the Organization Measures Effectiveness of Outreach
All three agencies and The Institute share the view that the progress at the local level cannot
be measured by numbers. Success is a project completed and residents benefiting from
adequate water and wastewater treatment. It is also seen as an incentive to community
self-reliance for local improvements.
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Potential For Transfer
Self-help has great potential for use Ln other states and other public programs. Representa-
tives from DEC, DOH, DOS and the Institute all agree that this type of support system can
best work if there is a genuine commitment at the state's policy level to outreach. Staff
should be highly motivated. The opportunity to work with communities and see results is
professionally very rewarding.
Success Story
Hamlet of Seward, New York
Approximately 90 percent of the 45 homes in the Hamlet of Seward discharge sewage to
ditches, storm sewers or framer's fields because the clay soils make it impossible for the
on-site septic systems to function properly. A sewer committee was formed in the
community in the fall of 1985 to End a way to solve the problem. With a preliminary cost
estimate of over $1,000 per household per year for a wastewater collection and treatment
system, the sewer committee contacted the Construction Grants Program and the Fanner's
Home Administration to determine the availability of financial assistance. As no funds were
available, it was apparent that the best hope for a solution to the community's wastewater
disposal problem lay in cost reduction. New York's Department of Environmental Conserva-
tion (DEC) was contacted early in 1986 and Seward was selected as a pilot project for the
Self-Help Support System.
With the assistance of DEC staff, the sewer committee examined wastewater treatment
alternatives and effluent discharge requirements. To reduce costs, a local resident com-
pleted much of the surveying and planned the sewer alignment, the Soils Conservation
Service assisted with soils testing and the Schoharie County Health Department completed a
sanitary survey. DEC staff provided assistance to local officials in procurement of engineer-
ing services and in completing requirements for a discharge permit, environmental analysis
and sewer district formation. A consulting engineer was found who was willing to work with
community residents to make the system affordable by assisting them in using town
employees and local residents to complete many tasks themselves. By using Town
employees to construct the system, it is estimated that projects costs will be reduced from
the previous estimate of $530,000 to $165,000.
The Town has received commitment for $100,000 low-interest (.05 percent) loan from the
New York State Self-Help Support System Loan Fund which will further help to reduce user
fees. The months of hard work by the local officials and sewer committee is about to come
to fruition as construction of the long needed wastewater treatment system begins.
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Ohio State Cooperative Extension Service
Agricultural Engineering Extension
Columbus, Ohio
Program Description
Purpose
Ohio State University's (OSU) Cooperative Extension Service's program is called "Wastewa-
ter Treatment Alternatives for Rural Communities and Townships." It is designed for
communities with less than 500 households. The overall goal of the program is to educate
local officials in small communities so they can make informed decisions about alternatives
for wastewater treatment. OSU's program helps community officials take an active role in
planning and developing their wastewater systems. The objectives for OSU's program are
listed below:
Local decision makers will:
•
o Learn the principles of on-site wastewater treatment;
o Be able to prescribe the use of alternative systems;
o Identify the relative costs of treatment plants and sewer systems;
o Increase their knowledge of community needs;
o Conduct sanitary surveys of their community, and
o Identify necessary consultant qualifications.
Activities
The waste management specialist visits the community at least seven times. Over two-
months, four two-hour meetings are held with the community and a six-hour field trip.
Each session addresses a topic that a small community faces when choosing sewage
treatment alternatives. Participants learn about various treatment alternatives, appropriate
alternatives for their community, conducting a needs assessment, operation and mainte-
nance requirements for different systems, hiring a consultant, and identifying funding
sources and working with regulatory agencies. The field trip provides the participants the
opportunity to learn first hand about specific systems and what to look for.
Slides, films and the field trip are incorporated into the program to enhance the
community's understanding of the various topics. As a pan of the workshop series, each
participant receives an extensive resource notebook including fact sheets and selected
reference materials. A charge of ten dollars covers the cost of notebook preparation.
Approach
The program consists of working closely with the county extension agent who serves the
targeted community. Preliminary meetings held with the county agent serve three purposes.
First, the county agent receives training on the project development process. Second, the
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councy agent can be a resource at the sessions and a local resource for the community's
nature efforts. And third, the waste management specialist develops an effective link with
the community for future activities.
Staffing
One waste management specialist is employed full rime to carry out this program. The
specialist works with a network of county extension agents who indicate an interest in
participating in the program.
Funding
Funding comes from both federal and state sources and is secured under the Smith Lever
Act which formed the Cooperative Fjctension Service. Cooperative Extension Service's
mandate is to deliver research and an unbiased education program in agriculture, family
living, and community development. The waste-water education program falls under the
community development mandate of the Act.
Background/History
When the Program Began
The Wastewater Treatment Alternatives program developed as a part of Karen Mancl's PhD
course work at Iowa State University. It was pilot tested in Iowa. After graduation. Dr.
