Drinking Water
and Wastewater
Handbook for
Local Officials
¦
Produced by
the Maryland
Center for
Environmental
Training,
in cooperation
with the U.S.
Environmental
Protection
Agency,
Region 3
October 2000

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Acknowledgments
The handbook was produced under a cooperative agreement between
the Maryland Center for Environmental Training (MCET) of the College
of Southern Maryland, the Pennsylvania Department of Environmental
Protection (PA DEP), the Delaware Technical and Community College
(DelTech), and the United States Environmental Protection Agency
(EPA). Jim Kern, of the United States Environmental Protection
Agency, Region 3, was the EPA project manager and provided valuable
oversight and support.
Chapters were drafted by a number of authors and compiled by staff
from the Maryland Center for Environmental Training. MCET would
like to thank the following people for their contributions to the hand-
book: Brian Carbaugh, Doug Abbott, Theresa Wellman, Lenny Gold,
Richard Alper, Laura Ford, Jake Bair, Susan Craton, and Sally Ho.
Karen Brandt directed the project for the Maryland Center for
Environmental Training. Laura Ford edited and desktop published the
handbook and managed the project for MCET. Jake Bair was instrumen-
tal in developing the project concept and provided essential technical
review during the project. The following MCET staff also contributed to
the project: Susan Craton, Editor, and Frank Comstock, Technical
Reviewer.
This handbook was inspired by Daniel Farris, Director of Limerick
Township Municipal Authority, Limerick, Pennsylvania, and a 104(g)(1)
wastewater operator trainer. "There's got to be a better way...."
The definitions of words in the glossary are copyrighted and reproduced by permission of the
Office of Water Programs, California State University, Sacramento Foundation, 6000 J Street,
Sacramento, CA 95819-6025. For copies of the operator training manuals on the safe
operation and maintenance of water and wastewater facilities that are the original source of
these definitions, contact the Office of Water Programs, phone (916) 278-6142 or by e-mail at
http://wateroffice@owp.csus.edu.
G ASB Research Report, Water and Wastewater Treatment, is copyrighted by the Governmental
Accounting Standards Board, 401 Merritt 7, P.O. Box 5116, Norwark, Connecticut 06856-
5116, U.S.A. Portions are reprinted with permission. Complete copies of this document are
available from the GASB.
Materials adapted from the Comprehensive Guide to Water and Wastewater Finance and Pricing,
Second Edition, are used by permission of George Raftelis and CRC Press, LLC, 2000 NW
Corporate Boulevard, Boca Raton, Florida 33431. To purchase copies, call (800) 272-7737.
SEPA
This project has
been funded
wholly or in part
by the United
States
Environmental
Protection Agency
under assistance
agreement number
T-993694-01-0 to
the Maryland
Center for
Environmental
Training. The
contents of this
document do not
necessarily reflect
the views and
policies of the
Environmental
Protection Agency,
nor does mention
of trade names or
commercial
products
constitute
endorsement or
recommendation
for use.
Cover photos: Lenny Gold and Bruce Darner, Middletown, Maryland, plant superintendent,
review secondary clarifier performance at Middletown's plant (photo by Jake Bair), Montross,
Virginia, town hall (photo by Perry Costas), water tower in Leonardtown, Maryland (photo by
Lenny Gold).

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Contents
A Introduction
B The Regulatory Setting
contributed by Laura Ford, Maryland Center for Environmental Training
C Legal Responsibilities
contributed by Richard AIper, Esq., Maryland Center for Environmental
Training
D Operations
contributed by Sally Ho, Pennsylvania Department of Environmental
Protection
E Maintenance
contributed by Brian Carbaugh, Delaware Technical and Community College
F Personnel Management
contributed by Lenny Gold, Maryland Center for Environmental Training
G Procurement of Professional Services
contributed by Lenny Gold, Maryland Center for Environmental Training
H Public Relations
contributed by Brian Carbaugh, Delaware Technical and Community College
I Financial Management and Business Planning
contributed by Theresa Wellman, Maryland Center for Environmental
Training
J Bibliography
contributed by Susan Craton, Maryland Center for Environmental Training
K Contacts and Resources
contributed by Susan Craton, Maryland Center for Environmental Training
L Sample Monthly Reporting Form
contributed by Jake Bair, Maryland Center /or Environmental Training
M Glossary
contributed by the Office of Water Programs, California State University

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Introduction
Helpful Guidance
To get up to speed
quickly, review the
chapters on
regulations and
liability, as well as
the glossary and
sample reporting
form.
Local officials are almost always those considered ultimately responsible for
the success or failure of the water and wastewater systems operated by their
communities. Because skillful management protects public health and the
environment, as well as the very considerable investments by communities in
infrastructure and staffing, this handbook has been designed to help elected,
administrative, and managerial officials understand the various legal and
technical requirements for the treatment, storage, and distribution of drink-
ing water and the collection, treatment, and discharge of wastewater. The
handbook explains federal and state regulations and legal liability for viola-
tions; operations and maintenance strategies to ensure compliance and foster
plant optimization; and techniques for effective personnel and contract
management, public relations, and community education. The handbook also
describes the basics of sound financial management and sources of loan and
grant assistance for building or upgrading publicly-owned water and wastewa-
ter systems.
Each section of the handbook provides an overview of the "need-to-know"
information for local officials. At the end of the handbook is a substantial
bibliography and additional resources for local officials who would like to
learn more. Included is a sample monthly reporting format designed to help
officials gather from their employees the information they need to properly
manage their water and wastewater systems. Finally, a comprehensive glossary
of common drinking water and wastewater terms is also provided.
Introduction
fl-1

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The Regulatory Setting
In this chapter:
4 Major federal
statutes and
enforcement
mechanisms
4 Compliance
A Emergencies
Delegation of
Regulatory
Authority
Overview of the laws
One of the biggest challenges local officials face is learning to navigate the
maze of regulations governing the operations of their water and wastewater
treatment works, regulations which impact the day-to-day operations and
financing needs of every community's public utilities. It is critical to under-
stand the legal setting and ensure that the superintendents and operators of
local treatment plants are complying fully with applicable laws. In fact, a
community's chief elected local official is likely to be the person those laws
ultimately will hold responsible for ensuring compliance and protection of
the environment and public health. This section is designed to offer a user-
friendly overview of those laws and regulations and to provide a list of
additional resources for further information.4
Development of legislation and Mechanisms for
Enforcement
A number of federal and state laws and regulations are likely to apply to
wastewater collection and treatment and drinking water treatment and
distribution. This chapter summarizes the key requirements of those regula-
tions and describes the implied and stated responsibilities of local officials. As
is often the case with other regulatory requirements, state and local water and
wastewater regulations must be at least as stringent as federally-mandated
standards. It is necessary to check with state environmental or health agen-
cies to see how state regulations might differ from parallel federal regulations
and to obtain details about all applicable laws and regulations.
State agencies and Indian tribes generally receive primary enforcement
responsibility, or "primacy," for the regulations governing drinking water
treatment and distribution. They also receive "delegation" of authority for
enforcing wastewater discharge standards. State agencies applied for enforce-
ment responsibility by submitting to EPA a description of their authority and
the enforcement mechanisms that were to be used to ensure compliance with
the regulations. All of the states in EPA Region 3 have received primacy and
delegation. However, the District of Columbia does not have enforcement
responsibility, so EPA Region 3 directly regulates the District's drinking water
and wastewater treatment programs.
In order to receive primacy or delegation, states must adopt state regulations
that are at least as stringent as the federal regulations. States assume responsi-
bility for making sure that plants comply with federal and state requirements.
*Much of the information in this chapter is excerpted from the U.S. Environmental Protec-
tion Agency Region 3's "Green Community Kit" and from "Environmental Planning for Small
Communities: A Guide for Local Decision Makers" by EPA's Office of Research and Develop-
ment and Office of Regional Operations and State and Local Relations.
The Regulatory Setting

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A complex system of permitting; monitoring; required treatment techniques,
technologies, and best management practices; reporting; and inspection and
auditing determine compliance with the regulations.
In cases of non-compliance, enforcement agencies may issue administrative
orders that require facilities to correct violations, and those agencies may
assess monetary or other penalties. The laws also allow EPA and state agen-
cies to pursue civil and criminal actions that may include mandatory injunc-
tions or penalties, as well as jail sentences for persons found willfully violat-
ing requirements and endangering the health and welfare of the public or the
environment.
Wastewater facility monitoring reports are public documents, and therefore
the general public has the legal right to review. If a citizen believes that a
facility is violating its permit, and if that citizen can establish "standing" (see
the "Legal Responsibilities" chapter), then he or she can independently
initiate a legal proceeding, unless EPA or the state regulatory agency has
already taken an enforcement action.
The considerable public attention received by water and sewer systems is
rivaled only by their close monitoring from regulatory agencies. According to
EPA, sewer systems receive the most inspections of any local government
operation. Recent EPA figures show that nationally nearly 80 percent of all
enforcement actions against local government were taken under the Clean
Water Act.*
If the states fail to enforce regulations, EPA will step in to make sure the
environment and public health are protected. Penalties and fines are levied
based on consideration of a variety of factors, including seriousness of the
violation, culpability (including gross negligence and willful misconduct),
efforts to mitigate damage, history of prior violations, and any economic
benefit gained because of the violation.
The Clean Water Act and Pronosed Changes
Because of growing public concern about serious and widespread water
pollution, Congress enacted the Clean Water Act (CWA) in 1972. It is the
primary federal law that protects U.S. waters, including lakes, rivers, aquifers,
and coastal areas.
Warning
Environmental laws
allow EPA and state
agencies to pursue
civil and criminal
actions that may
include mandatory
injunctions or
penalties, as well as
jail sentences for
persons found
willfully violating
requirements and
endangering the
health and welfare
of the public or the
environment
The Clean Water Act provides comprehensive standards, technical tools,
and financial assistance to address the causes of pollution and poor water
quality, including public and industrial wastewater discharges, polluted runoff
from urban and rural areas, and habitat destruction. For example, the Clean
Water Act:
4 requires industries to meet performance standards for pollution control;
4 charges states and tribes with setting specific water quality criteria for
their waters and developing pollution control programs to meet them;
*U. S. Environmental Protection Agency, Office of Enforcement and Compliance Assistance.
Profile of Local Government Operations, EPA Industry Sector Notebook, EPA/310-R-99-001,
1999.
B-2 Local Officials Handbook

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4 provides funding to states and communities to help them meet their
clean water infrastructure needs (now provided through state revolving
loan funds); and
4 protects wetlands and other aquatic habitats through a permitting process
that ensures development and other activities are carried out in an
environmentally sound manner.
The Clean Water Act is expected to be reauthorized in 2000 or 2001. Likely
revisions include use of a "watershed approach" to protect and improve water
resources, stronger federal and state standards, enhanced natural resource
stewardship, and improved availability of information for citizens and offi-
cials.
The Safe Drinking Water Act
In 1974 Congress passed the Safe Drinking Water Act (SDWA) to ensure
that drinking water supplied to the public is safe. The SDWA regulates all
water systems with at least 15 service connections or regularly serving at least
25 people. The law defines all such systems as public water systems. The
SDWA applies equally to privately owned community water systems, such as
mobile home parks and water companies, and to non-community systems,
such as those at factories, schools, and campgrounds.
The SDWA was amended significantly in 1986, and again in 1996. The 1986
Amendments strengthened standard-setting procedures, enforcement author-
ity, and groundwater protection provisions. The EPA was directed to substan-
tially and quickly increase the number of regulated contaminants. The 1986
Amendments also required all public water systems using surface water
sources to disinfect and, in almost all cases, to filter their water supplies. The
1996 SDWA Amendments further protect public health through regulatory
improvements, increased funding, prevention programs, and public participa-
tion.
Significant Changes and Key Project Areas Under the 1986 SDWA
Amendments
4 great increase in the number of regulated contaminants
4 expansion of regulations to include non-transient, non-community water
systems
4 increase in monitoring for organic chemicals
4 provision for waivers and exemptions from chemical monitoring
4 establishment of more stringent coliform monitoring requirements
4 tightening of requirements for the treatment of surface water and ground-
water under the direct influence of surface water
4 establishment of lead and copper regulations and corrosion control
requirements
4 increase in requirements for public notification and risk communication
4 initiation of a groundwater protection program, including the wellhead
protection program
4 provision of funding to identify and provide the special protections
needed for sole source aquifers
The Regulatory Setting

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Significant Changes and Key Project Areas Under the 1996 SDWA
Amendments
*	selection of regulatory priorities determined on the basis of public health
risk
*	flexibility for states to implement the Act
*	additional funding for states and some public water supplies through the
Drinking Water State Revolving Fund (DWSRF)
4 funding for new state prevention initiatives, including source water
assessments
*	national minimum guidelines for states regarding the certification of
operators of drinking water systems
*	water system capacity development program, especially for small systems
4 increased drinking water protection through government accountability
and public understanding and support, including consumer confidence
reports
The regulations that implement the SDWA are called the National Primary
and Secondary Drinking Water Regulations. These regulations may be found
in the Code of Federal Regulations, Title 40, Parts 141, 142, and 143.
System Compliance with the Law
As described earlier, states generally are responsible for enforcing environ-
mental laws. In most states, environmental laws are implemented and
enforced by a state environmental regulatory agency.
The mechanisms for complying with the Clean Water Act and the Safe
Drinking Water Act are complex and specific. In general, water and wastewa-
ter systems are inspected by a designated regulatory agency. Systems demon-
strate compliance by detailed and accurate monitoring and reporting, and
they maintain compliance through effective system operation and mainte-
nance by qualified (certified) operators and proper management by superin-
tendents and local officials. Specific requirements are outlined in the follow-
ing sections.
Clean Water Act Implementation
The Clean Water Act requires a National Pollutant Discharge Elimination
System (NPDES) permit for discharge from a point source (direct industrial
or public wastewater discharge) into the waters of the United States. The
permit contains limits on what may be discharged, monitoring and reporting
requirements, and other provisions to ensure that the discharge does not
endanger water quality. In general, NPDES permits specify both maximum
allowable concentrations of specific pollutants in milligrams per liter (mg/L)
and maximum allowable loadings of those pollutants in pounds per day per
month. Some permits, however, specify generic "best management practices"
for the protection of water quality.
Helpful Guidance
The regulations that
implement the
SDWA are called
the National
Primary and
Secondary Drinking
Water Regulations.
These regulations
may be found in the
Code of Federal
Regulations, Title 40,
Parts 141, 142, and
143.
B-4 Local Officials Handbook

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Timely
Reminder
Local officials
should ensure that
their facilities have
an annual
performance
review to evaluate
each plant's
efficiency, safety,
and general
performance;
compliance status;
capacity issues; and
pollution
prevention
opportunities.The
performance
review should be
conducted by the
local environmental
training center or
another
independent
evaluator.
In most states, the state environmental protection office issues permits.
However, because the District of Columbia does not have delegation, dis-
chargers in the District receive permits from the EPA Region 3 office.
States issue permits for discharges to surface water and groundwater from
both industrial and public facilities. Permits may be "individual" (site-
specific), or they may be "general" (developed for a group of facilities or
similar types of discharges). Monthly operating reports and discharge moni-
toring reports, which provide documentation of compliance (or non-compli-
ance) with the NPDES permit governing the plant, are basically self-moni-
toring instruments. Data must be recorded accurately and truthfully. State
regulatory agencies also will send inspectors to determine if systems are in
compliance with the discharge parameters imposed under their permits.
A wastewater treatment plant's NPDES permit is likely to address manage-
ment of effluent, biosolids, combined sewer overflows (CSOs), stormwater
management, industrial pretreatment, and oil spill prevention and control.
Because NPDES is a water quality-based permitting system, permit limits may
change due to changes in water quality. To meet CWA requirements, states
are currently identifying waters that are impaired by pollution. For those
waters, the state must establish a total maximum daily load (TMDL) of
pollutants, which is the maximum allowable pollutant loading that allows the
waters to remain safe for fishing and swimming.
Once this maximum pollutant load (TMDL) is defined, it must be allocated
between point and non-point sources and include a margin for safety and for
future growth. The allocation will balance equity and cost considerations and
may involve innovative approaches such as trading loadings between differ-
ent pollutant sources. When a TMDL is ready for implementation, the
public, affected dischargers, regional agencies, and local governments will be
involved in the TMDL process of determining which pollution sources
should bear the treatment or control burdens needed to reach allowable
loading levels. Each local government should have a TMDL contact person
to work with the agencies responsible for implementing TMDL strategies.
It is important for local officials to recognize that TMDLs may result in
additional and more stringent pollutant limits for their systems. Wastewater
treatment plants may require new technologies to meet the stricter permits
that may be issued for point sources.
Most states are using existing programs to provide technical and financial
assistance to control and allocate pollutant loads. Examples include cost-
share programs for nutrient removal at public wastewater plants, low-cost
loans from state revolving loan programs, and grants for stormwater retrofits.
Safe Drinking Water Act Implementation
EPA has established maximum contaminant levels (MCLs), treatment
techniques, and best available technologies to ensure the treatment and
delivery of safe drinking water for the public. More than 100 substances are
regulated under the SDWA, and more are being added each year. For many
The Regulatory Setting B-5

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contaminants, initial monitoring is performed and, if results are within
certain parameters, future monitoring is thereafter limited. For bacteriologi-
cal contaminants, however, monitoring and treatment requirements are
extensive and on-going.
Water treatment plants legally demonstrate adequate treatment of water by
monitoring and reporting laboratory analysis of contaminants, including:
lead and copper
volatile organic chemicals (VOCs)
synthetic organic chemicals (SOCs)
inorganic chemicals (IOCs)
radionucleides
total coliforms
turbidity
disinfection by-products
As mentioned earlier, monitoring for many of these contaminants, such as
radionucleides and chemicals, is reduced after initial testing demonstrates
acceptable results. However, monitoring to show control of microbiological
contaminants is stringent and comprehensive, because of the acute health
risks presented by bacteria, viruses, and protozoa in drinking water.
Depending on the type of contaminant and the likely cause of contamina-
tion, source water or finished water, or both, are monitored. Methods of
laboratory analysis are specified in the regulations for each contaminant.
Treatment facilities submit monitoring, lab analysis, and other routine and
special reports to the primacy agency.
Failure to submit required reports constitutes a violation. In fact, according to
EPA, the vast majority of recent drinking water violations nationally were for
water systems' significant failure to monitor and report, as opposed to viola-
tion of an MCL or treatment technique. Water systems, like wastewater
systems, are subject to periodic inspections by the regulatory agency to ensure
that monitoring, analysis, and reporting are carried out appropriately.
If monitoring shows that the water system exceeds an MCL or if the system is
otherwise found to be in violation of drinking water regulations, the system
must:
*	quickly notify the state regulatory agency;
~	notify the public of the violation as directed by the state agency;
4 work with the state agency, an engineer, or a technical assistance pro-
vider to find the source of contamination and identify the best way to
reduce the level of the contaminant in the water supply; and
4 ask the state agency and other assistance agencies for help in finding
financial resources to make the necessary changes in the water system.
As noted above, drinking water systems must notify their customers when
drinking water standards are violated. The purpose of public notification is to
inform consumers of potential adverse health effects and to tell them what
they can do to minimize their impact. Systems should always notify the state
agency of the violation first, and ask its direction in providing public notifi-
cation.
Warning
Most drinking
water violations are
related to failure to
meet monitoring
and reporting
requirements.
Ensure that your
water system is
complying in this
area.
B-6 Local Officials Handbook

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Money Matters
Small systems may
qualify for funding
assistance which
helps them to
comply with the
SDWA and CWA.
Check the
"Financial
Management"
chapter for
information.
In addition to notification regarding violations, other types of public commu-
nication are required. Systems that serve the same customers year round must
provide annual consumer confidence reports (CCRs) on the source and
quality of their tap water. CCRs provide a unique opportunity for a system to
highlight its significant efforts to protect the public health and to justify
necessary expenditures that might cause rate increases. These public reports,
like every contact with consumers, should be viewed as a public relations tool
for the water system.
Other reporting may be required to show source water protection, including
requirements of watershed management plans (for surface water supplies) and
wellhead protection programs (for groundwater supplies). Additionally,
capacity development efforts may require reporting to show technical,
managerial, and financial capacity to deliver safe drinking water now and in
the future.
Approximately 95 percent of all community water systems serve fewer than
3,300 persons. These small systems often struggle with compliance and may
have difficulty affording treatment technologies needed to comply with new
SDWA regulations. The regulations allow variances and exemptions under
special circumstances, and Congress has also authorized and helped finance
the Drinking Water State Revolving Fund (DWSRF) program to help
systems finance projects needed to bring about compliance with SDWA
regulations. Local officials should ensure that their systems get help early and,
if necessary, often!
Requirements for Reporting Emergencies
EPA has established requirements to report emergencies that may be harmful
to public health or welfare, or to the environment. Circumstances under
which special reporting may be required include:
*	oil spills to navigable waters or adjoining shorelines
*	natural disasters
4 chemical accidents
6 hazardous substance releases
*	toxic releases
Each state has its own contact for reporting emergencies. See the resources
section at the end of this handbook for more information.
The Regulatory Setting B-7

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Legal Responsibilities
Legal liability is an inescapable issue in our society. Elected officials must be
aware of their responsibilities as elected officials and be sensitive to poten-
tially litigious situations. Water and wastewater treatment are highly regu-
lated and health-critical fields, and ongoing education and attention to
liability issues are recommended.
In this chapter:
4 Case studies
4 Stakeholders and
constituency
groups
4 Context and
authority to act
4 Responsibility of
local officials
* Administrative
agency
enforcement
4 Penalty provisions
The information
contained in this
chapter is not and
should not be
considered legal
advice for a
particular local
government or
elected official. It is
general information
that is deemed
reliable. For specific
legal advice about a
particular legal
problem, counsel
should be
consulted.
Case Studies in liability
In 1996, a city in Western Maryland was held criminally and civilly liable by
a state court for allowing filter backwash from a water treatment plant to
pollute an unnamed tributary of a neighboring stream and for killing aquatic
life in that stream. While no elected officials went to jail, the municipality
has paid approximately $400,000 in fines and penalties. These monies were
paid into state-controlled pollution abatement and natural resource protec-
tion funds.
In 1979, a spill of two thousand gallons from the fluoride containment tank
in the City of Annapolis water treatment plant was mistakenly recycled into
the plant's raw water intake, subsequently killing two kidney dialysis patients
at a private facility a few miles away. Four lawsuits were filed against the city
by the wives and estates of the two deceased patients, a soda bottling com-
pany, and the operator of the dialysis center. After six years of litigation by
counsel for the city, which involved thousands of hours of time by depart-
ment heads and elected officials, Annapolis settled all four suits for approxi-
mately $800,000.
These cases illustrate two important points. If the law says that the board,
council, or commission on which an official serves owns the water or waste-
water works, then the courts and the regulatory agencies will look to that
official as a member of that local governing body to protect public health and
be legally responsible for the operation of that system. In addition, the
manner in which water and wastewater is treated by the waterworks can
directly and significantly affect the lives, health, and property interests of the
voters in an elected official's jurisdiction, as well as the use of the fiscal
resources of their governing body. To understand the legal responsibilities,
oconsider this overview of the area of water and wastewater liability.
Stakeholders and Constituency Groups
There are stakeholders and constituency groups to whom elected officials are
accountable, and there are stakeholders and constituency groups for whom
elected officials are accountable. The groups that local elected officials are
accountable to include:
Legal Responsibilities
0-1

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*	state regulators—usually the state environmental regulatory agency;
*	federal agencies charged with pollution and natural resource issues—
usually the United States Environmental Protection Agency and possibly
the Department of the Interior, the U.S. Department of Agriculture or
the U.S. National Oceanographic and Atmospheric Administration; and
4 the citizens who elected the officials.
When elected officials fail or refuse to comply with or disregard the require-
ments imposed by the regulators and the community to whom they are
accountable and responsible, they may be held legally liable. As a rule,
accountability to state agencies is through state statutes and the regulations
that are adopted pursuant to those statutes. Similarly, accountability to the
federal agencies is through federal statutes and the regulations that are
adopted, in most instances, by EPA.
The stakeholders and constituency groups that elected officials are account-
able for are:
*	officers, agents, and employees of the water and wastewater utilities,
4 departments in which these utilities are placed,
4 safe and effective operation of the utilities, and
4 consumers and businesses and institutions that use products of the
utilities in their lives and occupations.
In the case of a wastewater plant, the product of the plant is effluent that
meets water quality standards and effluent limitations that are imposed by
federal and state law and regulation. In the case of a water treatment plant,
the product of the plant is safe drinking water that meets primary and sec-
ondary drinking water standards. When elected officials fail or refuse to
protect the health, safety, and welfare of their utilities, employees, or their
public, then liability may arise from these sources.
Local officials' legal (as distinct from political) accountability to local gov-
ernment employees and to the users of the product of those employees (that
is, the community at large) may come from "third party" suits brought under
statutes or from suits brought under common law, or judge-made case law
such as nuisance or negligence.
Big Picture Context and Authority to Act
The interstate commerce clause, one of the Article I powers granted by the
Constitution to Congress, is the primary authority by which the U.S. Con-
gress enacted the Clean Water Act and the Safe Drinking Water Act. The
courts have agreed with the Congress that the waters of the United States,
including surface water and groundwater, are part of interstate commerce,
and that, generally, this properly includes the regulation of drinking water
and wastewater.
In addition to the interstate commerce clause, states are allowed to regulate
wastewater and drinking water due to their right to police power, which is a
power reserved to the states by the 10th Amendment to the U.S. Constitu-
tion. At common law, the courts view the powers of the state as essentially '
C—2 Local Officials Handbook
Helpful Guidance
The local official, as
part of an elected
local governing
body, must enact
ordinances and
adopt regulations
that protect the
health, safety, and
welfare of local
citizens.

