small community wastewater cluster systems - home - purdue extension€¦ · · 2012-10-25it is...

Small Community WastewaterCluster Systems

Don Jones, Jacqui Bauer, Richard Wise, and Alan Dunn*

ID-265

Small Community Wastewater Cluster Systems ID-265

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It is the policy of the Purdue University Cooperative Extension Service, David C. Petritz,Director, that all persons shall have equal opportunity and access to the programs andfacilities without regard to race, color, sex, religion, national origin, age, marital status,parental status, sexual orientation, or disability.

Purdue University is an Affirmative Action employer.

This material may be available in alternative formats.

1-888-EXT-INFO

http://www.agcom.purdue.edu/AgCom/Pubs/menu.htm

NEW 7/2001

* Don Jones, Professor, Ag & Biological Engineering Purdue University; Jacqui Bauer and Richard Wise, Indiana Rural CommunityAssistance Program; Alan Dunn, State Board of Health


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Small Community Wastewater Cluster Systems

Table of Contents

The Case for Improved Small Community Wastewater Service ....................5Components of a Cluster System....................................................................5

Collection Options ......................................................................................5Pressure Sewers and Pumps.....................................................................6Small-Diameter Gravity Sewer Systems .................................................7Vacuum Sewers ........................................................................................7

Pretreatment Options ...................................................................................8Final Disposal Options ................................................................................8

Advantages and Disadvantages of Cluster Systems ...................................... 8Advantages ..................................................................................................8

Cost ......................................................................................................... 8Flexibility in Land Use ............................................................................9Maintenance .............................................................................................9Environmental Protection ........................................................................9

Disadvantages .............................................................................................9Managing Cluster Systems .............................................................................9

Creating a Management Structure ............................................................ 10Which Alternative is Right for My Community? .........................................11

Collection Systems ....................................................................................11Pretreatment and Disposal Options for Decentralized Cluster Systems ...11Potential Impact of Indiana’s Emerging Groundwater Standards .............11

How to Develop Support for a Community Wastewater Project ..................12Community Assessment ............................................................................12Public Education .......................................................................................12Public Meetings .........................................................................................12Establishing a Volunteer Advisory Committee ........................................ 13

Finding and Hiring the Most Qualified Consultants ................................... 13The QBS Process.......................................................................................13

Funding Small Community Cluster Systems (Finding the Resources) ....... 14Environmental Infrastructure Working Group ..........................................14State Revolving Fund Loans .....................................................................14USDA Rural Utilities Service (Rural Development) ................................15Indiana Options for Funding Small Community Cluster Systems ............15

Summary of Steps to Complete a Community Wastewater Project .............16Related Information Sources for Small Communities ..................................18References ....................................................................................................18


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In areas served by municipal wastewater facilities,

sewage is transported away from homes in large

diameter gravity sewers to a central plant where it

is treated and discharged into a waterway. Outside

of these areas, most individual residences must

rely on a septic tank and soil absorption field, or

on-site system, to dispose of their wastewater.

Cluster systems bridge the gap between these two

systems in small communities where neither of the

first two systems is feasible.


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The Case for Improved SmallCommunity Wastewater Service

There are an estimated 800,000 residences andsmall businesses in Indiana which are not con-nected to a centralized sewage treatment facility.The Indiana State Department of Health has statedthat as many as 200,000 of these have an inad-equate means of sewage disposal. This is a signifi-cant public health concern, especially for the 700or so small unsewered communities in the state.Many of these are older communities that neverreally planned for sewage disposal; in fact, severalhave direct discharges or connections to towndrains due to a lack of such planning. They oftencannot solve the problem using individual on-sitesystems due to small lots that are poorly suitedfor on-site systems. Such problems will continueuntil cost efficient technologies are madeavailable to these communities. Communitiesexpanding into rural areas also need these newtechnologies so that additional sewage disposalproblems are not created.

A centralized wastewater system is an excellentsolution in larger densely populated areas, sincethe cost of a municipal sewage system is lower ifit can be distributed over a larger number of users.However, centralized treatment systems operatedby small communities often perform poorlybecause the expertise and funding is not be avail-able to update and maintain the facilities. In fact,sewered small communities which treat anddischarge wastewater account for most non-compliance violations, according to the U.S.Environmental Protection Agency. It would seem,therefore, that non-discharging decentralizedwastewater treatment systems, or “cluster sys-tems,” should be carefully considered for this typeof community. In an April 1997 report to Con-gress on the Use of Decentralized WastewaterTreatment Systems, the U.S. EPA stated that,“Adequately managed decentralized wastewatersystems are a cost-effective and long-term optionfor meeting public health and water quality goals,particularly in less densely populated areas.”This support of alternative on-site systems forsmall communities is a major shift from previousnational policies.

Over the past 25 years the nation has made sig-nificant strides in addressing the wastewatertreatment needs of communities across the coun-try. But enormous wastewater treatment needsremain — especially in small communities. EPA’s1996 Clean Water Needs Survey estimated thatsmall communities need an additional $13.8billion to comply with the Clean Water Act by theyear 2016. Nearly $8 billion in governmentfunding has already been provided to smallcommunities for wastewater treatment projectssince 1992.