Mand joined the Cooperative Extension Service at Pennsylvania State University. There she
was able to implement the program as pan of her duties as a water specialist. Four years
later, in 1986, Dr. Mand assumed her current position with Ohio State University's
Cooperative Extension Service. The program has been underway for almost a year.
Key Program Players
Dr. Mand has had the opportunity to implement the program in three states. Each time, she
developed a broad base of support with the University faculty, State Cooperative Extension
Service and county extension agents. This backing enabled her to conduct the education
program without complications.
Institutional Issues
Legislation/Cooperative Agreements
In Ohio, two agencies have jurisdictions over on-site sewage systems, Ohio's Environmental
Protection Agency (OEPA) and Department of Health. OSlTs program is coordinated on an
informal basis with these agendes. Agency staff review the materials used in the workshops,
while OSU keeps them informed regarding the communities that participate in the program.
Field trips to actual systems are coordinated with county health departments and the district
offices of OEPA.
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Evaluation/Measures of Success
Communities Assisted
Communities participate on a first-come, first served basis. Both Ohio EPA and the
Department of Health refer communities to OSU. Local officials from eight (8) communities
are involved in the program each year.
How the Organization Measures Effectiveness of Outreach
The instructor assesses general knowledge before and after the sessions using a
pre-test/post-test and follow-up survey, and the participants evaluate the program. The data
from the assessments is measured against the performance objectives listed under
Program Description.
Potential for Transfer
This program has already been duplicated in three states. In each instance the program and
materials have been adapted to reflect state specific information.
Success Story
Lake Panorama, Iowa
Residents in Lake Panorama, Iowa, were experiencing problems with their septic systems.
Homes less than 10 years old had failing septic systems, and only 320 of the 1,200 lots had
been developed. Also, percolation tests revealed that 4.5% of the remaining lots of the
subdivision were unsuitable for the on-site systems used in the rest of the development. As
a result, the Homeowners Association was concerned they would have to build centralized
sewage system in order to accommodate any new growth. They could not afford to finance
such a project.
The county sanitarian contacted the Cooperative Extension Service's Wastewater Specialist.
She met with the sanitarian and the homeowners to develop solutions. Training topics
included: establishing a management authority, management of on-site systems, alternatives
to correct existing problems, and system design and construction concepts. The wastewater
management specialists then assisted the residents and the county board of supervisors with
the actual formation of an on-site management district. In addition, the specialist helped a
committee appointed by the board to write and implement guidelines for the new district.
Because of the training they received and the management authority of the new district, the
community has taken care of the disposal problems. In addition, Lake Panorama has since
added 27 new homes, without having to develop a more expensive community system.
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Rural Community Assistance Programs
Community Resources Group
Springdale, Arkansas
Great Lakes Rural Network-WSOS Community Action Commission, Inc.
Fremont Ohio
Midwest Assistance Program
New Prague, Minnesota
New England RCAP-Rural Housing Improvement
Winchendon, Massachusetts
Southeast RCAP-Virginia Water Project
Roanoke, Virginia
Western RCAP-Rural Community Assistance Corporation
Sacramento, California
Program Description
Purpose
The purpose of the Rural Community Assistance Program (RCAP) is to help small, low
income communities solve their water and wastewater problems at an affordable cost. Six
nonprofit training and technical assistance organizations operate RCAP in multi-state regions
across the country. They provide assistance to small communities on planning, financing
and managing water and wastewater systems. It is the goal of the RCAPs to develop the
capacity of local officials to solve their own water/wastewater problems.
Activities
On-site Project Assistance-The RCAPs help communities assess their water and wastewa-
ter needs and identify cost effective solutions within the community's ability to implement.
They provide on-site assistance with engineering selection, design review, project financing,
utility management, and rate setting. Several RCAPs have developed operation and mainte-
nance manuals for small water and wastewater systems.
Training-The RCAPs hold workshops and conferences for state and local officials on a wide
variety of rural water and wastewater management issues. For example, the Great Lakes
Rural Network has held several conferences on local groundwater protection issues and the
Midwest Assistance Program trains local officials on leak detection.
Information Dlssemination-RCAPs have prepared a variety of publications on water and
wastewater issues for local officials. Both the Midwest Assistance Program and Rural
Community Assistance Corporation publish newsletters for local officials and other outreach
providers.
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Financing-All the RCAPs are involved in identifying public and private financing for local
project development. In 1986, $87.8 million was leveraged from public and private sources
of funding. The Southeast RCAP operates a program called 'Partnership." Through the
Partnership program, businesses, service organizations and community institutions donate
labor, materials and money to help communities develop and upgrade water and wastewa-
ter systems.
Approach
Each RCAP is operated by a not-for-profit organization that has developed an individualized
approach to outreach. Funding from the U.S. Department of Health and Human Services
(HHS), Office of Community Services allows each RCAP to adapt its activities to meet the
needs of their respective service areas.