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four: the power to tax, the power to defend, the power to take (eminent
domain), and, relevant to this discussion, the police power. Police power
refers to the power of the state to enact laws and regulations and take all
necessary and proper actions (including emergency actions) to preserve,
protect, ensure, and promote the health, safety, and welfare of its inhabitants.
The states, in turn, delegate part of their police power to the respective
counties and municipalities and special purpose districts and commissions
within their boundaries.
This chapter
contains many legal
terms, most of
which are defined
within the text.
Look for bold
words and the
definitions that
accompany them.
Clearly, an elected official of a county or a city wears several hats. He or she
is part of a regulated community, subject to the exercise of the police power
by the state agency and the federal agency charged with assuring safe drink-
ing water and acceptable wastewater discharges. At the same time, the
official has police power delegated from the state. This means that the
official, as part of an elected local governing body, must enact ordinances and
adopt regulations that protect the health, safety, and welfare of local citizens.
These ordinances and regulations also must be consistent with and must
promote the state and federal statutes with which local governing bodies are
bound to comply.
Federal and Slate Spheres of Authority
If the water or wastewater systems are in a state that has been qualified by the
U.S. EPA to manage and operate its own drinking water program and/or its
own Clean Water Act program, the systems are required to comply with the
state's statutes and regulations. Under the Safe Drinking Water Act, the state
has primacy if it is qualified by EPA. This means the state must have an
active inspection, monitoring, and enforcement program and must have
enacted into state law the major parts of the federal statutory and regulatory
program for safe drinking water. The same is true for the Clean Water Act,
where a qualified state is said to have delegation. Each state in EPA Region 3
has been qualified by EPA to have primacy under the SDWA and delegation
under the CWA. The District of Columbia does not have primacy. However,
most Region 3 states do not yet have full primacy as applied to certain new
rules that EPA promulgated under the SDWA in the latter half of 1998.
Over the twenty-plus years since the Clean Water Act and the Safe Drinking
Water Act were first enacted, the states have grown in their capability to
guarantee the production of safe drinking water and to control pollution from
wastewater. This increasing ability by the states is, of course, not uniform in
each area of regulation. In some cases, states have improved their ability to
measure, detect, and regulate pollution beyond what EPA requires. Other
states have expressed concern about perceived inflexibilities in EPA's regula-
tions. Consequently, the states have been applying pressure on EPA to share
and to delegate increased responsibilities to the states. EPA has been working
to develop new parameters and guidelines to redefine its role with respect to
the states, which may include an element of flexibility in allowing states with
increased capabilities to have a greater share of EPA's authority. This process
and struggle to define a new relationship has been called devolution.
Certain pressures were developing prior to this current phase of devolution,
pressures that contributed to its development. In the 1980s, as Congress
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added new requirements for improved levels of water and wastewater treat-
ment, without however providing additional funding to pay for them, the
states and local governments complained about "unfunded mandates." These
same governments also complained to EPA about the "one size fits all"
approach, which appeared to be evidenced in EPA rulemaking. Generally,
states have asked for special "flexibility" to modify federal requirements to
accommodate local needs. For example, the types and amounts of mineral
content in source water, particularly groundwater, may vary considerably
depending on the geographical region. The degree of removal required to
meet the federal drinking water standards directly affects removal costs.
Therefore, where the public health effects of a lesser degree of mineral
removal are negligible, certain states have asked for such rule-making
flexibility.
A major example of the "one size fits all" issue and an additional source of
pressure upon EPA was the "small systems problem," which has been largely
addressed by the 1996 amendments to the SDWA. The states and EPA
realized that small community systems could not and should not be required
to meet each new regulatory standard using the same technologies and
deadlines that applied to larger public systems. The 1996 amendments gave
small systems the opportunity to apply for variances and exemptions, allow-
ing longer periods to comply with new requirements, and in some cases,
reduced the stringency of those requirements as compared to larger systems.
In certain states, portions of primacy and delegation have been further
delegated to county governments and municipalities. The most delegated
aspect has been inspection and monitoring and, to a lesser extent, enforce-
ment or administration of revolving loan fund money or construction grant
money for improvement of water or wastewater facilities.
Primacy and delegation affect local officials because, on a day-to-day basis,
inspectors from the state environmental regulatory agency will be reviewing
facilities' reports and monitoring and inspecting facilities for compliance with
state laws and regulations. In addition, enforcement officials from the state
regulatory agency will be enforcing and prosecuting state laws and regula-
tions, which generally contain lesser monetary fines and terms of imprison-
ment than the comparable federal statutes. Except for "bad actors," it seems
to be a general perception of state and local officials that state administration
and enforcement tends to give more consideration to local economic, natural
resource, and political issues than would a comparable federal agency in a
regional office, particularly where that office is not located in the same state.
The second major primacy and delegation issue that affects local officials is in
the field of financing of publicly-owned treatment works. All Region 3 states
are engaged in awarding and administering construction grants, to the extent
that public funds are available, and in making and administering construc-
tion loans from state revolving funds. While this chapter will not focus on
financing and construction, there are two cautionary tales. The first example
concerns a municipality that contracted for construction and upgrade of a
wastewater facility. Officials at the municipality assumed that the contractor,
who had done previous public wastewater jobs, knew which costs were
eligible for reimbursement from the state's construction grant program and
Helpful Guidance
The 1996 SDWA
amendments gave
small systems the
opportunity to
apply for variances
and exemptions,
allowing longer
periods to comply
with new
requirements, and
in some cases,
reduced the
stringency of those
requirements as
compared to larger
systems.
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which costs were not. Near the end of the job, the municipality discovered
from state regulatory agency construction grant staff that several hundred
thousand dollars of costsfthat it believed would be eligible for reimbursement
in fact were not. The municipality had to improvise from local sources to
cover the ineligible costs. This example points to the importance of local
government officials qualifying and selecting contractors who are knowledge-
able in cost eligibility. Another alternative is to directly contract with the
design engineers to act as owner's agents and representatives to review cost
eligibility before and during the construction process to prevent costly
surprises near the end of the job.
The second tale relates to an official in a state revolving fund (SRF) program.
This official created an alternative to the now-familiar kickback scheme,
where a local government that received a loan would "kickback" an unlawful
fee to the decision-maker within the funding program. In this case, the SRF
official created a separate disbursement account for certain approved loans
and skimmed an imperceptibly small percentage off four or five loans for
approximately twenty months. This continued until the "skimming" scheme
was uncovered by an outside independent auditor from the SRF, not from the
borrowing local government. This tale underscores the value of and the need
for independent audits of construction grant draws by the borrowing local
government, not to mention of audits of disbursements by the SRF, which
advances the funds.
Federal and State Enforcement Authority
In some circumstances concerning liability, utilities are responsible to EPA
instead of the state environmental protection agency. For instance, if EPA
Region 3 believes that a state is failing to exercise its enforcement responsi-
bilities in a sufficiently vigorous manner, then, upon notice to the state, EPA
may initiate an enforcement action or follow behind what it regards as an
inadequate enforcement action by the state. This is called "overfiling" and is
authorized by both the SDWA and the CWA. If, in the opinion of EPA, a
state does not take action, does not take action promptly enough, takes
inappropriately "light" enforcement action, or proposes to settle a case for an
inadequate penalty or corrective action, then EPA may step in against the
alleged violator, whether it be a local government or private industry. Within
Region 3, EPA has become more vigilant about state enforcement activity
and much more willing to take the lead or to overfile against local violators.
Other situations where EPA may overfile include those where a national or
an international corporation or a major metropolitan area is involved as a
violator, where a federal facility is involved, or where there is a perceived
danger of inconsistent enforcement by the states of similar provisions in the
relevant state statute.
Clearly, the allocation of responsibilities between the EPA and the states and,
to a lesser extent, the delegation of certain responsibilities from states to local
governmental units, is in transition in 2000. This is also true of the produc-
tion and content of new regulations, the increasing emphasis by EPA and the
states on health based risk assessments and good science, and the increased
enforcement activity by EPA in delegated states. This situation indicates that
prudent local elected officials should be vigilant in tracking and preparing for
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these trends, either through contact with local program and enforcement
officials and/or through state and national trade associations concerned with
the interests of local elected officials, such as the National Association of
Counties, the National Institute of Municipal Law Officers, the National
Association of Towns and Townships, the National Association of Municipal
Finance Officers, and the U.S. Conference of Mayors.
Criminal and Civil Liability
In a civil case, two main elements must be proved—whether the defendant is
liable, and, if so, what the damages are. Damages are determined by a judge or
the state environmental regulatory agency looking at the penalty provisions
in the Clean Water Act or the Safe Drinking Water Act. After considering
several factors, an appropriate fine is determined. Where there is liability at
common law, such as nuisance or negligence, but not under a statute, the
monetary damages are assessed by a court after hearing evidence about the
damages or by an administrative agency in an administrative proceeding. In
this discussion, "liability" means a determination in a court case or an
administrative proceeding that the municipal corporation or the elected
official is subject to pay monetary damages or a civil fine. The concept
behind monetary damages and civil fines usually is to repair the damage or
make right the wrong.
In a criminal case, there are two major elements. First, guilt or innocence
must be determined. Second, if guilt is found and a conviction is entered,
then an appropriate sentence must be determined. This sentence may be
either imprisonment or payment of a penalty, or both. Within the first
element, the determination of guilt, there are two main parts to proving a
criminal offense. First, there must be proof of the commission of a crime.
And, second, there must be proof that the actor had a criminal state of mind,
which means "an intent to do harm or damage to the person or property of
others." Local governments and elected officials have been and can be found
guilty of violating criminal statutes, ordered to pay criminal penalties, and
even face imprisonment. The concept behind imprisonment and penalty is
usually punishment, as distinct from restitution.
Burden of Proof
In both civil and criminal cases, the plaintiff or the charging party must meet
its burden of proof on the two major elements of the case. The burden of
proof is not the same, however, in a civil case as in a criminal case.
A burden of proof is the level of certainty in the mind(s) of the judge, jury,
or administrative agency to which the plaintiff must prove that the wrong
complained of was actually committed by the person charged, the defendant.
In the OJ Simpson case, for instance, Simpson was first tried by a judge and
jury in a criminal case and was found not guilty. Later in a civil case, Simpson
was tried by a judge and jury and found liable. What was the reason for the
different result? One major reason was the different standard of certainty
required for each type of case. In a criminal case, the burden of proof is
"beyond a reasonable doubt" which has been described as a 95 percent level
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Warning
Local governments
and elected officials
have been and can
be found guilty of
violating criminal
statutes, ordered to
pay criminal
penalties, and even
face imprisonment.
of certainty, or the virtual absence of doubt in the mind of a reasonable
person. In a civil case, the usual standard is by "a preponderance of the
evidence." This has been described as a 51 to 55 percent level of certainty
that it is more likely than not that the defendant committed the act charged.
Liability issues do not necessarily arise immediately. For instance, a local
government may receive a notice of violation of a wastewater discharge
permit or of a drinking water maximum contaminant level exceedance from
the EPA or from a state environmental regulatory agency. In most cases, the
notice would call for prompt corrective action in order to bring the effluent
back into compliance with the NPDES permit or to bring the exceedance of
the maximum contaminant level back within the required parameters. The
notice may also call for payment of a fine if corrective action is not taken
promptly, usually within a specified number of days. Liability in this context,
meaning the payment of a fine (or possibly a penalty), usually does not arise
until or unless the corrective action called for by the state is not taken or is
renegotiated within the period of time designated.
Injunction
In certain cases the payment of a fine or the payment of monetary damages
does not provide substantial relief or is not an adequate remedy to repair the
wrong alleged by the plaintiff (whether a government or private party). For
example, if the level of nutrients in the water one-quarter mile downstream
from the discharge point of a wastewater treatment plant is found by a court
to be the primary cause of loss of aquatic and plant life, payment of a fine to
the state and payment of money damages to the private plaintiffs may not be
an adequate remedy to repair the wrong if the plaintiffs are an adjoining
property owner, a nearby marina, an oysterman's association, or the state
environmental regulatory agency. Where such is the case, a court may order
the local government and its elected officials to design, construct, and install
equipment so that an additional level of treatment removes pollutants, in
order to give complete relief to the plaintiffs.
If a court has ordered a local government to take an affirmative action, such
as to install a new level of treatment or to refrain from a continuing course of
conduct (such as discharging excess nutrients into a receiving water), that is
called "equitable" or "injunctive relief." Since money damages are not
ordered to be paid, it is not a form of liability. However, if the local govern-
ment fails, avoids, or refuses to comply with an injunction, then the issuing
court may, upon petition by the plaintiffs, cite the local government for civil
contempt of court and impose a daily fine until the local government ceases
and desists from the non-compliant conduct.
Responsibility of local Officials
It can be difficult to know for whose actions a local official may be held
liable. Is an elected official of a municipality responsible for the acts or
omissions of the Director of the Department of Public Works, the Division
head for water and wastewater, the Bureau Chief for Wastewater, the Supervi-
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sor of the night shift, the superintendent who initials the monthly operating
report, and the operator who fills out the daily monitoring report and certifies
that he/she has taken grab and composite samples? What about the contract
laboratory which certifies that it has followed the appropriate test protocols?
Is the local official responsible for the actions of all these officials, employees,
and agents? How far down the line does his or her responsibility extend?
Principal and Agency
Unfortunately, there is no bright line answer. Nevertheless, it is helpful to
understand two major concepts. The first is principal/agent in the context of
a local government corporate officer/director. The second is immunity in
tort, not to be confused with prosecutorial immunity. Principal/agent means
the principal is responsible for the acts of his agent so long as the agent acts
within the scope of his or her stated authority. If the agent goes beyond or
exceeds the scope of his authority, then the principal is not responsible for
such acts or omissions by his agent. Simply put, an elected official is the
principal, and the employees of the local government are his or her agents.
Usually the scope of authority is described by such typical sources as job
descriptions, departmental or divisional organizational charts, collective
bargaining agreements, personnel regulations, contracts or implied contracts
with employees or outside laboratories, ordinances, memoranda, and bulletins
or advisory guidelines from department heads. To the extent that the scope of
authority is not clearly defined and communicated to each employee, the employeeI
defendant may be able to assert claims and defenses that would not otherwise be
available if such authority issues were clearly defined and communicated in ad-
vance, with records kept of all such communications.
At common law, the most common categories of employee conduct that are
deemed beyond the scope of authority are:
*	bad faith and fraudulent acts,
4 illegal acts or acts which violate applicable statutes and regulations,
6 criminal acts, and
*	acts of frolic and detour.
Money Matters
It is far less
expensive to catch
potential problems
early, before they
can become major
disasters for a
community.
Acts of frolic and detour refer to the employee who during work hours
departs without permission from work responsibilities, perhaps using work
related equipment or inventory for personal purposes. For example, if an
employee is sent to a chemical supply warehouse to purchase fluoride for a
water treatment facility and uses municipal funds to purchase some lime and
then on the way back to the plant applies the lime to his backyard lawn, that
may violate more than one of these categories of employee conduct which is
beyond the scope of authority.
Duly of Due Diligence
Where a local official is a principal in a case, the agent for the elected official
is probably the chief administrative or operating officer, the chief financial
officer, and perhaps the department heads who report directly to elected
officials on budgetary, capital, and operational matters. These officials are, in
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Timely
Reminder
Environmental
audits, risk-based
assessments,
sanitary surveys,
and requests for
technical assistance
and evaluations by
regulatory
authorities, if
carried out
regularly and
properly, will have
a preventive and a
defensive value to
the local officials
who request them.
turn, principals for the division heads, bureau heads, and, in the case of
wastewater and water treatment facilities, supervisors, superintendents, and
operators who-actually operate the treatment, collection, and distribution
facilities and systems that are owned by the local government.
By analogy to corporate law, an elected official is a director or possibly an
officer of his or her municipal corporation. Directors and officers of a corpo-
ration are expected to make themselves familiar with the policies, practices,
budgets, operations, projects, strategies, and objectives of the corporation.
This may be considered a general oversight obligation. Where there is a
"triggering circumstance" or where there are facts that would awaken suspi-
cions and put a prudent person on guard, then the director has a duty to
inquire and to inform himself or herself of all-important information that is
reasonably available prior to making a business decision. It has been held that
where a director fails to take necessary steps to acquire a rudimentary under-
standing of the business and activities of the corporation, that director will be
liable for any damage resulting from that ignorance or passive negligence.
In the Exxon Valdez case, where an oil cargo ship owned by Exxon spilled
eleven million gallons of crude oil into Alaska's Prince William Sound, one
of the areas of exposure of the corporation and its president, as a witness, was
the evidence available to the corporation of alcohol consumption and
possible abuse by the captain of the Valdez over the ten-year period of his
employment with Exxon. One of the issues in the federal criminal trial
against the corporation was whether Exxon knew or should have known that
the captain would be fit to operate the Valdez in a careful manner. The State
of Alaska and the U.S. EPA argued, among other things, that Exxon was a
principal and the captain was its employee. They claimed that the principal,
Exxon, was responsible for the acts of its agent and that Exxon had not
exercised due diligence, but had been negligent in overseeing the acts and
omissions of its employees. The governments' arguments prevailed, and
Exxon was held primarily liable for the damages and for the acts of its agent,
the ship's captain.
Corporate officers and directors in private, for-profit corporations are ex-
pected to exercise due diligence, sound business judgment, and act reasonably
and prudently in governing and directing the affairs of their corporations.
Corporate officers and directors, as principals, may be held liable for what
they knew, or should have known, if acting recklessly or very negligently in
managing the affairs of a corporation.
The use of environmental audits, risk-based assessments, frequent sanitary
surveys, and requests for technical assistance and evaluations by regulatory
authorities are measures which, if taken regularly and properly, will have a
preventive and a defensive value to the local elected officials who request
them. It is far less expensive to catch potential problems early, before they
can become major disasters for a community. From the government's point of
view, self-auditing can improve the level of compliance with the laws and
regulations intended to protect public health and can conserve the
government's limited resources for inspections and enforcement. If enforce-
ment does occur, the state or federal enforcement authority, in evaluating the
appropriate enforcement action to be taken, may consider the presence of a
self-audit program, or give credit in such actions to violations discovered
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during voluntary audits. These measures would, if carefully administered,
constitute a large part of performing the twin duties of due diligence and due
care which are required of local elected officials.
Many smaller communities cannot afford regular sanitary surveys or risk-
based assessments by outside contractors. Some states offer technical assis-
tance and/or grants for such purposes because they consider this a more cost
effective use of regulatory resources, tending as it does to increase compliance
levels, as compared to the allocation of resources to enforcement actions.
Many states have adopted audit immunity and audit privilege laws that
protect the disclosing jurisdiction from enforcement for the matters that are
uncovered during an audit, providing those concerns are promptly disclosed
to the regulatory authority and promptly corrected. The audit policy of EPA
offers penalty waivers and penalty reductions if several conditions are met.
There is also a growing trend in environmental litigation to "pierce the
corporate veil," holding individual corporate officers and directors respon-
sible for the acts of their corporations, where industrial processes, products, or
by-products have been found to violate federal anti-pollution laws. In a
federal case arising in a northwestern state, a company cleaned drums that
had contained a mix of chemicals and then discharged the polluted wash
water from the drums into its warehouse sewer system, without obtaining a
discharge permit. The president of the corporation was held criminally liable
under the CWA as a responsible corporate officer. The court held that a
person becomes a responsible corporate officer if he or she has authority to
exercise control over the corporation's activity that is causing the illegal
discharge. There is no requirement that the corporation expressly vest that
officer with the responsibility to oversee that activity. It is unclear at this
writing whether this trend might expand to include municipal corporations.
The area of individual liability for negligent decisions by elected officials is
unsettled. It seems to turn upon many fine legal distinctions, the meaning
and application of which the courts do not yet agree upon. Past cases seem to
be heavily factually driven. It would seem prudent, though, to suggest that if
local officials are receiving clear advice from administrators charged with
operating water or wastewater works that upgrades or extensions may be
required to protect public health, such warnings may be a triggering circum'
stance, which would indicate that local officials have a duty to inquire
further in a diligent manner in order to meet their responsibilities of pru-
dence and due care as elected officials.
immunity
The basic concept of immunity is that the sovereign, the giver of the laws,
can do no wrong. Through the centuries this doctrine, called sovereign
immunity, has produced offspring, which are called governmental immunity
and official immunity and which apply the same concept to more limited
groups of officials for more limited sets of acts.
Generally, sovereign immunity applies to states to a greater extent than to
counties or other local governments. When a state delegates immunity to a
Warning
It has been held
that where a
director fails to
take necessary
steps to acquire a
rudimentary
understanding of
the business and
activities of the
corporation, that
director will be
liable for any
damage resulting
from that ignorance
or passive
negligence.
Money Matters
Many states offer
technical assistance
or grants for
system evaluations.
Check with the
state regulatory
agency or the local
environmental
training center.
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Helpful Guidance
To exercise duty of
due diligence,
inquire and inform
yourself before
making a business
decision that affects
your treatment
plant. Use your
operators as a
resource to help
you with this
decision-making.
county or municipality, it is usually in the form of governmental immunity.
The immunity is usually against liability in tort, but is not usually available in
contract. That means that governmental immunity would not be available if
EPA were to sue a county for violation of an effluent limitation first given in
a regulation and then specifically in a discharge permit, or if a vendor of
chlorine were to sue the county for failure to pay on a supply contract. But if
a customer or a nearby property owner or an employee of the water works
sues the county in tort, such as for negligence, nuisance, libel, slander,
assault, or battery, then governmental immunity may be available if the act or
omission complained of is an act that is essentially and typically performed by
a government. The act in question would need to be governmental in nature,
as opposed to being proprietary—that is, having to do with the repair,
maintenance, and operation of a property or facility such as a commercial
business. This distinction has caused the courts in different states a lot of
difficulty, perhaps for obvious reasons. Therefore, there is no definitive test
for what is governmental and what is proprietary. Perhaps building or operat-
ing a fire station or a wastewater treatment plant is governmental, where
paving a road or clearing snow from a road may be proprietary.
The second form of immunity is official immunity, which usually only
applies to torts. Generally, this immunity applies to high-level government
officials whose positions are described or required by statutes or ordinances,
who take an oath relative to their performance of public duties, or who post a
bond because they will be expected to handle public revenues or finances.
This may apply to elected officials of incorporated municipalities and of
counties, depending upon the particular case law on official immunity and
the applicable state statutes dealing with the responsibilities of locally elected
officials.
In the event that sovereign, governmental, or official immunity does not
apply, many states have enacted local government tort claims acts designed
to give some protection to local officials who in the proper discharge of their
duties cannot afford to be inhibited from taking action due to the constant
fear of suit from disgruntled interests or citizens. Typically, these provide a
class of officials and employees who, provided they were acting in the scope
of their employment with respect to the subject matter of the suit, may be
entitled to separate counsel, defense costs, and a coverage of any judgment
against them in their official capacity, up to some stated dollar limits. These
statutes do not extend to the personal actions or statements of local employ-
ees or officials that are made during their term of employment, but not made
in the scope of their official duties or responsibilities. For example, if a county
councilman were to declare that another local elected official lacks moral
character, took a bribe, and made a stupid decision on a zoning matter, such
conduct or speech would not, if made the subject of suit, be covered by a
local government tort claims act.
Third Parly Suits and Standing
Earlier discussions described accountability to certain stakeholders and for
certain constituencies and explained that the failure to be accountable and
responsible may be the source of liability. This section explores third party
suits. This means where parties other than the regulators are bringing suit to
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compel the county to pay monetary damages or to be enjoined from acting in
a certain way, such as permitting pollution.
Potential third party plaintiffs for a water or wastewater system could be:
*	adjoining landowners
4 oystermen, fishermen, and other watermen
*	recreational water users
4 patients with immuno-suppressed conditions, such as children and the
elderly
A nursing and assisted care facilities
A users of water from downstream water withdrawal or intake points
*	restaurants
4 factories
*	associations that represent these users, such as citizens associations,
homeowners associations, trade associations, and environmental groups.
To sue, third party plaintiffs need standing. The basic concept of standing is
that if one is not directly, actually injured in a way different from that suf-
fered by the public generally, then the court will not permit that individual to
maintain his or her suit. As a related doctrine, the court will not set aside
time to hear remote or abstract theories brought by people who are not really
injured; therefore, a plaintiff must demonstrate actual injury or aggrievement.
Third party plaintiffs get their right and ability to sue from judge-made case
law on standing and from two kinds of statutes. The first kind is substantive,
like the federal Clean Water Act and the federal Safe Drinking Water Act
and, in some states, from the equivalent state statutes. The second kind is
procedural statutes, mostly arising from state administrative procedures,
which specify what a party must do to obtain standing to challenge or partici-
pate in a proceeding for the issuance of a state permit or from state environ-
mental standing statutes. In certain states the legislature has enacted separate
statutes codifying and broadening standing in individual administrative
hearings that are contested cases. It is more difficult for unincorporated
associations to receive standing than for individuals who have been injured
or have suffered property damage.
In the case of nuisance and negligence, standing comes from judge-made case
law and common law. In nuisance, the property rights of the plaintiff for
clean and adequate water or clean air would have to be adversely affected.
That usually means that the property owner must live or work in close
proximity to the water or wastewater plant. In negligence, the person or the
property of the plaintiff would have to be injured either by the operation or
condition of the works or by the products of the works.
If EPA and the state environmental regulatory agency can sue a municipality
for not meeting a maximum contaminant level, then why would the city
have to respond to a suit brought by a citizen for the same violation? Con-
gress has specifically provided in the CWA and in the SDWA for citizens
suits to enforce those respective acts. Certain state legislatures have made
similar provisions.
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The concept is that a citizen plaintiff is a private attorney general who
should also be vigilant for violations of these statutes by municipal and
county governments, as well as any other violators, and who may bring suit in
the appropriate court for money damages or injunctive relief, just as the U.S.
Attorney General (read Department of Justice, including each U.S. Attor-
ney) could bring suit for the same violation. Usually if the citizen plaintiff
wins a suit under the Clean Water Act, the court may impose penalties on
the violator, but not monetary damages. Under the SDWA, the citizen
plaintiff may obtain injunctive relief, but may not seek penalties or damages.
Typically citizens have limited resources to bring such a suit, but such suits,
when pursued, bring about additional awareness and compliance with the
environmental statutes that have been invoked in the suit.
In enacting these citizen suit or private attorneys general provisions, the
Congress may have decided that EPA and the Department of Justice simply
did not have the resources to be at every water or wastewater system and
observe every violation, or it may have decided that it really wanted enforce-
ment of these statutes dealing with the environment, and one way to do that
was to empower and reward citizens who tried to help. In the 1990s, the
Supreme Court has tied the concept of standing to the constitutional doc-
trine of separation of powers. It has held that citizen suits should be dismissed
when the citizen plaintiff fails to establish a concrete and particular eco-
nomic injury. Thus, the court may have narrowed and put into question the
right of Congress to provide for citizen suits in environmental statutes.
Administrative Agency Enforcement of
Regulations
What is the role of rules and regulations and how and where can elected
officials be liable for non-compliance with them? Generally speaking, legisla-
tures pass general laws and delegate to experts in the various fields decisions
about specifics and creation of the details about how to carry out the mean-
ing and purpose of particular statutes. The Congress delegated to EPA the
responsibility to adopt hundreds of regulations concerning water quality,
effluent limitations, pretreatment, publicly-owned treatment works, report-
ing, and monitoring. Similarly, the state legislature in any state that has
adopted its own version of the CWA and SDWA has delegated to its respec-
tive state environmental regulatory agency the same responsibility that
Congress gave to EPA. These governmental regulators are, legally speaking,
administrative agencies. This function of making detailed specific rules,
which is delegated to administrative agencies, is called the rule-making
function. These rules have broad applicability and, of course, are the detailed
blueprints of how to interpret and enforce the statute that the legislature
enacted.
The second major function of an administrative agency, such as a state
regulatory agency, is adjudication. This occurs when a department issues a
notice of violation against a local government, but before there has been any
consent order or other settlements. A hearing is held before an administra-
tive law judge (ALJ). Testimony and documentary evidence is produced, and
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the ALJ assesses the evidence and the demeanor of the witnesses and then
issues a written decision. The order from an ALJ may include civil fines,
schedules of compliance, and corrective action to be taken by a date specified
in the order. If adverse to the local government, a right of appeal either to a
departmental review board or to a court of law may be filed.
Generally, the fines and corrective measures ordered by an ALJ are not as
great or as burdensome as would be the case if ordered by a trial judge from
the judicial branch of the state. This is because the safeguards, formalities,
and procedures are not as rigorously observed in an administrative proceeding
as they are in a court of law. On the other hand, the scheduling of the
hearing, and its length, are generally not as long as when the state decides to
go to court. Generally, an administrative action is brought, as distinct from a
civil action in court, because the harm to the environment or to human
health is thought not to be as great or the record or conduct of the defendant
is not as serious.
Regulatory Trends under the Clean Water Act
Some penalty provisions are built in to the Clean Water Act and the Safe
Drinking Water Act (see also "The Regulatory Setting" chapter of this
handbook for an overview of these two statutes). Typically, the penalty
amounts in the comparable state statutes are about half as much as the
amounts stated in the federal statutes. First though, a few observations about
regulatory trends under the Clean Water Act are appropriate.
With minor exceptions, no NPDES permit to be issued in the future will be
more permissive than those currently in place. More restrictive permits may
entail the construction of upgrades, expansions, and new facilities by munici-
palities, which may be required to borrow more heavily from states, issue and
sell general obligation or revenue bonds, or increase utility rates for users.
The major reasons for more restrictive permits are listed here and discussed
below:
*	the advent of total maximum daily load restrictions
t increased use by the states of more restrictive water quality standards
*	new scientific research and information about toxicity
There is a growing perception, perhaps a conviction, that non-point source
pollution from shopping centers, suburban development, road construction,
and agricultural activity is a major source of water pollution and that the
Clean Water Act lacks adequate regulatory tools to control it. The general
topic is called stormwater management. The pollution involved is oil,
sediment/debris from agricultural and construction activity, pesticides, and
livestock excrement. An NPDES permit is generally not required for the
discharge of pollutants from non-point sources. However, best management
practices (BMPs) are required.
A major element of the effort to establish BMPs for stormwater management
is watershed management. This involves essentially three steps:
4 research and collection of data about the size and volume of streams, and
the effects of stormwater runoff on the streams and on aquatic life in the
streams,
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* identification and inclusion of stakeholders concerned with the health
and regulation of stormwater runoff to the streams, and
A a collective effort to develop a watershed management plan that defines
controls, protections, and permissible "loadings" of stormwater runoff
pollutants to each stream.
In particular, concern is growing about runoff from agricultural activity and
concentrated animal feedlot operations (CAFO or livestock/poultry "facto-
ries," collectively called agricultural runoff). EPA is in the process of re-
searching, identifying, and adopting regulations that define appropriate best
management practices for agricultural runoff. So far, the principal method is
for farms to adopt and implement nutrient management plans that include
limits on release of phosphorus and nitrogen into receiving streams. In
addition, EPA and the states are increasingly considering regulating CAFOs
as a new point source under existing statutory authority. At this point, it is
likely that when Congress amends the Clean Water Act, EPA will seek to
strengthen the controls for stormwater management with particular attention
to agricultural runoff.
Increasing populations, the distribution of those increased populations near
potential receiving streams, and the ever more popular use of waters for
recreation and tourism, bring mounting pressure on receiving streams and
also on drinking water supplies. In response to these pressures, more states
have adopted stricter water quality standards and applied those standards to
more stream segments, in the service of protecting recreational uses for those
streams.
EPA, due to increased knowledge about toxicity, is ratcheting its tap water
standards upward. For example, the standard for turbidity, a measurement of
the clarity or transparency of the drinking water, has been reduced from 0.5
NTUs to 0.3 NTUs. This creates problems for older filtration systems and
greater expense to achieve compliance with turbidity standards.
Section 1313(d) of the 1972 Clean Water Act provides that states must
identify segments of streams where effluent limitations are not strong enough
to attain the water quality objectives and uses which the state has designated
for that particular stream segment. In other words, if the state declares that a
particular section of a stream must be clean enough for trout fishing, but the
effluent limitations contained in the discharge permits for that part of the
stream mean that it will not be clean enough for trout fishing (i.e., the stream
does not have sufficient oxygen, or it has excessive thermal discharges), then
the state must identify and prioritize these "impaired" stream segments. It
must also establish total maximum daily loads (TMDLs) for certain pollut-
ants that EPA determines are suitable for TMDL measurement and which
correlate to achieving overall water quality objectives.
Within the last two years, a number of citizens associations, landowners, and
environmental non-profit organizations have sued EPA and the respective
states, including states within Region 3, for failure to identify or prioritize
such troubled stream segments or to specify the pollutants that are suitable
for TMDL measurement and to establish what the TMDLs shall be. The
purpose of the suits is to get the states and EPA to take action to restore and
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improve water quality in the non-complying stream segments. In most of the
decided cases, the courts have found that EPA and the states have failed to
meet these responsibilities under Section 1313 and have essentially ordered
EPA to develop the suitable pollutant lists and the states to identify and
prioritize the troubled stream segments within the specific deadlines set out
under court order.
How, if at all, does this affect local elected officials? Once these loads are
established for specific stream segments, they are allocated to the various
users within a stream segment, including the publicly-owned treatment work
that is owned by the municipality. Additional population growth or stream
usage may occur, pushing the loading limits for the stream. Conflicts among
the users of the stream may occur. Issues may arise over who must pay, who
must give up part of their loadings, and whether the state will re-study or
relax the loadings limits.
As stated above, the imposition of TMDLs for stream segments will pressure
permit writers at EPA and the state to be more restrictive in the effluent
limits which are written into each municipal (and industry) permit insofar as
those limits relate to the TMDLs.
Penalty Provisions under the CWfl and the
SDWA
Under the Clean Water Act, a civil violation penalty shall not exceed
$25,000 per day. Administrative violations, those brought by EPA before an
administrative law judge, are subject to fines not to exceed $10,000 per
violation, with a $125,000 cap. The criminal fines are organized into three
categories, which are briefly discussed below.
Criminal negligence violations may cost $2,500 to $25,000 per day. Criminal
negligence is gross negligence or wanton disregard for the health, safety, or
property of others to the degree that one can infer criminal intent from the
actions of the perpetrator. As stated above, criminal intent means a deliber-
ate intent, which can be inferred from facts and circumstances (not simply
from oral declarations or written statements) to commit an unlawful act with
wanton disregard for whether the actions of the perpetrator may cause harm
to others. For instance, if the chlorine feed at a wastewater plant is shut down
for two or three days because the plant has failed to contract for or arrange
regular deliveries of chlorine, and recreational users of the receiving waters
are made sick, one may infer criminal negligence from the failure to act to
procure and store adequate supplies of chlorine.
Knowing violation of the CWA may result in a penalty of $5,000 to $50,000
per day or imprisonment not to exceed three years or both. A knowing
violation means that the actor did not simply have a general intent to do
harm, which is the case in criminal negligence and in most of the common
law crimes (arson, theft, burglary, rape, murder), but that the actor had
deliberate, specific intent to violate the CWA knowingly or with reckless or
wanton disregard for the consequences to others. For example, an operator of
Helpful Guidance
Plan ahead. Once
pollutant limits such
as TMDLs are
established, the
permitted loadings
are allocated to the
various users within
a stream segment,
including the
treatment work
that is owned by
the municipality.
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a plant wishes tb'let a receiving stream be damaged by excessive amounts of
process sludge rich in iron eventually killing most of the stream's nearby
aquatic life. The operator, despite knowing that such acts would violate the
CWA, adds excessive amounts of chlorine to oxidize the iron, which causes
harm to the stream.
Similarly, a department head may advise local elected officials that the state
insists that an upgrade to the water treatment facility is required because the
surface water supply has been permanently degraded and that failure to
upgrade may adversely affect human health and the environment. If the
elected officials fail to take steps to appropriate the funds, design, and install
the upgrade, and inhabitants near the plant or aquatic life near the plant are
harmed by preventable chemical spills or filter backwash, that may be a case
of knowing violation of the CWA by the elected governing body and the
responsible operating officials at the plant at the time of the damage.
Knowing endangerment results in a penalty not to exceed $250,000 or
fifteen years imprisonment or both. An example of knowing endangerment
might be if a superintendent or an operator cuts the chlorine feed in a
wastewater plant or fails to test for and counteract reasonable evidence of
high fecal coliform counts. If these acts or omissions are known by the
operator at the time of his action to produce a likelihood of causing serious
bodily harm or injury to human beings, then that would be knowing endan-
germent.
Under the Safe Drinking Water Act, the (civil) fines and (criminal) penal-
ties are as follows:
(i)	Administratively-imposed fines for violating the Act or its regulations
cannot exceed $5,000 per day. Civil fines, which can only be obtained in
court, may range from $5,000 to $25,000 per day.
(ii)	Any person who tampers with a public water system, or attempts or
threatens to tamper with a public water system is subject to criminal
penalties and up to five years imprisonment. Tampering is defined as
"introducing a contaminant into a public water system with the inten-
tion of harming person; or to otherwise interfere with the operation of a
public water system with the intention of harming persons." [42 United
States Code Section 300i-l.(d)].
(iii)	On the civil side, tampering is subject to a "civil penalty" of up to
$50,000 while threats or attempts to tamper are subject to a "civil
penalty" of up to $20,000.
(iv)	Where a public water system has failed to comply with a "maximum
contaminant level treatment technique stated in a national primary
drinking water regulation testing procedure, stated in a national primary
drinking water regulation monitoring requirement" and has failed to give
notice thereof to the public, as prescribed by detailed regulations, then
the individual in responsible charge, and possibly his or her superiors, is
subject to a civil penalty not to exceed $25,000.
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The SDWA imposes substantial requirements on providers of public
water supplies about notice to the public if the public water supply fails to
comply with the items listed in (iv) above.
(v) Where a person violates a requirement of an underground injection
program, that person is subject to the civil fines stated in (i) above, but
where such a violation is willful, the violator is subject to three years
imprisonment or criminal fines in accord with the Criminal Code (Title
18) of the US Code. This provision relates to underground emplacement
of fluids which may through migration contaminate wells or underground
water supplies.
Factors Considered in Assessing Amount of Penalty
As listed above, there are a significant number of fine and penalty provisions
with broad ranges of dollar amounts for per day violations. If a daily monitor-
ing report is not filed under an NPDES permit, or if a regulated contaminant
exceeds the MCL, each for three days, then each day of violation is a separate
violation and may incur a separate fine for which the works owner is liable. As
indicated above, the range for each penalty varies considerably. Both federal
statutes and in many cases the equivalent state statutes list factors to be
considered by the court or, in the case of an administrative proceeding, the
state agency, in setting the amount of the penalty in a particular case.
For example, in the federal statute dealing with penalties for violation of the
drinking water regulations, it states that the court may consider "the time
necessary to comply, the availability of alternative water supplies, the serious-
ness of the violation, the population at risk and other appropriate factors" [42
USC 300g-3(b)]. In the Clean Water Act statute dealing with determination
of the amount of an administrative fine, it states that EPA shall take into
account "the nature, circumstances, extent, and gravity of the violation, and
with respect to the violator, ability to pay, any prior history of such viola-
tions, the degree of culpability, economic benefit or savings if any resulting
from the violation and such other matters as justice may require" [33 USC
1319 (g)(3)]. This language is meant to provide some guidelines to EPA as
well as to the regulated community, such as municipalities and counties,
about how to determine the amount of a penalty in a given case.
Availability of Emergency Powers and Injunctive Relief to
EPA
Both the SDWA and the CWA grant emergency powers to the Administra-
tor of EPA, where there is an imminent and substantial endangerment to the
health of persons and where state and local authorities have not acted, to
take such actions, issue such orders, and commence such civil actions as are
deemed necessary to protect public health. Of course, the equivalent state
law will provide similar powers to the Secretary (or Administrator) of the
state regulatory agency to take emergency actions when local authorities
have failed to act. The invocation of such powers by state or EPA officials
may indicate negligent or willful conduct by local authorities.
Money Matters
If a daily monitoring
report is not filed
under an NPDES
permit, or if a
regulated
contaminant
exceeds the MCL,
each for three days,
then each day of
violation is a
separate violation
and may incur a
separate fine for
which the works
owner is liable.
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Both Acts also grant to the Administrator of EPA the right to seek injunctive
relief, where money damages would not be adequate. Here is an example from
the Clean Water Act that is pertinent to Region 3:
"The Administrator may upon receipt of evidence that a pollution source
is presenting an imminent and substantial endangerment to the health of
persons or to the welfare of persons where such endangerment is to the
livelihood of such persons, such as inability to market shellfish, may
bring suit on behalf of the United States...to immediately restrain any
person causing or contributing to the alleged pollution to stop the
discharge of pollutants...or take such other action as may be necessary."
[33 USC 1364(a)]
This statute presumes that imposing a civil fine on an industrial or municipal
polluter would not remedy the problem of inability to market shellfish. The
Administrator would therefore have to prove, in order to get such an injunc-
tion against a publicly-owned treatment works or an industrial polluter, that
irreparable harm would occur to the shellfish harvesting and marketing
industry if the court were refuse to grant an injunction. The subsequent
injunction would presumably order the polluter to cease and desist and to
find interim and alternative discharge processes or points of discharge until
an upgrade to the required level of treatment can be completed.
Judge-Made Law: Negligence, Products Liability, and
Nuisance
The final area of liability is judge-made case law, which is derived from the
common law. It is now more common for citizen plaintiffs particularly and
regulatory agencies occasionally to include in their complaint a count of
negligence, private nuisance, and possibly products liability. Since these
causes of action are not derived from any federal statutes, such as the CWA
or the SDWA, they do not come with "price tags," meaning penalty ranges
that are fixed by statutes. A plaintiff in such an action must establish liability
and damages and prove actual and measurable damages to the satisfaction of
a jury or a judge.
Three causes of action might apply to local governments. The proof of
negligence has four elements, each of which must be demonstrated:
* duty of due care to a foreseeable plaintiff
4 breach of such duty
4 breach is the proximate cause of the damage or injury
6 injury to person and/or damage to property
An example would be if a municipality has an employee who monitors and
tests a lagoon treatment system, and the employee uses "pencil chemistry" for
a few weeks, not actually taking or analyzing the composite and grab samples
required by the permit. If, unbeknownst to that employee, the fecal coliform
levels have been rising, and there are health problems for elderly couples
whose wells are close to the lagoons, then a pattern of inattention and
carelessness exists which may constitute legal negligence by the municipality,
separate and apart from several violations of the NPDES permit, and thus the
CWA.
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Recently, cases have been brought in California against the suppliers of
contaminated tap water on the basis of products liability. The most notewor-
thy recent cases of product liability have been the Dalkon shield and the
combustible gasoline tank at the rear of a certain compact car, which resulted
in massive amounts of liability for the respective manufacturers. The concept
is that the product, in this case drinking water, is treated and held out to the
public to be suitable and fit for a particular purpose if it is bought and used for
that same purpose (drinking) and is "defective" (that is, contaminated) in
meeting that purpose to the point that it harms the purchaser (that is, the
consumer), then liability may arise from the purchaser against the "manufac-
turer" (that is, the water system). This is a new and emerging theory of
liability against water plants, but it may be strengthened in this era by the
1996 amendments to the SDWA, which require annual consumer confidence
reports to be published and distributed by public water supply systems.
Private nuisance is a separate and distinct cause of action, deriving from the
power of a government to declare a structure or condition dangerous and
unsafe to public health, which is sometimes called public nuisance or abate-
ment. Private nuisance is usually brought by a neighbor or a neighborhood
association (that is, plaintiff) against another property owner for a continuing
invasion of the use and enjoyment of the plaintiff's property rights. These
rights may be for peaceable use and enjoyment of one's own property, for
reasonable use of air, light, water, and subjacent or lateral support. For
example, this might occur if a property owner lived on an inlet, and a waste-
water treatment plant was located on the same inlet following the property
owner's arrival. If the plant emitted a continuous odor or noise, or polluted or
diminished the water supply available to the property owner, that might be
considered an appropriate case for a legal nuisance suit. As in the case of
negligence, the property owner as plaintiff must not only prove the elements
of nuisance, i.e., continuing invasion (against consent) of his or her property
rights, but must also prove the actual measurable damages arising from the
nuisance to a judge or jury as a trier of fact.
In summary, a local government may be liable through statute, regulations
adopted pursuant to such statutes, through judge-made case law, or for
equitable relief such as injunctions. It becomes prudent to periodically
consult with the appropriate department head who is responsible for water
and wastewater operations and planning, as well as the fiscal staff who
monitors the use and availability of funds for the same, and to have appropri-
ate contingencies in the budget to anticipate health emergencies, administra-
tive notices of violation, permit violations, court orders, advisable and
required upgrades, and expansions of works. In this area an ounce of preven-
tion and common sense can save much on legal bills and liabilities.
Warning
Products liability is
a new and emerging
theory of liability
against water plants,
but it may be
strengthened in this
era by the 1996
amendments to the
SDWA, which
require annual
consumer
confidence reports
to be published and
distributed by
public water supply
systems.
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Operations
In this chapter:
4 Water treatment
and distribution
*	Wastewater
collection and
treatment
*	Safety
*	Emergency
planning
Water Treatment and Distribution
Safe drinking water is one of the few true necessities of life. Before urban
development, safe drinking water could be taken directly from lakes and
rivers. But with the growth of cities and the increase in population density,
natural water systems became overwhelmed. Receiving streams became not
only polluted, but health problems resulted as diseases were spread from
upstream dischargers to downstream users. Additional treatment of water for
human consumption became necessary. Polluted waters also required treat-
ment to protect both aquatic life and the recreational value of rivers and
lakes.
As a result of air and water pollution, water taken from rivers, lakes, and
some groundwater must be purified before use as drinking water. Egyptian
wall inscriptions indicate that water treatment was performed as early as 2000
B.C. Modern treatment procedures, including filtration and coagulation,
were developed in the 17th century. Treatment is designed to remove organic
and inorganic contaminants, as well as disease-causing organisms.
Access to safe, reliable drinking water is a priority in every community and a
right of every citizen. In 1974, Congress passed the Safe Drinking Water Act
to ensure that drinking water supplied to the public is safe.
Sources of Drinking Water
All water sources are supplied by rain. Some water enters the ground through
infiltration, while runoff ends up in streams, lakes, and reservoirs. All com-
munities using surface water sources, such as rivers, streams, ponds, reservoirs,
or lakes, must be concerned about upstream conditions and their effects on
raw water quality. Industries and wastewater treatment plants may discharge
into those sources. Agricultural runoff may add fertilizers, pesticides, and
animal wastes. Bodies of water used for swimming and boating must be
checked for contamination by microbial organisms that cause diseases such as
typhoid, hepatitis, and dysentery. Organic and microbiological contaminants
always make such source waters difficult or costly to treat.
In addition to surface water, groundwater is another common source of
drinking water. As rainwater passes through the ground (infiltration), most
drains into layers of sand and gravel underground. These layers are called
aquifers. The upper surface of groundwater is called the water table. The
water table may have contact with lakes, springs, or even tidal waters,
'permitting movement of water from one source to another.
Water can be pumped from wells dug below the level of the water table.
Excessive use of a well may cause water from other sources (for example, an
ocean or lake) to enter the aquifer. Well water may be high in iron, manga-
nese, hydrogen sulfide, or other contaminants. Specialized treatment is
Operations
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required to remove these contaminants. Groundwater also may flow out of
the ground naturally into springs. This flow is directly related to the water
table and underground pressures that cause the flow of spring water to vary.
The flow must be studied over time to determine if sufficient water is avail-
able to support the water needs of a community.
Wellhead Protection
If a community's water source is wells, the wells must be protected from
chemical contaminants and disease-causing organisms. A wellhead protec-
tion plan must be implemented, including identification of the wellhead
protection area, an inventory of potential sources of contamination, and
strategies to manage and control sources of contamination. Obviously,
protecting the water source from contamination is much more effective and
efficient than treating water that has already been contaminated.
There are many potential sources of contamination that may need to be
investigated. These include septic tanks, landfills, underground fuel tanks,
industries, animal wastes (both wild and domesticated), mining operations,
and accidental spills of fuels or toxic wastes. Rainwater carries contaminants
through the ground into aquifers where they can enter well water supplies.
Selecting a Water Source
The water treatment plant's goal is to produce safe drinking water at a
reasonable cost. Before selecting a water source for the plant, many factors
must be considered. All potential sources of contamination must be re-
searched and identified to protect public health. Certain types of contamina-
tion may make source water prohibitively expensive to treat. All factors that
may affect water quality must be identified, and treatment requirements must
be determined. The location of the water source in relation to the commu-
nity must be studied. Also, the expected demand over an extended period of
time must be analyzed to ensure that the water supply will be able to supply
the needs of the community. All of these analyses normally are carried out by
consulting engineers.
Analyzing a water system's source is one step in determining the capacity of
the system. Other factors to be looked at include treatment, distribution,
storage, and management, and the financial capacity to operate the system.
Money Matters
Protecting source
water from
contamination is
much more
effective and
efficient than
treating water that
has already been
contaminated.
Water Impurities
The Safe Drinking Water Act enacted by the Environmental Protection
Agency in 1974 establishes limits for all of the following:
4 Turbidity. Material suspended in the water causes cloudiness called
turbidity. This is caused by clay, silt, microorganisms, and organic and
inorganic materials. Turbidity is reported in "turbidity units." A reading
greater than 5 units can be seen easily. Treated drinking water should
have turbidity levels between 0.05 and 0.3 turbidity units.
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Warning
Wells need to be
protected from
potential sources
of contamination
including septic
tanks, landfills,
underground fuel
tanks, industries,
animal wastes,
mining operations,
and accidental spills
of fuels or toxic
wastes.
4 Color. Metals, organic matter, and microscopic plant and animal residues
can give color to water. Color in drinking water is objectionable to users
and may stain laundry and porcelain.
6 Temperature. Drinking water should be cool, usually between 50 and
60°F. Warm water is undesirable and can affect the users' perception of
tastes and odors.
4 Taste and Odor. Dissolved minerals and algae affect the taste of drinking
water. Algae and hydrogen sulfide in groundwater cause unpleasant
odors. Forty different types of algae have been identified that can cause
taste and odor problems, even in very low concentrations.
6 Inorganic chemicals. This includes toxic metals such as arsenic, barium,
cadmium, chromium, lead, mercury, selenium, and silver. It also includes
non-metals such as fluoride and nitrate.
6 Organics. Toxic organics include pesticides and herbicides.
A Minerals. Minerals that may affect water quality and treatability include
calcium, chloride, copper, iron, magnesium, sodium sulfate, and zinc.
Dissolved minerals in drinking water affect pH, dissolved solids, hardness,
conductivity, and alkalinity (the water's ability to neutralize acids).
4 Biological contaminants. Pathogens (disease-causing organisms) include
bacteria, protozoa, spores, viruses, cysts, and worms. Pathogens may
originate from human fecal matter, so fecal coliform bacteria are used as
the indicator organism when testing for pathogens. The drinking water
limit for fecal coliform bacteria is one organism for every 100 milliliters
(mL) of sample water.
4 Radioactive contamination. Drinking water sources must be tested for
radioactive materials.
Managing the Surface Water Supply
Water treatment facilities that rely on reservoirs or lakes for their water
supply may need to limit recreational use of the water to prevent contamina-
tion. It may be necessary to prohibit motor boats or swimming, prohibit
livestock grazing near the reservoir, or limit insecticide and herbicide use in
the area. Since algae blooms affect taste, odor, pH, and the dissolved oxygen
content of water, chemicals such as copper sulfate pentahydrate and chlorine
may need to be added to the impounded water for algae control. These
chemicals can be harmful to humans and aquatic organisms, so their use must
be carefully planned and controlled.
When lakes and reservoirs "turn over" during seasonal temperature changes,
iron and manganese from bottom sediments mix with the water, turning it
reddish brown. The water intake point must be situated correctly to limit the
algae, organics, and warm water found near the surface, as well as the hydro-
gen sulfide, iron, and manganese that may be found in deeper water.
Runoff following rain and snowmelts increases turbidity in reservoirs. Water-
shed management protects the water source from excessive runoff and the
resulting contamination caused by nutrients and silt in the water.
The source water must be monitored on a regular basis by collecting water
samples and running analyses for conductivity, pH, temperature, dissolved
oxygen, and hydrogen sulfide. Operators should watch for algae blooms and
Operations

