Federal Guidelines
        of Waste Water Treatment Facilities

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  Federal Guidelines
     Operation and
     Maintenance
        of Waste Water Treatment Facilities
                     September 1970
U.S. DEPARTMENT OF THE INTERIOR • FEDERAL WATER QUALITY ADMINISTRATION

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                              FOREWORD


Effective design and operation of municipal waste water treatment

facilities is an essential element in the preservation and

enhancement of our Nation's waters.  The tremendous investment of

Federal, State, and local funds in these facilities must be protected.

We must incorporate past experience and new technology in this

generation of facilities to ensure that optimum benefits are derived

from expenditures in water pollution control.  The development of

these Guidelines represents a significant step toward the achievement

of these goals.


Many have contributed to the development of these Guidelines.  I

particularly wish to thank the Ad Hoc Advisory Group, composed of

representatives of the American Society of Civil Engineers, the

Association of Metropolitan Sewerage Agencies, the Association of

State and Interstate Water Pollution Control Administrators, the

Great Lakes-Upper Mississippi Board of Sanitary Engineers, the

U. S. Council of Consulting Engineers, the Water and Wastewater

Equipment Manufacturers' Association, and  the Water Pollution Control

Federation, for their advice and counsel in reviewing the Guidelines

and in  developing the general procedures
                            David D. Dominick, Commissioner
                            Federal Water Quality Administration
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                           TABLE OF CONTENTS


FOREWORD                                                          ii

INTRODUCTION                                                        1

GUIDELINES FOR DESIGN                                               5

   A.  Preliminary Project Planning and Engineering Report          7

       environmental compatibility
       regionalization
       project feasibility
       complete and operable treatment works
       ultimate disposal of sludge and solids
       treatment plant reliability
       excessive infiltration
       elimination of by-passing
       industrial wastes
       staffing and budget for a facility
       design period
       combined sewerage systems

   B.  Preparation of Plans and Specifications                     18

       design summary
       reliability
       discharges to shellfish, potable or recreational waters
       elimination of by-passes and overflows
       treatment during construction
       experimental processes or equipment
       flexibility and ease of operation and maintenance
       protection of effluent quality
       safety features
       interceptor sewers
       general requirements

GUIDELINES FOR OPERATION AND MAINTENANCE                           31

    A. Federal and State Inspections                               31

    B. Personnel                                                   35
                                  iii

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    C. Records, Reports, and Laboratory Control                    37




    D. Process Control                                             39




APPENDIX




    Suggested Guide for an Operation and Maintenance Manual        42
                                  iv

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                           INTRODUCTION
Over the past year the Federal Water Quality Administration has




carefully analyzed and evaluated its grant program for the




construction of waste treatment facilities.  Past experience




indicated that some of the projects that have received assistance




have, for a variety of reasons, not always been as successful as




anticipated.  Improved design practices and technological advances




are not being adequately incorporated into new plants.  Operators




are often poorly trained and paid.  Facilities are frequently badly




maintained and achieve far less than their designed efficiency levels,






FWQA has an obligation to ensure that Federal monies are wisely spent.




This Administration must insist on proper design and operation




procedures as it is clear that without them adequate levels of




treatment will not be obtained.






On February 10, 1970, President Nixon announced a 37 point program




to improve the Federal government's environmental protection programs,




In this message he directed the Secretary of the Interior to require




that Federally-assisted treatment facilities meet prescribed design,




operation and maintenance standards.  Only July 2, 1970, the




Department of the Interior issued new regulations for the

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construction grants program to implement the President's directive.




Section 601.35 of Title 18 of the Code of Federal Regulations




concerns the area of operation and maintenance of facilities;




Section 601.36 concerns the design of facilities.






Section 601.36 states that "no grant shall be made for any project




unless the Commissioner determines that the proposed treatment works




are designed so as to achieve economy, efficiency, and effectiveness




in the prevention or abatement of pollution or enhancement of the




quality of the water into which such treatment works will discharge




and meet such requirements as the Commissioner may publish from




time to time concerning treatment works design so as to achieve




efficiency, economy and effectiveness in waste treatment."






There are existing manuals, such as the various State and interstate




standards and the ASCE-WPCF manuals, which can be used as references




in the design of water pollution control facilities.  Although these




are generally adequate, it is important to emphasize that FWQA is




not necessarily in full agreement with all criteria and concepts




contained therein.  Certain design considerations are not




adequately emphasized, and adequate guidance is not given in those




areas where there have been recent technological advances.






To supplement the existing standards, FWQA has  developed




Guidelines for Design.  These Guidelines are not intended to




cover all aspects of engineering design.  Rather they outline,




generally in broad terms, specific FWQA interests and policies that




are not adequately reflected in the presently existing manuals.




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In addition to these Guidelines, FWQA will be issuing Technical




Bulletins.  Each Bulletin will cover a certain topic  in detail.




These Bulletins are intended to amplify specific  areas contained




in the Guidelines, define and analyze certain deficiencies  in




design, and evaluate new advances in technology and provide guidance




for incorporating these in new facilities.  The Bulletins will




combine the results of our field experience and our research and




development program, along with the efforts of outside experts




and consultants.






Together with the applicable portions of presently existing




manuals and the attached Guidelines, the Technical Bulletins




will cummulatively constitute the FWQA design requirements  referred




to in Section 601.36.