Their work with communities consists of a practical, hands-on approach that enables
communities to solve their own problems. Three of the six RCAPs work with a network of
field-based agencies providing on-site assistance to communities. Field agencies may be
community colleges, community action agencies, or regional planning and community
development agencies. The RCAPs using this approach include the Great Lakes Rural
Network, Rural Community Assistance Corporation and Southeast RCAP. The other
RCAPs-Community Resources Group, Midwest Assistance Program and New England RCAP
have field staff responsible for direct assistance in designated areas of the region.
Staffing
Each RCAP has a program director and at least one central office staff position. The
management, program development and training functions are usually carried out by the
central office staff. Rural Community Assistance Corporation's Water/Wastewater Division
staff also provide technical backup and assistance to field agencies. The size of an RCAP
field staff ranges from four to seven. Engineering services are provided by consultants or
RCAP staff.
Funding
The major source of funding for RCAP comes from HHS's Office of Community Ser-
vices-Discretionary Program. The RCAPs also receive state funds from Arizona, California,
Indiana, Michigan, Missouri and Virginia. Other sources of funds include grants from
foundations and the private sector.
Background/History
How the Program Began
In the early 1970s, the National Demonstration Water Project, a national non-profit
organization based in Washington, D.C., received a planning grant from HHS under the
former Community Services Administration (CSA). The purpose was to develop a demon-
stration program to assist rural, low-income communities with their water and wastewater
problems, in 1978, CSA funded six Rural Community Assistance Programs. When CSA was
abolished, funding for RCAP was transferred to HHS's Office of Community Services.
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Key Program Players
A task force to develop the RCAPs was not formalized, however a "core group" from NDWP,
nonprofit organizations (most of whom now operate RCAP) and a consulting engineer
worked closely with HHS on the development of the program. Many individuals with a
commitment to rural development issues lent their expertise to the development of a
field-based assistance program. Numerous members of Congress have been supportive of
RCAP as an alternative for helping small communities.
Institutional Issues
Legislation/Cooperative Agreements
The RCAPs establish working agreements with communities when they begin providing
assistance on project development. They have also developed cooperative agreements with
other field-based technical assistance providers. For example, RCAC has a cooperative
agreement with the Inter Tribal Council of Arizona.
California's Department of Housing and Community Development provides funding for
direct assistance on community facilities projects to communities and the Western RCAP
field agencies. Known as the Rural Technical Assistance Program (RTAP), $250,000 is
available each year to offset project costs not eligible under other grant programs. The
RCAP agencies were instrumental in getting RTAP funded.
Evaluation/Measures Of Success
Communities Assisted
RCAPs worked with over 475 communities in the last program year. Each RCAP provides
on-site assistance to approximately 80 communities.
How the Organization Measures Effectiveness of Outreach
Quarterly progress reports are submitted to HHS by the RCAPs. Each RCAP is required to
establish annual program goals including: number of communities assisted, number of local
officials trained, amount of associated project financing leveraged, and number of water and
wastewater treatment systems completed or repaired. The progress on project develop-
ment is monitored using the Milestone System described in Chapter V.
Feedback on training sessions and conferences is obtained from participant evaluations.
This information is used to improve future programs.
Potential For Transfer
As die emphasis on outreach grows, RCAPs have die potential for coordinating their efforts
with environmental training centers, state rural water associations, state agencies and odier
field-based assistance organizations.
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Success Story
Dunsmuir, California
This small community was operating its wastewater treatment plant under a Cease and
Desist Order from the California State Water Resource Control Board. Dunsmuir's wastewa-
ter plant was overloaded due to infiltration and inflow in deteriorated collection mains and
laterals.
The Western Rural Community Assistance Program engineer assisted the community with an
infiltration and inflow analysis. Construction Grants funding for system repair was denied by
a retroactive EPA ruling regarding single "fix-up" grants. The RCAP field agency, Great
Northern Corporation (GNC), worked with the city manager on preparation of a Community
Development Block Grant application for the required repairs. GNC also helped prepare
homeowner loan applications to replace the 180 sewer laterals. The Cease and Desist Order
will be lifted by October, 1987.
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CHAPTER VII
RESOURCES FOR OUTREACH
Overview
This chapter provides a list of outreach programs contacted in
connection with this project.
Introduction
The programs are listed in alphabetical order, addresses and contact persons are identified
for each organization. A brief description of each program is also included. This is not an
exclusive list. There may be other programs not mentioned here that are actively involved
in outreach.
Contacts and Resources for Outreach
Blue Grass Area Development District, Inc.
3220 Nicholasville Road
Lexington. Kentucky 40503
(606) 272-6656
Contact: Don ffassail
Blue Grass Area Development District (ADD) is one of fifteen regional planning and program
development agencies under Kentucky's Department of Local Government. The goals of
Blue Grass's water and wastewater program are to implement its regional sewer and water
plan, help communities implement state and federal initiatives, and improve management
and operations of their water and wastewater treatment facilities. The water and wastewater
program staff provide on-site training and technical assistance on planning, management and
financing of water and wastewater treatment systems. Staff also perform troubleshooting,
and help communities develop solutions that are appropriate to their individual situations.