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fish kills. The source water should also be tested periodically for organics,
toxic minerals, radioactivity, pesticides, heavy metals, and nutrients. Careful
records must be maintained so that trends can be spotted, and problems can
be predicted and handled early.
In systems using surface water, intake structures deliver water to the treat-
ment facility. These structures usually include screens and trash racks to
prevent algae, leaves, debris, and fish from getting into the system. They also
include gates to control flow and pipes, and possibly pumps, to carry the
water to the facility.
Treatment of Drinking Water
Generally, groundwater systems require fewer treatment steps than systems
using surface water or groundwater under the direct influence of surface water
(GWUDI). In many communities, groundwater is distributed to consumers
after being disinfected, or possibly after filtration and disinfection. Surface
water and GWUDI require other treatment steps, such as screening, coagula-
tion, flocculation, and sedimentation, before filtration and disinfection.
Some of these same steps may also be used in groundwater systems.
Coagulation ana Flocculation
Coagulation and flocculation are treatment processes used to remove solids.
These solids may include minerals, bacteria, and organic material. Heavier
solids will settle out of the water, but suspended solids must be removed
through physical and chemical treatment. Chemicals are added to the water
to cause coagulation. The coagulants bind the solids and draw them together.
The solids clump together, forming a "floe," and settle out of the water. This
process is called flocculation. Chemical coagulants often used include
metallic salts such as aluminum sulfate (alum), polyaluminum chloride
(PAC), ferrous sulfate, and synthetic polymers.
Removing solids aids in filtration and disinfection, by reducing the amount of
solids to be filtered and preventing bacteria from surviving the disinfection
step by hiding in protective layers of solids.
Treatment of
Surface Water
SeHimentatlon
Large particles settle out of water naturally in lakes and reservoirs. But debris
dams, grit basins, and sand traps may be used to remove solids before water
from rivers or streams enters the treatment plant. This is called
presedimentation.
Following coagulation and flocculation, water flows into sedimentation
basins that remove the solids and thus much of the turbidity. All treatment
plants should have at least two sedimentation basins so that maintenance,
cleaning, and inspection can be conducted without shutting down the plant.
Plant operators control the sedimentation process by observing changes in
turbidity, monitoring water temperature (cooler water settles more slowly),
and monitoring sludge depth. All observations are recorded. A well function-
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ing sedimentation basin will remove most solids and thus reduce loading on
the filters.
filtration
Following coagulation, flocculation, and sedimentation, the water passes
through a filter. The filter is made up of sand, coal, or other granular sub-
stances (called media) that remove suspended solids and floe, which may
include silt, clay, bacteria, and plankton. Filters do not remove solids by
"straining" (removing solids by passing through a filter with small pores).
Rather, the solids are removed through deposition on the filter media,
adsorption, absorption, and biological action. Solids adhere to the media as
the water passes through it.
In gravity filtration, water is passed through a media made up of a combina-
tion of sand, anthracite coal, and mineral sands. The water level above the
media pushes the water through the media. Activated carbon may be added
to the media to remove odors, improve taste, and adsorb organic compounds.
Pressure filtration involves enclosing the media in a pressure vessel, usually
a steel tank, so that the filtration occurs under pressure. In diatomaceous
earth filtration, water is mixed with the media and filtered against a screen.
This is an expensive process and is used when high purity water is needed.
Slow sand filtration involves passing water at a very slow rate through a sand
filter. Impurities in the water are removed by straining, adsorption, and
biological action. Eventually, the top three or four inches of sand must be
replaced.
Backwashing cleans the filters by reversing the flow of water through them
to remove trapped solids. Operators perform backwashing before clogging and
break-through can occur. The wash water, which contains solids, passes to
dewatering and solids handling and may then be returned to the treatment
process. Backwash solids also must be handled and disposed properly to
ensure compliance.
Operators control the filtration process by monitoring head loss (pressure) at
the bottom of the filter. A change in the source water's pH, temperature, or
solids content may affect filtration. Filter-aid chemicals (polymers) may be
added to improve the filter's solids removal efficiency.
Disintection
Bacteria and other organisms, some of which cause disease, are included with
the solids. Although coagulation, flocculation, sedimentation, and filtration
remove almost all solids, some organisms may remain in the treated water.
An oxidizing chemical, usually chlorine, is added to the water to kill the
remaining pathogenic organisms. This is called disinfection. (This process is
distinct from sterilization, which is the killing of all organisms. Drinking
water does not need to be sterile to be safe.)
Operations
D-5

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Several factors affect the efficiency of disinfection. These include pH,
temperature, turbidity, and the amount of organic and inorganic matter in
the water. These factors are controlled through pretreatment, coagulation,
sedimentation, and filtration, as discussed earlier.
Chlorine is readily available, effective, and relatively inexpensive and is
often used as a drinking water disinfectant. However, chlorine may combine
chemically with organics to form trihalomethanes, which are carcinogenic.
For this reason, other disinfectants such as iodine, bromine, lime, and ozone
are attracting great interest. Destroying pathogens by using ultraviolet rays is
also effective, although very expensive. Chlorine may be added to the source
water prior to treatment to control algae growth, reduce taste and odors, and
prepare heavily contaminated waters for drinking water use. This is called
prechlorination.
Postchlorination is the addition of chlorine to the water after treatment.
Treatment facilities with large distribution systems may also rechlorinate or
add chlorine to the water already in the distribution system. Drinking water
should be sufficiently chlorinated to maintain a minimum concentration of
0.2 mg/L throughout the distribution system. Drinking water is always tested
for coliform bacteria to indicate if sufficient disinfection has occurred.
Chlorine is a dangerous chemical, usually stored in cylinders in a concen-
trated, liquid form. The chlorine is released directly into the water in mea-
sured amounts to provide disinfection. Employees handling the chlorine
cylinders must have special training and use personal protective equipment.
Emergency procedures must be established in the event of a cylinder leak or
fire at the treatment facility. Local police and fire departments must be aware
of the location and quantity of chlorine cylinders stored at the facility.
Fluoride Addition
Fluoride is a water additive that, at appropriate levels in drinking water,
improves the dental health of consumers. While fluoride occurs naturally in
some source water, many public water systems add fluoride to provide protec-
tion from dental cavities. Fluoride levels must be carefully monitored be-
cause, while sub-optimal levels of fluoride do not provide protection from
cavities, excessive amounts can cause brown staining and permanent pitting
of children's teeth and also may cause pain and tenderness of bones. Fluoride,
even at acceptable levels for most people, can adversely affect patients
undergoing kidney dialysis.
Warning
Chlorine is a
dangerous chemical.
Facilities that use
chlorine must use
safety precautions,
including worker
training and
procedures for
emergencies.
Iron and Manganese Removal
Iron and manganese are sometimes found in high concentrations in well
water. They promote the growth of "iron bacteria," which attach to the walls
of pipes in the distribution system and form slimy masses. These slimes can
discolor the water and cause unpleasant odors and tastes.
If an alternative iron- and manganese-free water source cannot be found, the
water must be treated to remove the metals. The addition of phosphates to
D-6 Local Officials Handbook

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Helpful Guidance
Corrosion in pipes
that carry source
water to the
treatment facility
and that carry
treated water in
the distribution
system can be a
serious problem. It
is important to
control the
corrosivity of water.
the water, followed by chlorine, controls bacterial growth and the build-up of
metal scale on the pipe walls. If the water being treated contains no oxygen,
it can be passed through ion exchange resins, which remove the metals.
Aeration may also be used to remove iron. The water may be sprayed into
the air or air may be bubbled up through the water. The oxygen converts the
iron into an insoluble form that settles out in a "reaction basin" similar to the
settling basins used in surface water systems.
Corrosion Control
Corrosion in pipes that carry source water to the treatment facility and that
carry treated water in the distribution system can be a serious problem.
Materials leached out of pipes by corrosion can contaminate water. Iron, lead,
zinc, and copper are commonly found in pipes or soldered fittings. Iron
corrosion can turn the water a rusty color, causing taste problems and stain-
ing the users' appliances and laundry. A build-up of rust on the inside of the
pipes also creates resistance as the water passes through, increasing the cost of
pumping the water. More serious is the problem of lead leached out of
household plumbing by corrosive water. Lead is highly toxic, and especially
dangerous to children.
Corrosion is caused by "oxidizing agents," such as chlorine and oxygen, which
"take on electrons" or attack the walls of the pipes carrying water. Low pH
and high salinity (concentration of salts) also increase corrosion rates.
Excessive water velocities (over 5 ft/sec) cause "erosion corrosion." Com-
plaints about dirty water and increased occurrence of leaks in the distribution
system may indicate that corrosion is occurring.
i
If corrosion is suspected, water samples from throughout the distribution
system are tested for lead and copper, pH, alkalinity, and hardness. Chemicals
such as calcium carbonate, calcium oxide (quicklime), calcium hydroxide
(hydrated lime), and caustic soda (NaOH) may be added to the water to
control corrosion. These chemicals may increase the turbidity of the water,
and their levels must be routinely checked.
Plant Maintenance
A good preventive maintenance program significantly reduces the likelihood
of treatment process and equipment failures. Since safe drinking water is one
of our most basic needs, provisions must be made to keep the water flowing in
emergency situations. Back up treatment systems, an inventory of essential
chemicals and spare equipment parts, and generators to operate the plant
during power outages are a must. Emergency response procedures instruct
employees and emergency service personnel what to do in the event of
natural disasters, fires, or equipment failures. All employees must be trained
in emergency preparedness to reduce operator error.
Water treatment facilities consume large amounts of energy for pumping,
lighting, ventilation, and heating/air conditioning. Energy audits may be
performed to indicate areas in which energy may be conserved and power
costs reduced.
Operations D—7

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Drinking Water Storage and Distribution
Once the water has been treated, it is stored in tanks or reservoirs and then
delivered to the users through a distribution system. The distribution system
delivers water to homes, industries, businesses, and fire hydrants while
preventing contamination and maintaining water quality. Storage tanks
ensure that sufficient water is available to meet surges in demand. Although
the water treatment plant may be located outside the community it serves,
water storage containers are built near the users to provide adequate water
pressure and water supply for the area. This is particularly important in
emergency situations such as fires and power outages. The storage tanks may
be elevated or located at ground level. They may be pressurized or rely on
gravity to supply water to the distribution system.
Standpipes are tanks located on the ground, usually at higher elevations.
They are made of steel or concrete, require little maintenance, and are ideal
in situations where relatively low water pressures are required.
Elevated storage tanks have supporting structures that elevate the storage
tank to provide additional head. Elevated storage tanks use gravity to "push"
water through the distribution system. Elevated storage tanks are usually
made of steel and may be constructed using various numbers of support
structures and different geometric forms.
Often storage tanks are filled during off-peak hours and monitored to main-
tain sufficient water pressure during high use periods. The pumps that main-
tain water pressure in the lines may be automated to respond to water usage
in the system or may operate on timers that reflect "normal" daily usage.
Finished water reservoirs, also called clear wells, are large concrete reser-
voirs for storing treated water at the treatment facility or in the distribution
system. Reservoirs allow the treatment plant to filter water at a constant rate,
building up reserves during low use hours and maintaining sufficient supply
during peak usage hours.
When a new water treatment plant is designed, the engineers determine the
number and location of storage tanks and reservoirs that will be needed to
service the community with balanced hydraulics and, therefore, balanced
pressure. They attempt to predict the growth and future water needs of the
area so that expensive upgrades will not be required very often.
Storage System Maintenance
Preventive maintenance on storage tanks helps to limit system breakdowns
and water contamination. Screens and netting keep birds, rodents, and
insects out of the tanks. Tanks should be painted periodically to prevent rust
formation. Chemicals such as lime and silicates may be added to the water to
coat and protect the interior of the tanks. Low voltage electric current may
be passed through the water to prevent corrosion of the storage tank (ca-
thodic protection). Chlorine may be added to deter the growth of algae and
other microorganisms. During extended periods of low use, tanks may be
Helpful Guidance
Emergency
response
procedures instruct
employees and
emergency service
personnel what to
do in the event of
natural disasters,
fires, or equipment
failures.AII
employees must be
trained in
emergency
preparedness to
reduce operator
error.
D-8 Local Officials Handbook

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flushed to replace stale water with fresh water. Tanks should be periodically
drained, cleaned, and inspected.
Distribution System Design
A water distribution system is made up of pipes, storage containers, pumping
stations, valves, fire hydrants, meters, and other appliances. Valves usually
are spaced no more than 1,000 feet apart along water mains so that sections
of the system can be isolated and shut off for repair. Fire hydrants usually are
spaced 500 feet apart to facilitate fire fighting.
Some water systems are designed to provide water flow from the treatment
facility to the users by gravity alone, but most systems require pumping.
Taking advantage of the topography of an area saves on unnecessary pumping
and energy costs.
Water mains may be laid out in a branching system. A disadvantage of the
branching system is that dead-end lines can cause taste and odor problems
due to stale water in the ends of lines. These systems must be flushed out
periodically.
Loop or grid systems are more common, eliminate dead ends, and provide
more water in high demand situations, such as fire fighting, since water can
be supplied to any point from at least two directions. Some communities
have a combination of systems, with a grid servicing heavily populated areas
and branches carrying water to isolated homes.
Pipes that supply water to the distribution system may be made of plastic,
steel, ductile iron, asbestos-cement, or reinforced concrete. Service pipes
running from the water mains to individual users may be made of copper,
iron, plastic, steel, brass, or asbestos-cement. These pipes must be strong and
durable enough to withstand strong internal and external pressures. They
must not corrode or contaminate the water. They should be relatively easy to
install with joints that do not leak.
Water lines should be installed at least 10 feet away horizontally and one foot
higher than sewer lines. A leaky sewer line could saturate the surrounding
soil with wastewater. Negative pressure in the water line could allow waste-
water to enter the line and contaminate the drinking water. Similarly, water
mains should be located 10 to 25 feet from septic tanks, cesspools, and
wastewater leach fields.
Meters are placed throughout the distribution system to measure the flow to
main supply lines, pumping stations, connections to other utility systems, and
to individual users. Meters are used for billing purposes and to identify areas
where water loss may be occurring.
Backflow prevention devices are used to keep undesirable, potentially con-
taminated water from entering the potable water system. Double check
valves or air-gap devices are installed downstream from the user's meter to
prevent reverse flows of water.
Operations

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Pressure ana Other Hydraulic Considerations
Water should be delivered to users' homes and businesses at a minimum
pressure of 35 pounds per square inch (psi). Pressures greater than 100 psi can
damage plumbing fixtures, water heaters, and other appliances. Pressures
lower than 20 psi are inadequate for normal use in the home.
The topography of an area—hills and valleys—can complicate water pressure
control. Also, the friction caused by water flowing through the pipes can vary
over time as the interior of the pipes corrode or become rougher. Fires, leaks,
and other high-volume demands affect water pressure in the lines. If insuffi-
cient water is available to meet demand, negative pressures can develop that
lead to backflow (water flowing in the reverse direction). Valves help to
control the direction of water flow and can control water pressure by restrict-
ing flow from high pressure to low pressure areas.
Pumping stations are located strategically to lift water from low areas to
storage reservoirs at higher elevations. Booster pumps may need to be in-
stalled on the water mains to increase pressure in the lines or to supply water
to users located in outlying areas.
Air valves are installed along the lines, particularly at high points, to release
air trapped in the lines. Pressure relief valves respond to sudden changes in
water velocity and protect pumps and water lines from surges in water flow.
Computer models are used to predict low pressure areas, overloads, design
flaws, upgrade needs, and projected water demands over time.
Money Matters
An insufficient
water supply affects
not only the fire
fighters' ability to
fight fires, but also
fire insurance rates
and residents'
confidence in fire
fighting ability,
which may deter
residential and
industrial growth in
the area.
Fire Fighting
The water system demand design should provide for fire fighting. Although
the annual water volume needed may be low, the demand during a fire is
large and may impact the design of the distribution system, water storage and
pumping equipment. Fire fighters require between 500 and 3,000 gallons per
minute depending on the equipment used and the location of the fire. The
water demand may last several hours if the fire is extensive. An insufficient
water supply affects not only the fire fighters' ability to fight fires, but also fire
insurance rates and residents' confidence in fire fighting ability, which may
deter residential and industrial growth in the area.
Managing Aesthetic Quality
The greatest challenge to water treatment operators is protecting the quality
of the drinking water in the distribution system. The water must arrive at the
users' homes at an acceptable temperature, free of disease-causing organisms,
and without objectionable odors, tastes, colors, or other contaminants. The
water may become contaminated as it leaves the treatment plant, in the
distribution system storage tanks, in the water mains, and in the end users'
home plumbing.
In the distribution system, water lines may become contaminated through
cross-connections. These usually accidental, but very unsafe, connections
D-10 Local Officials Handbook

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between water lines and pipes used for non-potable liquids, solids, or gases
can result in contamination of drinking water. This occurs when the pressure
in the water line becomes negative or lower than that in the line to which
the accidental connection was made, allowing the contaminant to flow
backwards into the water line. Even a small amount of contamination can
affect water quality for many users.
Corrosive water can cause metallic contamination as copper, lead, zinc, and
asbestos may be dissolved from pipes into water under corrosive conditions.
Microorganisms growing in storage tanks or within pipes can slough off and
enter the water as microparticulates. Iron bacteria can eat away at iron pipe
and give water a red color and an unpleasant taste.
As discussed earlier, uncovered reservoirs can result in microbiological
contamination from birds, rodents, and insects. Reservoirs are also vulnerable
to vandalism and sabotage. Someone intending to do harm could have a
dreadful impact through deliberate contamination of a community's water
supply. Water treatment operators must be aware of all these possibilities and
take vigorous steps to prevent them.
Routine surveillance of distribution systems is critical. Operators should
check for signs of deterioration in pipes and tanks, vandalism, and unusual
situations that could result in contamination, such as loss of electrical power
from storms. Reservoir covers should be checked for leaks, and screens should
be checked for tears and blockages. Meter readers should check for signs of
tampering, leaks, and sources of possible contamination.
Periodically, the pipes should be flushed with high-pressure water or by
sending foam "swabs" through the lines, to remove loose sediment and slime
build up. Users must be notified if their water supply will be disrupted during
these or other cleaning procedures.
laboratory Analysis
Water treatment facility operators monitor each process for signs of malfunc-
tion. Many problems, however, cannot be detected by simple observation.
Changes in pH, alkalinity, and chlorine residual can only be determined
through laboratory testing. The size of the facility and the type of source
water it uses determine the frequency and types of analyses that must be
performed.
All treatment facilities must have the ability to perform simple analysis and
jar testing of chemicals on site. This may include pH, chlorine residual,
turbidity, conductivity, and dissolved solids. Analysis for heavy metals,
volatile organics, and pathogens is usually sent out to contract laboratories.
Analysis may be required hourly, daily, monthly, or annually depending on
the parameter. Detailed records should be kept so that trends can be identi-
fied and problems can be anticipated and handled before drinking water
quality is affected.
Operations D—11

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Sampling Plan
Samples are collected from the source water, treatment process tanks, and the
distribution system to determine water quality. Typically, the location of
likely contamination determines whether source or finished water is sampled.
For example, SOCs are monitored in source water; however, lead and copper
are monitored not at the plant but at homeowners' taps, because lead and
copper contamination is not normally a source water problem, but occurs
because of corrosive finished water delivered via home plumbing containing
lead and copper.
The samples collected must be representative of the sampling site and must
be collected in a manner that is safe and prevents contamination. Some
parameters are tested on "grab" or single samples. Examples of these include
pH, residual chlorine, temperature, and bacteria. Other parameters are tested
on "composite" samples, which are samples collected at regular specified
intervals over a period of time. Examples of these include metals, solids, and
nitrates.
The samples may be collected by automated sampling devices located at
various sampling points or by employees. Surface water samples may be
collected near the intake point or by boat from various parts and depths of a
reservoir. Safety regulations for open water sampling must be strictly en-
forced.
Samples must be properly collected, preserved, and stored for accurate
analysis. A procedure manual should outline the approved method for
analysis, the equipment and chemicals needed, and quality control proce-
dures to establish precision and accuracy. A record must be kept of all main-
tenance and repairs made to each piece of equipment in the lab. An inven-
tory of chemicals stored in the lab, their purchase and expiration dates, and
date and method of disposal should also be prepared and kept up to date.
Wastewater Collection and Treatment
Sewage treatment systems first appeared in the United States in the mid-
1800s. Wastewater is collected from homes, industries, and businesses, treated
according to a variety of methods, and then discharged to a receiving stream.
The Clean Water Act of 1972 established the National Pollutant Discharge
Elimination System (NPDES), which permits and regulates all discharges to
U.S. waters. These dischargers include municipal treatment plants, industries
with direct discharges, or other point sources.
Generation of Wastewater
Wastewater is generated by private residences, institutions, commercial
buildings, and industries. It is classified as domestic, industrial, commercial,
or storm water. The majority of these flows have the potential to harm
receiving streams and must be treated before discharge. Domestic wastewater
comes from homes and small businesses. It includes wastewater from kitch-
Helpful Guidance
Samples must be
properly collected,
preserved, and
stored for accurate
analysis.
D—12 Local Officials Handbook