Cluster systems transport wastewater via alterna-tive sewers to either a conventional treatmentplant or to a pretreatment facility followed by soilabsorption of the effluent. Cluster systems can beenvironmentally sound, financially responsiblesolutions for small community wastewater prob-lems, where conventional central treatmentsystems are not practical or affordable and whereindividual on-site systems are inappropriatebecause of site or soil limitations.

This publication will focus on alternatives toconventional large-diameter gravity sewers andon pretreatment and soil absorption, rather thantreatment/discharge systems. It will discuss thevarious components of a cluster system, theiradvantages and disadvantages, and managementneeds to ensure their proper operation. The com-munity and financial procedures necessary toplan, build, and maintain a cluster system willalso be covered.

Components of a Cluster SystemCluster systems, as discussed in this publication,collect wastewater from a small number ofhomes, usually 2 to 10, and transport it via analternative sewer to a pretreatment and landabsorption area with no surface discharge ofeffluent. Within this description, the options canbe divided into the following categories: collec-tion, pretreatment, final soil absorption, and

management of the system.

Collection Options

Alternative sewer systems use plastic pipes thatare typically smaller in diameter than conven-


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tional sewer pipes because the wastewater is firsttreated (in a septic tank or grinder pump, forexample) so that large, solid materials are sepa-rated out or ground into smaller pieces. An advan-tage of alternative sewers is that the small plasticpipes used in their construction makes it lesslikely that water will infiltrate into the sewer, acommon problem with large-diameter sewers.Infiltrated water adds to the load on the treatmentfacility or the final absorption of the treatedeffluent, which can reduce the degree of treat-ment, the life of the system, and lead to environ-mental contamination. Small-diameter flexibleplastic pipes can also be easily routed aroundtrees and other obstacles, which can simplifyconstruction, minimize disruption to the area, andsave money.

Several types of alternative sewer systems —pressure, small-diameter gravity (SDG), andvacuum sewers — can be used to collect andtransport wastewater. Pressure sewers are themost popular alternative collection systems, andeither pump septic tank effluent or utilize a

grinder pump by replacing the septic tank with asmaller sump and pump. SDG systems use septic(interceptor) tanks at the home to remove thesettleable and floatable solids prior to their entryinto the sewer. This minimizes sewer cloggingand minimizes the need for higher flow velocitiesto keep solids in suspension, allowing the use ofsmall-diameter sewers to transport the effluent.Vacuum sewers (VS) utilize a central vacuumsource that draws wastewater and air throughcollection pipes to the central collection point.Vacuum systems have historically been the leastused of the three alternatives in the U.S., but theiruse has increased substantially in the past fewyears as the technology has improved.

Pressure Sewers and Pumps

Pressurized alternative sewer designs are appro-priate for hilly or extremely flat terrain, shallowbedrock, high water table, or anywhere the costsand environmental impact of excavating fortraditional gravity sewers would be prohibitivelyexpensive. Pressure sewer systems have differentoperation and maintenance requirements than

STEP systems use septic tanks to remove larger solids and small

pumps to transport the sewage effluent.


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conventional sewer systems because they usepumps with controls and rely on electricity. Thepumps are relatively small and run only a fewminutes a day, so little energy is used.

Pressure sewers are subdivided into grinder-pump(GP) systems, which shred sewage solids beforepumping, and septic tank effluent pumping(STEP) systems, which use septic tanks located atthe residence to remove grit, grease, and settleablesolids prior to pumping. Pressure is created in theline by the wastewater pumped into the pipes atthe home connections. Since wastewater flow isnot dependent on gravity, the pipe can follow thecontour of the land and be placed in shallowtrenches just below the frost line. Grinder pumpsare more expensive to operate than STEP systems,but may cost less to install. Both types of pressuresystems use less costly cleanouts instead ofmanholes as access points for cleaning and moni-toring the lines. Both GP and STEP systems havebeen widely used in North America and in manyEuropean and Asian countries.

A grinder pump system receives sewage from thehome rather than a septic tank. A grinder pump inthe chamber works similarly to a garbage dis-posal, in that solid materials in the wastewater arecut into very small pieces. Wastewater is thenpumped through a pressurized line. Grinderpumps are usually larger than the effluent pumpsused in STEP systems and turn on and off accord-ing to the liquid levels in the pumping chamber.

A STEP system consists of a septic tank to re-move solids from the wastewater and a smallpump to push the tank effluent through the systemto final disposal. The effluent pump is located in apumping chamber either located inside the septictank or next to the tank outlet. As effluent fromthe tank enters the pumping chamber, it triggers ahigh-water sensor, which starts the effluent pump.The effluent is then pumped into the effluentsewer line until the water level in the chamberdrops and another sensor shuts the pump off.Sensors also trigger an alarm if effluent levels gettoo high in the pumping chamber.

Because the effluent is relatively free from largersolids, sewers can be as small as 1.5 inches indiameter for the pipes leading from the service

connection, and two or three inches for the mains.This is in comparison to large-diameter conven-tional sewers, which are often eight inches ormore in diameter.