The program serves all the communities in Blue Grass's region, but staff focus on building
management capabilities in cities with fewer than 5,000 people.
Three of the employees at Blue Grass ADD work in the water and wastewater division. One
is a registered professional sanitary engineer, the second is a circuit rider/roving city
manager, and the third individual performs administrative tasks.
Blue Grass ADD receives part of its funding from the State of Kentucky and matching funds
from the Appalachian Regional Commission and the Economic Development Administration.
Blue Grass ADD also obtains grants for specific projects, and local service contracts for
administering grants.
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Colorado Environmental Training Center
Red Rocks Community College
12600 West 6th Avenue
Golden, Colorado 80401
(303) 988-0113, ext. 325
Contact: TomFeeley
The Colorado Environmental Training Center (COETC) is an EPA state 109(b) training
center for water and wastewater operators. COETC offers three major programs at the
community college: an undergraduate associate degree in Water-Wastewater Technology,
operator training and certification, and on-site assistance to wastewater utilities with flows
under 1 million gallons per day. The goal of the on-site assistance program is to develop
affordable solutions to wastewater problems. Circuit riders perform comprehensive diag-
nostic reviews and provide assistance on all aspects of utility operations and management.
This assistance ranges from identifying operation and maintenance problems to helping the
utility determine a rate structure. Communities participating in the program are selected by
the Department of Health Services in conjunction with COETC.
COETC water and wastewater program has four full-time staff including the director,
water/wastewater technology instructor, outreach coordinator, and a secretary. Additional-
ly, two part-time instructors are employed on the COETC staff.
Funds from the state legislature are appropriated annually for the college's associate degree
program; other sources of funds include an EPA 104(g) grant for outreach, revenues from
workshops and a contract with Rural Community Assistance Corporation.
Comptrain Program
Kentucky Division of Water
18 Reilly Road
Frankfort, Kentucky 40601
(502) 564-3410
Contact: Nancy Fouser, Bob Oertber
The Comptrain Program began in 1983 as a non-regulatory program in the enforcement and
compliance branch in Kentucky's Division of Water. Their goal is to help small communities
achieve and maintain compliance. Comptrain offers on-site operations and management
assistance, engineering review and laboratory analysis services, information/referral, and a
toll-free hot line for communities. A mobile unit is used to provide on-site water testing.
Regional seminars are held throughout the state for treatment plant operators on opera-
tions, maintenance and water quality issues.
The program has four staff consisting of one pan-time environmental control supervisor, a
full-time environmental engineer, and two pan-time environmental program coordinators.
The pan-time staff spend the remainder of their time conducting training in the Division's
Operator Training and Certification Program. The Kentucky Division of Water continues to
expand as its staff form liaisons with community colleges and universities for the continuing
education for operators.
Comptrain receives 75% of its funding from Kentucky's EPA program allocation. The State of
Kentucky contributes 25% in matching funds to the program's operating budget.
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Environmental Quality Instructional Resources Center
The Ohio State University
1200 Chambers Road, Room 310
Columbus, Ohio 43212
(614) 292-6717
Contact: Robert Howe
The Environmental Quality Instructional Resource Center (EQ/IRQ *"& established in 1977.
EQ/IRC is a clearinghouse for documents, publications and audiovisual materials pertaining
to water/wastewater system design, planning, operations and management. Many of these
materials are available for rent or purchase. With funding from EPA, EQ/IRC developed an
Instructional Resources Information System (IRIS) data base containing over 14,000 entries
on water and wastewater issues. The data base continues to be maintained by EQ/IRC on a
cost-recovery basis.
EPA is working with EQ/IRC and the National Small Flows Clearinghouse on establishing a
process for disseminating information to state and local officials. EQ/IRC will serve as a
conduit for the National Small Flows Clearinghouse, distributing information gathered from
the clearinghouse. EQ/IRC targets its information to municipalities, engineers and trainers.
Financial Operations and Management Evaluation Program
Vermont Department of Environmental Conservation
103 S. Main Street
Waterbury, Vermont 05676
(802) 244-8744
Contacts: Richard Phillips, Gary Cbampy
Vermont's Department of Environmental Conservation established the Financial Operations
and Management Evaluation Program (FOME) in 1985. The purpose of the non-regulatory
program is to assist small wastewater utilities in improving their financial management
practices. Their efforts are aimed at plants whose capacity is less 400,000 gallons per day.
The goal of the program is to help communities become financially self-sufficient. The
FOME staff perform extensive reviews of the wastewater treatment plant financial manage-
ment practices. The program's financial management specialist and the participating
municipalities develop action plans based on staff's recommendations. One financial
management specialist staffs this project and works with approximately 10 systems each
year.
The program is funded through EPA 104(g)(l) monies, and the State of Vermont matching
funds.