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Warning
Many industries are
required to
pretreat their
wastewater before
discharge to public
sewage systems.
Depending on the
number of
industries in the
sewer use area, the
treatment facility
may need to
develop an
industrial
pretreatment
program.
ens, bathrooms, laundry cleaning, food preparation, and dish washing. It may
also include a normal amount of infiltration, which is water that enters the
sewage system through cracks in the collection system pipes, or inflow, which
is rainwater from roof gutters, streets, and other sources.
Industrial wastewater is any wastewater that is not domestic. It comes from
industries and may contain raw materials, cleaners, heavy metals, and by-
products of manufacturing. Industrial wastewater may also come from com-
mercial sources such as restaurants, hospitals, nursing homes, and car washes.
These commercial sources of wastewater may discharge higher concentrations
of conventional pollutants, including biochemical oxygen demand (BOD),
suspended solids, oil and grease, and nutrients. Due to the wide variety of
contaminants and their possible toxicity, industrial wastewater can be more
difficult to treat. Solvents and toxics from industry may also cause hazardous
conditions in collection systems. For these reasons, many industries are
required to pretreat their wastewater before discharge to public sewage
systems. They may be required to remove materials that could cause fires,
explosions, or other hazards. They may also be required to remove materials
that are toxic, untreatable in conventional treatment plants, or occur in such
high concentrations that the treatment process at the plant would be ad-
versely affected. The treatment facility should monitor industries and issue
permits regulating the discharge to public sewers of metals, volatile organic
compounds, and other toxic materials. Depending on the number of indus-
tries in the sewer use area, the treatment facility may need to develop an
industrial pretreatment program. An operator may be assigned to monitor
industrial users, perform industrial inspections, and collect wastewater
samples from the industries for analysis. Larger treatment plants may have
two or more employees exclusively involved in this work.
Stormwater comes from rain and melting snow. It may contain pollutants
and may need to be treated at a wastewater facility. Depending on the age
and type of collection system, stormwater may be collected apart from
wastewater and discharged directly to receiving streams. Combined sewers
collect both stormwater and wastewater for treatment at the facility. Rainwa-
ter run-off from farmland may contain pollutants and may require treatment.
Wastewater Characterization
Wastewater is characterized by a number of constituents. These wastewater
constituents and characteristics are the individual chemical, physical, and
bacteriological parameters, including volume, flow rate, and other parameters
that serve to define, classify, or measure the contents, quality, quantity, or
strength of wastewater.
4 Temperature. Heated water may be generated by industrial cooling
processes. Temperature alone can be a pollutant and can affect biological
and physical processes at the wastewater facility and in the receiving
stream.
* Odor. Odor may indicate the condition of the wastewater.
4 Color. Domestic wastewater is generally gray due to the presence of
dissolved solids. Industries such as textile, paper, leather, metal plating,
and meat processing plants may discharge wastes with other colors to the
wastewater system.
Operations
D-13

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4 Solids. Domestic wastewater is 99.9% water. The remaining 0.1% is solid
material. These solids are further classified as floating, settleable, sus-
pended, or dissolved solids. Floating solids are easily removed through
preliminary and primary treatment. The other types require more com-
plex treatment.
* Flow. The wastewater flow to a treatment facility varies by the size of the
community and according to daily and seasonal variations. On average,
each person in the community uses about 80 gallons of water each day.
Multiplying this figure by the population allows officials to determine an
approximate capacity needed for domestic use alone.
A Chemical characteristics. Wastewater is made up of organic and inor-
ganic compounds. Organic compounds contain carbon and are of animal
or vegetable origin. They include plant matter, food particles, bacteria,
and sugars. They may come from domestic sources such as garbage
disposals and bathrooms or from industrial sources such as vegetable and
fruit packing, dairy processing, meat packing, and paper processing
plants. (These industries typically exert a high organic loading on waste-
water treatment plants, signifying that the plants must be prepared to
treat higher than normal concentrations of organic material.) Inorganic
compounds include sand, grit, stones, dirt, egg shells, coffee grounds,
salts, minerals, gases, and nutrients such as phosphorus and ammonia,
and metals. They may come from domestic or industrial sources.
Electroplaters, metal finishers, and petroleum refiners are examples of
industries that may discharge high levels of inorganic compounds,
especially metals, to the treatment facility.
Septic Haulers
In addition to wastewater carried to the treatment facility through the
collection system, waste may be trucked into the facility by septic haulers.
Septage is a sludge-like material withdrawn from residential septic tanks,
commercial holding tanks, landfill leachate storage systems, and other
sources. The treatment facility must establish regulations governing the type
of septage that will be accepted at the facility. These regulations should
include limits for materials such as metals, grease and oil, pH, solids, volatile
organics, and toxic compounds. An operator or other staff member should be
assigned the responsibility of monitoring the septic haulers, sampling their
waste material, and tracking the volume discharged to the treatment facility.
Pollution Prevention
Pollution
Prevention
Priorities
Increasingly, industries are being encouraged to implement pollution preven-
tion technologies. The general goal is to reduce pollutant loadings and to
allow industries to reduce cost and increase profits by:
4 using smaller volumes of toxic materials
*	replacing toxic materials with nontoxic raw materials, or redesigning
processes to eliminate use of toxic materials
*	using less water in washing operations
*	reformulating or designing products to make them more environmentally
friendly
D~14 Local Officials Handbook

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improving housekeeping to reduce spills and loss of raw materials and
process chemicals
recycling within processes (for example, reusing water or collecting and
condensing gases for reuse)
Money Matters
When industries
implement pollution
prevention, state
and local
governments benefit
with increased tax
revenue from
healthier businesses
and less frequent
expansion of
treatment plants as
industries reduce
water use and
require less capacity
at the plant.
The wastewater treatment authority should have the legal ability to prohibit
the discharge of chemicals that may interfere with its treatment processes,
permit compliance, and sludge quality and solids disposal. This authority can
be used to encourage industries to implement pollution prevention strategies
and thus to meet the requirements of the pretreatment program.
Prevention of pollution is better than investing in costly and difficult treat-
ment. Rather than dealing with shock loads of possibly dangerous materials at
the plant and the resulting difficulties with treatment and disposal of poten-
tially hazardous wastes, energy is better spent reducing or eliminating the
creation of pollutants at their source. Pollution prevention benefits industries
with improved products, cost savings, improved production processes, re-
duced liabilities and waste management costs, enhanced market responsive-
ness, lower insurance premiums, and improved competitiveness in the
marketplace. State and local governments benefit with increased tax revenue
from healthier businesses and less frequent expansion of treatment plants as
industries reduce water use and require less capacity at the plant.
Wastewater Collection
Wastewater treatment facilities are made up of a collection system, a treat-
ment system, and a disposal program. The collection system includes a
network of pipes and pumps that collect and transport domestic and indus-
trial wastewater to the treatment plant. As much as possible, wastewater flow
through sewers occurs by gravity, using the natural slope of the land. When
hills, large flat areas, and other obstacles impede gravity flow, pumping
stations are used to lift the wastewater to higher elevations so that gravity
flow may resume. Sewers are usually installed with a slope sufficient to
maintain a water velocity of two feet per second when flowing full. This
speed keeps solids in the wastewater from settling out, which can cause
clogging and odor problems. Since pump stations are expensive to build and
maintain, collection systems are carefully planned to limit the number
needed. In communities where gravity flow is difficult to maintain due to the
topography of the land, pressure or vacuum systems may also be used.
Collection systems are designed to have sufficient capacity for domestic,
commercial, and industrial wastewater based on an area's expected maximum
population and maximum industrial development. This reduces the short-
term likelihood of needing costly upgrades and expansions to the collection
system and treatment plant. Additional capacity is also allowed for infiltra-
tion and inflow. Infiltration is water that enters a sewer system from the
ground through cracks or breaks in pipes, joints, or manhole walls. Inflow is
water discharged to the sewer system through connections such as roof
leaders, cellar and yard drains, leaky manhole covers, and cross-connections
from stormwater systems. Most communities have inflow ordinances prohib-
iting such connections from residences; however, enforcement is often spotty.
As the collection system ages, more infiltration and inflow (abbreviated I/I,
Operations D—15

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pronounced "I and I") occurs. Continuous collection system inspection and
maintenance help to prevent I/I and the resulting loss of hydraulic capacity at
the treatment facility.
Safety Precautions
Sewer work is statistically the most hazardous of the water professions, and all
jurisdictions should assure adequate training, and retraining, of their collec-
tion system workforce. In addition to metals, solvents, and other toxic
materials discussed earlier, wastewater contains disease-causing organisms
such as bacteria and viruses. Hepatitis, typhoid, and other diseases survive in
wastewater. Insects and rodents living in or around sewer lines may also
transmit disease. Workers inspecting and maintaining the sewer lines must be
aware of these hazards and wear appropriate clothing including gloves and
boots. Care must also be taken not to splash wastewater into the eyes or
mouth, and any cuts or scrapes on the hands must be covered and protected.
Workers should not smoke or eat without thoroughly washing their hands.
Since wet surfaces are often slippery, workers must be cautious around man-
holes and pump stations. Manhole covers are very heavy, and workers should
be instructed on proper lifting techniques to prevent injury. Larger sewer
lines and interceptor sewers present a risk of drowning. Manholes are "con-
fined spaces" and require specific precautions prior to entry. Workers must be
alert to these dangers as well as hazards associated with working in or near
traffic.
The pretreatment program should also conduct dye tests from industries in its
sewer use area. For these tests, strong (non-toxic) dyes are poured into
manholes at industries, and workers measure the time it takes the dye to
travel through the collection system to the treatment plant. This information
is recorded and filed. If a toxic spill occurs at an industry, the treatment
facility can use the dye test results to estimate when the material will reach
the treatment plant and can divert the flow to storage tanks to protect the
plant.
Collection systems are very expensive to install and may cost more than the
construction of the treatment facility itself. Failures in collection lines may
cause the contamination of drinking water or natural bodies of water. Breaks
in the line allow infiltration, which may severely reduce plant capacity.
Attempting to save money by using inferior quality pipes and joints will
result in excessive maintenance and repair costs. A good quality collection
system is essential, as is consistent inspection and maintenance of the system.
Warning
Sewer work is
statistically the
most hazardous of
the water
professions, and all
jurisdictions should
assure adequate
training, and
retraining, of their
collection system
workforce.
Typical Wastewater Treatment System Processes
The collection system continuously gathers wastewater from homes and
businesses and delivers it to the treatment facility. There it passes through a
number of treatment processes.
Wastewater entering the treatment plant is called influent. A flow meter
installed in the influent channel continuously measures flow arriving at the
plant. Some treatment facilities have permanent sensors or monitors in the
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influent wastewater to measure pH, dissolved oxygen, or other parameters to
warn operators of a toxic or poor quality influent.
The wastewater then passes through screens, bar racks, or shredders that
remove large solid material such as branches, rags, and plastic which could
block pipes and ruin pumps. This material is taken to landfills for disposal.
Flow monitoring and screening occur at the front end, or "headworks," of the
plant.
The wastewater passes through specialized tanks or channels for grit removal.
Grit is heavy inorganic matter such as sand, eggshells, and gravel that does
not require treatment and will cause pump wear. Grit may also block pipes
and valves, and builds up on the bottom of tanks and digesters where it takes
up valuable space needed for wastewater treatment. The flow of wastewater
through grit channels or grit chambers is planned at one foot per second. At
this velocity, the heavier grit material is able to settle out of the wastewater,
while lighter organic material remains suspended. The grit is carried out of
the channel by conveyor belts or screw collectors, is washed to remove
Typical Wastewater Treatment Processes
Pretreatment
Primary Treatment
Secondary Treatment
Tertiary Treatment
Influent
T
Screening
T
Grit Removal
T
Sedimentation and
Flotation
~
~
T
Biological Processes
to Remove Fine
Particulate and Soluble
BOD
Biological and
Chemical Processes to
Remove Nutrients,
Microscreening or
Filtration for
Microparticulates
Coarse Debris
Sand, Gravel
Primary Sludge to
Solids Handling
Secondary Sludge to
Solids Handling
Nitrogen to
Atmosphere,
Phosphorus to Sludge,
Microparticulates to
Solids Handling
Disinfection
~~r~
Effluent
Operations
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organic material, and is taken to landfills for disposal. Flow monitoring,
screening, and grit removal constitute the pretreatment portion of the
treatment process. This may also be referred to as preliminary treatment.
Primary Treatment
Wastewater contains material that will easily settle out or float to the surface.
The purpose of primary treatment is to remove these materials. Also, the
large settling tanks used for primary treatment serve as organic equalization
tanks. It is here that influents of varying strength are mixed, helping to
maintain consistent organic loading to the secondary treatment processes.
To accomplish primary treatment, wastewater is directed into large rectangu-
lar or circular sedimentation tanks called primary clarifiers. Here the flow
velocity is slowed to allow solids that had been suspended in the wastewater
to settle to the bottom of the clarifier. This material is called primary sludge.
Floatable material such as light fecal matter, grease, soap, oils, and rubber and
plastic materials not caught during screening rise to the surface. This material
is called scum. Primary clarifiers usually provide 1 '/$ to 2 hours of detention
time. This allows for sludge and scum removal without creating low oxygen
conditions, which would turn the wastewater septic and odorous.
The sludge is collected from the bottom of the clarifier into a hopper where it
is pumped to solids handling facilities. The scum is pushed by baffles or
rotating arms into scum pits where it is also pumped to solids handling
facilities. The relatively clear water from the tank flows over weirs, or "V"
notched metal barriers, and continues on to secondary treatment.
Secondary Treatment
While wastewater contains solid material that will easily settle out, it also
contains smaller, suspended organic particles and dissolved organic pollutants
that require further treatment. The partially treated water from the primary
clarifiers passes to secondary treatment. The majority of public treatment
plants use biological processes for secondary treatment, in which microorgan-
isms are used to metabolize and remove the organic material from the waste-
water. Under carefully controlled conditions, the wastewater, microorgan-
isms, and air are mixed. The microorganisms (mostly bacteria) consume and
break down the organic material, often removing nutrients such as phospho-
rus and nitrogen at the same time. There are several common types of
secondary treatment, including activated sludge, trickling filters, and rotating
biological contactors (RBCs). Some lagoons also are capable of significant
reductions of soluble biochemical oxygen demand (BOD).
The Activated Sludge Process
The activated sludge process is a significant and very widespread secondary
biological treatment technology. It is an aerobic process, meaning that large
volumes of oxygen are employed to mix and stimulate the growth of bacteria
and protozoa, which metabolize the organic waste products. Partially treated
wastewater from a primary clarifier flows into large aeration tanks, where air
Helpful Guidance
Educating the public
about the
operational needs
of the treatment
plant is critical.
Homeowners who
understand the
biological treatment
process are less
likely to dump
leftover solvents,
insecticides, paints
and oils, and
disinfectants down
their drains.
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Wastewater Treatment Plant Schematic
is mixed with the wastewater, either by bubbling up under pressure from the
bottom of the tanks or by rigorous mixing at the surface using large mechani-
cal aerators or pumps. Naturally occurring microorganisms (mostly aerobic
bacteria) mix with the wastewater and metabolize (eat) the dissolved and
particulate organics. This process mimics the natural decomposition of waste
material in rivers, lakes, and oceans, but on an accelerated basis.
Toxic discharges to the treatment plant from industries and other sources can
kill the sensitive microorganisms and thereby disrupt the treatment process.
Solvents and pesticides are examples of toxic materials that accidentally (or
deliberately) may be discharged to the sewer system and whose discharges
must be regulated. In the event of a toxic spill, employees must track the
source of the spill and take enforcement action against the offender, also
taking steps to ensure such illegal discharges do not recur. Also, educating the
public about the operational needs of the treatment plant is critical.
Homeowners who understand the biological treatment process are less likely
to dump leftover solvents, insecticides, paints and oils, and disinfectants
down their drains.
Lagoons
Lagoons or stabilization ponds are another common treatment technology
and are also used to treat wastewater biologically. Since lagoons take up
relatively large areas of land (compared to activated sludge plants), their use
is more common in rural areas where land is available and neighbors are
farther removed. In these settings, lagoons offer a relatively simple, inexpen-
sive alternative to complex and energy intensive secondary treatment plants.
Operations
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A treatment system may include one pond, or several ponds operated either
in series or in parallel.
Odors may develop if a lagoon is overloaded. This occurs when the organic
strength of the incoming sewage overwhelms the microbiological population
available for treatment. If possible, the influent should then be diverted to
another pond until the microorganisms can recover. Floating aerators can be
used to increase oxygen levels in the pond, thus helping to reduce odors.
The dikes or levees of lagoons must be maintained to control vegetation.
Dikes should be mowed regularly to prevent wildlife from building nests and
burrowing into the dikes. Weeds around the edge of the ponds should be cut
to deter mosquito breeding.
To protect the public, livestock, and wildlife from drowning, the lagoons
must be fenced in. Life preservers should be located at intervals around the
ponds for use in emergencies. Since the lagoons are treating wastewater that
may contain pathogens (disease-causing organisms), care should be taken to
avoid contact with the water until after disinfection.
Tertian Treatment
Conventional wastewater treatment facilities use trickling filters, activated
sludge processes, or lagoons for secondary treatment. In some cases, advanced
treatment may also be necessary to further remove organic material and
nutrients, especially nitrogen and phosphorus. This advanced treatment is
called tertiary treatment. The effluent from secondary clarifiers may be
pumped through carbon filters or onto sand beds. It may be treated with
polymers, lime, or electrodialysis. The secondary effluent may flow into
aerobic polishing lagoons or trickling filters. Or, nutrient removal systems
may be installed within the secondary system to reduce nitrogen and phos-
phorus. The treatment type used is determined by the type of waste treated,
the intended use of the effluent, NPDES limits, and cost. The tertiary treat-
ment process may be biological, chemical, or physical in nature. A tertiary
clarifier may be required to settle out solids generated by the process. These
solids are collected and sent to solids handling. The effluent proceeds to
disinfection.
Disinfection
Following final clarification, the effluent must be disinfected before discharge
to the receiving stream. Although most of the microorganisms used in the
treatment process settle out in sludge, many bacteria and some protozoa
remain in the effluent. Disinfection is intended to kill these pathogenic
organisms, thereby protecting public water supplies and recreational usage.
A variety of processes can be used for disinfection. These include physical
agents such as ultraviolet light and heat, or oxidizing chemicals such as
chlorine and ozone. Chlorine is the most commonly used disinfectant.
Warning
Chlorine is an
extremely
hazardous chemical
and must be
handled carefully.
Plant operators
must receive
extensive training in
chlorine use,
emergency
procedures, and
first aid.
D-20 Local Officials Handbook

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Helpful Guidance
EPA funds technical
assistance for
wastewater
operators through
its 104(g)(1)
program. For more
information about
receiving free
assistance, contact
EPA headquarters
at (202) 260-5806.
Chlorine is readily available, fairly inexpensive, and effective in killing
pathogenic organisms. It can be used as a liquid or a gas in small cylinders or
large tanks. Chlorine requires 20 to 30 minutes of contact time with the
effluent to kill pathogens effectively.
Chlorine is an extremely hazardous chemical and must be handled carefully.
Plant operators must receive extensive training in chlorine use, emergency
procedures, and first aid.
Chlorine and its by-products are also harmful to aquatic organisms in the
receiving stream. For this reason, it is important to use the minimal amount
of chlorine necessary to kill pathogens in the effluent. Excessive chlorine will
harm all aquatic life. It may be a requirement of a plant's NPDES permit to
remove chlorine from the effluent after disinfection, to protect the receiving
stream. This is called dechlorination. Dechlorination is normally achieved by
adding sulfur dioxide or sodium bisulfite. Additional tanks or channels may
be needed for dechlorination.
The use of ultraviolet light has also become a popular form of disinfection.
Although the initial costs are high, daily operating costs are low, and no toxic
by-products are formed. The effluent passes through channels containing UV
lights. During UV treatment, the pathogenic organisms lose the ability to
reproduce and are effectively eliminated.
With increasing concern for the health of aquatic organisms in public
waterways, chlorine limits for treatment plant effluents have become more
and more restrictive. Treatment facilities using chlorine must choose to
either install dechlorination processes or switch to other forms of disinfec-
tion.
Effluent Disposal
Following disinfection, the effluent is ready for disposal. Effluents are gener-
ally discharged into receiving streams such as rivers, lakes, and oceans, but
may also be applied to land for irrigation or recharging groundwater basins.
Evaporation ponds may be used to evaporate effluents to the atmosphere. In
all cases, the effluent must be of sufficient quality to protect the needs of the
receiving body.
Concentrations of toxic materials such as heavy metals and chlorine must be
very low. Nutrients and solids that could affect plant growth in bodies of
water must be limited. The dissolved oxygen level in the effluent must be
high enough to support life in the receiving stream. Treatment facilities may
aerate the effluent after disinfection by splashing the water over steps like a
waterfall.
The treatment plant's effluent discharge permit lists the parameters that must
be tested and the allowable limits for each parameter. The results of the
analyses are reported to appropriate state and federal agencies every month.
Operations
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The NPDES Permit
Every treatment plant that discharges to U.S. waters must have a permit to
do so. The permit, called a National Pollutant Discharge Elimination System
permit, specifies both the allowable concentrations of pollutants in the efflu-
ent, in parts per million (milligrams per liter), and the allowable loadings of
those pollutants, in pounds per day and month. The NPDES permit is
normally prepared by the state regulatory agency, negotiated with the com-
munity, then made active for a period of five years, whereupon it is revised,
often (but not always) to higher standards. A reporting and record keeping
system as well as a laboratory analysis program must be operated in support of
NPDES permit compliance.
Solids Handling
Sludge and scum which are removed from the primary, secondary, and tertiary
clarifiers, and sludge wasted from secondary processes, are pumped to the
solids handling area of the treatment facility. This sludge must be treated to
stabilize the organic solids. This stabilization process is called sludge diges-
tion. Sludge digestion may take place in aerobic conditions (oxygen is
present) or anaerobic conditions (no oxygen is present). The goals of sludge
digestion are to stabilize the sludge (continue the breakdown of organic
material), reduce the sludge volume, condition the sludge for disposal, and
destroy disease-causing organisms.
Biosolids Management and Disposal
Biosolids (or sludge) are a natural and inevitable by-product of the wastewa-
ter treatment process. Managing and disposing of the biosolids can be one of
the most time-consuming and expensive operations at a treatment facility.
The disposal option selected by each facility is determined by the quantity
and quality of biosolids produced, the availability of farmland, landfills, and
incinerators, regulatory restrictions in the area, and cost. The sludge may be
thickened and dewatered to reduce the volume to be disposed. Liquid sludge
usually is hauled from the plant in sealed tanker trucks, while sludge cake
may be hauled in open dump trucks.
Money Matters
Managing and
disposing of the
biosolids can be
one of the most
time-consuming
and expensive
operations at a
treatment facility.
Landfilling
Biosolids are usually taken to landfills for disposal or to farmland for applica-
tion as soil amendment. Landfills charge treatment plants by the cubic yard
or wet ton of biosolids disposed. The treatment plant must determine the
most economical method of dewatering the sludge to reduce volume and save
on disposal costs. In areas where landfills are readily available and costs are
low, plant operators may add bulking agents such as lime or sawdust to the
biosolids to absorb moisture and make the material easier to handle. If
landfill costs are high, the treatment facility may spend more money dewater-
ing the sludge using mechanical presses or centrifuges to reduce the volume
to be landfilled.
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Landfilling is a fairly simple disposal method. It involves minimal training of
personnel and minimal record keeping. The treatment facility must test the
biosolids periodically for a variety of toxic materials, must obtain a permit to
dispose biosolids at the landfill, and must certify that hazardous materials are
not accepted at the treatment facility. However, landfilling can be an expen-
sive disposal option and is considered by some to be environmentally ques-
tionable. The biosolids take up valuable space in the landfill and usable
nutrients and energy in the biosolids, which could be used elsewhere, go to
waste.
Incineration
Another common method of biosolids disposal is incineration. Very large
plants may own and operate their own incinerators. Smaller plants may haul
biosolids to co-incinerators to be burned with garbage.
Again, simplicity is the main advantage of incineration. Operators transport
the biosolids to the incinerator and keep track of the volume disposed. Heat
generated by the burning of biosolids can be reclaimed and used to generate
electricity. The volume of biosolids is reduced, and only the residual ash is
landfilled.
However, incineration is an expensive disposal option. Incinerators must
carefully filter their exhaust to keep toxic gases, vapors, and ash from escap-
ing to the atmosphere. Also, the ash that is produced may contain concen-
trated metals and other toxic materials, which must be landfilled. Thus, it is
critical that landfill liners not fail, because rainwater could leach these toxics
into the surrounding soil or groundwater.
Land Application
Disposing biosolids directly to the soil is called land application. One ex-
ample of beneficial land disposal is the use of biosolids to fill and reclaim strip
mines. Once filled, the area is covered with vegetation to prevent erosion,
and it can then be used for recreation or agriculture. Since the biosolids are
applied at a very high rate, residual nitrates may percolate through the
ground and contaminate groundwater. Care must be taken to select sites with
low water tables and high clay content in the soil. Crops such as field corn
that use large amounts of nitrogen may be planted to remove some nitrogen
from the soil.
Sludge storage lagoons may offer temporary or permanent storage options for
biosolids. Water in the biosolids evaporates, thereby reducing the volume of
the biosolids. Anaerobic decomposition further stabilizes the biosolids. The
lagoon can be used to store the biosolids until other disposal options become
available or can be filled and covered with vegetation as described above.
Agricultural utilization is the use of biosolids as a fertilizer or soil amend-
ment. The concentration of nitrogen, phosphorus, and potassium in biosolids
closely resembles commercially available fertilizers. The application rate is
determined by the crops to be planted and their nutritional needs. The
Operations D-23

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greatest advantages of agricultural utilization are the low cost and the fact
that the nutrients in the biosolids are used productively. The greatest disad-
vantage is the potential for environmental harm. The excessive application
of biosolids can result in nitrate or phosphate contamination of groundwater.
The concentration of heavy metals must be carefully monitored to ensure
that lead, cadmium, and mercury do not exceed acceptable levels in the soil.
Also, pathogens such as coliform bacteria, salmonella, and viruses must be
destroyed prior to land application to protect farmers working in their fields
and the consumers of the crops.
Unlike landfills and incinerators, disposing of biosolids through agricultural
utilization involves extensive record keeping to ensure proper loading rates
and to comply with local, state, and federal regulations. Chapter 40 of the
Code of Federal Regulations, Part 503, specifies how, where, and when biosolids
may be applied to farmland. The regulations outline the acceptable concen-
trations of metals and pathogens; allowable distances from homes, wells, and
other bodies of water; required monitoring frequency; record keeping; and
reporting. Operators must track the cumulative loadings of metals and
nitrogen for each field. The farmland to be used must be permitted by the
state, and the biosolids must be tested often for nutrients, pathogens, metals,
and organic materials. Operators at the treatment facility must work closely
with the farmers so that the needs of both parties are met. Lime is often
added to the biosolids to kill pathogens, stabilize the organics, and help the
soil maintain a healthy pH.
Biosolids Classification
The biosolids produced at a treatment facility are classified as Class A or
Class B using standards outlined in 40 CFR Part 503. Class A biosolids are
"cleaner" in that they must contain lower concentrations of metals and other
toxic materials. Class A also has pathogen destruction or reduction require-
ments that are stricter than Class B. Since Class A biosolids pose less of a
threat to the environment, more disposal options are permitted with less
restrictive monitoring and reporting requirements. Class B biosolids have less
restrictive toxics requirements, but fewer disposal options. Biosolids that do
not qualify as Class A or B cannot be land applied and must be disposed of
through landfilling or incineration. Each treatment facility must analyze its
biosolids in accordance with state and federaLrequirements to determine if
they can meet Class A or Class B requirements and then decide if the costs
associated with maintaining a higher quality sludge are justified by the
resulting flexibility in disposal options.
Laboratory Analysis
Wastewater treatment facility operators must continually check each major
process for signs of malfunction or plant upset. Many problems, however,
cannot be detected by simple observation. Changes in pH, dissolved oxygen,
or ammonia concentrations can only be determined through laboratory
analysis. Of course, staffing and equipment needs of any wastewater labora-
tory vary depending on the size of the facility and its NPDES testing require-
ments. Small wastewater facilities may have only a few hand-held meters,
D-24 Local Officials Handbook

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used by operators to check parameters that must be analyzed immediately
after collection, while discharge (effluent) parameters can be tested by an
outside contract laboratory.' On the other hand, large treatment facilities
usually have fully equipped laboratories with one or more full-time lab
technicians.
As previously discussed, each wastewater treatment facility discharging its
effluent to a U.S. waterway is issued a National Pollutant Discharge Elimina-
tion System (NPDES) permit. The NPDES permit lists the effluent param-
eters that must be tested, the frequency of required testing, and allowable
limits for each parameter. These results must be reported to state and federal
authorities every month on a Monthly Operating Report (MOR) and every
quarter by means of a Discharge Monitoring Report (DMR).
Parameters normally found on a plant's NPDES permit which must be
analyzed immediately after collection include pH, dissolved oxygen (DO),
and total residual chlorine (TRC) if chlorine is used as a means of disinfec-
tion. Hand-held meters are available for pH and DO analysis, allowing the
operator or lab technician to analyze the plant's process flows directly in the
influent, effluent, and any point in between. The plant effluent can be tested
for total residual chlorine in the lab or at an operator workstation using a
small meter and pre-packaged chemicals. These parameters reflect the
minimum amount of testing a plant of any size must conduct on site.
Other parameters found in a typical NPDES permit include effluent ammo-
nia nitrogen, phosphorus, total suspended solids (TSS), biochemical oxygen
demand (BOD), and fecal coliform bacteria. Samples collected for these
analyses may be transported to an outside contract lab for testing or may be
analyzed on site in the plant's laboratory.
In addition to the required effluent monitoring, process control analysis
should be performed by the treatment plant staff on a routine basis. Process
control analysis includes the testing of samples from any process that might
serve as an indicator of how the plant is functioning. This testing is not
required to be reported to outside authorities, but is used by plant staff to
make adjustments to the treatment process. Detailed records should be kept
so that trends can be identified and problems can be anticipated and handled
before effluent quality is affected. Technical training manuals, training
courses, and technical assistance programs are widely available to help
treatment plant personnel understand plant processes and to develop sound
monitoring programs.
laboratory Procedure Manual
Treatment facilities that conduct any of the effluent NPDES analysis on-site
should develop a procedure manual that presents all laboratory protocols
used. Again, the Code of Federal Regulations lists the approved methods that
may be used to test for each parameter. The laboratory's procedure manual
should reference the approved method, list the equipment and chemicals
used, present the analysis in detail, and describe quality control procedures
used to confirm the analysis. A record must be kept of all maintenance and
Operations D-25

