Chapter 1

Introduction to
Wastewater Management
Wastewater Treatment is one of the most important
services a municipality may provide and one of the
least visible. This chapter provides an overview of
the process of wastewater treatment and provides
information appropriate for municipal leaders, the
general public and operators.
 Handbook on Wastewater Management

Chapter 1: Introduction to Wastewater Management

Chapter 2: Asset Management and Sustainability
Chapter 3: Financial Management & Rate Structures
Chapter 4: Regulatory Overview and Legal Responsibilities
Chapter 5: Educating and Engaging the Public on Wastewater Treatment
Chapter 6: Stormwater Management and MS4s
Chapter 7: Collection Systems
Chapter 8: Staff Training Demands, Succession Planning and Certification
Chapter 9: NYWARN Water/Wastewater Agency Response Network
Appendix 1: Glossary of Terms
Appendix 2: Financial Glossary

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 Introduction to Wastewater Management

Chapter 1:
Introduction to Wastewater Management
Wastewater 101 How do we collect the wastewater?
The sewer or collection system is designed so
Overview that it flows to a centralized treatment location. The

T
he section provides an overview of wastewater collection system is comprised of smaller sewers with
treatment and is intended to provide a brief a diameter of about four inches. As more homes and
description of what processes may be at your companies are connected along the system, the pipes
wastewater plant. Although each plant is designed become larger in diameter. Where gravity systems are
for particular conditions, there are many similarities not practical, pumping stations are often included to lift
in how different processes operate. There may be the wastewater.
differences between your plant and a neighboring plant In New York State and in many other states, there are
in terms of size, ground area, shape of tanks (circular or some very old collection systems. Some sewer piping
rectangular), or the types of treatment processes they was actually installed in the late 1800s! Materials of
use. construction and methods
What is wastewater? When people visit a treatment plant of construction have
Wastewater or sewage changed significantly over
for the first time, often it is not what
is the byproduct of many the years. Many systems
they perceived it would be. These experience problems during
uses of water. There are
the household uses such as
wastewater plants are complex facilities wet weather periods with
showering, dishwashing, and provide a high quality product. inflow and infiltration. This
laundry and, of course, is commonly referred to as
flushing the toilet. Additionally, companies use water I&I. Wet weather operating periods typically occur
for many purposes including processes, products, and when the snow melts in the spring and/or during heavy
cleaning or rinsing of parts. After the water has been rainstorms. Water resulting from snowmelt or storms
used, it enters the wastewater stream, and it flows to should flow into a storm water system and not into the
the wastewater treatment plant. When people visit a sanitary sewer system. Unfortunately, this isnt always
treatment plant for the first time, often it is not what the case.
they perceived it would be. These wastewater plants What is Inflow & Infiltration (I&I)?
are complex facilities and provide a high quality end Inflow is water from a sump pump or a roof leader.
product. This is relatively clean water that should be discharged
Why treat wastewater? to a storm water system. In some cases, homeowners in
We need to remove the wastewater pollutants to low lying areas connect sump pumps (illegally) to the
protect the environment and protect public health. sewer because it is relatively easy and inexpensive. In
When water is used by our society, the water becomes many communities, there are combined sewers that
contaminated with pollutants. If left untreated, carry street runoff, as well as wastewater.
these pollutants would negatively affect our water Infiltration is water from high groundwater levels.
environment. For example, organic matter can cause Older sewer pipes may have leaking joints or cracks
oxygen depletion in lakes, rivers, and streams. This that allows the water to enter the system. Infiltration
biological decomposition of organics could result in usually occurs in the spring when melting snow and
fish kills and/or foul odors. Waterborne diseases are rain saturate the ground.
also eliminated through proper wastewater treatment. Excessive I&I can lead to Combined Sewer Overflow
Additionally, there are many pollutants that could (CSO) and Sanitary Sewer Overflow (SSO) points in a
exhibit toxic effects on aquatic life and the public. collection system. If you have CSOs or SSOs, the NYSDEC
is probably talking to you about it!

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 Handbook on Wastewater Management