Section 601.35  states that  "no grant shall be made for any project




unless the State water pollution control agency assures the




Commissioner that the State will inspect  the treatment works not




less frequently than annually for the 3 years after such treatment




works are constructed and periodically thereafter to  determine




whether such treatment works are operated and maintained in an




efficient, economic, and effective manner and unless  the applicant




assures the Commissioner that the treatment works will be maintained




and operated in accordance  with such requirements as  the Commissioner




may publish from time to time concerning methods, techniques, and




practices for economic, efficient, and effective  operation and mainte-




nance of treatment works."

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The number and frequency of the inspections called for by the




regulation are the absolute minimum necessary to ensure proper




maintenance and operation of a facility.  FWQA will be working




closely with the States to ensure that inspections are adequate




in scope as well as in frequency.






FWQA has developed Guidelines for Operation and Maintenance




which provide the general basic requirements in the areas of




inspections, operation and maintenance for Federally-assisted




projects.  FWQA will be issuing Technical Bulletins which, as in




the case of the Technical Bulletins for Design, will provide




amplifications in certain specific areas.






The Guidelines and future FWQA Technical Bulletins for design and




operation and maintenance should be maintained in appropriate files




by State water pollution control agencies, consulting engineers, and




all other interested parties.  In the future, projects for which




Federal grant assistance is  requested are  expected to comply with




these Guidelines and Technical Bulletins.  While in exceptional




cases deviations may be accepted, any deviations must be




justified on a case-by-case  basis and approved by FWQA prior




to their initiation.

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                       GUIDELINES FOR DESIGN
These Guidelines are intended to supplement existing references




such as the Recommended Standards for Sewage Works:  Great  Lakes -




Upper Mississippi River Board of State Sanitary Engineers  (the




Ten State Standards), the ASCE Manuals Number 36 and 37 (WPCF




Manuals 8 and 9), and applicable State standards and guidelines.






All water pollution control projects which are submitted for FWQA




construction grants will be required to conform to these Guidelines




and future Technical Bulletins, as well as to applicable State




requirements.  It is recognized that certain modifications or




exceptions may be necessary when justified in unusual situations.




In such cases under appropriate conditions, deviations from existing




standards or Guidelines may be allowed.  However, written approval




of any deviations from the Guidelines, Technical Bulletins, or




applicable State standards must be obtained from the FWQA Regional




Office and the State agency as early as possible prior to the




completion of detailed plans and specifications.






These Guidelines are presented in two parts.  Part A deals with




general concepts which must be considered very early in the




planning and preparation of an engineering report for waste

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treatment facilities.  Part B makes reference to more specific




subjects which must be considered in the preparation of  final




construction plans and specifications.

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A.  PRELIMINARY PROJECT PLANNING AND ENGINEERING REPORT






    Certain basic principles should be considered early in the




    planning process for water pollution control facilities .




    Conformance with these principles is essential to ensure  the




    eventual development of properly designed facilities which will




    meet all State and FWQA requirements.






    The engineering report accompanying the application for Federal




    aid should clearly indicate compliance with the following




    principles.  Any questions regarding the applicability of these




    items  to the proposed project or requests for deviations  should




    be resolved by consultation with the State water pollution




    control agency and the FWQA Regional Office before completion




    of the engineering report and  submission of an application for




    Federal aid.






    I.   Environmental Compatibility






         All Federally-assisted projects must conform  to the intent




         of the National  Environmental  Policy Act of 1969  and




         Executive Order  11514, Protection  and  Enhancement of




         Environmental Quality.






         a.   Planning for the proposed  project  must  take into




              account all  aspects of environmental quality  protection.




              Efforts shall be taken to  preserve natural beauty,




              wildlife, recreational areas,  historic  sites, and




              private property.




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     b.   The project must be designed and constructed so as to




         have  the  least possible  impact on  the environment.






     c.   Attention must be  given  to  the general  aesthetic




         appearance of  the  facility  and to  the prevention of any




         possible  odor  problems .






     d.   Planning  shall be  coordinated with local  planning and




         citizen groups to  resolve potential site  problems.






     e.   Plant locations on flood plains  should  be avoided




         whenever  practicable. When such locations are




         unavoidable,  adequate protection from flooding must




         be provided.






II.  Regionalization






     a.  Due consideration must be given to the  advantages of




         regional and basin sewerage facility planning.  Whenever




         feasible, municipalities should join together  in




         cooperative regional treatment systems, composed of one




         or more treatment plants depending on water quality




         requirements  and economic, operational, and other




         appropriate considerations.






     b.  Where regional waste water management plans have been




         developed and approved by an appropriate agency,  the




         project should conform to such plans.

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     c.  If a regional  plan has  not been developed, an analysis




         shall be made  to  determine the feasibility of having




         the municipality  join in a regional system in lieu of




         constructing their owi  independent or  additional treat-




         ment facilities.






III. Project Feasibility






     a.  After consideration  of all alternatives,  the design of




         the proposed project shall be made on  the basis of




         economic feasibility, water  quality objectives,




         environmental  compatibility, and  other applicable




         considerations.  That certain portions of the system are




         eligible for Federal assistance  and others are not




         should not determine the final  nature  of  the project.






     b.  In order to avoid tying up Federal  grant  funds for




         unreasonably long periods of time,  the project for




         which Federal aid is requested, including other




         facilities required to make it  operable,  should  be  of




         such a scope that it can be completed  and in operation




         within three years of  the date  of the  Federal  grant




         offer.  For unusually  large and complex projects,  a




         longer period of time may be allowed.   Additional




         phases of the project may be submitted for consideration




         for Federal aid in future years when the anticipated




         construction period will meet  these requirements.