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repairs made to each piece of equipment in the lab. An inventory of reagents
stored in the lab, their purchase and expiration dates, and date and method
of disposal should also be prepared and kept up to date.
Quality Control Program
In order for the analysis to be accepted by the regulatory agency, the labora-
tory must demonstrate that its results are accurate. This is accomplished
through a quality control (QC) program included in the procedure manual.
The QC program should describe the procedure and frequency for calibrating
laboratory equipment, the method for repairing or correcting faulty equip-
ment, and a schedule for testing duplicate samples (the same sample analyzed
twice) and spiked samples (the sample analyzed with a known amount of
standard added). Quality control samples can be purchased from lab supply
vendors. These samples are analyzed to determine how accurately the lab is
performing each analysis. Records must be kept of all QC results and must be
presented to regulatory officials during laboratory inspections.
Responsibility for the proper testing and reporting of plant samples is shared
between the treatment plant staff and the local authority that owns the
plant. The authority members must be confident that the plant is properly
operated and that reports are accurate. Significant fines and prison terms
result from the falsification of values reported to federal and state regulators.
Given these legal implications, it is critical that authority members, superin-
tendents, and operators all understand their liability for inaccurate or false
data.
laboratory Funding
A small laboratory may be equipped for limited analysis for a few hundred to
a few thousand dollars. Larger labs that are equipped to analyze for NPDES
and biosolids parameters cost hundreds of thousands of dollars. When deter-
mining whether to perform in-house analyses, the cost of sending samples to
contract labs must be calculated and compared to the cost of equipping,
staffing, and maintaining a wastewater laboratory. The main advantage of an
in-house laboratory is the fast turn-around time of analysis (results available
in one to two days versus as much as two to three weeks from a contract lab).
Plant operators can make process control changes in the treatment plant in
response to analytical results before plant upsets and effluent violations occur.
Often the pretreatment program of large facilities will use the wastewater lab
for industrial discharge analysis. The fees associated with collecting and
analyzing these samples generate some of the funding needed to maintain the
lab. Sewer bills, industrial discharge permit fees, and septic hauler tipping
fees also may be used to help fund the laboratory program.
Money Matters
When determining
whether to
perform in-house
analyses, the cost of
sending samples to
contract labs must
be calculated and
compared to the
cost of equipping,
staffing, and
maintaining a
wastewater
laboratory.
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Safety at Water and Wastewater Treatment
Systems
Safety must be a priority. Each water and wastewater system must take a
comprehensive approach to safety, to ensure compliance with all regulations
and associated mandated training, including, but not limited to:
4 confined space regulations
4 trenching, shoring, and excavating
4 chlorine handling techniques
4 lockout/tagout procedures
4 hazardous communications standards and Employee Right-to-Know
4 first aid training, fire and ambulance call procedures
4 commercial drivers license
4 forklift certification
Warning
Safety and
emergency
planning are major
issues for water
and wastewater
utilities.These
checklists just
cover the basics. Be
thoroughly
informed about
these topics.
Emergency Planning
Title III of SARA, also known as the Emergency Planning and Community
Right-to-Know Act of 1986, requires emergency planning efforts at state and
local levels, to increase public awareness and understanding of potential
chemical hazards present in communities. It is important to understand
emergency planning notification requirements, be able to identify the
extremely hazardous substances (EHSs) and their threshold planning quanti-
ties, and develop appropriate emergency response plans. Water and wastewa-
ter systems should:
4 assess risks from fire, flood, vandalism, sabotage, and accidental toxicity
4 develop fire and emergency response preparedness plans
4 identify alternative water sources and waste discharge options
4 develop system redundancy through alternative flow patterns and treat-
ment methods
4 develop long-range pollution prevention techniques, including energy
conservation, spill prevention, plant optimization, current and future risk
identification, and self audits
Operations
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Maintenance
In this chapter:
4 Maintenance
program
elements
4 Spare parts
inventory
4 Budgeting
4 Scheduling and
monitoring
maintenance
4 Reporting and
record keeping
4 Life cycle planning
Warning
Failures caused by a
lack of, or improper,
maintenance can
result in significant
risks to public
health and safety, as
well as potential
regulatory action.
Maintenance is key to the sustainability of every water and wastewater
system. A preventive maintenance program, combined with good operational
practices, will reduce the need for much corrective or emergency mainte-
nance. A good preventive maintenance program will service not only me-
chanical and electrical equipment, but also the distribution and collection
systems, as well as grounds and buildings.
All maintenance must be performed so that equipment and systems operate
efficiently and effectively. Improper maintenance and repairs can lead to
unsafe conditions and reduced system performance. It is far better to perform
maintenance and repairs right the first time than to risk the consequences of
a mediocre approach. Failures caused by a lack of, or improper, maintenance
can result in significant risks to public health and safety, as well as potential
regulatory action. Failures in the water supply system can cause interruption
to service or even delivery of partially-treated water, with potential health
risks throughout the service area. Failure within the wastewater management
system can cause the discharge of raw or partially-treated sewage at any point
in the system, including into residences or businesses or into surface waters.
In addition to the public health risks associated with the treatment failures,
significant fines and even jail terms could be imposed under federal and local
regulatory programs.
Maintenance includes all functions required to keep a facility operating in
accordance with its original design capacities and performance. Maintenance
includes repairs to broken, damaged, or worn-out equipment (emergency
maintenance), and the periodic replacement of equipment and facilities that
have reached the end of their design life (corrective or replacement mainte-
nance). Maintenance does not include capital improvements to facilities to
increase performance, capacity, or capability.
Maintenance Program Elements
Many of the individual components of a comprehensive preventive mainte-
nance program are listed below, along with brief descriptions.
Equipment and Component inventory
The backbone of any preventive maintenance program is a comprehensive
listing or inventory of all system components and equipment. This listing
applies a name and code number to every part of the system. The name
should be both unique and descriptive as to the function or nature of the
item. The coding system can be used to provide details about the use and
type of equipment. The coding system may include fields or descriptors
associated with the equipment type, location in the system, original installa-
tion date, life expectancy, etc. The equipment and component inventory
serves as the basis for the accumulation of all other information on each
system component.
Maintenance
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Manufacturer's Literature
For each piece of equipment or component identified in the inventory,
manufacturer's literature should be obtained and compiled. For a new or
upgraded facility, it is often the contractor's responsibility to provide
manufacturer's information for all installed equipment. When contractors
provide this literature, it is best to request multiple copies so that copies can
be kept at the facility, elsewhere in a separate permanent file, and perhaps
with the system design engineer.
For mechanical and electrical equipment, manufacturer's support literature
will generally be quite detailed, including installation instructions, spare parts
lists, parts ordering information, preventive maintenance instructions and
schedules, and required supplies, such as lubricants. For many minor or less
complicated components of the system, the manufacturer's literature may be
very limited. When nothing else is available, even a catalog listing for the
component can help, by providing contact information for the manufacturer
or supplier.
Preventive Maintenance Task List
Once all of the equipment and components have been itemized and the
manufacturer's literature has been collected, it is time to develop the compre-
hensive list of preventive maintenance tasks and to schedule them. Working
systematically through each component of the facility, and remembering to
address additional areas such as building and grounds maintenance, all
preventive maintenance tasks must be identified and a frequency for schedul-
ing should be assigned.
While many of the preventive maintenance tasks can be determined by the
review of manufacturer's literature, other tasks can be identified based on the
experience of the operations staff and the guidance derived from outside
sources.
Hecords of Maintenance Performed
Records must be kept indicating which maintenance tasks have been per-
formed and when. This is helpful for two reasons. First, it is imperative to
verify the completion of each maintenance task. If for some reason a particu-
lar maintenance task is not performed at its scheduled time, then that must
be documented to ensure that it is rescheduled as soon as possible. Second, to
schedule future maintenance activities or to verify the condition of certain
equipment, it is always helpful to be able to refer back to the record of past
maintenance performed.
Technical Resources
Manufacturer's maintenance specifications do not always provide complete
information on all maintenance tasks. Certain general maintenance tasks are
not covered in detail in manufacturer's maintenance manuals, and many
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Helpful Guidance
Maintenance
personnel should
be encouraged to
obtain additional
training in
maintenance and
related activities
through programs
such as those
provided by local
community colleges,
technical schools,
professional
organizations, state
environmental
training centers, or
in-house training
programs.
general maintenance tasks are not addressed in manufacturer's information at
all.
Often the experience of good maintenance personnel can address gaps in
manufacturer's information. But even experienced maintenance personnel
will have certain limitations in their knowledge of specific areas, or even
have incorrect information, or follow erroneous procedures, based on their
"experience." Good technical manuals on maintenance topics should be
available for reference and continued learning by maintenance personnel.
Tools and Equipment
Every water and wastewater system must have suitable tools and the required
specialized equipment available to perform maintenance. These tools and
equipment should be of good quality, because they are likely to be used for
many years. In addition, tools and equipment must be maintained in good
working order, so that they are available for use at any time. This requires
organized storage and prompt replacement of lost or broken items.
Spare Pans Inventory
As noted later in this chapter, it is important to maintain an inventory of
spare parts required for preventive maintenance, as well as for corrective and
emergency maintenance. The initial inventory must be developed based on
the requirements of each preventive maintenance task. Procedures also
should be implemented to make sure that parts are replaced in the inventory
as they are used. Database management of spare parts inventories is usually
necessary in larger utilities.
Personnel Training
Even a well-developed maintenance program with a full staff for implementa-
tion will not be able to complete the required work unless the staff is trained
both in how to carry out the maintenance program and in the precise skills
required to perform specific maintenance tasks. If the maintenance program
has not been developed internally, the consultant or entity that developed it
should be required to provide training in its implementation.
Similarly, on new equipment, manufacturer's representatives are often
available to train personnel and may be required to train them as a condition
of sales agreements. It may be necessary to make arrangements for new staff
to obtain specialized maintenance training on particular equipment. In
addition, maintenance personnel should be encouraged to obtain additional
training in maintenance and related activities through programs such as
those provided by local community colleges, technical schools, professional
organizations, state environmental training centers, or in-house training
programs.
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Importance of Maintaining a Spare Parts
Inventory
A spare parts inventory is essential to the timely and efficient operation of
any preventive maintenance program. The rapid availability of required parts
and materials is also necessary to avoid costly and disruptive downtime
during emergency repairs.
The size of the spare parts inventory must be appropriate to the real-world
need. Overstocking spare parts and maintenance materials can lead to
deterioration during storage, which might reduce the life of the parts or
supplies or even make them unusable. Oversupply of potentially hazardous
chemicals (lubricants, solvents, paints, etc.) used for plant operations can
lead to increased danger associated with their handling, storage, and disposal.
Larger operations with multiple unit processes may find it more efficient to
maintain a complete supply of spare parts and maintenance equipment, while
smaller utility operations often find it more effective to maintain a spare parts
inventory only for certain critical equipment or facilities. Alternatively, these
smaller systems may be able to develop a cooperative relationship with other
nearby facilities or local suppliers to ensure that spare parts are readily
available when emergencies occur.
Proposed Inventory System
To develop an inventory system for spare parts and maintenance equipment
or supplies, start with a thorough overview of the facility on a component-by-
component basis, including major and minor mechanical equipment, ancil-
lary facilities, controls, structural components, buildings and grounds, and
collection and distribution systems.
After an initial spare parts inventory has been developed, it is necessary to
have a control system to ensure that inventory is maintained. An inventory
control system must include: inventory item description; manufacturer's stock
number and internal stock number; storage location; supplier information for
reorder; minimum required and maximum desirable on-hand quantities; and
actual number on-hand.
Inventory control must also include proper storage facilities for the spare
parts, maintenance equipment, and supplies. Storage facilities must be kept
neat and secure, to protect materials and guard them against theft.
A good inventory control system will provide for both periodic and as-needed
inventory resupply. Periodic inventory resupply consists of a thorough review
of current stock levels and procurement to bring the inventory to the original
or minimum required on-hand quantity. The frequency of periodic resupply
will, of course, depend on the size of the facility and its spare parts needs.
Large facilities may need to restock as frequently as weekly, and such facilities
should rarely find themselves having to order on an as-needed basis. Periodic
resupply at smaller facilities should be less frequent. Regardless of the size of
Warning
Oversupply of
potentially
hazardous
chemicals
(lubricants, solvents,
paints, etc.) used
for plant operations
can lead to
increased danger
associated with
their handling,
storage, and
disposal.
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Money Matters
The utility's budget
makers must
consider carefully
the budgetary
implications of
timely and adequate
restocking.
Timely
Reminder
Regardless of the
inventory control
system used, there
must be some way
to assure that
minimum stocking
levels are always
maintained and that
a triggering
mechanism will
reorder critical
parts before they
are required for an
emergency repair.
the facility, the spare parts inventory should be reviewed and restocked at
least annually. The utility's budget makers must consider carefully the budget-
ary implications of timely and adequate restocking.
Even with periodic restocking, some spare parts or maintenance supplies may
fall below the minimum needed stock levels prior to the planned restocking
interval. Regardless of the inventory control system used, there must be some
way to assure that minimum stocking levels are always maintained and that a
triggering mechanism will reorder critical parts before they are required for an
emergency repair. Inventory control systems can be fairly simple operations
using a manual card file or similar system, or can be automated with a com-
puterized system for control and ordering.
Budgeting for Maintenance
Budgeting for maintenance will require that sufficient funding is available for
the following:
*	Preventive Maintenance—Operating budget
Labor (staff time, person hours)
Parts and supplies
Equipment
*	Emergency Maintenance—Operations reserve account
Labor (overtime)
Materials, parts, supplies
Replacement equipment
Contractors
6 Equipment Replacement—Capital reserve account
Evaluation and design
Labor
Equipment cost
Contractors
Temporary or by-pass facilities
Estimating Staff Hours for Various Maintenance Functions
[Task Analysis]
Sufficient labor must be available, and funded, for preventive maintenance
functions. A good preventive maintenance program will document the
schedule and work plan for each maintenance function (see Scheduling and
Monitoring Maintenance Functions). This schedule serves as the basis for
estimating the labor requirements for preventive maintenance.
To determine trade and person-hour requirements for each preventive
maintenance function, the function should be broken down into tasks. The
tasks can then be analyzed further to determine person-hours required for the
specific maintenance function and the specific trades needed. A general
summary of the activities associated with each maintenance task follows.
Maintenance
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It is important to emphasize the need for using trained and experienced
individuals to perform maintenance functions. In larger systems, individuals
who are specialized in each trade will in all likelihood be available to service
specific maintenance requirements. In smaller systems, however, it may be
necessary to contract out for specialty maintenance work, such as electrical
control panel repair or generator maintenance.
Task analysis of preventive maintenance functions includes:
*	Preparation
Assemble required staff, equipment, and materials
Complete safety activities: confined space permits, lockout/tagout, etc.
Place stand-by (substitute) equipment into service
Take equipment to receive maintenance out of service
~	Service
Access equipment and diagnose condition
Complete required service
Reassemble and test
4 Completion
Place equipment back in service
Take stand-by equipment out of service
Return tools and unused materials
Complete maintenance service records
Restock parts inventory
Once the task analysis is complete, an estimate of the labor for each activity
should be made. A complete task analysis of all maintenance functions will
allow plant management to determine the staffing requirements and person-
hours needed for annual preventive maintenance.
Staffing requirements can be further refined by grouping similar maintenance
functions into maintenance function groups (e.g., electrical). This helps to
prevent duplication of efforts in preparing and completing tasks, and in
issuing maintenance contracts to specialists, and should be considered when
scheduling preventive maintenance functions.
Setting Up Reserve Accounts for Emergency Maintenance
and Scheduled Equipment Replacement
Development of an annual budget for maintenance is relatively easy and
straightforward, if emergency maintenance and equipment replacement are
routinely and sufficiently funded as annual reserve account contributions.
Emergency maintenance is perhaps the most difficult function to address
when trying to anticipate the funding requirements for an emergency repair
reserve account. A good preventive maintenance program will cut down on
emergency maintenance requirements. Unfortunately, unforeseen conditions,
defective equipment and materials, and acts of nature make it certain that
some emergency maintenance will always be a fact of life.
A sufficiently funded reserve account within the operations budget will
ensure that emergency situations can be addressed when required, without
putting undue stress on other budgets. The actual level of funding needed for
Warning
Unforeseen
conditions,
defective equipment
and materials, and
acts of nature make
it certain that some
emergency
maintenance will
always be a fact of
life.
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emergency maintenance should be determined by the age of equipment, the
relative size of the facility, and past experience. One simple formula is to
budget the average spent over the last five years for emergency repairs, plus
10 percent, plus 100 percent of the cost of replacing the single most costly
capital item, such as a well, main pumping station, elevated storage tank, or
filter.
The emergency reserve fund should contain sufficient funds to meet the
maximum anticipated annual emergency expenses and should be funded
annually. In smaller communities, emergency reserve funds do not need to be
held separately for water and sewer facilities, but may be developed for all
local government functions that might require emergency expenditures. This
can help to balance the emergency reserve account fund level. However, the
portion to be dedicated to water and sewer should be funded from revenues,
not taxes.
Capital funding for major equipment replacement is a more straightforward
process. All equipment has some life span. For water and sewer facilities this
span can vary from five years for some mechanical equipment to 100+ years
for some structures and physical facilities. A capital equipment replacement
reserve account should be developed by annually projecting equipment
replacement needs at least five years into the future. Based on this schedule
for equipment replacement, a required level of capital reserve funding can be
determined.
Scheduling and Monitoring Maintenance
Functions
The preventive maintenance program for drinking water and wastewater
treatment facilities is an integral part of utility operation. It must be designed
to provide all required functions in an efficient and cost-effective manner. In
addition to proper design, the preventive maintenance program must be well
implemented.
Devising Management Systems to Ensure Timely and Cost-
Effective Maintenance
Many operator and management references, such as the Water Environment
Federation (WEF) Manual of Practice 11, Operation of Municipal Wastewater
Treatment Plants and the American Water Works Association (AWWA)
Maintenance Management, provide a good overview of how to develop a
preventive maintenance record system.
Like the spare parts inventory system, basic preventive maintenance and
record keeping systems are typically card systems that can be adapted to the
complexity of the facility being served. Simple single card systems use one
card for each piece of equipment, with the front detailing the equipment and
its maintenance requirements and the back used for recording maintenance
performed (see the Sample Equipment Maintenance Card). Multiple card
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systems are similar, but use separate cards for equipment information, mainte-
nance requirements, and records of maintenance performed.
Sample Equipment Maintenance Card
Front
Equipment Inventory #:	
Description:	
Manufacturer:			 Serial #\
Supplier:	
Address:	
Phone:	
Maintenance To Be Performed	Frequency
Back
Maintenance Performed	Date	Initials
Many utilities are moving away from card systems, using instead one of the
many software programs developed specifically for scheduling and tracking
preventive maintenance. These are useful tools for water and wastewater
facilities.
Regardless of the type of system used for preventive maintenance manage-
ment, it is critical that experienced staff provide input in the early stages of
development. Also, the initial system must be continuously updated to delete
equipment taken out of service and add equipment newly brought on line.
A very important part of the preventive maintenance program development
and improvement is appropriate scheduling of maintenance activities.
Preventive maintenance schedules must consider variations in plant and
equipment utilization. In wastewater systems, this may involve, for example,
scheduling to accommodate seasonal wet weather flows or intermittent
industrial discharges. In water systems, maintenance should be scheduled to
reduce downtime of critical equipment during periods of high water demand.
Because equipment must be available when most needed, preventive mainte-
nance must be scheduled for that period when equipment can be taken out of
service with the least disruption of utility operations.
Scheduling should consider weather and its effect on maintenance activities
and personnel. Whenever possible, outdoor maintenance activities should be
scheduled when favorable seasonal weather conditions can be expected.
Indoor preventive maintenance should be scheduled when inclement
weather is expected. Such considerations will improve both efficiency and
safety.
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As previously discussed, preventive maintenance scheduling should also
consider the most efficient grouping of maintenance activities. Grouping of
preventive maintenance activities should assure the performance of similar
types of service at the same time for the sake of efficiency such as lubrication,
valve exercising, and line cleaning. Additionally, contract services should be
grouped to allow, for example, an electrical contractor to do multiple tasks
while at the plant.
Maintenance Reporting and Record Keeping
Once maintenance is performed, it must be properly recorded in a timely
fashion, usually on the same day as performed. Preventive maintenance tasks
are not complete until their accompanying paperwork is done.
Whatever system is used to schedule preventive maintenance, the system
must also highlight and reschedule maintenance tasks that remain undone
past schedule. Many legitimate factors can cause properly scheduled preven-
tive maintenance activities to be postponed or to go undone, including
reduced staffing, emergency maintenance, and changes in priorities. Preven-
tive maintenance schedules must have sufficient flexibility so that all preven-
tive maintenance can be performed in a timely manner given these consider-
ations.
life Cycle Planning for Maior Equipment
Replacement
As discussed in the section on the development of reserve accounts for
equipment replacement, all equipment has some identifiable life span. For
water and sewer facilities this can vary from five years for some mechanical
equipment to 100+ years for some structures and physical facilities. Life cycle
planning for the replacement of equipment will allow for the development of
an equipment replacement capital budget which is based on a five-year
projection of equipment replacement needs.
Replacement life for most mechanical equipment is a function of times
started and stopped, operating time, and life in years. While some equipment
in water and sewer systems is designed to operate continuously, much equip-
ment usage is intermittent. Intermittent service is often a function of produc-
tion levels. To determine expected life of equipment used intermittently, it is
often necessary first to project future growth in hydraulic demand.
An orderly equipment replacement program provides an excellent opportu-
nity to make improvements in the efficiency of performance and/or energy
utilization. In both water and wastewater systems, improvements in technol-
ogy continuously enhance the operational performance of process equipment,
particularly pumps, motors, valves, and meters. During routine equipment
replacement, a plant's performance or capacity can often be improved by
taking advantage of technical improvements.
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Increased energy efficiency also can play an important role in choosing
replacement equipment. For example, evaluation of the improved energy
efficiency of some newer pumping equipment may show that an accelerated
replacement schedule can actually save money.
Summary
Clearly, maintenance is necessary. However, only through the development
of a proper preventive maintenance program is maintenance likely to be
performed in the complete and consistent manner required to realize its
greatest benefits. A good preventive maintenance program must include
sufficient planning, budgets, record keeping, staffing, and resources to get the
job done. A strong preventive maintenance program can help in reducing the
frequency of emergency maintenance and helps utility managers be aware of,
and plan for, capital equipment replacement. With this in mind, the well-run
maintenance system should provide significant benefits in terms of perfor-
mance, longevity, and operating cost control.
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Personnel Management
In this chapter:
4 Staffing plans
4 Training and
certification
* Training sources
Warning
Inadequate or
poorly trained staff
inevitably leads to
non-compliance
problems and
potential fines.
To have cost-effective operation and maintenance (O&M) of a water and
wastewater system, local officials must ensure that the community employs an
adequate number of well-trained staff.
Communities should consider personnel management as important as fund-
ing for equipment repair and replacement. Local officials must realize that an
adequate, well-trained staff is necessary both to provide cost-effective O&M
of their facilities and to ensure compliance with all regulatory requirements.
Inadequate staffing will inevitably lead to poor performance a: even the
newest, highest technology facilities.
This section will provide some guidelines to help local officials determine the
necessary steps to develop the best possible staff.
Devoloping an Adequate Staffing Plan
Generally, staffing is the largest component of an O&M budget for a water or
wastewater facility. For small communities, these costs comprise by far the
main budget component. However, this almost never means that local
officials should try to reduce O&M direct labor costs as a way of cutting
budgets. For example, it may be that large amounts of overtime pay are being
spent on existing staff, so that in fact hiring additional personnel may be a
more cost-effective approach to spending personnel dollars. Another factor
involved in determining staffing cost-effectiveness is the use of outside
contractors to perform certain O&M functions. A community might consider
using contractors for functions such as major maintenance or overhaul, flow
meter calibration, or laboratory analysis as cost-effective options for reducing
staffing requirements.
Development of a staffing plan will not only ensure cost-effectiveness, but
will also help local officials meet their responsibility to ensure that water and
wastewater facilities comply with state and federal regulations. Inadequate or
poorly trained staff inevitably leads to non-compliance problems and poten-
tial fines. In addition to complying with appropriate regulations, local
officials also have a responsibility to the citizens of their communities to
provide uninterrupted utility service. Adequate quantity and quality of
drinking water and protection of the environment must be key considerations
in the management of a utility system. An adequate staffing plan is essential
to achieving that goal. Here are the steps for preparing a sample staffing plan:
1. Develop an organizational chart. It is important to have a clear organiza-
tional chart to determine how utilities need to be managed. In many
small communities, one person might be able to supervise both the water
and wastewater operations, as well as take care of the public works
department, which includes roads, streets, and other infrastructure. But
this type of arrangement is becoming more difficult in today's environ-
ment, due to increasingly complex regulations and the resulting complex-
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ity of treatment systems. The current trend is to separate water and
wastewater utilities from other public works, to improve performance and
enable technical personnel to develop comprehensive expertise in their
areas of responsibility. To effectively implement this organizational
approach, local officials need adequate information about specific job
responsibilities to then determine the number and type of personnel
required. The product of this first step in developing a staffing plan is an
organizational chart showing all lines of supervisions and authority, all filled and
unfilled positions, and an approximation of all needed but as yet unauthorized
positions.
2.	Conduct a task analysis. A detailed task analysis will help determine
how many workers are needed and the level of experience, certification,
and expertise necessary for each water and wastewater facility job. Begin
by identifying all O&M tasks that must be accomplished to ensure
adequate performance by the facility. Include tasks that are currently
being accomplished, as well as those that should be done but might not
be, due to lack of time, talent, or other resources. The task list must
reflect all routine O&M tasks required for the entire year. Some tasks
may be daily, while others might be performed weekly, monthly, or even
yearly. To develop a comprehensive task list that truly reflects the needs
of the facility, an experienced supervisor familiar with the facility should
be involved at all stages of the task analysis. Additional assistance may be
necessary from an operations and maintenance consultant, to help
evaluate clearly and comprehensively all the staffing needs of the facili-
ties. To develop the task list it is necessary to review O&M manuals,
conduct on-site task evaluations at the facility, and interview key O&M
personnel and their supervisors. The product of this second step in developing
a staffing plan is a comprehensive task list, organized by unit processes.
3.	Determine staffing requirements. The next step is to review the task list
and calculate the time each task normally requires. It is necessary to
compute the total number of person-hours per task, per technical skill,
per year required to provide adequate O&M of the facility. Once that
number is determined, it may be divided by the total number of hours
that each worker is available per year, taking into account vacations,
holidays, etc. In this way it will be possible to derive a number that
approximates the personnel hours needed to provide adequate O&M for
the facilities in question. The product of this third step in developing a
staffing plan is a break out of required staffing hours, by skill and by task.
4.	Create job descriptions. Once the estimated number of staff hours is
determined, the organizational chart should be appropriately modified
and each staff member's responsibilities redefined. Detailed job descrip-
tions for each position identified on the chart should be prepared. Job
descriptions should include areas of responsibility, summaries of required
tasks, subordinates supervised, and supervisors to whom reports are made.
The product of this fourth step in developing a staffing plan is an updated set of
written job descriptions.
Timely
Reminder
In addition to
follow-up budget
monitoring relating
to staff changes,
management should
periodically assess
the changes in
terms of improved
efficiency and
performance of the
utility's operation
and maintenance.
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Helpful
Guidance
Local officials need
vigorously to
support continuing
education, both to
comply with
regulations and
because certified
operators generally
are able to do a
better job of
protecting the
environment,
public health, and
the costly
infrastructure of
the treatment
system.
Money Matters
Good training will
result in a
substantial payback
over the years in
terms of well-run
facilities.
5. Implement staffing changes. After approving the staffing changes
recommended by steps 3 and 4, the O&M budget must be modified
appropriately. In addition to follow-up budget monitoring relating to
these staff changes, management should periodically assess them in terms
of improved efficiency and performance of the utility's operation and
maintenance. The product of this final step in developing a staffing plan is a
new written staffing plan and corresponding budget.
Staff Training and Certification
Certification Requirements
All states have certification requirements for water and wastewater operators.
The 1996 SDWA amendments require every state to implement a certifica-
tion program for operators of water treatment facilities. Certification of some
form has long been required for wastewater operators in every state. All local
governments must, therefore, employ certified operators at their facilities to
comply with federal and state regulations.
Generally, certification regulations require an operator to pass a written test
and have some minimum amount of experience and education to obtain an
operator's certificate. Once an operator is certified, many states also then
require a minimum amount of training during the term of the certificate, in
order to be eligible for renewal. The renewal period is typically two or three
years.
It is the operator's individual responsibility to make sure he or she obtains all
required training hours for certificate renewal. Local officials need vigorously
to support this continuing education, both because a local government must
employ certified staff to stay in compliance with certification regulations and
because certified operators generally are able to do a better job of protecting
the environment, public health, and the costly infrastructure of the treat-
ment system. Additionally, there is the critical issue of the corporate liability
that a local government has for the performance of its water and wastewater
treatment system; this liability may be severely compromised by its operators'
lack of certification.
Additional Training Needs
In addition to ensuring compliance with certification regulations, a compre-
hensive training program for water and wastewater operators will provide
other significant benefits for a local government. A well-trained staff is
essential for efficient utility O&M. Good training will result in a substantial
payback over the years in terms of well-run facilities. Therefore, far-sighted
local officials will make sure that O&M budgets provide adequate funds for
staff to go to the best training available. This may mean sending staff to off-
site training events, paying the cost of course registration as well as travel
expenses, or having staff attend training programs during working hours and
directing other personnel fill in during that time.
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Another training option is to contract on-site training customized to the
individual water or wastewater facility. Not all training needed is technical in
nature. Training programs relating to management, supervision, and other
important skills, such as effective report writing and use of the computer, are
also important in developing a more efficient and productive staff.
If the staff size is sufficiently large, it may be a good idea to designate a
training coordinator. This individual can determine staff training needs and
watch for appropriate training opportunities or courses. In addition, the
training coordinator can schedule employees for off-site training, set up on-
site training classes, and monitor the training budget. The coordinator should
also evaluate the training programs and determine which ones are most
effective in improving staff performance. The individual coordinating train-
ing needs some technical experience in water or wastewater treatment.
Training Sources
Many sources of training are available for operators of water and wastewater
treatment facilities. Local officials need to determine which sources are most
appropriate for their staff in terms of quality and cost effectiveness. Some
states require continuing education units (CEUs) in addition to contact
hours for certification renewal, so that issue must be considered when choos-
ing sources of training. In most states, training will be available through the
ollowing organizations:
state environmental training centers
state regulatory agencies
operator associations
professional organizations such as the Water Environment Federation,
the American Water Works Association, and the Rural Water
Association
Helpful Guidance
Many sources of
training are available
for operators of
water and
wastewater
treatment facilities.
Local officials need
to determine which
sources are most
appropriate for
their staff in terms
of quality and cost
effectiveness.
In addition, a local government may contract training, including on-site
programs, using operations and maintenance consultants, consulting engi-
neers, or manufacturer's representatives.
Quality training opportunities are important for staff development. The best
training is not necessarily the cheapest. It is up to local officials to work with
their staff to ensure that training being considered develops a staff that can
provide effective O&M of the water and wastewater facilities.
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Procurement of Professional
Services
In this chapter:
4 Types of
professional
services
4 Reasons for hiring
outside
consultants
4 Selecting
consultants
4 Managing
consultants
Local officials should use all available resources to make sure water and
wastewater facilities in their community comply with all regulatory require-
ments and operate as cost effectively as possible. One resource that it may be
appropriate to consider is outside consultants. If it is decided that outside
assistance is necessary, it will be important to choose the consultant that is
best qualified to provide the required services. This section discusses the types
of consulting services available to communities and procedures that may be
used for retaining and managing those services.
Types of Professional Services
Engineering Consulting Services
Comprehensive Facilities Study
A utility system may need significant upgrading because of its age, residential
or industrial development pressures, more stringent regulatory requirements,
or some combination of these factors. Such facilities may include a water
treatment plant, a wastewater treatment plant, the drinking water distribu-
tion system, or the sewage collection system. Rather than trying to study each
component of the utility system separately, it may be more beneficial to seek
a comprehensive facilities study. Such a study normally provides a detailed
evaluation of the entire utility system, as well as a plan and proposed sched-
ule for implementing necessary improvements.
Once a facilities study is decided upon, the community needs to retain the
services of a design-oriented engineering consulting firm. The completed
study should be assembled to provide local officials with a plan for imple-
menting the required upgrades over a 20-year planning period. Recom-
mended actions must be prioritized. Estimated costs of the upgrades must also
be provided, so the community can plan for securing the funding needed to
continue the project through to completion.
Preliminary Design Report
Based on the results of the facilities study, the community may decide to
proceed with the construction of some or all of the individual projects
identified as priorities. At this point, the design engineer can be authorized
to proceed with the preparation of a preliminary design report (PDR). In the
PDR, the engineer considers specific alternatives relating to the facility
upgrade and presents a cost analysis before recommending the best alterna-
tive for the project. A community may choose to use the services of the same
Procurement of Professional Services
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engineering company throughout the facilities study, the PDR, and the actual
design stage of a project, but also has the option of choosing different compa-
nies for each stage of the process.
In this phase of the project, a design engineer prepares detailed plans and
specifications for the alternative chosen in the PDR. These plans and specifi-
cations must be suitable for a contractor to use to construct the project. The
engineer typically also would provide bidding documents to assist the com-
munity in selecting the best contractor.
Operation & Maintenance (O&M) Services
Technical Assistance
Technical assistance is on-site assistance at a facility to address O&M prob-
lems that may be causing inconsistent performance or violations. There are a
number of possible sources for subsidized technical assistance, from federally-
and state-funded organizations, as well as full cost technical assistance from
private O&M consultants. In some states, technical assistance programs are
available to smaller communities through organizations such as state environ-
mental training centers, the Rural Community Assistance Program (RCAP),
state regulatory agencies, or Rural Water Associations. Local officials in small
communities should investigate these sources first, since these organizations
do not charge for technical assistance. If service from these organizations is
not available or is inadequate to deal with the situation facing the commu-
nity, then it may be necessary to retain the services of a company that
specializes in O&M services. A compliance problem should not be the only
motivation for seeking help from O&M consultants. For example, local
officials may desire an O&M evaluation to optimize the performance of a
facility or to implement cost-cutting strategies.
Suneivisoiy anil Management Services
Supervisory and management services are normally provided by private
O&M services companies. Such companies can provide certified managers to
oversee day-to-day facility O&M. Such a manager might visit the plant daily
or, in the case of smaller facilities, possibly once or twice a week to supervise
on-site operations staffs. At a minimum, the manager would be responsible
for meeting requirements for the system's employment of a fully certified
operator and for ensuring that all required reporting is completed properly
and sent on time to relevant regulatory agencies. The extent of the manager's
responsibilities would be further described in the contractual arrangement
between the community and the company.
Money Matters
There are a number
of possible sources
for subsidized
technical assistance,
from federally- and
state-funded
organizations, as
well as full cost
technical assistance
from private O&M
consultants.
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Fall-Service Contract Operations
Helpful Guidance
Numerous details
relating to legal and
financial issues must
be worked out
between the
company and
community before
contracts, leasing,
or sales can be
finalized.
This type of arrangement involves contracting with a private O&M services
company to take complete responsibility for the O&M of the facility. All
operators working at the facilities are, or become, employees of the private
company. The community typically still owns its facilities and is generally
still responsible for permit and other compliance issues, unless it is agreed
with the relevant regulatory agency that this responsibility is specifically
designated to the company. The full-service contract may have any duration,
but it is usually for a minimum of five years. Specific issues relating to shared
responsibilities between the private company and the community must be
clearly defined.
O&M leasing Contracts
This is very similar to the contract operations option, described above, in
terms of daily O&M responsibility. However, the definition of a lease may
vary depending on which federal agency is consulted. If the company is
paying a "concession fee" to the community in connection with a leasing
contract, or if the company is making capital improvements to the system,
the arrangement would likely be considered a lease under the EPA definition.
On the other hand, the IRS may still consider this arrangement to be a
management contract. EPA's definition becomes important if the facility that
is being considered for a lease was built using federal funds.
Full Privatization
In this case, the private company purchases the facility from the community,
and the community pays a fee for the utility service. The company owns and
operates the facility and provides all funding for capital improvements. Once
again, it may be necessary to discuss the sale with EPA if the facility was built
using federal funds. Numerous details relating to legal and financial issues
must be worked out between the company and community before this type of
transaction can be finalized.
Reasons for Hiring an Outside Consultant
As described above, a number of different types of O&M services are avail-
able to a community. Most communities use design engineering companies
for facility upgrade projects. Some larger communities that have their own
engineering staffs may rely on private engineering companies only for major
projects.
Technical assistance may be appropriate for any community needing objec-
tive input for resolving issues that community staff does not have the time or
capability to manage. Contract operations, or some form of privatization, may
be a viable option for some communities, both from the perspective of
creating financial benefits and improving operations capability.
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The advantages of using a private consultant for some or all of these profes-
sional services may include:
*	reduction of O&M costs
A fresh perspective on solving existing problems
4 ability to focus on specific, single issues
b expertise and diverse resources to provide cost-effective plans and
specifications for new projects
*	distance and neutrality from local politics
The disadvantages of using a private consultant may include:
*	cost of services, compared to resolving problems in-house with existing
staff
4 company possibly not familiar with local issues or problems
*	with respect to contract operations, the community may feel that it has
lost control of its utility operations, and thus of both budgets and rates
Procedures for Consultant Selection
Both ethics and the law govern the award of contracts to consultants. Gener-
ally, a bidding process must precede all contracting, so that a clear record of a
fair and open process is established and obvious to any who may care to
investigate. To assure that established, reputable, and experienced firms will
bid on the proposed work, a two-step process generally is recommended.
1.	Request for Qualifications (RFQ)—Issuing an RFQ is the first step in
retaining consultant services. The RFQ asks consultants to provide
information demonstrating their expertise in the types of services that
the community needs. Based on the community's review of these qualifi-
cation packages, a short list of most qualified companies should be
generated, and those on the list will be asked to submit detailed propos-
als. The RFQ should solicit information about firms' experience in
similar settings, with similar projects, staff capabilities, typical hourly
rates of senior and junior staff, and related issues, so that from the re-
sponses the client community may obtain a profile of each responding
firm, and thus narrow down the "short list."
2.	Request for Proposal (RFP)—This document describes a specific scope
of work to which the companies on the short list should respond. Compa-
nies submitting responses should demonstrate in their proposals a clear
understanding of the issues facing the community and provide a detailed
description of their technical approaches to addressing the scope of work.
Proposals should then go through a technical evaluation by a project
committee designated by local officials. Once the proposals are rated
with respect to the technical presentation, the committee may elect to
interview the project teams of the two or three highest rated companies,
to determine which team demonstrates the greatest compatibility with
the community's view of the project. Cost proposals may be solicited
from the companies being interviewed, to factor cost into the final
decision, or the company can be chosen which is believed to offer the
best technical capability, and then cost can be negotiated. It is important
Money Matters
Cost should not be
the main issue in
choosing a company
to provide
professional
services, at least
not until all other
factors and
technical merit have
been shown to be
relatively equal.
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to select the company that offers the best value. Cost should not be the
main issue in choosing a company to provide professional services, at
least not. until all other factors and technical merit have been shown to
be relatively equal. Then, and only then, should cost become a determin-
ing factor in choosing a winning firm.
Managing Consultants
Communication
Regular communication with the contracted consultant is essential. This can
be done with regular written reports and scheduled meetings. The consultant
must understand (and should have already demonstrated in interviews) that
the community, as the client, must have the opportunity to provide input on
all decisions involving utility projects. For example, if a consultant is retained
to provide design services for a facility upgrade, the consultant should ask the
plant operators for their concerns and suggestions, especially regarding safety
and operability issues which might be raised by design approaches. Regular
and ongoing communication will always help projects succeed.
Financial Accountability
The consultant is responsible for explaining and justifying all expenses
associated with the services being provided. Regularly updated financial
reports should be provided to the community, showing expenses and compar-
ing them to original contract costs. If the consultant believes that additional
expenses are required to complete the project as designed, then the firm must
first inform the community and seek formal approval from local officials.
Summary
Occasions will arise when communities will need to use the services of
outside consultants to assist with water or wastewater projects. Thus, commu-
nities should be prepared to make appropriate decisions about retaining the
services of competent consultants, monitoring their work and costs, and
participating as advisors in all aspects of project implementation.
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In this chapter:
* Rate systems
4 Complaints
4 Required
information
4 Consumer
education
4 Public image
4 Financing for
public relations
Money Matters
Utility management
must look for the
most cost-efficient
ways to provide top
quality service and
must devise user
rates that are fair
to the customers,
but give due
consideration to
the long-term
integrity of the
utility.
Public Relations
The development of a positive relationship between local officials and the
public relating to water and wastewater utility service is critically important.
The public has given local authorities the responsibility for providing proper
wastewater treatment and disposal and the treatment and delivery of safe
drinking water. The public expects protection of environmental and public
health, as well as quality service for a fair price.
The intricacies of water and wastewater systems operation and maintenance
are foreign to the vast majority of the public. However, this does not mean
that citizens do not want to make meaningful input to local government on
the public impact and costs of these facilities. It does mean that, for this
public input process to have useful substance, there must be both public
education and an established process by which the public may participate.
Managing and Updating an Enlightened Rate
System
Customers will be most aware of the impact of water and wastewater service
each time they receive their utility bill. Water and wastewater service costs
represent a significant financial impact for many users, and public officials
need to ensure that the rates charged for water and wastewater service are fair
and correct. Responsible financial management is of the utmost importance,
and proper budgeting and planning for operations, future equipment replace-
ment, and other improvements are the backbone of a responsible rate struc-
ture.
The rates charged for water and wastewater service will have a significant
impact on a community's potential for growth and viability. Rates that are
unreasonably high will unfairly impact system users and may drive off pro-
spective new residents and commercial enterprises. Conversely, rates that are
too low result in inadequate funding for operation, maintenance, and capital
improvements, inevitably resulting in the decay of the utility infrastructure.
With these factors in mind, utility management must look for the most cost-
efficient ways to provide top quality service and must devise user rates that
are fair to the customers, but give due consideration to the long-term integ-
rity of the utility, especially its electrical-mechanical, piping, and treatment
components.
Methods for Avoiding "Shock" Rate Increases
Proper annual budgeting and planning for future needs allow officials to
prepare for the financial obligations for water and wastewater management.
Based on these financial data, utility rates can be managed to avoid excessive
"shock" rate increases.
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Annual budgets will, of course, increase incrementally with time. This is due
to inflationary increases in most typical components of the budgets, including
energy, labor, chemicals, and supplies. Sharp increases in annual budgets
should, however, be avoided. Unless past financial management has been lax,
or preventive maintenance consistently deferred, there should be no neces-
sity for drastic budget increases, because there should be no serious unfore-
seen financial emergencies. Rates and connection fees should be allowed to
float gently upward to accommodate inflation and to provide funds for the
orderly, planned replacement of capital equipment as ends of life cycles are
reached.
If inflation rates average three percent per year, then the cost of replacing a
$10,000 main booster pump will increase about $0.82 cents every day that it is
in service. This suggests that if the pump were to give 15 years of service, its
predicted replacement cost would be about $14,789. This amount must be
collected from customers as service is rendered and be placed in capital
equipment reserves to be available when needed. Several approaches have
been used successfully in local communities for both capturing the reserves
needed and meeting the financial requirements of on-going O&M.
The first approach is to adapt rates to long-term financial trends. One large
Washington, D.C., suburban utility indexes the increase in the charge for a
residential sewer connection to the Federal Reserve System prime rate.
Increases in charges, therefore, are pegged annually to the average prime rate
for the preceding calendar year. Some utilities use other indices, such as the
annual inflation rate or increases in energy costs. This approach is usually
codified into local ordinance, effectively limiting acrimonious debate.
Another approach is to establish multi-year rate structures in which one rate
is charged over a three-, five-, or even seven-year period. This rate is carefully
calculated to accommodate expected growth, inflation, and equipment
replacement and must be based on careful and informed planning. Early years
of the multi-year rate structure will yield more revenue than needed, late
years less. Obviously, surpluses from the early years must be placed in opera-
tions reserves to cover later shortfalls.
Planning is required in any water or wastewater system for day-to-day opera-
tion and maintenance, equipment replacement, and service upgrades. Plan-
ning must also include the potential for emergency situations. Proper plan-
ning combined with good financial management calls for funds for these
activities to be set aside early and well managed in budgets and reserve
accounts.
Major improvements to water and wastewater facilities may require addi-
tional sources of revenue such as grants and loans. Choosing the best avail-
able sources of funding can have a significant impact on ultimate user cost,
and therefore local officials should thoroughly evaluate all funding options.
Good public relations demands that local officials work effectively on behalf
of the utility users to secure the lowest cost financing available.
(Note: Additional information relating to user rates can be found in the
chapter titled "Financial Management and Business Planning.")
Money Matters
Rates and
connection fees
should be allowed
to float gently
upward to
accommodate
inflation and to
provide funds for
the orderly, planned
replacement of
capital equipment
as ends of life cycles
are reached.
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Managing Complaints
Helpful Guidance
Good public
relations demands
that local officials
work effectively on
behalf of the utility
users to secure the
lowest cost
financing available.
Water and wastewater systems must respond promptly and positively to the
complaints of users or other affected individuals. Such complaints are often
the first indication of a problem with some aspect of the utility operation.
Proper responses can be provided only if the staff is properly trained and has
planned and rehearsed for this aspect of utility service.
Important aspects of a complaint management program are summarized
below.
Complaint Management Program Elements
6 Complaint Form. To record and document relevant information regard-
ing the reporting individual and the situation causing the complaint (see
the Sample Complaint Form)
4 Complaint Response Plan. A specific plan for response to a complaint,
including response time, personnel involved in response, and information
to be collected
6 Follow-up. Plan to provide resolution to the complaint, including
notification of findings and actions taken to correct the situation
4 Training. Training for individuals receiving and responding to com-
plaints on how to collect the appropriate information, properly investi-
gate, and respond
Inconveniences of Construction
Complaints regarding disturbances from construction activities can best be
addressed through prior planning. Two issues must be addressed. First, every
reasonable effort must be made to minimize disturbance to individuals and
businesses from construction activities. Second, the individuals and busi-
nesses that will be affected by construction activities should be notified as far
in advance as possible, with specific information about the types of distur-
bance they can expect and measures that are being taken to minimize its
impacts.
When construction disturbance will be extensive, it may be necessary to
meet with affected persons or businesses to coordinate the needs of the
construction activities with the specific needs of individuals.
Good traffic control at construction and repair sites is fundamentally impor-
tant, both to public and worker safety and to maintaining an orderly flow of
vehicles toward and through the site. It is important to minimize impacts on
commercial areas, residential neighborhoods, and nearby institutions. It is
specifically recommended that local officials review traffic control plans for
any repair or construction projects of major proportions, even submitting
those plans to state highway agencies for approval or endorsement, to estab-
lish prior certification of the plan in case of accidents or law suits.
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Sample Complaint Form
Complaint Information
Complaint Received By:	
Date/Time:	
Customer Filing Complaint:.
Phone:	
Address:	
Nature of the Complaint:	
Additional Comments:
Investigation Information
Investigated By:	
Date/Time:	
Findings:	
Corrective Action Taken:
Follow-Up
Follow-Up By:	
Date/Time:	
Customer Contact:	
Reviewed With Customer:
Customer Satisfaction:
Foul Odors
Wastewater facilities are especially prone to odors, and citizens are especially
prone to objecting to them. With proper design, well-maintained equipment
and facilities, and sound operational practices, odors can be minimized. Often
the first indication of odor problems in a wastewater treatment or collection
system will come from a customer complaint. Odor complaints are a useful
tool, for they identify problems and the need for corrective actions.
All odor complaints should be investigated promptly and thoroughly. Rel-
evant information regarding the nature and duration of the odors should be
collected. This information, along with the observations of the investigator,
can then be used to direct corrective actions and actions to avoid future
occurrences. Findings and proposed corrective actions should always be
reviewed with the individual citizens who made the initial complaints.
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Keeping Neat and Orderly Grounds and Buildings
Neat and orderly facilities and grounds always make a good first impression
with the public and with regulatory staff. Neatness also promotes safety.
Providing Required information to Consumers
The SDWA requires public notification if public water systems are not in
compliance with certain minimum water standards. These public notification
requirements went into effect in 1989. Additional requirements that are part
of the 1996 SDWA amendments went into effect in 1998.
Notifying the Public of Violations
The SDWA requires public notification when any one of the following
occurs:
4 failure to comply with an applicable maximum contaminant level
4 failure to comply with a prescribed treatment technique
4 failure ure to perform required water quality monitoring
4 failure to comply with prescribed testing protocols
4 issuance to the utility of a variance or exemption
4 failure to comply with an upgrading or process improvement schedule
required by a variance or exemption
The specific type and schedule of notification is related to the type of viola-
tion. Most critical are acute violations with a potential for immediate nega-
tive impacts on human health. Public notification for these violations must
be made immediately and include radio and television announcements.
Mandatory negative health effects language to be included in public notifica-
tions is provided in federal regulations (see 40 CFR Part 141).
Damage Control
To respond effectively to the public reaction to a notification of non-compli-
ance, local officials and representatives of the utility must thoroughly under-
stand the significance and potential impacts of the incident. Accurate
information about protective measures to be taken and potential health risks
should be disseminated to all system employees who have the potential for
public contact.
Lacking proper information, users will typically conclude the worst about any
violation they learn about through public notification. Some situations, such
as a bacteriological exceedance may be easily remedied through simple
protective measures, but the public is likely nevertheless to draw ominous
conclusions. Some users will not take the time to review and understand the
public notification or may not believe it until they hear details from a
responsible official. Actual risks should be described carefully and discussions
of rumored or feared dangers should be avoided at all costs.
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Coordinated Response
The key to damage control is to coordinate response. While it is appropriate
for all individuals with a potential for contact with the media to be aware of
the facts associated with a situation, it is desirable to have a single point of
contact for dissemination of public information. Working through one
individual or a small group of knowledgeable personnel is the best way to
manage the release of information. Whenever possible, the designated point
of contact should address all questions and concerns. Often, a temporary
hotline can assist by offering clear and concise pre-recorded information,
followed by an opportunity to speak with a trained respondent.
Reporting Other Information (e.& Consumer Confidence
Reports)
The 1996 SDWA Amendments specify that public water systems must
provide annual reports to all customers. Consumer confidence report regula-
tions have been developed in consultation with environmental and public
interest groups, risk communication experts, and state regulatory agencies.
The reports must include a plainly worded definition of "maximum contami-
nant levels" (MCLs) and "maximum contaminant level goals" (MCLGs), as
well as plain-language explanations of the health concerns associated with
contaminants. The reports must present information on the source water, the
levels of any detected contaminants, the health effects of any contaminant
levels in excess of the standard, and any unregulated contaminants. EPA
must maintain a consumer hotline to provide more information on drinking
water contaminants and their potential health effects. Utilities need to
develop planned approaches to preparing consumer confidence reports. EPA
and some states have developed formats for such reports, which are available
for use by utilities.
Timely
Reminder
The 1996 SDWA
Amendments
specify that public
water systems must
provide annual
reports to all
customers.
Educating Consumers and Promoting Best
Practices and Consumer Responsibility
Because local government acts as the water supply and wastewater treatment
provider to its citizens, government also becomes their link to understanding
the proper use of those services. Therefore, utilities have the opportunity
(and the duty) to educate their customers regarding their services, citizen
responsibilities, and the worthy environmental protection goals which those
utilities support.
Many consumer education topics on water and wastewater have already been
condensed into easy-to-read brochures suitable for distribution at public
meetings or stuffing into utility bills. These materials are available from
sources such as the American Water Works Association (AWWA) and the
Water Environment Federation (WEF). (See the "Contacts Appendix" for
contact information.)
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Water and Energy Conservation
Helpful Guidance
Effective public
education
campaigns can
substantially
improve water
conservation,
contribute to
system capacity, and
build appreciation
for the important
work of treatment
plant staff and local
officials.
Water conservation is an important issue on two levels. First, as consumers
conserve water, they conserve the capacity of the facilities that carry out
treatment. Excessive water use wastes the capacity of the systems producing
the water and treating the resulting wastewater. Second, water is precious.
With increasing regularity, public demand for water exceeds locally-available
supplies. Water conservation efforts are the best tool for stretching those
supplies as far as possible to serve the present and future needs of communi-
ties.
Experience and public opinion surveys indicate that most customers are
interested in conserving water; however, they may not know how, despite the
fact that water conservation techniques are convenient and easy to imple-
ment. Customers appreciate cost savings from reduced usage, as well as
interest by their water company in helping them protect the environment
and public health. Effective public education campaigns can substantially
improve water conservation, contribute to system capacity, and build appre-
ciation for the important work of treatment plant staff and local officials.
Topics related to water conservation include:
6 Leak Protection. How much water does a leak waste?
*	Lawn and Garden. How much water is used for landscaping? What type
of landscaping uses less water?
4 Car Washing. What can be done to reduce water use with driveway car
washing? How much water can be saved by commercial car washing?
4 Household Use. How can changes in household water use habits save on
water usage?
*	Industrial and Commercial. How can pollution prevention concepts be
used to reduce water usage and wastewater generation?
6 Water Metering. How is water usage affected by billing based on usage
vs. flat rates with no restrictions on usage?
Another good public relations tool is to implement and then publicize an in-
plant energy conservation program. Energy conservation is significant
because of the heavy impact of energy costs on a typical facility's operating
budget. Energy conservation can be a positive tool for saving costs without
reducing operating effectiveness. Energy conservation programs generally
require identifying the locations with high energy use, identifying possible
savings, establishing new operating practices calculated to save energy, and
making cost-effective capital investments in energy saving equipment.
Health and Safety
Another public relations responsibility is to educate consumers about how
their actions can protect the environment, their own health and safety, and
that of the community.
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Cross-Connections
Many consumers are ignorant of how pollutants can enter their water supply
and even their own homes. As mentioned in previous chapters, back-siphon-
age due to sudden pressure drops or pressure interruption can cause contami-
nated water to be drawn back into the drinking water supply system. Also,
connection of a pressurized source of contaminated water to the water supply
can cause that contaminated water to be discharged into the distribution
system.
A classic example of a cross-connection is contaminated water in a pressur-
ized garden hose being drawn back into house plumbing if the pressure in the
supply to the house is interrupted or reduced. Water intended for the garden
could be contaminated with chemicals or bacteria and then, under negative
pressure, be drawn into the house plumbing to contaminate the drinking
water supply. Cross-connections with sewage or stormwater sources are
common in older homes built before modern plumbing codes.
The Foundation for Cross-Connection Control and Hydraulic Research at
the University of Southern California offers an informational brochure and
video package on cross-connection control, entitled "Working Together for
Safe Water." This package easily can be used to explain the concepts of cross-
connection control to the public in a simple format. The American Water
Works Association (AWWA) and the Environmental Protection Agency
(EPA) also have good literature on preventing cross-connections.
To properly protect the water supply system and consumers against the
dangers associated with cross-connections, each water supply system should
implement a cross-connection control education program.
Cross-Connection Control (CCC) Program Elements
*
4
*
*
*
*
*
Develop a CCC ordinance.
Develop and implement a CCC public education program.
Conduct a system-wide CCC survey.
Train staff in CCC inspection and testing.
Develop CCC requirements, manuals, and report forms.
Provide sufficient staff and resources for daily CCC operations.
Install CCC devices whenever necessary.
Helpful Guidance
Because lead in
drinking water
most often comes
from homeowners'
household
plumbing,
consumers must be
made aware of the
appropriate steps
to check for and to
protect themselves
from the adverse
impacts of lead.
Source Water Protection
The actions of irresponsible individual consumers can have disastrous effects
on groundwater and surface water supplies. These impacts on water supplies
can also prevent their use for recreation and as natural habitats. Customers
must be informed about how their actions, such as the use and disposal of
chemicals, fertilizers, and household products (paints and thinners, for
example) can affect water supplies.
To protect water supplies from contamination, communities need watershed
management plans (for surface water supplies) and wellhead protection
programs (for groundwater supplies). Additional information can be found on
these programs in "The Regulatory Setting" chapter.
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lead and Copper
The Lead and Copper Rule of the SDWA has helped to bring the problems of
lead in drinking water to the attention of water managers, local officials, and
the public. Because lead in drinking water most often comes from
homeowners' household plumbing, consumers must be made aware of the
appropriate steps to check for and to protect themselves from the adverse
impacts of lead.
Important Facts about Lead in Drinking Water
4 Lead can cause serious damage to the brain, kidneys, nervous system, and
red blood cells.
4 Young children and pregnant women are at greatest risk.
4 Lead can come from brass fixtures that contain lead, lead pipes, and
copper pipes with lead solder.
4 Consumers can reduce lead concentrations in water by flushing (run-
ning) water that has been standing in pipes that have not been used for 6
hours or more. Flushing for 5 minutes is sufficient.
4 Using cold water for consumption and cooking will reduce lead exposure.
4 Consumers can have their water tested for lead by a competent labora-
tory.
4 Lead in drinking water is just one source of lead exposure. Drinking water
typically contributes 10 to 20 percent of total lead exposure in children.
4 Treatment devices can remove lead from drinking water, but they must
be certified to verify that they are capable of doing so.
4 For young children it is advisable to be sure that the lead level in water is
no more than 15 ppb (parts per billion). (This is the EPA action level for
lead.)
It is important to note that the utility is responsible for producing water that
does not possess chemical properties that cause lead and copper to dissolve
into the water. If water samples at consumers' taps exceed the EPA action
levels for lead or copper, the utilities may be required to add chemicals for
corrosion control.
Storm Sewers
While the operation of storm sewers may not be governed by the water or
sewer authority, they are an important and often misunderstood part of a
community's infrastructure. Misuse of storm sewers can lead to significant
water pollution.
Many people do not know that sanitary sewers flow to treatment plants
which provide significant treatment to remove pollutants before discharge,
while most storm sewers flow directly to natural waters, with little or no
treatment. Often these natural waters are themselves community raw water
supplies.
Chemicals that are discharged into storm sewers, or that run off into them
from lawns or driveways, are not removed before they reach those natural
waters. Many communities have started education programs to help the
public understand the importance of limiting polluting discharges into storm
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sewers. These have often included painting messages next to stormwater
inlets (street drains) to indicate that only rainwater should be discharged.
Proper Disposal of Hazardous Waste
Improper disposal of hazardous waste can cause contamination of surface
water supplies, groundwater, and soil. Hazardous waste can also adversely
affect the biological treatment processes at wastewater plants and can con-
taminate landfills that were not designed to receive these materials. Many
communities have started household hazardous waste programs to inform the
public of the proper disposal procedures for various waste products.
Often the first step in a household hazardous waste program is to educate the
public about the types of common materials that are hazardous. Many prod-
ucts used daily are considered hazardous when they become waste. For
example, the used or leftover contents of household products such as paints,
cleaners, stains and varnishes, car batteries, motor oil, and pesticides are all
household hazardous waste.
Brochures and bill stuffers can be used to address the issues relating to proper
hazardous waste disposal. In addition, most state environmental protection
agencies offer hazardous waste disposal programs that can help communities
address this issue.
Selling the utility's Public Image Through Good
Communication and Proactive Management
Good management is a sign of a quality organization. The public is quick to
realize when there is a lack of good service and will assume correctly that this
equates to poor management. It is important that all aspects of water and
wastewater utility service, including management, provide the highest quality
service to the public.
Personalizing the Service and Creating the Perception that
There is Value to Service
The public will observe the ways a community manages its water and waste-
water utilities through its regular use of the utility's products—its water and
wastewater services. A professional impression of the utility management
begins with reliable service.
Public Meetings
As a public body, a community's utility commission will have regular public
meetings. These meetings must be orderly, well managed, and productive.
Technical presentations at these meetings should be well prepared and should
be both technically complete and, especially if requiring budgetary appropria-
tions, easily understood by the lay public. Business at public meetings should
Warning
The used or
leftover contents of
household products
such as paints,
cleaners, stains and
varnishes, car
batteries, motor oil,
and pesticides are
all household
hazardous waste.
H—10 Local Officials Handbook