Small-Diameter Gravity Sewer Systems

Small-diameter gravity sewer (SDGS) systems areanother alternative sewer option for small com-munities. SDGS systems are also known aseffluent or variable-grade sewers. SDGSs are agood low-cost alternative to conventional gravitysewers.

Like conventional sewers, SDGS systems usegravity, rather than pumps or pressure, to collectand transport wastewater to a facility for finaltreatment or to empty into a conventional sewermain. Like STEP systems, SDGS use septic tanksto remove most of the solids from the wastewaterso the sewers transport relatively solids-freeeffluent. SDGS sewers can be smaller in diameterthan conventional sewers but need to be some-what larger (usually three or four inches in diam-eter) than those used for pressure sewers. SDGScan be laid at variable grades like pressure sys-tems as long they are placed below frost line andthe elevation of the source is the highest point inthe pipe.

Vacuum Sewers

Vacuum sewers rely on suction, created at acentral pumping station and maintained in thesmall diameter mains, to draw and transportwastewater through the system to final treatment.But because they have limited capabilities fortransporting wastewater uphill (a maximum ofabout 20 feet), they are better suited for areas withflat or gently rolling terrain.

Since the vacuum in the sewer is drawn byvacuum pumps at a central pumping station, thecomponents needed at the individual connectionsare relatively simple. Most vacuum systems donot require vacuum toilets or any special plumb-ing inside the house. When the wastewater in asmall holding tank at the home reaches a certainlevel, a sensor opens a pneumatic valve and thetank contents are sucked into the line by thevacuum in the sewer main. The valve stays open afew seconds to also allow some air to be sucked


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in after the wastewater. The alternate plugs ofwastewater and air from many connections canfollow the contour of the land, traveling throughthe main to the central pumping station.

The initial force of the vacuum removing thewastewater from the valve pit is usually enough tobreak up solids in the wastewater, so relativelysmall-diameter (three- to four-inch) plastic pipecan be used for the service connection with four-to 10-inch mains.

Pretreatment Options

The pretreatment facility in a cluster system isoften a larger version of ones found in someindividual on-site systems, such as aeration,constructed wetlands, or media filters, followedby dispersal of the treated effluent into a soilabsorption system. Because of the soil absorptionfield, cluster systems require more land area thanmunicipal treatment systems that discharge.

There are a variety of alternative on-site pretreat-ment technologies being tested and installednationwide. Recirculating media filters, wherewastewater is circulated through the filter toaerate the wastewater with the effluent returned tothe pump chamber to mix with incoming low-oxygen wastewater from the septic tank, arewidely used to enhance nitrogen removal andpathogen reduction and to lower absorption arearequirements.

Advances also are being made by engineeredabsorption components. The sand or gravel usedin filters is being replaced with lightweightartificial media that can be fabricated at a factoryand quickly installed at the site. These tech-nologies will reduce installation labor and speedinstallation.

Final Disposal Options

Some alternative sewer systems empty into aconventional sewer main that leads to a central-ized municipal treatment facility. This may be themost cost-effective plan for communities thathave this option. However, many small communi-ties do not have a wastewater treatment plantnearby or it may be too small to handle the extrawastewater flow. There are several other treat-

ment alternatives for these communities to con-sider. If a proper site and soil area can be locatednearby, it may be practical to disperse the effluentfrom septic tank effluent pump systems and smalldiameter gravity sewers in a large communitysubsurface soil absorption field similar to thesmaller ones used for individual homes withseptic systems. Usually this effluent is first treatedin a pretreatment unit as discussed above toimprove the performance of the soil system.Wastewater from vacuum and grinder pumpcollection systems must first be settled in a largeseptic tank, and often passed through a pretreat-ment system as well before going to a soil absorp-tion field.

There are a number of alternatives to conventionaltrench and mound soil absorption systems. Alter-natives to aggregate for the absorption fieldtrenches, such as chambers and gravel-lesstrenches, while slightly more expensive, areattractive to both homeowners and installersbecause of the ease of transport, quick installationand elimination of the need for large amounts ofaggregate. In several states, drip irrigation sys-tems are being used because of their ability toplace small amounts of wastewater effluent a fewinches below the ground surface where nutrientscan be taken up by plants in the lawn rather thanleaching into groundwater.

Advantages and Disadvantages ofCluster Systems

AdvantagesCluster systems have a number of advantages:

• Cost• Flexibility in land use• Maintenance• Environmental protection

Cost

Conventional sewer and treatment systems inIndiana can cost $20,000 or more per household(2000 prices), and can result in monthly sewagebills of over $100. The design and construction ofthe sewage collection system is often responsiblefor two-thirds or more of the cost. Much of this is


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due to the large-diameter gravity sewers, whichmust be laid on grade and can require very deepexcavations or a number of lift stations.

Small-diameter plastic pipes used in alternativesystems are less expensive and easier to installthan conventional sewer pipes. Pressurized sewersdon’t rely on gravity to operate, so they can beburied at shallow depths, just below the frost line,and follow the natural contours of the land, savingon excavation costs.

