Abstract

Nationwide, approximately 30 percent of residential wastewater is managed with conventional and innovative wastewater treatment systems that utilize on-site subsurface treatment and dispersal. This percentage is expected to increase with continued growth in the suburban and rural areas. In the northeastern United States, many towns are 100 percent reliant on these on-site systems.

The widespread reliance on individual and small community systems has placed a substantial burden on local and state authorities who are charged with protecting human health and the environment. It is clear that with continued growth, effective management and monitoring of these systems will be necessary to ensure their long-term reliability. A necessary tool for effective management of numerous on-site systems is a computerized wastewater information management system that tracks system status, operation and maintenance tasks, and assists with administration of the management program. To meet this need, Stone Environmental (SEI) has developed the Septic Information Management System (SIMS) software application.

Because each locale and community has different management and regulatory requirements SEI customizes the application to address the specific needs of each organization. A number of towns in New England are currently using SIMS for decentralized wastewater management. Use of this database spans a range of needs from permit tracking by local boards of health to active management programs that utilize the tool for scheduling and tracking operation and maintenance efforts, as well as integration with Geographic Information Systems (GIS) for analyzing environmental sensitivity of particular sites.

Introduction

Decentralized wastewater management in the United States has traditionally been the responsibility of a town health officer, zoning officer, or sewage officer. It has primarily taken the form of collecting paper applications and plans and organizing them in a filing cabinet. The filing system is usually organized by parcel ID number or street address. This type of management system works well for towns that may be very small or are primarily interested only in collecting the necessary permits and other paperwork.

On-site systems, however, are no longer considered the temporary solution they once were, and many towns are realizing that they need to maintain their on-site systems as long-term, reliable options. Towns are also seeing significant growth, particularly in outlying areas where septic systems are the wastewater management option of choice. This results in an increasing number of decentralized systems being built closer to each other and in more environmentally sensitive areas as the prime building sites are used. In addition, many existing developments were located on unsuitable soil and site conditions; this has led to significant numbers of recurring system failures. Consequently, many towns have a need for more effective tools to manage their decentralized wastewater systems.

Stone Environmental has developed SIMS, a relational database application that enables municipalities to track information associated with managing on-site septic systems including: permits, inspections, system design, soil conditions, test results and parcel information. The database easily links to Geographic Information Systems (GIS) and it will store scanned images created from as-built plans, GIS, and color photographs.

Integrated Wastewater Management

Integrated wastewater management is an approach that utilizes a wide range of tools and techniques to meet the needs of its citizens while protecting the health of the environment. Some towns are recognizing the value in having an existing public works or sewer department manage the on-site systems, while others are setting up special departments to maintain more oversight and control over these systems. Privatization is another option available for some areas or large developments. Some states, such as North Carolina, have taken the step of mandating active management of all on-site systems. In these situations, the responsibility can fall on independent contractors, or on-site system operators, to perform the management duties. In others, the additional responsibilities are given to the existing town or county personnel such as the health officer. Regardless of the management structure chosen, however, one aspect remains constant - the need for more effective and efficient data management. Operators have a need to manage data better, in order to keep track of customers' needs and maintenance history. Counties can use a database, coupled with GIS, to better understand whether or not management regulations are working effectively.

Effective data management is the only way that operators and counties can ensure that the systems are being permitted, installed, operated, and maintained according to the state regulations. This is particularly true as more innovative and alternative types of on-site systems are encouraged and permitted. Also, as environmental quality monitoring is required, a central repository for this data is necessary to make it easy for managers to spot problems and deal with them in a timely fashion.

Passive Versus Active Management

Management can take two primary forms: passive or active. Passive management is typified by tasks such as permit and plan collection and filing. Active management, on the other hand, includes tracking permit status, monitoring septic tank pumpouts, scheduling maintenance tasks and inspections, certifying designers and installers, and sending notices to ensure compliance with local ordinances.

The need for simple yet comprehensive data management increases as management moves from the passive to the active end of the spectrum. Towns have found that paper filing systems are generally sufficient to meet the needs of passive management. However, even small towns and passive management programs may find value in a computer-based system if they want to keep up-to-date records or share information across town departments. Using the basic data entry and retrieval modules in SIMS permits this low-level passive type of management. One of the pitfalls of passive management is the inability to see the big picture and foresee problems. Another is the total reliance on individual homeowners to maintain their systems, many of whom are not interested in dealing with their wastewater until something fails and needs to be repaired.