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be completed in a professional manner, and unnecessary or repetitive discus-
sion should be minimized.
While public participation is to be encouraged at such meetings, it too should
be conducted and managed in a professional manner. Members of the public
must be required to keep their presentations brief and to the point. At times
it may be necessary to place a time limit on public comments to allow
sufficient time for all public input. It is important to manage the presentation
of public comment so that it is relevant to the discussion and not repetitive.
Leaders should be ready to refocus the discussions if individuals provide
irrelevant testimony or repeat the comments previously presented.
Managing the Media
Absent an effort to bring the good work of community utility systems to the
media's attention, the media will not be seen until there is a problem. To get
a balanced representation in the media, positive activities by facility staff or
the organization should be publicized, including major awards, new equip-
ment upgrades, special events, or national celebrations such as Public Works
Week or Earth Day.
Even if the utility receives media coverage for the positive aspects of its
operations, there is always potential to receive negative media attention. To
make a good impression, leaders should be as open and honest as possible,
being sure of their facts and providing fact sheets or summaries to avoid any
misstatements about negative events or accidents.
Helpful Guidance
To get a balanced
representation in
the media, positive
activities by facility
staff or the
organization should
be publicized.
Many publications and training courses are available to help staff deal with
the media. It may be best to delegate responsibility for media contact to a
single individual with good communication skills and to assure that they are
trained in the specifics of media interaction. They can then coordinate media
contacts with technical staff relating to specific issues.
Public Service Announcements
Public service announcements are a good way to promote environmental and
safety messages to the public on behalf of utility operations. Local media
outlets can provide more information on the specific requirements for placing
a public service announcement.
Open Houses
An open house, tour, or other special event is an excellent way to get the
public and perhaps the media to see what goes on in water or wastewater
systems. It can also be an event in which employees and public officials may
involve their families in their work.
The event should be well organized, with a specific schedule of events. Tours
should be in small groups along a safe (and, if possible, odor-free) route. If
necessary, safety equipment such as hard hats and hearing protection should
be provided. Speakers should be well prepared and ready to answer questions
Public Relations H—11

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from their audience. Often a panel of individuals may be the best approach to
answering the wide range of questions that can come from the public.
Handouts should be available that review the presentations of speakers and
tour guides. Videotapes are another handy way to review the operation of a
large plant.
Bill Stuffer Announcements
The bill stuffer has long been a favorite tool of the water and wastewater
utility manager. Many bill stuffers have been prepared by organizations such
as AWWA and WEF. Bill stuffer informational packets are also available from
a number of commercial suppliers. These are professionally-prepared docu-
ments that cover a wide range of public education topics of interest to water
and wastewater customers.
Some are specific to topics that may be of growing importance to the commu-
nity, such as source water protection, biosolids (sludge) management, or
wastewater recycling. Bill stuffers provide an opportunity to begin the educa-
tional process for the consumer and community. Most bill stuffers can be
customized to include specific information about the utility.
Customer Surveys
Often a utility loses contact with its users. This may be the result of not
listening, or listening'to only a select vocal few. To obtain a representative set
of consumer opinions, it can be helpful to conduct a customer survey.
Often a customer survey is prepared to address a specific topical issue. How-
ever, it may also be used to gauge the level of customer satisfaction and to
direct efforts for service improvements. A survey development, marketing, or
public relations professional should be consulted for assistance in conducting
a customer survey. These professionals are familiar with the procedures for
proper survey preparation, distribution, validation, and interpretation.
Newsletters
An annual, biannual, or quarterly newsletter is an excellent way to commu-
nicate to customers the plans and accomplishments of a water or wastewater
utility. Newsletters should be brief and to the point. They should look
professional, but not too flashy or expensive. An important consideration in
deciding to publish a newsletter is consistency. Once a utility decides it is
going to publish a newsletter, then it must maintain that commitment.
Failure to follow through will reflect poorly on the professionalism of the
operation.
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Responding to Correspondence
It is important that the utility respond promptly to all correspondence from
its customers. If an issue is likely to take some time to address, a reply should
nevertheless be sent immediately, indicating when the customer may expect
a specific response. The response should be thorough and attempt to fully
address the issues raised in the original correspondence. Replies to correspon-
dence may require a meeting to discuss more difficult issues, and a summary
of the results of that subsequent meeting should be sent to the correspondent.
All correspondence should be professionally prepared. It should be signed by
an authority representing the organization. A file of all incoming correspon-
dence and replies should be maintained for future reference.
Civic Organizations and Educational institutions
Presentations to civic organizations (Rotary and Lions Clubs, children's
scouting groups, civic associations, etc.) and educational institutions (high
schools, ecology clubs, etc.) can be an excellent way to inform the public
about utility activities and to get the utility's message across face-to-face.
Many groups may wish to meet at a facility to take advantage of tours and
open house opportunities. Others may wish to have a utility representative
participate in their regularly-scheduled events.
Speakers should take the time to prepare a presentation that is geared specifi-
cally to the audience and organized for the time allotted. Clearly the same
presentation is not appropriate for a local civic association and a cub scout
troop. As with tours and open houses, handouts should be available that
review the presentations of speakers. Videotapes are also a handy way to
review the operation of a plant without actually conducting a tour.
Securing Financial Support lor PR Efforts
Public education efforts can greatly improve the image of a water or wastewa-
ter utility. At the same time, they can carry a significant cost, but there are
several ways to help defray the cost of these efforts.
Soliciting Advertisers to Defray Costs
A number of organizations may want to get the same message to customers as
utilities do. These may include local environmental organizations, state and
local regulatory agencies, and even commercial and industrial enterprises.
As a public agency, care must be taken to avoid any appearance of impropri-
ety in the way funds are solicited in support of public education efforts.
Public Relations H—13

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Finding Other Supporters
Many groups support the kind of environmentally-positive public education
efforts that a utility may be promoting. Government programs and private
foundations are sometimes available to support these efforts. Other agencies,
such as municipal landfills, may wish to support related efforts like proper
hazardous waste handling practices. Local media may even donate time or
space on a regular basis for the utility's efforts.
Summary
There are many ways to develop a positive relationship between local offi-
cials and the public relating to water and wastewater utility service. Local
officials must communicate effectively regarding utility service.
It is important to teach the public about systems for water and wastewater
management. This information is not typically common knowledge. After
the public understands what is required to provide water and wastewater
services, the utility should solicit public input on many major utility manage
ment issues. It is also important that the public understand its role in main-
taining a safe and healthy environment and how its efforts can aid utility
management.
Helpful Guidance
It is important that
the public
understand its role
in maintaining a safe
and healthy
environment and
how its efforts can
aid utility
management.
H—14
Local Officials Handbook

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In this chapter:
A Capital and
financial planning
* Loans and grants
4 Monitoring and
evaluating
performance
Helpful Guidance
Water and
wastewater pricing
is the principal
mechanism by
which customers
evaluate their utility
systems. One of the
major objectives of
a utility is to
provide service at
the lowest possible
price while still
maintaining quality
and ensuring it into
the future.
Financial Management and
Business Planning
Two of the most difficult challenges facing local water and wastewater
utilities are financing new equipment and capital facilities and implementing
appropriate rate structures. Financing becomes a balancing act, because the
facilities to be constructed or equipment to be added must both meet the
utility customers' needs and enable the system to comply with environmental
standards. The type and timing of financing are crucial, because the financ-
ing plan must effectively balance the customers' service cost against the
benefits they receive. Water and wastewater pricing, typically called "rates"
or "user charges," is the principal mechanism by which customers evaluate
their utility systems. One of the major objectives of a utility is to provide
service at the lowest possible price while still maintaining quality and ensur-
ing it into the future. Given the recent national need for water conservation,
utility pricing structures that include conservation considerations have
become more widespread.
Since water and wastewater capital facilities represent a major investment,
utilities must develop and implement a comprehensive capital and financial
planning process to ensure present and future self-sufficiency. Such a process
generally consists of five separate, but interrelated, steps:
*	evaluation of the local socioeconomic factors affecting capital and
financial planning, and development of a comprehensive twenty-year
facility master plan
*	identification and scheduling of capital improvements and review of best
and alternative financing methods for each capital project
6 determination of annual operating and maintenance budgets
6 calculation of fees and charges
*	monitoring the utility's performance and evaluating its economic impact
on customers*
Capital and Financial Planning
Business Plans
Whether serving a small town or a large city, local water and wastewater
systems must function as both a public service and a business. For any com-
munity water or wastewater system, whether municipally- or investor-owned,
the dual responsibility of financial and service excellence are becoming
profoundly difficult challenges. For this reason, some states have developed
policies that insist upon system financial viability. For example, the Com-
monwealth of Pennsylvania had a consultant prepare a financial viability
'Sections of this chapter have been adapted from other sources and are used by permission.
Sources are noted below each section.
Financial Management and Business Planning
1-1

