United States
           Environmental Protection
           Agency
            Office of Water
            Washington DC 20460
October 1980
           Water
xvEPA
Decision-Makers' Guide
in Water Supply Management

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                                   60OR8O112
                                Region HI Library
                             Cauirftl
              FINAL REPORT
   DECISION-MAKERS' GUIDE
                 IN
WATER SUPPLY MANAGEMENT
               PREPARED BY

   GULP/WESNER/GULP - CLEAN WATER CONSULTANTS
         BOX 40, EL DORADO HILLS, CA 95630
              PROJECT OFRCER
              HUGH HANSON
      U.S. ENVIRONMENTAL PROTECTION AGENCY
           WASHINGTON, D.C. 20460
              November, 1979

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                           ACKNOWLEDGMENT  &  DISCLAIMER
     This guide  was  prepared by Culp/Wesner/Culp, Clean Water  Consultants (CWC),
of El Dorado Hills,  California,  with  Dr.  William F.  Owen and Justine A.  Faisst as
authors  and  Russell  L. Gulp  as  editor.  All work was  done under contract  to  the
U.S. EPA. CWC is solely responsible for  the  contents  of  the  guide.

     A  Validation  Panel  of  nine  water works  people,  public  officials,  and
citizens assisted  in preparation of  the guide by reviewing  and commenting on the
original outline for the report  and  on the original  draft  of  the  final  report.
However, the Panel had no control over  the  content  of the  final report,  and  CWC
alone is responsible for  it. Participation  by Panel members does  not  constitute
their approval  or endorsement  of the  manual  or its  contents. Validation  Panel
members are listed below:
     Reese Riddiough
     Public Works Director
     City of Santa Maria,
     California

     John 0. Nelson
     General Manager
     North Marin County
       Water District
     P.O. Box 146
     Novato, CA 94947

     Marshall Haney
     Utilities Director
     P.O. Box 309
     Richardson, TX 75080

     David W. Callahan
     Assistant Manager
     South Tahoe Public
       Utility District
     P.O. Box AU
     South Lake Tahoe, CA 95705
Mrs. Arlis Ungar
League of Women Voters of Calif.
517 Silverado Drive
Lafayette, CA 94540

Robert Lee
General Manager
Medford Water Commission
City Hall
Medford, Oregon 97501
Richard Pelton
Water Superintendent
P.O. Box 1038
Topeka, Kansas 66601

Sat Tamarabuchi
Manager of Planning
Irvine Ranch Water District
P.O. Box D-l
Irvine, CA 92716
     The ninth member  of  the Panel  and  Project  Officer for EPA was Hugh Hanson,
Office of Drinking Water.

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                         DECISION-MAKERS'  GUIDE IN
                          WATER SUPPLY MANAGEMENT
                             TABLE OF CONTENTS
Subject  	Pages

INTRODUCTION                                                             1
  Decision Making Process                                                li
  Water System Management Concerns                                       l±
  Organization and Use of the Decision-Makers' Guide                     5

PART I - INSTITUTIONAL                                                   1-1

  SECTION I - OWNERSHIP & MANAGEMENT
    QUESTION ABOUT ORGANIZATION OF WATER SYSTEMS                         !_!
      Existing Systems                                                   1_1
      New Systems                                                        1_1
    OWNERSHIP                                                            i_2
      Alternatives                                                       1_2
      Considerations                                                     1_3
    COOPERATIVE MANAGEMENT                                               !_3
      Single Conmunity                                                   1_3
      Regional!zation    •                                                1_5
      Multi-Ccamunity Cooperative Administration                         1_6
    HOW TO SELECT AN ENGINEERING CONSULTANT                              1_7
    REFERENCES                                                           1_9

SECTION 2 - RISK PROTECTION
  RISKS AND INSURANCE                                                    2-1
    Types of Risk                                                        2-1
    Coverage                                                             2-1
    Property Loss or Damage                                              2-1
    Workman's Compensation                                               2-1
    Public Liability                                                     2-2
    Product Insurance                                                    2-2
    Crime Coverage                                                       2-2
    Self Insurance                                                       2-2
REFERENCE                                                                2-2

SECTION 3 - STAFFING
  OUTSIDE SERVICES                                                       3_1
  SUPERVISION                                                            3_2
  PERSONNEL                                                              3_2
    Emergency Staffing                                                   3_lt
  SKILLS                                       .                          3_H
  TRAINING                                                               3_lt
  HEALTH AND SAFETY PROGRAMS                                             3.5
  REFERENCES                                                             3_f


                                     v

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                              TABLE OF CONTENTS
                                  (Continued)
Subject	.	Page

  SECTION 4 - RECORDS AND REPORTS
    RECORDS                                                               k.!
      Records of Operation & Maintenance                                  li_2
      Preservation of Records                                             1^_2
    REPORTS                                                               lj_3
    REFERENCES                                                            1^
                                                      ..."
  SECTION 5 - EXTERNAL INFLUENCES AND OBLIGATIONS
    REGULATIONS AND STANDARDS                                             5-1
      Rationale for NIPDWR                                                5_3
      Secondary Standards                                         •        5.1^
      Options for Meeting Primary & Secondary Standards                   ^
    LEGAL RIGHTS AND LIABILITIES                                          5.5
    PUBLIC RELATIONS AND PUBLIC NOTIFICATIONS                             5.5
    ECONOMIC AND ENERGY TRENDS                                            5_6
    REFERENCES                                                            5.7

PART II - PRODUCTION                                                      II-l

  SECTION 6 - PLANNING                                                    6-1
    PROJECTING FUTURE SYSTEM NEEDS                                        g_l^
     Appropriate Projection Techniques for Static Conditions              5.5
     Appropriate Projection Techniques for Dynamic Conditions             5.5
    EMERGENCY AND STANDBY SYSTEMS                                         6_y
    SUPPLY OPTIONS IN EMERGENCY SITUATIONS                                6_9
    ENERGY CONSIDERATIONS                          .      ,                 6_9
     Sources                                                              6_10
     Conservation                                            ••.            £_IQ
   .  Redundancy and Reliability                                           6_12
    REFERENCES                                                            g_13

  SECTION 7 - SUPPLY                                                      7_!
    QUANTITY                                                              7_2
    RAW WATER QUALITY AND TREATMENT REQUIREMENTS         .                 j_2
    STORAGE                                                               Y_ll
    CWSERVATION                                                          T_lt
    REFERENCES    .                                                        j_^

  SECTION 8 - TREATMENT
    OBJECTIVES                                                            8-1
    PROCESS SELECTION                                                     8-2
     Simple Disinfection                                                  8-2
     Turbidity Removal                                   .                 8-5
    WATER TREATMENT FOR CORROSION CONTROL                                 8-9
    CHEMICAL HANDLING                                                .     8-9
                                     VI

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                                TABLE OF CONTENTS
                                   (Continued)
Subject	Page

    OPERATION AND CONTROL                    '                             8-10
    RELIABILITY                                                           8-10
    REFERENCES                                                            8-11

  SECTION  9 - WATER TREATMENT WASTES
    SOURCES                                                               9_i
    SLUDGE DISPOSAL METHODS                                               9_2
    RECLAMATION AND REUSE                                                 9_2
      Alum Recovery                                                       9_2
      Alternative .Reuses                                                  o,_2
    SLUDGE DEWATERING                                                     9.3
    LANDFILL DISPOSAL                                                 ,9.3
    DISCHARGE TO  SANITARY SEWERS                                          9.5
    REFERENCES                                                            9.5 '

  SECTION 10- DISTRIBUTION
    SERVICE                                                               10-1
    FIRE PROTECTION                                                       !0_1
    DISTRIBUTION MAINS                                                    10_3
    STORAGE                                                               10_1*
    CROSS CONNECTION CONTROL                                              10-1*
    REFERENCES                                                            10-5

  SECTION 11 - OPERATION AND MAINTENANCE
    ORGANIZATION AND PERSONNEL                                 .           n_i
    PROCEDURES AND EQUIPMENT                                              H_2
      O&M Manual                                                          11-2
      Routine Operations                                                  11-3
      Maintenance                                                         11-3
      Tools, Equipment, and Supplies                                      11-U
    RECORDS                                                               11_U
    REFERENCES                                                            11_5

  SECTION  12 - SURVEILLANCE
    OBJECTIVES AND REGULATIONS                                            12-1
    SAMPLING                                                              12-2
    LABORATORY FACILITIES                                                 12-3
    INTERPRETATION AND EVALUATION                                         12-1*
    REFERENCES                                                            12-li

PART III  FINANCE                                                          III-l

  SECTION  13  - COSTS
    CAPITAL EXPENDITURES                                            .      13_1
      Supply                                                              13_2
      Water Treatment                                                     13-U

                                       vii

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                                TABLE OF CONTENTS
                                   (Continued)


Subject	Page

      Waste Handling and Disposal                                         13-5
      Distribution and Storage                                            13-6
      Metering                                ,                            13-7
      Fire Protection                                                     13-8
      Administrative and O&M Facilities                                   13-8
    ANNUAL COSTS                                                          13_8
      Water Treatment                                                     13-10
      Waste Handling and Disposal                                         13-10
      Supply, Distribution, Storage and Metering                          13-10
      Monitoring and Surveillance                                         13-15
    REFERENCES                                                            13-16

  SECTION 14  - INCOME
    REVENUE REQUIREMENTS                                                  il»_i
    SOURCES OF REVENUE                                                    lk-2
      Water Sales                                                         lk-2
      Taxes                   ,                                           ..lU-5
    REFERENCES                                                            ll»_5

  SECTION 15  - FINANCING CAPITAL COSTS
    BONDS                                                                 15_2
    GRANTS AND LOANS                                                      15-2
    REVENUE RESERVES                                                      15-1*
    STOCK SALES                                                           15_1|
    BANK LOANS                                                            15_li
    REFERENCES                                                            15_1»

REFERENCES                                                                l6-l

APPENDICES
  APPENDIX A - NATIONAL INTERIM PRIMARY DRINKING WATER REGULATIONS  (NIPDWR)        A-l
  APPENDIX B - PROPOSAL REVISIONS TO NIPDWR                                       z~l
  APPENDIX C - SECONDARY DRINKING WATER STANDARDS                                  C-l
  APPENDIX D - BASIS FOR CAPITAL COSTS COMPUTATIONS                                D-l,
  APPENDIX E - BASIS FOR ANNUAL O&M COST COMPUTATIONS                              E-l'
  APPENDIX F - RATIONALE FOR NATIONAL INTERIM PRIMARY DRINKING WATER  REGULATIONS  F-l
                                      viii

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                             LIST OF FIGURES
 Figure
Following
   Page
   1      Decision Matrix
   I      Part I Institutional
  II      Part II Production
 6-1      Water Production Activity
 8-1      Schematic Diagram of Disinfection by Chlorine
 8-2      Schematic Diagram of Direct Filtration for Turbidity
          Removal and Disinfection

 III      Part III Finance
     3
     1-2
     II-2
     6-2
     8-6

     8-6

     III-2
                             LIST OF TABLES
 Table
   Page
 1-1      Advantages and Disadvantages of Public and Private Ownership     1-U
 1-2      Summary of the Advantages and Disadvantages of Water Utility
          Management Alternatives                                          1-8
 3-1      Alternative Methods of Personnel Training                        2-6
 4-1      Minimum Recommended Duration for Record Keeping by SDWA          h-3
 5-1      Public Notification Requirements for Community Public
          Water Supplies                                                   5-3
 6—2      Recommendations for Contingency Plan Personnel
          Requirements                                                     6-8
 7-1      General Characteristics of Water Sources                         7-3
 8-1      Most Effective Treatment Methods for Contaminant Removal         8-3
 9-1      Alternative Sludge Dewatering Methods                       >     9_U
10-1      Guidelines for Location Distribution System Valves               10-U
12-1      Required Surveillance Sampling Locations and Frequency           12-2
12-2      Recommended Minimum Water Plant Laboratory Requirements          12-1*
13-1      Summary of Rough Capital Costs for Various Si?e Water System     13-3
13-2      Summary of Approximate Total Annual Cost for Potable
          Water Treatment                                                  13-9
13-3      O&M Costs for Individual Potable Water Treatment Processess
          as a percent of Total O&M Expenses                               13-11
13-4      Summary of Annual Cost for  Water Treatment Plant
          Wastes Disposal                                          .        13-12
13-5      O&M Costs for Water Treatment Plant Waste Disposal as a
          Percent pf Total O&M Costs                                       13-13
13-6      Summary of Annual Costs for Supply, Distribution, & Storage      13-lU
13-7      Estimated Minimum Annual Monitoring Costs per Person Served
          Versus Population Served and Type of Community Water System      13-15
14-1      Summary of Revenue Sources and Application                       lU-3
14-2      Rate Structures for Water Sales                                  lU-U
1>-1      Capital Financing Options                                        15_3
                                     ix

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                           LIST OF TABLES
                            (Continued)
Table	.	i	Page

A-l      IPDWR Maximum Contaminant Levels for Public Water Supplies      A-2
A-2      Coliform Samples Required Per Population Served                 A-3
C-l      Secondary Maximum Contaminant Levels for Public Water
         Systems                                                         C-2
D-l      Cost Indices as of October 1978                                 D-3
E-l      Water Treatment Chemical Cost for Small Treatment Systems       E-3
F-l      Rationale for National Interim Primary Drinking Water
         Regulations                                                     F-2

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                        Errata Sheet


Table of Contents
    APPENDIX B:  Delete
    APPENDIX F:  Delete

Section 1

    1.  Page 1-1, question 6:  Change to:  "See pages 1-3 to

        1-7."

    2.  Page 1-5, Paragraph 1:  Add the underlined words:

         "... an additional two year period for exemptions

        for systems entering	"

Section 4

    1..  Page 4-1, paragraph 1:  Change item 3 to read "...

        maintained?"   (See pg. 4-3, Table 4-1)

Section 5

    1.  Tab:  Change "Rational" to  "Rationale".

    2.  Page 5-1, paragraph 3:  In  item 2 delete the phrase

        in parenthesis.

    3.  Page 5-1, paragraph 3:  In  item 4 replace the phrase

        in parenthesis with :  "(See the National Academy of

        Sciences Report;  Drinking Water and Health)".

    4.  Page 5-2, paragraph 2: Change sentence four to read:

        "The NIPDWR were published  in the Federal Register

        (See Appendix A)".
                                                           ;
    5.  Page 5-2, paragraph 3:  Delete:  "The revisions  ....

        sometime in 1980".

    6.  Page 5-3, last paragraph:   In the fourth and fifth

        sentences change "January 1, 1981" and "January  1,

        1983" to "January 1, 1984"  and "January 1, 1986"

        respectively.

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    7.  Page 5-4, fourth paragraph:  Change to read as



        follows:  "Details on health effects and the basis



        for the standards are published in EPA publication



        570/9-76-003 entitled:  National Interim Primary



        Drinking Water Regulations (NTIS #PB 267-630) and



        also in the 1973 Report of the EPA Advisory



        Committee on the Revision and Application of the



        Drinking Water Standards".



    8.  Page 5-4, fifth paragraph, fourth sentence:  Delete



        "(as indicated in Appendix F)".



    9.  Page 5-7, References.  Add:  "Drinking Water and



        Health, Volumes I, II, & III, National Academy of



        Sciences, 2101 Constitution Ave. Washington, D.C.



        20418.



Section 8



    1.  Page 8-2:  first sentence:  Delete:  "Detailed



        discussions....of this guide".



    2.  Page 8-5, Sentence 1:  Change as follows:



        "...regulatory activity (44 FR 63624, November 29,



        1979) of EPA	"



    3.  Page 8-5, paragraph 4:  Change "larium" to "barium".
                                                          /


Section 12



    1.  Page 12-1, paragraph 2:  In item 3 replace the



        contents of the parenthesis with:  "(See Appendix



        A)"



    2.  Page 12-1, paragraph 3 delete:  "As noted i Table



        12-1, ....distribution system".

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    3.  Page 12-2, eliminate Table 12-1.



Section 15



    1.  Page 15-1, last sentence:  Replace the last sentence



        with the statement:  "Many of these programs are no



        longer funded or are not funded to the degree they



        were.  Individuals should check with these agencies



        to find out more about the financial assistance



        programs."

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                                                PAGES


INTRODUCTION                                    1

Decision Making Process                              4

Water System Management Concerns                   4

Organization and Use of the
    Decision Makers' Guide                            c

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                              DECISION-MAKERS'  GUIDE
                            IN WATER  SUPPLY  MANAGEMENT
INTRODUCTION

     Today's decision  makers  in the  drinking  water field have  a unique opportu-
nity to improve the  quality  and safety of public water  supplies. The findings of
the U.S.  Public Health  Service Community Water  Supply  Study  in 1970  as  to  the
deficiencies in water  systems were surprising  to laymen and professionals alike,
and marked the start of  an increased public concern  over drinking water quality.
The Public  Health  Service report  showed that  approximately  17 percent  of  all
existing public water  supplies  failed to meet one  or  more  of  the mandatory  qual-
ity standards;  25 percent  did  not meet  one or more  of the recommended ' quality
standards; more  than  50  percent  had  major  deficiencies  in supply,  storage, or
distribution facilities;  12  percent  failed  to meet  the bacteriological quality
standards;  and 90  percent   had  no  programs  for  control  of   cross   connection
hazards. There  are also  serious  deficiencies  in training  programs  and  compensa-
tion schedules for water  works  employees.

     The  General  Accounting  Office  (GAO)   reached  similar  conclusions   after
reviewing six  State water  supply programs.   The  GAO  report stated  that "poten-
tially  dangerous  water  was  being  delivered to  some  customers,  particularly by
small water supply systems serving  populations  of 5,000 or  less."

     Sufficient questions have  arisen regarding water  safety  to concern the  pub-
lic and to give impetus  to adoption of  the Safe Drinking Water Act of 1974 (SDWA:
PL 93-523).  For details of the  SDWA,  please  refer  to  Appendix A  of this  report.

     Under the SDWA, water utilities have several  responsibilities  beyond direct
operation and  maintenance including  the  following: monitoring,  public  notifica-
tion for violations  of the SDWA,  and  record  keeping.  Water utilities must provide
the necessary facilities,  personnel,  and operating  vigilance to  assure  continuous
delivery of safe  water which consistently meets the  requirements of the National
Interim Primary Drinking  Water  Regulations,  established under the SDWA.

     Water supply management  is noticeably more complex for today's public  offi-
cials, especially in small communities.  Accordingly,  the purpose of this guide is
to provide information that  will help  define  the  scope  of  problems facing  water
utility management  and assist in their solution. The  manual presents an overview
of the key issues concerning water supply and  suggests  the  means  for  addressing
detailed, specific questions related  to  these  issues through  recommended  refer-
ence lists and use of  consultants.

     Protection of  the quality  and safety of public water  supplies  is  now under-
going rapid development and  change. Water works operators are faced with many  new
and complex  problems,   but they  have the advantage  of  new technology to   solve
these problems*

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     In the  past  water treatment has developed  partially as an art  as  well as. a
science. The water  industry has frequently failed  to utilize fully known,  proven
methods for  solving many water  problems,  and has  been  slow to adapt  new  scien-
tific  ideas  and  principles to  water works  practice.  There  now  exists  a great
backlog of scientific  and  engineering data which might be  used  to the benefit of
the public by application of innovative  solutions to today's water problems.

     As examples, over  the  past fifteen  years   safe  rates  for filter  operation
have been  increased  from  2 gpm/sf   (gallons  per  minute  per square foot)  to 5
gpm/sf  by  replacement  of  single media  (sand or  coal)  filters  with dual media
(sand and coal) or  mixed media  (sand, coal,  and  garnet)  filters. This has  cut  the
cost of filtration, and greatly increased the efficiency  and reliability of  the
filtration process.

     Shallow depth  sedimentation theory has been applied  to water works  practice
to bring high rate  settling into use through  development  of tube  settlers. These
devices are  now marketed by several  manufacturers. They save space  and cut set-
tling costs. The  space  saving makes  possible  the production of factory fabricated
treatment plants  of greater  capacity.

     Granular activated carbon has  been introduced as  a new and  very  effective
means of taste  and  odor control for  many  public  drinking water  supplies.  On-site
and off-site  reactivation  of granular  activated carbon  for reuse  is  now making
possible the application of  carbon  to remove  a broad range of potentially  harmful
trace organic -substances from water  supplies.

     Discovery  of ,the production of  undesirable by-products  during chlorination
in water treatment  has  led  to development  of  means  for minimizing such by-product
formation  through  proper  selection  of  points  for proper  chlorine  application.
This has also  led to consideration  of  pre-oxidation or  disinfection with  ozone,
chlorine dioxide, or  other  substances.

     There have also  been  recent improvements in  methods  for disposing of water
treatment sludges and  for  reclamation and  reuse  of  water treatment chemicals.

     Some  of the most  dramatic improvements  in  water  supply  methods  are   new
laboratory  and  monitoring  techniques.   The  sensitivity  and detection  limits  of
many tests have been  greatly increased,  and the  use  of  instruments and computers
for process control and  monitoring  has been greatly extended.

     These  new  concepts in  water  purification  can be applied  to remedy a wide
variety of  conditions which are of  current public concern. They  can be  used to
treat water  supplies  which are  receiving  greatly  increased pollutional loads of
domestic wastes and new complex chemical  wastes  from industrial and agricultural
operations. They  can ,be  used to  remove  pesticides,  herbicides, some heavy  metals,
and other  substances  which are objectionable  even  when  present  only  in trace
amounts. They  can  remove  taste and odor  from  water and  eliminate  the   hazards
involved when unpalatable  tap  water  drives  consumers to the purchase of  bottled
water at much higher  cost.  These methods  can  be  used  to  treat runoff from water-
sheds which were  once  considered to  be  "protected,"  but  which are now subject to
development  or  to  the pollutional  threats posed by  the  widespread  use of trail

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IWATER SYSTEM MANAGEMENT CONCERNS!
I                PART i -
                INSTITUTIONAL
                                  SECTION I
                                  OWNERSHIP &
                               MANAGEMENT
            SECTION )
             STAFFING
                                                                          pU
                                                                       — T
                                                                             TSIDE SERVICE
SECTION  «t
 RECORDS
                                          SECTION S
                                    EXTERNAL INFLUENCES &
                                 •[RECORDS P. 1 I
                                 IREPORTS P. 3 |
                PART || -    I
               | PRODUCTION |
       	1 PERSONNEL P. ^~l
          -i SKILLS  pra~i
       ——-[TRAINING P .41

          -I HEALTH & SAFFTY I
          I     P. 5      I
                  [REGULATIONS & STANDARDS P,

                  ILEGAL RIGHTS & LIABILITIES t J5\-

                     RELATIONS & PUBLIC   |_
                     NOTIFICATIONS P. 5   I
                                                                                                                      ECONOMIC* ENERGY
                                                                                                                        TRENDS P.  6.
                   SECTION  fe
                PI ANMINfi F "I
                PROJECTING FUTURE!
                  SYSTEMS P.  4    |
                 EMERGENCY &
                STANDBY SYSTEMS
                  	P.  7	
                SUPPLY OPTIONS I
                 IN  EMERGENCY
                SITUATIONS P. 9
                                       -[QUANTITY f. 21
^ASSESSING CHANG"*- .
                REGULATIONS P. J» i
                                                                  SECTION t ~1
   PROCESS
SELECTION P. 21
               —SOURCES P. i;
   WASTE
 TREATMENT
FOR CORROSION
CONTROL P q
1  CHEMICAL
HANDLING P  9|

1 OPERATION & I
CONTROL P
                    SECTION 9
                   TER TRFA •
                    U/ACTCC P 1
                    SLUDGE
                   DISPOSAL
                 METHODS P.,2!
 {RECLAMATION!
 8. REUSE P.  21

I  .  SLUDGE
PEWATERING p. 3

  LANDFIL1   I
DISPOSAL -  3J
                      PROCEDURES & I
                      EQUIPMENT P.  2]
H                     DISTRIBUTION  I
                      MAINS P. 3-	|
                                                                                                  —[STORAGE "
                   1—[RECORDS P.-4|
1       SECT ION 12
   SURVEILLANCE

     OBJECTIVES &
   REQUIREMENTS P. 1

- (SAMPLING P. 2|

    LABORATORY I
   FACILITIES P. -j \
                                                                           INTERPRETATION &|
                                                                           EVALUATION P. 4 |
  CROSS CONNECT
    CONTROL P. 4
                        1—[ANNUAL COSTS P. 8 I



SECTION Hi 1
INCOME P. |

REVENUE
REQUIREMENTS
P. 1

SOURCES OF I
                                                    REVENUE P.
                                                                      	[REVENUE RESOURCES P . 4 I
                                                       Figure 1
                                                 DECISION MATRIX
                                                                      1—IBANK LOANS P. - 4 i

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bikes,  four-wheel drive  vehicles,  and snowmobiles  which enable  people, to reach
formerly inaccessible  areas.

     The means  are now at hand  to solve virtually any and all water quality prob-
lems. However,  there  is  a great  lag in the practical use and application of these
methods. A great  deal  more must be done. Many  recently  perfected water treatment
processes must  be included in plans for new plants  and  must  be  added to existing
plants  if the full potential  benefits  to  the public from scientific and engineer-
ing progress in this'area are to  be realized.

Decision Making Process

     The  decisions  made  by  water  utility  management encompass  a wide  range of
economic, social, political,  legal, and technological questions. Furthermore, the
specific  concerns vary  considerably  among communities  - thus  each  organization
encounters unique problems or decisions to be  resolved.

     Through continuous  surveillance,  a manager  identifies  specific  problems and
needs of his organization and anticipates future areas  of  concern. These include
questions concerning personnel,  administrative,  and legal  as well  as  technical
matters. Then,  any system or  organizational deficiencies are resolved by defining
the  available  alternatives  and making  the changes  that most  economically meet
community needs.

Water System Management  Concerns

     Water utility management addresses  three  major areas:   institutional, pro-
duction, and finance.  Some of  the  prominent concerns  in these  areas  are  illus-
trated  diagrammatically  in Figure  1, which corresponds  to a table of contents for
this manual. There is  a  strong interaction among the various  factors involved in
water system management  that  influences the ultimate decision-making process.

     Some of the  utility  manager's  most pressing  concerns are:

     •    unfamiliarity  with  current EPA  and  State regulations  and  what  EPA and
          State expect from  him  under the  present  and  impending  Drinking Water
          Regulations

     •    lack  of knowledge  of  new technologies and  what  they  can  do  to  solve
          water problems

     •    how to  hire  a  qualified consultant and how to  avoid hiring an unquali-
          fied consultant

     •    inadequate compensation  levels  for water works personnel which prevent
          him from attracting, hiring,  or  retaining qualified  workers

     •    resistance to  change, both by the  public  and  the  water works industry

     •    lack  of information regarding  the methods of  financing major  capital
          improvements

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     •     local  political  concerns

     •     how  to replace lost  ad valorem tax funds with new revenues

     The  fundamental  force  governing  most management  decisions  is  finance.  A
successful administration,  public or private, is  based  on sound economic policy.
The cost  of  operating,  maintaining, and improving  a  facility  must be balanced by
revenues.  As with any business,  this  entails  satisfactory  service  at an accept-
able  price.  However,  economics  of water  supply are controlled  by institutional
and  production  concerns.  Institutional   factors  such  as  rate   commissions  and
surveillance by  state agencies are  often  the  most important.  This  is especially
true  since  passage  of the  SDWA.    Legal   responsibilities  and  regulations have
increased  and,  correspondingly,  many  communities  have  had  to reassess  their
organizational structure.

     Obviously  the  key to  meeting  the   new  regulations  and satisfying   public
demand  for better water lies in  the  production  aspects of  potable  water supply.
Notable areas  that require additional attention  in many systems, as  a result of
SDWA, include:   treatment  for meeting specific  water quality  goals, surveillance
to ensure  these  goals  are  met,  and cross  connection control to minimize potential
contamination  during  distribution,  and  a revenue  base   sufficient  to   insure
continued  viability  of  the water utility.

Organization and  Use of the  Decision-Makers' Guide

     This  Decision-Makers'  Guide  is  intended as  a quick referencing  system for
addressing  the key  issues  of water  utility management,  particularly  for  water
systems serving  5,000  to 75,000  persons.  Smaller systems may need assistance from
legal,  financial, and  engineering consultants  in addition  to  that  provided by
this Guide.  Larger systems may already have at  hand  all of the  information con-
tained herein. Some  of  the material in  this manual is pertinent to all water sys-
tems. Site  specific  analyses  by competent  consultants  will generally  provide
expertise  greater  than  this  manual,  and  such assistance  is often necessary  if new
programs of  investment are suggested.

     Each  Section  of  the Guide begins by asking  a series of common questions con-
cerning the  topic of the  Section.  Following each question there  is  a reference
to material  in the Guide which  will aid in answering the  question.  The text pro-
vides a general  overview of  many  pertinent aspects of potable  water supply.

     Each  major  section is  prefaced by a graph  which  outlines  Section  content
and gives  respective page  numbers.  A list of  outside  references  is  provided at
the end of each  section to assist  in finding further details  of  each  topic dis-
cussed.   For problems  not solved by the  reference material,  specialists in  admin-
istrative,  legal,  or technical  aspects  of  water supply  should  be  consulted in
their areas  of expertise.

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                                      PART 1

                                   INSTITUTIONAL
     The primary  decisions  to be made by  water utility officials  are  related to
the  institutional concerns  of  a water supply system.  These  include such  key
factors as utility organization and ownership and the  legal  aspects of operating
a potable water  supply* system.   The  responsibilities of the water purveyor have
become particularly  demanding since  the  passage of  the Safe -Drinking  Water Act
(SDHA) in 1974.   Liabilities are increasing,  as are the requirements  for public
participation in  the decision-making  process.

     The information presented  in  this  part  of the decision-maker's  guide pro-
vides a brief overview of the various aspects  of managing a water supply utility.
Topics  including organization,  personnel, external  influences and obligations,
records and reports, and insurance  are discussed.

     A list of references is  given  at the  end  of each section.  These sources con-
tain  detailed information  which may be  necessary  to  answer  specific,  complex
questions facing  water utility decision-makers.
                                       1-1

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                                   PART I
                                INSTITUTIONAL
11.  OWNERSHIP & MANAGEMENT      SECTION I    |
          OWNERSHIP - P, 2
    COOPERATIVE
MANAGEMENT - P. 3
12. RISK PROTECTION    SECTION  2  \
          REFERENCES - P. 2
                                                        REFERENCES - P,
                                 1
                                                          HOW TO SELECT AN
                                                     ENGINEERING CONSULTANT  R 7
 3. STAFFING  SECTION 3 ]
        |   SUPERVISION - P. 2    I  | PERSONNEL - P. 2      | SKILLS - P~4
         OUTSIDE SERVICES P.1
     HEALTHS,
   SAFETY - P. 5
                                          TRAINING - P. 4
REFERENCES - P. .7
     RECORDS & REPORTS  SECTION
        |   RECORDS-P. 1     |  |   REPORTS. P, 3     |
                         REFERENCES - P. 4
 5. EXTERNAL INFLUENCES & OBLIGATIONS    SECTION
             REGULATIONS &
           STANDARDS-P.  1
     LEGAL RIGHTS &
   LIABILITIES - P.  5
                   1
             ECONOMIC & ENERGY
             TRENDS-P. 6
        PUBLIC RELATIONS &
    PUBLIC NOTIFICATIONS - P. 5
          REFERENCES - P. 7
                                       1-2

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PART I - INSTITUTIONAL ISSUES                                        ,§
                                                                      ii
                                                                      m "
                                               PAGES                 IS
                                                                      3 ••

SECTION 1 - OWNERSHIP & MANAGEMENT                                 *-

    Questions About Organization of Water System        1

        Existing Systems                              1
        New Systems                                1

    Ownership                                       2

        Alternatives                                 2
        Consideration                                3

    Cooperative Management                          3

        Single  Community                            3
        Regionalization                               5
        Multi-Community Cooperative
           Administration                            6

    How to Select an Engineering Consultant              7

    References                                      o

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                                     SECTION 1

                             OWNERSHIP & MANAGEMENT


QUESTIONS ABOUT ORGANIZATION OF WATER SYSTEMS

     There are several questions which those responsible  for public water systems
should ask with regard  to  the  organization of their  enterprises.  These questions
relate  to  the ownership,  administration, and  management  aspects of  the  opera-
tions. The questions may be  different  depending on whether  a  new  water system is
being contemplated,  or  whether changes are  being  considered  in the  operation of
an  existing  system.  Included  in  these  two  categories  of questions  concerning
organization are the following:

Existing Systems

     1.   Should the ownership as  it now  exists  be continued,  or should a sale or
          transfer  to new  ownership  be considered? (See pages  1-   and 1-3)

     2.   Should the water utilities in the  vicinity be  combined to operate under
          a water authority  or a regional  government? (See  page  1-5)

     3.   What area  should the utility attempt  to  serve?   (See page 1-6)

     4.   Is it better for the water system to operate as  one of  the departments
          of a government  entity or as an independent agency with  its own board
          of directors? (See page  1-2)

     5.   Can the  water system manager  discharge  his duties  to  the  State under
          the  Safe  Drinking  Water  Act  on  his  own, or  should  he  seek  legal,
          engineering,  or financial advice  from consultants?  (See page 1-7)

     6.   Is some reorganization needed?  (See pages 3 to 7  and 5)

     7.   How should an engineering  consultant  be  selected? (See page 1-7)

     8.   What contacts are  needed with other  agencies?  (See Section 5 , page 5-2)

     9.   Should  cooperative arrangements or  joint-power  agreements be  sought
          with  other agencies?  Can cooperation  with others  be  advantageous  in
          billing   customers,  operation   of   laboratories,  providing  technical
          assistance  in water plant operations,  or  other  areas  of  common need?
          (.See page 1-3)

New Systems

     Some questions  posed  under  Existing  Systems also may apply to new systems.

    10.   What enabling  legislation is there and  what are  the legal constraints?
          (See Sections )


                                        1-1

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     11.    Should  the  water system be organized under public or private  ownership?
           (See  page  1-2 and 1-3)

     12.    Will  fire  protection  be  provided  under  private  ownership?  (See pages
           1-2 to  l-ll)

     13.    Should  annexation to  an existing nearby  water system  be sought?  (See
           page  1-5)

     14.    If water system is  owned by a city,  should  there be  a separate water
           board,  or  should a water  department be formed  under  the existing  city
           administration?    What  are  the  interdepartmental relationships?  (See
           pages 1-2  and 1-3)

     Information  concerning  some of these questions will be given in this  section
of this report.   Other  questions will  be answered, in subsequent sections.

OWNERSHIP

     Water systems may  be  either publicly or  privately owned. Rural water  systems
which  are  cooperatively owned by the  individuals served  are  considered publicly
owned  in this  report. Privately  owned water  systems are  operated as  a business,
including  methods  of  day-to-day  operation and  in relationships with employees.

     Except  for  entirely  new  systems,   the   decision  on  private  versus   public
ownership  was made long ago.  Any decision made now  to  change  ownership is  likely
to stem from financial  or  political considerations.  One common reason for  consid-
ering  a possible  change in ownership is  that  the owner cannot  afford  the  neces-
sary improvements  to  the water system.  The motivation  for a change may originate
with the  owner  who wants  to  be  free of  a  financial burden, or  from  water users
who are dissatisfied  with  water  quality  or water  service  and want to  improve the
system.

     The majority  of  water supply systems in  the United States  are publicly owned
entities;  however,  for  each community the  decision regarding  public  versus  pri-
vate ownership  should be based on the  ability  to supply the best service at least
consumer cost under  local  conditions. Service should  be  provided  in  an environ-
mentally sensitive manner  consistent  with land use and  water  conservation and
development plans.

Alternatives

     Ownership  and control of  a  public water  utility can  be as  a private or  gov-
ernmental  enterprise.

     •     Private Ownership - A  privately owned water  utility may be organized as
           a corporation, partnership,  or a single owner.  Ownership is  generally
           vested in a group of stockholders who control operation through a board
           of directors  and;  ultimately,  a chief  executive or president.  Day-to-
           day operation can be managed by a full time  or  a  part  time  operator or
           under a lease-service  arrangement.   The manager  would  report  to  the
           Owner or Board of Directors.

                                       1-2

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     •    Public  Ownership - The  community property  owners  or  taxpaying public
          usually  represent the controlling  body for  a publicly  owned utility.
          In this  case, control  is  directed through  elected officials, who may in
          turn,  appoint  the manager of  the facility.  Organization  of a publicly
          owned   facility   varies   considerably  among   agencies,   depending  on
          specific  needs  and enabling  legislation.  The  water department  may be
          incorporated into other  city or municipal departments,  or be organized
          as a separate institutional  unit,  such as  a district, board, or author-
          ity,  which is  relatively autonomous  with  respect  to  other municipal
          management  functions.  In  addition,  it  may  be  part  of   a  regional
          authority.

Considerations

    The  prime  considerations  concerning  utility   ownership  are  institutional,
management efficiency, the ability  to  provide  needed services, and profit.  Over-
all,  privately owned  systems have  an excellent  track  record,  and,  in certain
cases, a  privately owned  organization represents a  more  efficient alternative to
public ownership.

     Public  ownership  is  not always  feasible but is  generally  preferred  when  a
private investor  cannot  operate effectively  under the associated  constraints of
low  profit  margins and large capital investments.  Furthermore,  many operations
are  often best organized  as  a  subdivision of,  or  jointly with,  other municipal
services  and  governments.   In small  cities many operating  responsibilities,  such
as  accounting,  billing,  reporting,  etc.,  can  be combined with  other municipal
services. Public  responsiveness of  publicly-owned  water utilities  may be better
than  that of  private water companies. Also  public water systems  may be eligible
for  some  state  and  federal  assistance  which  is  not  available   to  private
companies.

     The  trade-offs  between private and  public  ownership are summarized in Table
1-1.

COOPERATIVE MANAGEMENT

     There  are  several forms of  cooperative  management  which may  be applied to
water  works administration.  There can  be internal  cooperation within  a  single
community or formal or informal  cooperation among  several communities.

      1.   Single  Community - In instances  where the water system  is operated as
          one  department  of several within a  single city or  community, there are
          several  opportunities  for  potential  efficiency  and   savings  through
          interdepartmental cooperation  and sharing of  personnel  and  facilities.
          There may  be combined  administration of  water and wastewater facilities
          or of all  public works  facilities in  the  city. Or  there may be a shar-
          ing  of  computer  facilities,  communications equipment, automobiles,  con-
          struction  and  maintenance equipment,  or  billing and  accounting  staff.
          Certain insurance policies  may cover several city  departments.  These
          internal  arrangements  may be advantageous or  not,  depending upon local
          circumstances.   In  many  communities,  a  single-purpose,   separate  and


                                       1-3

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            TABLE 1-1.  ADVANTAGES AND DISADVANTAGES  OF  PUBLIC AND PRIVATE OWNERSHIP
Alternative
     Advantages
Disadvantages
Private
Ownership
Profit motive
                         Autonomous from municipal
                         government

                         Not affected  by debt  limitations
                         of municipal  government
Taxable

Cannot raise revenue
through taxation

Low profit margin
complicates investment
and management

Failure by utility regulatory
agencies to allow recovery
of fire protection costs  in
rate structures may limit
ability to provide fire
protection
Public
Ownership
Generally lower rates due to
exemptions

Higher exposure to public

Can sell tax exempt bonds
at low interest rates
and obtain government  .
grants

Can obtain income
through taxation

Can better utilize income
from customer contributions
Politicial .constraints

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     independent water board, commission,  or  department  may be the best form
     for management and administration,  particularly  where  there is not suf-
     ficient  attention  or  emphasis  on  water  programs,   or  where  there  has
     been  harmful  political  interference with  water system operations  or
     finance.

2.   Regionalization - In  some  situations where several  cities  or community
     systems  are  located  in  proximity  and are  providing similar  services,
     there have been  efforts to' create  a single  new political  or institu-
     tional  entity  to replace  the  several separately managed ones.  In  the
     implementation of the  Safe Drinking Water Act (SDWA)  both  Congress  and
     the  Environmental  Protection  Agency (EPA)  recognized  the  potential
     utility  of  regionalization  in solving  some  of  the practical problems
     facing  small  systems.  For  instance,  Section  1416- of  the  SDWA provides
     an additional two-year period  for  systems entering  into  a  regionaliza-
     tion  program.  The  extra  time period  allows .for   the  negotiation  of
     institutional and administrative details.

     EPA  encourages  the  consideration  of regional  systems  as  a means  of
     resolving  some  very  difficult problems.  Economies pf  scale,  capital
     resource pooling, and improvement  in operation  are some of  the advan-
     tages of regionalization.

     The  pooling  of  skills,  resources,  and knowledge has  long  been recog-
     nized as an  appropriate method for enhancing a program.   Regionaliza-
     tion, as applied to  public water systems,  can  be defined  as  an inter-
     connection of  existing  systems  or  the  centralization  of  one  or  more
     management functions  for several  water  systems  that are  not  physically
     interconnected.

     The benefits of  regionalization  go  beyond that  of  providing  a means  by
     which a public water system  can meet  the  requirements  of the SDWA.  Four
     major areas that may  benefit through regionalization  are  operation  and
     maintenance, financing,  planning  and design,  and relations  with regu-
     latory agencies.

     The  pooling of  financial resources  can  allow for  the  hiring of  a  few
     qualified personnel  to properly manage,  maintain,  and operate  a group
     of consolidated public water systems  instead  of  the part-time operators
     who are all too frequently underqualifled and undertrained. The unified
     management of a  regional system may  improve  service and water  quality
     through  comprehensive and knowledgeable supervision  and  direction  of
     operations. Also, a water  system  with a  sound personnel  base is better
     able  to attract, retain, and train  qualified  personnel.  Other operation
     and  maintenance  benefits  include  better reaction  to  emergency situa-
     tions,  sharing of physical facilities, and  standardization  of construc-
     tion materials.

     For  small  public water utilities  which  are fiscally  handicapped  by
     their  size,  the difficulty  in raising  money to  update their  systems
     to improve service and water quality and to  meet the  SDWA  requirements
                                 1-5

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     may  result  in a  financial burden for  the users.  Through regionaliza-
     tion,  capital costs can  be distributed  over a  larger user  base.  The
     larger  base also nay  make it easier  to raise  funds for  public  water
     system  improvements. The  opportunities to  finance  necessary projects
     solely  on a service  charge basis may be enhanced  by  providing a larger
     base  for revenue, which  will encourage better  bond ratings.  In  addi-
     tion, a more uniform rate  structure  is  possible.

     A  central  public water system  or  regional  management of  a  group  of
     small,  scattered  systems may provide  better water resource  management
     to meet the  water supply needs within a given area by  increasing  plan-
     ning options. Because  of  the  larger  geographical area of operation, the
     regional system may more  easily take  advantage of multiple  sources  of
     water supply, thus utilizing  the best  available  raw water supply within
     a given area. This  in turn provides greater latitude in  the  choice  of
     treatment and thus   greater  control  over  capital  costs.  Many drought-
     related problems  of  individual  systems  might  be  relieved if systems
     become  a part of  a regional system.

     The  continued proliferation  of  small water  systems creates  problems.
     Additional  water  systems  mean a dilution of  existing monitoring  and
     technical assistance  capabilities.  Moreover,  small systems   are  more
     likely  to require outside assistance  in solving operation and mainte-
     nance problems.

     A significant proportion of small) water  systems  in the  US might benefit
     through regionalization.   Unified purchasing,  operation,  maintenance,
     monitoring,  planning,  and  financial  and  administrative  management  func-
     tions could  be carried out by a single staff. This consolidation  might
     lend a  stability  and economic base  to  these systems which they do not
     currently possess. Further,  the  administration of  all of  the  functions
     by a regional entity  may allow  the consolidated  system to  enjoy  the
     economics of scale and  the resultant savings.

     Despite its advantages, regionalization  is not  considered a panacea.  In
     some  places, the replacement of several  governmental  units  by a  new
     regional agency  has been  accomplished successfully. However, in  many
     instances this approach has met  with  great resistance  and  opposition.
     The objections to regionalization of governments,  where it exists,  stem
     from  several sources.  There  is community pride  and  inter-community
     rivalry. There is resistance  to  change in established  political  insti-
     tutions, and there may  be  legal  and  financial difficulties in regional-
     ization. Communities considering this approach  should study the experi-
     ence  gained in previous  attempts by  others in  this direction  before
     initiating a local program, in order to  anticipate problems and develop
     local support.