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IV.  Complete and Operable Treatment Works






     a.  Any proposed project must be designed and reviewed in




         light of the entire waste treatment system.  No project




         will be approved unless it is shown that the capacity




         and treatment provided by the waste treatment system




         serving the proposed project will meet all FWQA,




         State, and interstate requirements, including approved




         water quality standards, and protect the designated uses




         of the receiving waters.






     b.  If construction of other facilities is required to make




         the proposed project operable and acceptable, then a




         commitment must be made that the required construction




         will be concurrent with that of the proposed facility.






V.   Receiving Waters and Degree of Treatment






     a.  Proposed treatment must be in accordance with State




         requirements, as well as with Federal and State water




         quality standards, Federal Enforcement Conference




         requirements, comprehensive river basin reports and




         plans, FWQA Regulations, and the designated uses of




         the receiving waters.






     b.  Characteristics  of receiving waters must be considered




         to ensure that water quality standards will be met by




         the proposed  treatment.  Applicable data shall be




         included in the  engineering report.



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     c.  The engineering  report  shall  specifically indicate the




         anticipated removal  efficiency of BOD,  suspended solids,




         and other appropriate parameters, and the total pounds




         of BOD, suspended  solids,  and other  significant




         constituents to  be discharged per day.






     d.  There should be  no discharge  of  effluents to  swamps,




         stagnant waters, small  lakes, or intermittent streams




         if feasible alternates  are available.






     e.  Outfalls shall be extended and designed as  necessary to




         insure adequate  mixing  and dispersal of the effluent.






     f.  Disposal of a treated effluent  to other than surface




         waters requires  prior approval  from the State and  FWQA.






VI.  Ultimate Disposal of Sludge and Solids




     a.  Provision for ultimate disposal  of  sludge must be




         clearly indicated and must be in accordance with




         interstate, State, and FWQA requirements.  It is not




         sufficient merely to indicate such processes as drying




         beds, vacuum filters, or incinerators,  without also




         describing the method to be used for final  disposal of




         the sludge cake or sludge residues.






     b.  The method of final disposal must  not  result in any




         significant degradation of surface  or  ground water, air,




         or land resources.  If there is  a choice, the method
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         chosen must be that having the least impact on the




         environment.






     c.  No sludge residues, grit, ash, or other solids may  be




         discharged into the receiving waters or plant  effluent.




         The disposal of any sludge to ocean waters is  not




         recommended.







     d.  Disposal of raw sludge to fresh or marine waters or by




         spreading and tilling on land will not be approved.






     e.  Sludge elutriation is not considered desirable and  will




         not be approved without adequate safeguards.






VII. Treatment j»lant Reliability







     a.  All water pollution control facilities should  be planned




         and designed so as to provide for maximum reliability




         at all times.






     b.  The facility should be capable of operating




         satisfactorily during power failures, flooding, peak loads,




         equipment failure, and maintenance shutdowns.   A




         minimum of primary treatment should be provided at  all




         times.  Disinfection and higher degrees of treatment




         may be required where necessitated by the uses of the




         receiving waters.
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     c.  Such reliability can be obtained  through the use of




         various design techniques which will  result in a




         facility which is virtually "fail-safe."   (See Part B,




         Section II, page 20 .)






VIII. Excessive Infiltration






     a.  Excessive infiltration is an indication of deficiencies




         in the sewerage system.  This situation is often




         categorized by high per capita flows  to the treatment




         facility.






     b.  Construction of treatment facilities  with  extra capacity




         to handle these excessive flows  may not be the best




         solution to the problem, since this may result in




         unnecessary capital and operating costs and  in




         inefficient treatment.






     c.  An analysis of the sewerage system must be made  to




         determine the causes for such excessive infiltration




         where it occurs and, where feasible, an acceptable




         remedial plan of action should be prepared to correct




         the situation.






     d.  Solutions, such as separation of illegal  storm water




         connections, repair or replacement of defective  sewers,




         and enforcement of sewer ordinances, must be discussed




         in the report together with an adequate cost analysis
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         before any recommendation  is made  to construct an




         oversized treatment facility or  to allow by-passing of




         excess flows.






IX.  Elimination of By-passing






     a.  In systems handling only dry-weather flows,  the  incorpo-




         ration in the design of mechanisms for by-passing




         treatment plants or pumping stations must  be avoided




         if at all possible.  Any exceptions must have prior




         approval of the State and FWQA.






     b.  Where incorporation of by-passing facilities is




         necessary, consideration must  be given to  separation of




         combined systems, detention facilities, or other




         alternative means of control or treatment, and




         disinfection of overflows.






     c.  Adequate safeguards to prevent misuse  of by-pass




         facilities must be provided.






     d.  Extended by-passing during construction will not be




         permitted.  (See Part B, Section W, page 21.)






X.   Industrial Wastes






     a.  The engineering report should  clearly  define the




         characteristics of the wastes  from major or




         significant industries and their effects upon the




         waste treatment process.