the pollutant loadings entering

the plant (influent).
Preliminary treatment
commonly includes raw
sewage pumps. Screening and
grit removal are important
to the proper operation of the
raw sewage pumps. These
materials will cause clogging
and cause wear on the internal
parts. These raw sewage
pumps deliver the flow to
the next phase of treatment:
Primary Treatment.
What is Primary Treatment?
Diagram of Wastewater Treatment Processes from Clean Water For Today: What is Wastewater Primary treatment is a
Treatment? Courtesy of Water Environment Federation. physical settling process that
removes solids. Wastewater
What happens after collection of the wastewater?
that enters the primary settling tank (or clarifier) is
The wastewater continues to flow through the
slowed down to enable the heavier solids to settle to
collection system and eventually reaches the wastewater
the bottom. Lighter materials, such as grease, will float
treatment plant. Upon reaching the plant, the flow
to the top of the tank. Settling tanks are designed with
first encounters preliminary treatment. Preliminary
mechanisms to remove both the settled solids, as well
treatment is followed by primary treatment, then
as the floating solids. Primary clarifiers are either
secondary treatment, and perhaps advanced or tertiary
circular or rectangular. Both types work equally well
treatment. The solids or sludge removed from the
when properly designed and maintained. Not all plants
wastewater stream also needs to be treated.
have primary treatment.
What is Preliminary Treatment? Primary treatment generates primary sludge. The
Preliminary treatment processes are the first sludge is removed and pumped to the solids treatment
processes that the wastewater encounters. This process for ultimate removal.
typically involves flow measurement so that the operator Whats left after we remove the pollutants that settle
can quantify how much wastewater is being treated. and float? The wastewater still has solids remaining
Flow monitoring is commonly followed by screenings after primary treatment. These solids are either
removal. Screenings are string like materials and large dissolved or suspended. Dissolved solids are very small
foreign objects like sticks or perhaps an errant golf ball. solids (e.g., dissolving sugar in water). You cannot see
These materials need to be removed because they can the solids but they are there. Suspended solids can be
damage machinery or clog processes. Screenings can be likened to the same ends of a magnet. The solids repel
removed using bar screens and other devices designed each other. These solids are small, but are visible to the
for this purpose. human eye. We remove these dissolved and suspended
The next process in preliminary treatment is grit solids through the next phase of treatment: Secondary
removal. Grit is comprised of inorganic material such Treatment.
as sand, gravel, eggshells, etc. It is desirable to remove
What is Secondary Treatment?
grit to prevent wear and abrasion on pumps and other
Secondary treatment is a biological treatment process
mechanical equipment. Grit can also plug lines and
used to stabilize the dissolved solids. Microorganisms
pipes. In this influent area, sampling equipment is often
(e.g., bacteria) feed on the organic solids (food) in the
used to collect small portions of the wastewater for
wastewater and convert the organics into a cellular
analysis. Sampling enables the operator to determine
or biological mass that can later be removed. These

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 Introduction to Wastewater Management

biological processes are aerobic processes. Oxygen lagoons may include excessive algae growth (solids
must be provided for these aerobic organisms to work violations) and poor performance in the winter.
properly and efficiently. Another type of secondary treatment is known as
An integral part of secondary treatment processes fixed film processes. Fixed film processes consist of
is another set of settling tanks or clarifiers. These two types: Trickling Filters or Rotating Biological
secondary clarifiers (final clarifiers) remove the Contactors (RBC). Trickling filters are sometimes called
biological mass that has grown during biological Bio Towers. Trickling filters are beds with a synthetic
treatment. material (media). An under-drain system and a rotary
There are many different kinds of secondary processes distribution system apply the wastewater to the media.
that can be employed. A very common secondary The microorganisms grow attached to the rocks or
process is known as activated sludge. In activated synthetic media as opposed to liquid suspension in the
sludge treatment, the
wastewater is mixed
with organisms that
are returned from the
secondary clarifiers.
There is a continuous
return of organisms
from the secondary
clarifiers. This is called
return sludge or return
activated sludge. Oxygen
is provided in the
aeration tank either by
blowers and diffusers or
by a mechanical mixing
process. A variation of
the activated sludge
process that is becoming
more popular is known
A belt press is often used to dewater sludge.
as Sequential Batch
Reactors (SBRs). This process differs from the more activated sludge. A circular rotary distributor moves
conventional activated sludge systems in that it also uses over the media bed and the wastewater is trickled onto
the aeration tank as a settling tank. This is accomplished the media. As the wastewater flows over the media, it
by turning off the air to the diffusers or the mixers and comes into contact with the microorganisms and picks
allowing the solids to separate from the wastewater. up oxygen. When the biological growth becomes too
During this settling period, the flow is diverted into a thick, it falls off the media and flows with the wastewater
second SBR tank for continuous treatment. Advantages to a secondary settling tank for removal. Many trickling
of this SBR process include a relatively small footprint filter plants that originally were designed with rock
and the capability of removing nutrients (both nitrogen media have changed to the more efficient plastic media.
and phosphorus). The RBC is similar to the trickling filter in that it uses
Lagoon systems are also a form of biological or an attached biological growth. An RBC has panels that
secondary treatment. These lagoons systems are are circular and mounted to a shaft. The wastewater
used where there is a lot of land available and/or the flows into a basin beneath the media and the media
wastewater flows (quantities) are low. Lagoons are rotates with the shaft. The microorganisms are
constructed with lined earthen bottoms and are less contacted with the wastewater. Since the RBCs expose
expensive to construct than are activated sludge the media to the air, oxygen is picked up and transferred
processes that use concrete tanks. Limitations of into the growth. RBCs have low energy requirements.

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 Handbook on Wastewater Management