3.   Multi-Community Cooperative Administration - For groups  of  neighboring
     communities desiring to obtain some  of the advantages  of  consolidation
     without  the  political and administrative  difficulties  of  regionaliza-
     tion,   multi-community   cooperative  administration  may   offer   an
                                 1-6

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          alternative.  It  might be advantageous for several  communities to share
          a manager, an accountant,  an engineer,  or a chief water works operator.
          They may  share  the use  of  laboratories,  of facilities  for  sample col-
          lection,  or of construction or maintenance equipment, or they may stock
          a common  supply  of repair  parts  or emergency equipment.  To date, this
          type  of  cooperative  management has  not  been widely used,  but  offers
          definite  advantages.  Under the SDWA,  the new water  quality considera-
          tions .make  the  operation and management  of  water systems somewhat more
          technical than  in the past, which  poses  problems for many communities,
          particularly  small  ones.   The required, managerial,  engineering,  and
          technical skills for  water systems may be more readily obtained in some
          cases through multi-community cooperation.

     Clearly,  the alternatives for  water supply operation and  organization are
many. Each  community  or utility  must evaluate  the alternatives  relative  to its
own  specific  needs and situation.  Some of  the main  considerations  of  utility
organization are  summarized  in  Table 1-2.

HOW TO SELECT AN  ENGINEERING CONSULTANT

     Except for very large cities, most water managers  or  directors find it nec-
essary to employ  consulting engineers  to design water works improvements  or new
water facilities, because  of the  specialized nature of the  work to  be  done.  It
may be particularly important  to  hire a consultant  to  design improvements needed
to bring a system  into compliance  with the National  Interim Primary  Drinking
Water Regulations (NIPDWR).  Some  questions  to  be asked in this regard include:

     1.   Is  the  engineer  licensed  or registered  to  practice Civil  or Sanitary
          Engineering in the State?

     2.   Is  the  engineer qualified  and experienced  in the type  of  work  to  be
          done?

     3.   Have the  results of his  work for  other clients on similar projects been
          satisfactory? Have his  references been checked,  particularly with per-
          sons who  have been responsible for operation  of  facilities  designed by
          the engineer?

     4.   Will the  engineers who  actually do the work within the firm be persons
          with the  necessary experience?

     5.   Is the  engineer  familiar with the  State regulations?

     Further information on selecting a professional engineer is contained in two
publications, as  follows:

     1.   American  Society of  Civil  Engineers,  Manual 45,  "Consulting Engineer-
          ing,  A  Guide For The Engagement  of  Engineering  Services,"  available
          from the  ASCE, 345 East  47th Street,  New  York, NY 10017.
                                       1-7

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             TABLE 1-2.  SUMMARY OF THE ADVANTAGES AND DISADVANTAGES OF WATER UTILITY MANAGEMENT ALTERNATIVES
      Alternative
                           Advantages
   Disadvantages
   Favorable conditions
    Single Community
    Directly under
    general community
    administration
    Under separate
    water board
                     Opportunities for inter-
                     departmental cooperation

                     Direct accountability
                     Autonomy & simplicity of
                     administration
Cost may be high in
small communities

Less time to spend on
water problems

Cost may be high in
small communities
Large and small communities
Large communities. .
                         More attention of top officials
                         to water problems

                         Direct accountability to public
                                                      Less opportunity  for  inter-
                                                      departmental  cooperation
i
00
Regionalized Govern- In some cases overall economies
ment & Water         of scale can maintain more corn-
Authorities          petent technical & maintenance
                     staff
                         Low interest financing may be
                         more available
More complex administra-
tion

Requires cooperation
between political units

Less accessability to
public	
When optimum water'service area
boundaries do not  coincide with
existing political* boundaries
                                                                                  Existence of several closely-
                                                                                  grouped communities   	
    Multi-community
    cooperative
    administration
                     Overall economies of scale

                     Can maintain more competent
                     staff; technical, operational,
                     and maintenance

                     Flexibility

                     Adaptability to emergency
                     conditions
Less accessibility
to public
When joint" cooperative effort
by neighboring communities can
improve operation of water sys-
tems that they cannot accomplish
individually

Small communities

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     2.   National  Society  of  Professional  Engineers,  Guide  For  "Selecting,
          Retaining,   and   Compensating   Professional   Engineers   In   Private
          Practice," available  from the NSPE,  2029  "K"  Street N.W.,  Washington,
          DC 20006.

     Water works engineering is  a highly specialized profession.  It  is  important
for water  system managers and officials  to  obtain the  services  of a firm  which
has thoroughly  trained  personnel who are well  experienced in water  system  plan-
ning, design,  construction and operation. The  selection of the  right  consulting
engineer  is  highly important   to   the  successful  completion  of  water  system
improvement programs.

REFERENCES

•    "Water Utility  Management," American Water  Works  Association  (AWWA) Manual
     M5.   Chapter 1 deals with questions of  ownership and  regulation  of  water
     supply utilities.

•    Urban  Public  Works  Administration,  W.E.  Korbitz, ed.,  International  City
     Management  Association, 1976.  Chapter  2  deals  with the  organization  and
     interrelationship of  various public works  organizations.
                                       1-9

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PART I - INSTITUTIONAL ISSUES

                                               PAGES

SECTION 2 - RISK PROTECTION

    Risks and Insurances                             1
                                                                 -a
        Types of Risk                                1              ||
        Coverage                                   1              fj
        Property Loss or Damage                      1               (
        Workman's Compensation                     1
        Public Liability                               2
        Product Insurance                           2
        Crime Coverage                             2
        Self-Insurance                               2

    References                                     2

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                                    SECTION 2

                                  RISK PROTECTION
RISKS & INSURANCE

     Water  system managers  have several  decisions to  make regarding  the risks
involved  in water system ownership  and operation, and  how to  protect  the owner
against excessive losses.

     1.   The basic questions  are how many risks  can  be  assumed presently by  the
          utility  (self  insurance),  and  how  many risks   should  be  covered  by
          insurance? (See pages 2-1 and 2-2)

     2.   What  types of  insurance are available? (See  this page below)

     3.   What  public  liability risks are incurred by water utilities? (See page
          2-2)

     4.   How often should  insurance programs be reviewed? (.See page 2-2)

Types of Risk

     Water  systems may be exposed to losses  from:   windstorm, fire, flood, theft,
libel, slander, violation of privacy, damage  to boilers and machinery, lightning,
water damage, collapse,  loss of  records  and  drawings, injury  to  employees, auto
collision,  public liability,  crimes  by  employees,  burglary,   robbery,  forgery,
earthquake, and product  quality.

Coverage

     Comprehensive coverage  is  not  a type  of  insurance carried by a water  system.
Most comprehensive  contracts require  the  disclosure   to  the  insurance company of
all hazards. Many of these  may  not  be known  to  the owner.  Thus, there are likely
to be gaps  in the coverage  provided.

Property Loss or Damage

     A property loss or  damage  policy for  water systems should cover  the replace-
ment of facilities  or  equipment at  the market  value  at the time  of loss.   Indi-
vidual components  of the water  system  should  be  assessed for  vulnerability to
specific types  of damage. Vandalism  of water  systems  is  common and consideration
should be given to insurance to  cover such  losses.

Workmen's Compensation                   s

     This insurance is generally required by law.  Such  policies must comply with
individual  state  laws  as to the  amount,  type,  conditions, and extent  of  cover-
age. The  coverage may  be a substantial budget  item and  should  not  be overlooked
as an  employee  benefit.  Often,  the  policy  cost  is based  on  the  claim history;
enforcement of safety rules  can  be  a decisive factor  in reducing this cost.

                                       2-1

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Public Liability

     Liability  insurance  covers both personal  and property damage.  Hazards such
as  false arrest,  libel,   slander,  etc.,  as  well  as death  and  disability,  are
included. The increased responsibility  for meeting SDWA requirements may necessi-
tate  consideration  of  product  insurance  coverage.  One  difficulty  in  writing
liability policies  is  defining the conditions  to be covered  and  determining the
extent of coverage.

Product  Insurance

     Protection against possible  claims of polluted or unsafe water may  be pro-
vided by carrying  product  insurance.  Under the SDWAj  class  action suits are pro-
hibited. .A  citizen may sue  if  a  water  system  is out of compliance.  However,  if
the water utility  has  an  exemption or  variance,  it  is  protected  against  citizen
suits.

Crime Coverage

     Crime  coverage  can be  broken  down  into two general categories - employee and
outside.  The most  effective way  of  providing  crime  insurance  is  to have the
employee  "honesty  bond"  included  with  the ."money  and  securities"  policy which
would cover  burglary, robbery,  vandalism,  etc.

Self Insurance

     Because of  the  high  cost of  coverage or lack  of availability,  water utili-
ties  often  do  not  carry  flood  or  earthquake  insurance. Also, as  previously
mentioned,  deductible  limits may  be  set  with regard  to prudent  self insurance
capacity so  as  to  reduce  insurance  costs.

     Securing  insurance  coverage  should be approached cautiously. The fact that
insurance policies  are  contracts  should not  be overlooked.  They must be reviewed
critically  and  revised to  the  satisfaction of the water utility.

     The number of  policies  to  be  carried by a water utility  varies according to
load conditions. Grouping of coverages  under  fewer  contracts  may be advantageous
under many  conditions. The selection  of the  insurance  carrier may be by negotia-
tion  or  by competitive   bidding.  Again  local  circumstances  may  dictate  this
choice.  The whole  insurance program  should  be  reviewed  annually  to  take into
account  acquisitions and  dispositions,  value  changes, and other changes.

REFERENCE

•    "Water Utility Management,"  AWWA  Manu'al 45,  Chapter  17.  Discussion  of the
     various  types  of  insurance  that  should be   carried  by  a   water  utility,
     including  comprehensive coverage,  property loss or damage, workman's compen-
     sation, public  liability,  crime  coverage,  etc.
                                        2-2

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PART I - INSTITUTIONAL ISSUES

                                                PAGES

SECTION 3-STAFFING

    Outside Services                                  1
    Supervision                                      2
        Personnel                                   2

        Emergency Staffing                           4

    Skills                                           4
    Training                                        4               ^
    Health and Safety Programs                        5               |
                                                                   3
References                                          7

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                                    SECTION 3

                                     STAFFING
     Proper  selection,  organization,  and  management  of  the  people  who  are
employed  to  operate  the  water department  greatly influence  the success  of the
water system in  providing  proper service to its  customers.  With small and medium
sized systems one  of  the  basic decisions  to be made is how much of the work  is to
be done in-house by permanent  or  temporary staff, and how much can be done better
or more efficiently by  outside contract.

     Some pertinent questions  are:

     1.   How much help is available?  (See this page, below)

     2.   What number and  mix of personnel  is needed m staff  the  water depart-
          ment?  (.See  pages 3-2 to 3-5)

     3.   What services can  be contracted to advantage? (See pages 3-2 and 3-3)

     4.   How can  the technical and managerial expertise  of the water department
          be increased  at  low  cost?  (See  pages 3-k and 3-5 and Table 3-1)

     5.   What factors  influence  staffing requirements? (See pages 3-2 and 3-5)

     6.   What kind of  health  and safety  program is required?  (See page  3-5)

OUTSIDE SERVICES

     Because water utilities  are subject to  regulation by local  health depart-
ments,  state agencies,  and  the  federal  government,  some  technical  assistance is
available at no  extra cost from these regulatory  agencies.  City or County health
departments  can  furnish information regarding regulations  which must be  met by
public  water  systems.  They  also can  provide  instruction  in  the  collection and
submission  of  water  samples  for  bacteriological,  chemical,  or  radiological
analysis.  Some   or all water   system  samples  may be  analyzed  in  local  health
department laboratories.  They  can assist in the  interpretation  of  the reports of
test results. State water  agencies can also provide  these  services.  In addition,
states can provide technical assistance  with treatment plant operations,  operator
training, the selection of a consulting  engineer, and with application for grants
and  loans.  In  states  which  have  not  assumed  primacy  (primary  enforcement
responsibility)  under  the  Safe  Drinking  Water  Act  (SDWA),  the  Environmental
Protection Agency  (EPA) can  provide  these services.

     Because the design of water  purification  plants  is such a highly specialized
undertaking, most  water  systems, even  large  ones,  usually engage  a consulting
firm experienced in  water treatment plan design to  prepare plans  and specifica-
tions for  new  or  expanded plant work.  Consulting engineers  also  can assist in
operator training, plant  startup, or in  plant operation. They  may  prepare plant
operations manuals to aid  plant operators.
                                       3-1

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     Regulatory  agency representatives and consulting  engineers also  are avail-
able to assist water systems  in times  of  emergency.

     Some equipment manufacturers  or suppliers provide  maintenance services under
water  department  contract,  particularly  for  control  systems  and  monitoring
equipment.

     Legal  and financial  advice can  be  obtained from local attorneys,  lawyers
specializing  in water  rights, or from financial institutions  such  as bond houses
or banks.

     Help also may be  obtained from other water  system operators  in the  area or
the local section  of ANNA.

SUPERVISION

     The key  to the manner  in which a  water system is operated is the manager. He
must be given and  he must assume the primary  responsibility for the proper opera-
tion of  all  facilities. The first  responsibility of the  manager  is  to  provide
safe water. His  other  direct responsibilities may vary  quite  widely depending on
the size  and  complexity of  the particular water  system he is managing.  In some
cases, the  water  system may be operated by  one  person,  who must  do  everything
necessary.  For  all other  systems,  a  clearly  defined organization  should  be
established.

     A basic  chart showing  the  various positions  and supervisory levels should be
available to  «1I  personnel.  The relationships among groups with different func-
tions should  be well defined. A chart  with names  should be given to each individ-
ual within a  work  group.

     As  in any  business,   it is  important  that  the established  organizational
structure is  followed. Communication  must be  through  the proper  channels, with
directions coming  through each  employee's immediate  supervisor.

     As  a general rule,  the number  of  people  supervised by  anyone should  be
limited to six. This ensures  adequate  opportunity to establish good communication
while. reducing the chance  of  having  a  "top-heavy" organization  with too many
managers.

     An individual should have  only one supervisor.

PERSONNEL

     Staffing requirements  depend  on numerous factors,  including:

     •    The extent to which outside  services are utilized

     •    The size, complexity,  and age of the water system

     •    The source of supply  and water  treatment requirements

     •    The degree of instrumentation and automatic controls

                                       3-2

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     •    The  relationship  to  other  utility services

     •    The  degree of individual  staff  utilization and  overall  organizational
          efficiency

     •    The  extent of  operational  attendance required

     In  assessing  staffing  requirements, the  best  sources  of  information are the
historical  records  for  the  facilities.  If  the  records  are  poor or  staffing is
being estimated  for  completely new facilities, operational  information from sim-
ilar  facilities  may  prove  useful.  The  water  system  should   be  divided  into
functional  groups, such as  supply,  treatment, distribution,  and administration,
which may be  further  subdivided.  Treatment,  for  example,  could be  broken down
into process  operation, maintenance, buildings  and grounds,  and  laboratory.  The
sum  of  the estimated  annual manpower needs for each task and  level  of respon-
sibility  will  give the  overall  staffing  requirement.

     Unionization  is an important  consideration which  can have  both advantages
and disadvantages.

     In  any event,  formal   arrangements  should be  made for  good  communications
between  the manager  and all  employees.  There  should  be  freedom to discuss wages,
working  conditions,  and fringe benefits.   A procedure  should  be set  for filing
grievances.

     Job  opportunities should  be made  known  to  all employees  and  all employees
should be given  full consideration  in employment.

     Recommendations for optimum surface water  treatment   plant  and distribution
system staffing  are  as  follows:

                      SURFACE WATER  TREATMENT PLANT STAFFING

                                                          Plant Capacity, mgd
	Position	1	10	50

Plant superintendent                                     111
Assistant plant  superintendent                            001
Chemists  and bacteriologists                             013
Chemical  building  operators                               014
High and  low service pump station operators              028
Filter plant operators                                    444
Maintenance mechanics                                     015
Utility helpers                                           1        4       12
Storekeeper                                               Oil
Stenographer                                              0        1       _!_
                           TOTALS                         6       16       40
                        DISTRIBUTION  SYSTEM
Operation and  Maintenance,  Total                          3        5       15
                                       3-3

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     For small  systems,  individuals  will be responsible for many different tasks,
while  for  larger  systems,  more  than one  individual may  have the  same general
duties  for  multiple shift  operation.  In all  cases,  the  level of  responsibility
should  be defined  in a written  job description including:

          Work  group
          Position of  immediate supervisor
          Job description - duties,  responsibilities, limitations
          Job title
          Qualifications -  skills, education,  and experience requirements

     Appendix B of the EPA "Technical Guidelines  for Public Water  Supplies" con-
tains  typical job  descriptions  for twenty-one  positions (see reference at the end
of this section).

     All new employees  should be carefully interviewed  and fully informed of the
conditions of their employment.  These include  such matters as:

          Economic incentives including  employer-paid benefits
          Organizational structure
          Duties and responsibilities
          Possible risks associated  with the  job
          Expected performance  standards
          On-the-job training
          Scheduled performance and  salary  reviews

Emergency Staffing

     Contingency plans should be made to operate  the water system  in the absence
of regular personnel due to illness,  strike,  or other emergency.

SKILLS

     Employee skills should match operational  requirements as determined from the
detailed job descriptions.  Operator  certification is another  method  of  matching
skills  and job  assignments. In  some  states  it  is mandatory, while in others it is
optional.  In  either case,  it  provides  a  standardized  classification  system by
which individuals  may be placed in positions.

TRAINING

     Training  is  perhaps  the  lowest cost method available  for  increasing  the
technical and managerial  expertise  of the water  department.  All employees should
be encouraged to participate  in training programs and refresher courses.  They can
perform best  if they  are  informed  of current practices  related to  their  jobs.
They should be  encouraged to  maintain or improve  their  current skills as well as
acquire new skills  to prepare for possible  advancement.

     There are  various training aids,  including:

     •    Formal orientation  of new  employees
     •    Consultant's presentation  of O&M  manuals

                                      3-1*

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          Manufacturers' operation and  maintenance  instructions on new equipment
          Individual on-the-job  training  by  supervisor
          Instruction by state agency,  local health dept.,  EPA, or consultant
          Group or classroom on-the-job training
          Short schools  sponsored  by professional  organizations,  state  agencies,
          or vocational schools
          Correspondence courses
          Extension, part-time,  and  full-time courses taught by  instructors from
          local vocational schools,  colleges,  and universities

     Advantages and disadvantages of  three general  approaches  to personnel train-
ing are summarized in Table   3-1.

HEALTH AND SAFETY PROGRAMS

     A comprehensive safety  program  is  an essential  tool  in preventing  accidents
and protecting employees. The safety  program should be  established and fully sup-
ported by top management. Supervisors must inform all staff members of the safety
program and see that it is carried out.

     Basic considerations to promote  plant safety include:

     •    Comprehensive  "hands-on"  training  and  classroom instruction  regarding
          safety equipment operation, maintenance,  and  repair

     •    Basic  protection  against  potential  dangers   at   facilities   (i.e.,
          machinery guards,  handrails,  hazard  warning  signs,   adequate  lighting,
          suitable tools, etc.)

     •    Regularly scheduled safety  meetings

     •    Good housekeeping  (i.e., removal of debris  and  flammable materials)

     •    First-aid training

     •    Regular  inspections,   both scheduled  and  unscheduled,  by  the  safety
          committee

     State and  Federal  Occupational Health  and  Safety  Act (OSHA)  standards must
be followed.

     Safety  records  and accident  reports are  the   best  means  of assessing  the
effectiveness of a safety program. As well as comparing  the current safety record
with previous year's records  for the system,  it  should be compared  to  published
safety reports or records for other  utilities.   An example of  this  is the annual
water utility disabling  injury  rates published by  the Accident Preventation Com-
mittee  of American  Water  Works Association  (AWWA).  Additional  statistics  on
safety and accidents may be obtained  from the National  Safety  Council.
                                       3-5

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                                      TABLE  3-1. ALTERNATIVE METHODS OF PERSONNEL TRAINING
    Training
     method
                         Advantages
                                      Disadvantages
                                                 This  training
                                             can be obtained from
U)
i
    On-the-job
    training
Correspondence
course or other
educational
packages
    Classroom
    instruction
                  Learning is in a practical
                  situation, trainee can
                  see and hear the operation
Cost/man hour is usually
low, trainees are actively
involved, instruction is
self-paced and consistent.
Materials have been pre-
tested and their effective-
ness has been proven

Less time-consuming, much
material can be covered
quickly, fewer interrup-
tions allow instructor to
pursue objectives, and the
same lecture can be given
to more than one group
with little in-between
preparation
                               Generally one-way  communication,
                               difficult to  set up, may  place
                               heavy demands on instructor,
                               limited number  of  trainees
                               can participate
Slow feedback, no instructor for
supplemental guidance, requires
high level of motivation, and
can be difficult to teach "hands
on" experience because specific
self-instructional materials are
not always readily available

Communication is one-way,
opportunities for misunderstand-
ing of information are great,
lectures cannot be tailored  to
individual needs, and lack
personal trainee involvement.
Planning a lecture that will
hold the interest of the
trainees is difficult
Job Supervisor
Equipment suppliers
Consulting engineers
State personnel
Personnel from other utilities
Local Health Dept.
                                    i
Private correspondence schools  (ICS)
Universities and  junior colleges
Vocational schools
Professional organizations
Some State agencies
Textbooks
                                                                                        In-house by supervisors
                                                                                        State and Federal agencies
                                                                                        Universities and junior colleges
                                                                                        Consulting engineers
                                                                                        Equipment suppliers
                                                                                        Local Health Dept.
                                                                                        Personnel from other utilities

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REFERENCES
     "Technical Guidelines  for  Public  Water Systems," U.S. EPA, June,  1975,  NTIS
     #PB 255 217.  Chapter  10 given information  on .staff requirements  and  organ-
     ization, training and  education  programs,  certification, etc.; it  also  dis-
     cusses safety  programs.  Appendix B has  descriptions  for twenty-one  typical
     water utility jobs.

     "Safety Practices  for  Water Utilities," AWWA Manual  M3. Discusses  need  for
     safety program,  starting and maintaining such a program, and  specific  safe
     work practices (operating  tools, handling chemicals,  etc.).

     "Water Utility Management," AWWA Manual  M5,  1959.  Chapter 2 discusses  organ-^-
     izational  and  management  practices;   Chapter   18,   personnel  management;
     Chapter 19, training programs; and Chapter  20,  safety  programs.
                                       3-7

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PART I - INSTITUTIONAL ISSUES

                                             PAGES

SECTION 4 - RECORDS AND REPORTS

    Records                                      1

       Records of Operation and Maintenance           2
       Preservation of Records                      2

    Reports                                      3

    References                                    4
                                                                 !8

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                                    SECTION 4

                               RECORDS AND REPORTS
     Managerial decisions  regarding  the maintenance  of  records and preparation of
reports influence operating costs  for water  systems  because they are time consum-
ing activities.  Therefore, it  is  important  to  answer  the  following questions:

     1.   What purposes do records and  reports  serve?  (See this page, below)

     2.   What records  should  be  kept  and what records  should be discarded? (See
          pages U-3 and h-k)

     3.   How long should  records  be maintained?  (See  page k-2, Table ^-l)

     4.   What are the best ways  to  preserve records?  (See page h-3)

RECORDS

     Record keeping and  reports are  essential  elements  of a  well  run  water sys-
tem. Records  serve as  historical and  legal  documentation for  the system,  and
reports are the means by which this  information is  distributed.  The two go hand-
in-hand with analysis and  interpretation, which are important aids to  successful
operations.

     Records of data collected  fall  into  several  categories.   These are:

     »    Service - customer  connection files, billings,  accounting, complaints,
          etc.

     •    Construction and Maintenance  -  dates and  details of plant improvements
          and   repairs,   valve   operation  and   distribution   system   flushing
          schedules

     •    Operations  -  system O&M,  equipment  and  supply inventories,  surveil-
          lance, etc.

     •    Quality Control  - records  of  performance

     •    Personnel - employee records  (evaluations, staffing,  statistics, staff
          planning, etc.)

     «    General Management -  policies,  planning, finance, organizational struc-
          ture, etc.

     The adequacy of record keeping  can be judged' by the usefulness of  the infor-
mation collected.  Records should be clear  and concise; they should contain all
essential  information without  having  superfluous  or  incomplete  data  in them.
They may  be  used to project  future  conditions,  plan  system  and  service changes
and improvements, and increase  overall  operational efficiency.


                                      U-l

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     Methods  of record  keeping vary, depending  on the  size  of  the  system,  the
services  offered,  and the relationships with  other utilities. For small  systems,
manual  record keeping may be  adequate.  For larger  systems  machine processing  of
data may  be advantageous.  If water is provided along with other services,  records
should  reflect the  interrelationships and  the  effectiveness of  combined  opera-
tions  for some functions. Consistency of  record keeping  by different  recorders,
especially those on  different shifts  is  important.

Records of Operation & Maintenance

     Record keeping  is an  essential function of plant operations and maintenance.
A brief review of  the system  records will show  the  effectiveness and  efficiency
of  operations. A  detailed  review of records  may  point  to obvious  areas  where
improvements  are needed. Well  designed  summary reports will  best  allow for good
week by week  administration.

     Records  are important for several reasons:

     •    They demonstrate compliance with regulations and standards.

     •    They provide  historical information  on  the  system which will  aid  in
          planning future  expansions  and modifications.

     •    They reflect the adequacy of current operations.

     •    They are necessary for the  preparation of annual reports.

     •    Records  of  valve  operation  are  needed  to  insure  that  seldom used
          valves will function when required.

     •    They assist in  routine  administration such  as chemical  purchases and
          budgeting.

Preservation  of Records

     The  length of time records  should  be kept  depends on the water  system and
the type  of  records. Table  4 -1 summarizes the  length of time some  of the more
important operations records  should  be  kept  to  satisfy the 'requirements  of the
SDWA.

     In addition to  the  records required by the State,  it  is  a  good  idea  to keep
records of  power  and chemical purchases,  personnel,  budget,  water  sales, and
other items.

     Reports  of  engineering  surveys and studies  are often kept for  more  than  10
years,  since  they  may contain data which  will  be  useful in  subsequent surveys.
Much valuable  information  is lost  due to indiscriminant disposal of records.

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    TABLE  4 -1.  MINIMUM RECOMMENDED DURATION FOR RECORD KEEPING BY SDWA*
             Records
         Duration
Bacteriological analyses**

Chemical analyses**

Written reports such as surveys,
engineering reports, etc.

Variances or exemptions

Action taken to correct violation
5 years

10 years

10 years following completion


5 years following expiration

3 years after last action taken
 * There also may be additional  State  requirements.
** Mandatory records.

     In time the  bulk  of records accumulated  may make it  advisable  to microfilm
some records. It may be  desirable to  store records in a safe  or  a vault for pro-
tection from fire and flood.

REPORTS

     Good  records are not  useful  unless  they  are  properly  analyzed,  with the
findings clearly  reported. Reports  may be  in a number of  forms,  depending on the
purpose of the report and the  size  of the  system.  Examples  of  the various  types
of reports are:

     •    Monitoring Reports -  monthly reporting  to  the  state  of  routine  sam-
          pling,  check  sampling of  violations,  and  violations  (these must  be
          reported within 48 hours  of  a confirmed violation).  Public notification
          of violations  is discussed  in Section 3 ..

     •    Annual Reports - Annual  reports  serve to keep the  customers and stock-
          holders  informed  of  the  past activities  and  future  plans.  To  be  an
          effective public relations  instrument,  such  reports should be interest-
          ing, concise,  and  attract the audience's attention.  They should summa-
          rize system  statistics,  preferably illustrated with  simple graphics or
          photographs; discuss  any  major events or changes which occurred in the
          past year; and have a financial statement  for  the  last  three  to five
          years.  Since  the  audience  is  a  specific,  non-technical  group,  profes-
          sional help in preparing  this report may be  useful.  Common ways to dis-
          tribute annual reports are  through the newspaper as  an article or sup-
          plement,  or  by mail  as  a  bill  enclosure  or in  a separate  mailing.  A
          comprehensive  annual  report  should be available  to individuals who wish
          more information regarding  system  operations.

     •    Special Reports -  Special reports  aimed  at  a specific  audience  or for
          special  communications such  as  water  conservation programs  or  system
          expansions may be  needed.  These should be  non-technical  in nature and
          can take the form  of  newsletters or bill  enclosures.
                                         U-3

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    •     Management  Reports -  Management reports  may take  many forms  and are
          generally intended for internal use.  They are tools by  which the man-
          agerial staff  can  assess  the  system and plan future improvements.  They
          may  cover  such  topics as  finance  and budget,  staffing,  production,
          efficiency, maintenance,  quality control,  and expansions.  Depending on
          complexity, extent,  and type  of  report,  they may  be  prepared in-house
          or by an outside consultant.

     •    Construction Reports - Progress,  etc.

     Evaluating  the adequacy  of reports  is  important  to insure  that  they are
serving  the  purpose  for which  they  are  prepared.  Reports  must  be  functional.
Unnecessary report  writing  is  a costly  undertaking, while  insufficient reporting
can  reduce  the  efficiency  of  the operation and  effectiveness  of  good  record
keeping.

     The  best  way to evaluate the  adequacy  of  a report is  to  ask a  few simple
questions.

     •    Is the  original intent or goal of  the  report satisfied? Is  the intended
          audience being reached?

     •    What information  is  being conveyed? Can it  be easily  understood by the
          audience?

     •    Is the  report  a useful tool?  If not,   should  the report be  dropped or
          restructured?

REFERENCES

•    "Water Utility Management," AWWA Manual  M5.  Chapter 12 deals with accounting
     records and  procedures; Chapter  18, with personnel records;  and  Chapter 22,
     with annual  reports.

•    "The Safe Drinking Water Act;  Self-Study Handbook;  Community Water Systems,"
     AWWA,  1978.  Chapter  5  outlines  basic  record  keeping  procedures  and has
     example forms; Chapter  6  discusses the  reporting  procedures  required by the
     SDWA.

•    Urban  Public Works  Administration,  W.E.  Korbitz,  ed., International  City
     Management Association, 1976. Chapter  3 includes  the use of computers for
     record keeping,  information systems,  and performance  evaluations.
                                        k-k

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PART I - INSTITUTIONAL ISSUES

                                               PAGES

SECTION 5 - EXTERNAL INFLUENCES
    AND OBLIGATIONS
    Regulations and Standards
1
        Rational for NIPDWR                          3
        Meeting Primary
            &• Secondary Standards                    4

    Legal Rights and Liabilities                          5

    Public Relations and Public Notification               5

    Economic and Energy Trends                       6

    References                                      7
                                                                    SX
                                                                    -n
                                                                    -
                                                                   IS
                                                                    p.

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                                     SECTION 5

                       EXTERNAL  INFLUENCES AND  OBLIGATIONS
     Supplying  of  water to  the  public for  domestic,  commerical,  and industrial
purposes is  itself  a commercial  undertaking involving financial  and professional
responsibility. The  quantity and  quality  of  water  supplied affects the health and
economic well  being of  everyone  in the community.   For these  and other reasons,
local, state,  and Federal  laws and regulations have been  developed which seek to
protect water  users  against inadequate  or hazardous  water  supplies.

     Water supply is a  public trust.  Water purveyors have  many legal obligations,
and they must  be responsive to many external influences.

     The need  to produce a sufficient,  safe supply  of water  at a reasonable cost
presents water managers with many  questions to be  answered  if  proper decisions
are to be reached.  Some common questions  include:

     1.   What  are  the  regulations?  (See  Appendix  A-Also  see State regulations)

     2.   What  are  the  reasons for  the  regulations?  (See Appendix B)

     3.   What  are  some of the options for meeting  the regulations?  (See  pages
           5-U, 5-5  and  Section  8)

     A.   What  are  the  potential  health   risks  in drinking water?  (See Appendix
          B)

     5.   What  are  the  trade-offs  between cost  and water  quality?  (See page 5-1*)

     6.   Where  can detailed  information  be  obtained  on  methods  for  treating
          water in  order to meet  State  standards and the  National Interim Primary
          Drinking  Water Regulations  (NIPDWR)? (See  page 5-3 and  Section 8)

     7.   What are  some ways to  involve  the public in  the decision making pro-
          cess,  particularly in  the  light  of  public notification  requirements?
          (See pages 5-5 and 5-6)

     8.   Water rights. (See page 5-5)

     9.   What are  the  effects of  current economic trends  and energy considera-
          tions on  water works operations?  (See page 5-6)

    10.   What are  the  options available for  the delivery  of sufficient  amounts
          of water  to meet emergency  situations? (.See page  6-8)

REGULATIONS  AND STANDARDS

     There  are  state   and federal  regulations which  affect  all  community and
non-community   public  water  supplies.   In  some  locations   there   may  also  be


                                        5-1

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applicable  city or  county  health  department  regulations.  Under  the  1974 Safe
Drinking  Water Act  (SDWA)  most  states  have  assumed  the  primary  responsibility
(primacy) for  enforcing the NIPDWR.  In a  few states, the  Federal Environmental
Protection  Agency  (EPA), has  this  responsibility.  Local and  state jurisdictions
may have  requirements in addition to  those  of  EPA.

     By Congressional passage  of  the  1974  SDWA,  the EPA was delegated the respon-
sibility  of developing  water  supply standards  and an associated  implementation
plan for  the protection of  public  health.  In  response,  the EPA  promulgated the
NIPDWR, which  became effective  on  June 24,  1977.  These  regulations,  which are
currently in effect,  establish maximum contaminant  levels  (MCL's)  and monitoring
requirements for  selected organic,  inorganic, and  microbiological contaminants.
The NIPDWR  which were published  in  their entirety in the  Federal Register, Decem-
ber 24,  1975,  are  summarized  in Appendix  A.  They  are  applicable to  all public
water  supplies;  however,  may be superseded  by more  stringent  state  or  local
requirements.  Enforcement  of the NIPDWR currently  may be  either or  both a state
or an EPA responsibility, depending  on  location.

     The  SDWA  also  established  a mechanism whereby  the   NIPDWR  may  be revised
based upon  recommendations  of  the National Academy  of Sciences  (NAS)  or based on
other  data. The  objective  is to amend  the  interim regulations  such  that  the
resulting NIPDWR  represent  the  state-of-the-art  regarding health and  technical
feasibility of potable  water  supply. The  revisions to the  NIPDWR  recommended by
NAS are summarized  in Appendix B. The amended  standards  are expected to  be issued
sometime  in 1980.   Changes  or  amendments  to  the regulations  can  be made  by the
states or EPA  when  merited.

     An  important   aspect  of  the SDWA  is  the  Public Notification  Requirements
which were  included in  the  Act to ensure that consumers are properly informed of
NIPDWR violations  and the associated potential health hazards.  Public  notifica-
tion requirements address specific  types of violations and are different for com-
munity and  non-community public  water  supplies.

     A community  system has at  least 15 service  connections used  by year-round
residents or serves at  least 25  year-round residents. These water  systems gener-
ally serve  large  apartments,  institutions,  communities,  condominiums  and mobile
home parks.  .

     A non-community  system  has  at  least 15 s.ervice connections used by  travelers
or transients  at  least  60 days  a year  or  serves  25 or  more people  daily for at
least 60 days  a year. Examples include  separate water systems which serve motels,
restaurants, campgrounds,  churches,  factories,  lodges,  medical  facilities, rest
stops  along interstate  highways,  roadside service  stations,  and day  schools.
Please note that if the  establishments  mentioned above are  served  by a  community
water system they  are considered to  be a  part  of  that  system and  therefore are
not subject  to separate  regulations.

     Requirements for community  systems  are summarized in  Table 5-1.   Non-commun-
ity water supplies  are  required  to  report non-compliance  of NIPDWR  in  a manner
that will ensure  the user is  adequately informed of  the violation and  potential
risks.  This distinction was  necessary  because  non-community  systems  typically


                                        5-2

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                TABLE  5-1.   PUBLIC  NOTIFICATION REQUIREMENTS
                             FOR COMMUNITY PUBLIC WATER SUPPLIES
Required notification
Type of non-compliance with NIPDWR
Violation of MCL
Failure to monitor
Failure to follow compliance schedule
Failure to use approved testing procedure
Having variance or exemption
Mail
X
X
X
X
X
Newspaper
X
Broadcast
X
serve transient  users  who are not  exposed to communications  by  mail, newspaper,
or broadcast.

     The  drinking water  regulations  require notifications  to be  presented  in a
manner that:

     •    Fully  informs  users  concerning system non-compliance

     •    Is conspicuous,  understandable,  and not overly technical

     •    States  all facts  regarding  the nature of the problem

     •    Includes,  where  appropriate,  the  MCL  or   regulation  that  has  been
          violated

     •    States  appropriate  measures  to  be  taken  by  consumers  in  order  to
          protect their  health

     •    Does not  result in undue  concern by the public

     Notifications  are recommended to  explain the  significance  of  the  problem,
the steps taken  by  the water supply to  correct the deficiency, and the results of
additional samplings.

     The  SDWA  also  includes provisions  for obtaining exemptions  or  variances to
alleviate major  difficulties  in meeting regulations.   These  provisions  recognize
the  technical,  time,  and financial  constraints   in meeting  requirements  of the
act. The exemption  is  a  procedural  mechanism that allows  the  State and/or EPA to
provide additional  time  for a public water supply to come into  compliance.  This
procedure gives  the public  water  supply one year  to devise a  schedule whereby it
must come into compliance with the  SDWA by January 1,  1981,  provided no immediate
health risk would result during that  period. The  exemption allows communities to
assess  their situation,  seek  funds,  complete  the necessary engineering,  etc.
Additionally,  for  systems  seeking  to  regionalize,   another  two years,   i.e.,
January  1,   1983,  was  provided  to allow  for  the  negotiations  that  would  be
required. Variances were  designed for  situations  where communities have exhausted
their options  to  come  into compliance.  The  intent was to protect  from  a citizen
suit, water  systems which  had applied  .the best  available  technology  and   still
                                        5-3

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 could  not comply with  the  provisions of  the  SDWA (provided  no immediate  health
 risk was  present).  It should also be clear that the exemption and  variance  do  not
 give  a license  for non-compliance.  It  merely  protects  the  public  water  supply
 from suit until  such time as compliance can be achieved.

     Several  sample notices  are  presented in the  EPA "Public Notification Hand-
 book"  as  referenced at  the  end of this section.

     EPA  has  promulgated Secondary Standards which deal with  the aesthetic  quali-
 ties of potable  water.  These Standards are summarized in Appendix  C. They are  not
 Federally enforceable,  and  are  intended  as  guidelines  for  the  states. Poor
 aesthetic quality  of public water supplies  has  no  direct  health effects, but  may
 indirectly affect  health by  causing  people to seek drinking  water which tastes,
 looks, or smells better, but which may pose a higher health risks.

 Rationale For National  Interim Primary Drinking Water Regulations

     The  rationale for  the NIPDWR  is  summarized in Appendix  F.  This table gives
 the health effects of each  contaminant,  the basis for  establishing  the MCL,  and
 the sources of the  contaminants.  Further details along this line are given  in  the
 information published in the Federal Register and  also  in  the 1973 report  of  the
 EPA Advisory  Committee  on  the  Revision  and  Application  of  the  Drinking  Water
 Standards.

     Cost effects   as well  as  health effects  were taken  into  consideration   in
 establishing  the Primary  Regulations.  There  are  no  further  trade-offs between
 costs  and health risks  to be made.  The Standards are already minimum with respect
 to  health  considerations.   In  cases where  the  health  effects  are well   enough
 established to  determine accurately  the safety factor  provided (as  indicated  in
 Appendix  F),  the safety factor is the minimum with respect to health safety. Most
 of  the MCL's  apply to people  of  all  ages, however the nitrate  MCL is  to protect
 infants under 6  months  of age  against  infant cyanosis  or  "blue baby"  condition,
 and the  fluoride MCL is  to  protect the  teeth  of children during  their  years   of
 tooth  formation.

 Secondary Standards

     As already  mentioned,  these  proposed Standards are summarized in Appendix C.
 They  concern  aesthetic  qualities  of  potable  water.  They  are  not   Federally
 enforceable but  may be  by  the State if  they  so desire. The  possible  trade-offs
 between cost  and conformance with  the  secondary standards, then,  is a matter  of
 what is permissible under  individual state requirements.

 Options For Meeting the  Primary and Secondary Standards

     Information on ,these  options  is   presented  under  Section   8,     Treatment
 Objectives, of Part 2,  PRODUCTION.  In addition  to  the installation of  the  treat-
ment facilities  needed  to reduce contaminant levels  to acceptable limits,  there
are other possibilities.  One possibility would be to develop a new source of sup-
 ply of better quality.  Another would  be to purchase  water  from  another   system
which  has  available water  of acceptable  quality.   If  technical assistance   is
 needed  in considering  these  options,   it  might be   obtained  from  a  consulting

                                       5-1*

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engineer,  from the State Water  Quality Agency, or  from EPA where  the state has
not assumed  primacy.  The U.S. EPA,  Cincinnati has published a "Manual of Treat-
ment Techniques  For Meeting The  NIPDWR" in May 1977,  as referenced at the end  of
this Section.

LEGAL RIGHTS AND LIABILITIES

     The  operation of community water  supplies involves legal  rights  and  respon-
sibilities.  All  public waterworks,  whether  publicly  or  privately  owned,  are
legally recognized as governmental activities. They maintain the right of  eminent
domain and the authority to condemn private property for water supply  needs.

     In  some states,  depending upon  enabling legislation,  utilities also have
special rights associated with providing water service  for fire protection. Water
utilities  have the right to  discontinue  service  if a hazard  to the governmental
regulation  as  deemed  appropriate  for maintaining   public  service;  therefore,
regional  provisions  of this  type  should be consulted.  Nevertheless, public water
supplies  are not  protected against damage which  is  incurred  through their own
negligence.  This point may  become increasingly more  important  with the advent  of
the SDWA.  The  act defines specific water  supply  regulations  to be met, providing
a mechanism  whereby a utility can be  challenged for  negligence when  in non-com-
pliance.  It  is important for  utility  management  to be  cognizant  of these possi-
bilities  and to  avert such  citizen legal actions  by  maintaining compliance with
approved  state and federal reporting  schedules  and regulations.  Waterworks may
also be sued  for negligent  operations  that  result  in  personal  injury  or property
damage.

     Water rights law may have considerable influence in the selection and devel-
opment  of new  or augmented  sources of  water supply.  Depending upon the state
having jurisdiction,  water  rights  laws may apply to either groundwater or  surface
water, or  to both. Water rights determinations  often rest more  on case law than
statutory  law. Although municipal  water use generally has the  highest  priority  of
all beneficial uses of water, there are  great variations in water law.  The dif-
ferences  have  developed or evolved  as  a result of widely  different climatic and
geographical conditions which affect water supply and  water use  across the U.S.
Water  rights laws are so diverse  and  so  complex that it is  not possible  to sum-
marize all of them here.  The best  advice that can  be  given  is  to recommend  to
water  works  officials  that they  contact  their State water  rights administrator
or an  attorney who is experienced in  the  water rights  law which prevails in the
case under consideration.  This is  a highly specialized  field,  and a person who  is
an expert  on one State's water laws may not be able to  advise  in other areas with
different  laws and water conditions.

PUBLIC RELATIONS & PUBLIC NOTIFICATIONS

     Public  relations have  always been an important  part of water supply  manage-
ment.  Recently  good   customer relations  have assumed  even greater  proportions
because  of the environmental  and  consumer movements  and  due  to increased public
participation  in ail  public  affairs  and utility matters. A well informed public
can greatly  assist utility projects,  while an uninformed  public can  effectively
stop  almost  any  project however  deserving it might  be.  There are  many  ways  to
.inform the public and obtain  citizen  support. One method is  to form  a  Citizen's

                                        5-5

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Advisory  Committee  to work  with  water  system management  and  administration.
Hearings  for  public participation  early in project formulation  are important. A
public  that  is promptly  and  accurately informed  during periods  of normal util-
ity  operation is  much more  likely to  be helpful  during  emergency  periods  and
other difficult times  for the water department.

     Some potential  benefits  of  an  effective public relations program are:

     •    Greater  consumer  support  for  improving water system facilities

     •    Better  public  decision-making  regarding  increasing revenues,  levying
          taxes, and voting on bond Issues

     •    Improved employee  attitudes   and  working conditions  through  pride in
          community  service

     •    Better public response to Public  Notifications when such notification
          becomes  necessary

     •    Overall  improved  operations

     •    Allows the utility  to  clarify its  position

     Public relations  programs  may be   different for  small and  large utilities.
However, the goal  is the  same -  to  inform  the public and to secure public cooper-
ation in  the  water programs. Large utilities may  have special  public  relations
staff,  but  in every case all employees must assist  in this  effort.  They  can do
this by the  way they  conduct themselves on  the  job and in the  community  and by
being alert to every opportunity to let the  public  know what  the  utility is doing
and what its future plans are.