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     b.  Where necessary, pilot plant studies should be made to




        determine  the final  design  criteria for the treatment




        facility.






     c.  It is necessary  that adequate  industrial waste ordinances




        or other controls be adopted by the municipalities in




        order to protect and maintain  the  treatment facilities.




        These shall provide  for  the following:






            1.  Pretreatment  of any  wastes  which would




                otherwise be  detrimental to the collection




                system, treatment facilities, or processes.






            2.  An equitable  system of  cost recovery in




                accordance  with Federal Regulations,




                18 CFR 601.34c.






XL.  Staffing and Budget for  a Facility






     A thorough analysis must be made of the  operation and




     maintenance requirements of the proposed facility,




     including required laboratory testing.  Specific




     recommendations shall  be given in the engineering report




     for staffing, including operator qualifications, and




     annual budget needs of the proposed treatment facility.
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XII. Design Period






     A careful review of the growth potential of the area to be




     served by a waste water facility should be made to




     adequately provide for the increased waste loadings that




     are expected to develop.  Both domestic and industrial




     loadings should be discussed in the report.  It is not




     considered feasible for FWQA to establish a standard




     minimum design period because the growth characteristics




     of a particular area may be such that a minimum design




     period would cause uneconomical design and inefficient




     operating conditions after the project is constructed




     The rationale for design will be as follows:






     a.  When rapid growth is anticipated, the design period




         should be long enough for orderly spacing of construction




         contracts and the design should permit sufficient




         flexibility to prevent inefficient operation of




         individual units.  The design layout of a treatment




         facility should consider the ultimate development of the




         watershed being served and the characteristics of the




         receiving waters.  Construction may be phased to meet




         treatment demands.






     b.  Where the anticipated growth of an area is estimated to




         be relatively slow,  the design should be for a reasonable




         growth rate with sufficient flexibility of sizing of units




         to ensure efficiency of operation.




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       c.  The plant site must be sufficiently large to  permit




           expansion of the facility to provide for foreseeable




           future needs,  such as increased capacity and  higher




           degrees of treatment.






       d.  The plant must be designed to facilitate expansion and




           possible upgrading of the facility.






XIII.  Combined Sewerage Systems






       The problem of pollution from combined systems shall  be




       considered in early project planning.  Possible solutions,




       both short and long term, shall be outlined in the




       engineering report.  Consideration shall be given to




       detention facilities and disinfection, separation of




       combined systems, treatment or control of overflows or




       o ther so lu t io ns .
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B.  PREPARATION OF PLANS AND SPECIFICATIONS






    The items outlined under Part A, Preliminary Project Planning




    and Engineering Report, must also be considered when proceeding




    with final design details.  The following guidelines more




    specifically indicate how these considerations and others are to




    be applied in the preparation of final contract plans and




    specifications.






    I.   Design Summary






         A Design Summary, including but not limited to the following




         items, will be required with  submission of final plans and




         specifications unless acceptable  data are already included




         in  the engineering report.






         a.  A flow diagram indicating the project's major features




             and the nature of flow and recirculation through the




             various processes.






         b.  A hydraulic profile of flow through the treatment plant.




             This profile should clearly indicate that the peak flow




             will pass through the treatment facilities without




             back-up, flooding, or submerging weirs.  The hydraulic




             gradient should permit discharge into the receiving




             waters during periods of  flood stage.
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c.  Identification of receiving waters  and  location of




    point of effluent discharge.   This  should be  shown on




    a map that would allow transferral  to standard U.S.G.S.




    maps.  In addition,  detailed  information should be




    provided on the water quality, water uses,  and




    hydraulics of the receiving waters  at and near the




    point of discharge.






d.  The initial population, population equivalent, and




    flow to the facility.






e.  Identification, including expected  strength and




    toxicity, of major or significant industrial waste




    contributions.






f.  The design year, design population, and flow.






g.  Design  efficiency, such as removal of BOD,  suspended




    solids, and other appropriate parameters and the total




    pounds  of BOD,  suspended solids, and other significant




    constituents  discharged per day.






h.  Physical characteristics of treatment units, including




    size, surface loadings, and detention times.






i.  Identification and justification of any deviations




    from applicable standards or FWQA Guidelines and




    Technical Bulletins.
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     j.  Method of ultimate sludge disposal.






     k.  Identification and explanation of any unusual design




         features.






II.  Reliability







     The treatment facility should be capable of satisfactory




     operation during emergencies, maintenance  shutdowns, and




     power failures.  (See Part A, SectionVH, page 13.)  This




     type of reliability shall be achieved by consideration and




     appropriate inclusion of such design factors as:






     a.  Duplicate sources of electric power.






     b.  Standby power for essential plant elements.






     c.  Multiple units and equipment.






     d.  Holding tanks or basins to provide for emergency




         storage of overflow and adequate pump-back facilities.






     e.  Flexibility of piping and pumping facilities  to permit




         rerouting of flows under emergency conditions.






     f.  Provision for emergency storage or disposal of sludge.






III. Discharges to Shellfish,  Potable, or Recreational Waters






     Discharges in close proximity to shellfishing beds,




     public water supply intakes,  or contact recreation areas
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     should be avoided.  Where  such discharges are unavoidable,




     special precautions must be  taken.  In  addition  to  the




     items listed above, the following are recommended and may




     be required:






     a.  Dual chlorination units.






     b.  Automatic facilities to  regulate and record  chlorine




         residuals.






     c.  Automatic alarm systems  to give warning of high water,




         power failure,  or equipment  malfunction.






     d.  Sand filters or polishing ponds following  secondary




         treatment.