microorganisms. The effectiveness of this process is

monitored by testing the fecal coliform group. This
indicator group of microorganisms are easy to grow
in a laboratory and are tougher to kill than pathogens.
Some chlorination systems also have dechlorination
systems to remove any residual chlorine.
Ultraviolet (UV) disinfection systems contact the
treated secondary wastewater with UV light bulbs
that are encased in clear housings. The UV light
kills pathogenic organisms by using a germicidal
photochemical wavelength. Unlike chlorination, UV
leaves no residual in the wastewater with which to be
concerned. Plants that use UV must either have dual UV
Intermittent sand filter (Secondary Treatment).
systems or have chlorination as a backup. Additionally,
these UV systems are energy consumptive.
These systems need to be protected from cold weather
by a building. What is Advanced Treatment?
Intermittent sand filters are employed in some Some treatment plants may be required to remove
smaller applications. As wastewater passes through nutrients (nitrogen and phosphorus) due to the possible
the filter bed, solids are removed. Microorganisms negative impacts on the receiving stream (e.g., ammonia
grow in the removed solids layer and provide biological toxicity to fish). Advanced treatment processes are
treatment of the wastewater as it flows through the used to remove nutrients, additional solids, and/
sand bed. The sand will need to be replaced at some or biochemical oxygen demand. Advance treatment
point in time. Additionally, these sand filter systems provides a very high level of treatment that goes beyond
generally perform poorly in the winter. secondary treatment. In the case of nitrogen removal,
All of the secondary treatment processes produce the processes are biological. For phosphorus removal,
biosolids. These biosolids are pumped to the solids chemical additives are normally required.
treatment system for further processing. Where do all the solids go?
What comes after Secondary Treatment? Solids that settle out in the primary and secondary
In many plants, the next process is called disinfection. clarifiers are referred to as sludge. Sludge from
Disinfection means the inactivation of disease-causing biological treatment processes (e.g., activated sludge)
organisms. It is sometimes confused with sterilization are referred to as biosolids. Sludge is the byproduct of
which means the killing of all organisms. In disinfection,
the wastewater following secondary treatment is
usually treated in one of two ways: (1) chlorination or
(2) ultra-violet radiation.
Chlorination involves the use of chlorine, either in
the form of a gas (less common today), or as a liquid
(sodium hypochlorite). The chlorine oxidizes the

Rotating biologial contactors (Secondary Treatment).

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 Introduction to Wastewater Management

treating the liquid wastewater. Proper solids handling incinerated. The remaining ash is landfilled.
is of paramount importance. If sludge is not removed, The Village of Clinton Wastewater Plant is a 2.5 mgd
problems will occur in other areas of the plant. Excess design that gravity thickens the sludge before pumping
solids can also lead to State Pollution Discharge into an anaerobic digester. In the past, solids removed
Elimination System (SPDES) Permit violations and from the digester were pumped to a drying bed and
odor problems. There are many different options landfilled. The drying beds were troublesome due to
available for solids handling. Local conditions usually weather dependency e.g. rain and winter. Solids from
dictate which option is best for your particular facility. the anaerobic digesters now go to a belt filter press, and
General categories of sludge handling include digestion then to a landfill.
processes, hauling of liquid sludge to a larger treatment The Old Forge Wastewater Plant (0.45 mgd) pumps
plant, thickening, dewatering by mechanical means the sludge to an aerobic digester. When the digester
(belt filter presses, centrifuges), incineration, land approaches capacity, the solids are then treated with
filling, and land application. polymer and processed through a thickening device.
The Herkimer County Wastewater Plant is designed The solids are stored in another aerated tank until it is
for 6.1 million gallons per day (mgd). Sludge is pumped time to call for a tank truck. A contractor hauls 6,000
to a gravity thickener, treated to reduce odors, and gallons to the Watertown Wastewater Plant for further
dewatered using a belt filter press. The dewatered treatment and disposal.
solids are treated using dry lime for stabilization and In summary, there are many options available for
loaded into a roll off container. A contractor takes the sludge treatment and handling.
container and stores the solids. The sludge is later land Where does the water go after treatment?
applied on crop fields. The treated wastewater is referred to as effluent. The
The City of Little Falls Wastewater Plant is a 5.0 mgd effluent is discharged to a water body such as a lake,
design and pumps the sludge to a gravity thickener. river, stream, or groundwater. Conditions contained
Solids are dewatered using a belt filter press and then in the SPDES Permit are designed to minimize the

Sand drying beds can be problematic, particularly with rainy conditions.

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 Handbook on Wastewater Management

Fixed film and old trickling filter stone, left, are sometimes replaced with more efficient plastic media, right.
impact that the effluent may have on the receiving to operate properly. Too much oxygen can mean that
stream. Small streams that have a classification of trout money is wasted through excess energy consumption
spawning or that are used downstream for drinking to provide the oxygen, which is relatively insoluble in
purposes have more stringent (tighter) permit limits water.
than streams that discharge into a water body with a Effluent: Wastewater or other liquid, partially or
higher flow and/or sizeable tributaries. completely treated, flowing from a reservoir, basin,
What are common wastewater terms? treatment process, or treatment plant.
In wastewater vernacular, there are acronyms for Influent: Wastewater or other liquid flowing into a
many processes. Some of the most common terms reservoir, basin, or treatment plant.
are listed below with a brief description. A more Parts per million (ppm) or milligrams per liter
comprehensive glossary of wastewater terms can be (mg/L): These terms refer to the results of analyses such
found at the end of the handbook. as TSS or BOD5. These terms are used interchangeably
Aerobic: A process that requires dissolved oxygen to and mean exactly the same thing.
operate properly. The microorganisms need the oxygen Total Suspended Solids (TSS): Data from a test that
to eat the food properly. measures by weight how much particulate material
Anaerobic: A process that can operate or needs to is contained in wastewater samples by filtering the
operate without oxygen being present. A good example sample through a special fiberglass filter. For example,
is an anaerobic digester used for solids handling. TSS measures the solids that can be seen in a beaker.
Biochemical Oxygen Demand (BOD5): A test Additional Resources
that measures the organic strength of a sample of Biosolids Recycling: An Environmentally Sound Way
wastewater. It provides information on the organic to Put a Valuable Resource to Work for All of Us Natures
load or how much food there will be for organisms. Way: How Wastewater Treatment Works For You Clean
The load can be either to a treatment plant unit or to a Water for Today: What is Wastewater Treatment? Be in
receiving water body. the Know, Go with the Flow!
Clarifier or settling tank: Tanks designed for the All available from:
physical separation of wastewater floatable solids and Water Environment Federation
settleable solids. These two terms are widely used 601 Wythe Street Alexandria, VA 22314-1994
interchangeably. Phone: 703-684-2452
Disinfection: Killing disease-causing organisms, Fax: 703-684-2492
differing from sterilization, which kills all organisms. www.wef.org
Dissolved Oxygen (DO): A test usually performed by
an electronic meter that measures the dissolved oxygen
of a sample or process unit. It is important because many
of the treatment processes require oxygen (aerobic)