     The public notification  requirements  of the SDWA are intended to secure pub-
lic  assistance in providing necessary water  improvements by making  all  water
customers aware of existing water works deficiencies  and  their potential effects
on public  health.  The minimum  notification requirements  might  well be  supple-
mented  by public meetings,  newspaper articles,  billing leaflets,  and open discus-
sions of water works problems and potential  solutions.

ECONOMIC AND ENERGY TRENDS

     The  current,  rapid  inflation  rate  and changes  in  the  nation's  economic
structure due  to depletion of our  natural resources  have  placed  added  pressures
and  responsibilities  on water supply  management.  These  external  influences  are
more apparent  for large  utilities. It is,  therefore,  important  for respective
managers  to  be cognizant  of  the changing  energy and  economic  trends  which  may
directly influence future planning  and   operations.  Substitute energy sources  and
all  other  mitigation  measures should   also  be  carefully  reviewed in advance of
expected  needs for  change.  Water  conservation  methods should  be  studied.  The
possibility of  pumping water at  times   of off-peak  electrical demand,  by  utili-
zation  of storage,  should be  investigated.
                                        5-6

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     The costs  of  raw materials  may  also influence  future use. Many  chemicals,
such as chlorine, are highly  energy intensive and, therefore,  can  be  expected to
increase in cost proportional to  increasing  energy costs.

REFERENCES

•    "The Safe Drinking Water Act,  Self-Study Handbook;  Community Water Systems,"
     AWWA, 1978. Explains the requirements of the  SDWA,  Including quality regula-
     tions, performance testing,  and  public  notification procedures.

•    "Water Utility Management,"  AWWA Manual M5.   Chapter  3  deals  with the legal
     and moral responsibilities of  a  water purveyor.  Chapter  21 deals  with public
     relations with respect to water  utilities.

•    "Technical Guidelines for Public Water  Systems,"  U.S.  EPA, June  1975,  NTIS
     //P 255 217. Chapter 8 includes a section on customer relations.

•    "Public Notification Handbook  For Public Drinking Water  Supplies,"  U.S. EPA
     Office of Drinking Water, Washington, D.C.  20460, May  1978.

•    "Report of the EPA Advisory  Committee on the  Revision  and Application of the
     Drinking Water Standards," EPA,  Washington, D.C.,  1973.

•    "Manual of Treatment Techniques  For  Meeting The  IPDWR,"   U.S.  EPA, 26 W. St.
     Clair Street, Cincinnati, Ohio 45268, (EPA-600/8-77-005), May 1977.
                                       5-7

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TJ
3)

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                                      PART II

                                    PRODUCTION
     The production  of  potable water spans a broad  range  of  activities which are
likely  to  become more  complex with  the  increasing demands  being placed  on the
water  purveyor.  This  part  of the  decision-maker's guide  addresses  the  common
aspects of  water production including planning,  supply,  transmission, treatment,
and distribution. Other  aspects  of  potable water production dealing with disposal
of treatment plant wastes  and  operations  are  also discussed.

     Water  production  activities  from  source   of  supply  to  consumer  are  shown
graphically by Figure 6-1.

     The nature  of potable water  production is  usually specific to each facility.
The information  in  these sections is presented  as  a guide to  help the decision-
maker obtain an  overview of water production, which should  be  helpful in  identi-
fying the strengths  and weaknesses  of the water  system.  For  specific problems  it
may be  advisable to  seek help from a consultant.  A  reference list  is  included
with each section  for obtaining specific  information  regarding the problem  areas
identified  in this overview.
                                        H-l

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                        PART II PRODUCTION
 I  b  PLANNING  |
           PROJECTING FUTURE
          SYSTEM NEEDS - P. 4
                       EMERGENCY »  STANDBY
                         SYSTEMS - P.  7
        |   ENERGY CONSIDERATIONS - P. 9    I   |_
             SUPPLY OPTIONS IN
         EMERGENCY SITUATIONS-P. 9
                                            REFERENCES - P. 13         \
 17   SUPPLY]
       [  QUANTITY-P. 2
                  RAW WATER QUALITY t
                     TREATMENT
                 REQUIREMENTS-P. 2
STORAGE-P. 4
       ICONSEBVATION-P. 4  |     I  REFERENCES-p. 4
I TRANSMISSION  |

       (SEE SECTIONW)
I 8  TREATMENT   |
        I OBJECTIVES - P. 1   | !   PROCESS SELECTION-P. 2
                                                      CHEMICAL  „
                                                    HANDLING - P.  9
                                    I     WASTE TREATMENT FOR CORROSION CONTROL-P.  9
       I CJSB8.T!Pg.*10 I  I  "^'ABILITY-P. IJCII  |  REFERENCES-Pli"|
|9  WATER TREATMENT WASTES \-
LAICFILL DISPOSAL -P. 3
                                   1SLUDCE DISPOSAL METHODS  P. 2  I
                                                    I  DEWATERING-P. 3    .
                                              E TO S/NITARY   |  | REFERE>CES . p S
 110 DISTRIBUTION   |
       I  SERVICE - P 1  J I  FIRE PROTECTION - P. 1    I
                                                   I STORAGE - P. 4 !
                                          I  DISTRIBUTION MAINS-P.  3   1
          CROSS CONNECTION CONTROL - P.  4
                                               REFERENCES- P.  5      I
                                                                  I
fTT OPERATION t MAIMTENAMC
       I   ORGANIZATION*    I I     PROCEDURES*   I   I  RECORDS - P~4~1  I REFERENCEsTT 1
       I PERSONNEL-P.  1  J I  EQUIPMENT-P 21     ^ ^"^	inBrfiPfi VSff r	1
I 12 SURVEILLANCE]


_i
OBJECTIVES! I
REQUIREMENTS -P 1 1

1
1
SAMPLING -P. 2 |


1
LABORATORY I
FACILITIES - P 3

|
INTERPRETATION & EVALUATION -P. .4 II REFERENCES - P. 4 1
                                          II-2

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                                                                           o>
PART II -PRODUCTION
SECTION 6 -PLANNING
    Projecting Future System Needs                      4

        Appropriate Projection Techniques
            for Static Conditions                        5

        Appropriate Projection Techniques
            for Dynamic Conditions                     5
    Emergency and Standby Systems                    7

    Supply Options in Emergency Situations               9

    Energy Considerations                              9

        Sources                                     10
        Conservation                                 10
        Redundancy and Reliability                     12

    References                                       13

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                                    SECTION 6

                                     PLANNING
     There  are  several questions which  can be posed  to  aid  in  consideration of
water system planning:                                                      •

     1.   How  can planning  be used  to  provide  the new  water  works  facilities
          needed  to  meet water  quality requirements  of  the  Safe  Drinking Water
          Act (SDWA)?  (See this  page  below)

     2.   How can  future  needs of  the water system be projected? (See page 6-5)

     3.   How can  needed  water works  improvements  be implemented? (See page 6-6)

     4.   What  emergency  conditions may affect  water system  planning?  (See page
          6-7 to  6-10)

     5.   What  plans should  be made to provide necessary  redundancy and reliabil-
          ity?  (See page  6-12)

     6.   What  plans  should  be  made  for conservation  of  water  and  energy? (See
          pages 6-10 to 6-12)

     7.   How does the water utility  planning fit  into the overall growth  pattern
          of the  community?  (see page 6-7)

     Planning is  an  important  management activity  of  all  waterworks systems. The
utility's planning policy may reflect general  goals of  the community  and sur-
rounding regions  in addition to the specific  objectives of  the water department.
Interactions between government  and community activities  are important; moreover,
any  practical   program  should  be   formulated  within the  financial,  social,  and
regulatory  constraints of the  community.

     There  are  several levels  of planning  including:

          Area  master plan
          Sub-area master plan
          201 and  208 planning
          Project  planning and interfacing  with other agencies
          Capital  improvement  plans
          Concurrent planning,;replacement, and repair or  reinvesting to offset
          depreciation

     Plans  which  affect water  works operation to  varying  degrees are prepared by
Federal,  state,  regional,  county,  municipal and  other   agencies.  Historically,
water works planning has  been based almost  solely  upon providing unlimited water
service  to  the public  as needed.  This practice  was based on  the  unquestioned
responsibility  of  the  water  utility to meet  the  water service  needs  of  the area
served under all  conditions. Recently, water  works  planning has been modified to
take into account  a  number  of political  questions which  cannot  be ignored. Such

                                        6-1

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                        PROTECTION OF SOURCE OF SUPPLY
                         AGAINST CONTAMINATION - AND
                        RAW WATER QUALITY MONITORING
  STREAM, RIVER,
    OR LAKE
 WATER TREATMENT
  PLANT WASTES -
   DISPOSAL OR
  RECLAMATION
      CROSS
   CONNECTION
     CONTROL
GENERAL OVERSIGHT
  BY STATE & EPA
                               WATER TREATMENT  |
                                    WHOLESALE
                                   PURCHASE OF
                                   WATER FROM
                                    ANOTHER
                                    SUPPLIER
 FINISHED WATER -
 QUALITY CONTROL
 AND MONITORING
                                PLANT STORAGE
WATER DISTRIBUTION
SYSTEM AND STORAGE
                                SERVICE METER
                                WATER SERVICE
                                 TO CONSUMER
                                TAP WATER -
                             QUALITY MONITORING
                            CONSUMER REACTION
                                TO PRODUCT
                  Figure 6-1. Water Production Activity

                                    6-2

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considerations  include land  use  planning, growth  control, wastewater  planning,
the  goals  and plans of other local,  state,  regional,  and Federal  agencies,  and
public desires.

     Planning  is  the  continuous  process  of  assessing   utility  operations  and
short- and  long-term water supply  needs  and  facility operation.  Good historical
records  of  community  growth  and  existing  facility  operations are  important  for
accurately assessing community  needs.   This fact should be  considered in general
plant  management.   Comprehensive  development  plans  are   generally  required  for
projecting long-term supply needs,  especially for large utilities.  Comprehensive
planning  programs  will   vary  among  communities   depending  on   size,   local
regulations,  local  customs,  and  available  technical  assistance.  The  general
process for formulating major policy should include  the  following  steps:

     •    Outline  supply goals  and  non-supply interests

     •    Evaluate and analyze  program alternatives

     •    Prepare  short- and  long-term plans

     •    Implement  plans,  assess  the program and  its  interactions  and  provide
          feedback for future actions or  planning

     The managers  of a water  supply system are not  solely responsible for  formu-
lating departmental master  plans. Planning is  an  integrated process  that involves
other departments, city or  community leaders,  operations personnel,  and community
interaction.  In  this  regard,  it is  the  duty  of a  water  supply administrator  in
the planning process to:

     •    Collect  and  evaluate  available  information

     •    Transmit  information  to  other  departments,  community leaders, and  the
          public

     •    Promote  community interest in policy  making

     •    Coordinate inter- and intra-departmental activities  relative to  plan
          development  and implementation

     •    Consider compatibility with regional  plans and land  use  plans

     •    Promote  projects  or establish  priorities that satisfy goals  and  oppose
          objectionable policies

     •    Implement approved  projects

     The major  concerns  of a comprehensive water  supply  plan  include projecting
future system needs,  evaluating  emergency and  standby  systems,  and  assessing
changing regulations.  The  quantity of water  available from the source  of  supply
and its long term quality are most  important.
                                       6-3

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PROJECTING FUTURE  SYSTEM NEEDS   '

     Estimates  of  future water demand represent the basis for sizing water  system
facilities.  The design  period  for  such predictions  depends upon  the  nature  and
permanence  of  the  structures and  the cost  of  capital  financing.  An equitable
division of  the financial burden among present and future consumers suggests  pro-
visions be  made for  10  to 30 years  in advance of the present  requirements.  The
typical design period for distribution systems  and  surface  supply works  is 50
years; for  treatment facilities, a ten to 25  year planning period  is generally
used.

     It  is  increasingly  difficult  to  build  water  impoundments,  so classical
approaches to water  supply design may have to be supplemented by consideration of
other measures. For  example, in  planning  sources of  supply, it  may  be necessary
to decide whether  to design raw water storage  for  a  100-year  drought,  or whether
it may  be possible  by  special  conservation measures during  drought  periods to
design source storage for a less severe drought condition.

     Water demand  estimates are  based on  population  projections,  commercial  and
industrial growth,  water  use  trends, climate, metering,  extension policies,  and
changes in service area  boundaries. Detailed predictions may be developed by  sum-
ming the projected  domestic use, commercial  use,  industrial use, fire  demand  and
other municipal uses and loss due  to  unaccounted-for  water  (typically 10 percent
of average use). Unaccounted for water includes leakage, water for fire fighting,
street flushing,  and  use by  the water system and the  City  for  main flushing,
bearing cooling,  and meter  testing.  Commercial use is  ordinarily  related  either
to number  of employees  or gross area for  each specific enterprise.  Similarly,
industrial demand may be estimated  per unit  of production.

     Fire  demand  is an  important  component  in  system  sizing.  The  local  fire
department and  local fire  insurance  agents  can supply information on  the  rating
system used  in  the community and the  fire flows  required in different  areas.  The
flow requirement for fighting fires,  even in  a residential  area, may  necessitate
considerably larger  mains  than  the domestic demand alone.  In  some  cases,  it is
not  feasible to provide  full  fire  flows  in  the  initial stages  of plan develop-
ment; however,  since the life of distribution  mains is  generally in  excess of 50
years, it is wise  to install mains  that are  sized to convey the future fire flows
so they will not have to be replaced at a  later date.  High service pumps, distri-
bution mains,  and  treated water  storage facilities are  sized to meet  the  larger
of peak hourly  demands or  fire  requirements  plus average demands  of the maximum
day. Reliable  metered data is requied  to  arrive at maximum daily  flows and  peak
hourly flows which are  needed  for  design purposes.  In  the central  city,  water-
front areas,  or industrial  sections  dual  (domestic and  fire) water  distribution
systems may  be  advantageous.

     Population forecasting is the  most important  component in  estimating  future
water supply needs.  Population data may be available from local or state planning
agencies.  Many  methods have been developed for estimating the  size and make-up of
the households  to be served by the  water-providing agency. The  size and household
make-up of future residents of  any  service area will be influenced by  potentially
complex demographic,  economic and land use factors, jf  conditions  with regard to
these factors within the service area  and  the economic  region  are not changing,

                                        6-k

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but are static, then historical  data  on  population can be used to extrapolate the
past  into  the future  in order  to project  the  make-up  and  size  of  residential
water  users  and estimate  their future  demands, for  water.  But  if any  of  these
conditions  are dynamic,  which  means that  they  are  changing or  are  likely  to
change  in  the future, then  the nature  of  those  changes  has  to be  analyzed and
their  interactions considered  in  order to  forecast future  water  demands  from
households.,

Appropriate Projection Techniques  For Static Conditions

     If  economic,  demographic  and land  use influencing  conditions  are  static,
population  projection  is  appropriate.   The  following  methods  are  frequently
used:

     •    Arithmetic  increase  method  assumes  the  rate  of  population  growth
          remains  constant.  Projections  are made by  linear extrapolation of  his-
          torical  growth into the  future.

     •    Geometric increase projections may be employed for  rapidly growing comr
          munities. In this  case,  the growth rate  is  assumed  proportional to pop-
          ulation  size  following  an  exponential  pattern,  i.e.,  a  constant  per-
          centage  of growth  is  assumed for  equal time periods.

     •    Declining-rate  geometrical  increase  is a modification of  the  geo-
          metric forecasting method which assumes  a  declining rather than a con-
          stant proportionality  with  population size.

     •    Comparative  projections  are  based on the  growth  patterns of  several
          larger cities  with similar commercial,  industrial and  population char-
          acteristics to  the community  in  question.   Growth  records  of the  ana-
          logous communities are used for predicting  future  population growth.

Appropriate Projection Techniques  for Dynamic Conditions

     If  demographic,  economic  and land  use conditions  are   dynamic,  population
forecasts  are  frequently  derived  from  estimates of  changes  likely  to  result
from:                                                                      ,

     •    Natural   demographic  changes  (births,   deaths   and   new  household
          formations)

     •    Net migration and

     •    Housing  market and development changes

     Unless the nature of the service area  is such that  most  of those who work in
the area also live in the area,  the assessment of  natural demographic changes and
migration  is  usually  performed on a regional  basis.  Then  housing market  and
development assessments  are considered  to  allocate  appropriate  portions  of the
regional population to the service  area.
                                       6-5

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     Natural  demographic changes are most  freqently  forecast  using a cohort-sur-
vival method,  to  project changes in specific  parts  of  the present population.  In
most  cases,  the  existing  population is  categorized' by  age  and  sex.  Changes  in
these two groups  are  then  forecast  on the basis of estimated survival rates,  fer-
tility  rates,  and new  household formations.  Natural demographic  changes  can  be
forecast with  the  judgmental  extrapolation of historic' trends.

     Migration in and out  of the region  or service  area  (if  the  service area  is
large enough  so  that  it includes  the  work places  of  its residents)  is usually
forecast by linking migration rates to  forecasts of  future employment. Employment
in various sectors of the  region can be  forecast  by  various  economic techniques.
Frequently, the techniques  draw upon the  historic relationship between population
and the growth of  jobs  in  the. region. Judgments concerning the comparative advan-
tages of the  region for various kinds of .economic activities  can  also be used  to
forecast  future  employment.  Frequently  too,  employment  forecasting begins  by
estimating future  jobs  in basic  industries (those that  export  goods or services
from  the  region),  followed  by estimates  of  the  future  for  local population-
serving businesses.

     By whatever  means  changes  in  the  economic  base  of  the  region  is  forecast,
the  link  between  jobs  and  population  is  made through  the  estimation  of   labor
force  participation  rates.  Estimates  of  these  rates  permit  the  forecaster  to
judge the number  of  employed households  likely to  be attracted to the  region  by
the  jobs  available in  future  years,  and  the number of  households  in  the  work
force likely  to migrate away  from the region.

     Housing  economics, (including the  availability  of  buildable  land  and the
relative demand for housing  locations in the  service area) have to be considered
in order to estimate  future housing development  options  and  the likely  occupancy
of present dwellings. Land  use  plans, transportation plans, and appropriate  hous-
ing development  regulations also are  considered in  light of  the  likely housing
economics in  order to estimate  future  housing availability in  the service  area.
If the  service area  is  smaller than the region,  the forecaster  must  allocate a
share of the  region's future  household  population to the service area.

     Project  implementation  is  an important management  function.  A comprehensive
program for the water department should  be  integrated with other  community  needs
and financial requirements.  A  common developmental  approach provides  the system
components of  the ultimate plan  that  are  immediately  required, or  are  not  well
suited  for  staged development,  in  the  initial construction  phase.   Remaining
facilities can be  added in phases as they are needed. This approach minimizes the
initial  investment  and financial   burden  on  the  existing  customers.  Another
approach  involves  a  gradual  development   through  construction   of  independent
treatment units  as needed, thereby distributing financing over an extended  per-
iod.  In either case,  the  planning   program  involves  a continuous  assessment and
reasessment of system  and  community needs. Water  planning  must  be coordinated
with sewer system planning.

     In order  to  provide lead  time for  construction,  system expansion  Is   indi-
cated when the demand approaches not more  than 80 percent of  the rated capacity
of installed  facilities. For  major  capital  improvements,  the  lead time  should  be


                                         6-6

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sufficient  to  allow for  engineering  investigations and  design,  environmental
Impact analyses,  financing,  and  construction.

EMERGENCY AND  STANDBY SYSTEMS

     The water supply system is  a vital community service in many ways. This must
be considered  in  facility  planning.  Power failures,  equipment breakdowns, routine
servicing  requirements,  distribution  line failures,  and severe  fluctuations  in
the  quantity  and  quality of supply  are periodic occurrences in  all  water supply
systems.  In addition, certain regions  may be  subject to violent  storms, hurri-
canes,  flooding,  earthquakes,  strikes,  or  other natural  or man-made disasters
that could  disrupt  operations.  Vulnerability assessment  is  a very important part
of  planning  for  emergencies.  The  impacts  of  such  problems  can be  minimized
through  flexible  system design  and  development of emergency  programs in advance
of the need.

     Reserve  capacity, storage,  and  system flexibility contribute greatly to sys-
tem  reliability,  especially for small  systems.  Treated  water storage should pro-
vide  service  during  the  time  needed  for plant  repairs  if treatment  facility
duplication is  not  practical.

     Whenever  possible,  dual units or  multiple  water, supply and treatment trains
should be  provided. Overall system  reliability can  be  improved  significantly by
augmenting  surface  water supplies with  groundwater sources  when possible.  Dupli-
cate  basins,   equipment, and pipelines  may  be  needed for  continuous operation.
Auxiliary power units should be  installed to maintain  minimum  standby services,
particularly  in those systems  not having a  large reserve storage  capacity.  High
service  pumping  stations,  treatment plants,  and wells  that pump directly  into
distribution  systems should be  equipped  with  standby power.  Emergency  power
should be designed  to produce and deliver average daily  water demands.

     Water  systems  that employ  direct  pumping  into  transmission mains  without
storage  are  extremely susceptible  to equipment  malfunctions and  power  outages.
Multiple pumps should be used in this  case. Recommended practice is  to provide
three pumps of  equal  capacity where  any two  can deliver  the  peak demand.

     Design of distribution systems also is  important for  assuring  supply reli-
ability. Multiple transmission mains and looped-grid distribution patterns  pro-
vide desirable  system redundancy.

     Reliable  water service can  also be  assured through effective system mainte-
nance and  emergency  training  programs.  All  personnel should  be well versed  in
appropriate  emergency plans and  the importance  of  preventive maintenance.  This
requires periodic training  sessions  directed  at these specific objectives.

     The  American  Water   Works   Association  (AWWA) recommends  the  personnel .
requirements  for  meeting contingency plans as  outlined  in Table  6-2 • Obviously,
allocation  of  the listed  duties  will vary according  to   system  size  and  complex-
ity. Likewise,  emergency training needs  will  vary for  specific  community needs.
                                        6-7

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          TABLE  6-2.  RECOMMENDATIONS FOR CONTINGENCY PLAN
                     PERSONNEL 'REQUIREMENTS

















Vulnerability analysis
Protective design
Utility liaison
Security
Hazard assessment
Personnel safety
Emergency operation
Emergency repairs









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     An ongoing  training  program is essential to ensure  effective service in the
event of major system upsets,  especially for small  communities.  The objectives of
an  emergency planning  program should  be clearly  outlined,  and  specific duties
established and  posted  to eliminate confusion during unusual  situations.

SUPPLY OPTIONS IN EMERGENCY  SITUATIONS

     States assuming primacy under  the  SDWA are  required to develop a State Emer-
gency Plan. Historically, in water  works operation,  the  two  most  common and most
disastrous types of  emergencies have been  drought  and flood. The  kinds of water
system failures  which  are  likely  to occur  during drought and  flood  are rather
well documented  (see  last two  references at  the  end of  this  section)  and gener-
ally can be planned for in advance.

     Drought. The San Francisco Bay Area encompasses  one  of  the  most complex and
extensive  water  conveyance  systems  in  the world.  Some  valuable  lessons  were
learned here during  the 1976-1977 drought.  Water needs were  met  by a combination
of supply augmentation  and demand reduction.

     Supply  augmentation  was accomplished  by use of  emergency  surface supplies,
use of dead  storage,  development of new wells,  activation of old wells,  broader
utilization  of   treated wastewater, leak detection  and  repair,   construction  of
temporary pipelines, and water  hauling.

     Demand  reduction through  rationing played a key  role  in getting through the
drought.   Both  mandatory  and  voluntary  rationing  were  employed. Reductions  in
water use  were   as great  as  45  percent  by  apartment  dwellers and 75  percent  by
single family residences.

     Flood. There are numerous  examples of  flood damage to public water supplies,
but the  Kansas   River flood  of  1951 probably had  as  many serious and prolonged
effects as any.  Analysis of water  supply failures  in 37 cities  showed the most
frequent causes  were; power  failure, flooded wells,  flood  treatment  plants, dis-
tribution system damaged, and  low lift  pump station flooded.  The emergencies were
met by providing temporary emergency power  by means of portable  generators, port-
able water  purification units,  improvised  mutual  aid among  neighboring  cities,
water hauling,  volunteer labor,  water  conservation,  emergency  communication  by
radio, and coordination of activities  by state  and  Federal agencies.  Good records
of valve location,  and  plans and maps  of water distribution  lines were valuable
tools in the restoration  of  water service.

ENERGY CONSIDERATIONS

     The present importance  of  energy  conservation  may make it advisable for many
water systems  to employ engineering consultants to  advise . them  in  this  regard,
including special system  studies  and reports. Recent shortages and the high costs
of  electricity,   fuels,  and chemicals   have  become  important considerations  in
water system planning.  The need  for  instituting  energy conservation measures
will become  increasingly  apparent as traditional fuel supplies  dwindle and asso-
ciated costs rise. The  cost  of  energy will  be felt  Indirectly In the  availability
of  consumable   products.  The  cost  of  chemicals  (alum,  lime,  polymers,  and
chlorine), which are essential for  water treatment,  have increased in past years

                                        6-9

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and  will continue to  do  so as the  energy  required for  their  production becomes
more  expensive.  This  fact  reinforces  the  need  for  the consideration  of energy
requirements  in water  system planning.

     Means  for reducing  energy  costs  are  alternative  sources  development and
water  and  energy.  These  methods   are  easily  incorporated  in  new facilities;
however,  retrofit modifications  to  existing  facilities may  often  be  feasible.
More  water  storage  may  permit water pumping  to be  done at off-peak periods  of
power  use.  During  periods  of  peak  power  consumption  flow   into  the  water
distribution  system could  be by gravity  from  storage.  Another  means  of energy
conservation  is through  reduction of unaccounted-for water through leak detection
and repair.

     During  the design of water  system improvements, If there  are options, con-
sider  energy requirements.  The  economics and  trade-off between  capital  and O&M
costs  are changing.  If possible  provide sufficient  storage of water so that pump-
ing can  be  done  at off-peak  times.  Give  attention  to increasing  storage  in ele-
vated  locations versus storage  that which requires  repumping.

Sources

     The  traditional sources of energy for water supply are electricity,  natural
gas, and  fuel oil. As energy demands and consumption increase,  these sources  of
energy will become more  scarce  and  costly.  Alternative means of supplying part  or
all of the power needed for water works may be appropriate in the future.

     Solar  energy for building  heat is  a possible  substitute for  gas  heating.
Solar  collectors  can be  retrofitted  at reasonable  cost and may  represent a sub-
stantial  energy  savings  for small  or  simple  systems.   A  heat  pump is  also  an
effective device  for space  or water  heating.  The effectiveness of utilizing heat
pumps  is dependent on  the size  of the system and the total energy demands.

     In  determining  the  type of energy to  be  used  for  water  systems, the future
availability  of energy under the  particular local conditions should be analyzed.

Conservation

     With energy  costs for water  supply,  treatment, and distribution being pro-
jected by  experts  in  the field to  double  or triple  within the  next  ten years,
programs  to  reduce consumption deserve  attention.  Energy consumption at  existing
facilities  can be  reduced  by  improving  pumping efficiency.   The design of  new
facilities should  include study  of  the  potential means for  minimizing electricity
and fuel demands.

     Pumps  should  be operated   at  the  highest efficiency possible.  This  may
require  some  system modifications, a  change  in operations,   and the repair   of
existing mechanical  equipment.  A thorough examination of the  existing system and
a cost-effectiveness  analysis will indicate the  areas where  pumping  changes will
be most  effective in  reducing  energy  use.  Some aspects of operation which may
reduce pumping energy  include:
                                        6-10

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     •    More  frequent pipeline  cleaning to  reduce  friction  and  increase  the
          effective diameter of existing  pipes

     •    Better utilization of  storage so pumps are  operated  more uniformly for
          longer times  and at lower  heads

     •    Use smaller  pumps  rather  than  oversized  ones which  require  throttling
          to suit system conditions  with waste  of energy

     •    Having all valves completely  open during  pumping

     •    Off-peak pumping

     •    Treatment of  water  for corrosion control to reduce  friction  losses in
          pipelines

     •    Make use of variable speed pumps

     Minimizing  energy  consumption  should  be considered  in  planning and  imple-
menting  system   improvements  and  expansions.  Possible trade-offs  which  reduce
energy should be analyzed on an overall cost-effectiveness basis including opera-
tion and maintenance, not merely  on  a capital cost basis.  Additional  considera-
tions include the following:

     •    Increasing transmission and distribution  line diameters to reduce fric-
          tion and therefore pumping head,  with due consideration  to the cost of
          larger pipe.  Energy requirements  increase as the 1.85 power of the head
          loss.

     •    Comparing  different  pipe  materials  to  minimize  friction and pumping
          head

     •    Investigating alternative  source  locations  and  different  raw  water
          treatment needs to optimize delivery  and  treatment  costs

     •    Comparing  various  storage alternatives  such   as  raw  water,  treated
          water, and distribution storage

     •    Evaluating  fixed  versus  variable  speed  pumps  and  optimizing pumping
          schedules

     •    Comparing various  treatment  processes  to produce  the highest quality
          product  for  the least  cost (including use  of  chemicals  that  minimize
          the quantities of energy used for manufacture)

     •    Utilizing dual distribution systems where advantageous

     •    Utilizing heat recovery systems  in  lime recalcination and carbon regen-
          eration systems
                                        6-11

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     •    Computerizing  process and  distribution  controls  to  maximize treatment
          efficiency,  minimize  chemical  consumption,   and   stabilize  pumping
          operations

     •    Reclamation  and reuse of water for appropriate purposes  in situations
          where  this saves  energy

     Energy  conservation  is highly system specific.  What may be effective for one
system  or  set of  conditions,  may  not  be for  another.  Each  energy conservation
program  should be  carefully studied  to make  sure  it will actually  reduce energy
consumption.

     The  preceeding discussion has  centered around  energy  conservation rather
than around  water  conservation. This  was done because fossil  energy is a limited
non-renewable resource, while  water is a renewable  resource.  Water  is renewed in
the natural  hydrolpgic cycle,  or it can be renewed  by man through application of
proper treatment.  One way to save  energy  is  to use less  water. However, there are
many situations  where  water conservation, per  se,  is  vital.  One  of the foremost
is in areas  of groundwater  "mining",  that is where  the  total  use  from an aquifer
exceeds  the  average rate of recharge of  the aquifer.  Water  conservation during
drought, as  already pointed out, may  also be  practiced  to reduce capital expendi-
tures required to  maintain  normal  water consumption  rates.

     In  times  of drought,  water  demand management  can  be  exerted  by: adjusting
rate structure,  installation of water conservation devices in homes, conservation
education, and rationing.

Redundancy and Reliability

     Public  health and  economic considerations of  public  water  supply  dictate
that  a  reliable  source   of high  quality water be  provided  to  meet  reasonable
customer  demands.  This means   that even  under  emergency conditions,  operations
must continue. A certain  amount of redundancy  is  provided  in  supply  and  process
equipment to ensure reliable service  under emergency conditions. The same must be
true of  the  power  and fuel  sources.

     The standby power  requirements will, of course,  be  dependent  upon  the size
of  the  system and the minimum equipment needed  to  provide  services.  Facility
design should provide  two independent sources of power  for  all essential  mechan-
ical and  electrical equipment. Depending  on the  location of  the facilities,  an
on-slte auxiliary  generator or a second independent electric  service  line may be
appropriate.  Adequate  distribution storage   may also  be  used to ensure  service
under emergency  conditions. The  standby  power  supply  need  only  be  adequate  to
operate essential  mechanical and electrical   equipment (lights,  pumps,  etc.),  not
necessarily  all facilities  (air conditioning, etc.).

     The  operations staff  should  be thoroughly  familiar  with  emergency  plant
operations.  Standby power  equipment  or  service should  be  checked and  operated
periodically  to  be sure   that  it  is fully operational in the  event  of  an emerg-
ency.  Fuel   reserves  should be used  sparingly in  case  of  an  extended  energy
shortage.


                                         6-12

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     Use of treatment chemicals should be  optimized.  A 30-day supply of chemicals
should be kept at the treatment  plant since a widespread energy  crisis may limit
chemical production, or strikes may occur,  making  delivery  schedules unreliable.

     The less  dependent  on energy a system is, the  easier  it will  be  to  operate
under  emergency  conditions or  if the nation's energy reserves  become seriously
strained. Redundancy of power  supply  is  important in  the design  of  water  systems
to provide  reliable  service.  Equally  important, however, is  minimizing the basic
system demands for  energy, both  primary and  secondary.  Energy  conservation  and
system reliability are compatible.

REFERENCES

•    "Emergency  Planning  for  Water Utility Management," AWWA  Manual  M19.  Gives
     positive  guidelines for the  development  of emergency plans,  including disas-
     ter  effects,   vulnerability  assessment,  protective   measures,   emergency
     operations planning,  and  training.

•    "Technical Guidelines  for Public Water Systems," U.S.  EPA,  June,  1975,  NTIS
     #PB 255 217, Chapter  1 gives general  guidelines  for planning a  water  system,
     including  general  considerations,   capacity  sizing   techniques;   treatment
     requirements, distribution systems  and appurtenant  facilities.

•    "Energy Conservation  in  Municipal  Wastewater  Treatment,"  U.S.   EPA,  MCD-32,
     March, 1977. Contains  curves to  determine  energy demands for unit  wastewater
     treatment processes,  many of which are  applicable to  water  treatment;  also
     describes  energy  saving  measures   such  as  solar heating,  furnace  heat
     recycling, etc.

•    "Operation of Wastewater  Treatment  Plants; A Manual of  Practice," WPCF,  MOP
     11,  1975, Chapter 28.  Discusses  energy conservation practices  in  wastewater
     treatment, some of which are applicable  to water supply  systems.

•    "North Marin's  Little Compendium  of  Water  Saving Ideas,"  John  0.  Nelson,
     March  1977, North Marin County Water  District,  Novato, CA  94947.

•    "Interruptions To Water  Service  By  The Kansas  Flood  of  1951",  D.F.  Metzler
     and R.L.  Gulp,  JAWWA,  p.  780, Sept. 1952.

•    "Urban Drought  In the San Francisco Bay Area:  A Study  of Institutional  and
     Social Resiliency",  M. Hoffman,  et  al, JAWWA,  p.  356,  July 1979.
                                        6-13

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PART II-PRODUCTION


                                              PAGES


SECTION 7-SUPPLY                                1



    Quality                                        2


    Raw Water Quantity and Treatment Requirements      2



    Storage                                       4

                                                 4
    Conservation


    References

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                                    SECTION  7

                                      SUPPLY
     Selection of the  source  of  supply affects  many parts of the total water sys-
tem, so  that  it is  important  to ask  several questions  in order to  optimize the
source selection process.

     1.   What  are  the  primary  features  to consider  in selecting  a  source  of
          water supply?  (See  pages 7-1 and 1-2}

     2.   How are future quantity  requirements  estimated? (See page  1-2)

     3.   What are desirable  raw water quality  characteristics? (See  page  1-2)

     4.   Is raw water storage needed? (See page 1-h)

     5.   What benefits  accrue  to  source of supply  from  water conservation? (See
          page 7-^0

     The raw water  source  of a  waterworks  influences the overall  system design,
operation, and management  in  many  ways. For example,  specific characteristics of
each source may  affect the available  yield, treatment requirements, operations,
and  the  ultimate water  quality  that  reaches  the consumer.  Some of  the  primary
considerations  for  evaluating the  characteristics of a  particular  water supply
are:

          Water quality
          Treatment  requirements and cost
          Environmental concerns
          Safe yield
          Location
          Economics  of development
          Water rights and long-term availability
          Energy use

     Source requirements are  specific  for  each  community, being a function of the
geography,  topography,  hydrology   of   the   watershed,  and  the  community  size.
Groundwater sources  are generally  preferred when available in sufficient quantity
since they typically are of higher  quality  and,  thus,  require less  treatment.

     Except for some springs  and artesian  wells, most groundwater sources require
pumping. The raw water storage  provided by  groundwater aquifers is  advantageous•
In warm  months,  the temperature of groundwater is  generally lower  than  that  of
surface waters in the same general  location.

     Surface waters  are the principal  source of  potable water in the U.S.  because
they generally are  available  in  larger quantities  than groundwater.  In mountain-
ous areas, surface  waters  collected or stored in  high areas  can often  be trans-
ported and distributed by gravity  flow to the  points of use. However,  the com-
parative availability  of  ground  and surface waters varies greatly  from place  to

                                        7-1

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 place.  There  are  many regions in the U.S. where  only  one  or the other  (ground  or
 surface)  supply is  available in quantities which permit practical development.

      In areas where water supply is short  or  of  poor  quality requiring  extensive
 treatment,  or where there  are nearby  sources  of supply  already  developed  by
 others, it  may be prudent to consider the  purchase, on a  wholesale basis, of raw
 or  treated  water  from another purveyor.

 QUANTITY

      The  delivery  capacity  of a waterworks  supply source  should  exceed antici-
 pated demand  for  a  reasonable time period in the future. A reasonable design  per-
 iod for wells may  be  5  to 10 years,  for  small surface supplies  10 to  25 years,
 and for large surface supplies involving long  construction  times  may be 25 to  50
 years.   Safe yield  for  a water source  to  meet annual average  demands   is calcu-
 lated for  50- to  100-year  drought conditions.   The  supply should  be assessed
 using the  best hydrologic information  available  for   the watershed.  If adequate
 records are not   available,  estimates  may  be  performed by  various  methods using
 local precipitation records.  The U.S.  Geological Survey  and U.S.  Weather Bureau
 may be  consulted  for this information.

      An impounding  reservoir or some other means of storage  is required  when  min-
 imum stream  flows  do not  meet maximum daily demands. A complete  water budget
 should  be  prepared for  determining  the safe  yield.   Water  balance computations
 employ  all  important stream records,  runoff information, and include calculations
 for surface evaporation and  loss  due  to seepage.  For  extreme drought  conditions
 as  much as  4 years  of  carryover storage may  be  required.  As  already mentioned,
 conservation  may  reduce  storage needs  for drought.

      The  safe yield  from well water  supplies should  meet   maximum daily demand
 with the  largest  well out of  service. The  yield  from  each  well  can be  estimated
 from pumping  tests, well location and construction, and  the minimum static water
 level and minimum groundwater level permitted during drought conditions. Drawdown
 of  existing wells should be checked and recorded periodically for future projec-
 tions of  supply needs.  A basin-wide groundwater  management  program may  be advis-
 able to prevent overdraft and excessive  drawdown during drought.

 RAW WATER QUALITY AND TREATMENT REQUIREMENTS

      The  raw  water  quality is  an  important consideration in overall system  per-
 formance  and  economics.  The  treatment  plant  requirements are  a  direct function
 of  source water quality  and  the required product water quality. A sanitary survey
 by  qualified  personnel  is  required to assess  the  applicability  and   treatment
 needs for each specific  water source.  A sound  policy  is to  use the highest qual-
 ity water source  available in order to  minimize  treatment  and the potential  risk
 to  consumer public  health.  Cost,  environmental effects, and reclamation  potential
 are  other factors to be  considered.

      General  characteristics  for  ground and  surface  waters are listed in Table
7-1.   Certain groundwater  sources  may contain  high  amounts  of  dissolved inor-
 ganics  which  may necessitate treatment  to  achieve acceptable  water  quality.  On
 the other  hand,  surface  waters  are  exposed  to  contamination and may vary  in
                                      7-2

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                      TABLE   7 -1.  GENERAL  CHARACTERISTICS  OF WATER SOURCES
  Source
         Type
               Comments
Groundwater
Springs
                     Well
                     Infiltration galleries
                     All
Quality and quantity are functions  of
water-bearing strata, shallow springs are
often susceptible to surface water
contamination.

Uniform quality, low turbidity, good
bacteriological quality

Typically "hard," containing many
dissolved inorganics -

May contain trace organic substances
Surface
water
Streams, rivers, and lakes
Exposed to surface contamination

Variable quality and quantity

Typically "soft," containing few dissolved
salts or inorganics

Variable turbidity

Variable or questionable bacteriological
quality

Many organic impurities with associated
color, taste, and odors

Usually requires more treatment than
groundwater

-------
quality due  to  storms,  seasonal  changes,  excessive runoff,  etc. In order to main-
tain a high  quality  product water under variable  raw  surface  water conditions, a
flexible  treatment  scheme is necessary,  and process operation  must  be monitored
regularly  and adjusted  according to  prevailing  conditions.  All  source  waters,
ground  or surface,  should  be  properly  protected from  contamination  that  will
adversely  affect  plant  operations and  product  quality.  This requires careful con-
sideration of the source of supply location  relative to potential  contaminant
sources.

STORAGE

     Source  of  supply storage facilities  should be provided to meet water demands
under  extreme drought  conditions (50- to 100-year drought).  Under  severe  con-
ditions four years of carryover  storage may be required.  Furthermore,  the overall
capacity of  the watershed reservoir  (ground or surface) should be assessed inter-
mittently  to determine  the long-term adequacy  of the source.   If the average res-
ervoir demand is  greater  than its rate of  replenishment,  then  the system will not
meet the  long-term needs  of  the community. Long-term  source  depletion  may  also
result in  unexpected contamination from adjacent water  systems, such as saltwater
reservoirs which  can destroy a supply  source with little  advanced warning.  A good
indicator  of source contamination of this  type is the  trend of  raw water quality
over an extended  time period, and the  quality  changes  in  monitoring wells.

CONSERVATION

     The production and distribution of potable  water  is a capital-  and energy-
intensive  activity.   Accordingly,  there  has  been  increased  interest  in  the
potential  benefits  which  may  be  realized by  consumer water   conservation.  This
interest  is  due to competition  for  supply  sources, escalating costs  for  energy
and energy-intensive chemicals  and materials,  and the  increased  production costs
associated with the  need for higher quality water.  The useful period  of  a water
supply  system for meeting community demand may,  in some  cases,  be  extended  by
increased  efficiency  in  water use.  This  may  represent a  major  cost  savings  in
certain cases, especially if  the cost  of  developing additional  or  new water  sup-
plies is very high.  Water conservation should be considered by  all water  utili-
ties  in water-short  areas  to  save water,  and  in  all  areas  where   pumping  is
involved to  save  energy.

REFERENCES                         .  i       ,

•    Water Supply and  Wastewater Removal,  G.M.  Fair,   et al,  John Wiley & Sons,
     1966. Chapters 6 through 11  give  detailed information  on  sources  and collec-
   ,  tion  of water for  domestic  supply.                     i

•    Water Supply Engineering Design,  M.A. Al-Layla,  et  al,  Ann Arbor  Science
     Publishers,  Inc.,   1977.  Chapter 3  discusses  various  sources  of  water;
     Chapter  4, the  collection of water  from  these sources;  and Chapter  5,  the
     distribution of water from  source to  impoundment  and treatment.

•    "North  Marin's  Little  Compendium of  Water Saving  Ideas,"  John  0.  Nelson,
     March 1977,  N. Marin  Co. Water  District.,  Novato,  CA 94947.

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PART II-PRODUCTION



SECTION 8 - TREATMENT

    Objectives                                        1

    Process Selection                                  2

        Simple Disinfection                             2
        Turbidity Removal                              5

    Water Treatment for Corrosion Control                9

    Chemical Handling                                 9

    Operation and Control                             10

    Reliability                                        10

    References                                      11
                        90

PAGES                  I

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                                   SECTION   8

                                    TREATMENT
     Some  of  the most  important  questions  concerning  the treatment  required to
meet State and EPA quality standards are:

     1.   Why is water  treatment  required?  (See  Appendix F).

     2.   What are  the  objectives of water  treatment?   (See page  8-1,  Appendix A,
          and Appendix  C)

     3.   If an MCL is  exceeded,  how are  excess  concentrations removed? (See  pages
          8-1 and 8-2)

     4.   How are treatment  processes selected?  (See page 8-2)

     5.   What disinfectant  should be used?  (See pages  8-2 to 8-5)

     6.   What are  the most  effective  general  treatment methods for  removal of
          various contaminants?  (See page 8-7)

     7.   How reliable  should water  treatment  processes be?  (See  pages 8-10  and 8-ll)

     Treatment is a critical aspect  of public water  supply.  Inadequate treatment
has been directly linked  to  several  epidemics  and  suspected  in many others. As an
example, a chlorination failure  led  to a Salmonella  outbreak  in Riverside, Cali-
fornia,  in  1965.  Over  16,000  illnesses were  reported, 70 people  were hospital-
ized,  and  three  deaths  were linked to the consumption of inadequately treated
water. The National Interim  Primary  Drinking Water Regulations (NIPDWR) have  been
adopted  to ensure that  health  standards are  maintained  for potable water.