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Great Northern Corporation
780 S. Davis Street
Weed, California 96094
(916) 938-4115
Contact: Jim Evans, Jim Cook, Paul Wagner
Great Northern Corporation (GNC) is a field-based local assistance organization located in
Northern California working in association with the Rural Community Assistance Program.
GNC provides on-site assistance to rural, low income communities helping them address
their water and wastewater problems. GNC helps to build the capacity of local decision
makers in their service area and provides assistance to them in project development,
financing, facility operations and management. GNC also contracts with communities to
manage construction grant projects. Acting as a liaison on behalf of local officials, GNC
works closely with the State Water Resources Control Board, the Department of Health
Services, the California Department of Water Resources Safe Drinking Water Program, and
other organizations.
GNC receives money from the California Department of Housing and Community Develop-
ment, Rural Community Assistance Corporation, and local services contracts for administer-
ing grants to carry out their program.
Inter Tribal Council of Arizona, Inc.
124 W. Thomas Road, Suite 201
Phoenix, Arizona 85013
(602) 248-0071
Contact: Pat Marietta
The Inter Tribal Council of Arizona, Inc., (ITCA) is composed of the elected leaders of 19
Tribal governments in Arizona. The organization addresses issues of common concern. A
water program was started in 1982, and in 1985 ITCA added a wastewater component to the
program. The goals of the water/wastewater program are to assist Tribes in developing
their capabilities to provide safe drinking water supplies and manage their treatment
systems. To achieve these goals, ITCA provides guidance in assessing needs, project
development, and solving technical and managerial problems. ITCA works with tribal
leaders, community boards and tribal water system personnel. For all their projects, ITCA
uses tribal expertise and resources and works to develop tribal professional networks.
Through workshops, conferences and information papers, ITCA disseminates information to
Tribes on water/wastewater issues. ITCA coordinates with the Indian Health Service, which
provides on-site technical assistance and engineering services for to tribes. The Tribes offer
in-kind services for projects, and provide direction for the program. The director of the
natural resources area and a research analyst work part-time on the water and wastewater
program.
Funding comes from the federal Office of Community Services Department of Health and
Human Services. The Indian Health Service matches these funds through a coordinated
program.
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Kentucky Rural Water Association
P.O. Box 1424
Bowling Green, Kentucky 42101
(502) 843-2291
Contact: Gary Larimore
The Kentucky Rural Water Association (KRWA) is affiliated with the National Rural Water
Association (NRWA). It is one of 33 state rural water associations. In 1982, KRWA estab-
lished a three-phase leak detection/energy conservation program for water facilities
throughout the state. The program involves educating facility managers about the program,
performing on-site leak detection, and finding low-cost alternatives for plants to conserve
energy. Because of the success of the program, NRWA affiliates in Florida, Georgia,
Oklahoma and Tennessee have started their own energy conservation programs.
The executive director, program manager and circuit rider are involved in the program on a
part-time basis. A fourth staff member works on the project full-time.
The program is supported through the Kentucky Department of Energy. The fourth staff
member is supported by the Appalachian Regional Commission.
Local Government Services Technical Assistance Program
Colorado Division of Local Government
Department of Local Affairs
1313 Sherman Street, Suite 520
Denver, Colorado 80203
(303) 866-2156
Contacts: Geoff Withers, Charles Unseld
The Division of Local Government's technical assistance program started in 1982, is a result
of a statutory mandate for local government agencies. The program's emphasis is on
building local government capacity to finance and manage their water and wastewater
projects. Staff hold training sessions on managing and financing systems and regulatory
issues that affect small systems. They also put communities in contact with resources
through referrals and distribute numerous publications. The Division of Local Government
staff work with seven regional offices throughout the state and coordinate their efforts with
multi-county associations of local government. The Division coordinates its efforts with the
Department of Health, Colorado Water Conservation Board, the Colorado Rural Water
Association and private consultants. Seven full-time staff carry out the program at the state
office. The Division of Local Governments program receives an annual allocation from the
state's general fund.
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Municipal Technical Advisory Service
The University of Tennessee
Suite 402
Capitol Boulevard Building
Nashville, Tennessee 37219
(615) 256-8141
Contact: Sharon L Rollins, Andy Jordan
The University of Tennessee's wastewater outreach program was founded in 1984, as a
component of the Municipal Technical Advisory Service (MTAS). The goal of MTAS's
program is to help communities become self-sufficient in financing and managing their
wastewater treatment systems. MTAS helps local officials improve operations, plan and
evaluate policy. They offer training and information on project financing, management,
operations, and provide on-site assistance with water and wastewater management. MTAS
also serves as a liaison between federal and state regulatory agencies and communities.
All MTAS staff are employees of the University of Tennessee. The wastewater program staff
consists of a full-time program manager, two full-time professional engineers, one part-time
planner/engineer, and a pan-time financial manager. The program is coordinated with the
Tennessee Department of Health and Environment.
MTAS is partially funded with a direct allocation from the Tennessee cities' share of the state
sales tax. The wastewater technical assistance program is funded through a contract with
the Tennessee Department of Health and Environment.