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formula for local utilities that emphasized comprehensive planning. Specifi-
cally, that analysis encourages comprehensive business planning for the
financing, management, and operations of local utility systems. The various
parts of a comprehensive business plan (e.g., a facilities plan, a management
and administration plan, an operations and maintenance plan, and a finan-
cial plan) for small water systems are outlined at the end of this chapter.
These same elements apply to both water systems and wastewater systems.
Five- and Twenty-Year Capital Improvement Plans
Developing effective long-range capital and financing plans is a major
challenge to most communities. Local governments (or special districts) need
to identify the types of facilities needed over a long period (usually twenty
years) for maintaining or upgrading water and wastewater treatment quality,
replacing aging infrastructure, expanding service, and providing for smaller
capital replacement needs. While developing its list of capital needs, the
community must identify the financing resources for those improvements and
balance costs against economic impacts on customers.
The first step in the planning process is to identify the different types of long-
term assets that the utility may need to procure. These may include:
4 Major Facilities: Water systems facilities include treatment plants, storage
reservoirs, conveyance systems, wells, pumping stations, source(s) of
supply, transmission systems, and elevated and ground storage systems.
Wastewater facilities include the treatment plant, interceptors, outfall
lines, major pumping stations, and sludge disposal facilities.
4 Water and Wastewater Extensions: Collection sewers and water distri-
bution mains (i.e., lines that extend from the trunk system to a specific
part of the service area), lift stations, pressure boosting systems, etc.
4 Water and Wastewater Service Installations: Laterals connecting from
the water distribution or sewer collection mains to the customer's prop-
erty line.
4 Capital Equipment and Minor Capital Items: Equipment components
(e.g., pumps, motors, instrumentation) of major capital facilities. Ve-
hicles and other rolling stock (e.g., cars, trucks, backhoes, lawnmowers).
Furniture, major tools, and stand-alone equipment (e.g., laboratory
equipment).
4 Capitalized Services: Costs of engineering design, construction manage-
ment, economic and environmental studies, debt issuance costs, etc.
Planning Process
Local officials need to follow a comprehensive planning process that ensures
all relevant factors are considered and that the capital plan is consistent with
both the utility's long-term objectives and the community's local comprehen-
sive plan. It is important to first evaluate the demographic and economic
factors that will affect the utility over time. These factors include:
4 customer demand and usage (historic, current, and projected)
4 water conservation objectives
4 economic projections for the service area
4 infrastructure condition
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4	current and expected environmental regulations
4	customer expectations (service improvements, etc.)
*	levels of available federal and state assistance
A	utility and community philosophical and legal restrictions
Timely
Reminder
The master plan
should be reviewed
annually, and
typically the first
five years of the
plan are developed
in greater detail
and become the
utility's five-year
capital
improvement
program.The first
year of the plan is
generally adopted
as the utility's
capital budget.
Once these issues are considered, a comprehensive master facilities plan can
be developed. A master facilities plan identifies the capital facilities required
for expansion, upgrade, and rehabilitation of the water and wastewater
systems. Typically, master plans cover a 20- to 30-year period and are devel-
oped by a team of engineering, environmental, and financial experts. These
experts jointly evaluate the system's condition and the technological alterna-
tives for solving identified problems. The master facilities plan provides
general descriptions of needed facilities, including expected dates of construc-
tion and cost estimates. The plan should be reviewed annually, and typically
the first five years of the plan are developed in greater detail and become the
utility's five-year capital improvement program. The first year of the plan is
generally adopted as the utility's capital budget.
The Five-Year Capital Improvement Plan (CIP) is a planning tool to assist
local officials in identifying, ranking, and scheduling various water and
wastewater system upgrade or repair projects. The CIP is a statement of
prioritized needs. While officials are encouraged to be realistic in developing
and updating a CIP, needed projects should not be withheld from the list due
to an apparent lack of funds. Funds may become available from unexpected
outside sources or from the citizens' willingness to pay for the projects
through increased rates.
Source: Comprehensive Guide to Water and Wastewater Financing and Pricing, Second Edition, by
George A. Raftelis, 1993.
Financing Capital Costs
After the utility has developed its master plan and capital improvements
budget, the next step is to identify alternative financing sources. Depending
on the utility's financial situation, numerous financing tools, or combinations
of different resources, can be used. For example, a utility could tap any one,
or several, of the following sources for financing capital improvements.
*
*
*
*
*
*
*
*
*
*
bonds or equivalent long-term debt
state revolving loan funds
state bond banks
federal and state grants
short-term loans and bond anticipation notes (BANS)
capital recovery charges, also referred to as system development charges
(SDCs), impact fees, capacity charges, etc.
other user charges, or special assessments
lease or purchase agreements
operating revenues
investment income
Most utilities are forced to use a combination of short- and long-term financ-
ing for large capital improvements. Developer contributions are used when
the developer benefits directly from a capital expansion of service. In most
Financial Management and Business Planning

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utility financing plans, user charges or assessments are the primary source for
recovering, or reserving, capital costs. Impact fees are also commonly used to
finance capital expansions. Since customer affordability is a major concern
for all utilities, federal and state grants are also a valuable (but declining)
source of financing for utilities.
long-Term Debt or loans
Local governments typically incur long-term debt to spread the repayment
cost of large and infrequent major capital projects over a number of years,
typically 20 to 30. This approach keeps annual debt service costs low and
ensures that future users of the system will help pay for the project. However,
utilities must not jeopardize their financial integrity by incurring excessive
debt. Minor extensions and replacements always should be financed from
operating reserves, but an optimum mix of revenue and debt financing of
capital improvements is necessary if current and future users are to share
equitably in repaying the capital costs of water or wastewater systems.
The amount of debt a utility carries is extremely important. Generally, debt
service (principal and interest payments) should not exceed 30 percent of a
total annual budget. In other words, in an annual budget of $1,000,000, no
more than $300,000 should be dedicated to principal and interest payments
on debt. Total debt exceeding this percentage places an excessive burden on
customers for past capital costs and will seriously impair a utility's ability both
to operate and maintain its system, as well as to engage in further borrowing.
With good maintenance, a typical water or wastewater treatment plant lasts
about 35 to 40 years. If the term of current debt exceeds this time, the local
utility should consider refinancing its debt to shorten the term, especially if
by doing so it can also lower the interest rate on outstanding debt.
Special assessments anil impact Fees
Money Matters
Total debt service
exceeding 30
percent places an
excessive burden
on customers for
past capital costs
and will seriously
impair a utility's
ability both to
operate and
maintain its system,
as well as to engage
in further
borrowing.
Impact fees and special assessments can also be used to finance water and
wastewater capital projects. Ideally, both methods equitably recover the costs
of capital improvements from those present and future customers who
directly benefit from the improvements.
A special assessment is a charge imposed against certain properties to pay
part or all of the cost of a specific improvement or service that principally
benefits those properties. Revenue received from special assessments is
intended to pay the debt service on the bonds issued to finance a capital
project. Two of the most common techniques used to calculate the charge are
front footage and area, such as footage along a street or acreage. Assessments
also may be levied on an ad valorem (in proportion to the value) basis. Special
assessments can be charged on a monthly or annual basis or as a one-time
charge.
Some local governments establish special assessment districts for capital
projects. These districts may be inside or outside the local government's
boundaries and are formed before any construction begins. Most towns,
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Helpful Guidance
Local officials need
to make sure that
the calculation,
assessment, and
implementation of
any system of
impact fees comply
with all local and
state requirements.
Warning
While it may seem
simple to
implement the fee
charged by other
systems, the
amount of each
system's fees must
be based on the
actual cost of
capacity. If the fee is
not directly related
to the cost of
providing expanded
service, the likely
result will be
litigation.
counties, and utility districts are legally empowered to levy special assess-
ments. However, state law almost always determines the uses which may be
made of special assessment districts, and it is these laws that authorize their
organization and define their character.
Impact fees are sometimes called system development charges, system
capacity charges, system buy-in charges, connection fees, or facilities charges.
They are typically a one-time charge to new customers when they are con-
nected to the water and/or wastewater system. System development charges
are "capital recovery fees that are generally established as one time charges
assessed against developers or new water or wastewater customers as a way to
recover a part or all of the costs of additional system capacity constructed for
their use." (Raftelis, p.73) Impact fees are most often used in high growth
areas where sentiment exists to force growth to pay its own way. The amount
of an impact fee typically ranges from several hundred to several thousand
dollars for residential connections.
Like special assessments, impact fees are designed to recover costs associated
with constructing or upgrading the major capital components of a water or
wastewater system. Expenditures for new local service lines, water and sewer
taps, and other assets benefiting a specific customer or residential develop-
ment are normally recovered though special assessments, tap fees, and
developer contributions.
Funds from impact fees may be used to finance the new capital facilities
required by growth and expansion, but never for system operation and main-
tenance. In fact, some states have statutes that limit the use of impact fees.
Therefore, local officials need to make sure that the calculation, assessment,
and implementation of any system of impact fees comply with all local and
state requirements. The amount of the impact fee may not exceed the cost of
providing capacity and must take into account the capital payments already
being made as part of user rates.
When considering impact fees or special assessments, it is important to take
into account:
4 equity
A revenue potential
*	legality
~	implementation
4 simplicity
4 impact on development
The method of calculating a system development charge depends on the
purpose of the front-end charge. While it may seem simple to implement the
fee charged by other systems, the amount of each system's fees must be based
on the actual cost of capacity. If the fee is not directly related to the cost of
providing expanded service, the likely result will be litigation.
Sources:
Comprehensive Guide to Water and Wastewater Financing and Pricing, Second Edition, by George
A. Raftelis, 1993.
Meeting Water Utility Revenue Requirements: Financing and Rate Making Alternatives, The
National Regulatory Research Institute, November 1993.
Special Districts, A Useful Technique for Financing Infrastructure by Douglas R. Porter, Ben Lin,
and Richard Pieser, Urban Land Institute, 1992.
Financial Management and Business Planning l—0

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Annual Operating Budgets and Bevenue Requirements
Once the capital and operating budgets are developed, the plan's annual
revenue requirements must be calculated. Usually revenue is needed for the
following elements:
t operating and maintenance costs for existing facilities
4 existing and new debt service
* reserves for capital replacement and expansion
Accounting for Operations anil Maintenance
Unlike capital costs, which are incurred only when a utility is expanding or
replacing facilities, operating and maintenance (O&M) costs are ongoing
and recurring. Salaries and wages, electricity, materials and supplies, chemi-
cals, and equipment rental are all examples of 0&.M costs. To properly
account for O&M costs, a utility must appropriately classify and track them
as they are incurred. The costs are first classified and tracked through a chart
of line item accounts and then grouped into functional categories. This
allows a more efficient allocation of the actual costs of service to the various
classes of customers (residential, industrial, institutional, etc). Often local
governments account for costs by tracking specific object codes. Such object
categories include labor, contractual services, commodities, administration,
and miscellaneous costs (training, for example).
Source: Comprehensive Guide to Water and Wastewater Financing and Pricing, Second Edition, by
George A. Raftelis, 1993.
Reserve Accounts
A well-managed utility always funds reserve accounts. Most of the problems
experienced by utilities that use an "as the need arises" approach to operating
crises are caused by this lack of financial planning for capital improvements
needed to replace deteriorating infrastructure. Instead of managing the
problem through financial foresight, the utility becomes the victim of its own
short-sightedness. Many utilities establish capital replacement reserves for
items that have high costs, typically with service lives from three to 10 years.
Pumps, vehicles, and chemical feed equipment are typical examples. In
addition, some especially large utilities fund reserves for the future replace-
ment of major capital items, such as distribution lines and water storage
facilities. A few utilities also have chosen to establish reserves for capital
expansion, in a conscious effort to promote growth. Typically such reserves
are supported through customer rates and system development charges.
The following types of reserve funds are essential to well-managed utilities.
A utility may employ all or a combination of these reserves.
Replacement and repair reserve. Most of the hardware items mentioned
above should be paid for with funds from a replacement and repair reserve
account. Other costs for which the utility should also reserve funds include
painting and rehabilitation of storage tanks, replacing and repairing distribu-
tion lines, and making other infrequent or unforeseen repairs to the facility.
Warning
Most of the
problems
experienced by
utilities that use an
"as the need arises"
approach to
operating crises are
caused by a lack of
financial planning
for capital
improvements
needed to replace
deteriorating
infrastructure.
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A typical replacement and repair reserve should be capitalized and kept at
about five percent of the total system replacement cost.
Money Matters
Establishing and
maintaining
reasonable and fair
rates is a key
element in the
successful
operation,
maintenance, and
future viability of
any water or
wastewater system.
Debt service reserve. Some bond ordinances require that communities set up
debt service reserves that can be drawn upon if a utility cannot meet its debt
obligations through current revenues. Depending on the precise wording of
lending covenants, some of the other reserves discussed in this section may
be used to satisfy debt service reserve requirements.
Expansion reserve. Some communities that wish to promote growth set up
an expansion reserve to extend lines or to increase plant capacity. This
reserve should not be financed with user fees or rates, but from capital
recovery charges (impact fees) and contributions.
Contingency operating reserve. A contingency reserve provides for unfore-
seen expenditures or price increases that result in higher than expected
O&M costs. This reserve is set as a percentage of 0&.M costs and should be
reviewed regularly and adjusted to reflect the cash flow needs of the utility. A
rule of thumb for calculating the needs of a contingency reserve is 45 days of
working capital, or about 12Vi percent of the O&M budget.
Rate stabilization reserve. Since water usage and wastewater treatment
needs can vary from year to year, this reserve is used by local utilities to
stabilize rates and minimize the need for drastic rate hikes. This reserve is
intended to defray costs during periods when rates do not generate enough
revenue to cover system costs.
Rates
Establishing and maintaining reasonable and fair rates is a key element in the
successful operation, maintenance, and future viability of any water or
wastewater system. Preserving a system's financial integrity with rates fair to
both customer and utility has always been a challenge, especially for the
small system.
Utilities must strive to fairly assign the costs of supplying water and treating
wastewater to various classes of users and then to recover those costs through
fair rates that will sustain the system. Classes of users may include residential,
commercial, industrial, institutional (hospitals, schools, and colleges),
governmental (water districts, municipalities, and military bases), and
customers outside the political jurisdiction of the utility's ownership. Rates
must be based on actual costs for providing service. Goals for any rate struc-
ture should include financial adequacy, equity, legality, impact on customers,
simplicity and ease of implementation, competitiveness with surrounding
communities, and water conservation.
Another goal of sound rate setting is stability, because it is critical to avoid
frequent, unexpected, or drastic rate increases. Sudden large increases always
upset consumers and, in some cases, create a financial burden, especially for
those on fixed incomes. Regrettably, elected officials are sometimes so
reluctant to increase rates that they wait until a drastic increase is totally
unavoidable. When this occurs, the rate hike cannot be phased in, because
Financial Management and Business Planning

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the immediate need for funds is too urgent. Thus, rates should be reviewed
annually as part of the budget process and increased by the necessary small
increments on a regular basis.
Source: Comprehensive Guide to Water and Wastewater Financing and Pricing, Second Edition, by
George A. Raftelis, 1993.
Federal and State loan and Grant Programs
Three federal agencies offer loans and grants, either directly or through state
and local governments, for public water and wastewater projects. These
agencies are the U.S. Departments of Agriculture (USDA), Housing and
Urban Development (HUD), and the Environmental Protection Agency
(EPA). Each agency has a web page on the Internet with detailed descrip-
tions of their respective loan and grant programs and contacts: http://
www.epa.gov/efinpage,http://www.hud.gov, http://www.usda.gov. Another
web site that can help in finding governmental funding information is
"Money Matters: U.S. State and Local Government Gateway" at http://
www.financenet.gov/financenet/fed/budget/money.
Many state governments also offer low interest loans through bond pools, or
use their bonding authority to provide low interest loans to smaller local
governments that do not have suitable bond ratings, or are too small to go to
the bond market on their own. Most of the HUD and EPA financing can be
reached through state regulatory agencies, or local community development
or community affairs agencies. USDA loans and grants may be accessed
through state, local, or area offices throughout the country.
Water and Waste Disposal Loans and Grants
The USDA Rural Utilities Service (RUS) provides loans, guaranteed loans,
and grants for water, sewer, stormwater, and solid waste disposal facilities in
rural areas and towns of up to 10,000 people. Recipients must be public
entities such as municipalities, counties, special purpose districts, Indian
tribes, and nonprofit corporations including cooperatives. Eligible activities
include:
4 construction, repair, modification, expansion, or other improvements to
water supply and distribution systems, waste collection, and treatment
systems, including storm drainage and solid waste disposal facilities
(certain other costs related to development of the facility may also be
covered)
~ acquisition of needed land, water sources, and water rights
4 legal costs and engineering fees necessary to develop the facilities
RUS may provide up to 75 percent of the eligible facility development costs
in grants when necessary to reduce user costs to a reasonable level. The
repayment period (term) is a maximum of 40 years. However, the payment
period cannot exceed the useful life of the facilities financed or any statutory
limitation on the applicant's borrowing authority. Loans are secured by bonds
or notes pledging taxes, assessments, or revenues. RUS may take a mortgage
or other lien on the applicant's property when state laws permit. The most
Timely
Reminder
Rates should be
reviewed annually
as part of the
budget process and
increased by the
necessary small
increments on a
regular basis.
1-8
Local Officials Handbook

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current interest rates are available on the RUS home page (http://
www:usda.gbv/rus/water/) on the Internet. RUS uses three interest rates:
poverty rate, market rate, and intermediary rate. The rates are determined by
the median household income (MHI) of the area to be served by the project.
Emergency Community Water Assistance Grants
These RUS grants are available to rural communities when disaster strikes.
Congress may appropriate funds for the program after a flood, earthquake, or
other disaster. Applicants must demonstrate that a significant decline in the
quantity or quality of water occurred within two years of the date the applica-
tion was filed with RUS. Eligible applicants include public bodies and
nonprofit corporations serving rural areas, including cities or towns whose
population does not exceed 10,000. Public bodies include Indian tribes on
federal and state reservations and other federally-recognized Indian tribal
groups.
Funds may be used to:
*	extend, repair, or perform significant maintenance on existing water
systems; construct new water lines, wells or other sources of water,
reservoirs, and treatment plants; replace equipment; and pay costs
associated with connection or tap fees
4 pay related expenses such as legal and engineering fees and environmen-
tal impact analyses, for developing sources of, treating, storing, or distrib-
uting water
*	achieve compliance with the requirements of the Clean Water Act or
with the Safe Drinking Water Act, when noncompliance is directly
related to a recent decline in the quality of potable water
Grants cannot exceed $500,000, and grants for repairs, partial replacement,
or significant maintenance on an established system cannot exceed $75,000.
Subject to the above limitations, grants may be made for 100 percent of
eligible project costs.
Drinking Water HevoBving loan Funds
The Safe Drinking Water Act, as amended in 1996, established the Drinking
Water State Revolving Fund (DWSRF) to make financial assistance avail-
able to states to improve drinking water systems. The program also provides
funds to small and disadvantaged communities that encourage pollution
prevention as a way to ensure safe drinking water.
The loans from a state revolving fund (SRF) may be used for facility con-
struction, the purchase or refinancing of local debt obligations, the guarantee
or purchase of insurance for local bond issues, or revenue for or security for
state bonds, if the bond proceeds are deposited in the SRF and earn interest
on SRF accounts. A state also may issue loans for planning, design, and
construction costs. In addition, states may provide incremental assistance for
a multi-year construction activity (e.g., for particularly large, expensive
projects). An SRF may buy or refinance debt obligations of municipal,
intermunicipal, or interstate agencies, where the initial debt was incurred and
Financial Management and Business Planning l—9

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construction started after July 1, 1993. Refinancing may entail purchasing
existing municipal debt, such that the proceeds of the transaction may be
used for payoff when the bonds are called.
The loans from an SRF typically have interest rates that are less than or equal
to the market interest rate and may include zero percent loans. Borrowers
must begin repayment of the loan(s) not later than one year after completion
of the project. Loan terms are 20 years. However, states that establish an SRF
for disadvantaged communities may provide loans to qualified recipients for
up to 30 years, as long as the loan term does not exceed the expected life of
the project. A disadvantaged community is one in which the entire service
area of a public water system meets non-affordability criteria established by
the state after public review and comment. The SRF may provide additional
loan subsidies (e.g., principal forgiveness, negative interest rate loans) to
benefit communities which are disadvantaged or which the state expects to
become disadvantaged.
A state must use a minimum of 15 percent of all dollars credited to the SRF
to provide loan assistance to small systems that serve fewer than 10,000
persons.
Clean Water Revaluing Lean Fund
The Clean Water State Revolving Fund program is a partnership between
EPA and the states. It allows states the flexibility to provide funding for
projects that will address the states' highest priority water quality needs.
While traditionally used to build or improve wastewater treatment plants,
loans are also used increasingly for agricultural, rural, and urban runoff
control; estuary improvement projects; wet weather flow control, including
stormwater and sewer overflows; and alternative treatment technologies.
Many states offer low-interest loans to small and disadvantaged communities.
For example, a state can make a zero percent loan to a community for 20
years, saving the community 50 percent of the total project's costs over a
similar loan at 7.5 percent.
Since the program is managed largely through state agencies, project eligibil-
ity varies according to each state's priorities. Eligible loan recipients include
communities, individuals, citizens' groups, and nonprofit organizations. Loan
funds may be used to improve the quality of watersheds through a wide range
of water quality related projects. Loans also may be used for the protection of
groundwater resources. Recipients may use loans for the planning, design, and
construction of publicly-owned wastewater treatment facilities or to build or
rehabilitate sewer collection systems. Urban wet weather flow control
activities, including stormwater and sanitary and combined sewer control
measures, also are eligible for funding.
For more information about the Clean Water State Revolving Fund, or for a
state program representative, contact the Clean Water State Revolving Fund
Branch, Implementation and Assistance Division, Office of Ground Water
and Drinking Water (Mail Code 4606), U.S. Environmental Protection
Agency, Ariel Rios Building, 1200 Pennsylvania Avenue, NW, Washington,
1—10 Local Officials Handbook

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DC 20460. The telephone number is (202) 260-2794. For general informa-
tion; contact the Safe Drinking Water Hotline, toll free at (800) 426-4791.
The Internet address is http://www.epa.gov/safewater/dwsrf.html.
Hardship Grams for Rural Communities
The Hardship Grants Program helps small, disadvantaged rural communities
address their wastewater treatment needs. Funding is provided for planning,
design, and construction of wastewater treatment facilities or technical
assistance related to operation and maintenance. To qualify, communities
must be rural, have 3,000 or fewer residents, lack centralized wastewater
facilities, have a per capita income that is 80 percent or less than the na-
tional per capita income, and have an unemployment rate that is 1 percent or
more above the national unemployment rate. EPA will make grants to states
that provide either funding or technical assistance to hardship communities.
For more information, contact the Clean Water State Revolving Fund
Program, Mail Code 4204, U.S. Environmental Protection Agency, Washing-
ton, DC 20460, telephone: (202) 260-2268, fax: (202) 260-1827. The
Internet address is http://www.epa.gov/OW-OWM.html
Small Cities Community Development Block Grants (CDBGl
The Small Cities Community Development Block Grant (CDBG) Program
provides states with annual direct grants, which they in turn award to smaller
communities for use in revitalizing neighborhoods, expanding affordable
housing and economic opportunities, and/or improving community facilities
and services. Since 1974, financing from the Housing and Urban Develop-
ment (HUD) CDBG Program has been the backbone of water and wastewa-
ter improvement efforts in many communities, providing a flexible source of
grant funds for local governments nationwide. Communities can devote these
funds to a wide range of activities that best serve their own particular devel-
opment priorities, provided that these projects (1) benefit low and moderate
income families; (2) prevent or eliminate slums or blight; or (3) meet other
urgent community development needs.
For water and wastewater projects, CDBG funds may be used for preliminary
engineering studies, engineering design and construction or rehabilitation of
water and wastewater systems, payment of special benefit assessments for low
and moderate income persons, and payment of certain connection or hook-
up fees for low and moderate income persons. The Internet address is http://
www.hud.gov/cpd/cdbg.html.
Financial Management and Business Planning 1-11

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Measurements for Monitoring and Evaluating
Performance
To help local officials ensure that their water and wastewater resources are
used economically, the Governmental Accounting Standards Board has
developed a reporting system that measures "service efforts and accomplish-
ments" (SEA).* The reporting system is a series of input, output, outcome,
and efficiency measures. Although most local utilities, especially small
systems, do not have accounting systems to support SEA reporting, these
measures are summarized to provide an alternative way to view a utility
budget and evaluate the efficiency of the water and wastewater systems.
The SEA input indicators measure the "service efforts" of the utility (i.e., the
amount of resources used), whereas the output and outcome indicators report
units produced, services provided, or results or service accomplishments. The
efficiency indicators measure the cost per unit of output or outcome. As an
example, a chart listing the SEA indicators for water service is at the end of
this chapter.
Generally, the input indicators for water systems provide information about
the total cost of operations, costs per household or other units served, miles
of pipeline, and number of employees. Various output indicators for water
systems include number of miles of water lines maintained, repaired, and
inspected; number of breaks and leaks repaired; and total gallons of water
pumped, metered, and treated.
Maintenance program effectiveness can be measured by indicators such as the
percentage of unaccounted for water. If the pipes are leaking, there will be a
difference between the amount of water pumped and the amount of water
sold. An outcome indicator reflecting the safety and quality of the drinking
water can be determined from the number of days a utility does not meet
federal, state, and local drinking water standards.
The SEA input indicators for wastewater provide information on the system's
costs and allow for comparison with similar-sized systems. Selected output
indicators for wastewater systems are number of miles of sewer pipe main-
tained, repaired, and inspected; number of miles of new sewer construction;
and number of new services connected.
The number of stoppages per 100 miles of pipe, the number of complaints,
the number of days effluent exceeded standards, and inflow and infiltration
ratios are outcome measures which are useful in measuring the condition and
safety of the infrastructure, as well as the efficiency and effectiveness of the
maintenance program. The efficiency measures for wastewater systems
include the treatment cost per 1,000 gallons and sludge disposal cost per dry
ton. Efficiency measures for customer service include the percentage of
repairs completed within a specified period.
*A detailed discussion of SEA reporting measures can be found in the Service Efforts and
Accomplishments Reporting: Its Time has Come, a research report by the Governmental Account-
ing Standards Board, which was the source for this section and which is used by permission.
I-12 Local Officials Handbook

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What To Expect and Demand From An Outside Auditor
The independent outside auditor's primary responsibility in any organization
is to review the organization's financial statements and to express an opinion
as to whether, taken as a whole, the financial statements fairly present:
4 the financial condition of the entity as of a specific date (i.e., the balance
sheet); and
4 the results of financial operations for the period (i.e., the income state-
ment).
Unless specifically and explicitly engaged to do so, an audit does not deter-
mine that fraud or improper spending or use of resources has occurred,
although an audit may uncover such improper actions. Likewise, an audit
(unless specifically designed to do so) does not determine that funds have
been spent only for the purposes for which they were budgeted. An audit
opinion will not address the subject of whether or not the accounting prac-
tices and presentations used were the "best" approach, but rather only that
they were an "acceptable" approach. While some of the information in
audited financial statements might be useful for operational purposes, the
audited financial statements are not designed or intended to present detailed
information that could be used for day-to-day decision makers who run the
organization.
Here are some points to keep in mind when using financial statements that
have been prepared on the basis of generally accepted accounting principles
("GAAP"):
4 The financial statements are intended to "normalize" financial data by
presenting financial data that are related to the time periods in question.
For example, if the utility paid an insurance premium for a two-year
period, the upfront, paid cost might be $2,000. On an accrual basis, the
expense would have been $1,000 (the portion of the premium related to
the first year) and would have created an asset of pre-paid insurance of
$1,000 (the premium for the second year), and would have reduced the
utility's cash by $2,000.
4 The use of depreciation is intended to spread the cost of a long-term asset
over its useful life. For example, if a utility bought a truck for $50,000 and
expected it to last for 20 years, its purchase would not be regarded as an
expense, but as an exchange of one asset (cash) for another (equipment).
Each year the income statement would show an expense of $2,500 for
depreciation ($50,000/20 years), and the balance sheet value of the truck
would be reduced by an additional depreciation amount of $2,500.
4 Most municipal utilities are essentially municipal agencies and are,
therefore, governed by a cash-based budget. That is, their ability to spend
money is limited by the amount of cash they have on hand. The cash can
come either from operations or from borrowing. Typically, borrowing
requires either voter approval or approval of some oversight board. It is
generally not desirable to borrow long-term (e.g., issue bonds) to cover
short-term needs. This is akin to taking out a mortgage to pay for grocer-
ies. The normal standard would be for operating costs to be covered by
operating revenues. This is one reason why rates and user fees need to be
reviewed each year as part of the budgeting process.
Financial Management and Business Planning

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~ Most balance sheet entries that set forth a dollar value for fixed assets
cannot be tied into a list of assets with specific dollar values attached.
Most auditors start with the opening balance in the fixed asset accounts,
add any assets acquired during the year, and identify any depreciation
that has been taken during the year or any assets disposed of or retired
during the year.
4 The managers of a municipal utility might want to ask their outside
auditor to prepare several schedules to supplement the audited financial
statements. The cost of such work is typically not included in the scope
of work for the audit, but can be included via change order, purchase
order, or other procedure for procuring professional services. Some of the
non-required work which might be asked of an auditor includes:
4 a cash flow analysis, showing on a month-by-month basis the sources
and uses of cash;
~	a reconciling schedule, showing how to convert and compare the
accrual-basis financial statements to the cash-basis financial data
typically used to manage a utility; and
~	an analysis of retained earnings (typically referred to as "fund bal-
ance" in municipal financial statements), explaining what portion of
retained earnings is cash or cash equivalents (i.e., securities or
investments) and what portion is represented by plant or equipment.
If the utility is required by ordinance, resolution, bond covenant, or policy to
prepare certain financial reports each year, it may be desirable to have the
auditor do this work in conjunction with performing the audit. It is typically
less expensive to have an auditor perform this work while they are working
on the audit than it is to procure such analyses independently.
Information about audits contributed by Edward J. Donahue III, Director of Municipal and
Financial Service Group, O'Brien & Gere.
Local Officials Handbook

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Business Plan Components for Small Water
Systems
Facilities Plan
Service Area(s)
Definition
current
projected
short-term (5-10 years)
long-term (30-40 years)
Demands Estimates
population and population
served
per capita
unaccounted for
conservation impacts
historical record analysis
projections (short-term,
long-term, ultimate)
average daily demands
maximum daily demands
special considerations (e.g.,
large or seasonal
customers, customers
with extreme peaking
needs, etc.)
Existing Facilities
location
capacity
permits
condition and service life
Adjoining Systems
service areas
primary facilities
system capabilities
hydraulic profile
Source of Supply
establish drought yield
identify water rights or
riparian rights
compare with demands
identify source capacity
needs
identify new source options
evaluate yield, treatment,
and other requirements
evaluate source and
potential sources
Water Resource
Protection
Programs
well head protection
watershed protection
Treatment
existing and potential
sources
raw and finished water
quality
current treatment require-
ments and SDWA
compliance
unregulated contaminants
treatment adequacy
improvement alternatives
treatment options
waste disposal systems
Transmission
piping
pumping
special requirements
Distribution
Storage
operating storage
emergency reserve
fire service
service level hydraulics
Distribution
Network
service pressures
sizing
looping
condition
Metering System
master metering
customer metering
meter maintenance/
replacement program
Operating Facilities
office facilities and
equipment
garage and equipment
storage
Supervisory Control and
Data Acquisition
(SCADA) system
chemical storage
Property
Requirements
land
easements
records
Quality Testing
Capabilities
field-testing
laboratory
in-house
outside services
Emergency Service
Capabilities
failure evaluations
auxiliary power
interconnectivity
Alternative Facility
Projects
alternative system makeup/
estimation of full costs of
alternatives
life-cycle cost analysis
other evaluations
optimum capital improve-
ments program
Capital
Improvements
Program
documentation (projects,
capital costs, O&M cost
impact, timing)
implementation
monitoring
regular updating
Financial Management and Business Planning 1-15

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Management and Administration Plan
Plan of
Organization and
Control
chain of command
clear duties and responsi-
bilities, etc.
Staffing and
Personnel
Management
adequacy of size
qualifications, experience,
certification
training
plant/system/individual
safety
Policies and
Standards
general rules and regula-
tions
main extension policies
standard specifications
Budgeting,
Planning, and Rate
Analysis
capital improvements
planning and capital
budgeting
annual budget process
rate review and adequacy of
operating revenues
Accounting
Practices and
Tracking Systems
accounting conventions
and standards
departmental and special
project tracking systems
budget performance
tracking and reporting
fixed asset record keeping
taxes and other filings
Expenditure
Controls
formal budgeting process
financial reporting (budget
versus actual)
key indicators
Procurement
Process
purchase requisitions
purchase approvals (small
versus large)
receiving reports
contract formats
inventory control/reporting
supply contracts
professional services
(accounting, financial,
legal)
Billing and
Collection
frequency
capabilities of billing system
information reports
billing adjustments
delinquency procedures
record keeping
services address/billing
address
Records
Management
mapping/GIS
facility records
customer records
equipment manuals
operating and maintenance
records
operations reporting
regulatory reporting
priority records (permits,
deeds, etc.)
records security
Regulatory
Compliance
Program
quality
quantity
other
Emergency
Drought Plans
emergency protocols
system interconnection and
interactions
drought contingency plan
External Relations
customers and general
public
media
local and state government
agencies
conservation
leak detection
I-16 Local Officials Handbook