     The water utility  is responsible for providing a safe,  aesthetically pleas-
ing water.  The  treatment required depends  on the  source and  characteristics' of
the raw  water supply.  Since  the passage  of  the  SDWA and adoption  of  the NIPDWR,
this  task  has become  more  straightforward  in that  there are clear goals  to be
met.  This  section  presents  only basic treatment  processes  that,  when properly
applied, will produce  an acceptable  product.  Removal of certain constituents may
be  difficult  and  require more  complex  treatment systems  than  those discussed
herein.  Furthermore,  future  changes in regulations may  necessitate  even further
treatment. In most  cases  it  is advisable  to  employ a consulting sanitary engineer
who  is  expert and  experienced  in  water purification to  select  the treatment
processes needed under  given conditions.

OBJECTIVES

     The  principal  objective  of  potable  water  treatment  is   to  .provide  a   safe
aesthetically appealing product  for  human  consumption at  reasonable  cost.   This
requirement has  been  clearly defined by  the establishment  of  maximum  contaminant
levels  (MCL)  for specific pollutants.  These regulations, defined  in  the NIPDWR,


                                        8-1

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 must be met by all public water  purveyors.  Detailed discussion of  the  primary as
 well as the secondary regulations is contained  in  Section  5  of  this guide.

      The MCL's for the regulated pollutants are  summarized in Appendices  A and C.
 These criteria are based  on potential public  health  effects of  consuming  unsafe
 water and on extensive experience with the technical feasibility  of achieving the
 MCL's as described in Appendix F.

      Utilities should also  be aware of  unregulated problems which  are  presently
 beyond the scope of the NIPDWR.

 PROCESS SELECTION

      Although the basic objective  of providing  a  high quality  product is  common
 for all water utilities, the specific steps required to  do this will be  different
 for each  system  because no two  raw  waters  are exactly  of the  same  quality.  The
 type of treatment  provided  depends  primarily  on  the  quality  and  variability  of
 the source of supply. As a  minimum  for all  waters, disinfection  must be  provided
 to remove  biological contaminants.  Surface  waters generally  require  filtration
 for turbidity  removal and  disinfection  as  minimum treatment.  Groundwaters  may
 require various mineral removal  processes  in addition to  disinfection,  depending
 on the inorganic composition of the well water.  Both surface and  groundwaters may
 contain organic compounds which require attention  in treatment. A tabular summary
 of various  processes which  are  effective  in  removing  pollutants  when  properly
 applied is given in Table 8-1.

      To determine fully all  seasonal treatment requirements, a detailed  sanitary
 survey must be completed.  The most  economical  treatment system to  meet the  qual-
 ity requirements can  then be  developed.  Efficient  operation involves varying the
 treatment    operations  as   necessary   to   accommodate   changing   raw   water
 characteristics.

      If a  water contains excessive concentrations  of a substance  for which  an MCL
 has been established, there are economical treatment methods available  for  reduc-
 tion of the concentration to  acceptable  limits.  Discussions  of these methods are
 beyond the  scope  of  this report,  but they  are already described  in detail  and
.rather completely in an EPA publication,  No.  600/2-78-182, "Estimating Costs For
 Water Treatment As A Function of Size and Treatment Plant Efficiency", MERL Cin-
 cinnati,  Ohio, August  1978, as  well as  in  "Manual of  Treatment Techniques  For
 Meeting the NIPDWR," EPA-600/8-77-005, MERL,  Cincinnati, Ohio,  May  1977. The EPA
 manual on  treatment  techniques  discusses  removal  of  radionuclides, inorganics,
 and organic substances.  Each substance for which there  is  an MCL  is  discussed.

 Simple Disinfection
*

      Simple disinfection  is considered  the  minimum  treatment  required  for  any
 water supply.  It  is used to  destroy  or inactivate  biological contaminants  in the
 raw supply. It may be the only treatment required  in cases where  the source  is  of
 high,  consistent  quality,  such as groundwater or snowmelt. Alternate disinfection
 methods  involve  the  use   of   chlorine  dioxide,  ozone,  or   chlorine-ammonia
 treatment.


                                       8-2

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TABLE  8-1.  MOST .EFFECTIVE TREATMENT  METHODS  FOR CONTAMINANT  REMOVAL
                     Contaminant
                                                Most effective treatment methods
                     Arsenic:
                     Barium:

                     Cadmium:


                     Chromium:
                     Virus and
                     Coliform Organisms:
                     Fluoride:

                     Lead:


                     Manganese  fi  Iron:


                     Mercury:


                     Nitrate:

                     Organic Contaminants:

                     Radium:

                     Selenium:



                     Silver:


                     Sodium:

                     Sulfate:

                     Turbidity:

                     Taste  & Odor:



                     Color:



                     Iron S Manganese:
As+5 _ Ferric sulfate  coagulation, pH 6-8; alum
coagulation,  pH 6-7; excess lime softening
As+3 _ Ferric sulfate  coagulation, pH 6-8) alum
coagulation,  pH 6-7; excess lime softening
NOTE;  Oxidation required before treatment for As*3
Ion exchange  with activated alumina or bone char
adsorption

Lime softening, pH 10-11; ion exchange softening

Ferric sulfate coagulation, above pH 8; lime soften-
ing; excess lime softening

Cr+3 - Ferric sulfate  coagulation, pH 6-9; alum
coagulation,  pH 7-9; excess lime softening
Cr+6 _ ferrous sulfate coagulation, pH 7-9.5
Disinfection;  coagulation, and filtration plus
disinfection

Ion exchange with activated alumina; lime softening

Ferric sulfate coagulation, pH 6-9; alum coagula-
tion, pH 6-9;  lime softening; excess lime softening

Inorganic - Oxidation/Sedimentation/Filtration
Organic - Oxidation, Alum-lime coagulation,  pH 9-9.6

Inorganic - Ferric sulfate coagulation, pH 7-8
Organic - Granular activated carbon

Ion exchange

Powdered activated carbon; granular activated carbon

Lime softening

Se+4 - Ferric  sulfate  coagulation, pH 6-7; ion ex-
change; reverse osmosis
Se+6 - ion exchange; reverse osmosis

Ferric sulfate coagulation, pH 7-9; alum coagulation,
pH 6-8; lime softening; excess line softening

Ion exchange;  reverse  osmosis

Ion exchange;  reverse  osmosis

Coagulation, settling, and filtration, or direct filtration

Chlorine dioxide, breakpoint chlorination, powdered
and granular activated carbon, chlorine-ammonia,
copper sulfate

Coagulation, powdered  and granular activated carbon,  or
pre-oxidation  with ozone and filtration through GAC -
sand media

Oxidation, coagulation, filtration, softening, ion
exchange
                                                         8-3

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     Disinfection  is most  commonly  achieved using  chlorine in  the  gaseous form
for  large treatment  facilities or  in the  form of  a  hypochlorite  compound for
small systems. Chlorine  gas is  a heavy,  greenish yellow substance that has a very
low solubility in  water.  It is  generally transported in containers in a liquified
state.  It  is  a respiratory irritant,  requiring  extreme care in  handling.   Hypo-
chlorite  compounds may be  either dry or  liquid.  Except  for small plants, they are
generally more expensive than chlorine gas;  however, they do not present the same
dangers in handling  as does elemental chlorine.

     The  risks  involved in using chlorine  gas, particularly  in and  near large
metropolitan  areas,  have forced the  use  of  alternative chlorine  sources  in cer-
tain cases. Sodium hypochlorite most  closely matches the  disinfecting properties
of elemental  chlorine; however,  it  is not stable for long  periods  of time and is
required  in proportionally higher volumes. An alternative  to  frequent deliveries
is to generate the compound at  the  site  of application. Several electrolytic pro-
cesses  have been  developed using sodium  chloride to generate  sodium hypochlorite
on site.  These are most  cost-effective if there is  a  nearby source  of saltwater
or waste brine.

     The  effectiveness   of  chlorine  as  a disinfectant  is  influenced  by  several
factors.  The  pH of  the supply determines  the  form  of chlorine  in  the  water.
Hypochlorous  acid  is predominant at  low  pH  (6.5 or less)  while  hypochlorite ion
predominates  at high pH  (8.5 or greater). Of the two,  the  acid is  more effective
as a disinfectant. Therefore, the ideal  pH for  disinfection with chlorine is less
than or near  neutral  (pH =  7.0  or less).

     Turbidity  may  interfere   with  disinfection  by   sheltering  the  pathogenic
organisms. Process effectiveness is higher with less turbid waters.  Other chemi-
cal compounds can  also  interfere with the disinfection process.  Ammonia or other
nitrogenous compounds react readily  with chlorine  to  form chloramines.  Although
the various chloramine compounds are  effective  disinfectants,  their reaction rate
is not as rapid as the hypochlorous  acid.

     The  three most  important  aspects of  effective  chlorination  are  supplying an
adequate  dosage, providing proper mixing, and providing  sufficient  contact time.
A minimum residual should  remain in  the  distribution system to prevent recontam-
ination of  the  product.  The biggest  threat  of  recontamination in the  system is
cross connections. An adequate  residual  or the  reapplication of a small amount of
chlorine in the distribution system  can  greatly  reduce  the  potential for delivery
bacteriologically  unsafe water.  The hydraulics  of the  treatment  facility  must be
such that thorough mixing  and sufficient  contact  are  provided to  allow complete
disinfection.   Short-circuiting  can  result    in   inadequate    or   uneconomical
disinfection.

     Recent revelations  regarding  the production of potentially  harmful by-prod-
uct in  some instances where pre-chlorination is used  have  caused  concerned per-
sons to  take  a closer  look at  the  use  of  chlorine and at the  possible  use  of
alternative means  for   pre-oxidation and disinfection.   One  of  the  principal
results of this closer  look to  date  has  been to reserve the use of  chlorine for
final disinfection of the  purest quality water  present in  the plant,  and  to use
other oxidants earlier  in  the  water  treatment  process. This may be a  means for
reduction  of   chlorine   by-products   (notably  the   trihalomethanes).  The  recent

                                         8-it

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 regulatory  activity  of  EPA regarding triholomethanes (THM) means that water util-
 ities  should  look more  closely at the disinfection processes and procedures which
 they  employ.  Ozone,  chlorine  dioxide, potassium  permanganate,  chlorine-ammonia,
 hydrogen  peroxide, and  other  oxidants have  been  used. Not  much  is  known about
 by-products from the  use of these materials,  but the production of chloro-organic
 compounds  is  reduced.  Oxidants  other  than  chlorine  have  successfully replaced
 chlorine  in many applications  for color removal,  taste and odor  control, algae
 control, and  as  an aid  to coagulation of  organic matter.

     Despite  its  replacement   in many  pre-treatment   applications,   chlorine  is
 still  relied  upon as  the principal means for final  disinfection.  Ozone, chlorine
 dioxide, and  other chemicals have found limited use as the final disinfectant.

     Removal  of  Coliform Organisms.  The  EPA "Manual of Treatment  Techniques For
 Meeting  The  IPDWR"  (hereinafter  - in  this   section  - referred   to  as  the  EPA
 Treatment Manual) discusses this subject under  the topics  of  MCL's, turbidity,
 disinfection  byproducts,  chlorination,  ozone, chlorine dioxide and costs on pages
 42-52.

     Removal  of  Inorganic Contaminants.  The EPA Treatment  Manual presents methods
 for  removal  of   arsenic,  larium,  cadmium,  chromium,   fluoride,   lead,  mercury,
 nitrate,  selenium,  and silver  both in existing  and new  treatment facilities on
 pages  7-36.

 Turbidity Removal

     See the  EPA Treatment  Manual pages  44-52.

     Low turbidity is a good measure of the safety of  water. Low turbidity allows
 the use of  reduced doses of disinfectant,  and provides a greater  degree of pro-
 tection. Under the NIPDWR,  the turbidity of  supplies  from surface  waters must be
 measured on a daily  basis. With  the  limitation  being  1 TU on a monthly average,
 virtually all surface supplies will require  filtration  for  turbidity removal. As
well as meeting  the  federal quality requirement,  turbidity  removal may be neces-
 sary to provide  adequate  disinfection,  to  maintain a  chlorine  residual,  and to
 allow accurate bacteriological  testing.

     The common  methods  for removing turbidity are direct  filtration, or chemical
 coagulation,  flocculation,  and sedimentation,  followed by filtration.  The first
 method is used for raw  water with a fairly low  initial  turbidity  (generally less
 than 25 JTU), while the  second is effective  on sources with a high  or variable
 turbidity.  The  basic  process trains  for  these two  systems  are  shown on Figures
 8-2  and  8-3 .    They also include  disinfection  as described  previously.

     Filtration  is the  process by  which suspended and colloidal  particles  are
 removed from  water by passing  it  through  a  bed of  granular material. As the water
 passes through  the medium,  the fine  particles are trapped in the  spaces between
 grains or  are adsorbed  on the  surface of  the  filter  media.  Chemical  aids  are
 often used  to enhance the performance of filtration.  Coagulants such as  alum or
 polymers promote flocculation  of  the suspended materials and adsorption  on  the
 filter grains.
                                        8-5

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         FILTER
         AID
RAW
   WATER
              RAPID
              MIX
                    FILTER
                            r
                            BACKWASH
                            WATER
                                     BACKWASH
                                     WASTE
t:
c

1 1 1 1 1 1
DNTACT BASIN


                                                               PRODUCT
                                                               WATER
      Figure 8-1. .
                   Schematic diagram of direct filtration for
                   turbidity removal and disinfection.
     CHEMICAL
     COAGULANT
WATER
       RAPID
        MIX
            FLOCCULATION
             BASIN
SEDIMENTATION
    BASIN
          FILTER
                           CHEMICAL
                            SLUDGE
                                            BACKWASH
                                             WATER
                                                       BACKWASH
                                                        WASTE
                                                               PRODUCT
                                                               WATER"}
                                                               IF
CONTACT BASIN
      Figure 8-2.
                   Schematic  diagram  of conventional treatment for
                   turbidity  removal  and  disinfection.
                                8-6

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     Granular media  filters' can be classified by a  number of features, including
type and arrangement of media,  direction of  flow,  flow rate, or pressure or grav-
ity operation. Each  characteristic has  advantages  and disadvantages which must be
assessed for the particular  application.

     •    Filter media may be a single,  uniform material  or  layers of different
          size and specific  gravity of materials.  Sand  was among the first media
          used for filtration.  Dual media filters  have a layer of anthracite coal
          of  larger  effective  size that is  supported by  a layer  of  sand.  This
          design  greatly  increases  the  effective  depth  of the  filtration  over
          that provided  by  a  simple sand filter.  Mixed  media  filters typically
          contain  three  types  of media  graded  from  coarse  to  fine, with coal on
          the  top,  sand  in  the  middle,  and  crushed  garnet on the  bottom.   This
          arrangement  can offer improved performance,  as measured  by  length of
          filter runs and  the  final product  quality, for many applications.

     •    Most potable water filters are downflow,  and backwashing  is upflow from
          the bottom of  the  filter which drives the  trapped particles to the sur-
          face of  the filter through the layers of  media.  In the U.S. water back-
          wash  is usually supplemented  by  hydraulic surface  scour.  In  Europe
          air-water  backwash is  commonly preferred.

     •    Filters  are generally classified as either high  rate or low rate. Rapid
          sand filters operate in  a range of 2 to  A  gpm/sq  ft (gallons  per minute
          per square foot) and require  frequent backwashing. (Mixed or  dual media
          filters  may  be  run at rates above  5  gpm/sq ft).  Slow  sand filters are
          operated at  a  maximum of  about 0.10  gpm/sq ft  of bed  area;  therefore,
          they require much  more space  than  rapid  filters.

     •    Filters  can  be  designed  to operate  under  pressure  or  by gravity flow.
          Most filters  for  public  water  supplies   are  open gravity units.  Some
          states  permit  the  use   of pressure  filters   for  treatment (usually
          softening  or  iron or  manganese removal)  of high quality well waters.
          Because  pressure filters are closed,  it is  not possible  to observe the
          condition  of the media,  nor is it  possible to visually monitor the loss
          of media during backwashing.  Residual pressure  from the  pressure fil-
          tration  process  can  be utilized for water  distribution. Gravity filters
          are  constructed  with open tops,  allowing  observation  of  the  media
          during  operation and backwashing.  Gravity  filters are  much more suita-
          ble- for  surface  waters.

     The  three  most common  types  of filters  used  in water treatment  are rapid
gravity,  rapid pressure,  and slow  gravity.  In  general, mixed  or dual  media fil-
ters can  tolerate  higher  input turbidities  (up to  50' JTU) whereas the single sand
media filters must have  lower  turbidities (less than 10 JTU) for efficient opera-
tion because of their lower  effective bed depth.

     Often coagulation,  flocculation, and sedimentation will be  required prior to
filtration. These  processes  can remove  color as well  as  turbidity when properly
applied.
                                        8-7

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     •    Coagulation  is a  very rapid  process  which  occurs  when  a coagulating
          chemical,  generally an aluminum  or  iron salt,  is  added  to  the water.
          The  colloidal particles, which  cause  the  turbidity,  carry  electrical
          charges  that tend  to  hold  them  apart.  The  addition of  the  coagulant
          reduces  these charges  so the small particles will agglomerate  (floccu-
          lation)  forming  particles large  enough to settle by  gravity.   Coagula-
          tion  can be  used immediately preceding  filtration  for  low  turbidity
          waters,  but  is often  followed by flocculation  and   settling  to remove
          some solids  and prevent  excessively  short  filter runs.

     •    Flocculation is  a much  slower  process   in  which  aggregation occurs
          during  prolonged,  gentle mixing  to  create  large,   readily  settleable
          particles.  As opposed  to the relatively  short  contact  time  in rapid
          mixing  (20 sec to  2 min),  flocculation is  best if  a slow  mixing or
          gentle agitation  is carried out  for  15  to  45  minutes.

     •    Sedimentation, or  clarification,  allows  the  flocculant solids formed by
          chemical  addition to settle out  of. the water  by gravity.  The accumu-
          lated chemical sludge  is removed from the bottom of  the clarifier per-
          iodically  for subsequent disposal.   Recently,   high  rate  settling  has
          been  accomplished by  the development  of  tube  settling  devices  which
          employ principles  of  shallow depth sedimentation to  reduce the surface
          area requirement  of settling basins.

     Numerous  factors  affect  the  performance  of   chemical   processing.  These
include:

     •    The pH of  the  raw water  - there  is an optimum range  for each source

     •    The  dissolved solids  content  -  this influences the  optimum  coagulant
          dose, the  flocculation time,  and  the  residual  coagulant  concentration
          in the effluent,  and can shift the optimum pH range

     •    The  nature  of  the  turbidity  - amount  of  clay  and  other  mineral
          particles

     •    The type of  coagulant  -  alum is  the most common, sometimes oxidants or
          polymers are added  to  enhance  floe formation

     One way  to determine  optimum dosages for chemical  clarification  is to  run
laboratory  jar  tests.  Properly  done.these results can provide  basic  design  and
operating  parameters  for  a  specific  supply.   In some  cases   Zeta   potential  or
colloidal titration may be  used.  A better  way to control  chemical coagulation is
by installation of a  pilot  filter or  coagulant  control  center  designed  for  the
purpose (see page  109  in the  first  reference at the  end of this section).

     Chemical  clarification followed by filtration  has been shown  to  reduce  the
concentrations of  turbidity,  color, certain heavy metals,  pesticides, inorganics,
radionuclides, and bacterial  contaminants  and  to  aid disinfection processes.
                                       8-8

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     Removal of Organic Contaminants.  This  subject  is  discussed on pages 53-61 of
the EPA Treatment  Manual,  under the  topics as follows: occurrence  of pesticides
in  drinking water;  Endrin; Lindane;  Toxaphene;  2,  4-D;  2,  4,  5-TP  (Silvex);
Methoxychlor; cost; and adsorption with  PAC and GAC.

     Removal of Radioactive Contaminants. The  EPA Treatment Manual presents tech-
niques for  this  purpose on pages  62-72. Topics  include:  alpha  emitters;  radium
(by ion exchange,  lime  or  lime-soda softening, and reverse  osmosis);  disposal of
treatment water; costs; and manmade  radionuclides,  or  Beta and Photon emitters.

WATER TREATMENT FOR CORROSION .CONTROL

     Corrosion control  can  reduce  the rate of  deterioration  of pipelines and the
loss of carrying capacity.  It also  can prevent adverse  health effects which might
arise from  the solution of  cadmium, lead,  copper,  or  zinc,  or  the  suspension of
asbestos from the  interior  of  pipes by aggressive water followed  by the drinking
of the contaminated water.  There is  ho generally accepted  index of corrosion, but
corrosion control  is widely practiced.

     Chemical  control  of corrosion is  a  supplement  to   protective  construction
measures against corrosion  which include use  of  copper or copper alloy for ser-
vice line  piping,  coating  pipes  with zinc (steel  pipe)  or  coal tar  (cast iron
pipe), lining  with  cement,  and in-place coating after  main  cleaning.  Chemical
control of  corrosion requires constant surveillance.  Low calcium,  alkalinity, and
pH favor  corrosion.  It is  possible to  maintain  proper concentrations  and vital
interrelationships among these  factors by  control of treatment in filter plants,
or by the addition of chemicals  for  pH control to water in storage or in the dis-
tribution system.  Also, polyphosphates,  sodium silicate,  bimetallic phosphates,
and other chemical additives may be  used effectively  in some situations.

CHEMICAL HANDLING

     Chemical handling  can  be a  fairly simple, safe  task if the equipment is well
designed and  properly  maintained.  The basic factors  influencing  the operabllity
of chemical handling equipment area  as follows:

     •    Application - the point  of application should assure maximum treatment
          efficiency and flexibility,  and ease in maintenance.

     •    Feed  equipment -  the feed  equipment  should be  adequately  sized for
          operation at  maximum flow;  conveniently located  near point(s) of  appli-
          cation;  readily accessible for servicing,  repairs, and observation; and
          manually  or   automatically  controlled  with  feed  rate  proportional  to
          flow.

     •    Feed lines -  feed  lines  should  be  as  short as  possible  to minimize
          clogging;  constructed  of  durable, corrosion-resistant  material;  easily
          accessible  throughout  entire  length; protected against  freezing;  and
          readily  cleanable.
                                        8-9

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      •    Storage  - storage  capacity  should  be  for  at  least  thirty days  and
           arranged  so that oldest  chemicals  are  used first,  in a convenient loca-
           tion,  and  clearly  marked;   chemicals  should  be  stored  in  original
           shipping  containers if  possible;  safety practices  should be  outlined
           for acidic, caustic, toxic, explosive,  and combustible chemicals.

      •    Safety -  safety while handling  chemicals cannot  be overstressed;  opera-
           tors  should  be trained  and  familiar  with all  procedures  for  storing,
           mixing,  and  feeding chemicals;  work areas should  be well  ventilated;
           equipment  for handling  chemicals (gloves,  etc.)  and for  emergencies
           (air  packs,  fire  extinguishers, respirators, eye  washes,  etc.)  should
           be  clearly marked  and  readily available  for  use;  spills  should  be
           cleaned   up   immediately  and  general  good  housekeeping   should   be
           practiced.

      Specific details on handling  each of the  chemicals  used in water treatment
 can be found in Water Quality and  Treatment; A Handbook of Public Water Supplies,
 AWWA,  1971,  Chapter 17, and in Water Purification  Control,  Hopkins  and  Bean,
 Williams and Wilkins Co., Baltimore, 1966.

 OPERATION AND CONTROL

      The importance of  proper  plant  operation  cannot be overstressed.  Regardless
 of how well a treatment facility  is  planned and designed,  it serves little  pur-
 pose if not properly operated and  managed.  The  basic  processes commonly used  in
 water  treatment  are few, and  monitoring  of performance  is  quite  easy.  If  done
 correctly and regularly, operation will be efficient and economical.

      Chlorine dosage  can be  automatically  adjusted by plant • flow and  chlorine
 residual.  Simple,   reliable   equipment  is  available   to  automatically control
 chlorine feed, and  it should be used. Other  chemical feeds can also be  controlled
 by readings from continuous  monitors.  Continuous  turbidity  monitoring of  filter
 effluent can be used to control filter  operations.

      The specific details of  operating  each treatment  process should be  provided
 by the equipment manufacturers and the  design  consultant.  A comprehensive  Opera-
 tions and Maintenance manual,  as described  in Section  9   of this  manual,  should
 contain all of  the  pertinent  information required  to  operate and  maintain water
 treatment facilities.

 RELIABILITY

      The reliability provided in water  systems  is generally greater  than that  in
.sewerage systems and about  equal to  that  of  electric power systems.  Even greater
 reliability could be obtained at higher costs.  The  reliability of water supply  is
 an important  consideration  in system  design and  operation.  Certain emergencies
 that may disrupt water service are  uncontrollable,  but many  can  be  avoided.

      Since water  treatment   is  a  continuous activity,  routine  maintenance and
 repairs also have the potential for  disrupting  service.  To minimize  the  inconve-
 nience of  planned   or  unplanned interruptions   in  service,  the  following   basic
 elements should be  considered.

                                         8-10

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          Plant capacity should  be  sufficient  to  meet  customer demands•

          At least two of each unit  should  be  provided whenever possible, even at
          very  small  facilities; one  can be  operated while  the  other  is  being
          serviced.

          Standby  capacity should  be  sufficient to  ensure  operation  with  the
          largest unit out of service.

          Spare parts for common repairs  and hard to get parts  should be kept on
          hand.

          Chemical supplies  should  be  sufficient for  at least  30 days  of  plant
          operations.

          Regular servicing  of  all  mechanical  equipment will minimize  emergency
          shut-downs.

          At least  two independent  sources of power  should serve  the  treatment
          plant.

          The operating staff should be familiar  with  emergency procedures.

          Water storage facilities  can improve the reliability  of  the water sup-
          ply,  particularly during  peak demand  periods.
REFERENCES
     New Concepts in  Water Purification, R.L. Gulp,  and G.L. Gulp,  Van Nostrand
     Reinhold Company, New York, 1974. Newly  developed  and  improved processes for
     water  treatment  including  filtration,  sedimentation,   and  disinfection;
     design criteria, operational control,  and typical  costs  are  included.

     "Water Treatment Plant  Design," AWWA, 1971.  Gives detailed  design informa-
     tion for common water treatment processes.

     "State of the Art of Small Water Treatment  Systems," U.S.  EPA, August,  1977.
     Unit processes for meeting primary  and secondary drinking  water requirements
     are  discussed  in  terms of  design,  performance,   controls,  operation,  and
     applicability; examples of upgrading existing  facilities are  also given.

     Water Quality and  Treatment;  A Handbook of Public Water Supplies,  3rd Ed.,
     AWWA,  1971.  Common  unit  processes for  water  treatment  are described  in
     detail. Chapter  17 describes  the  characteristics, use,  handling,  etc.,  of
     all chemicals used in water treatment.

     "Technical Guidelines for  Public  Water Systems," U.S.  EPA, June,  1975, NTIS
     #PB  255  217, Chapter 3  details  design  criteria  and application of  unit
     processes  used   in  water  treatment.   Chapter  4  covers  chemical  handling,
     application,  and safety practices.
                                       8-11

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•    "Estimating  Costs for  Water Treatment  as  Function of  Size and  Treatment
     Plant Efficiency," U.S. EPA, August  1978,  EPA 600/2-78-182.  Chapter II deals
     with treatment methods available  to  meet  the NIPDWR.

•    "Manual  of  Treatment Techniques  for Meeting  the IPDWR",  EPA-600/8-77-005,
     MERL, Cincinnati, Ohio, May  1977.

•    "Water  Purification Control",  Hopkins and  Bean,  1966,  Kreiger  Publishing
     Company, Huntington, N.Y.

•    "Handbook of Chlorination",  G.C.  White, Van  Nostrand Reinhold Co.,  N.Y.
                                     8-12

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PART II-PRODUCTION

                                                PAGES

SECTION 9 - WATER TREATMENT WASTES

    Sources                                         1
    Sludge Disposal Methods                          2                   3
    Reclamation and Reuse                            2                  ||
                                                                      c»m
        Alum Recovery                               2                   "to
        Alternative Reuses                            2

    Sludge Dewatering                               3

    Landfill Disposal                                 3

    Discharge to Sanitary Sewers                       5

    References                                      5

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                                    SECTION 9.

                             WATER  TREATMENT WASTES
     1.   For many years  basin  sludge  and  filter  backwash water from water treat-
          ment  plants  were returned  to streams  from whence they  came -  why do
          they now require special handling  prior to  discharge? (See  page  9-2)

     2.   What  are  the  presently available  alternatives for  disposal of water
          treatment plant wastes? (See page 9-3)

     3.   Are there  opportunities to  recycle  treatment  chemicals  and wastewater
          within filter plants?  (See page 9-2)

     4.   What  methods are  available  for sludge  dewatering?   (See  page  9-3 and
          Table  9-1)

     It has  only been  within the past  few years  that  the wastes  produced during
water treatment  have received significant attention.  In  the  1950's,  over  90 per-
cent of  basin sludge  and other  solid wastes and  80 percent  of  filter backwash
from water  treatment  were discharged  to  surface  waters. Water pollution   control
laws (notably Water Pollution Control Act as  amended in 1979)  instituted in the
early 1970's prohibited  such  practices.  Sludge from water treatment plants is now
considered an Industrial  waste and is subject to  the  same  regulations regarding
treatment and disposal.  Arsenic,  fluoride, and radiological  wastes,  when   present
in water treatment sludges, are considered as  hazardous materials  by EPA.

     Since waste disposal represents  a newly  introduced expense  for  most water
utilities, all  efforts to reduce costs should be  considered.  Water conservation
and increasing operational efficiency  are  straight-forward means for reducing the
quantity of  wastes  produced.  This may warrant process modification  for existing
facilities.  For  example,  substituting polyelectrolytes  for part  or all  of the
alum used in coagulation can substantially  reduce the amount  of  chemical sludge
produced, but at higher chemical  cost.

     Various aspects of  water treatment waste disposal are  discussed in the fol-
lowing paragraphs.  The methods  actually employed  by different .plants  will vary
considerably, depending  on  the  size  and location  of  the  facility,  treatment pro-
cesses employed,  climatic conditions,  and local  and state  rules  governing dis-
posal practices.

SOURCES

     The principal sources  of waste from  water treatment are  the  natural solids
removed from raw water and the  precipitates  formed  by chemical addition.  It is
difficult to typify  the  nature  of  wastes generated  during  production  since the
characteristics of raw water  vary greatly.

     Alum is the most  common chemical  coagulant  used  for  removing  solids from
water; an  alternative  is ferric chloride.  Sludges  are  mainly metal hydroxides


                                        9-1

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with  entrained organic  and  inorganic particulate  matter.  Most  alum sludges are
particularly  difficult  to dewater  due to  their gelatinous nature.  The specific
characteristics  of  the sludge depend on the raw water  being treated. Sludge vol-
ume  usually represents  about one  percent  of  the  raw water  treated  and  liquid
sludge typically has a solids  content of  0.5 to 2.0 percent.

     The  solids  removed during granular filtration are wasted in filter backwash
water. The  components  in the  backwash water are highly dependent on the raw water
characteristics  and on any pre-filtration  processing.  They  may include polymers,
metal  oxides,  carbonates and  silicates,  organics,  and  carbon.  The  volume  of
filter backwash  is  usually 1  to  5 percent of the volume of  raw water treated.  It
has a  low solids content, ranging from 0.01 to 0.1 percent,  and  may be recycled
through the treatment  process.

SLUDGE DISPOSAL  METHODS

     Some sludge handling methods are concerned only with  direct disposal,  others
provide for recovery  and reuse of treatment chemicals  and  salvage and reprocess-
ing  of wastewater.  Some of  the  alternates are:  discharge  to  sanitary  sewers
(where permitted);  disposal  in  lagoons;  use of sand drying  beds;  dewatering  by
vacuum filtration,  centrifugation,  filter pressing,  lime  sludge pelletization,
heat treatment,  or  freezing;  alum recovery  by  acid  or alkaline methods; magnesium
carbonate recovery; and  lime  recalcinlng  and reuse.

RECLAMATION AND  REUSE

     The  increasing cost of  chemicals and  the  new  regulations regarding disposal
have directed  attention toward reclaiming  the  chemicals used  iri water treatment.
Lime  recovery  has  been  practiced at many  larger  treatment facilities employing
softening, but alum recovery  has  not been found to be  economical  except in a few
cases. Recently, there has been  progress  in improving the  methods used to recover
alum from the chemical coagulation  process.

Alum Recovery                                               •

     Alum can be recovered from  coagulation sludge  using  an acid processing tech-
nique. Thickened sludge  is treated  with acid (commonly sulfuric acid) to dissolve
the aluminum  salts. The residual  (waste)  solids  are  then  removed  by gravity.
Although  the potential benefits  of alum recovery may be  significant  in terms  of
production  and process  energy conservation and chemical  costs,  there  are  some
potential  drawbacks associated   with the  practice.   The  accumulation of  heavy
metals and  other impurities  has been a  deterrent  to  the  use of  alum recovery.
Ongoing studies  with  the acid process and  with other alum  recovery methods  like
liquid ion exchange may  provide  useful information  for  planning such systems.

Alternative Reuses

     Two  principal  alternatives  to  in-plant chemical  reuse  have  been proposed.
One is to use either alum or  lime sludge  as a  soil conditioner.  Both enhance the
cohesiveness  of the  soil.  The   lime sludge  can  be  used  to neutralize  acidic
soils.


                                        9-2

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     Another alternative  for reusing chemical sludges from  water  purification is
in  wastewater  treatment. Water  treatment sludges  are  often beneficial  in waste
water  treatment,   but   this  depends  on  local   circumstances   which  must  be
investigated.

SLUDGE DEWATER1NG

     Dewatering sludge  reduces  the volume of sludge to  be  disposed.  Sludges con-
centrated  to at  least 20 percent solids  are  reduced  in  volume by  75  percent and
are much more easily  handled by mechanical equipment and do  not  present  the same
disposal problems  of thinner  sludges (less  than 5 percent).  Dewatering  can be
achieved  by physical  or mechanical methods.  Process'  selection  depends  on the
source and quantity of sludge,  its  dewatering characteristics,  the  availability
of land near the treatment plant,  and the method  of ultimate disposal or reuse.

     Sand  beds and  lagoons are  methods typically  used  at smaller facilities which
have land  available.  They are  dependent  on  climatic  conditions for  proper per-
formance.  If landfill disposal is practiced, additional dewatering may be neces-
sary to achieve  a  manageable solids  concentration. Common  mechanical methods for
dewatering  include vacuum filtration, centrifugation,  and  pressure  filtration.
These achieve higher  solids  concentrations for chemical sludges,  but may require
preconditioning  for optimum  performance.  Table   9-1  summarizes  the  alternatives
for water  treatment sludge dewatering.

LANDFILL DISPOSAL

     The most  common method  of ultimate  disposal of water treatment sludge is
landfill.  For small systems  in  rural areas,  lagooning may be used;  in this case,
a lagoon is simply  filled, stabilized, and abandoned.

     Landfilling  operations   are favored.  They  must  be controlled  to  protect
groundwaters and surface waters  from leachate and runoff contamination. The vari-
ability of  sludge  characteristics can present problems  in  planning and operating
a landfill  for such sludge.  In many states,  water  treatment  sludge is considered
an industrial waste, which may  limit the  landfill disposal  options. As previously
mentioned,  EPA  classifies arsenic',  fluoride,  and radiological  wastes  in  water
treatment  plant sludge  as hazardous  materials requiring  special disposal.

     Sludge  dewatering is  almost always essential  prior  to  landfill  disposal
since  it   reduces  the  volume  and  the  potential  for   runoff   and  leachate
contamination.

     The planning  and  operation  of  a sludge landfill  depends on several  basic
factors. These should be considered  in the overall evaluation and economic analy-
sis of the  project.

     •     Location  of water  treatment  plant
     •    Type and  quantity  sludge to be  disposed of
     •     Proximity to  existing  landfills; available capacity for chemical sludge
          disposed
                                          9-3

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                                 TABLE  9-1.  ALTERNATIVE  SLUDGE DEWATERING METHODS
     Method
    Application
                     Comments
Physical
Sand Beds
Lagoons
Chemical coagulation
sludges may dewater to
20 percent solids
Chemical coagulation
dewater to 10 percent
solids
Need large land area and long  detention  times;  weather-
dependent; decant water and under'-drainage  are  discharged
sanitary sewer, surface water,  or  returned  to plant;  high
labor demand for cleaning beds;  applicable  to small
systems

Common method for small systems; takes advantage  of
natural freezing and evaporation to  aid  in  de'watering;
can be used for temporary storage; low operating
costs; can promote insect breeding;  may  need further
dewatering before use in landfill
Mechanical
Vacuum Filtration
Centrifugation
Filter Presses
Limited application
in water treatment
Conditioned alum
sludge dewatered
to 15 to 20.
percent solids

Conditioned alum
sludge dewatered
to 30 pecent
solids
Precoatlng filter with diatomaceous  earth is  necessary
for vacuum filter dewatering of  alum sludge;  high  -
costs, both capital and O&M      .                 :

May require polymer'addition for effective operation.
Alum sludge must sludge dewatered  be  conditioned with lime
before dewatering; filtrate  disposal  may  be. a problem
since it has a high pH and may  have a high heavy metal
concentration; disadvantages  include  short life of filter
cloth and need for manual control.

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     •    Labor and energy requirements  for  landfill  operation
     •    Alternatives to disposal at a  landfill
     •    Local regulations

DISCHARGE TO SANITARY SEWERS

     Under certain circumstances, discharge  of  chemical  sludge  to sanitary sewers
may be an acceptable  or  beneficial means of  disposal.  In some cases,  this  prac-
tice  merely  represents   transferring  the   solids  handling  from  one  plant  to
another; but for other communities, it may be the most  economical solution to the
overall  solids  disposal  problem.  Factors  to be  considered  in discharging  water
treatment wastes to wastewat'er plants include:

     •    The hydraulic and solids capacity  of  the wastewater  treatment plant and
          sewers

     •    The compatibility of water  treatment  sludge with the wastewater treat-
          ment process and the effect on effluent quality

     •    The hydraulic capacity of the  sewers  from the  water  plant to the waste-
          water treatment plant; if  the velocity is  insufficient,  solids  deposi-
          tion can clog or greatly reduce the hydraulic  capacity  of the sewers

     •    Classification  of  water   treatment  wastes;   industrial  pretreatment
          standards may be imposed

REFERENCES

•    "Water Treatment Plant Sludges - An Update of  the State of  the  Art:  Parts 1
     and 2," Commitee Report, JAWWA,  September  and October, 1978.  Part 1  details
     the current regulatory requirements,  sludge production and  characteristics,
     and minimizing production of water  treatment wastes; part  2  outlines  proces-
     sing methods,  including  nonmechanical  and  mechanical methods of  dewatering
     sludge and methods of ultimate disposal.

•    "Alternate Processes for  Treatment of Water Plant Wastes," S.L.  Bishop,
     JAWWA, September, 1978.  Discusses  alternate methods  of handling  wastes pro-
     duced  in  water treatment,  including  recently developed  processes for alum
     sludge processing.

•    Water Quality and Treatment;  A Handbook of  Public Water Supplies, 3rd Ed.,
     AWWA,  1971,  Chapter 19. Presents   sources  quantities,  characteristics,  and
     processing of  water  treatment   residues;  includes  environmental and  legal
     aspects.

•    "State of the Art of Small Water Treatment  Systems," U.S.  EPA, August,  1977,
     pp. IV-61-70.  Presents  sources,  quantities, and  characteristics of  wastes
     produced  in  water treatment; various  treatment  methods;  and ultimate dis-
     posal practices.
                                         9-5

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"Manual of  Treatment  Techniques For Meeting  The  IPDWR," U.S. EPA  600/8-77-
005, 26 W. St. Clair Street, Cincinnati, Ohio 45268, May 1977.

"New Concepts  In Water Purification," Chapter  5,  Disposal of Sludges,  G.L.
Gulp and R.L. Gulp, Van Nostrand Reinhold, New  York, 1974.

"Beneficial  Disposal  of  Water  Purification  Plant  Sludges  In Wastewater
Treatment,"  John  0.  Nelson,  Chas.  A.  Joseph,  R.L.   Gulp,  EPA  Report
S-803336-01-0, Cincinnati, 1978.
                                  9-6

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PART II-PRODUCTION
SECTION 10- DISTRIBUTION
    Service
    Fire Protection
    Distribution Mains
    Storage
    Cross Connection Control
    References
                                                PAGES
3




4






4




5
2
S !±

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                                     SECTION 10

                                   DISTRIBUTION
     Water  distribution  systems should  be  sized  to handle  variable  customer
demands  and  requisite fire  flows.  Quality standards  must  be met  throughout the
system.  Good  circulation  of  water  should  be  provided  and  cross  connections
prevented.

     Various general  aspects of  water  distribution are discussed in this section.
Many requirements are system-specific.

     Some common questions  concerning  the distribution of water are:

     1.   Why  is  it important from a public  health standpoint  to  consider fire
          demands on  a water distribution system? (See pages 10-1 and  10-2)

     2.   What  range  of  water pressures  provides acceptable water  service? (See
          page  10-2)

     3.   What  functions  are served by storage of water  on distribution systems?
          (See  page 10-3)

     4.   Why  is  a  program  of cross-connection control  essential  to  safe water?
          (See pages 10-1* and 10-5)

SERVICE

     Many water utilities  provide  service  to more  than  one  type of  customer.
Potable  water  supplied for  domestic and  commercial uses  must  meet  the  quality
criteria established  by  the SDWA.  In certain  cases,  industrial  process  water may
have more stringent limitations  for certain constituents, whether or not they are
met  by the  water purveyor   or through supplemental  treatment  by  the industrial
user will depend on individual circumstances.

     The overall  demands  on the  system can be estimated from  total flow records
and  from the  demands of similar  communities. Careful  distribution  analysis  is
important to ensure  that  localized flow  demands  are met.  For  example,  a densely
populated business  area may have exceptionally high  daytime  demands and low eve-
ning and weekend needs. On  the other hand, a  large  industry  operating 24 hours a
day will require a  steady supply on a continuous  basis.  Such  service  factors,  as
well as  seasonal  source  and demand  variations, will influence  the  overall plan-
ning and operation of a system.

FIRE PROTECTION

     Providing  adequate fire protection  is important to  public safety and to min-
imize  cost of  fire  insurance.  It is  also important  because  large  withdrawals  of
water  from mains  which are  too  small for  fire fighting  often produce  low pres-
sures  or negative  pressures  in  water  mains - a  health  hazard due  to  back


                                       10-1

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syphonage. Communities  are  rated by the Insurance  Service  Offices (ISO) or other
fire underwriters (see  the  local insurance agents)  according to the level of fire
protection they provide. A  system of  deficiency points, assigned in an evaluation
of the water  supply,  the fire  department, fire service  communications,  and fire
safety  control,  determines  the  relative  class of  the  area  and  the  associated
insurance rates.

     The  evaluation  of the water supply  system  for fire  protection  afforded is
based on many factors  including,  but  not limited  to:

          Deliverable  flow  rates
          Adequacy and  reliability (duplication of  vital facilities)
          Storage facilities
          Reliability .of power  supply (standby for  electric service)
          Multiplicity  of water supply to  the service area
          Sources of emergency  supply
          Distribution  system  characteristics such  as  layout, minimum pipeline
          size  (recommended practice  is  six  inches),  minimum  residual pressure
          (recommended  minimum  pressure  =   20  psi),   location   of  valves  and
          hydrants, etc.
     •    Gravity service and pumping facilities
     •    Hydrant and valve location  records

     The basic fire  flow rate  is determined  by the representative fire potential
of most large properties in the district.  Individual rates are calculated using a
formula which includes  the  type of building materials,  the total  floor area, and
the number  of  stories  or  height of  the building.   Once  the basic  rate  has been
calculated, reductions  and  increases  are  made  for  factors  such as sprinkler sys-
tems, degree of hazard, proximity to  other buildings, etc.

     The minimum  fire  flow for  any single building, including  all reductions is
500 gpm, while the maximum  rate is 12,OOQ gpm. The  basic fire  flow rate is added
to the  average  consumption on  the  day of maximum  use  in  order to determine the
minimum system capacity.  Depending on the system water use characteristics, this
value may be exceeded by  peak hourly  consumption during  the  maximum  month  of
use.