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 Introduction to Wastewater Management

Personnel Management of the environment is the key consideration in the

Communities should consider personnel management management of a utility system. An adequate staffing
as important as funding for equipment repair and plan is essential to achieving that goal. Here are the
replacement. Local officials must realize that an steps for preparing a staffing plan:
adequate, well-trained staff is necessary both to 1. Develop an organizational chart. It is important to
provide cost-effective Operations and Maintenance have a clear organizational chart to determine how
(O&M) of their facilities and to ensure compliance with utilities need to be managed. The current trend is to
all regulatory requirements. separate water and wastewater utilities from other
This section will provide some guidelines to help public works to improve performance, and to enable
local officials determine the necessary steps to develop technical personnel to develop comprehensive
the best possible staff. expertise in their areas of responsibility. To
effectively implement this organizational approach,
Developing an Adequate Staffing Plan
local officials need adequate information about
Generally, staffing is the largest component of an O&M
specific job responsibilities to then determine
budget for a wastewater facility. For small communities,
the number and type of personnel required. The
these costs comprise the main budget component. Local
product of this first step in developing a staffing
officials should not try to reduce O&M direct labor
plan is an organizational chart showing all lines
costs as a way of cutting budgets. For example, it may
of supervision and authority, all filled and unfilled
be that large amounts of overtime pay are being spent
positions, and an approximation of all needed, but
on existing staff. Hiring additional personnel may be
as yet unauthorized positions.
a more cost-effective approach to spending personnel
2. Conduct a task analysis. A detailed task analysis will
dollars. Another factor involved in determining staffing
help determine how many workers are needed and
the level of experience and expertise necessary for
each wastewater facility job. Begin by identifying
all O&M tasks that must be accomplished to ensure
adequate performance by the facility. Include tasks
that are currently being accomplished, as well as
those that should be done but might not be due to
lack of time, talent, or other resources. The task
list should reflect all routine O&M tasks required
for the entire year. Some tasks may be daily, while
others might be performed weekly, monthly, or
even yearly. To develop a comprehensive task
Aerated lagoons are secondary treatment processes.
list that truly reflects the needs of the facility, an
experienced supervisor familiar with the facility
cost effectiveness is the use of outside contractors to
should be involved at all stages of the task analysis.
perform certain O&M functions. A community might
The product of this second step in developing a
consider using contractors for functions such as major
staffing plan is a comprehensive task list, organized
maintenance or overhaul.
by unit processes.
Development of a staffing plan will not only ensure
3. Determine staffing requirements. The next step is to
cost effectiveness, but will also help local officials meet
review the task list and estimate the time each task
their responsibility to ensure that wastewater facilities
normally requires. It is necessary to compute the
comply with state and federal regulations. Inadequate or
total number of person-hours per task, per technical
poorly trained staff inevitably leads to non-compliance
skill, per year required to provide adequate O&M of
problems and potential fines. In addition to complying
the facility. Once that number is determined, it may
with appropriate regulations, local officials also have
be divided by the total number of hours that each
a responsibility to the citizens of their communities
worker is available per year, taking into account
to provide uninterrupted utility service. Protection
vacations, holidays, etc. In this way it will be

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 Handbook on Wastewater Management