Flexibility in Land Use

County planning agencies sometimes cite the soiland site limitations of traditional on-site systemsas the justification for halting development inunsewered areas and to defend land-use plans.Alternative on-site technologies have the potentialto allow land-use decisions to be determined moreby issues such as roads, schools, hospitals, andother important criteria. Cluster wastewatersystems may permit smaller lot sizes and provideplanners with a tool to better preserve the greenareas and rural character of small communities.These features are frequently lost when large,gravity sewers are installed and high-densitydevelopment follows, or if large lot sizes arerequired for individual on-site sewage disposalsystems.

Maintenance

Complex sewage treatment processes requireexpertise often not found in rural locations. Whenworkers acquire this expertise through trainingand experience, they often have an opportunityfor higher salaries in nearby cities. Therefore,treatment systems that require larger land areas,but less complex operation and maintenance(O&M) are often attractive for small communi-ties. Such systems minimize the need for processunderstanding and rely more on the mechanicalaptitude of an O&M staff, which is more oftenavailable in rural settings.

Environmental Protection

Many small communities with centralized sewagetreatment systems are having difficulties inmeeting required discharge limits. According tothe EPA, sewered small communities with dis-

charge of treated wastewater represented over 90percent of non-compliance violations in 1999.Since many of these small community systemsdischarge to high quality, low flow streams, localenvironmental impacts can be disproportionatelyhigh. Non-discharging, decentralized wastewatertreatment systems can provide an environmentallysound alternative for these communities.

Disadvantages

The primary disadvantage of cluster systems hasto do with the amount of operation and mainte-nance needed. While usually not complicated,alternative sewers have components that conven-tional sewers do not have, such as septic tanksthat need to be inspected and pumped and me-chanical parts and controls that use electricity.These require more frequent and regular mainte-nance than conventional sewers. They also arelocated on site, requiring workers to travel toindividual homes or businesses. This may, how-ever, be more than offset by higher operationalcosts at more complex central treatment facilities.

Clusters require a somewhat complex organiza-tional structure in order to make communitydecisions such as fee collection and continuingeducation of homeowners about wastewaterissues. Homeowner cooperation is much moreimportant than with municipal systems sincesmaller systems are less resilient and less tolerantof periodic large flows or larger than normalloadings of household chemicals than in largesystems, where these peaks are averaged out overa very large user base.

Other disadvantages with alternative sewersinclude disruptions in service due to mechanicalbreakdowns and power outages. Also, systemsmay be poorly designed, installed, or overpriced ifengineers or contractors have little experiencewith alternative technology. Poor design andinstallation of alternative sewers can result inhigher than expected O&M costs.

Managing Cluster SystemsWith traditional on-site systems, maintenance isleft up to the homeowner who typically pays littleattention to the system until it begins to fail.


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Innovative systems require more homeownerawareness as well as regular maintenance proce-dures.

Preventative maintenance is important with thistechnology because an overloaded septic tank orbroken pump at one connection can potentiallyaffect other parts of the system. Depending on thesize of the system, communities may need a full-time maintenance employee or staff to ensure thatthe system is being properly operated and main-tained and to handle emergencies. There areseveral models for providing maintenance forcluster systems. All systems require that workershave access to the user’s property to inspect septictanks and effluent baffles or filters on a routinebasis and to pump tanks as needed. Regularmaintenance is also necessary to ensure properperformance of the pretreatment and finaldisposal.

Remote monitoring may have a place in managingdecentralized on-site systems, and small commu-nity systems that are too small to have on-siteoperators present at all times. Advanced on-sitemonitoring systems typically use “control boxes”that turn electric pumps on and off, monitor septictank levels, and sound an alarm when an unusualcondition occurs. The alarm connects to a panel inthe house. The homeowner must then contact arepairman. Remote sensing could also be used tosend a signal from the home directly to a centralmonitoring office. In more complex systems, thecommunication can even be interactive so thatpump dosing frequencies could be changed, alongwith other system controls, from a remote base.

Creating a Management Structure

The physical maintenance of decentralized on-sitesystems is not as difficult to establish as are thelegal and financial arrangements needed to ensurethat maintenance is accomplished and thathomeowners pay their fair share of the costs indoing so. The policies and procedures that mustbe put in place with cluster systems can be morecomplex than with municipal sewer systems. Theestablishment of a management entity for decen-tralized projects is necessary in order to apply forfederal, state, or other funding, minimize liability,

establish service boundaries, and to manage theadministrative, financial, and operational activi-ties for the services provided. Acceptable manage-ment entities include counties, incorporated citiesand towns, special governmental units (county-wide or area-wide regional sewer districts, conser-vancy districts, etc.), public or private utilities,private corporations, and nonprofit organizations.Each management entity has certain advantagesand disadvantages and comes with its own set ofguidelines for formation and oversight by regula-tory authorities. Community leaders that areevaluating the use of decentralized cluster sys-tems must decide which management entitywould be most beneficial for their project.

Rural electric cooperatives have extensive man-agement expertise, and in some areas (parts ofAlabama and Minnesota) have become involvedin managing on-site wastewater systems in theirservice area. Control systems, standard for elec-tric utilities, are just emerging in the wastewaterfield. This type of management can ensure thatthe wastewater system is serviced promptly andproperly. Regular inspection and interaction ofservice personnel with the homeowners can fostera common concern for protecting the systemsfrom harsh chemicals or other practices that coulddisrupt the system, increase O&M costs, andaffect water quality.