     The fire protection provided by  a utility should be periodically assessed to
be sure it  is  adequate. When substantial  improvements  to  the  system  are made, a
reassessment  by  ISO  may  be  warranted.  It  must  be  remembered,   however,  that
factors other than water  supply contribute to  the  fire  protection rating and the
associated fire insurance rates.
                %
     Three publications of  the  Insurance  Services  Office  (160  Water  Street; New
York, N.Y.;  10038)  should  be  consulted  for additional  information regarding fire
protection.

     •    "Guide  for Determination of Required Fire Flow"
     •    "Grading Schedule for Municipal  Fire Protection"
     •    "Commentary  on the Grading  Schedule for Municipal Fire Protection"

     Also see local insurance agents  regarding rating system they use.

                                         10-2

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DISTRIBUTION MAINS

     The distribution system  should  be  capable  of providing reliable water deliv-
ery with  a minimum of  service  interruptions.  The  utility may have  a formidable
job in  maintaining service if  all  or parts of  the system are old  or if several
independent systems have been joined together  to form a single system.

     Considerations in  the  design of new systems or  in the upgrading of existing
systems include:

     •    Locating  mains  to  provide service  to  all  present  customers  so  that
          extensions can easily be made for future  expansions

     •    Maintaining adequate  pressures in the  system (minimum  20  psi at deliv-
          ery point; normal static pressure of  60 to 75 psi; maximum  100 psi)

     •    Maintaining  adequate   flow in all points  in the system  (minimum pipe
          diameter of six  inches)

     •    Ease  of operation  and maintenance;  minimizing  potential  service and
          traffic disruptions during emergency  repairs and routine maintenance

     •    Following a consistent pattern for locating valves, hydrants, and  other
          connections

     •    Minimizing  the  potential  for  cross  connections  with  sewer  lines,
          drains, and other sources  of  contaminants

     •    Loop  lines  which connect  dead ends  and  provide water  circulation are
          preferred over dead-end lines in  system extremities

     The materials  used for  the distribution  system should be  selected  to suit
the local  conditions and  service applications. Pipelines  may be  ductile   iron,
steel, reinforced concrete, and plastic meeting AWWA standards.  All plastics are
not universally accepted  since  some may  contain leachable  toxic  materials.  A
consideration in  selecting pipe materials  is corrosion control.  Corrosion can be
caused by  reactions  between  the water  and  pipe  material  as well as  by  the soil
and the pipe material.  In  some  cases,  it is most economical  to  line and/or coat
the pipe with a non-toxic,  non-reactive material to prevent corrosion rather than
substitute a different  material.

     Valves are included in pipe systems to isolate sections of the system and to
allow lines  to  be drained  for  repairs. Valves  should  be  located to  provide the
maximum flexibility  in  isolating lines  while  minimizing  the  disruption in  serv-
ice. The   actual location  in the system 'depends on  the  size and  type  of   line.
The following are  general  guidelines for the location  of  valves. Specific system
requirement  may dictate  the exact  location  of some  valves.  (See  TableJ.0-1).
Records of valve locations  should be maintained.

     Fire hydrants should  be  located throughout the system but only on lines cap-
able of delivering  flows of at   least 500 gpm.  To ensure  the  adequacy of hydrant
locations, the ISO guidelines should be consulted.

                                        10-3

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	TABLE  10-1. GUIDELINES  FOR LOCATING DISTRIBUTION SYSTEM VALES	
         Application                                    Location
Transmission Lines                        According to operational requirements

Feeder Mains                              Every 3,000 ft for 16-in. or smaller
                                          lines;  4,000 ft for 20-in. lines

Service Mains                             Adequate to shutdown with  minimum
                                          service interruption

Residential Service                       Every 1,000 ft on 6- and 8-in. lines;
                                          2,000 ft for 10- and 12-in. lines

Creek, Railroad, or                       Each side of crossing
  Highway Crossings

Hydrant Branch                           Control valve on each branch
STORAGE

     Finished  water storage  can  be designed  to  serve several  purposes.  Storage
can be used to meet variations in production and  system  demands,  to provide fire
protection, and to  serve  in  the event  of  a system failure.

     Storage  makes  it possible  to process water at  times  when the  demands are
low, for  later use. This  can reduce the  required capacity  of  both treatment and
transport  facilities. Storage  facilities  can be  located  near  the  high demand
areas  and in  high  places   to  make maximum  use  of  patterns  and  topographical
features  of  the  service  area.  Properly  located storage  facilities  can reduce
operating  costs   by minimizing  pumping  requirements, particularly  during  peak
demand times  for  water.   With  the  development of  energy  shortages,, consideration
has been given to doing as  much water pumping as  possible  during  off-peak demand
periods for electrical power by use of storage.

     Storage  for  fire protection depends  on  certain system  features  such as the
minimum  fire  flow  demands,  the amount  of system  redundancy,  the  standby  power
system, and the emergency operation program.

     There are three basic  types  of  storage  structures -  elevated,  ground  level
at  an  elevation which provides gravity  flow into  the  system, and  ground  level
requiring  repumping.  Finished water storage  should  be covered  to  protect against
contamination. A  certain  amount  of water should be  drawn  from  storage on a  daily
basis to provide  the circulation  and mixing  needed  to minimize tastes and odors.
Large  reservoirs  with  long  holding  times  should  include  provisions  for  water
circulation.

CROSS CONNECTION  CONTROL

     Cross connections  are  any  direct or  indirect  physical connection  with the
potential  for contaminating  a  potable supply with  non-potable water or liquid.
Cross connections cannot  be  allowed even  on a temporary basis.

                                        10-4

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     Cross connections  fall  into  two  general  categories,  pumping hazards and back
syphonage. Backflow hazards from pumping  are caused when  the  contaminating pri-
vate water source is pumped, to  a  higher pressure thari  the  public supply.  To pro-
tect against such hazards,  the  basic cause should be eliminated by providing the
public  supply  to the  service  through  an  air gap system or backflow prevention
device. Another  pumping hazard  is the creation of low  (below 20 psi) pressure on
the suction side of booster  pumps.  This can be avoided  by means of a low pressure
pump cut-off  device installed  in the  suction line. Back syphonage  occurs when
negative pressure develops  in the system due  to dewatering of  a pipeline  or from
excessive demand on the main. It  is often a  problem in tall  buildings with inad-
equate water systems.

     A  comprehensive  cross  connection  control program  is essential  in providing
high quality water  and protecting  public  health.  Several  general factors  should
be considered in minimizing  the dangers presented  by cross connections..

     •    Locate water  lines as far  from sewers  as  possible.  If they must be near
          each other, have  water  lines above  sewers (never in  the same trench to
          eliminate possible  contamination of the water)  and operating at  higher
          pressures.

     •    Prevent negative  pressures  by minimizing  planned shutdowns, maintaining
          adequate  supplies, providing adequate  capacity  in   lines,  and  using
          booster pumps to  serve  high areas in the  system.

     •    Assure an adequate inspection program for potential  cross connections
          on customer premises.

     •    Require adequate  backflow  prevention  devices such  as  air  gap systems,
          double-check  valve assemblies,  reduced-pressure-principle backflow pre-
          venters,  etc. and adequate  maintenance of  such  devices.

     Cross connection  control must be  practiced and the  regulations enforced if
the quality of the  system is to be  maintained and  the  public  health protected.

     Check  with the  State  Health  Officer  to  see  if  there  is  a   State  cross
connection control  program, and what  State requirements are.

REFERENCES

•    "Technical  Guidelines  for  Public  Water  Systems,"  U.S.  EPA,  June 1975, NTIS
     #PB 255 21.7, Chapters  6 and 7.  Chapter  6 discusses  the storage of finished
     water,  including  the  type,  location,  capacity,   and  protection  of  storage
     basins. Chapter 7  summarizes distribution system requirements and standards;
     includes  design  criteria,  materials  and  installation methods,  valve  loca-
     tions,  protection  of  system, etc.;  cross connection prevention and  correc-
     tion discussed.

•    "Water Distribution Training Course," AWWA Manual M8. Covers all aspects of
     distribution systems including  planning, design,  installation, operation and
     maintenance of pumps,  storage,  and pipelies.


                                         10-5

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•    "Guide  for Determination  of  Required  Fire  Flow,"  "Grading  Schedule  for
     Municipal  Fire Protection,"  and  "Commentary  on  the Grading  Schedule  for
     Municipal Fire Protection," Insurance  Services  Office,  160 Water  Street,  New
     York,  N.Y.  10038.  Outlin.es  fire  flow  requirements   and  procedures  for
     evaluating system for insurance  purposes.

•    "Cross Connection Control Manual," U.S.  EPA, 1973.

•    "Cross Connections and Backflow  Prevention," by  Gustave  J.  Angele,  Sr., AWWA
     Manual.
                                        10-6

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PART II -PRODUCTION

                                             PAGES

SECTION 11 - OPERATION AND MAINTENANCE

    Organization and Personnel                       1

    Procedures and Equipment                       2

       O & M Manual                             2
       Routine Operations                          3
       Maintenance                               3
       Tools, Equipment and Supplies                 4

    Records                                      4

    References                                    5
                                                                   15
                                                                   II

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                                    SECTION  11

                            OPERATION AND MAINTENANCE
     A sound  operation  and maintenance program  Is  an Important key  to  running a
successful  water  utility. Regardless  of  how well  a system  is  designed,  a high
quality product cannot  be  delivered  on  a  regular basis  if  the system is  not oper-
ated correctly. Proper  maintenance can  also  extend  the  useful life of a facility.
The topics  discussed in this  section  cover  the basic  areas  to be  considered in
planning or revising an O&M program. Some pertinent questions include:

     1.   How should operations and  maintenance  be  organized? (See page  11-1)

     2.   What should be  included in an O&M (Operations and  Maintenance) manual?
          (See pages 11-2  and 11-3)

     3.   What routine  basic  operations are  involved in water  system operations?
          (See page 11-3)

     4.   What role  does  maintenance play in  reliability of water  service? (See
          pages 11-3 and 11-10

     5.   What tools, equipment,  and supplies  are essential to good O&M programs?
          (See page 11-M

     6.   What records  of  O&M are useful? (See page k-3)

ORGANIZATION AND PERSONNEL

     The organization and  training of  the staff  is  important  to proper operations
and effective maintenance.  Supervisors  should  be qualified for the jobs  they hold
and must be given the authority to carry  out their  responsibilities.  Many states
have  certification  programs  which   serve  as an  effective way  of  evaluating  an
individual's  qualifications.   The  staff  should  be  assigned  to  jobs which suit
their knowledge, skills, and  experience.

     Following  certain  basic management  practices will  minimize  the  organiza-
tional problems encountered in operating  a water utility.

     •    There should  be  a clearly  defined, easy  to follow  operational program.
          Routine jobs  should be scheduled  and  the schedules  followed.  Periodic
          tasks should  be  integrated into the  regular operations program.

     •    All  personnel should have specific job  assignments. Reporting  proce-
          dures should  be such  that duties  and tasks  are self-monitoring. This
          minimizes  the amount of direct  supervision and  transfers more  responsi-
          bility to individual staff members.

     •    For larger facilities,  operations  and  maintenance may be carried out by
          two  separate  groups of  people.  Distinct channels  for  communication
          should be  established  among  all staff groups, but  particularly between
          the operations and  maintenance  staffs.

                                        11-1

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     •    Regular,  informal  facility inspections  and reviews  of  the  organiza-
          tional  structure will  give an indication  of  the effectiveness  of the
          management  program.  The  efficiency  of  plant  operations  demonstrate
          whether  or  not  the personnel are carrying  out  their assigned jobs. The
          attitudes  of  the  staff  members are  the  main  indicator that  they are
          happy with  their  jobs  and  that  the  organization is functioning well.

     More detailed information  on personnel  is given in Section 3.

PROCEDURES AND EQUIPMENT

     The requirements of  an effective O&M program vary with the system size, age,
and  specific  facilities.  As  a  minimum,  most  water utilities  operate  supply,
treatment, and distribution  facilities.  In some systems,  the  treatment  process
will demand  the most  attention.  On the other  hand,  an old distribution system may
need extensive servicing  and  frequent repairs  if it is to remain operational.

     The  basic elements  of a  good  O&M  program are  discussed  in  the  following
paragraphs.

O&M Manual

     Preparing and maintaining  a comprehensive, up-to-date  operation  and mainte-
nance  manual  is  important  for  effective  and  efficient  system performance.  A
minimum manual would  consist of a loose-leaf  binder  including the manufacturers'
O&M  instructions  for each piece  of  equipment.  More comprehensive  information,
again  bound  in a  manner  that lends  itself  to  easy  revision,  is preferable.  It
should  include the  information collected  by  the  consulting  engineer,  material
supplies, and  contractor during  project  construction. The O&M manual  should be
indexed by process,  function, or  facilities,  and  should  be stored in  a conven-
ient,  accessible ' location.  Useful information  contained  in  the O&M manual may
include, but not necessarily  be  limited  to  the following:

     •    Detailed schematic  diagrams of  pipelines, valves, and controls

     •    Precise, detailed instructions on how various  pieces  of  equipment are
          to be operated, maintained,  and repaired

     •    Routine  maintenance schedules  (including grounds maintenance  and 'rou-
          tine "housekeeping")

     •    Lubrication charts  including lists  of  recommended lubricants

     •    Sample recording  and  reporting  forms,  with completed examples

     •    Emergency and safety  procedures,  and related telephone numbers

     •    An index of manufacturers'  literature  and O&M  instructions

     •    Lists of  basic  spare parts  and supplies, and  suggested inventory con-
          trol and restocking procedures
                                        11-2

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     •    References containing  additional  useful information

     In order to be used,  the O&M manual  should be simple and easy to follow. Any
changes in the manual  should be  reviewed  by the plant staff  at  the time they are
made. The O&M manual should be used  in  training programs for staff.

Routine Operations

     A program of  routine operations should be developed for each aspect  of the
water system. It would include:

     •    A  description  of the  task  to be performed; the  individual responsible
          for doing it; and reporting procedures

     •    Supplies and tools needed  for the job

     •    A  list of indicators of malfunctions

     •    Interrelationship with other  system  operations

     •    Emergency operations and safety precautions

     Examples  of  routine  operations may  include,  but   are  not  limited  to the
following:

          Valve  and fire  hydrant testing
          Rotation of  pump use
          Sample collection, analysis,  and  reporting
          Filter backwashing
          Carbon regeneration and lime  recalcination, where applicable
          Emergency generator operation
          Safety inspections

     The  overall performance  of   the  water  system is the best means of assessing
the  adequacy of the  operations  program.  If  the water  produced  meets expected
quality standards  and  can be delivered  in sufficient quantity to satisfy customer
demands at  a reasonable  cost, then  it  is  likely  that  the  operations  program  is
adequate.

Maintenance

     System  maintenance  falls into  two general categories.  Routine or preventa-
tive  maintenance are  those  activities  which   are  done   on  a regular,  scheduled
basis. They  are  done in  accordance  with  a  set  of  standardized  procedures and are
aimed, at  optimizing  performance, minimizing breakdowns,  and  extending the useful
life  of  facilities.  Unscheduled  or  emergency  maintenance is  service required  in
the  event of a  system  failure. Such  activities cannot  be predicted; however,
emergency repairs  can  be  greatly reduced  by an effective routine maintenance pro-
gram.  System failures  may accompany severe weather  or  natural  disasters such  as
heavy rain or snow storms, high  winds,  flooding, etc.
                                        11-3

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     As with  the  operation program, a good maintenance  program must be  developed
and  followed  if it is  to  be effective.  The  basic program will  be different  for
each system and perhaps different  for various  elements within  the same  system.
For  routine maintenance, a  card  system has  been  found  effective  by many  utili-
ties.  In  this system,  each piece of  equipment  has an identification card with  a
list and  description  of the required work,  the  frequency and  time when the work
is  to  be  done,  who is  responsible  for  doing  the  work by  job category,  and  a
recording  form for maintenance  work performed.  The  supplies,  parts,  tools,  and
other  equipment needed to  do the required  maintenance  may also  be listed on  the
card.  Other cities, such  as Denver  and  Philadelphia use  a computer  system  for
maintenance records rather  than a card  system.

     When  performing routine maintenance, the staff should always  be on  the  look-
out  for  warning  signs  of  possible malfunctions.  Any  abnormalities  should  be
reported and  investigated.  Prompt remedial  action could avert an equipment  break-
down,  interruption of  service, or costly  repairs.

     A log of  unscheduled maintenance and  repairs  should  be  kept.  The  report
should include  information  such  as the specific work down,  the materials  or sup-
plies  used, the length of  time  needed to make the  repairs,, the probable cause of
the  failure and,  of  course, the  individuals responsible for  the  work.  The  log
should be  reviewed periodically  to  assess the adequacy of the routine maintenance
program and to identify recurring weaknesses  in  the system.  A leak  or  failure
record of  the  disruption system  should  be kept  showing  the date, location, method
of repair,  and  cause of each leak or failure.

Tools, Equipment, and  Supplies

     All of the tools,  equipment, and supplies  necessary for system operation  and
maintenance should  be  stored in  a  central  location.  The  treatment plant  mainte-
nance  shop  or  garage is  the  obvious storage area.  The specific inventories  should
be selected to meet the  system demands. Commonly used spare parts  usually  will be
listed  in  the manufacturers' O&M literature; there may  also be a list  of  basic
tools  needed  for various types of maintenance and  repairs.

     One  individual on the staff should  be  responsible  for  the  supply and  parts
inventory.  A  standardized  procedure  should be  followed  to  make  sure  orders  are
made to replenish stock well before they  are needed. Care should be taken to  use
older  supplies first,  especially  if they  have limited shelf  life.

     Tools  and equipment,  particularly  if  small,  have  a  tendency  to  be  easily
lost or misplaced.  To  minimize  costly replacement  and to  ensure the availability
of  tools  when  they  are needed,  a  sign-out  system  should  be  instituted.  Tools
should be returned to  storage location  if they  are no longer being used.

RECORDS

     Recordkeeping  is  an essential function  "f  plant operations and maintenance.
See Part I, Records and Reports,  page k-3.
                                       11-1*

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REFERENCES
     "Basic Water Treatment  Operators'  Manual,"  AWWA Manual M18. This  gives  spe-
     cific information  on  unit processes, laboratory  testing,  safety, etc.,  for
     water treatment plants.

     "Water  Utility Management,"  AWWA  Manual  M5,  Chapter  16.  This  discusses
     equipment maintenance - routine maintenance  programs,  spare  parts,  reporting
     forms, etc.

    "Water Distribution Training Course," AWWA  Manual M8,  Chapter 8. This  dis-
     cusses system maintenance and control,  including  inspection,  testing,  equip-
     ment, records, etc.

     "Installation,  Operation, and  Maintenance   of  Fire Hydrants,"  AWWA  Manual
     M17. This short pamphlet  summarizes requirements  of  fire hydrants.

     Manufacturers' O&M Instructions -  These  should  be  kept  for  all  equipment;
     they  include  operating  procedures, maintenance  schedules,  troubleshooting
     guides,  etc.
                                        11-5

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PART II - PRODUCTION
                                                PAGES
SECTION 12 - SURVEILLANCE
    Objectives and Regulations                          1
    Sampling                                        2
    Laboratory Facilities                               3
    Interpretation and Evaluation                        4
    References                                       4
                                                                        N>

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                                    SECTION 12.

                                   SURVEILLANCE
     The only means  of ensuring the quality  of  the delivered water  is  by close,
careful  monitoring  of the  raw  supply,  the  treatment  processes,   the  finished
water, and  the  product delivered  to  the consumer  at  his tap. A  certain minimum
surveillance of  community and  non-community  supplies  is  required by law.   Con-
scientious  attention given to  a  comprehensive monitoring program can yield high
returns  in  customer  satisfaction, system  control and  operations,  and  economic
savings.

     There  are three  basic  considerations  in  a good surveillance program - repre-
sentative sampling,  proper laboratory procedures,  and careful data evaluation.
Some typical questions which  arise concerning surveillance follow:

     1.   Should  a water utility  provide  its own  laboratory  and  technical staff
          or should  it  contract for laboratory services  with  the  State  or a pri-
          vate laboratory?  (See page  12-3)

     2.   What is  one  of  the  most frequent violations  of  the  NIPDWR? (See insuf-
          ficient  number  of samples collected, page 12-3).

     3.   What  is the  required  frequency  of  sampling?  (See  Table  12 -1,  page
          12-2)

OBJECTIVES  AND REGULATIONS

     There  are  two  basic reasons  for monitoring  a water  system.  The  first  is
legal. Minimum  sampling,  testing  and  reporting requirements are  dictated by the
SDWA. The requirements are discussed  in Section  V of  this  report and summarized
in Appendix A which  contains  the newly adopted primary drinking water standards.
These requirements are  designed to guarantee  that  a  safe  product  is delivered to
all water customers;  they are by  no means  adequate to ensure that  the  system is
run efficiently.  As  noted in  Table  12-1,   the  samples  are collected at different
points in the distribution system. They do not  reflect the basic quality of the
raw water  source  or  provide  information regarding individual  process  operation
and control.

     Efficient  plant operation will   undoubtedly  require additional monitoring.
This, of course,  will depend  on many  system-specific  factors  such as the sources
of supply,  the treatment  train, the age of the system,  the  distribution network,
the  proximity  of  sanitary sewers,  etc.  Comprehensive  monitoring  can  be  cost-
effective,  particularly  if treatment  processes are  not  functioning properly, are
being  operated   incorrectly,  or  are  not   needed  due  to seasonal   or  long-term
changes  in  the  raw  water  characteristics. Adequate  testing  can  identify areas
where the system  is  not performing as  designed.
                                        12-1

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      TABLE  12-1.   REQUIRED SURVEILLANCE SAMPLING LOCATIONS AND FREQUENCY
Frequency
Test
Inorganics
Organic s
Turbidity
Sample location
Consumer's faucet*
Consumer ' s faucet
At point (s) where
Community
Once /y ear »
Once/3 years'
Daily
Non-community
State option*
State option
Daily
                      water  enters  the
                      distribution
                      system
Coliform bacteria     Consumer's  faucet       See Appendix A     Once/quarter*
Radiochemicals

  Natural

  Man-made
Consumer's faucet      Once/4 years *       State  option
Consumer's faucet
Once/4 years
                                   *
                                           State  option
* Must be representative  of  conditions  within  the system
§ Surface water systems;  groundwater  only,  once/3 years
t All systems
! Surface water systems;  groundwater  only,  State  option
# Surface water systems serving more  than 100,000 people,  all others,  State
  option

     Although  it  is  not  required by the  SDWA  or  the  NIPDWR, it  is  valuable, for
operational control  of  the water system  to provide additional  surveillance. This
can include weekly  checks of turbidity  at  representative points within  the dis-
tribution system, weekly  total plate  counts  of every  fifth bacteriological sample
taken for coliform analysis, and measurement of  chlorine  residual  each time that
a bacteriological sample  is  taken.

     Surveillance records  provide a very valuable historical record of water sys-
tem operations. Such records are critical for  future  planning purposes as well as
for optimizing current service.

SAMPLING                                                                '

     A sampling program must be planned  for  the individual system.  It  is  not only
important that the samples be representative of the conditions  which exist within
the  system,   but   they   must  also  be  collected   properly  and  within  time
requirements.
                                       12-2

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     The first step  in  developing a sampling program  is  to  determine the minimum
reporting  requirements  of  the SDWA and  the necessary source  and  process control
monitoring.  This  should be compared  with any  existing  monitoring  and  the defi-
ciencies corrected.  A  regular  schedule should  be  followed to  ensure efficiency
and  consistency.  Certain  inaccuracies  in  monitoring may  occur  and, therefore,
proper collection techniques  and  preservation methods should be followed to mini-
mize these effects.  One aid  in  this  regard  is  to  collect  more than the minimum
number of  samples required  so that  one bad sample has less  effect on the overall
result.

     Procedures for  sampling  are  discussed in the references  cited  at the end of
this  section.  If there  are  any  questions  regarding   sampling  procedures  not
addressed  in these  references,  the  state  laboratory personnel  should  be  con-
sulted. The  failure  to  collect the minimum  number  of samples required  is  one of
the most frequent reasons for failure  to meet drinking water regulations.

LABORATORY FACILITIES

     As with  sampling,  laboratory needs are  also system-specific. With two minor
exceptions,  the  required  tests  and  reports  must  be  completed  by  a  certified
laboratory. The decision to maintain  a laboratory or  go  to  an outside laboratory
depends on numerous  factors  such as,  existing  staff  skills  and  facilities,  the
extent of  monitoring for source  and  process  control,  and overall  economics.  In
some cases,  a small plant  with  a complex  treatment  system may maintain  its  own
laboratory with  the chief  operator being  a certified laboratory technician.  In
other  cases,  a  larger  system with a simple  treatment scheme  will opt to perform
its own plant control tests and have  the required  tests  performed by  a private or
governmental  laboratory.

     Another  factor  which  influences  the best  location for  laboratory testing is
the kind and number of tests needed  for control of  plant  operations.  Often,  if
this laboratory  need is met,  facilities will be available  to  do the additional
sampling and  testing needed for record purposes.

     The information in Table  12 -2  may  be helpful  for estimating  the  minimal
laboratory requirements for various size water  treatment plants.  Necessary labo-
ratory apparatus  depends on the tests to be  performed. Standard Methods includes
a detailed list of the  equipment  required to run each analysis  it describes (See
reference  at  the end of this  Section).                                            •'

     At  least one  member   of the  staff of  each  surface  water  treatment  plant
should be  trained for  turbidity  even  if a  utility does  not  maintain a complete
laboratory. Under the SDWA, turbidity  testing is required daily for surface water
supplies.  This  test  need not  be  done  by a certified laboratory  technician,  but
the individual must  be  approved by the state. Turbidity  testing follows a simple
procedure  and requires  a minimum  of equipment.
                                       12-3

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TABLE 12 -2.
Plant capacity,
mgd
1 or less
1 to 5
5 to 10
10 to 25
25 or more
RECOMMENDED MINIMUM WATER
Laboratory floor
space, sq ft
180
.300
600
800
1,200
PLANT LABORATORY
Work bench
area, sq ft
12
18
24
30
36
REQUIREMENTS
Cabinet
volume, cu ft
200
300
500
650
800
     Under certain  circumstances,  with state approval, chlorine  residual  testing
may be substituted  for  a  portion of the bacteriological monitoring.  As  with tur-
bidity testing,  this does  not  require a  certified laboratory  technician.  Using
this  monitoring  alternative  may  represent  a  significant  economic  savings  and
should be investigated, particularly by the  smaller utilities.

INTERPRETATION AND  EVALUATION

     The analysis  of test  results  is  important  to system operation and  product
quality.  Interpretation and reporting of required surveillance  is  straightfor-
ward and clearly outlined in the SDWA  (see Section  5).  Operational monitoring may
be more complex. Certain  operational  changes are easily made;  (many  may be auto-
matically controlled);  however, some  depend on  accurate  testing  procedures  and
quick detection and  thorough analysis  of  abnormal conditions.

     A comprehensive surveillance  program is  important to efficient system man-
agement.  The  aim of a water utility should  be  to provide the  best quality water
for the  least overall  cost. Sampling  and testing  often  represents  only  a small
portion of the total operations cost,  yet the  resulting  information  assures safe
water.

REFERENCES

•    "The  Safe Drinking  Water  Act;   Self Study Handbook;  Community Water  Sys-
     tems," AWWA,  1978. Outlines  and  explains  the  surveillance  program required
     for compliance with the  SDWA and  Interim  Primary  Drinking  Water Require-
     ments; includes  basic  testing procedures  and reporting  procedures.

•    "Methods  for  Chemical  Analysis  of  Water  and  Wastes,"  U.S.  EPA,  Technology
     Transfer, 1974.  Outlines  procedures for  monitoring  water  quality; includes
     laboratory requirements and sampling programs.

•    Standards Methods  for  the  Examination of  Water and Wastewater, 14th Edition,
     1976.    Gives   detailed   information   on   laboratory  testing   procedures,
     equipment, reagents, safety,  etc.

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"Technical Guidelines  for  Public  Water Systems," U.S. EPA, June,  1975,  NTIS
#PB 255 217, Chapter IX. Gives surveillance  standards  for  source,  treatment,
and supply  of  water,  sampling  and analysis  requirements, reporting  proce-
dures, interpretation of results,  process control, etc.
                                  12-5

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                                      PART III

                                      FINANCE
     The cost of providing  potable  water Is one of  the  most Important aspects  of
water  utility management.  Without  adequate  financing, water  systems cannot  pro-
vide the service the  public  expects.  Sufficient funds must be provided for  needed
new construction  projects  as well  as for  operation and  maintenance of  existing
facilities. In addition, financial  reserves  must be established to meet emergency
O&M needs and to offset depreciation  of  the  water  system.

     Water system  costs are  regionally and  site specific, and are unique  for  each
utility. Long term capital  expenditures and annual  O&M  costs must be balanced  by
revenues. Estimates of cash  flow requirements  should be made every five years  and
updated semi-annually.

     This  section  of the Decision Maker's  Guide  summarizes  cost considerations
and Information  for all  major water  system expenditures.  Capital  costs  are  pre-
sented to show  the magnitude of investments required  to build various facilities
needed for water production  and  delivery.

     Also  discussed  are various means  for financing  projects  and  O&M  by  user
charges. References are  cited at  the end of  each section  to  provide additional
information on budgeting and  financial assessments.
                                      III-l

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                              PART III
                             FINANCE
|      U COSTS
      CAPITAL EXPENDITURES - P. 1
ANNUAL COSTS - P.  8
  RECOMMENDED
REFERENCES - P, .16
      14.  INCOME
    L
     REVENUE REQUIREMENTS - P, 1
SOURCES OF
REVENUE - P. 2

RECOMMENDED
^REFERENCES - R. 5
|1S.    FINANCING CAPITAL COSTS   |
      BONDS-P.  2     GRANTS & LOANS - P.  2
           REVENUE RESERVES - P.  4
STOCK SALES - P. 4

BANK LOANS -P. 4

RECOMMENDED REFERENCES - R. 4 1
                               III-2

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                                                                         s
                                                                         3
                                                                         s »_*
                                                                           CO
PART III-FINANCE

                                                   PAGES

SECTION 13-COSTS

    Capital Expenditures                                 1

        Supply                                         2
        Water Treatment                                4
        Waste Handling and Disposal                     5
        Distribution and Storage                         6
        Metering                                       7
        Fire Protection                                  8
        Administrative and O&M Facilities                 8

    Annual Costs                                       8

        Water Treatment                               10
        Waste Handling and Disposal                    10
        Supply, Distribution, Storage,
            and Metering                              10
        Monitoring and Surveillance                     15

    References

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                                  SECTION 13

                                      COSTS


     1.    What are the major items of capital expenditure  for  water  systems? (See
          page 13-1)

     2.    What variables affect water system costs?  (See page  13-2)

     3.    What variables affect water use? (See pages 13-2 and 13-5)

     4.    What factors affect the design of water  supply works, treatment plants.
          pumps, distribution mains, and storage structures? (See  page  13-2)

     5.    What  are  some  typical  capital  costs  for  water   systems  of  various
          capacities? (See Table   13-1)

     6.    What options are there regarding source  of water  supply? (See page 13.2
          and 13-10

     7.    What  factors  affprt  the  type  and extent  of  water  treatment  required?
          (See page IS-1!)

     8.    What water treatment processes are in  common  usage?  (See pages 13-1*  and 13-5)

     9.    What  can be  done  with wastes  produced during water purification? (See
          page  13-5)

    10.    What  factors  affect  distribution,  storage,  and  pumping  costs?  (See
          page  13-6)

    11.    What  are  the  major  items  of  annual  cost   in   the   operation  and
          maintenance (O&M) of water systems? (See page 13.11)

    12.    Roughly, what are typical O&M costs?  (See  pages  13-H thru 13-5)

    13.    What are approximate  costs  for monitoring and surveillance?  (See pages
          13-15}

CAPITAL EXPENDITURES

     The major areas of capital Investment In a  water supply  system are:

          Supply or source development and transmission
          Water treatment and wastes disposal
          Distribution
          Storage
          Metering
          Fire protection
          Administrative and Operation and Maintenance  (O&M)  facilities


                                       13-1

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     The  actual  capital investment needed  for  any community  is  specific for the
water  system  in  question. Some  of  the primary variables  which influence capital
costs  are:  system size and geographic locations,  type  of service whether domes-
tic,  commercial,  or industrial,  characteristics  of  the  system design,  labor
costs,  availability of materials, and climatic and seasonal  factors.  Investment
costs  are quite  variable  among water  systems;  nevertheless, a general feeling for
the  relative  contribution  from major  system  components  can  be   obtained  from a
summary of  typical capital cost estimates. Such  information is helpful for water
supply management.  Accordingly, this sub-section  presents  rough  estimates  of
costs  for major  system  components of  a water  utility.

     All  costs are related to  design   capacity of the system rather  than to popu-
lation served because  per capita water use varies widely between humid areas with
high annual rainfall and  arid areas,  and  with industrial  water  requirements of
different  communities.  The basis  for  capital  cost  estimates  are  included  in
Appendix D.

     A summary  of approximate  capital costs  for major  components  of a  water
supply system is  contained in  Table  13-1.   Costs  vary  widely  and  are  system
specific. A description of each follows.  All  costs ued in this report are derived
from an EPA Interim Report titled,  "Estimating  Costs  As  A  Function  of  Size &
Treatment Efficiency",  as  referenced  at the end of this  Section.

Supply

     Conventional  water  supplies  are normally   obtained  from  wells,  springs,
impounding  reservoirs,  natural  lakes,  rivers,  and  streams, or a combination of
these  sources. The construction costs for  developing each of these sources varies
onsiderably. Water may  also  be purchased wholesale from  another water purveyor.

     Many cities in the  United States,  especially small  cities, are  served by
groundwater (wells),  and there  are  a  large number  of systems utilizing surface
water  supplies.  Groundwater supplies may require  less  extensive  treatment  than
surface waters.

     •   Wells  -  The  construction  cost of well  water supplies varies  with local
          conditions,  such  as  depth, capacity,  drilling  conditions,  distance
          between  wells,   and  other  characteristics;  the  single  most  important
          factor affecting the cost  is the capacity of  the  system.  The number of
          wells  needed  is  another   factor.  The average  cost   of  construction
          Includes the wells,  well  houses,  power supply,  pumping,  electrical
          equipment  and controls, and collecting  lines.  For costs presented here,
          the  pumps are  assumed to   be capable of lifting  water  to the surface
          with excess  pressure  of  approximately  100  feet.  Roughly, the capital
          expenditure for  developing  a well supply ranges from $0.10 to $0.80 per
          gpd (gallon per  day) design capacity.

     •    Stream or  lake  intake -  A  water  supply developed from  a natural  lake,
          river  or stream must  be adequate to supply the  maximum daily demand.
          The  estimated  construction  cost which follows  includes  the  intake
          structure  piping,  pumping to supply  design capacity with 100  feet rated


                                        13-2

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          TABLE 13-JU  SUMMARY OF ROUGH CAPITAL COSTS FOR  VARIOUS  SIZE
                        WATER SYSTEMS*  (In Thousands of Dollars)
System size
Capacity, mgd (million
gallons per day)
0.1
1
!0
100
(Costs in thousands of dollars)
Supply
Wells
Stream or Lake Intake
Reservoirs
Treatment
Chlorination
Filtration/Chlorination
Sed. /Filt. /Chlorination

Wastes Disposal
Centrifuge/Haul
Thicken/Vacuum Filter/Haul
Drying Beds/Haul
Liquid Hauling
Transmission
Distribution

$ 80 $
160
— —

6
88

134

-§
' -
28
69
Varies


140
180
2,000

6
652

845

297
291
71
142
widely


$1,010 $10
950 7
2,800 16

37
2,170 9

3,100 17

414 1
502 1
481
647
with location


,100
,890
,000

180
,690

,400

,360
,710
-
—


  Pumping
  Mains

Storage

Admin., Lab. & Maintenance
Facilities
150       270       1,030
 Varies widely with location
 40
90
           40
440
           150
6,390


3,540


  500
*The text includes a description of equipment and assumptions  for  each
 alternative. See reference at end of this section for  source  of estimates.

§Dashes denote conditions outside typical range of application.
                                       13-3

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          discharge  pressure,  power supply, controls and  other  appurtenances. It
          ranges $0.80  to  $1.60  per gpd  design capacity.

     •    Impounding  reservoirs  -  Damming of  an intermittent  or  continuously
          flowing  stream or river  is a  common method of  storing  water  for use
          during seasonal  low  flow periods. The storage capacity must be adequate
          to  meet   average requirements  thorughout  the  year with  some  safety
          factor.  The  construction  cost  of   an  impounding  reservoir  will  be
          affected  by local conditions,  most   importantly,  capacity,  topography,
          geology,  stream  flow characteristics, construction materials available,
          etc.  The  total cost of  construction includes construction  of  the dam,
          spillway,  intake  tower  and  piping,  cleaning  and  grubbing,  fences,
          roads, and other necessary  appurtenances.  This  cost varies  from $0.16
          to $2.00  per  gpd  (gallon  per day).design capacity.

     •    Water Purchase -  In  some situations  it  may be advantageous  to purchase
          water from  another system on a wholesale basis.

Water Treatment

     The need  for  water treatment  facilities  depends  on  the  quality of  the raw
water.  In  general,   surface waters cannot  be  used for  a  potable  supply  without
treatment. As  a minimum,  treatment of surface  water  would consist  of  turbidity
removal and disinfection.  In  other situations,  the water  may  require  more exten-
sive  treatment  for  removal of hardness,  tastes,  odors,  color,  and  organic and
inorganic contaminants.

     Generally, groundwater sources are  more constant  in quality and require less
treatment than  surface water  supplies.  In many situations, groundwater  may only
require  simple  disinfection  to  render  it  potable.  However,  it  may  contain
undesirable  levels  of  substances  such  as flouride,  nitrates,   organic  contami-
nants,  total dissolved  solids  (TDS),  iron, manganese,  hydrogen  sulfide,  and car-
bon   dioxide.   When  any  of  these  contaminants  are   present  in   sufficient
concentrations, treatment must be  provided for their  removal.

     There are  many other combinations  and alternative processes  which  can also
be used to treat a  water  supply.  Cost curves  for  30 unit  processes applicable to
contaminant removal  are  contained  in an  interim report  prepared  for EPA, entitled
"Estimating  Costs   for Water  Treatment  as  a  Function   of  Size  and  Treatment
Efficiency", August,  1978,  EPA-600/2-78-182.  (The  final report contains costs for
99 unit processes).  This reference  is useful  for  comparing costs  of  alternative
processes and  process trains   in  preliminary  planning.  It is  available  from the
EPA, MERL, Cincinnati,  Ohio 45268.

Basic Treatment Alternatives—
     Examples  of  basic  treatment  systems  which are commonly used in  municipal
water practice industry include:

     •    Chlorination  - Simple  disinfection by chlorination  is  considered to be
          a minimal  treatment  system for both  ground and  surface water supplies.
          Chlorine  may  be  applied  to  water in  one of  these forms: as  elemental
          chlorine  (chlorine gas),  as  hypochlorite salts,  or as  chlorine dioxide.

                                       13-U

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          Gaseous  chlorine was  employed for  this analysis  and  installed  costs
          ranged from $0.002  to  $0.06 per  gpd  (gallon per day) of capacity.

     •    Filtration/Chlorination - Direct  filtration (with chemical filter aids)
          followed  by  chlorination may  be an  acceptable  treatment  scheme  for
          water  supplies with low  turbidity  and low suspended  solids  concentra-
          tions.  For 0.1 mgd,  the cost given below is  for a  complete  pressure
          filter  plant, including  filter  vessels, mixed media,  piping,  valves,
          controls,  electrical  system,  backwash  system,   surface  wash  system,
          chemical  feed systems  (alum,  polymer,  and chlorine),  raw water  pumps
          (no  intake  structure),   one-hour  detention  pre-filter contact  basin,
          backwash/clearwell  storage basin, building,  and other  ancillary  items
          required  for a complete  and operable  installation.  For plants with a
          capacity  of  1 mgd or greater,  the costs for conventional gravity filter
          facilities  are used.  These include  chemical  feed  systems  (for  alum,
          polymer,  and chlorine),  rapid mix,  flocculation gravity  filter struc-
          ture,  filter  media,  hydraulic  surface wash  system,   backwash  pumping
          facilities,  wash water  surge  basins,  in-plant pumping, and clearwell
          storage.  Costs range from $0.10  to  $0.88 per  gpd of  capacity.

     •    Sedimentation/Filtration/Chlorination - In estimating  costs  for plants
          under 1 mgd,  the cost  of  a package  plant is assumed,  and for  flows of 1
          mgd  and  greater,  conventional  unit process  costs are used.  Package
          treatment  plants include  coagulation,  flocculation,  sedimentation, fil-
          tration,  and  chlorination all  within  factory  preassembled  units  for
          field  assembled  modules.  Conventional  treatment  includes  the  same
          process but  in custom-designed units.  The  capital investment  for this
          type of treatment ranges  for $0.17  to $1.34 per gpd  of capacity.

Waste Handling and  Disposal

     There are several methods  of  waste handling and disposal which can  be used
by a water  utility. No  specific  method is most  economical  for  all  wastes  since
the properties and  quantity of waste solids are a function  of the  quality of the
water and of the chemicals added  in water  treatment.  Very often, the selection of
an economical  waste disposal method  will  depend  on  the solids  concentration of
the waste material.  Although  there  are  other waste disposal alternatives,  simpli-
fied cost estimates  are  presented  for  the  following practices:

          Centrifugation and  sludge hauling
          Gravity thickening, vacuum filtration,  and  sludge hauling
          Sand drying  beds and sludge  hauling
          Liquid sludge  hauling
          Discharge  to  sanitary  sewers

Dewatering and Sludge  Hauling—
     Mechanical dewatering by vacuum filtration  or centrifugation is  one  possible
method of handling water treatment  wastes.  For most  small communities,  high costs
for equipment, operation and  maintenance,  and disposal  of  dewatered  waste solids
makes this alternative  economically impractical.  Total  investment costs may range
from $10,000 to $300,000 per mgd  of plant  capacity.
                                      13-5

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     Sand  drying  beds  and  lagoons are  more  common  methods  of  treating water
treatment  plant  wastes, particularly  in  small communities.  In  areas where ample
land is  available at a  relatively low cost  (which  is often the  case  near small
treatment  plants)  natural  drying can be very economical. Typical investment costs
will range from $50,000 to  $300,000 per mgd  of  plant capacity. Also,  O&M costs
for drying beds  and  lagoons  are  much less than for mechanical dewatering.

     A haul distance of  20 miles one-way has  been assumed  for  all cases and land
costs are not included.

Liquid Sludge Hauling—
     In  some  cases,  it  may be more  economical to haul  treatment  wastes directly
to a landfill or  to  a  land  appplication site as a liquid rather  than following
dewatering. The  summary in Table   13.-1  includes the capital  cost in facilities
for hauling liquid sludge  20 miles one way.

Discharge  to Sanitary Sewer—
     A popular  method for disposal  of water  treatment  plant wastes is  the dis-
charge to  a  sewage treatment facility via  sanitary sewers.  Although this method
of disposal.is  particularly  inexpensive, it  may  not always  be  feasible.  In some
cases,  the wastewater treatment facilities  may not  be able  to  effectively treat
water treatment  plant wastes due to the increase  in  solids and volume contributed
by the  water utility.  In this  situation,   the  solids must  be processed  at  the
water treatment  plant and disposed elsewhere.  Capital  costs  are not  shown  for
this alternative, although  they  are  low.   See  reference  at  the  end of  this
section.

Hazardous Materials—
     Water treatment plant wastes  containing arsenic, fluoride,  or  radiological
wastes are  considered hazardous materials  and require special  consideration  for
disposal. The Resources  Conservation and  Recovery Act  (RCRA)  regulates the dispo-
sal of these hazardous materials.

Distribution and Storage

Pumping  Stations—
     If  the source of supply is  not at an elevation adequate for  gravity flow to
the point  of  use,  it is necessary  to  provide pumping. Pumping  facilities  may be
located  at the well;  at  an intake  or pumping station in  a lake, river, or stream;
or along a pipeline  between  the  source and  the point of  use.

     Pumping station cost  estimates  which follow  are for facilities located along
a pipeline where heads of  100 to 240 feet may be  required. Total  pumping station
costs are dependent  upon pump  capacities, energy  losses,  number of stations,  and
the estimated cost of each station.