IV.  Elimination of By-passes  and Overflows






     a.  Plant and up-stream by-passes should not be  permitted.




         (See Part A, Section K,  page 14.)






     b.  Exceptions, even  for  combined systems,  shall not be




         considered until  every effort has been made  to  minimize




         the discharge of  untreated waste water  to waters by




         utilizing detention facilities  or other alternative




         means of control  or treatment,  disinfection  of




         overflows, separation of combined systems, and  correction




         of excessive infiltration.
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V.    Treatment During Construction






      a.  If at all possible, by-passing of raw sewage during




          the construction of additions to existing treatment




          facilities shall not be allowed.






      b.  During alterations to existing plants, the same degree




          of treatment provided by the existing plant should be




          continued.  If this is not feasible, a minimum of




          primary treatment and disinfection should be provided




          at all times.






      c.  The consulting engineer must either establish a




          construction schedule which will minimize or prevent




          by-passing or require the contractor to submit such




          a schedule before construction commences.  The




          requirement for continuous treatment must be clearly




          stated in the contract plans and specifications.






      d.  Where no other feasible alternative exists, by-passing




          may be permitted providing it is kept to an absolute




          minimum and receives prior approval from the State and




          FWQA.






      e.  Measures to be taken for control of erosion at the




          construction site must be included in the plans and




          specifications or otherwise provided for by the




          consulting engineer and/or contractor.
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VI.   Experimental Processes or Equipment






      a.  FWQA encourages the application of new approaches to




          treatment plant design and operation.  Aid for the




          construction and operation of facilities demonstrating




          experimental processes or equipment is available under




          the FWQA Research, Development and Demonstration Program.






      b.  Section 8 P. L. 84-660 grant funds may be used for




          facilities incorporating new processes or equipment




          which have had  limited prior use, providing the project




          is reasonable in  scope and preliminary results are




          favorable.






       c.  In such cases,  the contract  specifications must




           include details on performance criteria  that  are




           acceptable to the State and  FWQA.  In some cases,




           adequate  performance guarantees may be required.






       d.   Prior approval  of the State  and FWQA must be




           obtained  before preparation of contract plans and




           specifications  for such projects.






 VII.  Flexibility and Ease of Operation and Maintenance






       a.  The design of process piping, equipment arrangement,




           and unit structures in the facility must allow for




           efficiency and convenience in operation and maintenance




           and provide maximum flexibility of operation.  Such






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    flexibility should permit the highest possible degree




    of treatment to be obtained under varying circumstances,






b.  Process controls, such as the return and measurement




    of sludge in the activated sludge process, variable




    recirculation capacity for trickling filter plants,




    and the feeding of raw wastes directly into aeration




    tanks, should be provided.






c.  All equipment shall be easily accessible so as to




    provide ease of maintenance.






d.  Adequate facilities shall be provided for taking test




    samples at required locations.






e.  Multiple units or dual compartments with unit drains




    should be provided for all processes, including




    disinfection facilities, so that draining, cleaning,




    and other maintenance can be provided without omitting




    any treatment process.  For small plants retention




    basins may be substituted for these purposes.






f.  All basins and  tanks in locations subject to high




    ground water  levels or flooding should be provided




    with back-flow  relief valves.






g.  The use of equalization tanks to decrease the impact




    of peak loads is recommended.
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      h.  Color coding shall be provided to identify each type




          of process piping in the treatment plant.






      i.  An adequately designed and equipped laboratory shall




          be provided.






      j.  Equipment with high noise levels, such as compressors




          and  centrifuges, shall be enclosed in separate rooms,




          which should be  sufficiently  soundproof to protect the




          operator and to  satisfy neighborhood environmental




          requirements.






      k.  Instrumentation should be used  to facilitate operation




           and  recordkeeping.  Flow measurement and  recording




           equipment  should be  provided  at the  influent end  of




           the  plant.






       1.  All  materials  of construction shall  be such as to




           withstand local climatic and other environmental




           conditions.  This is particularly important in coastal




           areas.






VIIL   Protection of Effluent Quality:






       a.  All aspects of plant design, including the layout




           of  tanks and piping, shall allow for routine maintenance




           of  treatment units without deterioration of the plant




           effluent.
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b.  The flow from all unit drains must be directed back to




    the treatment plant and not discharged into the plant




    effluent.






c.  Baffles or other means must be provided across the




    surface of primary tanks, secondary tanks, and chlorine




    contact tanks to prevent the discharge of floating




    materials.






d.  All  final settling tanks must be provided with skimming




    devices to collect and remove floating solids.






e.  Extended  aeration plants must be equipped with sludge




    holding tanks for wasting excess Sludge so as to prevent




     sludge carryover into the effluent.  Polishing lagoons




    or sand filters  are recommended following this type of




     facility.






f.   No piping may be installed which would allow for the




     direct discharge of  sludge solids or ashes into the




     effluent  or receiving waters.






g.   Piping should be arranged so  that no supernatant,  including




     drainage  from sludge beds, centrate, filtrate, overflows




     from thickening units and digesters, etc., is discharged




     into the  effluent.   Supernatant should  either be




     returned  to  the treatment  process or, preferably,  be




     given separate  treatment and  disposal.
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IX.   Safety Features