possible to derive a number that approximates the Education requirements vary depending upon
personnel hours needed to provide adequate O&M Grade. The minimum education required is High
for the facilities in question. The product of this School Diploma or High School Equivalency. Classroom
third step in developing a staffing plan is a break training also varies as a function of Grade. For a Grade
out of required staffing hours, by skill and by task. 2A applicant, the following training is required:
4. Create job descriptions. Once the estimated number Basic Operations Course (10 days)
of staff hours is determined, the organizational Activated Sludge Course (5 days)
chart should be appropriately modified and each Laboratory Proficiency (5 days)
staff members responsibilities redefined. Detailed Grade 3/3A operators would also need the Supervision
job descriptions for each position identified on the and Technical Operations Course (5 days). Grade 4/4A
chart should be prepared or old job descriptions operators would go on to take the Management Course
should be modified and updated. Remember to get (4 days).
input from the people actually doing the job. Job All applicants must have hands-on operating
descriptions should include areas of responsibility, experience and must have his/her actual operating
summaries of required tasks, subordinates experience verified. Applications with the necessary
supervised, and supervisors to whom reports are documentation are sent to the New York Water
made. The product of this fourth step in developing Environment Association (NYWEA) and also filed with
a staffing plan is an updated set of written job the NYSDEC Regional Offices and for water operators
descriptions. sent to County Health Department where appropriate.
5. Implement staffing changes. After approving the All certified wastewater operators are required to
staffing changes recommended by steps 3 and 4, renew their certificates every five (5) years. Treatment
the O&M budget must be modified appropriately. technologies are changing and operators need to
In addition to follow-up budget monitoring relating keep abreast with the latest operational approaches.
to these staff changes, management should Operators are required to attend seminars and obtain
periodically assess them in terms of improved between 20 and 80 training contact hours. Failure to
efficiency and performance of the utilitys O&M. renew means that the certificate has expired and that
The product of this final step in developing a staffing the operator is not certified. If the Chief Operators
plan is a new written staffing plan and corresponding certificate has expired, he/she is not certified and
budget. the plant may not be under responsible supervision.
Plant Coverage In a well-run facility, good training will result in a
Plant coverage guidelines call for enough time for substantial payback. Local officials need to vigorously
the operators to collect, analyze, and record required support continuing education to comply with the
samples. The plant should be staffed by the Chief regulations. Certified operators generally do a better
Operator or Assistant/Shift Operator a minimum of two job. Annual budgets should include line items for
(2) hours every day. Additionally, the Chief Operator certification training (when appropriate) and for
should be on-site not less than 30 days per calendar renewal training. Work plans and schedules should
quarter. Note that these are the minimum levels of allow for time to attend training.
coverage and NYSDECs Regional Water Engineer may Regulations provide for the suspension and/or
require more coverage depending upon plant size, the revocation of operator certificates if the operator was
receiving water, permit limits, etc. negligent, or practiced fraud or deceit in the performance
of his/her duties. The operators are expected to keep
Certification and Training
up on maintenance and routine sludge removal. Local
The Grades of certification are divided into the
officials have to financially support these activities.
following levels: 1, 2, 3, and 4. Grade 1 is the lowest level
Falsification of data and discharge monitoring reports
of certification and applies primarily to the smallest
is very serious and criminal.
plants. Activated sludge plants have an A designation.
All the certification requirements are described
A Scoring System is used to determine the required
in 6NYCRR Part 650 Qualifications of Operators of
Grade of Chief and Assistant/Shift Operators.
Wastewater Treatment Plants and in the Wastewater

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 Introduction to Wastewater Management

Treatment Plant Operator (WWTPO) Manual. For Professional organizations such as the Water
electronic copies of Part 650 and the WWTPO Manual, Environmental Federation, the American
visit the following website: http://www.dec.state. Water Works Association, and the Rural Water
ny.us/website/dow/bwcp/opcert.html For paper Association In addition, a local government may
copies, contact NYSDECs Facility Operations Assistance contract training, including on-site programs,
Section, 625 Broadway, Albany, NY 12233-3506 or call using operations and maintenance consultants,
518-402-8089. consulting engineers, or manufacturers
Additional Training Needs representatives.
In addition to ensuring compliance with certification Quality training opportunities are important for
regulations, a comprehensive training program for staff development. The best training is not necessarily
wastewater operators will provide other significant the cheapest. It is up to local officials to work with their
benefits for a local government. A well-trained staff is staff to ensure that training being considered develops
essential for efficient utility O&M. Good training will a staff that can provide effective O&M of the water and
result in a substantial payback over the years in terms wastewater facilities.
of well-run facilities. Far-sighted local officials will Examples of Training Providers
make sure that O&M budgets provide adequate funds NY Water Environment Association
for staff to go to the best training available. This may 525 Plum Street, Suite 102
mean sending staff to off-site training events, paying the Syracuse, NY 13204
cost of course registration as well as travel expenses, or Phone: 315-422-7811
having staff attend training programs during working Fax: 315-422-3851
hours and directing other personnel to fill in during www.nywea.org
that time.
Another training option is to contract on-site training NY Rural Water Association
customized to the individual wastewater facility. Not PO Box 487
all training needed is technical in nature. Training Claverack, NY 12513
programs relating to management, supervision, Phone: 518-828-3155
and other important skills, such as effective report Fax: 518-828-0582
writing and use of the computer, are also important in www.nyruralwater.org
developing a more efficient and productive staff.
If the staff size is sufficiently large, it may be a good New England Interstate Water Pollution
idea to designate a training coordinator. This individual Control Commission
can determine staff training needs and watch for 116 John Street
appropriate training opportunities or courses. The Lowell, MA 01852-1124
training coordinator can schedule employees for off-site Phone: 978-323-7929 or 978-323-7930
training, set up on-site training classes, and monitor Fax: 978-323-7919
the training budget. The coordinator should also www.neiwpcc.org
evaluate the training programs and determine which
ones are most effective in improving staff performance. New York State Department of Environmental
The individual coordinating training should have some Conservation (NYSDEC)
technical experience in water or wastewater treatment. Facility Operations Assistance Section
625 Broadway,
Training Sources Albany, NY 12233-3506
Many sources of training are available for operators Phone: 518-402-8089
of wastewater treatment facilities. Training will be Fax: 518-402-8082
available through the following organizations: www.dec.state.ny.us/website/dow/bwcp/
State environmental training centers foas_main.html
State regulatory agencies
Operator associations