     Many factors  are considered in preparing detailed cost estimates for pumping
stations,  including  capacity, pumping head,  source  of power, necessary reliabil-
ity,  type of service, degree of  instrumentation and  control,  aesthetic considera-
tions,  noise levels  and  others.  Such factors  are  reflected to  varying  degrees in
the average costs  which range  from $0.06  to $1.50 per  gpd  (gallon per  day)  of
plant capacity.  The   estimated  costs  shown  are for a complete pumping station,

                                        13-6

-------
including the  structure,  pumping  equipment,  piping,  electrical equipment and con-
trols,  surge protection  facilities, and  all other  appurtenance for  a complete
installation.  The costs  presented  are applicable for  pumping  stations  built as
separate structures, with heating and  electrical systems and piping separate from
other area facilities.

Distribution Mains—
     There are numerous pipe  sizes,  materials and methods of operation which must
be  evaluated before pipelines  can   be  designed. These  factors along  with local
conditions such  as  excavation conditions  and depth  of  cover  influence transmis-
sion  line  costs.  The costs  in  Table  13  .-1  include   pipe  in  place,  fittings,
valves, special  structures, controls,  and  a nominal allowance  for  stream, rail-
road, and highway crossings.  These  costs typically range  from $0.01 to $1.00 per
gpd plant capacity.

Treated Water Storage—
    . Treated  water  storage  facilities should  have  the  capacity to  provide for
meeting the  varying rate  of water demand during  the  day,  fire reserve, and emer-
gency reserve. Storage requirements  for the cost analysis  below are based on 125
percent of the design capacity of  the treatment plant  and would furnish  a six-
hour emergency supply of  water at a  maximum day design  rate. This capacity of 125
percent of  design capacity  is  a minimum,  and where higher factors  apply,  they
will mean higher costs.

     Treated  water  storage often is provided in  concrete tanks or  above ground
steel tanks.   In some cases the  storage is built  integrally with the plant struc-
tures and in others it is  built as an  adjacent but separate structure. Costs will
vary for different  capacities, materials  of construction, and  different  storage
configurations.   Storage  costs may  range  from  $0.06 to  $0.40 per  gallon plant
capacity.
  «
Metering

     A  part  of the water utility's capital  investment may  be the  purchase and
installation of water meters  at customer  service connections.  Metering serves two
distinct purposes.  It  may  reduce water demands  by  as   much  as 25  to  30  percent
by  creating  an awareness  on  the  part  of  the users  of the relationship  between
consumption  and  cost.  It  is  also necessary for  any  pricing system  other  than a
flat rate.

     The potential cost savings realized  by reduced  consumption should be consid-
ered and compared to the  cost of  installing and maintaining water meters at serv-
ice  connections.  Many  communities   install  meters  for all  dwelling  units.  The
average cost  to  install  a meter i and box as  part of  a new  system is  estimated at
about $94  per residential  service.  The cost  to install  a meter on  an existing
service may  be as high as  $650. The  cost  to read the meter  and  prepare a bill on
a bi-monthly schedule and  maintain it  in good repair is  estimated  to be $3.50 to
$4.00 per residential meter per year.
                                        13-7

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Fire Protection

     Depending on  the population served,  design of the water  system,  and method
used  to supply  required  fire  flows,  a  large  capital investment  by  the water
utility may  be  necessary.  This investment  requires  equitable  service charges for
public  and private fire protection  systems since there are measurable  costs and
expenses associated with providing  both classes of service. Although there are no
strict  rules  for  allocating  these  costs,   there   are   two  general  methods
available:

     •    Capacity-Ratio Method -  This method  assumes  that fire  protection and
          general  consumption  are  of  equal importance  and value.  The  cost  of
          items  of a joint-use nature  are  shared  equally  between the  two func-
          tions  based on  the relationship  between  the  capacity required for pub-
          lic fire protection and the capacity  required for general consumption.

     •    Fire  Protection  As An  Incremental  Cost Method  - This  method assumes
          that  general consumption  is  the  primary  function of  the  water supply
          system.  Here, basic  costs  are   first charged to general  consumption
          functions and the  incremental costs  associated with  also providing fire
          protection  are then determined.

     Public  charges  for fire protection should be based on the  incremental cost
of  providing that  portion of the water system  that  contributes  to  fire protec-
tion, above  and  beyond  water distribution  requirements. The same methods outlined
for  basic  supply  costs  should be  used to  determine   these costs.  They  are not
included in  the  summary table,  Table   13-2, which follows.

Administrative and O&M  Facilities

     Administration buildings,  garage, and  shop buildings  are often  included  in,
water  treatment  plant  cpnstruction  projects  for small  cities.   These  buildings
are  intended to house  personnel;   laboratories;  store records,  materials  and
tools; and enclose maintenance  areas.  If  the  department or district  offices are
also incorporated  at the  plant,  additional space is  required.  For  planning  of
costs associated with these  buildings,  it  is best to determine  the space require-
ments and  use  typical unit  building costs  (per  square foot).  Current  costs for
laboratories range from $30 to $71  per square  foot with a median value  of $51.
Office  buildings range from $28  to  $47 per square foot with  a  median  value  of
$37. A typical administration  building, being a  composite  of  these will probably
range from $40 to  $45.

ANNUAL COSTS

     The annual  costs of a  utility  include debt  service  for   repayment  of major
capital financing, as well as O&M costs. Typical annual costs  for water utilities
are summarized in  Tables   13 -2 to   13 -6.  Estimates are shown relative to plant
design  capacity  and  are outlined for the  various  major  components of  a typical
water supply system.  Debt  service  and O&M costs are  presented  on a unit  basis
(t/1000 gallons)  to  illustrate economies  of scale. Debt  service is  computed  as
respective capital expenditures ammortized for 20 years at 7 percent  interest.
                                       13-8

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   TABLE   13-2**.  SUMMARY OF APPROXIMATE  TOTAL  ANNUAL COSTS* (IN CENTS PER
                    THOUSAND GALLONS) FOR POTABLE WATER TREATMENT
Plant capacity, mgd
(million gallons per day)
 0.1
   1
 10
100
(Cents per thousand gallons)
Chlorination
Debt Service
O&M
Total
Filtration/Chlorination
Debt Service
O&M
1.5*.
5.7
7.2
23
24
0.2*
0.7
0.9
17
14
0.1*
0.5
0.6
5.6
3.5
0.05*
0.32
0.37
2.5
2.5
Total

Sedimentation/Filtration/
Chlorination

Debt Service
O&M

Total

Admin., Lab. & Maintenance
Facilities

Debt Service
O&M

Total
47
31
35
62

97
22
36
           0.9
           5.3

           6.2
 9.1
 8.0
 6.0

14.0
              0.3
              1.3

              1.6
5.0
4.5
4.9

9.4
              0.1
              0.4

              0.5
* Including debt service for capital expenditures  as well  as  O&M.
§ Dashes denote out of typical range of application.
**Derlved from information in first reference at end of  this  section.
For private  utilities  this is  roughly equivalent to  depreciation and  return  on
investment.  The  basis  for  computing  O&M costs  is  contained  in  Appendix E.  O&M
costs are  itemized relative to labor,  maintenance  and materials,  chemicals,  and
energy as a percentage of  the total O&M expense.
                                       13-9

-------
     As  with  previous  cost  estimates,  this  information is  presented  only  to
illustrate  the relative  magnitude of various  cost for major  system components;
actual costs  are  different  for  each utility as influenced by local conditions.

Water Treatment

     The annual  costs for water treatment  and  on-site  facilities, such as admin-
istrative,  laboratories,  and  maintenance  buildings,   are   summarized  in  Table
13-2.  The  cost  of data service  and O&M are about the same order of magnitude,
and  economies of  scale are apparent in  both.  Typically,  small communities employ
groundwater  sources of relatively high  quality where  simple chlorination is all
the  treatment necessary  to meet  National Interim  Primary Drinking Water Regula-
tions (NIPDWR). For this  case,  treatment costs are on  the order  of 1 to 7 
-------
  TABLE   13-3.  O&M COSTS FOR INDIVIDUAL POTABLE WATER TREATMENT  PROCESSES
                 AS A PERCENT OF TOTAL O&M EXPENSES
Plant capacity, mgd

Chlorination
Labor
Maint. & Materials"*"
Chemicals
Energy
Filtration/Chlorination
Labor
Maint. & Materials*
Chemicals
Energy
Sedimentation/Filtration/
Chlorination
Labor
Maint. & Materials"*"
Chemicals
Energy
Admin., Lab.& Maintenance
Facilities
Labor
Maint. & Materials"*"
Energy
0.1


88%
2
4
6

58
4
4
34


83
3
6
8


-§
-

1
(Percent of

63%
1
, 31
4

77
5
7
11


58
9
26
7


80
11
9
10
total O&M

31%
11
53
5

39
9
28
24


24
6
62
8


79
9
12
100
expenses)

14%
4
78
4

17
6
41
36


13
4
76
8


76
10
14
-Maintenance and materials cost
§Dashes denote out of typical range of application
                                       13-H

-------
       TABLE  13-4. SUMMARY OF TOTAL ANNUAL  COSTS  FOR WATER  TREATMENT  PLANT
                    WASTES DISPOSAL*
Plant capacity, mgd

Centrifuge/Haul
Debt Service
O&M
Total
Thicken/Vac. Filter/Haul
Debt Service
O&M
Total
Drying Beds/Haul
Debt Service
O&M
Total
Liquid Sludge Hauling
Debt Service
O&M
0.1 1
(Cents per

-§ 7.7*
15.7
23.4

7.5
6.0
13.5

7.4 1.8
15.3 2.9
22.7 4.7

17.8 3.7
7.7 9.1
10
thousands gallons)

1.1*
2.1
3.2

1.3
1.9
3.2

1 1-2
1.4
2.6

1.7
9.1
100


0.4*
1.0
1.4

0.4
0.9
1.4

-
-

-
Total

Discharge to Sanitary Sewer

User Charge"*"
25.5
 0.3
12.8
 0.3
10.8
 0.3
0.3
*Annual costs in cents per 1000 gallons.  Cost of land is not  included.  Includes
 amortization of capital costs and O&M.
+User charges based upon a charge of $100 per million gallons  of waste.
§Dashes denote out of typical range of application.
                                       13-12

-------
        TABLE   13-5.  O&M COSTS FOR WATER TREATMENT PLANT WASTE  DISPOSAL
                       AS A PERCENT OF TOTAL O&M COSTS
Plant capacity, mgd

Centrifuge/Haul
Labor
Maint. & Materials4"
Energy
Thicken/Vac. Filter/Haul
Labor
Maint. & Materials"*"
Energy
Drying Beds /Haul
Labor
Maint. & Materials4"
Energy
Liquid Sludge Hauling
Labor
Maint. & Materials4"
Energy
0.


-§
-
-


14
-

85
14
1

54
33
13
1 •' 1
(Percent of total

88%
5
8

45
11
32

86
11
negligible

56
32
13
10
O&M expenses)

86%
5
9

46
9
22

85
9
7

56
32
13
100


76%
7
17

42
-
29


-
—

_
-

•Maintenance and materials cost
§Dashes denote out of typical range of application
                                        13-13

-------
        TABLE   13-6.
SUMMARY OF ANNUAL COSTS FOR SUPPLY, DISTRIBUTION,
AND STORAGE
Capacity, mgd

Supply
Wells
Debt Service
O&M
Total
Stream or Lake Intake
Debt Service
O&M
Total
Reservoirs
Debt Service
Distribution
Pumping
Debt Service
O&M
Total

Transmission Line
Debt Service
O&M
Total
Storage
Debt Service
O&M
Total
0.1
. i


21*
26
47

42
20
62

206


20
20
40


26
0.4
26.4

10
0.4
10.4
1
(Cents per


3.6*
6.6
10.2

4.7
6.4
11.1

52


3.8
6.5
10.3


4.2
0.1
4.3

2.3
0.1
2.4
10
thousand gallons)


2.6*
5.1
7.7

2.5
3.8
6.3

7.3


1.9
3.9
5.8
X

1.0
neg;
1.0

1.1
neg.
1.1
100



2.6*
5.1
7.7

2.1
3.7
5.8

4.2


0.2
3.8
4.0


0.3
neg.
0.3

0.9
neg.
0.9
neg. = negligible cost
                                      13-lU

-------
more than 5,000 persons  generally  use surface waters or a combination  of  surface
and  groundwaters.  Annual  costs  for  source  development may  range from  2 to  50
4/1000 gallons.  Similarly, distribution  costs  are generally  in the same range.
Pumping cost  (when applicable) may  be  a major  component  in distribution costs.
Pumping costs  consist  primarily of electrical energy  costs  which are  a  signifi-
cant variable for different communities.

Monitoring and Surveillance

     In implementing  the NIPDWR,  all communities  will have to  bear  the  cost  of
monitoring  their  drinking water.  The total  cost  per   capita  to perform  routine
monitoring is Illustrated  in Table 13-7.  Actual  monitoring costs will depend on
the  cost per  analysis  and on the  institutional  arrangements  made by each system
for  laboratory  services.  Some water  utilities perform their own analyses,  while
others depend on  state  health  agencies or  private  commercial  laboratories.  The
monitoring  costs  shown   in  Table  13. -  7   are   based on  the  following  cost
estimates:
                Analysis
                Coliform
                Complete Inorganic
                Complete Organic
                      Cost Range ($) Per Analysis
                                5-10
                               70 - 170
                              150 - 260
     TABLE 13-.7,
ESTIMATED MINIMUM ANNUAL MONITORING COSTS PER  PERSON  SERVED
VERSUS POPULATION SERVED AND TYPE OF COMMUNITY WATER  SYSTEM
 System size,
                           Unit cost, $/person/year
population served








1
10



1,
2,
5,
10,
100,
,000,
,000,
25
100
500
000
500
000
000
000
000
000
Surface supply
7.
1.
0.
0.
0.
0.
0.
0.


20
80
35
20
15
10
10
05
*
*
- 15
- 3.
- 0.
- 0.
- 0.
.05
75
75
40
30
- 0.25
- 0.
- 0.
- 0.
- *
20
15
05

Groundwater
3
0
0
0
0
0
0
0


.35
.85
.15
.10
.05
.05
.05
.05
*
*
- 7.
- 1.
- 0.
- 0.
- 0.
- 0.
- 0.
- 0.
- 0.
- *
05
75
35
20
15
15
15
15
05

*Less than $0.05
                                       13-15

-------
     The lower values are  based on costs Incurred in EPA laboratories,  while the
higher costs  are  based on  commercial laboratory estimates.  It should  be  recog-
nized that these costs are  only for  routine monitoring,  and  that  additional costs
will be incurred for non-compliance  monitoring  (monitoring required when a system
exceeds a MCL) and for monitoring  to control  system  operations.

REFERENCES

•    "Estimating Costs  for Water Treatment as  a Function of Size  and  Treatment
     Efficiency," R.C. Gumerman, et  al,  EPA-600/2-78-182, Interim  Report,  August
     1978. Contains  construction and  operation and maintenance  cost curves  for
     three package water treatment systems and  twenty-seven  unit  processes; final
     report will have cost  information on approximately  100  processes.

•    "Study  of  the Beneficial  Disposal of Water Purification  Plant Sludges  in
     Wastewater Treatment," John 0.  Nelson, Charles  Joseph,  and Russell  Gulp, EPA
     Grant No.  S803336-01-0,  1977,  Cincinnati,  Ohio, Dr. B.V.  Salotto,  Project
     Officer.
                                       13-16

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                                                                    8
F'ART III -FINANCE

                                               PAGES

SECTION 14-INCOME
                                                   1
    Revenue Requirements

    Sources of Revenue                               2

        Water Sales                                  2

        Taxes                                      5

    References                                      5

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                                    SECTION  14

                                      INCOME
     1.   What are  the sources of  income available  to  water systems?  (See page
          14-2)

     2.   What expenses must be covered  by water  utility income? (See page  lU-l)

     3.   What are the rate structures for water  sales?  (See Table 14 -2)

     4.   How may ad valorem taxes  be used by water utilities? (See page 1^-5)

     Utility revenues, including  consumer service  charges,  should be designed to
cover all system  financial obligations  and  establish a sound credit  rating that
will attract future capital. They can be obtained through connection fees, direct
water  sales,  special  user   charges,   payments   by  developers,  ready-to-serve
charges, and  taxation. There  is a  decreasing trend  in  the  use  of  tax  funds for
water works. An  intelligent revenue policy is intended to  recover the  long-term
financial obligations  and to  distribute these costs equitably  among  present and
future users as well as to  cover Operation & Maintenance (O&M) costs. However, it
is also necessary for  the  overall financial plan  to be implemented in a practical
manner within  constraints  of  the  system,  system  management,  and customer accept-
ance. Therefore, different  revenue  programs are needed to meet the various  condi-
tions, and  to  continuously rebuild the  water system.  Special  seasonal  rates or
drought rates  may be  levied.   Drought rates  may  provide for  a  special  surcharge
with automatic termination  at  some  maximum permitted usage.

REVENUE REQUIREMENTS

     The revenue  requirements  for  publicly owned utilities typically must  cover
expenses for:

          Operation and maintenance
          Debt service
          Capital   Improvements  or  additions   that   represent   normal   plant
          extensions
          Payments in  lieu  of  taxes
          Contributions to  other departments
          Developer refunds
          Annual capital replacements
          Reserves  for major  improvements  including replacement  of  depreciated
          plant (reserves are  usually State regulated or limited)

     Whereas,  the revenues  of  investor owned waterworks  generally cover:

     •    Operating and maintenance expenses, including  taxes
     •    Depreciation
     •    Return on investment value (typically  regulated by State public utility
          commissions)


                                       lU-i

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SOURCES OF REVENUE

     A  summary of the various  means, of obtaining  revenue is  contained  in Table
 lU-1.   Water sales represent the primary source  of income for most utilities.
Publicly  owned utilities also issue special  user charges or  levy  taxes  in order
to recover facility  costs  which are specific to  certain  users. These may include
fire protection,  main extensions,  ready-to-serve charges or  connection  charges.
Some  communities use  taxation  as  a  primary  source  of  revenue,   although  this
practice  is  generally not  recognized  as an  efficient allocation  of  costs among
users because  such charges  are  a function  of property value and not water use and
there  is  great competition for tax monies.  Revenue  can  also be  raised through
outside investments  or  interest on bank loans. A discussion  of the various types
of rate structures and means  of  taxation follows.

Water Sales

     The  primary source of revenue for most utilities  is  through  direct water
sales.  This  is generally recognized as  the most equitable means  of distributing
service  costs  among  consumers  because  rates may  be structured  to  account  for
fixed service, commodity, and ready-to-serve costs.

     •    Fixed  charges include meter  reading,  billing,  accounting, and other
          services that  are not  a  function  of use.

     •    A  commodity charge  is  based  on the amount of water actually used  during
          a  billing  period.

     •    A  ready-to-serve  charge accounts for service costs  that  are associated
          with  construction to  meet water  system needs especially  with  those to
          meet peak  demand  requirements.

     Many utilities  structure water rates   to reflect  the  different service needs
and costs  of  the various  consumer  classes.  Residential  users typically  have  a
higher demand  factor  (ratio of  peak to average use)  than  large industrial  users.
A high  demand  factor requires  extra system  capacity on  a  ready-to-serve  basis;
therefore, residential  users are  typically  charged  higher  unit-volume  rates in
order to .recover  the associated costs. Ready-to-serve charges may  also be  levied
on vacant  lots where service is  provided   but  unused.  Other  system  costs  may be
specific to  certain  users  and charged  accordingly. Fire  service is  one  example.
All community  residents  benefit from public  fire protection;  however, some bene-
fit preferentially  due  to  higher  property value.  Such  costs  may  be apportioned
through service  charges  or  taxes.   Private  fire  protection  charges are generally
handled  separately from standard service  on a  relative, available- protection
basis. The rate  making  policies of almost  all  investor-owned  utilities are regu-
lated  by  state  commissions,  and  some   states  also  regulate  publicly  owned
utilities.

     Table 14  -2 summarizes  the  predominant rate  structures   employed  for water
sales  in  the  U.S.  Medium  and  large  utilities  typically employ  metered   sales,
using a  declining block rate structure. The declining  block  structure  is often
used, but  is being  increasingly questioned as   an equitable  means  of allocating


                                       lk-2

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            TABLE 14-1.  SUMMARY OF REVENUE  SOURCES AND  APPLICATION
Sources
Types
Comments and typical applications
Water Sales
Metered
-Declining Block*
-Inverted Block
-Fixed Block
Flat Rate
Principal source of revenue;
usually structured to achieve
customer equity, promote  efficient
allocation of resources,  and
discourage waste, except  that
flat rate may not discourage
waste
Special User
  Charges
Taxes
Miscellaneous
Fire Protection
Connection Fee
Local Facility
 Improvements or
 Extensions

Ad Valorem Property
Special Assessment
  Districts
Municipal Utility
Interest on
  reserves and
  sinking funds or
  Investments
Charges allocated to the specific
users of special services,  facil-
ity extensions, or connection
costs
Generally available to publicly
owned utilities; typically employ-
ed for financing special  services
such as main extensions,  fire,
aid for major improvements,  etc.

Publicly owned and investor  owned
utilities
*Presently being questioned as an equitable means  of  allocating  costs.
                                       lU-3

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                  TABLE  14-2.  RATE  STRUCTURES  FOR WATER SALES
Service type   Rate structure.
                      Description
                              Discussion
Metered
Declining Block
               Inverted Block
               Fixed Block
Charge per unit
volume lower for
larger water users
                 Charge per unit
                 volume higher for
                 larger water
                 users

                 Charge per unit
                 volume regardless
                 of volume used
One commonly used means
of distributing costs
among consumers, but
does not promote
conservation

Promotes conservation
                        Balanced approach  be-
                        tween declining and  in-
                        verted block  rate
                        structures
Flat Rate
Uniform Rate
Same charge per
customer
               Modified
                 Charge per customer
                 based upon physical
                 features that indi-
                 cate relative con-
                 sumption such as
                 number of residents,
                 rooms, or fixtures
Least expensive and
simple to administer as
meters or meter readers
are not required, but
savings may be offset  if
water is wasted, because
of greater production
requirements resulting

Advantages of uniform
flat rate but with
charges in proportion
to water use potential

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costs. The inverted  block structure has the advantage  of  promoting conservation,
especially among large users.

     Flat rate  service  does not  require  meters or meter  reading.  This may  be a
significant  advantage,  especially  for small  utilities.  This  rate  structure  is
obviously the easiest  to  administer; however,  it  has little  regard  for services
required by  individual users  and may  promote  water  waste.  In order  to  improve
equity in cost allocation,  some municipalities  employ a modified flat rate struc-
ture  that  apportions costs  according to  number  and  type  of  plumbing fixtures,
inhabitants, or rooms. Flat  rates may encourage water waste and encroach on plant
capacity.

Taxes

     Taxes represent an indirect  source of financing  employed in combination with
service  charges,  usually  for providing   fire  service, assessments  for  service
access to specific properties, and,  on occasion,  as an aid for constructing major
improvements.  Waterworks   services  may  be  funded through  ad valorem  property
taxes, special assessment  taxes,  and  municipal  utility taxes.

     An ad valorem property tax  is  based  on assessed  property values;  therefore,
although  in  some  cases   it  well represents  actual  costs  of  consumer  services
(e.g., fire protection), more  often,  it does  not  represent an equitable distribu-
tion of costs.

     Special assessment  taxes are  generally employed  for  service extensions  or
fire  protection  to specific  regions which benefit  directly  from  the  additional
service. They may be based on  front property footage. They  may also  be levied on
an ad valorem basis. This method has the  advantage of  distributing special costs
equitably among present and  future  users  of the special appurtenances.

     A municipal utility  tax may be  levied relative  to  one or  more  of a commun-
ity's utilities, whether  public or  private.

REFERENCES

•    "Water  Utility  Management," AWWA Manual M5. Chapter  11  details  the proce-
     dures for developing  an equitable water  rate  structure.

•    "Water  Rates Manual,"  AWWA  Manual   Ml.  Includes  discussions   of  revenue
     requirements, distribution of  costs,  and  design  of rate structures.
                                       lU-5

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PART III-FINANCE
                                              PAGES
SECTION 15 - FINANCING CAPITAL COSTS             1
    Bonds                                        2
    Grants and Loans                                2
    Revenue Reserves                               4
    Stock Sales                                    4
    Bank Loans                                    4
    References                                     4

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                                    SECTION  15

                             FINANCING  CAPITAL  COSTS
     1.   What  are the  general  ways  of  financing water  utility capital  costs?
          (See page 15-2)

     2.   What  state and Federal  help  is  available?   (see page  15-2)

     3.   What  kinds of bonds can water utilities  sell?  (See page 15-3)

     4.   What  are  the  capital  financing options  for municipal and  private water
          utilities? (See  Taole 15-1)

     There are  numerous  means  of financing capital improvements  for  water utili-
ties. These vary  with  the  ownership of the utility and  the cost of  the  improve-
ments. Considering  the  complexity of financing, the  recommendations  of a profes-
sional financial  consultant  can  prove  very  valuable in  the  development of a sound
financial program.  This  is  particularly true for  smaller utilities  that  lack the
in-house expertise  of larger utilities and  municipal  agencies.

     Publicly  owned water  utilities  typically obtain  financing through  bonds,
industrial revenue  bonds,  advances  from developers, government loans  and grants,
and working capital. Privately  owned utilities have  the option of  selling stock,
obtaining bank  loans, or using  revenue reserves.  In  either  case,  financing capi-
tal Improvements  is easier  if the utility has  a sound credit base.

     In January 1979,  the  Office of Drinking  Water (WH-550),  'U.S.  EPA,  Washing-
ton, D.C.  20460,  prepared a summary entitled   "Financial Assistance  Alternatives
For  Water  Supplies."  It describes  the  federal  financial  assistance  available
from:

     1.   Farmers Home Administration
     2.   Soil  Conservation  Service, U.S. Dept. of Agriculture
     3.   Corps of  Engineers
     4.   Economic  Development Administration
     5.   Dept. of  Housing  & Urban Development
     6.   Federal Disaster Administration
     7.   Indian Health  Service
     8.   Bureau  of Reclamation
     9.   Small Business Administration     i
    10.   Dept. of  Interior, Office  of Water Research and  Technology
    11.   Dept. of  Labor
    12.   Dept  of Health, Education, and  Welfare
    13.   Office  of Revenue  Sharing

     This summary may be obtained by writing to EPA at  the  address given above.
                                       15-1

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BONDS
                                                                    i
     The sale of  bonds  is  the most common method  for  publicly owned utilities  to
finance major  capital improvements.  They are serviced by  taxes,  assessments,  or
revenues, depending  on  the financial policy  of  the utility.   The  three types  of
bonds are discussed  below;  each has  certain advantages and disadvantages as  given
in Table 15-1.

     •    General Obligation Bonds - General obligation bonds  are' backed by the
          full  taxing power of  the  issuer,  with  ad valorem  or  general property
          taxes generally  used  to repay them, although they are often repaid from
          utility revenues.  In the latter case  general  obligation bonds are  used
          rather  than revenue  bonds  because  of lower interest  rates.  They  ordi-
          narily  require the  approval of the  electorate, are limited to some per-
          centage of the  taxing  power  of  the issuer,  and  become part  of the
          municipal  debt.   General obligation  bonds are  generally  serial  bonds
          which mature  on  a  sliding  scale.  They offer the most flexible and  least
          costly  means  of  major capital financing.

     •    Revenue Bonds -  Revenue bonds are  issued  on the  condition  that the
          interest and  redemption charges will  be paid from  the  revenues of the
          facility.  These  can  be  issued as  term  or  serial bonds.  If  term  bonds
          are  issued, the  term should  be  equal to the  life  of  the facilities.
          Revenue bonds have  a  higher  risk  associated with  them  than   general
          obligation bonds,  therefore  the  interest rates are  usually  higher.  In
          some  states there are  no  legal limits  on  the  amount of  revenue  bonds
          issued  by  a utility  however,  in every  case,  the revenue  potential  of
          the  facilities  should  be  carefully  assessed  prior  to  issuance  of the
          bonds.

     •    Special Assessment Bonds - Special  assessment  bonds may  be  issued  to
          pay for specific capital improvements  in a portion  of  a service  area.
          The bonds  are paid by a special  tax assessment levied  on  the basis  of
          benefit in the area  benefiting from the  improvements. These bonds  carry
          a  higher  risk  and  therefore  a  higher  Interest   rate   than   general
          obligation bonds,  since they may  not be  backed  by  the  general taxing
          authority.

GRANTS AND LOANS

     At various times,  federal  and state grants and loans are available for  water
system Improvements. These programs  are subject to a variety  of  constraints and
limitations.  However,  they can  provide  a  viable,  low  cost  means of   capital
financing. Since  they change  frequently, it  is  not  practical  to describe  them  in
detail. In recent years,  the Farmers Home  Administration  (FmHA)  and the  Depart-
ment of Housing and  Urban  Development  (HUD)  have  had'numerous financing programs
available for all types of  public works construction. Information on current  pro-
grams may be available  through  a financial  consultant or by inquiry to the refer-
ence given on page 15-lt.
                                        15-2

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                           TABLE 15-1.    CAPITAL  FINANCINp  OPTIONS
 Type of
 financing
                      Advantages
                                        Disadvantages
                                                                                        Comments
 PUBLICLY OWNED UTILITY

 General      High flexibility, low cost.
. Obligation   No detailed  technical or eco-
 Bond (G.O.)     nomic  documentation of
                facilities.
              Easily marketed.
              Personal income tax deduc-
                tion.
                                Must  receive voter approval.
                                  (2/3 majority in some states)
                                Cannot exceed  issuer's debt
                                  limit.
                                Issuer must be able to levy ad
                                  valorem property tax.
                                 Backed by full  credit  of
                                   issuer so risk is  low.
                                 Generally,  not  feasible for
                                   less than $500,000.
                                 Numerous small  projects can
                                   be  funded by  a single bond.
 Revenue      Can be  used  to  finance pro-
 Bonds          jects outside city bound-
                aries.
              No-limit on  amount.
                                Must  receive 50* voter approval
                                  in 'some  states.
                                Extensive  facility information
                                  requirements.
                                Outside  consultant must prepare
                                  technical and economic analy-
                                  sis.
                                Generally  higher interest than
                                  G.O. Bonds, and greater re-
                                  serve  requirements.
                                Less  flexibility than G.O. bonds;
                                  higher risk.
                                 Can be  used  by  institutions
                                   lacking power to  tax.
                                 Can be  used  by  municipalities
                                   when  their debt limit  has
                                   been  reached.
                                 Minimum effective issue  of $1
                                   million.
 Special      Only those directly bene-
 Assessment     fiting  from improvement
 Bonds          pay,  and then only in pro-
                portion to  benefit.
              No vote necessary.
                                Generally, not backed by full
                                  credit of taxing authority.
                                Higher  risk.
                                 Used  when  facilities only
                                   serve  a  portion of the total
                                   service  area.
 Grants &
 Loans
May carry low interest rates.
Subject to availability and
  much regulation;  grantor
  may place conditions on
  grant or loan.
 May be limited to certain
   types or sizes of projects.
 PRIVATELY OWNED UTILITY

 Stock        Less  costly  than bank loans.
 Sales
                                Reduces control of corporate
                                 decision-makers.
                                May not have sound economic
                                 basis to attract potential
                                 buyers.
                                 More  applicable  to  larger pri-
                                   vate  utilities.
                                 Attractive  to  conservative  in-
                                   vestors.
                                 Must  obtain approval of PUC or
                                   Federal Securities and Ex-
                                   change Commission to issue
                                   new securities.
 Bank Loans   Small  scale,  short-term
                capital.
                                High  interest cost.
                                 Primarily used by very small
                                   utilities with no other means
                                   of financing capital improve-
                                   ments .
 BOTH

 Revenue
 Reserves
Least complex method of
  financing.
No formal financial docu-
  ments .
Consumer use rates higher.
Current.users paying for
  future system.
Good for small-scale projects,
  routine improvements, etc.
                                                  15-3

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REVENUE RESERVES

     Revenue  reserves or  working capital  can be  used  to  finance  improvements;
however,  using this  as  a source  of  capital funds  does  have limitations.  In
general,  revenue  reserves are only used on  a  short-term basis  and  not  for major
improvements.  Even when  the  cash is available to make major improvements, it may
be  advisable   to  secure  other  long-term financing,  thereby establishing  a good
credit record.

     Connection fees  are often used to build  revenue reserves.  New customers are
charged for a share  of prior capital  investments  made  by the utility.  The costs
of  special  services  such  as  the extension of lines  may also be included  in the
connection fee.

     Many  water  utilities  annually  commit  10   percent  of  their  revenues  to
replacement   repairs,   many  of  which  are  constructed   using   the   utility's
employees.

STOCK SALES

     Many  times,  the  only means  by  which  a  privately owned  water utility can
finance major improvements is  by the sale  of stocks,  either   preferred  or com-
mon. A sound  utility  with a good earning record  attracts more conservative inves-
tors than the  more erratic industrial  and  business market.

BANK LOANS

     For  the  small private  utility,   selling  stock is  not  necessarily  a viable
means  of  obtaining  capital  funds.  If  the  company is  willing  to sell  common
stock,  there  are  not always  willing  buyers. Bank financing is  often  the  only
means  of  obtaining capital  funds.  Short-  or  long-term notes   and  mortgages are
issued at or  above the prime  interest  rate.

REFERENCES

•    "Water Utility Management," AWWA  M5 Chapters  9 and  10.  Discussion of various
     means  of financing  publicly (Chapter  9) and  privately (Chapter  10) owned
     water utilities;  includes  taxation, bonds,  government  loans and grants, bank
     loans, stock sales,  etc.

•    "Financial Assistance Alternatives  For Water  Supplies," U.S.  EPA,  Office of
     Water Supply  (WH-550), Washington,  D.C.  20460.

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PART IV-REFERENCES
                                        PAGES
REFERENCES

-------
                               GENERAL REFERENCES

 1.   American Water Works Association,  "Publications  Catalog," 1979 AWWA  Buyer's
     Guide, page BG-95, AWWA Journal November 1978, Part 2.

 2.   "Water Utility Management," AWWA Manual Manual M3.

 3.   "Safety Practice for Water Utilities," AWWA Manual M3.

 4.   Clean Water  Consultants,  "Technical  Guidelines  for  Public  Water  Systems,"
     EPA Water Supply Division, NTIS PB 255 217, June, 1975.

 5.   "Decision-Makers Guide in Solid Waste Management," U.S.   EPA  SW-500,  1976.

 6.   Babbit, H.E., et al, Water Supply Engineering, 6th ed; McGraw-Hill  Book  Co.,
     1967.

 7.   "The Safe Drinking Water Act; Self Study Handbook; Community  Water  Systems,"
     AWWA, 1978.

 8.   "Emergency Planning for Water Utility Management," AWWA Manual M19.

 9.   Methods  for  Chemical  Analysis  of Water  and  Wastes," U.S.  EPA Technology
     Transfer, 1974

10.   Standard Methods for the  Examination  of Water and Wastewater, 14th Edition,
     1976.

11.   "Distribution System Bacteriological  Sampling  Control and Guidelines,"  Sys-
     tem Water Quality Committee, California-Nevada Section, AWWA,  1978.

12.   "Water Supply Control," N.Y. State Dept. of Health, Bulletin  No.  22.

13.   Trainer, W.G. and Clopton, D.E., "A Water Utility Energy  Management Program-
     Dallas, Texas: JAWWA, March 1978, p 133.

14.   Cornell, H.,  "A  Consultant  Looks at  Future Water Utility Energy Problems,"
     JAWWA, April, 1978, page 194.

15.   Wesner,  G. M. ,  et  al,  "Energy  Conservation in  Municipal Wastewater  Treat-
     ment," U.S. EPA, MCD-32, March, 1977.
                                                                I
16.   "Operation of Wastewater Treatment  Plants;  A  Manual of  Practice," Water
     Pollution Control Federation, MOP 11, 1975.

17.   "Water Distribution Training Course," AWWA Manual M8.

18.   "Basic Water Treatment Operator's Manual," AWWA Manual M18.

19.   "Waterworks  Systems Maintenance  Standards  and  Policies,"  South  Carolina
     State Board of Health,  September, 1969.


                                        16-1

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20.  "Installation,  Operation, and  Maintenance  of  Fire  Hydrants,"  AWWA  Manual
     M17.

21.  "State  of the  Art of  Small Water  Treatment  Systems," U.S.  EPA,  August,
     1977.

22.  "Water Treatment Plant  Sludges - An  Update of the State of  the Art:  Parts  1
     and 2," JAWWA September and  October, 1978.

23.  Bishop,  S.L.,  "Alternate  Processes  for Treatment  of  Water Plant  Wastes,"
     JAWWA, September,  1978.

24.  Water  Quality  and Treatment;  A  Handbook  of  Public  Water  Supplies,  3rd
     Edition  prepared  by the American Water  Works Association,  McGraw-Hill  Book
     Company,  1971.

25.  Gulp, G.L. and  Gulp,  R.L.,  New Concepts in Water Purification, Van Nostrand
     Reinhold  Company,  1974.

26.  Fair, G.M., et  al,  Water  Supply and Wastewater Removal, John Wiley &  Sons,
     1966.

27.  Al-Layla,  M. A.,  et al, Water Supply  Engineering Design, Ann Arbor  Science
     Publishers, Inc.,  1977.

28.  "Water Rates," AWWA Manual Ml, 1972.

29.  "Financing and Charges  for Wastewater  Systems," APWA,  1973.

30.  "Rate  Making Practices of  State  Regulatory  Commissions,"  JAWWA,   Sept.,
     1976.

31.  Korbitz,  W.E.,  ed., Urban Public  Works Administration,  Institute  for  Train-
     ing in Municipal Administration, 1976.

32.  Culp/Wesner/Culp,  "Management  of  Small  &  Medium  Size Wastewater  Treatment
     Plants,"  U.S. EPA Contract No. 68-01-4917, Draft  January 31, 1979.

33.  U.S. EPA  Technology Transfer Publications, 26 W.  St.  Glair  St.,  Cincinnati,
     Ohio, 45268.

34.  Nation Technical  Information Service,  U.S.  Dept.  of Commerce, Springfield,
     VA 22161  -Misc. Water  Publications.
                                       16-2

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PART V-APPENDICES

                                                 PAGES

APPENDIXES

    Appendix A - National Interim Primary              A-1
        Drinking Water Regulations (NIPDWR)

    Appendix B - Recommended Revisions             B-1
        to NIPDWR

    Appendix C - Secondary Drinking Water            C-1
        Standard

    Appendix D - Bases for Capital Costs               D-1
        Computations

    Appendix E - Bases for Annual 0 & M               E-1
        Cost Computations

    Appendix F - Rational for National Interim            F-1
        Primary Drinking Water Regulation

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                    APPENDIX A

NATIONAL INTERIM PRIMARY DRINKING WATER REGULATIONS
                     (NIPDWR)
                         A-l

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                                             TABLE A-l
               IPDWR MAXIMUM CONTAMINANT LEVELS FOR PUBLIC WATER  SUPPLIES
Type of contaminant
(community systems)
Inorganic
Chemicals
All Water Systemst
Organic
Chemicals
Turbidity
Surface Water
Systems Only
Microbiological
Contaminants
All Water Systemst
Radiological
Contaminants
(Natural) —
All Water Systemst
Radiological
Contaminants
(Man-made) — •
Surface Water
Systems Serving
Populations
Greater Than
100,000
Type of contaminant
(non-community systems)
Inorganic
Chemicals
All Wa.ter Systems — t
Nitrate only*
(all other contaminants
at state option)
Organic
Chemical s
(at state option)
Turbidity
Surface Water
Systems Only
Microbiological
Contaminants
All Water Systemst
Radiological
Contaminants
(Natural) —
(at state option)
Radiological
Contaminants
(Man-made) —
(at state option)
Maximum contaminant
levels (MCLS)
• Arsenic 0.05 mg/1
Barium 1 . mg/1
• Cadmium 0.010 mg/1
• Chromium 0.05 mg/1
• Lead 0.05 mg/1
Mercury 0.002 mg/1
Selenium 0.01 mg/1
Silver 0.05 mg/1
Nitrate (as N) 10. mg/1
Fluoride
(Annual average of maximum daily air
temperatures.)
a) 53. 7F & below 2.4 mg/1
b) 53. 8-58. 3F 2.2 mg/1
c) 58. 4-63. 8F 2.0 mg/1
d) 63. 9-70. 6F 1.8 mg/1
e) 70. 7-79. 2F 1.6 mg/1
f) 7.9. 3-90. 5F 1.4 mg/1
• Endrin 0.0002 mg/1
• Lindane 0.004 mg/1
• Methoxychlor 0.1 mg/1
• Toxaphene 0.005 mg/1
• 2, 4-D 0.1 mg/1
• 2, 4, 5-TP (Silvex) 0.01 mg/1
• 1 TO monthly average ' (up to 5 TO monthly
average may apply at state option) i OR
• 5 TO average of 2 consecutive days
When using membrane filter test:
Monitoring Requirement^
Surfacewater: every
year
Groundwater: every 3
years
Surfacewater only:
every 3 years or more
frequent at state
discretion
Surfacewater: daily
Groundwater: as
specified by Btata

• 1 colony/100 ml for the average of all monthly samples; and
• 4 colonies/100 ml in more than 1 sample. if less than 20 samples
are collected per mo. ; OR
• 4 colonies/100 ml in more than 5% of the samples if .20 or more
samples are examined per mo.
When using multiple-tube fermentation test: (10-ml portions)
• Coliform shall not be present in more than 10* of the portions
per mo.;
• Not more than 1 sample may have 3 or more portions positive when
less than 20 samples are examined per mo.; OR
• Not more than 5% of the samples may have 3 or more portions posi-
tive when 20 or more samples are examined per mo.
• Gross Alpha 15 pCi/1
• Combined Ra-226
and Ra-228 5 pCi/1
• Gross Beta 50 pCi/1
• Tritium 20,000 pCi/1
• Strontium-90 8 pCi/1
Every 4 years
•For all non-community water systems, initial sampling and testing must be conducted for nitrates.
 ing, however, is at state option.
tSystems using surface and/or groundwater.
§For microbiological monitoring requirements; see Table A-2.
                                                                                          Routine tast-
                                                 A-2

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                                   TABLE A-2

                COLIFORM SAMPLES REQUIRED PER POPULATION SERVED
Population served
  Minimum
no. of sam-
ples per mo.
Population served
  Minimum
no. of sam-
ples per mo.
 25 to l,000t	  1
1,001 to 2,500..	  2
2,501 to 3,300	  3
3,301 to 4,100	  4
4,101 to 4,900	  5
4,901 to 5,800	  6
5,801 to 6,700	  7
6,701 to 7,600.	  8
7,601 to 8,500..	  9
8,501 to 9,400	 10
9,401 to 10,300	 11
10,301 to 11,100	 12
11,101 to 12,000	 13
12,001 to 12,900	 14
12,901 to 13,700	 15
13,701 to 14,600	 16
14,601 to 15,500	 17
15,501 to 16,300	 18
16,301 to 17,200	 19
17,201 to 18,100	 20
18,101 to 18,900	 21
18,901 to 19,800	 22
19,801 to 20,700	 23
20,701 to 21,500	 24
21,501 to 22,300	 25
22,301 to 23,200	 26
23,201 to 24,000	 27
24,001 to 24,900	 28
24,901 to 25,000	 29
25,001 to 28,000	 30
28,001 to 33,000	 35
33,001 to 37,000	 40
37,001 to 41,000	 45
41,001 to 46,000	 50
46,001 to 50,000	 55
50,001 to 54,000	 60
54,001 to 59,000	 65
59,001 to 64,000	 70
64,001 to 70,000	 75
70,001 to 76,000	 80
76,001 to 83,000	85
83,001 to 90,000....... 90
                       90,001 to 96,000	 95
                       96,001 to 111,000	100
                       111,001 to 130,000	110
                       130,001 to 160,000	120
                       160,001 to 190,000	130
                       190,001 to 220,000	140
                       220,001 to 250,000	150
                       250,001 to 290,000	160
                       290,001 to 320,000	170
                       320,001 to 360,000	180
                       360,001 to 410,000	190
                       410,001 to 450,000	200
                       450,001 to 500,000	210
                       500,001 'to 550,000	220
                       550,001 to 600,000	230
                       600,001 to 660,000	240
                       660,001 to 720,000	250
                       720,001 to 780,000	260
                       780,001 to 840,000	270
                       840,001 to 910,000	280
                       910,001 to 970,000	.290
                       970,001 to 1,050,000	300
                       1,050,001.to 1,140,000	310
                       1,140,001 to 1,230,000	320
                       1,230,001 to 1,320;000	330
                       1,320,001 to 1,420,000	340
                       1,420,001 to 1,520,000	350
                       1,520,001 to 1,630,000	360
                       1,630,001'to 1,730,000	370
                       1,730,001 to 1,850,000	380
                       1,850,001 to 1,970,000	390
                       1,970,001 to 2,060,000	400
                       2,060,001 to 2,270,000	410
                       2,270,001 to 2,510,000.	420
                       2,510,001 to 2,750,000	430
                       2,750,001 to 3,020,000	440
                       3,020,001 to 3,320,000	450
                       3,320,001 to 3,620,000	460
                       3,620,001 to 3,960,000	470
                       3,960,001 to 4,310,000	480
                       4,310,001 to 4,690,000	490
                         More than 4,690,001	500
Source:   EPA
tA community water system serving 25 to 1,000 persons, with written permission
from the state, may reduce this sampling frequency, except that in no case
shall it be reduced to less than one per quarter.  The decision by the state
will be based on a history of no coliform bacterial contamination for that sys-
tem and on a sanitary survey by the state showing the water system to be sup-
plied solely by a protected groundwater source, free of sanitary defects.
                                     A-3

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                     APPENDIX B

            PROPOSED REVISIONS TO NIPDWR
(NATIONAL INTERIM PRIMARY DRINKING WATER REGULATIONS)
                     B-l

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                                    APPENDIX B

                          PROPOSED  REVISIONS  TO NIPDWR
     In the  Federal  Register of July  19,  1979,  EPA published  proposed revisions
to the NIPDWR. The Summary of these  proposals  follows:

     "These  proposed  regulations  amend  the  National  Interim Primary  Drinking
Water  Regulations (NIPDWR),  promulgated according  to  Section  1412 of  the  Safe
Drinking Water Act,  as amended,  42 U.S.C.  §  300f  et  seq.  at 40 FR 59566 (December
24,1975)  and 41  FR  28402  (July  9,  1976).  These  proposed  amendments  provide
greater latitude  to small  public  water systems  for determination  of  compliance
with the  microbiological maximum contaminant  levels (MCLs),  specify alternative
analytical  techniques  that have been  approved by EPA for  determining  compliance
with existing maximum  contaminant  levels,  endorse fluoridation practices  and add
a statement  to the NIPDWR clarifying the apparent contradiction between setting a
MCL for  fluoride  and  the  beneficial  uses  of  fluoride,  add  a statement  to the
NIPDWR that  water samples  taken  by the State may  be  used  to determine compliance,
add a  statement to  the NIPDWR that  clarifies  that water  systems  shall submit to
the State upon  request any  records  required to  be  maintained  by the  NIPDWR,
require water systems  that  have  completed  a public notification to  submit to the
State  a  representative  copy  of the public notification,   change  the   time  when
results of  monitoring  are  requried  to be  submitted to  the State,  required  com-
munity water systems  to conduct monitoring and  reporting  for sodium  levels in
finished  drinking  water  and   require community  water  systems  to   implement
corrosion control programs under State direction.