National Environmental Health Association
720 S. Colorado Blvd. #970, South Tower
Denver, Colorado 80222
(303) 756-9090
Contact: Nelson Fabian
National Environmental Health Association (NEHA) is an association of professionals who
work on environmental problems. It was founded over 50 years ago. NEHA offers
conferences, seminars and information on environmental issues. Periodicals include:
Journal of Environmental Health, a monthly newsletter, and a quarterly, Trends Report. A
list of publications on water and wastewater topics as well as an extensive library, is available
to members and the public. In addition, NEHA administers 15 home study courses that
include three water/wastewater related courses. The Association also offers an on-site
wastewater manual and other environmental publications. Three of the nine staff coordi-
nate materials development on water and wastewater issues.
The organization is supported by membership, credentialing, conference fees, investments
and sales of publications.
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National Environmental Training Association
8687 Via de Ventura, Suite 214
Scottsdale, Arizona 85258
(602)951-1440
Contact: George Kinias
The National Environmental Training Association is the official association for professional
environmental trainers who deliver or manage training in the fields of water, wastewater,
noise and air pollution control, solid and hazardous waste management, and occupational
safety. NETA members are affiliated widi educational institutions, municipalities, industry,
consulting firms, state and federal agencies, and national and international organizations.
NETA publishes a quarterly newsletter for members, conducts national conferences and
meetings to further equip trainers, administers a certification program for environmental
trainers, and distributes publications and training materials. NETA also publishes numerous
training materials on water and wastewater issues.
National Rural Water Association
P.O. Box 1428
Duncan, Oklahoma 73534
(405) 252-0629
Contact: Rob Johnson
National Rural Water Association (NRWA) is a nonprofit organization founded in 1977 to
provide training and technical assistance to rural water system staff and decision-makers.
NRWA's goal is to strengthen the capabilities of local governments in the operation and
management of their water systems. The Association has established 33 state programs that
provide assistance to communities participating in the FmHA grant/loan program and
systems that are out of compliance with SDWA regulations. More recently, NRWA has
assumed the role of servicing loans associated with the sale of the FmHA loan portfolio.
NRWA's programs are targeted to communities with populations under 10,000. Each state
rural water association usually employs an executive director and one or two circuit riders.
EPA's Office of Drinking Water funds NRWA's training program and FmHA funds the on-site
assistance and a circuit rider program.
Federal funding sources require at least 15% in matching funds from each state. Five state
associations also receive supplemental funds from legislative appropriations.
National Small Flows Clearinghouse
West Virginia University
P.O. Box 6064
Morgantown, West Virginia 25506-6064
(800) 624-8301 or (304) 293-4191
Contact: Stephen Dix
US EPA established the Clearinghouse at West Virginia University as a resource for
information on innovative and alternative wastewater systems for rural communities. Their
services include maintaining an innovative/alternative data base, custom searches of a small
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flows bibliographic data base, distributing EPA resource materials, videos and brochures,
coordinating small community wastewater technology seminars, and operating a toll-free
telephone referral service.
Under the Water Quality Act of 1987, EPA has been authorized to appropriate up to one
million dollars annually to the Clearinghouse for providing assistance and information on
small community wastewater issues to agencies and organizations at the regional, state and
local levels.
New England Regional Wastewater Institute
2 Fort Road
South Portland, Maine 04106
(207) 767-2539
Contact: KirkLaflin
The New England Interstate Water Pollution Control Commission founded the New England
Regional Wastewater Institute (NERWI) in 1969 to train treatment facility personnel,
operators, and individuals interested in the water pollution control field. NEWRI serves the
whole Northeast area which includes Connecticut, Rhode Island, Massachusetts, Vermont,
Main, New Hampshire and New York. The Institute has a nine-month certification program
in Wastewater Treatment Technology. NERWI offers a continuing education program for
operators and managers which focuses on wastewater treatment plant operation, mainte-
nance, and management. A number of audiovisual programs, technical journals, and
supplemental instructional materials for in-plant training programs throughout the region
are also available through NERWI's Instructional Resource Center (IRQ. NERWTs Mobile
Training Facility travels throughout New England and New York, providing on-site opera-
tions and maintenance training for wastewater treatment plant personnel.
The Institute has two full time instructors, one staff member for the IRC, and two full time
staff with the mobile unit. Numerous professionals are hired to teach the summer courses.
The Institute received its start-up funds from the North East Governor's Council. It
currently receives EPA funds through the 106 program, state allocations from each of the
northeastern states, plus New York, and fees for training programs.
New York State Self-Help Support System
New York State Department of Environmental Conservation
Division of Construction Management
50 Wolf Road
Albany, New York 12233-3750
(518) 457-3810
Contact: Diane Perley
The Departments of State, Environmental Conservation and Health with assistance from The
Rensselaerville Institute have established the New York State Self-Help Support System. The
System provides help to alleviate small communities' water and wastewater problems.
Technical advice, "how to' materials, and a loan fund are among the lands of assistance
available to help communities in New York State reduce project costs.