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 Handbook on Wastewater Management

Environmental Finance Center Preventive maintenance task list

at Syracuse University Records of maintenance performed
727 E Washington St Technical resources
Syracuse, NY 13210 Tools and equipment
Phone: 315-443-4445 Spare parts inventory
efc.syracusecoe.org Personnel training
Budgeting
NYSDOL, Public Employee Safety and Health Scheduling and monitoring
State Office Campus, Building 12 Recordkeeping
Albany, NY 12240
Phone: 518-457-5508 Equipment and Component Inventory
Fax: 518-485-1150 The backbone of any preventive maintenance
w w w. l a b o r. s t a t e . n y. u s . / w o r k e r p r o t e c t i o n / program is a comprehensive listing or inventory of all
safetyhealth/DOSH_DIRECTORY.shtm system components and equipment. This listing should
include a name and code number to every part of the
US DOL, Occupational Safety and system.
Health Administration Manufacturers Literature
201 Varick Street, Room 670 For each piece of equipment or component identified
New York, NY 10014 in the inventory, the manufacturers literature should be
Phone: 212-337-2378 obtained and compiled. For a new or upgraded facility,
Fax: 212-337-2371 it is often the contractors responsibility to provide
www.osha.gov/oshdir/r02.html manufacturers information for all installed equipment.
Preventive Maintenance Task List
Collection System and Plant Maintenance Once all of the equipment and components have been
Overview itemized and the manufacturers literature has been
Maintenance is essential to the sustainability of collected, it is time to develop the comprehensive list
every wastewater system. A preventive maintenance of preventive maintenance tasks and to schedule them.
program combined with good operational practices will Working systematically through each component of
reduce the need for much of the corrective or emergency the facility, and remembering to address additional
maintenance. A good preventive maintenance program areas such as building and grounds maintenance, all
will service not only mechanical and electrical preventive maintenance tasks must be identified and a
equipment, but also the distribution and collection frequency for scheduling should be assigned.
systems, grounds and buildings. Records of Maintenance Performed
Maintenance includes all functions required to keep a Records must be kept indicating which maintenance
facility operating in accordance with its original design tasks have been performed and when. This is helpful
capacities and performance. This includes repairs to for two reasons. First, it is imperative to verify the
broken, damaged, or worn-out equipment (emergency completion of each maintenance task. Second, to
maintenance), and the periodic replacement of schedule future maintenance activities or to verify the
equipment and facilities that have reached the condition of certain equipment, it is always helpful to
end of their design life (corrective or replacement be able to refer back to the record of past maintenance
maintenance). performed. All tanks should be inspected once per year.
Maintenance Program Elements Technical Resources
A comprehensive preventive maintenance program Manufacturers maintenance specifications do
will have the following components: not always provide complete information on all
Equipment and component inventory maintenance tasks. Certain general maintenance tasks
Manufacturers literature are not covered in detail in manufacturers maintenance

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 Introduction to Wastewater Management

manuals, and many general maintenance tasks are not Estimating Staff Hours for Various Maintenance Functions
addressed in manufacturers information at all. (Task Analysis)
Tools and Equipment Sufficient labor must be available and funded for
Every wastewater system must have suitable tools preventive maintenance functions. A good preventive
and the required specialized equipment available to maintenance program will document the schedule
perform maintenance. These tools and equipment and work plan for each maintenance function. This
should be of good quality, because they are likely to be schedule serves as the basis for estimating the labor
used for many years. requirements for preventive maintenance.
To determine trade and person-hour requirements
Spare Parts Inventory
for each preventive maintenance function, the function
It is important to maintain an inventory of spare
should be broken down into tasks. The tasks can then be
parts required for preventive maintenance, as well as
analyzed further to determine person-hours required
for corrective and emergency maintenance. The initial
for the specific maintenance function and the specific
inventory must be developed based on the requirements
trades needed.
of each preventive maintenance task. Procedures also
should be implemented to make sure that parts are Setting Up a Reserve Account for Emergency Maintenance
replaced in the inventory as they are used. Database Development of an annual budget for maintenance
management of spare parts inventories is usually is relatively easy and straightforward, if emergency
necessary in larger utilities. maintenance is sufficiently funded as annual reserve
account contributions.
Personnel Training
Emergency maintenance is perhaps the most difficult
Even a well-developed maintenance program with
function to address when trying to anticipate the
a full staff for implementation will not be able to
funding requirements for an emergency repair reserve
complete the required work unless the staff are trained
account. A good preventive maintenance program will
in both how to carry out the maintenance program
cut down on emergency maintenance requirements.
and in the precise skills required to perform specific
Unforeseen conditions, defective equipment and
maintenance tasks. If the maintenance program has not
materials, and acts of nature make it certain that some
been developed internally, the consultant or entity that
emergency maintenance will always be a fact of life.
developed it should be required to provide training in
its implementation. Devising Management Systems to Ensure Timely and
Cost-Effective Maintenance
Budgeting for Maintenance
Basic preventive maintenance and record keeping
Budgeting for maintenance will require that sufficient
systems are typically card systems that can be adapted
funding is available for the following:
to the complexity of the facility being served. Simple
Preventive MaintenanceOperating budget
single card systems use one card for each piece of
Labor (staff time, person hours) Parts and
equipment, with the front detailing the equipment and
supplies Equipment
its maintenance requirements and the back recording
Emergency MaintenanceOperations reserve maintenance performed (see the Sample Equipment
account Maintenance Card). Multiple card systems are similar,
Labor (overtime) Materials, parts, supplies but use separate cards for equipment information,
Replacement equipment Contractors maintenance requirements, and records of maintenance
Equipment ReplacementCapital reserve performed.
account Many utilities are moving away from card systems
Evaluation and design Labor Equipment cost and using one of the many software programs
Contractors developed specifically for scheduling and tracking
preventive maintenance. When used as part of an asset
management strategy, these software programs can be
very useful for the wastewater facilities.
A very important part of the preventive maintenance