The design, construction, and management ofsewage collection and treatment works, includingdecentralized cluster systems, for counties, incor-porated cities and towns, sewer districts, andconservancy districts, are under the regulatoryauthority of the Indiana Department of Environ-mental Management (IDEM). If your communityis not an incorporated city or town, and yourcounty does not have a program for extendingsewers to your area, you may want to investigatethe advantages of forming a regional sewerdistrict or conservancy district. To obtain infor-mation on the formation and management of aregional sewer district or conservancy district,contact the IDEM Regional Water Sewer DistrictCoordinator, at 317-233-0476 or 1-800-451-6027.


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The formation and management of public andprivate utilities in Indiana are under the regulatoryauthority of the Indiana Utility Regulatory Com-mission (IURC). For questions on the formationprocess of a public or private utility, you maycontact the Utility Analyst for the IURC at 317-232-2778. The design and construction of adecentralized cluster system that will ultimatelybe managed by a public or private utility is underthe regulatory review and approval authority ofthe Indiana State Department of Health (ISDH),and may, in many cases, also require review andapproval from IDEM. For questions about plandesign, review, and approval of decentralizedcluster systems that will be managed by public orprivate utilities, contact ISDH, at 317-233-7186,and IDEM, at 317-232-8660.

Which Alternative is Right forMy Community?

Collection Systems

If your community has decided that an alternativesewer system may be a good option, there are avariety of factors that can help determine whichtechnology could work best. The most importantfactors to be considered are site-related. Certainsite conditions make some alternative sewertechnologies more appropriate and cost effectivethan others. For example, if the homes or busi-nesses to be served by the sewer are located at ahigher elevation than the final treatment facility,then small-diameter gravity sewers might be themost cost-effective technology. If homes arelocated in a relatively flat area where it would betoo expensive to excavate to install gravity sew-ers, vacuum sewers or grinder pumps may be abetter choice.

Operation and maintenance requirements andcommunity planning issues need to be consideredwhen choosing an alternative sewer system sincethe community may have to hire additionalmaintenance staff.

Alternative sewer technologies can sometimes becombined with other technologies. For example,many communities have houses located at bothhigh and low elevations. A system could make use

of small diameter gravity sewers for some homesand pressure sewers for others.

The costs of both conventional sewers pluscentralized municipal treatment plants and ofcluster systems are highly variable depending onhousing density and terrain, but cluster systemsare often half as much as the cost of conventionalsystems, and require less complicatedmaintenance.

Pretreatment and Disposal Options for

Decentralized Cluster Systems

The availability and cost of land plays a signifi-cant role in the pretreatment and disposal optionsselected. This includes the land required forpretreatment and disposal of the treated effluentbut does not address the additional requirement ofobtaining easements from property owners thatwill be affected by any sewer project. Obtainingsuch easements, however, is a necessary step inany proposed infrastructure project.

It is rare that a community will already own theland required to disperse the effluent from acluster system. Some communities may befortunate enough to have suitable land donated orsold at a discount by the county or concernedcitizens in favor of the project. Communities maybe able to purchase the land at less than marketrates, or obtain a long-term lease on the landrequired. Other communities may obtain financialassistance from a local community foundationtoward the purchase of land. Other creativeoptions may be available to help communitiesaddress land acquisition requirements so commu-nity leaders should look at all possible options forland acquisition.

Potential Impact of Indiana’s Emerging

Groundwater Standards

The Indiana Water Pollution Control Board isconsidering a new groundwater standard forIndiana. It is anticipated that the standards maytake effect sometime in the year 2001. Commu-nity leaders considering decentralized clustersystem pretreatment and disposal options shouldbe aware that these groundwater standards wouldestablish concentration limits for contaminants in


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ambient groundwater. Pretreated effluent fromdecentralized cluster systems may be required tomeet discharge limits for certain contaminants(particularly nitrates) before disposal into the soil.The groundwater standards could play a signifi-cant role in a community’s selection of design,pretreatment, and disposal options for a decentral-ized cluster system. As mentioned previously,alternative pretreatment technologies coupledwith drip irrigation disposal, represent a potentialmethod of meeting such requirements. For moreinformation on the adoption of Indiana’s ground-water standards, contact IDEM GroundwaterSection, 317-308-3388.

How to Develop Support for aCommunity Wastewater Project

Community leaders considering an infrastructureproject need to lay some preliminary groundworkin order to educate and gain public support for theproject. The following steps are critical andshould be taken prior to soliciting professionalservices from consulting engineers or otherprofessionals. Many of these steps can be pursuedsimultaneously in order to insure that projectsmove forward in a timely manner.