Active management, in addition to the items mentioned above, can include scheduling operation and maintenance tasks, coordinating surface and groundwater sampling programs, running citizen educational programs, and organizing local professional training programs for installers, pumpers, or inspectors. As a management entity takes on more of the requirements of an active program, the need to maintain, monitor, and report on system information increases dramatically. The traditional filing cabinet system becomes very ineffective. What is needed is an electronic database system that allows users to quickly and easily access large amounts of disparate data for analysis, display, or program administration. With an active management program, people who are knowledgeable about on-site systems can predict when and where problems will occur and take steps to avoid them. The scheduling and mailmerge features of SIMS allows users to coordinate all management efforts, including pumpouts, inspections, and maintenance tasks, then record the results and schedule any necessary follow-up.

Types Of Data

There are two primary types of data that are stored in SIMS: static and dynamic. Each town may vary slightly with the types of data that are maintained, depending on the program details and goals.

Static data, for example, includes parcel, building, people, and soils information. The static data forms the backbone of the management system. This type of data generally changes infrequently, and is often available from local, state, and national sources. Good sources of this data includes assessors offices, public works departments, health offices, regional planning commissions, state licensing boards, and soil conservation services. In our experience, the assessor or lister is the first place to look for static data because they often have information on people, parcels, and buildings. The town of Jericho, Vermont, and the city of Taunton, Massachusetts, are two examples of management programs that rely almost exclusively on static data.

Dynamic data includes pumpout scheduling, permit compliance tracking, and effluent monitoring results. This data may vary dramatically from one management program to the other, as individual program goals and objectives change. Generally, there will not be a ready source for these types of data. Rather they get created as the program is implemented. One exception may be pumpout records. Because many local health offices and septage receiving facilities have required haulers to report septage pumping, good records can often be found. Locating an electronic source of pumpouts will make it much easier to get a scheduled pumpout regime incorporated into the program. Examples where active management programs will make use of dynamic data include Block Island, Rhode Island, Warren, Vermont, and Tisbury, Massachusetts.

Data Management Systems

Data management systems can be differentiated by their media: hardcopy or electronic. In all likelihood, a management program will utilize a combination of both types, but an active program relies more heavily on an electronic system.

The most widespread system for data management is filing cabinets filled with paper records. This system is very useful for organizing data on a parcel-by-parcel basis, but generally provides no ability to see relationships between parcels such as shared systems or water systems. It also does not allow the user to display information in order to fine-tune the management program. For example, by displaying areas of a town that have a high occurrence of pumpouts, the managers can target educational campaigns or increase inspections or water quality monitoring. This can compensate for aging or undersized systems. Paper filing systems are much easier and less expensive to institute, requiring relatively little capital expense or training of personnel. Electronic systems invariably require bringing personnel up to speed with new software applications and likely an initial capital outlay to implement them.

Electronic options generally come in two formats: spreadsheets and relational databases. Spreadsheets are often called "flat file" databases, because they allow for basic maintenance and manipulation of data, on a one-item-at-a-time basis. For example, one parcel has one house and one system. It does not allow relationships to be easily created between many parcels or systems. Relational databases, on the other hand, allow complex relationships to be created between seemingly unrelated data. For example, four houses can be served by one on-site system that is located on another parcel, which also has a second system serving the house on that parcel. To try to develop this kind of relationship with a flat-file database would be nearly impossible.

SIMS is a relational database application that currently runs in Paradox 8.0. Objects in the database include Tables, Forms and Reports. Tables are the basic components of the database. The users rarely look at tables, but they represent the underlying organizational structure for your data. Forms are used for viewing data on your computer screen and to facilitate data entry. As such, a form typically displays information from a single record at a time. Reports are designed to organize and print data on paper.

SIMS also includes tools to do complex queries of the data, invaluable to program managers. Those queries can be utilized in map-making software to display the results. For example, using SIMS and ArcView, a manager could query the data to produce a DBF table of the parcels in town have had pumpouts, sort that table in Arcview, then display selected parcels on a map.