      As indicated before,  these Guidelines are  not  intended to




      be all inclusive.   The safety features enumerated below are




      those which deserve increased emphasis.






      a.  Chlorine facilities must be provided with  proper




          ventilation and heating.  The fan switch shall  be




          located outside of the facility.  The  chlorine  storage




          area should be separated from the feed area and from




          the remaining plant areas.






      b.  The wet wells and dry wells of pumping stations must




          be provided with positive means of ventilation.






      c.  The treatment plant shall be enclosed  as necessary to




          protect the public and the facility.






      d.  Protective railing shall be provided around open tanks




          and other areas where it may contribute to safety.






      e.  Explosion-proof motors, controls, and electrical wiring




          and lighting shall be provided in all hazardous areas,




          such as the digester control building and enclosed wet




          wells.






      f.  The public water  supply must be  protected to eliminate




          the possibility of  contamination by cross connections




          with sewage or sludge piping.  This should be  achieved
                               27

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          by a positive air break,  although an adequate  automatic


          flow-back prevention device may be acceptable  under


          certain circumstances.  Installation should be on the


          main water line where it first enters the treatment


          plant or pumping station and prior to any plant piping


          connections, including yard hydrants.



      g.  Flood lights shall be provided for nighttime inspection


          and maintenance.



      h.  Signs shall be provided designating hazardous  areas and


          nonpotable water taps.



X.    Interceptor Sewers



      a.  Particular attention shall  be given to  ensure  that


          sewers will be as water tight as possible.   Plans and


          specifications shall include the following.



          1.  Infiltration or exfiltration requirements  with


              maximum allowable limits.



          2.  Bedding and backfill specifications including cross


              section details.



          3.  Jointing specifications to provide  for minimum


              infiltration.



          4.  Requirements for post construction testing to


              determine compliance with specified limitations on


              infiltration.
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      b.   Adequate subsurface investigations  should be made to




          identify underground conditions  such as  the presence




          of rock or unsuitable soils.   The bid proposal  should




          be based on an evaluation of  such investigations.






XI.   General Requirements






      a.   The contract specifications must include all FWQA




          administrative requirements.   These include  such




          items as project signs, labor standards, wage  rates,




          civil rights, and competitive bidding.  Required




          subjects and documents can be obtained from the




          applicable State agency or FWQA Regional Office.






      b.  Plans and specifications shall be prepared  with all




          necessary details to permit the contractor  to  properly




          evaluate the cost of the project and to submit a




          competitive bid.  Details shall be sufficiently clear




          and complete to avoid the issuance of unnecessary and




          costly change orders.






      c.  Those portions of the project that are eligible for




          Federal aid under P. L. 84-660 must be clearly




          identified and contained either in separate contracts




          or  in separate bid  schedules  in the contract




          documents.
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             GUIDELINES FOR OPERATION AND MAINTENANCE
A.  FEDERAL AND STATE INSPECTIONS






    I.  To provide assurance of effective, efficient, continuous




        operation of waste treatment facilities and related




        appurtenances constructed under PL 84-660 grants within




        their jurisdiction. State agencies shall establish and




        maintain appropriate waste treatment facility inspection




        and correction programs.  This activity shall be clearly




        identified 'in the annual State Program Plan submitted to




        FWQA.






   II.  State agencies shall provide assurance in writing to the




        Commissioner of FWQA that they will inspect or provide for




        the inspection of facilities constructed with PL 84-660 funds




        to determine whether these facilities are operated efficiently




        and effectively in accordance with plant design.  Facilities




        shall be inspected at  least annually for the first three




        years after completion of construction and periodically




        thereafter.






        a.  The inspector shall record the following information:
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1.  General information, including:  date of inspection;




    plant identification and location; name of




    inspector and title; type of plant and collection




    system; and estimated population served.






2.  Plant loading and performance data, including:




    average daily flow (MGD); peak flow rate for wet




    and dry weather (MGD); percent daily industrial




    flow to plant; date, time and volume of any wastes




    by-passed plant; and summary of laboratory analyses




    data on raw waste and final effluent and other




    significant unit processes.






3.  Information on operating personnel, including:




    number and qualifications of personnel in each job




    category;  total  manhours per week;  number of State




    certified  or licensed personnel;  and staffing




    deficiencies.






4.  An identification and brief discussion of any




    operational problems or difficulties.






5.  An evaluation and report on the facility, including:




    adequacy of operation and plant performance with




    regard to State and Federal requirements; general




    housekeeping and maintenance adequacy; testing and




    reporting  adequacy; and recommendations for corrective




    actions.




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         6.  Appropriate additional operation and maintenance




             data and  information pertinent  to the conditions




             found at  the plant  or elsewhere in the sewerage




             system  at the  time  of inspection.






     b.  Copies  of the inspection results  shall be distributed by




         the State water pollution control agency to  the  subject




         waste  treatment facility, and the FWQA Regional  Office.






     c.  FWQA  shall  notify  each  State by January  1 each year  of




         the facilities the State must inspect  in order to  comply




         with  18 CFR 601.35.  This  list shall also  identify on a




         tentative basis those facilities to which FWQA Regional




         Office representatives  may  accompany  State  representatives




         to conduct  inspections. Reasonable advance  notice will be




         given by FWQA to  the State  on plant inspections  not




         previously  indicated on the annual list.