Community AssessmentA critical step in the process to obtain communitysupport for a wastewater project is the documen-tation of the public health and environmentalproblems associated with the improper treatmentand disposal of domestic wastewater in the projectarea. Numerous complaints to and investigationsby the local health department, limiting site/soilfactors and documentation of widespread septicfailures coupled with few repair options show theneed for a community-based solution to theproblem. Your local health department mayalready have sufficient documentation on file thatsuggests a public health problem exists in yourcommunity due to failing septic systems. TheIndiana State Department of Health in conjunc-tion with the Indiana Rural Community Assis-tance Program (RCAP) currently maintains adatabase of over 400 unsewered communities inIndiana with failing septic systems and otherimproper disposal practices of domestic wastewa-

ter. Contact RCAP at (800) 382-9895 for moreinformation.

Public Education

After sufficient documentation is obtained, publiceducation is the next important step. The commu-nity needs to know about any health concernssuch as waterborne diseases caused by pathogens,nitrate contamination, etc. Public education mayinclude distributing literature to the communityabout contaminants found in untreated wastewa-ter. Much of this information is available throughpamphlets that can be obtained from State or localhealth departments or your county Extensionoffice. Information is also available from theUSEPA Web site <www.epa.gov> or the NationalSmall Flows Clearing House website<www.estd.wvu.edu/nsfc/>. Other websites suchas the Centers for Disease Control<www.cdc.gov> publish fact sheets on outbreakscaused by contaminated water. A series of educa-tional articles published in local newsletters andnewspapers may also help to educate the generalpublic.

Public Meetings

To gain public acceptance of the monthly bill thatwill result from a new project, regular publicmeetings to discuss the community’s problems areof critical importance throughout the project.Although it is rare to obtain 100% support for apublic project, public buy-in and ownership areessential if the project is to be successful. Suchmeetings are needed to:

• Provide education about the publichealth and environmental problems

• Foster trust• Gain support• Provide a forum for communicating

progress reports on the project• Allow for public comment

Public meetings must be well publicized withreasonable advance notice to optimize publicparticipation. A minimum of four to six publicmeetings is usually needed to allow for sufficientpublic involvement and comment. Some publicfunding programs require a minimum publicannouncement period prior to public meeting


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dates and also require a minimum number ofpublic meetings to be held. Community leadersand the volunteer committee should becomefamiliar with public meeting requirements of thevarious public funding programs by contactingthe relevant agencies directly.

Establishing a Volunteer Advisory

CommitteeSometime during the community education phase,or during the first one or two public meetings, avolunteer advisory committee should be estab-lished to serve as a collective body to move theproject forward. The committee needs to becomposed of residents who live in the communityand who are not perceived to have a hiddenagenda. It is advisable to include volunteers whoare in high regard in the community on thiscommittee. The committee should consist of 5-9volunteers. An odd number is preferred to avoid atie when voting on issues.

Finding and Hiring the MostQualified Consultants

The design and installation considerations ofcluster system technologies require the expertiseof an engineer and one or more contractors thathave experience with a particular system. Onlyafter the community has completed the prelimi-nary steps of documenting the problem andeducating the public to the need for the projectshould serious consideration be given to searchingfor professional services to complete a PER(Preliminary Engineering Report). The PER is aprerequisite for most funding programs andusually must be prepared by a licensed profes-sional engineer.

The QBS ProcessCommunity leaders considering any infrastructureproject should choose professionals based onqualification rather than bidding price alone. Thepreferred system for the selection of professionalservices such as a consulting engineer, grantadministrator or other professional(s) for both thePER (Preliminary Engineering Review) phase andthe Design & Construction phase of a project is

the Qualification Based Selection (QBS) process.Public infrastructure projects that are financed inpart by federal funds are required by federal law touse the QBS process. Indiana law also allowspublic agencies to select professionals based onqualifications. Price becomes a factor to negotiateonly after the most qualified professional has beenselected and the community and the professionalhave jointly identified the scope of services re-quired in the project.

The following outlines the basic steps in the QBSprocess:

1. Establish a technical review committee - Atechnical review committee is formed from 5to 9 community volunteers. An odd number ofparticipants is always encouraged to avoid a tiein voting or scoring.

2. Establish a scope of services - The committeeestablishes a list of services they expect theengineer to perform, such as the public healthconcern, need, goals, etc.

3. Establish evaluation criteria - The committeeestablishes the criteria by which professionalfirms will be evaluated.

4. Assign numerical weights to evaluation

criteria - The committee prioritizes andassigns a numerical weight to each criterion.For example, experience in designing andconstructing decentralized cluster systems mayhave an assigned weight of 10, whereas loca-tion and proximity of assigned personnel to theproject may have an assigned weight of 2.

5. Establish scoring ranges for evaluation

criteria – The committee establishes thescoring range that will be utilized with theweights. For example, the scoring can rangefrom 1to 5, with 5 being the highest possiblescore. Each committee member will scoreprofessionals on each criterion. For example,one committee member may score a firm a 2for experience with design and constructingdecentralized cluster systems. With an as-signed weight of 10, this would mean the firmscored 20 (2x10) in this criterion.

6. Send out a Request for Proposal/Statement

of Qualifications solicitation (RFP/SOQ) to

professional firms – A list of professional


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firms that specialize in infrastructure projectscan be obtained from Consulting Engineers ofIndiana (CEI), 317-776-1290, fax 317-776-1260 or the Indiana Society of ProfessionalEngineers (ISPE), 317-255-2267. Send out aletter requesting statements of qualifications(SOQ) that includes the scope of services forthe project.