One of the most useful functions of a database is the ability to compile and summarize a wide range of data, then display that data on a concise paper printout. The following SIMS reports gather data from the entire database and can include information on more than one system:

Additional reports, that are specific to an individual system, can be printed from the System Form.

· Maintenance Summary
· System Parcels
· System Summary

The database can also generate mailing labels and a form letter asking the system owner to address a potentially inadequate system.

Developing The Database

Any electronic tool should only be implemented as part of a broader management program. That program should be based on sound long-term planning and an understanding of how the tool will integrate with the day-to-day activities of program administration and staff. A comprehensive wastewater management plan should be developed that includes a section on how data is to be managed. Without the big picture perspective and guidance provided by this management plan, any electronic tool will likely sit unused in a computer. While it is important to understand the tools available for the job, the most important part of this process is asking all the right questions. This leads to effective development and implementation of a data management system.

Staff and management need to understand the benefits that will accrue from consistent use of the tool, as identified in the comprehensive plan. The selection of a computer database must also take into consideration other realities, such as available budget, staff willingness, staff time, training, and the true needs of the management program. Perhaps most important among these is staff willingness. Without this, data entry will invariably be sloppy and inconsistent. For example, the management plan proposes an active type of management program that requires two full-time people to implement. However the staff in the responsible department is already overworked. Data will be entered incorrectly, the tool will not be used effectively, and its value will not be realized.

One of the most important requirements of an electronic database is consistency; if parcel ID number format is not exactly the same throughout the system, relationships will be lost and data will become useless. This is also an item to pay particular attention to when data comes from numerous unrelated sources. For systems other than the most basic ones, there should be a person knowledgeable about databases in charge of ensuring data quality. This can be an internal information technology person, often only available in larger towns or cities, or an outside consultant.

Within the context of the comprehensive wastewater management plan, the advantages and disadvantages of any current systems and resources should be identified.

- What does the staff find particularly useful and what do they think could be improved? Involve the eventual users of the system at this stage, both to solicit their input and develop their acceptance. Take specific notes so that the new system will reflect the needs and eliminate the problems of the present system.

- Ask lots of questions of all the necessary people and departments. Since integrated wastewater management often involves numerous town departments, many of which may not be accustomed to working together, it is vital to get everybody working from the same page. If the assessor refuses to use the same parcel numbering system as the regional planning commission, for example, but the assessor's database will be the static backbone of the system, this issue should be resolved early, or the system will be frustrating and time consuming.

- Find out as much as possible about what staff would like the system to be able to do. The more functionality that can be built into the system up front, the easier the implementation, and the less expense in the long run. Customization and modification is expensive because it requires additional training and downtime.

- Find out if there is a need for spatial as well as textual data management. Purely textual data management, such as keeping track of septic permits and inspection results, is relatively inexpensive and easy to implement, because it uses computer programs that people often already know such as Access, Paradox, Excel etc. Spatial data management requires much more specialized computer training with programs such as ArcView GIS. This type of management also requires more powerful computer equipment, which may not be currently available in the office.

- Assess the available resources, both human and computer. Just having the necessary number of people and a computer does not ensure success. The staff must be willing to participate in the program. If they are not, it may be wise to seek the assistance of a consultant to manage the program or hire additional staff. The computing resources must be powerful enough to handle the new applications, and must be available to the staff on a regular basis for program administration.

The next step is to locate and evaluate the existing data. Most of this will be static data from local and state agencies. Locating and gathering the data can be the most challenging step, since data will be coming from many different agencies and in many different formats. Many staff that are contacted may be familiar with the data entry aspects of their applications but not with the data export aspects. It can be a frustrating process to go back and forth several times trying to get data in the right format and in a timely manner. Ideally, the system developer would provide a very specific data request with field structure, and the data provider could follow that protocol, but this rarely works perfectly. At the same time, if items in the particular dataset change periodically, such as property ownership, a process must be developed for regular updating of the data in the wastewater management system. It is wise to limit the number of sources of data that require this periodic update.

Once all the necessary data has been gathered, a person intimately involved with the specific database and skilled in data management should be involved to assess consistency and compatibility. For example, if one data source tracks all properties by street address, while another tracks by parcel ID, joining these two sets can be very time consuming, and may never be perfect.