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The Departments of Environmental Conservation (DEC) and Health employs professional
engineers and the Department of State's full-tune staff person provides assistance with
project administration and financing. One staff person is employed by The Rensselaerville
Institute to manage the revolving loan fund.
Funding for DEC'S Self-Help activities comes from New York's state allocation from EPA.
The Ford Foundation made a $500,000 loan to The Rensselaerville Institute to establish a
revolving loan fund for low-income communities in New York.
Operator Training Program
Office of Water Programs
California State University-Sacramento
6000 J Street
Sacramento, California 95819-2694
(916) 278-6142
Contact: Kenneth Kerri
California State University-Sacramento's (CSUS) Department of Civil Engineering offers a
number of self-study training courses for water and wastewater operators through the
University's Office of Water Programs. It began in 1970. The program's goal is to provide
individuals with the knowledge and skills needed to operate and maintain water and
wastewater facilities. The self-study training program features 12 different courses includ-
ing: water supply, water distribution, water treatment facilities, wastewater collection and
wastewater treatment. Organizations such as the California Water Pollution Control Associa-
tion and the National Environmental Training Association have helped develop and field-test
the training materials. CSUS administers and monitors these self-paced courses as part of
EPA's National Field Study training programs, on a self-sustaining basis.
The training materials are developed with funding from EPA.
Ohio State Cooperative Extension Service
The Ohio State University
590 Woody Hayes Drive
Colombus, Ohio 43210-1273
(614) 292-6007
Contact: Karen Mancl
Ohio State University's Cooperative Extension Service conducts a wastewater education
program to assist communities with less than 500 households. The goal of the program is to
educate decision makers so they can make informed decisions about alternatives for
wastewater treatment and effectively plan and develop their wastewater systems. Through a
series of five on-site meetings with the Cooperative Extension Service Wastewater Specialist,
local officials receive information about wastewater treatment alternatives, system manage-
ment, financing projects, and how to assess the community's needs. The wastewater
specialist employed by Ohio State University carries out the program in conjunction with a
network of county extension agents.
The program is funded as part of Cooperative Extension Service, which receives both
federal and state money under the Smith Lever Act.
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Rural Community Assistance Programs
Community ReSOUTCeS Group
2705 Chapman Road
Springdale, Arkansas 72764
(501) 756-2900
Contact: John Squires
Rural Community Assistance
Corporation
2125 - 19th Street, Suite 203
Sacramento, California 95818
(916) 447-2854
Contact: Elizabeth Ytell
Great Lakes Rural Network
WSOS Community Action
Commission, Inc.
P.O. Box 568
Fremont, Ohio 43420
(419) 334-8911
Contact: OnrilleBurcb
Midwest Assistance Program
P.O. Box 81
New Prague, Minnesota 56071
(612) 758-4334
Contact: KenBrazelins
Rural Housing Improvement
P.O. Box 370
Winchendon, Massachusetts 01475
(617) 297-1376
Contact: Laura Paradise
Southeast Rural Community
Assistance Program
Virginia Water Project
P.O. Box 2868
Roanoke, Virginia 24001
(703) 345-6781
Contact: Jackson Hall
In 1978, the Community Services Administration funded six Rural Community Assistance
Programs (RCAP) to help small, low income communities solve their water and wastewater
problems at an affordable cost. The six nonprofit training and technical assistance organiza-
tions listed above operate RCAP in multi-state regions across the country. It is the goal of
the RCAPs to develop the capacity of local officials to solve their own problems. RCAP
activities include on-site project assistance, state-wide and regional training for state and
local officials on a variety of rural water and wastewater management issues, information
dissemination through newsletters and publications, and identifying public and private
funding for local project development. The organizations which operate the RCAP also
operate programs in areas such as housing and community development.
Three of the six RCAPs work with a network of field-based agencies to provide on-site
assistance to communities-field agencies may be community colleges, community action
agencies, regional planning and community development agencies. The RCAPs using this
approach include the Great Lakes Rural Network, Rural Community Assistance Corporation
and Southeast RCAP. The other RCAPs-Community Resource Group, Midwest Assistance
Program and New England RCAP have field staff responsible for direct assistance in
designated areas of the region.
The major source of funding for RCAP comes from Department of Health and Human
Service's Office of Community Services Discretionary Program. The RCAPs also receive state
funds from Arizona, California, Indiana, Michigan, Missouri and Virginia. Other sources of
funds include grants from foundations and the private sector.
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Rural Community Facilities Technical Assistance Program
California Department of Housing and Community Development
1834 Mangrove, Suite B
Chico, California 95926
(916) 891-6870
Contacts: Wayne Walker
The Rural Community Facilities Technical Assistance Program (RTAP) was established in
1983- It provides grants to local governments and nonprofit corporations to help resolve
the domestic water and wastewater problems often encountered in low-income rural
communities. Limited funds are available through a competitive process for seed money
and technical assistance activities or any other costs necessary to obtain project approval by
an agency and/or financing from local, state, or federal programs. Seed money is typically
used for the necessary hard costs associated with designing and testing an appropriate
solution to the community's facilities needs, such as engineer design work, water quality
analysis, or test wells. Technical assistance funds are generally used by the grantee for
activities such as preparing applications for funds and training board members.