     Modifications to  the NIPDWR relating  to non-community  water systems are also
proposed.   These  proposed  amendments  increase the  latitude of  the States  with
regard to non-community water systems  by providing an  additional year for comple-
tion of nitrate  monitoring,  allow  some non-community  systems  to exceed  the 10
mg/1 nitrate level up  to  20 mg/1  under  certain controlled conditions,  provide
latitude  in  turbidity monitoring  requirements and  include modifications  to the
bacteriological monitoring frequency and public notification measures.

     In addition,  Increased latitude  is provided to the States with  respect to
requirements concerning public notification  through  the media for community water
systems."
                                       B-2

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            APPENDIX C




SECONDARY DRINKING WATER STANDARDS
                  C-l

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                                     TABLE  C-l
	SECONDARY MAXIMUM CONTAMINANT LEVELS FOR PUBLIC WATER SYSTEMS*	
	Contaminant	Level    	
Chloride                                                 250 mg/1
Color                                                  15 color units
Copper                                                      1 mg/1
Corrosivity                                            Non-corrosive
Foaming Agents                                          0.5 mg/1
Iron                                                    0.3 mg/1
Manganese                                               0.05 mg/1
Odor                                              3 Threshold Odor Number
pH Range                                                 6.5-8*5
Sulfate                                                  250 mg/1
Total Dissolved Solids                                   500 mg/1
Zinc                                                        5 mg/1

^Monitoring is suggested at frequencies for  inorganic  contaminants in the  primary
 regulations, annually for surface waters, and every three  years  for ground-
 waters. More frequent monitoring may be appropriate for specific  contaminants
 as requested by the State.
                                       C-2

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             APPENDIX D
       »

BASIS FOR CAPITAL COSTS COMPUTATIONS
             D-l

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                                   APPENDIX D

                      BASIS FOR  CAPITAL  COSTS COMPUTATIONS
     Construction  costs  for most facilities  fall  under the  following  categories
which are employed in this  evaluation:

     •    Excavation  and sitework includes  work related  to  the applicable  pro-
          cess,  not  general  sitework  such  as  sidewalks, roads,  driveways,  or
          landscaping.

     •    Manufactured equipment  includes the estimated  purchase cost  of  pumps,
          drives,  process  equipment, specific purpose  controls, and other  items
          which are factory made and sold with equipment.

     •    Concrete includes the delivered cost of  ready mix concrete  and concrete
          forming materials.

     •    Steel  includes reinforcing steel for  concrete  and miscellaneous  steel
          not included with manufactured equipment.

     •    Labor  associated with  installing  manufactured  equipment,  piping  and
          valves, constructing concrete forms and  placing concrete,  and reinforc-
          ing steel.

     •    Pipes and valves  includes  the purchase of cast  iron  pipes,  steel  pipe,
          valves, fittings, and associated support  devices.

     •    Electrical and instrumentation  includes  the  cost of  process  electrical
          equipment and  wiring and  general  instrumentation associated  with  other
          process equipment.

     •    Housing  represents  all material  and  labor   costs  associated with  the
          buildings, including heating, ventilating, air  conditioning,  lighting,
          normal 'convenience outlets, and the slab  and  foundation.

     In this analysis, the  capital cost factors  were:

          10 percent for engineering
          5 percent for  sitework,, piping, etc.
          12 percent for general contractor's overhead
          5 to 7 percent for legal,  fiscal, and  administration
          7 percent  of   capacity cost for interest  during construction  (current
          interest rates are higher)

     The costs  are current as  of  October,  1978.  Table  D-l  summarizes the  cost
indices used in determining the construction costs.
                                       D-2

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                    TABLE D-l.  COST INDICES AS OF OCTOBER  1978
	Category	;	Source	    Value

Excavation and sitework                    ENR* skilled  labor            247.0
Manufactured equipment                     BLS** #114                    221.3
Concrete                                   BLS #132                      221.1
Steel                                      BLS #101.3                    262.1
Labor                                      ENR skilled labor             247.0
Pipes & valves                             BLS #114.901                  236.4
Electrical & instrumentation               BLS #117                      167.5
Housing                                    ENR building  cost             254.8

 ^Engineering News Record
**Bureau of Labor Statistics
                                       D-3

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              APPENDIX E

BASIS FOR ANNUAL O&M COST COMPUTATIONS
      (OPERATION AND MANTENANCE)
                  B-l

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                                    APPENDIX E

        BASIS FOR ANNUAL OPERATION & MAINTENANCE (O&M) COSTS COMPUTATIONS


     The  annual  costs for  operating and maintaining  a water utility  are highly
variable, depending  on  local  conditions.  However,  certain basic elements are com-
mon to all operations.  These  include:

     •    Labor
     •    Maintenance materials
     •    Energy

     The  total O&M costs for  the  common treatment  processes are a  composite  of
labor, maintenance materials  (including chemicals),  and energy  costs.  They  do
not, however, include the  cost of monitoring and surveillance  to  comply with the
SDWA requirements, nor  do they include  administrative  costs.

LABOR

     The  labor requirements represented in  the  O&M cost curves indicate the total
requirement  to adequately  operate  and  maintain the facilities. Manhour require-
ments  for the treatment  facilities  are  based  on  desirable  levels of operator
attention for  each type of plant,  with some allowance made for  both  preventive
and unscheduled  maintenance activities. The annual  payroll  manhours  are based on
2,080 hours  per  year  and  an hourly rate of $10/hour (salary and fringe benefits)
was used  to  convert manhours  to  an  annual cost.

MAINTENANCE  MATERIALS AND SUPPLIES

     Maintenance material  costs  include the cost of periodic replacement of com-
ponent parts necessary  to keep the  treatment  facilities operating and functioning
properly. Examples of  maintenance material  items  included are  valves,  motors,
instrumentation,  and other process  items  of   similar  nature.   The  maintenance
material  requirements do  not  normally include the  cost  of  chemicals  required for
process  operation.  Chemical costs  are  Included as part of  the  total  O&M costs
based on  the following:

                    Chemical                    Cost
                    Lime     '                 $40/ton
                    Alum                      $70/ton
                    Chlorine                  $300/ton
                    Sodium Hypochlorite       $650/ton
                    Polymer                   $2/lb
                    Salt                      $30/ton
                    NaOH                      $200/ton

It  should  be noted  however,  that  for  small  treatment  facilities,  the  cost  of
chemicals will be significantly higher than the  estimates shown above.  Table E-l
provides more realistic chemical  costs for  use  by small treatment systems.
                                        E-2

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     TABLE E-l.  WATER TREATMENT CHEMICAL COSTS FOR SMALL TREATMENT SYSTEMS
    Chemical
  Packaging size
              Cost*
Activated Carbon
  (Powdered)
Alum
65 Ib bags
100 Ib bags
1-14 bags, 44.45 cents per Ib
15-28 bags, 41.95 cents per Ib
29-50 bags, 39.45 cents per Ib

1-9 bags, $16 per bag
10-20 bags, $11 per bag
21-100 bags, $9.25 per bag
Chlorine
100 Ib cylinders
1-9 cylinders, $30 per cylinder
10-24 cylinders, $26 per cylinder
Hydrated Lime
Polymer (dry)
        (wet)
50 Ib bags
50 Ib & 100 Ib
55 gallon drums
1-40 bags, $2.85 per bag
41-200 bags, $2.23 per bag

varies,use $2.25 per Ib
varies, use $0.30 per Ib
*Based on January 1977 price levels
                                       E-3

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     Energy requirements  include  both  process  energy and building related energy.
To determine a  total annual energy cost,  energy requirements first must  be com-
puted  in  terms  of kw-hr  per year for  electricity,  and  cubic  feet per  year  for
natural gas.  For the O&M  estimates  an average  building-related demand  of  102.6
kwh-hr/sq ft/yr  was  used.  Process electrical energy and  natural  gas  requirements
were  calculated using  manufacturers'   data  for  different  treatment  plant  com-
ponents.  The  total  energy requirements were  then  converted to  an  annual  cost
based  on  $0.03/kw-hr  for  electricity,  $1.20/1000  cu ft  for natural  gas,  and
$0.45/gal for  Diesel fuel.  Current  prices for  natural gas  and  Diesel  fuel  are
higher.

     •    Chlorine Gas Disinfection
          2 mg/1 chlorine  dose
          <1 mgd - direct  feed without  storage
          1-100  - direct  feed with cylinder storage


     •    Direct Filtration/Chlorination
          <1 mgd - package  gravity filter  plant
          1-100 mgd  - conventional unit process  facilities
          all capacities -  20 mg/1 alum dose
                          -0.1 mg/1 polymer dose
                         -  2 mg/1 chlorine dose

     •    Sedimentation/Filtration/Chlorination
          <1 mgd - package  complete treatment  plant
          1-100 mgd  - conventional unit process  facilities
          all capacities -  50 mg/1 alum dose
                          - 0.2 mg/1 polymer dose
                         -  2 mg/1 chlorine dose
                          - 20 mg/1 sodium  hydroxide  dose

     •    Waste Processing  and Disposal
          all capacities -  haul distance 20 miles, one-way

          Mechanical Dewatering
          all capacities  - gravity thickening  prior  to basket centrifuge or
                            vacuum filtration
                         -  dewatering

          Sand Drying Beds
          all capacities  - land cost not included

          Liquid Sludge Hauling
          1-100 mgd  - gravity thickening prior to hauling

          Discharge  to Sanitary Sewer   .
          all capacities - existing sewers used; sludge concentration 5,000 mg/1
                          - user charge  of  $100/mil gal waste treated
                                       E-4

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                           APPENDIX F




RATIONALE FOR NATIONAL INTERIM PRIMARY DRINKING WATER REGULATIONS
                                F-I

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 o


 m
 3)
 Z
 2
. m
                          TABLE  F-l  RATIONALE FOR NATIONAL INTERIM PRIMARY DRINKING WATER REGULATIONS
Ttrt or
CORMOIUBT



INORGANIC
CHEMICALS

ORGANIC
CHEMICALS
TURBIDITY
MICROBIOLOGI-
CAL CONTAMINANTS
RADIOLOGICAL
CONTAMINANTS
NAME OF
CONTAMINANT
Arsenic
Barium
Cadmium
Chromium
Lead
Mercury
Selenium
Sliver
Fluoride
Nitrate (as N)
CHLORINATED HYDR(
Endrin
CHLOROPHENOXYS-HE
2. *-D
?• iiJ'D
Turbidity
Ccliform
Bacteria
Natural Gross
alpha
Combined Ra - 226
and Ra - 228
Man-made Gross
beta
activity Tritium
Strontfuffl - 90
HEALTH EFFECTS OF CONTAMINANTS

Short term- 100 rag causes severe poisoning
Long term - Increased blood pressure, and nerve block
Short term- 550 DUE Is fital dose
Long term - Concentrates In liver, kidneys, pancreas, and
Long term - Skin sensitization, kidney damage
Long term - Constipation, loss of appetite, anemia, tenderness,
pain fi gradual paralysis in the muscles,
especially the arms. Cumulative poison. Use of
water with more than 2 mg/1 for 3 months can
be harmful.
the salivary glands, loosening of teeth. Mercury
poisoning may be acute or chronic
Long term - Red staining of fingers, teeth and hair, general
weakness, depression, irritation of the nose
and throat
mucous membranes
Long term - Stained spots on the teeth (mottling)-the amount
of discoloration depends on the amount of fluoride
ingested
Short term- Lethal dose is 2,000 mg/1
Short term- Serious or fatal blood disorder in infants, In
excess amounts of (500 mg/1 or greater)-irrltation
of the mucous lining of the gastrointestinal
tract and bladder.
ARBONS-PESTICIDES ]
Long term - Cause symptoms of poisoning which differ in
intensity. The severity is related to concentra-
tion of the chemicals in the nervous system,
primarily in the brain. Mild exposure causes head-
aches, dizziness, numbness and weakness of the
extremities. Severe exposure leads to spasms in-
volving entire muscle groups, leading in some cases
to convulsions. Suspected of beine carcinoaenic .
tBICIDES |
Long" term - Liver damage, gastrointestinal irritation
ing organisms, therefore possibly exposing the
consumer to disease causing organisms
disease-causing organisms may be present in
Long term - Bone cancer
Long term - Bone cancer
BASIS FOR ESTABLISHING MCL*
10% of typical daily intake
from threshold limit in air
27% of typical daily intake
Reasonable safety factor to
frevent dermal effects
afety factor of 2 for long term
exposure
25% of typical daily intake.
effects. 13% of typical daily
intake
Safety factor of 3. 10% typical
intake
body tissue. MCL .is set to avoid
discoloration with lifetime
exposure
Long and extensive experience
with natural fluoride water?
To protect majority of infants.
Does not appear to have safety
factor for all infants

pending complete survey
50% of safe level of In take -
pending complete survey
disinfection and to maintain
chlorine residual during
distribution
Bacteriological safety
pending complete survey
SOURCES
Well water, natural mineral deposits,
pesticides, herbicides
oalnt Industry
Electroplating, galvanized pipe, food
Wastes from chrotn- plating shops, cross con-
nections to chromate-treated cooling water
Food, air, water, tobacco smoke, lead pipe
Ubigultous in environment as result of
use in industry and agriculture. Chlor-
alkali mfg. plants. Slimlcldes. Mercurial
seed treatment
Shallow well waters. Natural in soils

Natural occurence in deep well waters
Natural occurence, principally in shallow
wells and springs, fertilizers, septic



Herbicides

Fecal pollution of water sources, or con-
tamination of water in distribution
Natural radionuclides, nuclear weapons,
nuclear fuels, Pharmaceuticals
 ro
                                  *Based on daily human Intake of 2 liters of water per day

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PART IV:
ENVIRONMENTAL
    PROTECTION
      AGENCY
  WATER PROGRAMS



  National Interim Primary Drinking

      Water Regulations

      •WEDNESDAY, DECEMBER 24, 1975
       •FRIDAY, JUIY 9, W6
    thurtdayi1 November £9, 1979

      Tuesday. March II, 1980
     Wednesday, August 27, 1980

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           Subpart A—General
 § 141.1  Applicability.
  This part establishes primary drinking
.water regulations  pursuant to section
11412 of the Public Health Service Act. as
 amended by the Safe  Drinking Water
 Act (Pub. L. 93-523); and related regula-
 tions applicable to public water systems.
 § 141.2  Definitions.
  As used in this part, the term:
   (a)  "Act" means the Public Health
 Service  Act, as  amended  by the  Safe
 Drinking Water Act. Pub. L. 93-523.
   (b)  "Contaminant" means any physi-
 cal, chemical, biological, or radiological
 substance  or matter in water.
   (c)  "Maximum  contaminant  level"
 means the maximum permissible level of
 a contaminant in water which is de-
 livered to  the free flowing outlet of the
 ultimate user of a public water system,
 except in the case of turbidity where the
 maximum permissible level is measured
 at the point of entry to the distribution
 system. Cbntaminants added to the water
 under circumstances controlled by the
 user, except those resulting from corro-
 sion  of  piping and plumbing  caused by
 water quality,  are excluded  from this
 definition.
   (d) "Person"  means an Individual,
 corporation, company, association, part-
 nership, State,  municipality, or Federal
 agency.
   (e)  "Public  water system"  means a
 system  for the provision to the  public
 of piped water for human consumption,
 If such system has at least fifteen service
 connections or regularly serves an aver-
 age of  at least twenty-five individuals
 dally  at least 60 days out of  the year.
 Such  term includes  (1) any  collection,
 treatment, storage, and distribution fa-
 cilities under control of the operator of
 such system and used primarily in con-
 nection with such system, and (2) any
 collection or pretreatment storage facili-
 ties not under such control  which are
 used primarily  In connection with such
 system. A public water system  is either
 a "community water system" or a "non-
 community water system."
   (i)  "Community water system" means
 a public water system which serves at
 least 15 service connections used by year-
 round residents or regularly  serves at
 least 25 year-round residents.
   (11)  "Non-community water  system"
 means a public  water system that Is not
 a community water system.
   (f)  "Sanitary survey" means an on-
 site review of the water source, facili-
 ties,  equipment, operation and mainte-
 nance of a public  water system for the
 purpose of evaluating  the  adequacy of
 such  source, facilities,  equipment, op-
 eration  and maintenance for producing
 and distributing safe drinking water.
   (g)  "Standard  sample" means  the
 aliquot of  finished drinking water that is
 examined for  the presence of coliform
 bacteria.
   (h) "State" means the agency of the
 State government which  has jurisdic-
 tion  over  public water systems. During
 any period when a State does not have
 primary   enforcement   responsibility
 pursuant to Section 1413 of the Act, the
 term  "State" means the Regional Ad-
 ministrator, U.S. Environmental Protec-
 tion Agency.
   (i)  "Supplier  of water" means  any
 person  who owns  or  operates a  public
 water system.
-   (J) "Dose equivalent" means the prod-
uct of the absorbed dose from Ionizing
radiation and such factors as account for
differences In biological effectiveness due
to the type of radiation and Its distribu-
tion in the body as specified by the In-
ternational Commission on Radiological
Units and Measurements -.
 or more individuals, and 4 years after  . ,^
 the date of promulgation for            *"°
 communities serving 10,000 to 74.999
 individuals.
  (c) The regulations set forth in 141.11
 (a), (c) and (d); 141.14(a)(l);
 141.21 (a), (c) and (i); 141.22 (a) and (e);
 141.23 (a)(3) and (a)(4); 141.23(f);
 141.24(a)(3); 141.24 (e) and (f); 141.2S(e);
 141.27(a); 141.28 (a) and (b); 141.31 (a).   ' fyx
 (c). (d) and (e); 141.32(b)(3); and         ^
 141.32(d) shall take effect immediate^   f\j
 upon promulgation.
   (d) The regulations set forth in i41.4f
 shall take effect 18 months from the date
 of promulgation. Suppliers must
 complete the first round of sampling and
 reporting within 12 months following the
 effective date.
   (e) The regulations set forth in 141.42
 shall take effect 18 months from the date
 of promulgation. All requirements in
 141.42 must be completed within 12
 months following the effective date.

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Subpart B—Maximum Contaminant Levels

§ 141.11  Maximum contaminant levels for
Inorganic chemicals.
  (a) The MCL for nitrate is applicable
to both community water systems and
non-community water systems except as
provided by in paragraph (d). The levels
for the other organic chemicals apply
only to community water"systems.
Compliance with MCLs for inorganic
chemicals is calculated pursuant to
 S 141.23.
  (b)  The following are the maximum
contaminant levels for inorganic  chemi-
cals other than fluoride:
                                Level,
                             milligrams
Contaminant                   per liter
  Arsenic  			  0.05
  Barium  	  1.
  Cadmium —,	  0.010
  Chromium	  0.05
  Lead  				-  0.05
  Mercury 			  0.002
  Nitrate  (as N)		- 10.
  Selenium		  0.01
  Sliver	—-  0.05
   (c)  When the annual average of the
maximum daily air temperatures for the
location in which the community water
system is situated is the following, the
maximum contaminant levels for fluoride
are:
   Temperature
     Degrees
    Fahrenheit
Drprocs Celsius
 Level,
milligrams
 per liter
5S.7 and below	 12.0 and below	       2.4
88.8to58.3	 12.1 to 14.6	       2.2
M.4to63.8	 14.71017.6	       2.0
6».9to70.6	 17.7to21.4	       1.8
70.7to79.2	21.5 to 26.2	       1.6
79.81000.5	.- 26.31032.5	       1.4

   (c) Fluoride at optimum levels in
drinking water has been shown to have
beneficial effects in reducing the
occurrence of tooth decay.
   (d) At the discretion of the State,
nitrate levels not to exceed 20 mg/1 may
be allowed in a non-community water
system if the supplier of water
demonstrates to the satisfaction of the
State that:
  Jl) Such water will not be available to
children under 6 months of age; and
   (2) There will be continuous posting of
the fact that nitrate levels exceed 10
mg/1 and the potential health effects of
exposure; and
.   (3) Local and State public health
'authorities will be notified annually of
nitrate levels that exceed 10 mg/1; and
   (4) No adverse health effects shall
result.
  § 141.12 Maximum contaminant levels for
  organic chemicals.
    The following are the maximum
  contaminant levels for organic
  chemicals. The maximum contaminant
  levels for organic chemicals in
  paragraphs (a) and (b) of this section  ' .
  apply to all community water systems.
  Compliance with the maximum   .
  contaminant levels in paragraphs (a)
  and (b) is calculated pursuant to
  § 141.24. The maximum comtaminant
  level for total,trihalomethanes in
  paragraph (c) of this section applies only
  to community water systems which •
  serve a population of 10,000 or more
  individuals and which add a   .        .
  disinfectant (oxidant) to  the water in
  any part of the drinking water treatment
  process. Compliance with the maximum
  contaminant level for total
  trihalomethanes is calculated pursuant
  to § 141.30.
                                Level.
                              milligrams
                                per liter
  (a) Chlorinated hydrocarbons:
   Endrin (1,2,3,4,10, 10-hexachloro-  0.0002
     6,7-epoxy-l,4,  4a,5,6,7,8,8a-octa-
     hydro-l,4-endo, endo-5,8 - dl-
     methano naphthalene).
   Lindane    (1.2,3,4.6,6-hexachloro-  0.004
     cyclohexane, gamma Isomer).
   Methoxychlor    (1,1,1-Trlchloro-  0.1
     2, 2 - bis [p-methoxyphenyl]
     ethane).
   Toxaphene   (C10H10Cl,-Technlc»l  0.005
     chlorinated  camphene,  67-S9
     percent chlorine).
  (b) Chlorophenoxys:
   2,4 - D, (2,4-Dlchlorophenoxyace-  0.1
     tic acid).
   2,4,5-TP Sllvex  (2,4,5-Trlchloro-  0.01
     phenoxyproplonlc acid).
  (c) Total trihalomethanes (the sum of
the concentrations of
bromodichloromethane,
dibromochloromethane,
tribromomethane (bromofonn) and
trichloromethane (chloroform])
0.10 mg/1.
                         § 141.13   Maximum contaminant level*
                             for turbidity.
                           The maximum contaminant levels for
                         turbidity are applicable to both commu-
                         nity water systems  and non-community
                         water  systems  using  surface  water
                         sources in whole or in part. The maxi-
                         mum  contaminant  levels for turbidity
                         in drinking water, measured at a repre-
                         sentative »ntry point(s) to the distribu-
                         tion system, are:
                           (a)  One turbidity unit (TU),  as  de-
                         termined by a monthly average pursuant
                         to § 141.22,  except  that  five or fewer
                         turbidity units may be  allowed  if  the
                         supplier of water can demonstrate to the
                         State  that the higher turbidity does  not
                         do any of the following:
                           (1)  Interfere with disinfection;
                           (2)  Prevent maintenance of an effec-
                         tive disinfectant agent throughout  the
                         distribution system; or
                           (3)   Interfere with microbiological
                         determinations.
                           (b)  Five turbidity units based on an
                         average for two  consecutive days  pursu-
                         ant to § 141.22.
  § 141.14  Maximum microbiological con-
       taminant levels.
    The maximum contaminant levels for
  coliform bacteria,  applicable  to com-
  munity water  systems  and'non-c
  munity water systems, are as  folll
    (a)  When the membrane filter tl  _
  nique  pursuant to ! 141.21 (a)  is used,
  the  number of  coliform  bacteria shall
  not exceed any of the following:
    (1) One per 100 milliliters as the
  arithmetic mean of all samples
  examined per compliance period
  pursuant to § 141.21(b) or (c), except
  that, at the primacy Agency's discretion
  systems required to take 10 or fewer
  samples per month may be authorized to
  exclude one positive routine sample per
  month from the monthly calculation if:
  (i) as approved on a case-by-case basis
  the State determines and indicates in
  writing to the public water system that
  no unreasonable risk to health existed
  under the conditions of this
  modification. This determination should
  be based upon a number of factors not
  limited to the following: (A) the system
  provided and had maintained an active
  disinfectant residual in the distribution
  system, (B) the potential for
  contamination as indicated by a
  sanitary survey, and (C) the history of
  ihe water quality at the public water
  system (e.g. MCL or monitoring  .
  violations]; (ii] the supplier initiates a
  check sample on each of two
  consecutive days from the same
  sampling point within 24 hours after
  notification that the routine sample is <
  positive, and each of these check
  samples is negative; and (iii) the original
  positive routine sample is reported and
  recorded by the supplier pursuant to
  { 141.31(a) and § 141.33(a). The supplier
  shall report to the State its compliance
  with the conditions specified in this
  paragraph and a summary of the
  corrective action taken to resolve the
  prior positive sample result. If a positive
  routine sample is not used for the
  monthly calculation, another routine
  sample must be analyzed for compliance
  purposes. This provision may be used
  only once during two consecutive
  compliance periods.
   (2)  Four per 100  milliliters  in more
 than one sample when less than  20 are
 examined per month; or
   (3)  Four per 100 milliliters in more
 than five percent of the samples  when
 20 or  more are examined per month.
   (b) (1)  When the  fermentation tube
 method and  10  milliliter standard por-
 tions pursuant to  § 141.21 (a) are  used
 coliform bacteria shall not be present In
 any of the following:
  (i) More than 10 percent of the
 portions (tubes) in any one month
 pursuant to § 141.21 (b) or (c) except
 that, at the State's discretion, systems
 required to take 10 or fewer samples per
 month may be authorized to exclude on
 positive routine sample resulting in one
 or more positive tubes per month from
 the monthly calculation if: (A) as
 approved on a case-by-case basis the
State determines and indicates, in
writing to the public water system that

-------
 ao unreasonable risk to health existed
 under the conditions of this
 modification. This determination should
kba based upon a number of factors not
'limited to the following: (1) the system
 provided and had maintained an active
 disinfectant residual in the distribution
 system, (2) the potential for   •
 contamination as indicated by a
 sanitary survey, and (3) the history of
 tha water quality at the public water
 system (e.g. MCL or monitoring
 violations); (B) the supplier initiates a
 check sample on each of two
 consecutive days from the sampling
 point within 24  hours after notification
 that the routine sample is positive, and
 each of these check samples is negative;
 and (C) the original positive routine
 cample is reported and recorded by the
 supplier pursuant to § 141.31(a) and
 § 141.33(a). The supplier shall report to
 the State its compliance with the
 conditions specified in this paragraph
 and report the action taken to resolve
 the prior positive sample result. If a
 positive routine sample is not used for
 the monthly calculation, another routine
 sample must be analyzed for compliance
 purposes. This provision may be used
 only once during two consecutive
 comoliance neriods.
    (11)  three  or more portions  In  more
 than one sample when less than 20 sam-
 ples are examined per month; or
    (111) three or more portions in more
I than five percent of the samples  when
 20 or  more  samples are examined per
 month.
    (2)   When  the  fermentation   tube
 method and 100 milliliter standard por-
  tions  pursuant to  8 141.21(a) are  used,
  conform bacteria shall not be present In
  any of the following:
    (i) More than 80 percent of the
 portions (tubes) in any month pursuant
 to § 141.21 (b) or (c), except that, State
  discretion, systems required to take 10
  or fewer samples per month may be
  authorized to exclude one positive
  routine sample resulting in one or mere
  positive tubes  per month from the
  monthly calculation if: (A) as approved
  on a case-bv-case basis the State
  determines and Indicates in writing to.  ,
  the public water system that no
  unreasonable risk to health existed
  under the conditions of this
  modification. This determination should
  bo based upon a number of factors not
  limited to the following: (1] the system
  provided and had maintained an active
  disinfectant residual hi the distribution
  oystem, (2) the potential  for
  contamination as indicated by a  •  •.
  sanitary survey, and (iii) the history of
  the water quality at the public water
  oyotem (e.g. MCL or monitoring
  violations); (B) the supplier initiates two
  consecutive daily check samples from
  the same sampling point within 24 hours
  after notification that the routine sample
  is positive, and each of these check
   samples is negative; and (C) the original
   positive routine sample is reported and
  recorded by the supplier pursuant to
 § 141.31(a) and § 141.33(a). The supplier
 shall report to the State its compliance
 with the conditions specified in this
 paragraph and a summary of the
 corrective action taken to. resolve the
 prior positive sample result. If a positive
 routine sample is not used for the
 monthly calculation, another routine
 sample must be analyzed for compliance
 purposes. This provision may be used
 only once during two consecutive
 compliance periods.
   (11)  five portions  in  more than  one
 sample when less than five samples are
 examined per month: or
  (ill)  five  portions In more than  20
percent of the samples when five or more
samples are  examined per month.
  (c) For  community or non-community
systems that are required to sample at a
rate of  less  than 4 per month, compli-
ance with paragraphs (a),  (b)(l),  or
 (b) (2)  of this section shall be based upon
sampling  during a 3 month  period,  ex-
cept that,  at the discretion of the State,
compliance may be based upon sampling
during a one-month period.
  (d) If an average MCL violation is
caused by a single sample MCL
violation,  then the case shall be treated
 as one violation with respect to the
 public notification requirements of
 §141.32.
 § 141.IS  Maximum contaminant levels
     for  radium-226,  radium-228, and
     grow alpha particle radioactivity in
     community water systems.
  The  following are the maximum con-
 taminant  levels for radlum-226, radlum-
 228, and  gross alpha  particle  radio-
 activity:
   (a) Combined radium-226  and radl-
 um-228—5 pCl/1.
   (b) Gross alpha particle activity  (In-
 cluding radlum-226 but excluding radon
 and uranium)—15 pCl/1.   .
 8 141.16  Maximum contaminant levels
     for beta particle and photon radio-
     activity  from  man-made  radionu-
     elides in community water systems.
   (a) The average annual concentration
 of beta particle and photon radioactivity
 from man-made radionuclides in drink-
 Ing water shall not produce an  annual
 dose equivalent to the total body or any
 internal organ greater than 4 millirem/
 year.
   (b)  Except for the radionuclides listed
 In Table  A, the concentration of man-
 made radionuclides causing 4 mrem total
 body or organ dose equivalents shall be
 calculated on the basis of a 2 liter per
 day drinking water Intake using the 168
 hour data listed In "Maximum Permis-
 sible Body Burdens and, Maximum  Per-
 missible 'Concentration of Radionuclides
 in Air or Water  for Occupational Ex-
 posure,"  NBS Handbook 69 as amended
 August 1963,  U.S. Department of Com-
 merce. If two or more radionuclides are
 present,  the sum of their  annual  dose
 equivalent to  the total  body  or to  any
 organ shall not exceed 4 mlllirem/year.
 TABLE  A.—Average annual concentration*
    ostvmed to produce a total body or organ
    dote of ^ mrem/i/r
            Subpart C—Monitoring and Analytical
                      Requirements
          § 141.21  Microbiological   contaminant
              sampling  and  analytical  rcquire-
            .  menls.
            (a) Suppliers of water for community
          and non-community water systems shall
          analyze or use the services of an
          approved laboratory for coliform
          bacteria to determine compliance with
          S 141.14. Analyses shall be conducted in
          accordance with the analytical
          recommendations set forth in "Standard
          Methods for the Examination of Water
          and Wastewater," American Public
          Health Association, 14th Edition,
          Method 908A, Paragraphs 1, 2 and 3—
          pp. 916-918; Method 908O, Table 908:I—
          p. 923; Method 909A, pp. 928-935,  or
          "Microbiological Methods for  '
          Monitoring the Environment. Water and
          Wastes." U.S. EPA, Environmental
          Monitoring and Support Laboratory,
          Cincinnati, Ohio 45268—EPA-600/8-78-
          017, December 1978. Available from
          ORD Publications, CERI, U.S. EPA.
          Cincinnati. Ohio 45268. Part III. Section
          B 1.0 through 2.e:2. pp. 108-112; 2.7
          through 2.7.2(c). pp. 112-113; Part fll,
          Section B 4.0 through 4.6.4(c), pp. 114-
          118, except that a standard sample size
          shall be employed. The standard sample
          used in the membrane filter procedure
          shall be 100 milliliters. The standard
          sample used in the 5 tube most probable
          number (MPN) procedure (fermentation
          tube method) shall be 5 times the
          standard portion. The standard portion
          is either 10 milliliters or 100 milliliters as
          described in § 141.14 (b) and (c). The
          samples shall be taken at points which
          are representative of the conditions
          within the distribution system.
            (b)"The supplier of water for a com-
          munity water system shall take coliform
          density samples at .regular time inter-
          vals, and in number proportionate to the
          population served by the system. In no
          event shall the frequency be less than as
          set forth below:
    Kedlonucllde
                 Critical organ
  pCl
per filer
 Tritium	Totalbody...
 Btrontium-90	 Bone marrow.
                                  20,000

Population served:
25 to 1,000.- 	
1,001 to 2,500 	
2,501 to 3,300 	 	
3,301 to 4,100 	
4,101 to 4,900 	
4,901 to 5.800 	 	
5,801 to 6,700 	
6,701 to 7,600 	
7,601 to 8,500 	 	
8,601 to 9.400 	 	
9,401 to 10,300 	
10,301 to 11,100 	
11,101 to 12,000 	
12,001 to 12,900 	
12,901 to 13,700 	
13,701 to 14,600 	
14,601 to 15,500 	
15,501 to 16,300 	
16,301 to 17,200 	
17.201 to 18,100 	
18,101 to 18,900 	
18,901 to 19 800 	
19,801 to 20,700 	
20,701 to 21,500 	
21,501 to 22.300 	
22,301 to 23,200 	
23.201 to 24,000 	
24,001 to 24,900 	
24,901 to 25,000 	
25,001 to 28,000 	
Minimum number of
samples per month,
	 	 	 1
	 	 2
	 3
	 	 4
	 5
6
7
g
	 8
	 10
	 11
.:. 	 12
._., 	 18
	 14
	 15
	 16
	 	 	 17
	 	 18
	 	 19
	 	 	 20
	 21
	 22
	 	 23
	 	 24
	 	 25
	 	 26
	 	 27
	 	 28
	 	 29
	 30

-------
  28,001 to 33.000 ____________________    35
  33.001 to 37.000 ____ ................    40
  37.001 to 41,000 ....................    45
  4i.ooi to 46.000 ....................    60

  mmi I°2«S ....................    eo
  MOO! to 59 ooo"" ................    66
  egiool to 64:ooo::::::::::::"":i"    70
  64,ooi to 70,000 .......... . .........    75
  7o',ooi to 76!oooIIII"IIIIIII _______    so
  76,001 to 83,ooo ____________________    86
  83,001 to 90.000 ....................    90
  90,ooi to 96,000. ..... . .............    96

  EfSo.* Mib0^— " ........... "   \w
  i»oo  SiwoSo ................ ""   i»
  I6o'ooi to IQO'OOO ............ ".'."'.   130
  i90.'ooi to 220,000 ..................   140
  220,001 to 250.ooo ..................   160
  250,001 to 290,000 ..................   160
  290.001 to 320.000.. ................   170
  320.001 to 360.000- ................   180

  2S nm r  4™ nnn ..................   300
  *w 001 to 500,000 ...... 1::::":::::   210
  eoo'ooi to sso ooo         ...... ..   220
  55o!ooi to soo.ooo ..................   230
  eoo.ool to 660,000 ...... ------------   240
  660,001 to 720,000 ..................   250
  720,001 to 780,000 ..................   280

  2o m! E SfS'SS ..................   llo
  SIooo! to &70 OTO"~ ...............   a!x>
  970001 to 1050066"     ........   300
  1,050,001 to 1,140,000 ...............   3io
  1,140,001 to i,23o,ooo ...............   320
  1,230,001 to 1,320,000 ---------------   330
  1,320.001 to 1,420,000- .............   340
  1,420,001 to 1.520,000 ...............   360

  i «o£i £  '?3o ooo ...............   STO
  1 73owl to ! uoooH ........ Hi::::   380
  i'.85o[ooi to i[970.ooo ...............   390
  i[97o[ooi to 2]o6o!ooo _______________   400
  2,060,001 to 2,270,000 ---------- . -----   410
  2,270,001 to 2,510.000 ...............   420
  2,510,001 to 2.750,000 ........ . ......   430

               "    -. ..............   tw
                    ::::::::::::::   SS
  3,620,001 tc 3,960,000 ...............   470
  3,960,001 to 4,310,000 _______________   480
  4,310;001 to 4,690,000 ...... - ........   490
  4,690,001 or more ..................   600

Based on a history of no eoliform bac-
terial contamination and on a sanitary
       by  the State showing the  water
       to  be suDDUed sokiy by a pro-
tecte  ground water ^source ! and free of
               a. pnmrminitv water svs-
             as  to  S Dysons  witti
writtenermiilion from the S may
reduce thta samSing ^Trequency except
  (c) The supplier of water for a non-
                        shall be
bactena m each calendar quarter that
the system provides water to the public.
Such sampling shall begin within two
years after promulgation. The State can
adjust the monitoring frequency on the
basis of a sanitary survey, the existence
nfnrfHiHonnlsnfpoiiarHqmirhasa
of additional safeguards ouch as a
protective and enforced well code, or
accumulated analytical data. Such
frequency shall be confirmed or
modified on the basis of subsequent
surveys or data. The frequency shall not
be Juced until the non^onimunity
water system has performed at least one
coliform analysis  of its drinking water
and shown to be in compliance with
§141.14.
       When conform bacteria occur in all
   five of the  100 ml portions of a single
   sample  (8 141.14(b)(2)>,  at least two
  ''daily  check samples shall be  collected
   and examined from the  same sampling
   p^t Additional check samples shall  be
   ejected  daily,  or at a frequency estab-
   "^ed by the State, until the results ob-
   talned from at  least two consecutive
   check samples show no positive tubes.
     (4)  The location at which the check
   samples were taken pursuant to para-
   graphs (d> (1) , (2) , or (3) of this section
   shaU not  be eilmmated from future sam-
        without approval of the State. The
         from all coliform bacterial analy-
   ses performed pursuant to this subpart,
   except those obtained from check sam-
   pies and special purpose samples, shall be
   u^d to determine compliance with the
   maximum contaminant level for coliform
   bacteria M established in § 141.14. Check
   j»mpiesshaii not be included mcaicuiat-
   Ing the total number of samples taken
   each  month to determine compliance
   with 8 141.21 (b) or (C).
     (e)  when the presence of  coliform
   bacteria in water taken from a particular
   sampling  point has been confirmed  by
   any check samples examined as directed
   ta Paragraphs (d) (1) . (2) , or (3)  of this
   ***<>". the «uPP"er of water shall re-
   P°r* *° the -State within 48 hours.
     «>  When a maximum  contaminant
   ^el set forth In paragraphs (a) , (b)  or
   <«> <* « "1.14 Is exceeded, the supplier
       ! 141-32- ,
     (g) Special  purpose samples, such as
   ^os* taken to determine whether dis-
   jnfectjon practices following pipe place-
   ment, replacement, or repair have been
   sufficient, shall not be used to determine
   compliance with § 141.14 or 1 141.21 (b)
   or  A  supplier of  water  of a corn-
   mun}*y  w&ter system or a  non-com-
   munlty  water system may. with  the
   approval of the State and based upon a
   sanltery  survey, substitute the use of
   chlorine residual monitoring for not more
   than 75 percent of the samples  required
   to be taken by paragraph (b)  of  this
   section, Provided, That the  supplier of
   conditions, within the distribution sys-
   tern at the frequency of at least four for
   each substituted microbiological sample.
There shall be at least daily determina-
tions of chlorine residual. When the sup-
plier of water exercises the option pro-
vided in  this paragraph  (h)  of th:
section, he shall maintain no less thi
0.2 mg/1  free chlorine throughout tl1
public water distribution system. When a
particular  sampling  point  has  been
shown to have a free chlorine residual
less than 0.2 mg/1, the water at that loca-
tion shall be  retested as soon as prac-
ticable and in any event within one hour.
if the original analysis is confirmed, this
fact shall be reported to the State within
48  hours. Also, if the analysis Is con-
firmed,  a sample for coliform bacterial
analysis  must be collected  from that
sampling  point as soon as practicable and
preferably within one hour, and the re-
sults of such analysis _ reported to the
State within  48 hours 'after the results
are known to the  supplier of  water.
Analyses  for  residual chlorine shall  be
made  in accordance with  "Standard
Methods for the Examination  of  Water
and Wastewater," 13th Ed., pp. 129-132.
Compliance  with  the maximum con-
taminant levels  for  coliform  bacteria
shall be determined on the monthly mean
or  quarterly  mean  basis specified  in
§ 141.14, including those samples taken
as a result of  failure to maintain the re-
quired chlorine residual level. The State
may withdraw its approval of the use of
chlorine  residual  substitution at any
time.
   (i) The State has the authority to
.determine compliance or initiate
enforcement action based upon
analytical results or other, information
•compiled  by.their sanctioned
representatives and agencies.
 § 141.22  Titf&faltty sampfeg and sncSyted
 requirements.
   (a) Samples shall be taken by
 suppliers of water for both community
 and non-community water systems at a
 representative entry point(s) to the
 water distribution system at least once
 per day. for the purpose of making
 turbidity measurements to determine
 compliance with § 141.13. If the State
 determines that a reduced sampling
 frequency in a non-community system
 will not pose a risk to public health, it
 can reduce the required sampling
 frequency. The option of reducing the
 turbidity frequency shall be  permitted
 only in those public water systems that
 practice disinfection and which
 maintain an active residual disinfectant
 in the distribution system, and in those
cases where the State has  indicated in
 writing that no unreasonable risk to   .
 health existed under the circumstances
 of this option. The turbidity
 measurements shall be made by the
 Nephelometric Method in accordance
 with the recommendations set forth ta
 "Standard Methods for Examination of
 Water and Wastewater." American
 Public Health Association. 14th Editioal
 pp. 132-134: or Method 180.1.1-        "
 Nephrometric Method.
•*;••