If the management program will include integration with GIS, compatibility must be ensured early in the system development. This is particularly true if GIS data was gathered from several sources and is going to be incorporated into the new databases. The greater level of effort that can be spent at this early stage, the easier it will be to implement, update, and maintain the system. All of the previously noted issues associated with data gathering also apply to GIS. If the GIS databases will be used for spatial analysis and engineering, the accuracy must be further scrutinized. A thorough understanding of the accuracy and precision of each data layer will help avoid time-consuming errors, and guarantee that the management program is effective.

To develop an on-site database application, a management entity has several options. They include using an in-house developer, hiring a consultant to develop a custom application, or modifying an existing off-the-shelf application. Some of the items to consider include total system cost, developer experience, ability to grow as needs increase, application robustness, and security. Generally, the better planning that can be done up front anticipating needs, the better chance a manager will have at developing a system that works for today and into the future.

If GIS will be part of the program, there are fewer options available because the programming is significantly more complex. The only realistic option for most towns is to choose among the available packages, then hire a consultant to help populate the database, train the staff, and get the program up and running. A less attractive option is to hire an outside consultant to maintain all data in the spatial database, and make maps and reports available to the management program upon request. Optionally, GIS functionality can be built right into the management application.

Before the database application can finally be implemented, it must be populated with any available data. In most situations, the more data put into the system in the beginning, the more useful the system will be, and the more eager staff will be to continue using the tool. It is usually more expensive to go back and import data after implementing the system so if there is likelihood that particular pieces of data will be needed in the future, it may make sense to import it at this time.

In additional to any electronic data that was collected, there will likely be substantial data contained in paper files which will be useful to program managers. However, not all of the data in the paper files needs to be imported into the database. After reviewing what is available on paper, and reviewing the program goals, managers develop a strategy for entering this historical data. Depending on the number of files and the complexity of extracting the data, one of the following methods may be most appropriate: using in-house staff, subcontracting or hiring temporary staff, or entering historical data as part of the database development process.

Data typically found in paper files, which should be maintained electronically, includes permits, system components, soils data, inspections, and design criteria. In addition to entering this historical data, a strategy should be developed to perform ongoing data entry. One cost-effective method is to contract with a data entry service for the bulk historical data entry. However, this method is not likely to be very effective for ongoing data entry since it takes ownership of the data out of the hands of the program staff. Depending on the complexity of the management program, ongoing data entry, manipulation, and reporting can be very time-consuming and should not be disregarded when planning for necessary program resources.

Implementation, Evaluation, And Revision

The final phases of this process are to implement, evaluate, and revise the database application. Implementation will only be effective with a comprehensive training program. With adequate training and ongoing support, staff will be comfortable using the database, data entry will be kept up-to-date, and SIMS will continue to be a valuable tool in the management program. The training should include managers as well as staff so all participants in the program are aware of the requirements and capabilities of the new tool.

A truly effective system also requires continuous evaluation. It should be the responsibility of the system developer or program manager to check in periodically with the users to confirm that the system is meeting the ongoing needs and demands. If not, the database should be modified to ensure that the staff continues to use it.

One of the most valuable aspects of a database is the ability to easily and efficiently compile large amounts of data and produce summary reports. Program staff should get comfortable producing these reports early in the implementation. The reports are evaluated to make sure they meet the needs of the management program. Additionally, the summary reports will let program managers check whether the management program is meeting the plan goals. As noted above, SIMS comes with many standard reports. SEI can customize these reports and develop new ones, depending on the specific needs of the management program. During implementation, staff should also evaluate the database application's ability to automate administrative processes that are currently done by hand, such as producing permits and compliance orders.

Conclusion

Electronic management of on-site system information is a necessity for effective management of decentralized wastewater systems. Implemented as a component of a comprehensive plan, with the full support of program staff and management, SIMS can be a very effective tool in a wastewater management program. Coupled with a town or county-wide GIS system, these two powerful tools can enable active centralized management of decentralized wastewater systems.

Key elements of an effective data management system include:
· Compatibility with existing wastewater management programs
· Customization for local terminology and requirements
· Full support of program staff and management
· Ability to update system and parcel ownership information
· Clear plan to implement the program, train the users, and maintain the system
· Plan for on-going evaluation and revision of the information management program

Please address any questions to Dr. David Lindbo.

This page created by
Roland O. Coburn, Research Technician I on 1/24/02.