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 Handbook on Wastewater Management

program development and improvement is appropriate the rise in fuel costs during 2005 that was stimulated
scheduling of maintenance activities. Preventive by Hurricanes Rita and Katrina? Many communities
maintenance schedules must consider variations in plant have also been impacted by changing regulations on
and equipment utilization. For example, in wastewater Combined Sewer Overflows (CSOs) and Sanitary Sewer
systems, this may involve scheduling to accommodate Overflows (SSOs). Increasingly stringent regulations
seasonal wet weather flows or intermittent industrial and rising fuel and materials costs are significantly
discharges. impacting your wastewater systems bottom line. To
Scheduling should consider weather and its effect ensure proper long term stewardship, local officials
on maintenance activities and personnel. Whenever and board members should be familiar with the bottom
possible, outdoor maintenance activities should be line.
scheduled when favorable seasonal weather conditions Budgeting Basics for Wastewater Utilities
can be expected. In a general sense, the budget can be divided into two
Maintenance Reporting and Record Keeping basic categories: Operation & Maintenance (O&M) and
Once maintenance is performed, it must be properly Capital Expenditures.
recorded in a timely fashion, usually on the same day The O&M budget provides for the support of routine
as performed. Preventive maintenance tasks are not maintenance, daily operations, and scheduled repairs.
complete until their accompanying paperwork is done. Every piece of equipment has a life cycle and will
eventually deteriorate to the point of replacement.
Without a long term Capital Improvement Plan (CIP)
Protecting and Maintaining Wastewater and a funded reserve account to support the CIP, your
municipality could find itself without the funds to
Infrastructure support needed replacements.
This section is a compilation of material provided
User fees, typically based on metered water
by J. Kirk Rowland, a NYWEA Past President and
consumption, are collected to fund the O&M component.
Division Head Water & Sewer Maintenance for the
A proper budget ensures that staff, chemicals, and parts
Town of Tonawanda and Keneck Skibinski, a NYWEA
are available to keep the system properly operating. A
Past President and Chief Operator for the Town of
proper budget also helps the municipality to meet their
Orangetown.
SPDES Permit, which is a legal obligation.
Overview Municipal debt obligations are paid by funds that
Wastewater infrastructure is a huge capital are typically raised by a tax levy based upon assessed
investment which must be protected and maintained. valuation. These funds pay for the debt service on the
It is the responsibility of the elected officials and original bond issued to construct the plant and any
board members to effectively carry out the associated other projects that have been undertaken and financed
financial and administrative responsibilities for by bonds or bond anticipation notes.
positive, long term stewardship of this capital asset.
Wastewater infrastructure systems are comprised
Case Studies
The following case study is intended to illustrate the
of many components including the collection system
critical importance of budgeting and project planning
pumping stations, treatment plant and personnel. As
to help in maintaining a healthy bottom line.
was emphasized in Wastewater 101, problems with
any one component can have an adverse impact on the Village of Weedsport
rest of the system, often with costly consequences. In The Village of Weedsport is a small village in Cayuga
many municipalities, wastewater infrastructure is County with a total population of approximately 1,800.
the most significant budget expense next to highway The Village owns and operates a sanitary sewer system
projects. consisting of gravity collector sewers and a wastewater
In addition to the costs incurred to design and build treatment plant (WWTP) with a permitted capacity of
infrastructure systems, both capital and operations 550,000 gallons per day. The sanitary sewage collection
expenses are affected by current events. Remember and treatment system was originally constructed
in 1967 and the WWTP, with an original capacity of

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 Introduction to Wastewater Management