-------
    (b)  If the result of a turbidity analysis
  Indicates that the maximum allowable
  limit has been  exceeded; the sampling
  and measurement shall be confirmed by
  resampling as soon as practicable and
  preferably within one hour. If the repeat
  sample confirms that the maximum al-
  lowable limit has been exceeded, the sup-
  plier of water shall report to the State
  within 48 hours. The repeat sample shall
  be the sample used for the  purpose of
  calculating the monthly average. If the
  monthly  average  of  the daily samples
  exceeds the maximum allowable limit, or
  if the average of two samples taken on
  consecutive days exceeds 5 TU, the sup-
  plier of water shall report to the State
  and notify the public  as  directed in
  § 141.31 and § 141.32.
    (c)  Sampling   for   non-community
  water  systems shall  begin  within two
  years after the effective date of this part.
    (d)  The requirements of this § 141.22
  shall apply only to public water systems
  which use water obtained in whole or in
  part from surface  sources.
   (e) The State has the authority to
  determine compliance or initiate
  enforcement action based upon
  analytical results or other information
  compiled by their sanctioned
  representatives and agencies.
  § 141.23  Inorganic  chemical sampling
      und anal) liciil requirements.
    (a)  Analyses for the purpose of de-
  termining compliance with § 141.11 are
  required as follows:
    (1) Analyses for all community water
  systems  utilizing  surface water sources
  shall be  completed within one year fol-
  lowing the effective date of  this  part.
  These analyses shall  be  repeated  at
  yearly intervals.
   (2) Analyses for all community water
  systems  utilizing  only  ground  water
  sources shall be completed within  two
  years following the effective date of this
  part. These analyses shall  be repeated
  at three-year intervals.
   (3) For non-community water systems,
 whether supplied by surface or ground
 sources, analyses for nitrate shall be
 completed by December 24,1980. These
 analyses shall be repeated at intervals
 determined by the State.
   (4) The State has the authority to
 determine compliance or initiate
 enforcement action based upon
 analytical results and other information
 compiled by their sanctioned
 representatives and agencies.
  (b) If the result of an analysis made
pursuant to paragraph (a) indicates that
the level of any contaminant  listed in
§ 141.11 exceeds the maximum contam-
inant level, the supplier of water shall
report to  the State within 7 days and
initiate three additional  analyses at the
same sampling point within one month.
  (c) When the average of four analyses
made pursuant to paragraph (b)  of this
section, rounded to the same number of
significant figures as the maximum con-
taminant level for the substance in ques-
tion, exceeds the maximum contaminant
level, the  supplier of water shall notify
the State  pursuant to 8141.31  and give
notice to the public pursuant to § 141.32.
Monitoring after public notification shall
 be at a frequency designated by the State
 and shall continue until the  maximum
 contaminant level has not been exceeded
 in two successive samples or until a mon-
 itoring  schedule  as  a  condition to a
 variance, exemption or enforcement ac-
 tion shall become effective.
   (d)  The provisions of paragraphs (b)
 and (c) of this section notwithstanding,
 compliance with the maximum contam-
 inant level for nitrate shall be determined
 on the basis of the mean of two analyses.
 When a level exceeding the  maximum
 contaminant level for nitrate is  found,
 a second analysis shall be initiated within
 24 hours, and if the mean of the two
 analyses exceeds the maximum contam-
 inant level, the supplier of water shall
 report his findings to the State pursuant-
 to 9 141.31 and shall notify the  public
 pursuant to § 141.32.
   (e) For the initial analyses required
 by paragraph (a)(l), (2) or (3) of this
 section, data for surface waters acquired
 within one year prior to the effective date
 and data for ground waters acquired
 within 3 years prior to the effective date
 of this  part  may be substituted at the
 discretion of the State.
   (f) Analyses conducted to determine
 compliance with § 141.11 shall be made
 in accordance   with   the   following
 methods:
    (1) Arsenic—Method ' 206.2, Atomic
  Absorption  Furnace Technique; or
  Method ' 208.3, or Method 4D2972-78A.
  or Method *301.A VII, pp. 159-162, or
  Method 31-1082-78. pp. 61-63, Atomic
  Absorption—Gaseous Hydride; or
  Method ' 208.4, or Method 4D-2972-78A.
 or Method '404-A and 404-Bf4),
 Spectrophotometric, Silver
 Diethyldithiocarbamate.        "     •  -
   (2) Barium—Method' 208.1. or
 Method1301-A IV. pp. 152-155, Atomic
 Absorption—Direct Aspiration: or
 Method1208-2. Atomic Absorption
Furnace Technique..
   (3) Cadmium—Method 1213.1. or
 Method 4 3557-78A or B, or Method *
 301-A II or III. pp. 148-152, Atomic
 Absorption—Direct Aspiration; or
 Method ' 213.2, Atomic Absorption •
 Furnace Technique.               .
   (4) Chromium—Method 1218.1. or
 Method 4D-1687-77D, or Method "301-
 A II or III. pp. 148-152, Atomic
 Absorption—Direct Aspiration; or
 Chromium—Method ' 218.2, Atomic
 Absorption Furnace Technique.
   (5) Lead—Method ' 239.1. or Method 4
 D-3559-78A or B, or Method * 301-A II
 or HI, pp. 148-152, Atomic Absorption—
 Direct Aspiration; or Method ' 239.2,
 Atomic Absorption Furnace Technique.
   (6) Mercury—Method * 245.1.  or      ;
 Method 4D-3223-79, or Method * 301-A
 VI. pp. 158-159. Manual Cold Vapor
 Technique; or Method ' 245.2,
 Automated Cold Vapor Technique..   ' .
  (7) Nitrate—Method  ' 352,1. or
 Method 4D-992-71, or Method '419-D,
pp. 427-429, Colorimetric Brucine; or
Method  '353.3, or Method 4D-3867-79B.
or Method * 419-C, pp. 423-427.
Spectrometric, Cadmium Reduction;
  Method ' 353.1. Automated Hydrazine
  Reduction; or Method ' 353.2, or.
  Method 4D-3887-79A. or Method *605,
  pp. 820-624, Automated Cadmium
  Reduction.
   (8) Selenium—Method ' 270.2. Atomic
  Absorption Technique; or Method '
  270.3; or Method * 1-1667-78. pp. 237-239,
  or Method 4 D-3859-79, or Method * 301-
  A VII, pp. 159-182. Hydride
  Generation—Atomic Absorption
  Spectrophotometry.
   (9) Silver—Method ' 272.1, or Method *
  301-A n, Atomic Absorption—Direct
  Aspiration; or Method ' 272.2, Atomic
  Absorption Techniques Furnace
  Technique.
   (10) Fluoride—Electrode Method, or
  SPADNS Method. Method '414-B and C.
  pp. 391-394, or Method ' 340.1,
  "Colorimetric SPADNS with Bellack
  Distillation," or Method '340.2.
  "Potentimetric  Ion Selective Electrode;"
 or ASTM Method 4 D1179-72; or
 Colorimetric Method with Preliminary
 Distillation. Method '603, Automated
 Complexone Method (Alizarin Fluoride
 Blue) pp. 614-616; or Automated
 Electrode Method, "Fluoride in Water  •
 and Wastewater," Industrial Method
 #380-75VVE, Technicon Industrial
 Systems. Tarrytown.-New York 10591,
 February 1976,  or "Fluoride in Water  .
 and Wastewater Industrial Method
 #129-71W," Technicon Industrie?
 Systems. Tarrytown, New York 10591,
 December 1972; or Fluoride, Total,
 Colorimetic, Zirconium—Eriochrome
 Cyanine R Method *—1-3325-78. pp.
 365-367.

  §141.24  Organic chemical* other than
  total trlhalmmthanea, sampling and
  analytical requirements.
    (a) An analysis of substances for the .
  purpose of determining compliance with
  § 141.12(a) and § 141.12(b) shall be made
  as follows:
   (1) For all community water systems
 utilizing surface water sources, analyses
 shall be completed within one year fol-
 lowing  the  effective date of this  part.
 Samples analyzed shall be collected dur-
 ing the period of the year designated by
 the State as the period when  contami-
 nation  by  pesticides is most  likely  to
 occur. These analyses shall be repeated
 at Intervals specified by the State but
 in no event less frequently than at three
 year Intervals.
  (2) For  community  water  systems
 utilizing only  ground  water  sources,
analyses shall be completed by those sys-
tems specified by the State.
  (3) The State has the authority to
 determine compliance or initiate
 enforcement action based upon
 analytical results and other information
 compiled by their sanctioned
representatives  and agencies.
  (b) If the result of an analysis made
 pursuant to paragraph (a) of this section
 indicates that the level of any
 contaminant listed in § 141.24 (a) and (b)

-------
  exceeds the maximum contaminant
  level, the supplier of water shall report
  to the State within 7 days and initiate
  three additional analyses within one
  month.                       •
  (c) When the average of four analyses
made pursuant to paragraph (b) of this
section, rounded to the same number of
significant figures as the maximum con-
taminant level for the substance in ques-
tion, exceeds the maximum contaminant
level, the supplier of water shall report
to the State pursuant to § 141.31 and give
notice to the public pursuant to  § 141.32.
Monitoring after public notification shall
be at a'frequency designated by the State
and  shall continue until the  maximum
contaminant level has not been exceeded
in two successive samples or  until  a
monitoring schedule as a condition to ft
variance, exemption or enforcement ac-
tion  shall become effective.
  (d) For the initial analysis required
by paragraph (a)  (1) and (2) of  this
section, data for  surface water acquired
within one year prior to  the effective
date of this part and data for ground
water acquired within three years prior
to the effective date of this part may be
substituted at the discretion of the State.
  [ej Analysis made to determine
compliance with § 141.12(a) shall be
made in accordance with "Methods for
Organochlorine Pesticides and
Chlorophenoxy Acid Herbicides in
Drinking Water and Raw Source
Water," available from ORD
Publications, CERI, EPA, Cincinnati.
Ohio 45268; or "Organochlorine
Pesticides in Water," 1977 Annual Book
of ASTM Standards, part 31, Water,
Method D3088; or Method 509-A, pp.  .
555-565;2 or Gas Chromatographic
Methods for Analysis of Organic
Substances in Water,5 USGS, Book 5,
Chapter A-5, pp. 24-39.
  (f) Analysis made to determine
compliance with § 141.12(b) shall be
conducted in accordance with "Methods
for Organochlorine Pesticides and   •
Chlorophenoxy Acid Herbicides in
Drinking Water and Raw Source
Water," available from ORD
Publications, CERI, EPA, Cincinnati,
Ohio 45268; or "Chlorinated Phenoxy
Acid Herbicides in Water," 1977 Annual
Book of ASTM Standards, part 31,
Method D3478; or Method 509-B, pp.  ...
555-5692; 2 or Gas Chromatographic
Methods for Analysis of Organic
Substances in Water,6 USGS, Book 5,
Chapter A-3, pp. 24-39.
  1 "Methods of Chemical Analysis of Water and
Wastes," EPA Environmental Monitoring and
Support Laboratory. Cincinnati, Ohio 45268 (EPA-
600/4-79-020). March 1979. Available from ORD
Publications, CERI, EPA. Cincinnati. Ohio 45268. Pot
approved analytical procedures for metals, the
technique applicable to total metals must be used.
  '"Standard Methods for the Examination of
Water and Wastewater." 14th Edition. American
Public Health Association, American Water Works
Association. Water Pollution Control Federation.
1976.
  § 141.25  Analytical Methods for Radio.
       activity.

    (a) The methods specified in Interim
  Radiochemlcal Methodology tor Drink-
  ing  Water, Environmental Monitoring
  and Support Laboratory, EPA-600/4^75-
  008.  USEPA, Cincinnati, Ohio 45268, or
  those listed below, are to be used to de-
  termine compliance with §S 141.15  and
  141.18 (radioactivity)  except  In cases
  where alternative methods have been ap-
  proved in accordance with  { 141.27.
    (1) Gross  Alpha  and Beta—Method
  302 "Gross Alpha and Beta Radioactivity
  in Water" Standard Methods for the Ex-
  amination  of Water and  Wastewater.
  13th  Edition, American Public Health
  Association, New York, N.Y., 1971.
    (2) Total Radium—Method 304 "Ra-
  dium in Water by Precipitation" Ibid.
    (3) Radium-226—Method 305 "Radl-
  um-226 by Radon in Water" Ibid.
    (4) Strontlum-89,90 — Method   303
  "Total Strontium  and  Strontium-90 In
  Water" Ibid.
    (5) Tritium—Method 306 "Tritium In
  Water" Ibid.
    (6) Cesiura-134 —  ASTM    D-2459
  "Gamma Spectrometry  in Water,"  1975.
  Annual Book of ASTM Standards, Water
  and  Atmospheric  Analysis,  Part  31,
  American Society for Testing and Mate-
  rials, Philadelphia, PA.  (1975).        -
    (7)  Uranium—ASTM D-2907  "Micro-
  quantities  of  Uranium In  Water by
  Pluorometry," Ibid.
    (b) When the Identification and meas-
  urement  of  radionuclides   other  than
  those listed in paragraph (a) is required,
  the following references are to be used,
  except  in  cases  where   alternative
  methods have been approved in  accord-
  ance  with  § 141.27.
    (1)  Procedures  for   Radiochemlcal
  Analysis of Nuclear Reactor Aqueous So-
  lutions. H. L. Krieger and S. Gold, EPA-
  R4-73-014. USEPA,   Cincinnati, Ohio,
  May 1973.
    (2)  HASL Procedure  Manual, Edited
  by John H. Harley.  HASL  300, ERDA
  Health and  Safety  Laboratory,  New
  York, N.Y., 1973. -         -            .
    (c)  For the  purpose of  monitoring
  radioactivity concentrations  in drinking
  water,  the required  sensitivity  of the
  radioanalysis is defined in terms of a de-
  tection limit. The  detection limit shall
  be that concentration  which  can  be
  counted with a precision of plus or minus
  100 percent at the 95 percent confidence
  level  (1.96 A  gross  alpha  particle activity
measurement may be substituted for the
required  radlum-226  and  radium-228
analysis Provided,  That the measured
gross alpha particle activity does not ex-
ceed 5 pCl/1 at a confidence level  of 95
percent  (1.65
-------
than half the maximum contaminant
levels established by § 141.15, analysis of
a  single sample may be substituted for
the  quarterly  sampling  procedure re-
quired by paragraph  (a) (1).
   (1) More frequent monitoring shall be
conducted when ordered by the State In
the vicinity of mining or other operations
which  may  contribute  alpha  particle
radioactivity to either surface or ground
water sources of drinking water.
   (11)  A supplier of water shall monitor
in conformance with paragraph (a) (1)
within one year of the introduction of ft
new water source for a community water
system. More frequent monitoring shall
ba conducted when ordered by the State
In the event of possible contamination or
when changes in the  distribution system
or treatment processing occur which may
increase  the concentration  of radio-
activity In finished water.
   (111}  A community water system uslnc
tno or more sources having different con-
 emtrafclona of radioactivity shall monitor
 source water. In addition to water from
 a free-flowing tap, when ordered by the
 State.       '.••*•    '
   (Iv)  Monitoring for  compliance with
 1141.15 after the Initial period need not
 Include radium-228 except when required
 by the State, Provided, That the average
 annual concentration of radium-228 has
 been assayed  at least  once using the
 Quarterly sampling procedure required by
 paragraph (a) (1).
' -' (y)  Suppliers of water shall conduct
. ftmymi  monitoring of any  community
• water system In which  the  radlum-226
 concentration exceeds 3 pCi/1, when or-
 dered by the State.
'   (4)  If the average annual maximum
 contaminant level for gross alpha parti-
cle activity or total radium as set forth
in S 141.15 is exceeded, the supplier of a
community water system shall give no-
 tice to the State pursuant to § 141.31 and
notify the public as required by § 141.32.
Monitoring at quarterly  Intervals  shall
ba continued until the annual average
concentration  no longer exceeds  the
maximum contaminant level or until a
monitoring schedule as a condition to a
variance, exemption or enforcement ac-
 tion shall become effective.
   (b) Monitoring requirements for man-
made radioactivity in community  water
systems.
   (1) Within two years of the  effective
date of this  part, systems using surface
water sources  and serving  more  than
 100,000  persons  and such  other  com-
munity water systems as  are designated
by the State shall be monitored for com-
pliance  with § 141.16 by analysis of a
 composite of four consecutive quarterly
samples  or  analysis of  four  quarterly
 samples. Compliance with § 141.16 may
foe assumed  without  further analysis  if
 the average annual concentration  of
gross beta particle activity Is less than
 60 pCl/1 and if the average annual con-
 centrations of  tritium and strontium-90
are less than those listed in Table A, Pro-
vided,  That If both radionuclides are
present the  sum of  their annual dose
equivalents to bone marrow shall not ex-
 ceed 4 mllllrem/year.
   (1) If the gross beta particle activity
exceeds 50 pCl/1. an analysis of the sam-
ple must be performed  to identify the
major  radioactive constituents present
and the appropriate organ and total body
doses shall be calculated to determine
•compliance with 1141.16.
   (11)  Suppliers of water shall conduct
additional monitoring, as ordered by the
State, to determine the concentration of
man-made radioactivity in principal wa-
tersheds designated by the State.
   (Ill) At the discretion of the State,
suppliers  of water utilizing only ground
waters may be required to monitor for
man-made radioactivity.
   (2)  For the initial analysis required
by  paragraph  (b) (1)  data  acquired
within one year prior to the effective date
of this part may be  substituted at the
discretion of the State.
   (3)  After the Initial analysis required
by paragraph (b) (i)  suppliers of water
shall monitor at least every four years
following the procedure given In para-
graph (b)(l).
   (4)  Within two years of the effective
date of these regulations the supplier
of any community, water system desig-
nated by the State as utilizing waters
contaminated by effluents from nuclear
facilities  shall initiate quarterly moni-
toring for gross beta particle and lodine-
131 radioactivity and  annual monitoring
for strontium-90 and  tritium.
   (1) Quarterly monitoring for gross beta
particle activity shall be based on the
analysis of monthly samples or the ana-
lysis  of a composite  of three monthly
samples.  The former is recommended.
If the gross beta,.particle activity  In a
sample exceeds 15 pCi/1, the same or an
equivalent sample shall be analyzed for
strontium-89 and cesium-134. If the gross
beta particle activity  exceeds 50 pCl/1.
an analysis of the sample must be per-
formed to identify the major radioactive
constituents present and the appropriate
organ and total body  doses shall be cal-
culated to determine compliance  with
! 141.16.
 •  (11)  For lodine-131,  a composite  of
five  consecutive daily samples shall be
analyzed  once each quarter. As ordered
by the State, more frequent monitoring
shall be  conducted when iodine-131 is
identified in the finished water.
   (ill) Annual  monitoring for  stron-
tium-90 and tritium shall be conducted
by means of the analysis of a  composite
of four consecutive quarterly samples or
analysis of four quarterly samples.  The
latter procedure Is recommended.
   (Iv) The State may allow the substi-
tution  of environmental  surveillance
data taken In conjunction with a nuclear
facility for  direct monitoring of man-
made  radioactivity by the  supplier  of
water where  the State determines such
data is applicable to  a particular com-
munity water system.
   (5) If the average  annual maximum
contaminant level for man-made radio-
activity set forth in §  141.16 Is exceeded,
the operator  of a community water sys-
tem  shall give, notice to the State  pur-
suant to § 141.31 and to the public as re-
quired  by   § 141.32.   Monitoring   at
monthly intervals shall be qontinued un-
til the concentration  no longer exceeds
the maximum contaminant level or until
a monitoring schedule as a condition to
a  variance,  exemption or enforcement
action shall become effective.
 5141.27  Alternate analytical techniques.
   (a) With the written permission of the
 State, concurred in by the Administrator

 of the U.S. EPA, an alternate analytical
 technique may be employed. An
 alternate technique shall be accepted
 only if it is substantially equivalent to
 the prescribed test in both precision and
 accuracy as it relates to the
 determination of compliance with any
 MCL. The use of the alternate analytical
 technique shall not decrease the
 frequency of monitoring required by this
 part. '    ;        .
  § 141.26  Approved laboratories.
    (a) For the purpose of determining
  compliance with § 141.21 through
  § 141.27, samples may be considered
  only if they have been analyzed by a
  laboratory approved by the State except
  that measurements for turbidity,  free
  chlorine residual, temperature and pH
  may be performed by any person
  acceptable to the State.
    (b) Nothing in this Part shall be
  construed to preclude the State or any
•  duly designated representative of the •
  State from taking samples or from using
  the results from such samples to
  determine compliance by a supplier of
  water with the applicable requirements
  of this Part.

§ 111.29   Monitoring of consecutive jnili-
    liv water systems.
  When a public water system supplies
water to one or more other public water
systems, the State may modify the moni-
toring requirements  imposed  by  this
part to the extent that the interconnec-
ion of the sysems jusifies treating them
as a single system for monitoring pur-
poses. Any modified monitoring shall be
conducted pursuant to a schedule speci-
fied by the State and concurred in  by the
Administrator of the U.S.  Environmental
Protection Agency.

 {141.30  Total trlhalomethanes sampling,
 analytical and other requirements.
   (a) Community water system which
 serve a population of 10,000 or more
 individuals and which add a
 disinfectant (oxidant) to the water in
 any part of the  drinking water treatment
 process shall analyze for total
 trihalomethanea in accordance with this
 section. For systems serving 75,000 or
 more individuals, sampling and analyses
 shall begin not  later than 1 year after the
 date of promulgation of this regulation.  '
 For systems serving 10,000 to 7^.999

-------
individuals, sampling and analyseo shall
begin not later than 3 years after the
date of promulgation of this regulation.
For the purpose of this section, the
minimum number of samples required to,
be taken by the system shall be based
on the number of treatment plants used
by the system, except that multiple
wells drawing raw water from a single
aquifer may, with the State approval, be
considered one treatment plant  for •
determining the minimum number of   '
samples. All samples taken within an
established frequency shall be collected
within a 24-hour period.     '•••''        •:
  (b)(l) For all community water
systems utilizing surface water sources
in whole or in part, and for all
community water systems utilizing only
ground water sources that have not been
determined by the State to qualify for
the monitoring requirements of
paragraph (c) of this section, analyses  •"•
for total trihalomethanes  shall be
performed at quarterly intervals on at
least four water s'amples for each
treatment plant used by the system. At •
least 25 percent of the samples shall be
taken at locations within the •'    •-•'    '-
distribution system reflecting the
maximum residence time of the  water in
the system. The remaining 75 percent
shall be taken at representative -  -
locations in the distribution system,   :
taking into account number of persona
served, different sources of water and
different treatment methods employed.
The results of all analyses per quarter  .
shall be arithmetically averaged and
reported to the State within 30 days of
the system's  receipt  of such results.
Results shall also be reported to EPA
until such monitoring requirements have
been adopted by the State. All samples
collected shall be used in the
computation of the average, unless the  '
analytical results are invalidated for
technical reasons. Sampling and
analyses shall be conducted in         ••
accordance with the methods listed in
paragraph (e) of this section.  •     "• •-'•
  (2) Upon the written request of a  '  : '
community water system, the monitoring
frequency required by paragraph (b)(l)
of this section may be reduced by the
State to a minimum of one sample
analyzed for TTHMs per quarter taken
at a point in the distribution system    '
reflecting the maximum residence time
of the water in the system, upon a     '*''
written determination by the Stats that •
the data from at least 1 year of
monitoring in accordance with   ••"•-•'
paragraph (b)(l) of this section and local
conditions demonstrate that total
trihalomethane concentrations will bS
consistently below the maxinu'~
contaminant level.
  (3) If at any time during which the
reduced monitoring frequency
prescribed under this paragraph applies,
the results from any analysis exceed
0.10 mg/1 of TTHMs and such results are
confirmed by at least one check sample
taken promptly after such results are
received, or if the system makes any
significant change to its source of water
or treatment program, the system shall
immediately begin monitoring in
accordance with the requirements of
paragraph (b)(l) of this section, which
monitoring shall continue for at least 1
year before the frequency may be
reduced again. At the option of the
State, a system's monitoring frequency
may and should be increased_above the
minimum in those cases wheFe it is
necessary to detect variations of TTHM
levels within the distribution system.
  (c)(l) Upon written request to the
State, a community water system
utilizing only ground water sources may
seek to have the monitoring frequency
required by subparagraph (1) of
paragraph (b) of this section reduced to
a minimum of one sample for maximum
TTHM potential per year for each
treatment plant used by the system
taken at a point in the distribution
system reflecting maximum residence
time of the water in the system. The
system shall submit to the State the
results of at least one sample analyzed
for maximum TTHM potential for each
treatment plant used by the system  •
taken at a point in the distribution
system reflecting the maximum
residence time of the water in the
system. The system's monitoring
frequency may only be reduced upon a
written determination by the State that,
based upon the data submitted by the
system, the system has a maximum
TTHM potential of less than 0.10 mg/1
and that, based upon an assessment of
the local conditions of the system, the
system is not likely to approach or
exceed the maximum contaminant level
for total TTHMs. The results of all
analyses shall be reported to the State
within 30 days of the system's receipt of
such results. Results shall also be
reported to EPA until such monitoring
requirements have been adopted by the
State. All samples collected shall be
used for determining whether the system
must comply with the monitoring
requirements of paragraph (b) of this
section, unless the analytical results are
invalidated for technical reasons.
Sampling and analyses shall be
conducted in accordance with the
methods listed in paragraph (e) of this
section.             . *  •
  (2) If at any time during which the
reduced monitoring frequency
 prescribed under paragraph fc)(l) of this
 section applies, the results from any
 analysis taken by the system for
 maximum TTHM potential are equal to
 or greater than 0.10 mg/1, and such
 results are confirmed by at least one
 check sample taken promptly after such
 results are received, the system shall
 immediately begin monitoring in
 accordance with the requirements of
 paragraph (b) of this section and such
 monitoring shall continue for at least
 one year before the frequency may be
 reduced again. In the event of any
 significant change to the system's raw
 water or treatment program, the system -
 shall immediately analyze an additional
 sample for maximum TTHM potential
 taken at a point in the distribution
 system reflecting maximum residence   i
 time of the water in the system for the
 purpose of determining whether the
 system must comply with the monitoring
 requirements of paragraph (b) of this
 section. At the option of the State,    •
 monitoring frequencies may and should
 be increased above the minimum in
 those pases where this is necessary to
 detect variation of TTHM levels withim
 the distribution system.
   (d) Compliance with § 141.12(c) shall
 be determined based on a running
 annual average of quarterly samples
 collected by the system as prescribed to
 subparagraphs (1) or (2) of paragraph (bj
 of this section, If the average of sampled
 covering any 12 month period exceeds
 the Maximum Contaminant Level, 'tha
 supplier of water shall report to the
 State pursuant to  § 141.31 and notify the
 public pursuant to § 141.32. Monitoring
 after public notification shall be at a
 frequency designated by the State and.
 shall continue until a monitoring   •   ,.
 schedule as a condition to a varianca,
 exemption or enforcement action shall
 become effective.
   (e) Sampling and analyses made
 pursuant to  this section shall be
 conducted by one of the following EPA
 approved methods:
-—..(1) "The Analysis of Trihalomethsneo
 in 'Drinking Waters by the Purge and
 Trap Method," Method 501.1, EMSL,
 EPA Cincinnati, Ohio.
   (2) "The Analysis of Trihalomethanes
 in Drinking Water by Liquid/Liquid
 Extraction/Method 501.2, EMSL, EPA
 Cincinnati, Ohio.
 Samples for TTHM shall be
 dechlorinated upon collection to prevent
 further production of Trihalomethanao,
 according to the procedures described in
 the above two methods. Samples for
 maximum TTHM  potential should not be
 dechlorinated, and should be held for
 seven days  at 25* C prior to analysis,    >

         (or

-------
according to the procedures described in
the above two methods.   ...    .
  (f) Before a community water system
makes any significant modifications to .
its existing treatment process for the
purposes of achieving compliance with
§ 141.12(c). such system must Submit
and obtain State approval of a detailed
plan setting forth its proposed         •:«
modification and those safeguards that
it will implement to ensure that the   .,, <
bacteriological quality of the drinking
water served by such system will not be
adversely affected by  such modification.
Each system shall comply with the
provisions set forth in the State-
approved plan. At a minimum, A State .
approved plan shall require the system
modifying its disinfection practice to:
  (1) Evaluate the water system for
sanitary defects and evaluate the source
water for biological quality;    :  -  -,n-,-
  (2) Evaluate its existing treatment
practices and consider improvements  ."•
that will minimize disinfectant demand
and optimize finished  water quality
throughout the distribution system;
  (3) Provide baseline water quality
survey data of the distribution system.
Such data should include the results
from monitoring for coliform and fecal
coliform bacteria, fecal streptococci,    ,
standard plate counts at 35° C  and 20" C,
phosphate, ammonia nitrogen and total
organic carbon. Virus  studies should be
required where source waters are
heavily contaminated with sewage
effluent;            .
  (4) Conduct additional monitoring to
assure continued maintenance of
optimal biological quality in finished
water, for example, when chloramines
are introduced as disinfectants or when
pre-chlorination is being discontinued.
Additional monitoring should also be
required by the State for chlorate,
chlorite and chlorine dioxide when
chlorine dioxide is used as a       •
disinfectant. Standard plate count
analyses should also be required by the
State as appropriate before and after
any modifications;
  (5)         Consider inclusion in the
plan of provisions to maintain an active
disinfectant residual throughout the
distribution system at  all times during
and after the modification.
Cubpart D—Reporting, Public Notification
         and Record Keeping
 § 141.31  Reporting requirements.
   (a) Except where a shorter period is
 specified in this part, the supplier of
 water shall report to the State the
 results of any test measurement or
 analysis required by this'part within (A)
 the first ten days following the month in.
 which the result is received or (B) the
 first ten days following the end of the
 required monitoring period as stipulated
 by the State, whichever of these is
 shortest.    •        .
   (b)  The supplier of water shall report
 to the State within  48 hours the failure
 to comply with  any primary drinking
 water regulation (including  failure  to
 comply  with monitoring  requirements)
 set forth in this  part.
   (c)  The supplier  of  water  is not re-
 quired to report analytical results to the
 State in cases where a State laboratory
 performs the analysis  and reports the
 results to  the State office which would
 normally receive such notification from
 the supplier.

   (d) The water supply system, within
 ten days of completion of each public
 notification required pursuant to
 S 141.32. shall submit to the State a
 representative copy of each type of
 notice distributed, published, posted,
 and/or made available to the persons
 served by the system and/or to the
 media.
   (e) The water supply system shall
 submit to the State within the time
 stated in the request copies of any
 records required to be maintained under
 § 141.33 hereof or copies of any
 documents then in existence which the
 State or the Administrator is entitled to
 inspect pursuant to the authority of
 § 1445 of the Safe Drinking Water Act or
 the equivalent provisions of State law.

§141.32  Public notification.
  <&)  If a community water system fails
to comply with an applicable maximum
contaminant level established in Subpart
B, falls to comply with ah applicable
testing procedure established in Subpart
C of this part, is granted  a  variance or
an exemption from an applicable maxi-
mum contaminant level, fails to comply
with the requirements  of  any schedule
prescribed pursuant to a variance or ex-
emption, or fails  to perform any moni-
toring required pursuant to Section 1445
(a) of the Act, the supplier of water shall
notify persons served by the system of
the failure or grant by inclusion of a no-
tice in the first set of water bills of the
system issued after the failure or grant
and in any event by written notice within
three months. Such  notice shall be re-
peated at least once  every three months
so long as the system's failure continues
or the variance or exemption remains In
effect. If the system Issues water bills less
frequently  than quarterly, or doe's not
Issue water bills, the notice shall be made
by or supplemented by another form of
direct mall.
   (b)  If a community water system BM
failed to comply with an applicable max-
imum contaminant level, the supplier of
water shall notify the public of such fail-
ure, in addition to  the notification re-
quired by paragraph (a) of this section,
as follows:
   (1)  By  publication on not less  than
three  consecutive days in a newspaper or
newspapers of general circulation In the
area served by the  system. Such notice
shall be completed within fourteen days
after  the  supplier  of  water learns of
the failure.
   (2)  By furnishing a copy of the notice
 to the radio and television stations serv-
 ing the area served by the system.  Such
 notice shall be  furnished within seven
 days  after the supplier of  water learns
 of the failure.
  13) Except that the requirements of
this subsection (b) may be waived by
the State if it determines that the
violation has been corrected promptly
after discovery, the cause of the
violation has been eliminated, and there
is no longer, a risk to public health.
   (c)  If the area served by a community
water  system  is not served by & daily
newspaper of  general circulation, notifi-
cation by  newspaper required by para-
graph (b) of this section shall instead be
given by publication on three consecutive
weeks in a weekly newspaper of general
circulation serving the area. If no weekly
or dally newspaper  of general  circula-
tion serves the area, notice shall be given
by posting  the notice in post offices With-
in the area served bv the svstem.
  (d) If a non-community water system  •
fails to comply with an applicable MCL  ..'
established in Subpart B of this part,   ..  -
fails to comply with an applicable
testing procedure established in Subpart  .
C of this part, is granted a variance or   ,
an exemption from an-applicable MCL,
fails to comply with the requirements of
any schedule prescribed pursuant to a  .
variance or exemption, or fails to
perform any monitoring requirement
pursuant to section 1445(a) of the Act,
the supplier of water shall give notices
by continuous posting of such failure or
granting of a variance or exemption to
the persons served by the system as
long as the failure or granting of a
variance or exemption continues. The
form and manner for such notices shall
be prescribed by the State and shall
ensure that the public using the system
is adequately informed of the failure or .
granting of the variance or exemption.
  (e) Notices given pursuant to Oils sec-
tion shall be written In a manner reason-
ably designed  to Inform fully the users
of the system.  The notice .shall be con-
spicuous and shall not use unduly tech-
nical  language, unduly small urint or
other methods which would frustrate the
purpose of the notice. The  notice shall
disclose all material  facts regarding  tha
subject Including the nature of the prob-
lem and. when appropriate, a clear state-
ment  that a  primary  drinking wpter
regulation has been violated and any pre-
ventive measures that should he taken by
the public.  Where appropriate, or where

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designated by the State, bilingual notice
shall be given. Notices may include a bal-
anced explanation of the significance or
seriousness to the public  health of the
subject of the notice, a fair explanation
of steps taken by  the system to correct
any problem and the results of any addi-
tional sampling.
  (f)  Notice to the public required by
this section may be given by the State on
behalf of the supplier of water.
  (g) In any instance in which notifica-
tion by mall is required by paragraph (a)
of this section but notification by news-
paper or to radio or television stations
Is not required by paragraph  (b) of this
section, the State may order the supplier
of water to provide notification by news-
paper and to radio and television stations
when circumstances make more immedi-
ate or broader notice appropriate to
protect the public health.
§ 141.33   Record maintenance.
  Any owner or  operator of a  puollc
Water system subject to the provisions of
this part shall retain on its premises or
at a convenient location near its prem-
ises the following records:
  (a) Records of bac teriological analyses
made pursuant to this part shall be kept
for not less  than 5 years. Records of
chemical analyses made pursuant to this
part shall  be kept for not less than 10
years. Actual laboratory reports may be
kept, or data may be transferred to tab-
ular summaries, provided that the fol-
lowing information  Is included:
  (1) The date, place, and time of sam-
pling, and the name of the person who
collected the sample;
  (2) Identification of the sample as to
whether  it was a routine distribution
system sample,  check sample,  raw or
process water sample or other special
purpose sample;
  (3) Date of analysis;
  (4) Laboratory and person responsible
for performing analysis;
  (5) The analytical technique/method
used; and
  (6) The results of the analysis.
  (b) Records  of action  taken by the
system to correct  violations of primary
drinking water regulations shall be kept
for a period not less than 3 years after
the last action taken with respect to the
particular violation involved.
  (c) Copies of  any  written  reports,
summaries or communications relating
to sanitary surveys of the system con-
ducted by the system itself, by a private
consultant, or by any local, State or Fed-
eral agency,  shall be kept for  a period
not less than 10 years after completion
of the sanitary  survey involved.
  (d) Records concerning a variance or
exemption granted to  the system shall
be kept for & period ending not less than
5 years following the expiration of such
variance or exemption.

Subpart E—Special Monitoring
Regulations for Organic Chemicals  '
and Otherwise Unregulated
Contaminants        •         '     '  •

§ 141.40   Special monitoring for organic
•.••-  chemicals.   •   • •   . .    . .  ,   •-
  (a)  The Administrator may designate,
by publication in the FEDERAL REGISTER,
public water systems which are required
to take water samples, provide informa-
tion, and in appropriate  cases  analyze
 water samples for the purpose of provid-
 ing  information  on  contamination  of
 drinking water sources and of treated
 water by organic chemicals.
   (b) The Administrator shall provide to
 each public system designated pursuant
 to paragraph (a) of this section a written
 schedule for the sampling of source water
 or treated water  by the system, with
 written instructions  for  the sampling
 methods and  for  handling  of  samples.
 The  schedule may designate the loca-
 tions or types of locations to be  sampled.
  • (c) In cases where the public water
 system has a laboratory capable of ana-
 lyzing samples for constituents  specified
 by the Administrator, the Administrator
 may require analyses to be made by the
 public  water system  for  submission  to
 EPA. If the Administrator requires the
 analyses to be made by the public water
 system, he shall provide the system with
 written Instructions as to the analytical
 procedures to be followed, or with refer-
 ences to technical  documents describing
 the analytical procedures.
   (d) Public water systems  designated
 by the Administrator pursuant  to para-
 graph  (a)  of this  section shall provide
 to the Administrator, upon  request. In-
 formation to be used in the evaluation of,
 analytical results,  Including  records  of
 previous monitoring and analyses, Infor-
 mation on possible  sources of contamina-
 tion  and treatment techniques used by
 the system.
 § 141.41  Special monitoring for sodium.
   (a) Suppliers of water for community
 public water systems shall collect and
 analyze one sample per plant at the
 entry point of the distribution system for
 the determination of sodium
 concentration levels; samples must be
 collected and analyzed annually for
 systems utilizing surface water sources
 in whole or in part,  and at least every
 three years for systems utilizing solely
 ground water sources. The minimum
 number of samples  required to be taken
 by the system shall be based on the
 number of treatment plants used by the
 system, except that multiple wells
 drawing raw water from a single aquifer
 may, with the State approval, be   • '   .
 considered one treatment plant for
 determining the minimum number of
 samples. The supplier of water may be
 required by the State to collect and
 analyze water samples for sodium more
 frequently in locations where the
 sodium content is variable.
  (b) The supplier of water shall report
 to EPA and/or the State the results of
 the analyses for sodium within the first
 10 days of the month following the
 month in which the  sample results were
 received or within the first 10 days
 following the end of the required
 monitoring period as stipulated by the  .
 State, whichever of these is first. If more
 than annual sampling is required  the
 supplier shall report the average sodium
 concentration within 10 days of the
 month following the month in which the
 analytical results of the last sample used
 for the annual average was received.
.The supplier of water shall not be
  required to report the results to EPA
  where the State has adopted this
  regulation and results are reported to
  the State.-The supplier shall report the
  results to EPA where the State has not
  adopted this regulation.
    (c) The supplier of water shall notify
  appropriate local and State public
  health officials of the sodium levels by
  written notice by direct mail within
  three months. A copy of each notice
  required to be provided by this
  paragraph shall be sent to EPA and/or.
  the State within 10 days of its issuance.
  The supplier of water is not required to
  notify appropriate local and State public
  health officials of the sodium levels.
  where the State provides such notices in
  lieu of the supplier.
    (d) Analyses for sodium shall be
  performed by the flame photometric
  method in accordance with the
  procedures described in "Standard
  Methods for the Examination of Water
  and Wastewater," 14th Edition, pp. 250-
  253; or by Method 273.1, Atomic
  Absorption—Direct Aspiration or
  Method 273.2, Atomic Absorption—
  Graphite Furnace, in "Methods for   -
  Chemical Analysis  of Water and
  Waste," EMSL, Cincinnati, EPA, 1979: or
  by Method Dl42ft-64(a) in Annual Book
  of ASTM Standards, part 31, Water.

 § 141.42  Special monitoring for corrosivity
 characteristics.
   (a) Suppliers of water for community
 public water systems shall collect
 samples from a representative entry
 point to the water distribution system '
 for the purpose of analysis to determine
 the corrosivity characteristics of the
 water.                •
   (1) The supplier shall collect two
 samples per plant for analysis for each
 plant using surface water sources
 wholly or in part or more if required by
 the State; one during mid-winter and
 one during mid-summer. The supplier of
 the water shall collect one sample per
 plant for analysis for each plant using  -
 ground water sources or more if
, required by the State. The minimum
 number of samples required to be taken
 by the system shall be based on the
 number of treatment plants used by the
 system, except that multiple wells
 drawing raw water from a single aquifer
 may, with the State approval, be
 considered one treatment plant for  •
 determining the minimum number of  •
 samples.
   (2) Determination of the corrosivity
 characteristics of the water shall include
 measurement of pH,  calcium hardness,
 alkalinity, temperature, total dissolved-
 solids (total filterable residue), and
 calculation of the Langelier Index in
 accordance with paragraph (c) below.
 The determination of corrosivity
 characteristics shall only include one
 round of sampling (two samples per
 plant for surface water and one sample
 per plant for ground water sources).
 However, States may require more

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frequent monitoring as appropriate. In
addition. States have the discretion to
require monitoring for additional
parameters which may indicate
corrosivity characteristics, such as
sulfates and chlorides. In certain cases,
the Aggressive Index, as described in
paragraph (c), can be used instead of the
Langelier Index; the supplier shall
request in writing to the State and the
State will make this determination.
  (b) The supplier of water shall report
to EPA and/or the State the results of
the analyses for the corrosivity
characteristics within the first 10 days of
the month following the month in which
the sample results were received. If
more frequent sampling is required by
the State, the supplier can accumulate
the data and shall report each value
within 10 days of the month following
the month in which the analytical  results
of the last sample was received. The
supplier of water shall not be required
to report the results to EPA where the
State has adopted this regulation and
results are reported to the State.
  (c) Analyses conducted to determine
the corrosivity of the water shall be
made in accordance to the following
methods:
  (1) Langelier Index—"Standard
Methods for the Examination of Water
and  Wastewater," 14th Edition. Method
203,  pp. 61-63.
  (2) Aggressive Index—"AWWA
Standard for Asbestos-Cement Pipe, 4
in. through 24 in. for Water and Other
Uquids," AWWA C400-77. Revision of
C400-75. AWWA, Denver. Colorado.
  (3) Total Filtrable Residue—"Standard
Methods for the Examination of Water
and  Wastewater." 14th Edition. Method
208B, pp. 92-fl3; or "Methods for   -.-....
Chemical Analysis of Water and
Wastes." Method 160.1.
  (4) Temperature—"Standard Methods
for the Examination of Water and   .
Wastewater," 14th Edition. Method 212,
pp. 125-126.
  (5) Calcium hardness—EDTA
Titrimetric Method "Standard Methods
for the Examination of Water and
Wastewater,"  14th Edition. Method
309B. pp. 202-206; or "Annual Book of
ASTM Standards," Method D1126-67
(8).
  (6) Alkalinity—Methyl Orange and
paint pH 4.5. "Standard Methods for the
Examination of Water and     •  '
Wastewater," 14th Edition. Method 403,
pp. 278-281; or "Annual Book of ASTM
Standards," Method D1067-70B; or
"Methods for Chemical Analysis of
Water and Wastes." Method 310.1.    -
  (7) pH—"Standard Methods for the
Examination of Water and
Wastewater," 14th Edition, Method 424,
pp. 460-465; or "Methods for Chemical
Analysis of Water and Wastes," Method
150.1; or "Annual Book of ASTM
Standards," Method D129378 A or B.
  (8) Chloride—Potentiometric Method.
"Standard Methods for the Examination
of Water and Wastewater."  14th
Edition, p. 306.
  (9) Sulfate—Turbidimetric Method.
"Methods for Chemical Analysis of
Water and Wastes." pp. 277-278. EPA,
Office of Technology Transfer,
Washington, D.C. 20460,1974, or
"Standard Methods for the Examination
of Water and Wastewater," 13th
Edition, pp. 334-335,14th Edition, pp.   '
498-498.     :
  (d) Community water supply systems
•hall identify whether the following
construction materials are present in
their distribution system and report to
the State:
  • Lead from piping, solder, caulking,
interior lining of distribution mains,
alloys and home plumbing.
  • Copper from piping and alloys,
service lines, and home plumbing.
  • Galvanized piping, service lines,
and home plumbing.
  • Ferrous piping materials such as
cast iron and steel.
  • Asbestos cement pipe.
In addition. States may require
identification and reporting of other
materials of construction present in
distribution systems that may contribute
contaminants to the drinking water,
such as:
  • Vinyl lined asbestos cement pipe.  - -
  • Coal tar lined pipes and tanks.

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