III.  In addition to  thorough annual  inspections for  the first three




      years, as described above,  routine interim inspections should




      be conducted by the State.   The FWQA regional  office should




      receive a copy of the inspection reports  on interim inspections




      if they relate to major deficiencies.






 IV.  Prompt and meaningful  followup action shall be taken by the




      State to assure  correction of inadequacies and deficiencies




      noted at inspections.
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a.  Where major deficiencies are involved, a copy of any




    significant official State correspondence,  notices,  or




    orders to a municipality and followup inspection reports




    should be sent to the FWQA Regional Office.






b.  Wherever possible, in correcting deficiencies in operation,




    the State should work with the consulting engineer




    responsible for the subject facility.
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B.  PERSONNEL






    I.  The grantee shall provide a staff of qualified personnel




        that is adequate to operate the facility efficiently and




        effectively so as to achieve the highest level of treatment




        at all times.






        a.  Qualified personnel shall be those meeting requirements




            established under State certification programs or other




            requirements established by the State and Federal




            governments.






        b.  The grantee shall pay  adequate  salaries commensurate




            with  duties, responsibilities and  other conditions of




            employment.






        c.  The grantee shall provide  for such classroom and  on-the-




            job  training as is  necessary  to qualify personnel for




            the  various positions  for  initial  start-up of the waste




            treatment facility  and for operation thereafter.






    II.  Plant staffing requirements shall be submitted with the plans




         and specifications and  shall include an itemized list of




         positions and jobs to be established,  duties  and responsi-




         bilities of the positions, and the number of  persons to be




         provided in each of these positions at commencement of  plant




         operation.  (See Guidelines for Design, Part  A, Section XI,





         page 15.)






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III.  Thirty days prior to commencement of operation, the grantee




      shall provide the State and FWQA an itemized list of the




     .positions filled, the qualifications of those employed, and




      assurance that the remaining vacant positions will be filled




      with qualified personnel as necessary for the efficient and




      effective operation and maintenance of the facility.






 IV.  The chief operator shall be retained by the grantee by the




      time the waste treatment plant is fifty percent complete so




      that he can become familiar with the plant layout, piping,




      underground utilities and checkout of all equipment.
                               36

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C.  RECORDS, REPORTS, AND LABORATORY CONTROL

    I.  A permanent record file shall be maintained by the grantee  at
        each of its waste treatment plants or at some appropriate
        location.  The file should include:
        a.  The operation and maintenance manual for the waste water
            treatment facility.  (See Appendix, page 42.)

        b.  Planning reports, design criteria and other related data.

        c.  All plans, specifications, drawings, and manufacturers'
            specifications and recommendations for  operation and
            maintenance  of each unit.

        d.  Appropriate  flow  charts  indicating  the  system hydraulics.

    II.  Complete  plant operating records  shall be  maintained.

        a.  These records  serve  to guide  plant  operating and process
            control personnel and  become  the source of  historical
            data  on the  precise  performance of the facility.   Plant
             operating reports can  often be standardized, but  it  is
             of prime importance  that the information and related
             forms be tailor-made for each operation in order  to  be
             effective.

         b.  It is desirable to routinely file plant operating records
             with the appropriate State agency.  A monthly report of
             the daily operating record is of assistance to the
             regulatory  agency in carrying out its responsibilities.
                                 37

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III.  Adequate monitoring, sampling and analysis of flows is




      fundamental to good operation and maintenance.






      a.  The influent should be monitored, sampled and analyzed




          so as to determine the rate of flow and characteristics




          of the waste waters to be treated.






      b.  Appropriate monitoring, sampling, and analysis shall be




          continued through each process so as to indicate any




          adjustments necessary to provide a continuously high




          quality effluent.






      c.  Wherever possible, the receiving water should be monitored




          to determine the effect of the plant effluent in relation




          to water quality standards.
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D.  PROCESS CONTROL






    I.  The waste treatment plant should be operated so as to fully




        and effectively utilize the flexibility in process control




        provided for in the plant design.






        a.  Plant flexibility should be used to get the maximum




            treatment out  of the facility on a day-to-day basis.




            This includes  making such process adjustments as may be




            indicated by the monitoring system.






        b.  The  flexibility  in  routing  flows that  is provided  in the




            design  shall be  used to permit  preventive  maintenance




            and  repairs  to be carried  out without  by-passing the




            entire  treatment plant.






        c.  A total plant  by-pass  shall be  used  only as  a last resort




            when necessary to protect  the health and welfare of




             operating personnel or to  prevent  extensive  damage to  the




             plant  facilities or processes.   In those  cases where




             the plant by-pass must be used:






             1.  Where possible, advanced approval must be obtained




                 from the  State.  If this is not possible, the  State




                 must be notified of the by-pass promptly  by telephone.






             2.  A complete written report  shall be filed with the State,




                 This report shall include  the date, time, quantity of
                                  39

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              the waste,  characteristics  of  the waste, reason for




              by-passing, steps  taken to  prevent  recurrence  of  the




              problem,  and any other pertinent information




              considered  necessary by the State.