0.35 MGD, was operated for over 35 years without a an engineering study in 2004. It was through the
major upgrade. As of 2009, the plant was operating preliminary data collection and analysis phase of
at its full capacity, and experienced peak wet weather the study that the 10 times peaking factor during
flows up to 10 times its average flow, forcing operators wet weather was quantified. In accordance with
to use emergency bypass pumping to prevent sewer NYSDEC design standards (i.e., 10 State Standards),
surcharging and basement flooding. any upgrade to the villages WWTP would have to be
The villages sanitary sewer budget for 2009 was designed with tanks and equipment sized to handle
approximately $350,000. The budget can be broken these peak flows, effectively resulting in oversizing
down into the following categories, with percentages of the facilities for the normal flow conditions which
the total budget for each category indicated: otherwise prevail at the plant. On this basis, the village
Personnel 43% board authorized an I/I evaluation; but because of the
Contractual 22% information gathered through the televising program
Benefits 15% initiated years earlier, the areas in the system with
Power 14% severely deteriorated gravity sewers and suspected
Insurance 5% storm sewer cross connections were identified.
Equipment 1% The village was able to complete the I/I study for
A portion of the contractual costs, since approximately significantly less cost by directing the engineers study
2001, has been allocated toward an annual sewer efforts to the worst areas. Through the I/I study, a
televised inspection and grout sealing program. This is sanitary sewer rehabilitation project was developed
where approximately 15 to 20 percent of the villages to include lining of severely deteriorated sections of
gravity sewers undergo internal video inspection gravity sewer piping, and sealing and redirection of
followed by pressure testing and grout sealing of two (2) significant storm sewer cross connections. The
leaking pipe joints. Although the program does not total cost of the sanitary sewer rehabilitation project
appear to have removed I/I (inflow and infiltration) was approximately $570,000, saving an estimated $1
from the system to a significant degree, it was reported million to $1.2 million in additional costs for oversized
that the program was successful in keeping I/I rates WWTP equipment and structures.
from increasing further. It also provided valuable The Village of Weedsport completed the engineering
information to the village DPW regarding the condition study in 2006 which included recommendations
of the pipelines and identifying defects in the sewer for WWTP improvements to increase treatment
system which could not be repaired by grout injection capacity from 0.35 to 0.55 MGD, combined with I/I
and required further
evaluation.
The village has also
maintained capital
reserve accounts to pay
for unexpected repairs,
engineering studies,
etc., as needed. As of
2009, the village had
approximately $74,000 in
capital reserves. Capital
reserves are replenished
annually with sewer fund
surplus funds.
The Village Board,
recognizing that the
WWTP was at the end of
its useful life, authorized Weedsports sanitary sewer budget breakdown.

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 Handbook on Wastewater Management

Weedsports Asset Management Program.

reduction for a total estimated cost of $6.3 million. funding for the project, the village debt service charge
The project was eligible for loan financing through was reduced to $127 per year per household.
both the NYSEFC Guarantee Financing Program and In order to protect its considerable investment in its
USDA Rural Development, with a best case scenario sewer infrastructure, the village decided to develop an
debt service charge of approximately $400 per year Asset Management Plan (AMP), including a software
per household, on top of an average sewer system based maintenance tracking program. Through these
operations and maintenance charge of $160 per year efforts, the village is now performing all scheduled
per household. The village decided to proceed with maintenance on new equipment, and is keeping
design improvements in 2008, and had permits and records of labor, materials and equipment expended in
approvals in place for construction by February 2009. maintenance on the new plant, so that it can accurately
The project was positioned to take advantage of budget for annual maintenance costs. Additionally,
significant funding through the American Recovery the asset management software tracks the remaining
and Reinvestment Act (ARRA) of 2009, which included useful life of every asset in the sewer system, and
a 50 percent principal forgiveness grant as well as an includes a capital planning module that allows the
additional grant for green energy efficiency measures village to anticipate future capital expenditures for
incorporated into the design (including oxygen level major equipment repairs and replacement. This will
based aeration control, building insulation exceeding allow the village to establish capital reserves to repair
state code requirements, and LED light fixtures). and replace critical pieces of equipment, and anticipate
Construction of the sanitary sewer rehabilitation the need for a capital project, if necessary, once large
and WWTP improvement projects were completed in portions of the sanitary sewer system near the end of
2010, and in spite of increasing the plants capacity by their useful life.
57 percent, the Village has seen no noticeable increase The Village of Weedsports experience with the
in power consumption at the plant. With the ARRA process of upgrading its sanitary sewer infrastructure

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 Introduction to Wastewater Management

illustrates several important points: This chapter prepared by Keneck Skibinski, Chief Operator
1. Take a proactive approach to addressing for the Herkimer County Sewer District; Phil Smith, former
issues with sanitary sewer infrastructure. Section Chief at NYSDEC; David Cross, Associate Engineer
In Weedsports case, completing the project Monroe County Pure Waters and Brian Skidmore,
planning and design without being forced Managing Engineer, Barton & Loguidice.
through a NYSDEC order was essential to take
advantage of the ARRA funding received. Project
readiness will typically put a project at the front
of the line for funding, and requires forethought
and initiative on the part of municipal officials.
2. Maintain the sewer infrastructure, which serves
several purposes:
a. Get familiar with your infrastructure:
Had the village not engaged in annual
televising, testing and grout sealing of
its collector sewers, it would not have
been able to pinpoint some of the large
sources of I/I in the system, leading to
additional costs and time for study, and
potential diminished results from the
sewer rehabilitation project.
b. Extend the useful life of the system. The
useful life of WWTP equipment is typically
20 to 30 years maximum. Through
diligent maintenance, the village was
able to keep the plant operating for over
40 years without a major upgrade. This
would not have been possible without
investing in equipment maintenance.
c. Asset management. With the AMP
initiated by the village immediately
after completing the sewer improvement
project, they will be able to protect and
sustain the investment made in their
sanitary sewer infrastructure through
the maintenance scheduling and tracking
module in their asset management
software. Going forward, the Village will
be able to use the asset management
softwares financial module to set annual
budgets for collection system and plant
maintenance as well as plan long-term
capital reserves to self-finance future
capital improvements.

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