7. Develop a list of 3-5 firms to interview.

8. Establish a list of interview questions

evaluation criteria and other factors and

schedule the firms for an interview.

9. Interview firms and select the firm that

scores the highest.

10. Negotiate fees with the selected firm and

confirm the scope of services.

A complete QBS user’s guide is available toIndiana community leaders by contacting:

QBSOne Virginia Avenue, Suite 250Indianapolis, Indiana 46204-3616317-637-3316, Fax: 317-637-9968E-mail: [email protected] site: <www.ai.org/qbs>

Funding Small Community ClusterSystems

(Finding the Resources)

There are several sources of state and federalfinancial assistance for community projects likethese. Hardship grants have not been funded inIndiana since the original appropriation, so theyare effectively not a source of money at present.

Environmental Infrastructure

Working Group

The Environmental Infrastructure Working Group(EIWG) is an important resource for communitiestrying to navigate the available funding sources.EIWG membership is made up of representativesof most, but not all, Indiana government agenciesthat fund water/wastewater projects (USDA RuralDevelopment, Public Works & Economic Adjust-ment Grant, Community Focus Funds, and theState Revolving Fund). EIWG does not itselfprovide funding for water/wastewater projects.

The purpose of EIWG is to allow its members toevaluate individual projects. Communities areable to obtain feedback on the validity of a projectand identify agencies and programs that are mostlikely to fund their project without having to go toeach agency individually. EIWG should be one ofthe first places a community turns when lookingfor ways to finance a water/wastewater project;however, not all possible sources of public fund-ing for water/wastewater projects are representedhere.

EIWG normally meets monthly in Indianapolis,although a community may request an on-site orconference call meeting. The community needsto complete a two-page “In-take” form, availablefrom RCAP, that includes specific informationabout the community, the problems they areexperiencing, and past efforts to fix the problem.The community should then schedule a presenta-tion at an EIWG meeting.

State Revolving Fund Loans

The Clean Water State Revolving Fund (SRF)programs in each state operate like banks. Federaland state contributions are used to set up theprograms. These assets, in turn, are used to makelow interest loans for important water qualityprojects. Funds are then repaid to the SRF overterms as long as 20 years. Repaid funds arerecycled to fund other water quality projects.These SRF resources can help supplement thelimited financial resources currently available fordecentralized treatment systems. Projects thatmay be eligible for SRF funding include:

• New system installation to correct anexisting pollution problem

• Replacement, upgrade, or modification ofinadequate or failing systems

• Costs associated with the establishment ofa centralized management entity (legalfees, etc.)

• Capital associated with centralized man-agement programs (e.g., trucks, storagebuildings, spare parts, etc.)


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Who May Qualify

The Clean Water Act (CWA) of 1987 authorizedthe CWSRF to fund point source (§212), non-point source (§319), and estuary (§320) projects.Decentralized system projects that are solutions tonon-point source problems may also be eligible asa §319 project. Included in a long list of eligibleCWSRF loan recipients are political subdivisions,nonprofit organizations, and conservation districts(even individuals in some states.) Project fundingand eligible applicants vary according to thepriorities, policies, and laws within each state.

The first step for a community seeking a CWSRFloan is to contact their state CWSRF representa-tive. The list of CWSRF state representativescan be found at the EPA Web site <www.epa.gov/owm>. You should ask your state representative:

••••• Does the state CWSRF fund decentralizedsystems?

••••• If so, is an individual or private entity eligibleto receive a CWSRF loan for a decentralizedsystem?

••••• If not, can I receive a state CWSRF loanthrough my county government? YourCWSRF state representative will be able toguide you through the proper channels.

Section 319 of the Clean Water Act provides thestatutory authority for EPA’s non-Point SourceProgram. This program provides funds to states torestore waters adversely affected by non-pointsource pollution, and to protect waters endangeredby such pollution. Most states have non-pointsource management plans that allow for the use ofsection 319 funds for decentralized wastewatersystem projects. In some states, the 319 programhas provided money to small communities andstate agencies to construct decentralized wastewa-ter systems in areas where they are more costeffective than centralized systems.

USDA Rural Utilities Service (Rural

Development)

USDA Rural Utilities Service (RUS) Water andWaste Disposal Loans and Grants are available todevelop water and waste disposal (including solidwaste disposal and storm drainage) systems in

rural areas and towns with a population less than10,000. The funds are available to public entitiessuch as municipalities, counties, special-purposedistricts, Indian tribes, and nonprofit organiza-tions. Grant funds are available to reduce waterand waste disposal costs to a reasonable level forrural users. Grants may be made for up to 75percent of eligible project costs in some cases.RUS also guarantees water and waste disposalloans made by banks and other eligible lenders.The facilities financed must be owned and con-trolled by the borrower/grantee. Financed decen-tralized systems would have to be owned andmanaged by the RUS borrower/grantee.

Each state must approve a source of loan repay-ment as part of the application process. Thoughfinding a source of repayment may prove chal-lenging, it does not have to be burdensome.