 II.  Plant operating personnel must be alert to  any trends  or




      changes in the characteristics of the  influent, both  on a




      long-range basis and on the short-term basis  needed for




      day-to-day operations.




      a.  Operators should maintain continuous communication with




          plant management and appropriate regulatory agencies




          so that plant inadequacies are detected early,  thus




          affording lead-time to diagnose and resolve problems




          before they impair quality control in the plant.






      b.  Provision should be made for warning plant operators




          promptly of any unusual flows or wastes that  are  dis-




          charged accidentally or otherwise to sewers served by the




          plant.






III.  An effective equipment maintenance program is necessary  to




      ensure that all equipment is kept in a highly reliable




      operating condition.  It is the responsibility of the plant




      management to provide sufficient funds for maintenance,




      repairs, spare parts, and standby equipment to keep the  plant,




      pumping stations and related appurtenances  operating  satis-




      factorily.






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a.  The maintenance program should include:






    1.  The establishment of a control system which identifies




        and locates each piece of operating equipment, a




        description of the maintenance needs, a list of the




        general procedures for carrying out the job, and




        appropriate routine maintenance schedules.






    2.  A  spare-parts  inventory  to facilitate advance ordering




        of unit parts  vital to the continuous and effective




        operation of the  facility.






 b.  Plants employing a superintendent  should provide  a




    management system  for recording  equipment maintenance  and




    repairs.   This will permit an evaluation  of equipment




    performance and of future maintenance or  replacement of  a




    part  or  unit with  one that  is more reliable.






 c.  Preventive maintenance should be commenced  immediately




    upon installation of  the equipment and should not be




     delayed until the facility is placed in operation.






 d.  When possible, major maintenance jobs and repairs




     necessitating a shut-down of a unit shall be scheduled




     when  it will have the least effect on waste treatment




     efficiency and the receiving waters.
                           41

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                            APPENDIX

      SUGGESTED GUIDE FOR AN OPERATION AND MAINTENANCE MANUAL

                 FOR WASTE TREATMENT FACILITIES


  I.   INTRODUCTION

      A.   Operation and Managerial Responsibility
      B.   Description of Plant Type and Flow Pattern
      C.   Percent Efficiency Expected and How Plant Should Operate
      D.   Principal Design Criteria


 II.   PROCESS DESCRIPTION

      (Function, relation to other plant units, schematic diagrams)
      A.   Pumping
      B.   Screening and  Comminution
      C.   Grit Removal
      D.   Sedimentation  (Primary)
      E.   Aeration and Reaeration
      F.   Sedimentation  (Secondary)
      G.   Trickling Filters
      H.   Sand Filters
      I.   Sludge Digestion
      J.   Sludge Conditioning
      K.   Sludge Disposal
      L.   Gas Control and  Use
      M.   Disinfection
      N.   By-Pass Controls and Excess  Flow Treatment Facilities
      0.   Waste Stabilization Lagoons
      P.   Other
III.  DETAILED OPERATION AND CONTROLS

      (Routine, alternate,  emergency,  description  of various controls,
      recommended settings, reference  to schematic diagrams, failsafe
      features)
      A.  Manual
      B.  Automatic
      C.  Physical
      D.  Chemical
      E.  Biological (including Bacteriological)
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     F.   Industrial  Wastes  Monitoring
     G.   Safety Features
     H.   Problems, Causes,  and Cures
IV.  LABORATORY CONTROLS

     (What and why tests are made,  interpretation of results, and
     how samples are obtained)
     A.  For Each Process Description Given Above

         1.  Sampling
         2.  Flow Controls
         3.  Analysis

     B.  Monitoring of Effluent and Receiving Waters
     C.  Water Quality Standards
 V.  RECORDS

     (Importance of r.ecords, graphing test results, example  and
     sample forms)
     A.  Process Operations
     B.  Laboratory
     C.  Reports to be  Submitted to State Agencies
     D.  Maintenance
     E.  Operating Costs
 VI.  MAINTENANCE

      (Schedule--daily, weekly, monthly, etc., reference to pages
      in manufacturers' manuals)
      A.  Manufacturers'  Recommendations
      B.  Preventative Maintenance Summary  Schedule
      C.  Special Tools and Equipment
      D.  Housekeeping Schedule
                                 43

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 VII.  SAFETY
       A.  Sewers
       B.  Electrical Equipment
       C.  Mechanical Equipment
       D.  Explosion and Fire Hazards
       E.  Health Hazards
       F.  Chlorine Handling
       G.  Aeration Tank Hazards
       H.  Recommended Safety Equipment
VIII.  UTILITIES

       (Source, reliability, cost)

       A.  Electrical
       B.  Gas
       C.  Water
       D.  Heat


  IX.  PERSONNEL

       (Detail of job requirements, task plan estimating man-hours per
       month and year)

       A.  Manpower Requirements
       B.  Qualifications and Background
       C.  Certifications
       D.  Administration and Supervision
       E.  Laboratory


   X.  APPENDIX


       A.  Schematics
       B.  Valve Indices
       C.  Sample Forms
       D.  Chemicals Used in Plant
       E.  Chemicals Used in Laboratory
       F.  Water Quality Standards
       G.  Detailed Design  Criteria
       H.  Equipment Suppliers
       I.  Suppliers' Manuals
           (May be bound separately)
       J.  Infiltration Controls  (Ordinances)
       K.  Industrial Waste Controls
           (Ordinances)
                                  44
                                          V. B. GOVERNMENT PRINTING OFFICE : 1970 O - 406-409

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