Challenges to and Strategies for Regionalization of Responsible Management of Decentralized Wastewater Infrastructure in the Rural Alabama Black Belt

INTRODUCTION Despite the perception that basic sanitation is available to all U.S. residents, recent research reveals persistent and widespread deficits in rural, underserved communities [1], [2]. In the rural, 17-county Black Belt region of Alabama, about 50% of households lack access to sewer, thus relying on individual onsite wastewater treatment systems (OWTS). However, the soil conditions in the Black Belt-primarily shrink-swell vertisol clays-have resulted in numerous hydraulic failures in conventional OWTS (e.g., septic tank drainfield) [3] and, alternatively, the use of straight pipes by individual households for raw sewage discharge to backyards or nearby ground surfaces [4]. Such an acute sanitation condition and complex operating environment has spurred research efforts to explore alternative wastewater infrastructure strategies, treatment technologies, regulatory changes, and management models for addressing wastewater issues in the Black Belt [3], [6], [7]. Research Problem. Recent research efforts [3] have explored cost-effective OWTS applicable for this region and clusters (e.g., 90+ homes) suitable for connection to a decentralized wastewater treatment system. However, how to effectively manage these decentralized wastewater systems (DWS)-combinations of clustered and onsite-is still not well understood. According to US-EPA (2003), a responsible management entity (RME) is needed to provide proper operations and maintenance (O&M) services; with the RME being defined as a legal organization with the technical, managerial, and financial capacity to operate and maintain viable DWS within the RME's jurisdiction [8]. Recent studies focusing on the responsible management of DWS have provided intellectual contributions to understanding socio-technical barriers to the provision of O&M services by RMEs [6], as well as feasible scale options for successful RME operations in small, rural communities [9]. Findings reveal community stakeholder preferences towards a large-scale management approach, targeting systems in multiple counties to ensure economies of scale and address the limited customer base constraint [9]-referred hereafter to as regionalization. What is still lacking, though, is a comprehensive understanding of how to operationalize effective regionalization of responsible management, considering these communities' social and institutional dynamics while addressing their specific needs. As such, we need to understand challenges to regionalizing RMEs in rural communities and strategies for addressing these challenges. Bridging such a knowledge gap would identify whether any policy changes (e.g., service permitting) is proactively needed to enable successful operation of regional RMEs in the targeted rural communities. Operationally, uncovering strategies to achieving effective regionalization would guide existing management entities (water and sewer utilities, etc.) on how to effectively serve as RMEs to DWS across multiple counties. Research Objectives. The objective of this study is two-fold. First, the study identifies challenges that impede effective regionalization of responsible management of DWS in the Alabama Black Belt, based on stakeholders' perception. Second, the study explores strategies for addressing the identified challenges considering socio-political dynamics in these communities. MATERIAL AND METHODS Data Collection. We conducted 15 semi-structured interviews with 20 stakeholders. The interviewees have experiences in utility management and in-depth understanding to the socio-technical constraints surrounding the operation of water-wastewater infrastructures in rural communities. Interviews were conducted from September 12th to March 21st, 2023, via teleconferencing or phone and were recorded (with permission), transcribed, and anonymized. Analysis Method. We applied inductive thematic analysis on the interview data [10] to identify emerging themes related to challenges and strategies for addressing these challenges. During this process, we remained open-minded to what the data suggested and engaged in assigning codes to excerpts relevant to challenges to regionalization and what strategies the interviewees think would be best for addressing these challenges. RESULTS AND PATH FORWARD Preliminary analysis of interview data reveals regionalization challenges across multiple dimensions-i.e., technical, social, financial, institutional/regulatory, and political dimensions. Examples of major emerged challenges include (1) difficulty to ensure timely responses to issues in times of extreme events when operating at a large scale (under the technical dimension); (2) trouble getting community buy-in (social); (3) possible inequitable billing mechanism across communities involved in regionalization (financial); (4) lack of enabling legal structure and legislation (institutional/regulatory), and (5) political resistance and power dynamics (political). IMPLICATIONS The study advances existing knowledge through (1) providing an empirical understanding to the challenges impeding effective regionalization of RMEs and (2) capturing key stakeholders' insights into strategies for addressing the identified challenges. The study also contributes to practice by setting the stage for highlighting policy changes to better support the operationalization of regional RMEs in the Black Belt (and other rural communities) moving forward.