Indiana Options for Funding Small

Community Cluster Systems

Indiana funding sources for small communitycluster systems are the same as for conventionalwastewater collection and treatment systems. Thefollowing chart on funding sources is extractedfrom a handout published and distributed by theIndiana Rural Community Assistance Programtitled “Financing Sources for Water and Wastewa-ter Projects.”

The document lists a summary of major fundingsources for water and wastewater projects as ofFebruary 2000. The information should not beused as an exhaustive listing of all possiblefunding sources, especially when dealing withlocal infrastructure finance options, such asEconomic Development Income Tax, CountyOption Income Tax, municipal bonds, etc. RCAPcontinually updates the handout as new fundingsources become available, or when rules andregulations regarding funding sources change. Fora more detailed explanation of the followingfunding sources you may obtain a copy of thehandout by contacting the Indiana Rural Commu-nity Assistance Program. RCAP can be reached at1-800-382-9895 or the agencies can be contacteddirectly. There are no fees for their services.


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EIWG Contact:

Executive Director, IN RuralDevelopment Council150 West Market Street, ISTA Center,Suite 414Indianapolis, IN 46204(317) 232-8776, Fax: (317) 232-1362

Summary of Steps to Complete aCommunity Wastewater Project

1. Assess the level of need for a project.a. Hold public meetingsb. Discuss the possibility of a project with

local organizations/agencies/residentsc. Determine history of problems, and level

of resident interestd. Review records/gather data to document

problems2. Identify likely funding sources for the project.

a. Perform an income survey to see if thecommunity qualifies for grant assistance

b. Discuss the project with various fundingagencies (Indiana Department of Com-merce, State Budget Agency, IndianaDepartment of Environmental Manage-ment, Rural Development); bring projectto EIWG

3. Conduct an engineering study to determinethe most practical way to solve wastewaterproblems in the target community.

a. Locate funding to finance the study (studycosts can range from $5,000 to $50,000,depending on size of community and theavailability of funds)

b. Apply for grant or other assistancec. Choose an engineer:

1) Appoint/select a committee to reviewqualifications (usually made up of localresidents)

2) Send out a request for qualifications3) Select 3-5 firms to interview4) Conduct interviews and select the best

firm5) Negotiate a contract with the selected

firmd. Sign a contract (if the community is

unincorporated, contracts are usuallysigned by the county commissioners)

e. Assist the engineer, as needed, in complet-ing a Preliminary Engineering Report(PER). It usually takes 3-6 months tocomplete a PER. Until this step is com-

pleted, the monthly sewer bill cannot be

estimated.


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f. Submit the PER to the community forapproval, then to the Indiana Departmentof Environmental Management or RuralDevelopment (depending on source offunding)

4. Begin applying for funding as identified inStep #2 above. This step can include procur-ing a grant administrator, conducting anenvironmental and historic review, evaluatingthe need to obtain easements, etc.

5. Construction of selected alternative, ongoingactivities necessary to comply with fundingrequirements.

Representatives of the Indiana Rural CommunityAssistance Program can assist communities withall of the above steps at no cost to the community.

If you would like more information about ourservices, please call 1-800-382-9895.

Related Information Sources forSmall Communities

Health Departments: If you would like moreinformation about alternative sewers or areinterested in utilizing one, contact your localhealth department or the Indiana State Depart-ment of Health at (317) 233-7177 for assistance.(Local health department phone numbers areusually listed in the government section of localphone directories.)

National Small Flows Clearinghouse (NSFC):

The National Small Flows Clearinghouse, whichspecializes in on-site technology, operation,maintenance, regulations, management, finance,and education, has a variety of free and low-costproducts available. NSFC can be reached at(800) 624-8301.

Purdue Extension Service: Purdue Extensionservice offices can provide assistance and infor-mation about many of the wastewater treatmentissues discussed. To locate the extension officein your area, call Purdue University at (888) 398-4636, the U.S. Department of Agriculture at(202) 720-3377 or NSFC.

A QBS user’s guide is available to Indianacommunity leaders by contacting:

QBSOne Virginia Avenue, Suite 250Indianapolis, Indiana 46204-3616317-637-3316, Fax 317-637-9968E-mail: [email protected],Web site: <www.ai.org/qbs>

References1) The On-site Revolution: New Technology,

Better Solutions. Stephen P. Dix, P.E., andValerie I. Nelson, Ph.D. This article wasoriginally published in Water Engineering &Management.

2) EPA Initiatives for Decentralized WastewaterTreatment, Stephen Hogye, Office of Waste-water Management, U.S. EnvironmentalProtection Agency, Mail Code 4204, 401 MStreet SW, Washington, DC 20460.

3) Cluster System Installed near Northeast TexasLake, From Insights Volume 6, Number 4:December 1997.

4) Baseline Information on Small CommunityWastewater Needs and Financial AssistanceOct, ’99 EPA 832-F-061.

5) Financing Decentralized Systems —The Clean Water State Revolving Fund.

6) Alternative Sewers: A Good Option forMany Communities, From Pipeline* by

National Small Flows Clearinghouse.


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NOTES

Purdue University • 2001

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