The Rural Community Facilities Technical Assistance Program staff awarded eight grants
totaling $245,632 during the fiscal year 1986 to local government and nonprofit agencies
serving 25 communities in 13 rural counties.
Rural Development Assistance Program
California Department of Housing and Community Development
1834 Mangrove, Suite B
Chico, California 95926
(916) 891-6870
Contacts: Wayne Walker
The Rural Development Assistance Program (RDAP), originally called the 'California Rural
Development Demonstration," was established in 1977 by the United States Department of
Housing and Urban Development (HUD), the United States Department of Agriculture
(USDA), and the California Department of Housing and Community Development (HCD).
The program was one of four demonstration projects nationwide designed to provide
underserved rural regions with the technical assistance necessary to increase their use of
federal, state and private community development finance programs.
RDAP is designed to provide comprehensive technical assistance to targeted rural areas.
Finance and development experts in the areas of housing and community development are
located in rural counties to provide continuous on-site assistance and training to local
officials. The staff is experienced in housing rehabilitation and construction, economic
development, and the development of water and wastewater facilities. RDAP works with
local governments, nonprofit corporations, and the private sector in resolving locally
identified needs. Programs created in the target areas are supported by federal, state and
local resources.
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State of California Programs
California State Water Resources Control Board
Division of Clean Water Grants
P.O. Box 100
Sacramento, California 95801-0100
(916) 322-6484
Contact: Ron Marble
California State Water Resources Control Board's (SWRCB) Division of Clean Water Grants
has a number of programs to help communities manage construction grant projects, as well
as finance, operate and maintain adequate treatment plant operations.
The Grantee Manaeement Evaluation Proeram was established in 1983 as a non-regulatory
program to assist communities participating in the Clean Water Grants Program. Staff assist
local officials with program management, payment procedures, and program requirements.
Although the program gives small communities first priority, staff also work in larger
communities. When projects are completed, specialists from the Revenue Program monitor
the financial management capabilities of the community. The staff troubleshoot, and if
necessary, recommend financing approaches and changes in user charges to ensure
adequate funds for operation and maintenance of their respective facilities. The Grantee
Management Evaluation Program and Revenue Program are funded from EPA's program
allocation for California.
California also has a program for training operators through the
Water Quality Control Institute, established by the SWRCB and EPA. The Institute trains
water quality control personnel on all aspects of wastewater treatment plant operations and
maintenance. Most training courses are offered at treatment plant locations throughout the
state. The Institute also provides on-site technical assistance to communities through EPA's
104(g) funds. The SWRCB certifies wastewater treatment operators through its Office of
Operator Certification.
Tennessee Valley Authority
2D44 Old City Hall Building
Knoxville, Tennessee 37901
(615) 632-7421
(615) 751-4625
Contacts: Carroll Duggan, Richard Urban, Gerald Steiner
Tennessee Valley Authority (TVA) is an interstate organization created by the 1933
Tennessee Valley Authority Act. The Waste Management Program is housed within TVA's
Office of Natural Resources and Economic Development and is administered in 201 counties
in seven states-Tennessee, Alabama, Kentucky, North Carolina, Georgia, Virginia and
Mississippi. The goal of the Waste Management Program is to improve waste management
practices with solid and hazardous waste and wastewater. The water and wastewater
component of the program promotes low-cost water/wastewater system design through
demonstration projects, informational materials and conferences. This program also pro-
vides small communities with engineering review services, troubleshooting, and on-site
training in operations. TVA has access to a large number of professionals within their
organization with waste management experience. Local agencies and TVA field staff refer
communities to the program.
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The Office of Natural Resources and Economic Development's Wastewacer Management
Program is federally-funded under the original TVA Act, as part of TVA's efforts for resource
and economic development.
The Village Safe Water Program
Alaska Department of Environmental Conservation
Pouch "O"
Juneau, Alaska 99811
(907) 465-2664
Contact: Greg Capita
In 1972, the Alaska state legislature established the Village Safe Water Program (VSWP)
within the Department of Environmental Conservation. The purpose of the program is to
provide technical assistance to rural communities constructing and operating water and
wastewater systems funded by the state. Staff provide on-site training and technical
assistance on operation and maintenance, financing, rate setting, project management, utility
management, hiring personnel and consultants, and negotiating contracts. Other services to
communities include laboratory analysis and engineering reviews. Some VSWP engineers act
as the city engineer in communities that do not have one.
VSWP provides operation and maintenance assistance to remote village water and sewer
plan operators through the Remote Maintenance Worker Program.
The State of Alaska appropriates funds to Alaska Department of Environmental Conservation
to support the Village Safe Water Program.
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