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Operations and Maintenance Plan
Detailed Facility
Descriptions
listings
drawings
specifications
performance data
facility and or equipment
manuals
Start Up and Shut
Down Procedures
detailed instructions
potential alarm conditions
records and logs
Normal Operating
Procedures
personnel responsibilities,
interactions, etc.
communications data
monitoring and record
keeping (SCADA, other)
records and logs
system performance
(pressure monitoring)
Facility and
Equipment
Inspections
regular and routine
scheduling
periodic and special
scheduling
check lists
records and logs
internal staff (frequency)
external assistance
(periodic)
Planned
Maintenance and
Replacement
Programs
routine and preventive
activities
potential special activities
scheduling
meter requirements
equipment requirements
staffing requirements
detailed instructions
Emergency and
Drought Operating
Procedures
operating plans
customer education plans
phased restriction plans
(including fines,
penalties, etc.)
Water Quality
Monitoring
quality monitoring program
(cleaning, painting,
flushing, etc.)
regulatory imposed
supplemental procedures
(parameters, locations,
frequency, etc.)
responsibilities (staff, labs,
etc.)
reporting
response procedures
sanitary surveys
Unaccounted for
Water Program
leak detection program
meter accuracy program
Cross-Connection
Control (Backflow
Prevention)
Program
defined policies
policy enforcement
inspection records
Operations Records
and Reporting
comprehensive information
information recovery
(filing)
operations records
management reporting
timeliness of reporting
systems
complaint/response records
failure records and analysis
staff responsibilities
regulatory reporting
Operations Staffing
and Training
training and certification
continuing education
Safety Programs
manual or documentation
policies, procedures, etc.
training (routine or special)
hazardous material emphasis
Emergency Planning and
Community Right-to-
Know Act (SARA Title
III) obligations
accident records
Financial Management and Business Planning 1-17

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Financial Plan
Historical Cost
Experiences
capital cost records
debt related costs
operating expenses-
comprehensive
operations
maintenance
administrative
Financing
Parameters
current and projected
customer mix
consumption and peaking
factors
financial control parameters
(interest rates, borrowing
terms, etc.)
Capital Program
Costs
C1P documents from
facilities plan
funding requirements
revenue requirements
Operating and
Maintenance Costs
historical costs
projected costs (adjusted
inflation rates)
Total Revenue
Requirements
accepted practices
capital and O&M annual
cash flow needs
adequate reserves (contin-
gency, debt service, slow
payment/nonpayment,
repair/renewal/rehabilita-
tion)
Analyze and
Establish Rate and
Charges
policy objectives
accepted practices
alternative rates
tests at alternative growth
rates and consumption
levels
establishment of adequate
rates
Monitor
Performance
process to monitor financial
performance
budget comparisons and
provisions for adjust-
ments
Sources:
Adapted by Edward J. Donahue from Wade Miller Associates, Inc., "State Initiatives to
Address Non-Viable Water Systems in Pennsylvania," (Arlington, VA: Wade Miller
Associates, Inc., 1991), Appendix C.
1-18 Local Officials Handbook

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Recommended SEA Indicators for Drinking
Water
Indicator	Rationale for Selecting Indicator
Inputs:
Total cost of operations
Cost per household of type of service
To allow comparison of cost with other
departments and water entities
Miles of pipeline
Number and capacity of treatment plants
To indicate the size of the operations
for which the entity is responsible
Number of employee hours
To indicate the time spent on providing
the service
Outputs:
Miles of water line maintained, repaired, and
inspected by geographic area
To indicate the amount of infrastructure
maintained
Feet of new line constructed
Number of new services connected, by
customer type
To indicate the increase in
infrastructure to meet the needs of
industry and the community in general
Number of breaks, leaks, etc., repaired by
geographic area
To indicate the level of work performed
on existing system beyond general
maintenance
Total gallons pumped, metered, and treated
To disclose how may gallons were
pumped, metered, and treated
Percentage of total gallons pumped by user
category:
Residential
Commercial
Industrial
Used by department
Free to schools
Unaccounted for
To disclose the client mix and amount
of unaccounted for water
Outcomes:
Percentage of total gallons pumped that were
metered
To indicate how many gallons pumped
were metered
Number of calls about interrupted service
To determine how well the
infrastructure is maintained
Number of main breaks:
Number of main breaks, leaks etc., per 100
miles of pipeline per year by geographic area,
by severity, and type of pipeline
To indicate the condition of the
infrastructure water lines
Percentage of service interruptions cleared in
a goal period of time:
Percentage of breaks, leaks, and so forth,
repaired within x hours of notification
To indicate the ability of the service
group to clear service calls within goal
time
Source: Water and Wastewater Treatment, Governmental Accounting Standards Board
(GASB), GASB Research Reports Series: Service Efforts and Accomplishments Reporting,
1990. Used by permission.
Financial Management and Business Planning 1-19

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Recommended SEA Indicators for Drinking
Water (continued)
Number of complaints for:
Water pressure
Water taste
Water odor
Water color
Other (by geographic area)
To indicate the quality of the water and
service delivery from the customers'
perspective
Number of days did not meet federal and or
state standards (include reason for
noncompliance):
Primary—health related
Secondary—aesthetic
Indication of water quality
Efficiency:
Cost per million gallons pumped:
Treatment
Distribution
Containment
Other
To indicate the cost of providing the
service and the breakdown of the cost
Explanatory:
Type of source of water supply and distance
to source
The cost of water is affected by the type
(above or below ground), distance to
the source, and difficulty in obtaining
and bringing the water to the treatment
facility
Quality of water at intake and treatments
The quality of the source water is an
important determination of treatment
cost
Average daily demand by month
To indicate the current demands on the
system and to show how demand has
changed over time
Billing rates:
Residential
Commercial
Industrial
To determine the different billing rates
Total revenue from customer billing/total
cost
To determine how much the city is
subsidizing the department
Population served
Square miles served
To allow the reader to understand the
size and demographics of the system
Maximum daily demands/system capacity
To indicate the level of excess capacity
in the system
Treatment plant capacity (by treatment plant)
To indicate the general flow capacity
Holding tank capacity
To indicate storage capacity in the
system
Debt service coverage ratio
To show ability to pay debt
Projected water demand in 5 years versus
current capacity
To indicate need for future expansion
and funding
Source: Water and Wastewater Treatment, Governmental Accounting Standards Board
(GASB), GASB Research Reports Series: Service Efforts and Accomplishments Reporting,
1990. Used by permission.
1-20 Local Officials Handbook

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U.S. Environmental Protection Agency. Chesapeake Wetlands: The Vital Link
Between the Watershed and the Bay. Printed by U.S. EPA for the Chesapeake
Bay Program. EPA-903R97002, 1997.
U.S. Environmental Protection Agency. Cleaner Technologies Substitutes
Assessment: Methodology and Resource Guide. EPA-744R95002, 1996.
U.S. Environmental Protection Agency. Consumer Education Guide: Organic
Chemicals in Drinking Water. Prepared by Association of State Drinking Water
Administrators, 1911 North Fort Myers Drive, Arlington, VA 22209. EPA-
570K90022, 1990.
J—2 Local Officials Handbook

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U.S. Environmental Protection Agency. Drinking Water Handbookfor Public
Officials. EPA-810B92016, 1992.
U.S. Environmental Protection Agency. Drinking Water, Pollution Prevention
and Public Health: Matrix for Disease Prevention and Environmental Protection.
EPA-742F97004, 1997.
U.S. Environmental Protection Agency. Environmental Planning for Small
Communities: A Guide for Local Decision Makers. EPA-625R94009. 1994.
http://www.epa.gov:80/ordntrnt/ORD/WebPubs/smallcom.pdf
U.S. Environmental Protection Agency. EPAs Ground Water and Drinking
Water Program: Making a Difference. EPA'810R92001, 1992.
U.S. Environmental Protection Agency. Federal Funding Sources for Small
Community Wastewater Systems. EPA 832F97004, 1997.
U.S. Environmental Protection Agency. Green Communities Assistance Kit
(web site). United States Environmental Protection Agency Region III,
Community-Based Environmental Protection Program, http://www.epa.gov/
region03/greenkit/index.html
U.S. Environmental Protection Agency. Helping Small Systems Comply With
the Safe Drinking Water Act: The Role of Restructuring. EPA-812K92001, 1992.
U.S. Environmental Protection Agency. Information for States on Developing
Affordability Criteria for Drinking Water. EPA-816R98002, 1998.
U.S. Environmental Protection Agency. It's Your Choice: A Guidebook for
Local Officials on Small Community Wastewater Management Options. EPA-
430987006, 1987.
U.S. Environmental Protection Agency. Narrowing the Gap: Environmental
Finance for the 1990s. EPA-205R92002, 1992.
U.S. Environmental Protection Agency. National Water Quality Inventory:
1996 Report to Congress. EPA'841R97008, 1998.
U.S. Environmental Protection Agency. Partners Rebuilding America: Public'
Private Partnerships in Wastewater Finance. National Center for Environmen-
tal Publications and Information. P.O. Box 42419 Cincinnati, OH 45242-
2419. EPA-832F93004. 1993.
U.S. Environmental Protection Agency. Preventing Waterbome Disease
Duplicate. EPA-640K93001, 1993.
U.S. Environmental Protection Agency. Privatization of Public Facilities:
Panacea or Pipe Dream1 (reprint). Reprinted with permission from March
1993 issue of the National Utility Contractor, published by the National
Utility Contractors Association. EPA-832A93001, 1993.
Bibliography

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U.S. Environmental Protection Agency. Proceedings: Water Quality Criteria
and Standards for the 21st Century, 4th National Conference. Arlington, VA.
EPA, Office of Science and Technology, Mail Code 4301, Washington, DC
20460. EPA-820R95001, 1994.
U. S. Environmental Protection Agency, Office of Enforcement and Compli-
ance Assistance. Profile of Local Government Operations. EPA Industry Sector
Notebook, EPA/310-R-99-001, 1999.
U.S. Environmental Protection Agency. Public Private Partnerships for Envi-
ronmental Facilities: A Self'Help Guide for Local Governments, 1991.
U.S. Environmental Protection Agency. Research Plans for Microbial Pathogens
and Disinfection By-Products in Drinking Water. EPA-600R97122, 1997.
U.S. Environmental Protection Agency. Restructuring Manual: A Training
Manual for State Drinking Water Personnel as They Meet the Challenges of the
1986 Safe Drinking Water Act Amendments. EPA-570991035, 1991.
U.S. Environmental Protection Agency. State and Local Government Guide to
Environmental Program Funding Alternatives. EPA-841K94001, 1994.
U.S. Environmental Protection Agency. Technical and Economic Capacity of
States and Public Water Systems to Implement Drinking Water Regulations (report
to Congress). EPA-810R93001, 1993.
U.S. Environmental Protection Agency. Technologies for Upgrading Existing or
Designing New Drinking Water Treatment Facilities. EPA-625489023, 1990.
U.S. Environmental Protection Agency. The Onsite Assistance Program:
Helping Small Wastewater Treatment Plants Achieve Compliance. EPA-
20W4003,1990.
U.S. Environmental Protection Agency. Top Ten Watershed Lessons Learned.
EPA-840F97001, 1997.
U.S. Environmental Protection Agency. Wastewater Primer. EPA-833K98001,
1998.
Water Environment Federation. Biological Hazards at Wastewater Treatment
Facilities. Order No. P0019WW, 1991.
Water Environment Federation. Hazardous Waste Management at Wastewater
Treatment Plants. Order No. P04115WW, 1994.
Water Environment Federation. Safety and Health in Wastewater Systems MOP
1. Order No. MO2001WW, 1994.
Water Pollution Control Federation. Operation of Wastewater Treatment
Plants: A Manual of Practice, No. II. Water Pollution Control Federation,
1976.
Local Officials Handbook

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Contacts and Resources
In this chapter:
* EPA
A States
4 Additional
resources
It Environmental Protection Agency
U.S. Environmental Protection Agency, Headquarters
Office of Water (4101)
Mailing address: Ariel Rios Building
1200 Pennsylvania Avenue, NW
Washington, DC 20460-0003
Street address: 401 M Street, SW
Washington, DC 20460-0003
(202) 260-5508
http://www.epa.gov/OW/
United States Environmental Protection Agency, Region 3
1650 Arch Street
Philadelphia, PA 19103-2029
(215) 566-5000
http://www. epa.gov/region3
Spill Line for Environmental Emergencies	(215) 566-3255
National Response Center	(800) 424-8802
Regional Office Library	(215) 566-5254
Hazardous Waste Library	(215) 566-5363
Superfund Community Involvement Hotline	(800) 553-2509
Toll-free Citizen's Hotline	(800) 438-2474
Public Environmental Education Center	(800) 438-2474
Business Assistance Center	(800) 228-8711
Chesapeake Bay Program Office	(800) 814-7229
Office of Pollution Prevention, and Outreach	(215) 814-5337
Water, Wetlands, Pesticides, and General Law	(215) 814-2628
Waste and Chemicals Management Division	(215) 814-3110
Water Protection	(215) 814-2300
Office of Watersheds	(215)814-2310
Municipal Financial Assistance Branch	(215) 814-2321
Drinking Water	(215) 814-2322
Office of Compliance and Enforcement	(215) 814-2330
NPDES Branch	(215) 814-2331
Safe Drinking Water Act Branch	(215) 814-2332
Contacts and Resources K~"1

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State Contacts
Delaware
Delaware Banking Water Program
Division of Public Health
Delaware Health and Social Services
Blue Hen Corporate Center, Suite 203
655 Bay Road
Dover, DE 19901
(302) 739-5410
Delaware Source Water Program
Water Supply Section
Division of Water Resources
Department of Natural Resources and Environmental Control
District of Columbia
Department of Public Works
District of Columbia Water and Sewer Authority
5000 Overlook Avenue, SW
Washington, DC 20032
(202) 787-2068
http://www.dcwasa.com/
Environmental Regulation Administration
Department of Health
Environmental Health Administration
51 N Street, N.E.
Washington, DC 20002
(202)535-2250
http://www.environ.state.dc.us/
Local Officials Handbook
RO. Box 1401, 89 Kings Highway
Dover, DE 19903
(302) 739-4793
http://www.dnrec.state.de.us
Division of Water Resources
The Customer Services
Environmental Services
Surface Water Discharges
Ground Water Discharges
Water Supply
Watershed Assessment Section
Wetlands and Subaqueous Lands
(302) 739-4860
(302)739-6330
(302)739-4771
(302) 739-5731
(302) 739-4761
(302)739-4793
(302)739-4590
(302) 739-4691

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General Information	(202) 645-6617
Pesticides, Hazardous Waste, and
Underground Storage Tank Division	(202) 645-6080
Water Resources Management Division	(202) 645-6601
Water Emergencies	(202) 673-6600
Water Services Bureau	(202) 673-6600
Maryland
Maryland Department of the Environment
2500 Broening Highway
Baltimore, MD 21224
(410) 631-3000
(800) 633-6101
http://www.mde.state.md.us
)
Maryland Emergency Numbers:
To Report Suspected Pollution Problems:
Hazardous Material & Oil Spills	(410) 974-3551
Air Pollution Violations	(410) 631-3215
Underground Tank Leaks	(410) 631-3442
Sediment, Wetland, Mining and Agriculture	(410) 631-3510
(800) 922-8017
Fish Kills and Algae Blooms	(410) 974-3238
Radiation Accidents or Safety Violations	(410) 631-3300
Public Sewer Leaks/Overflows	(410) 631-3510
Public Water Supply Problems	(410) 631-3706
Maryland State Revolving Fund Loan Programs
Water Quality Financing Administration
(410) 631-3119
Fax (410) 631-3968
Pennsylvania
Pennsylvania Department ol Environmental Protection
Bureau of Water Supply Management
P.O. Box 8467
Harrisburg, PA 17105-8467
(717) 772-4018
http://www.dep.state.pa.us
Special site for local government: http://www.dep.state.pa.us/
local_government/default.htm
Deputy Secretary	(717) 787-5028
Emergency Response Program	(717) 787-5027
Emergency Response (statewide)	(800) 541-2050
To reach DEP by e-mail, use this form: lastname.firstname®dep.state.pa.us
Contacts and Resources
K-3

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Virginia
Drinking Water Programs
Virginia Department of Health
Office of Water Programs
1500 Hast Main Street
Suite 109
Richmond, VA 23219
(804) 786-1087
http://www.vdh.state.va.us/owp/
Water Quality Programs
Virginia Department of Environmental Quality
DEQ Central Office
629 East Main Street
Richmond, VA 23219
(804) 698-4000
(800) 592-5482
http://www.deq.state.va.us/water/
(800) 468-8892
(804) 698-4108
(804) 698-4002
(804) 698-4039
(804) 698-4092
(804) 698-4132
(804) 698-4043
Environmental Emergencies
Water Program Coordination
Water Quality Programs
Water Permit Programs
Operator Training (Wastewater Treatment)
Construction Assistance
Ground Water Management
Helpful Guidance
Most states offer
free or low cost
technical assistance,
either through the
regulatory agency, a
state environmental
training center, or
other organization.
West Virginia
Water Quality Protection
West Virginia Division of Environmental Protection
10 Mcjunkin Road
Nitro, WV 25143
(304) 759-0515
Fax: (304) 759-0526
http://www.dep.state.wv.us
Main Office
Office of Water Resources
1201 Greenbrier Street
Charleston, WV 25311-1088
(304)558-2107
http://www.dep.state.wv.us/wr/OWR_Website/index.htm
K-4
Local Officials Handbook

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Drinking Water
West Virginia Bureau for Public Health
Office of Environmental Health Services
Environmental Engineering Division
815 Quarrier Street, Suite 418
Charleston, WV 25301
(304) 558-2981
Fax (304) 558-0691
http://www.wvdhhr.org/oehs/eed/
Additional Resources for Environmental
information
Air and Waste Management Association
http://www.awma.org
American Water Works Association (AWWA)
6666 West Quincy Avenue
Denver, CO 80235
(303) 794-7711
http://www.awwa.org
Center for Environmental Research Information (CERI1
Cincinnati, OH
(513) 569-7562
Central Carolina Technical College/South Carolina
Environmental Training Center
Sumter, SC 29150
(803) 778-6638
http://www.sum.tec.sc.us/etc/evmain.htm
CHEMTREC Center
Non-Emergency Services
(800) 262-8200
(202) 887-1315
Center for Environmental Policy
Institute of Public Affairs, USC
Columbia, SC
(803) 777-4568
Control Technology Center
Research Triangle Park, NC
(919) 541-0800
Contacts and Resources

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South Carolina's Department of Health and Environmental
Control
Center for Waste Minimization
Columbia, SC
(803) 898-3971
Delaware Technical and Community College
Corporate and Community Programs
P.O. Box 610
Georgetown, DE 19947
(302) 856-5776
Fax (302) 856-5779
http://www.dtcc.edu
Emergency Planning and Community Right-to-Know
Information Hotline (EPCRA)
Arlington, VA
(800) 535-0202
(703) 412-9877
Environmental Council of States
444 North Capitol Street
Suite 305
Washington, DC 20001
(202) 624-3660
Fax (202) 624-3666
http://www.sso.org/ecos
Foundation for Cross-Connection Control and Hydraulic
Research
University of Southern California
AHF 232
Los Angeles, CA 90089-0371
(213) 740-6780
Groundwater Association
P.O. Box 22558
Lincoln, NE 68502-0558
(402) 434-2740
http://www.groundwater.org
Hazardous Waste Management Research Fund
Columbia, SC
(803) 777-8157
Hazardous Waste Ombudsman
Washington, DC
(800) 262-7937
K-6 Local Officials Handbook

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Information Exchange—Hazmat
(800) 752-6367
Laboratory Management Society (IMS)
(843) 572-3700
League of Women Voters Education Fund
1730 M Street, NW
Washington, DC 20036
(202) 429-1965
http://www.lwv.org/
Local Government Environmental Network (LGEAN)
http://www. LGEAN.org
Maryland Center for Environmental Training
College of Southern Maryland
P.O. Box 910, 8730 Mitchell Road
La Plata, MD 20646
(301) 934-7500
Fax: (301) 934-7685
http://www.mcet.org
National Association of Counties
440 First Street, NW
Washington, DC 20001
(202)393-6226
http://www.naco.org
National Drinking Water Clearinghouse
West Virginia University, P.O. Box 6064
Morgantown, WV 26506-6064
(800) 624-8301
http://www. ndwc.wvu.edu
National Environmental Training Association (NETA]
3020 E. Camelback
Suite 399
Phoenix, AZ 85016-4421
(602) 956-6099
Fax (602) 956-6399
http://ehs-training.org
Contacts and Resources

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National Response Center
Washington, DC
(800) 424-8802 or
(202) 267-2675
National Rural Water Association (NRWAl
2915 S. 13th Street
Duncan, OK 73533
(580) 252-0629
Fax (580) 255-4476
http://www.nrwa.org
New England Solid Waste Research library
Boston, MA
(617) 573-9687
Safe Drinking Water Hotline
Washington, DC
(800) 426-4791
Solid Waste Association of North America (SWANA)
(301)585-2898
Southeast Waste Exchange
Charlotte, NC
(704) 547-4289
Toxic Substances Control Act (TSCA) Assistance information
Service
Washington, DC
(202) 554-1404
U.S. EPA Pollution Prevention Information Clearinghouse
(PPIC)
401 M Street, SW
Washington, DC 20460
(202) 260-1023
U.S. Geological Survey
Branch of Distributions
P.O. Box 25286
Denver, CO 80225
(800) 426-9000 (Water Information Clearinghouse)
http://www.usgs.gov/
Local Officials Handbook

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Waste Reduction Resource Center
Raleigh, NC
(800) 476-8686
Water Environment Federation
601 Wythe Street
Alexandria, VA 22314-1994
(703) 684-2492
http://www.wef.org
West Virginia Environmental Training Center
Cedar Lakes
Ripley, WV 25271
(304)372-7878
Fax (304) 372-7887
Contacts and Resources K—9

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Sample Monthly Reporting
Form
Helpful Guidance
This form
assembles a set of
questions designed
to improve
communication
between plant staff
and local officials.
By gathering this
information each
month, the plant
superintendent has
an opportunity to
identify the utility's
needs, problem
areas, and
successes. When
local officials know
what is happening
at the plant they
are able to better
manage, plan, and
budget for the
system.
Plant:
Superintendent Filing Report:
Date:
(report due by 5th of each month)
1.	Maintenance
a)	Describe in a few sentences all major preventive maintenance work
carried out during the month.
b)	Describe any emergency repairs that were required during the month.
Explain cause.
c)	Describe any preventive maintenance projects planned for the next
month.
d)	Describe the potential for possible emergency failures of equipment
or systems in the near future.
2.	Energy usage at the treatment plant
a)	From master meter, kWh at beginning of month
From master meter, kWh at end of month
Daily average
Previous month's daily average
From annual budget, projected average daily kWh
b)	List here any possible energy efficiency equipment replacements
whose energy savings would have a ten-year or less payback.
Sample Monthly Reporting Form L-1

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3. (For wastewater treatment plants) BOD removal goal (in pounds) for
month:
Actual pounds removed
If less than goal, state reason here.
If goal was exceeded, state how achieved and whether greater removal
rates are possible over the long term.
At what percentage of design organic loading did the plant operate
during the month?
At what percentage of design hydraulic loading did the plant operate
during the month?
4. (For water treatment plants) Finished water production goal for
month, millions of gallons:
Actual production of finished water for month
At what percentage of production capacity did the water plant operate
for the month?
5. List all violations for the month, whether or not reported to state
regulators. As best as possible, state seriousness of each.
Describe all corrective actions taken for each violation.
6. Describe briefly any professional development, certification, or train-
ing activities undertaken by staff during the month, either as trainers
or trainees. Give contact hours.
Was the plant the beneficiary of any technical assistance from "outside"
sources during the month, either contracted for or given free of charge?
Describe briefly.
7. During the upcoming month, will there be any special cash needs for
one-time expenditures in excess of $1000? If so, describe below.
8. Give names and position titles of all new hires made during the month.
9. Briefly describe below any other events, needs, or "news" from the
treatment plant not specifically called for above.
Local Officials Handbook

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Glossary
The definitions of words in this glossary are copyrighted and reproduced by permission of the Office of
Water Programs, California State University, Sacramento Foundation, 6000 J Street, Sacramento, CA
95819-6025.
For copies of the operator training manuals on the safe operation and maintenance of water and waste-
water facilities that are the original source of these definitions, contact the Office of Water Programs,
phone (916) 278-6142 or by e-mail at http://wateroffice@owp.csus.edu.
Abatement
Putting an end to an undesirable or unlawful condition affecting the wastewater collection system. A property owner found to
have inflow sources connected to the collection system may be issued a "Notice of Abatement." Such notices will usually
describe the violation, suggest corrective measures, and grant a period of time for compliance.
Absorption
The taking in or soaking up of one substance into the body of another by molecular or chemical action (as tree roots absorb
dissolved nutrients in the soil).
Absorption Capacity
The amount of liquid that a solid material can absorb. Sand, as an example, can hold approximately one-third of its volume in
water, or three cubic feet of dry sand can contain one cubic foot of water. A denser soil, such as clay, can hold much less water
and thus has a lower absorption capacity.
Absorption Rate
The speed at which a measured amount of solid material can absorb a measured amount of liquid. Under pressure, water can
infiltrate a given volume of gravel very rapidly. The water will penetrate (or be absorbed by) sand more slowly and will take
even longer to saturate the same amount of clay.
Accountability
When a manager gives power/responsibility to an employee and the employee ensures that the manager is informed of results or
events.
Accuracy
How closely an instrument measures the true or actual value of the process variable being measured or sensed.
Acid
A substance that tends to lose a proton, dissolves in water with the formation of hydrogen ions, contains hydrogen which may
be replaced by metals to form salts, and is corrosive.
Acidic
The condition of water or soil that contains a sufficient amount of acid substances to lower the pH below 7.0.
Action Level (water)'
The level of lead or copper which, if exceeded, triggers treatment or other requirements that a water system must follow.
Activated Carbon
Adsorptive panicles or granules of carbon usually obtained by heating carbon (such as wood). These particles or granules have a
high capacity to selectively remove certain trace and soluble materials from water.
Activated Sludge
Sludge particles produced in raw or settled wastewater (primary effluent) by the growth of organisms (including zoogleal
bacteria) in aeration tanks in the presence of dissolved oxygen. The term "activated" comes from the fact that the particles are
teeming with bacteria, fungi, and protozoa. Activated sludge is different from primary sludge in that the sludge particles contain
many living organisms that can feed on the incoming wastewater.
Glossary 1

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Activated Sludge Process
A biological wastewater treatment process that speeds up the decomposition of wastes in the wastewater being treated. Acti-
vated sludge is added to wastewater and the mixture (mixed liquor) is aerated and agitated. After some time in the aeration
tank, the activated sludge is allowed to settle out by sedimentation and is disposed of (wasted) or reused (returned to the
aeration tank) as needed. The remaining wastewater then undergoes more treatment.
Acute Health Effect
An adverse effect on a human or animal body, with symptoms developing rapidly.
Adsorption
The gathering of a gas, liquid, or dissolved substance on the surface or interface zone of another material.
Advanced Waste Treatment
Any process of water renovation that upgrades treated wastewater to meet specific reuse requirements. May include general
cleanup of water or removal of specific parts of wastes insufficiently removed by conventional treatment processes. Typical
processes include chemical treatment and pressure filtration. Also called "tertiary treatment."
Aeration
The process of adding air to water. Air can be added to water by either passing air through water or passing water through air. In
wastewater treatment, air is added to freshen wastewater and to keep solids in suspension. With mixtures of wastewater and
activated sludge, adding air provides mixing and oxygen for the microorganisms treating the wastewater.
Aeration Liquor
Mixed liquor. The contents of the aeration tank including living organisms and material carried into the tank by either
untreated wastewater or primary effluent.
Aeration Tank
The tank where raw or settled wastewater is mixed with return sludge and aerated. The same as "aeration bay," "aerator," or
"reactor."
Aerobic
A condition in which atmospheric or dissolved molecular oxygen is present in the aquatic (water) environment.
Aerobic Bacteria
Bacteria which will live and reproduce only in an environment containing oxygen which is available for their respiration
(breathing), namely atmospheric oxygen or oxygen dissolved in water. Oxygen combined chemically, such as in water molecules
(H20), cannot be used for respiration by aerobic bacteria.
Aerobic Digestion
The breakdown of wastes by microorganisms in the presence of dissolved oxygen. This digestion process may be used to treat
only waste activated sludge, or trickling filter sludge and primary (raw) sludge, or waste sludge from activated sludge treatment
plants designed without primary settling. The sludge to be treated is placed in a large aerated tank where aerobic microorganisms
decompose the organic matter in the sludge. This is an extension of the activated sludge process.
Aerobic Process
A waste treatment process conducted under aerobic (in the presence of "free" or dissolved oxygen) conditions.
Agglomeration
The growing or coming together of small, scattered particles into larger floes or particles which settle rapidly. Also see "floe."
Air Blower
A device used to ventilate manholes and lift stations.
Air Gap
An open vertical drop or vertical empty space that separates a drinking (potable) water supply to be protected from another
water system in a water treatment plant or other location. This open gap prevents the contamination of drinking water by
backsiphonage or backflow because there is no way raw water or any other water can reach the drinking water. Air gaps may also
be used between a drinking (potable) water supply and the point of use in a wastewater treatment plant to prevent the contami-
nation of drinking water by backsiphonage because there is no way wastewater can reach the drinking water.
Air Relief
A type of valve used to allow air caught in high spots in pipes to escape.
M-2 Local Officials Handbook

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Alarm Contact
A switch that operates when some preset low, high, or abnormal condition exists.
Algal Bloom
Sudden, massive growths of microscopic and macroscopic plant life, such as green or blue-green algae, which develop in lakes
and reservoirs.
Alkaline
The condition of water or soil that contains a sufficient amount of alkali substances to raise the pH above 7.0.
Alkalinity
The capacity of water or wastewater to neutralize acids. This capacity is caused by the water's content of carbonate, bicarbonate,
hydroxide, and occasionally borate, silicate, and phosphate. Alkalinity is expressed in milligrams per liter of equivalent calcium
carbonate. Alkalinity is not the same as pH because water does not have to be strongly basic (high pH) to have a high alkalin-
ity. Alkalinity is a measure of how much acid must be added to a liquid to lower the pH to 4-5.
Altitude Valve
A valve that automatically shuts off the flow into an elevated tank when the water level in the tank reaches a predetermined
level. The valve automatically opens when the pressure in the distribution system drops below the pressure in the tank.
Amperage
The strength of an electric current measured in amperes. The amount of electric current flow, similar to the flow of water in
gallons per minute.
Anaerobic
A condition in which atmospheric or dissolved molecular oxygen is not present in the aquatic (water) environment.
Anaerobic Bacteria
Bacteria that live and reproduce in an environment containing no "free" or dissolved oxygen. Anaerobic bacteria obtain their
oxygen supply by breaking down chemical compounds which contain oxygen, such as sulfate (S042-).????
Anaerobic Digester
A wastewater solids treatment device in which the solids and water (about 5 percent solids, 95 percent water) are placed in a
large tank where bacteria decompose the solids in the absence of dissolved oxygen.
Anion
A negatively charged ion in an electrolyte solution, attracted to the anode under the influence of a difference in electrical
potential. Chloride ion (C1-) is an anion.
Anionic Polymer
A polymer having negatively charged groups of ions; often used as a filter aid and for dewatering sludges.
Anode
The positive pole or electrode of an electrolytic system, such as a battery. The anode attracts negatively charged particles or ions
(anions).
Anoxic
A condition in which the aquatic (water) environment does not contain enough dissolved molecular oxygen, which is called an
oxygen deficient condition. Generally refers to an environment in which chemically bound oxygen, such as in nitrate, is
present.
Appurtenance
Machinery, appliances, structures, and other parts of the main structure necessary to allow it to operate as intended, but not
considered part of the main structure.
Aquifer
A natural underground layer of porous, water-bearing materials (sand, gravel), usually capable of yielding a large amount or
supply of water.
Artesian
Pertaining to groundwater, a well, or underground basin where the water is under a pressure greater than atmospheric and will
rise above the level of its upper confining surface if given an opportunity to do so.
Glossary M-3

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Artificial Groundwater Table
A groundwater table that is changed by artificial means. Examples of activities that artificially raise the level of a groundwater
table include agricultural irrigation, dams, and excessive sewer line exfiltration. A groundwater table can be artificially lowered
by sewer line infiltration, water wells, and similar drainage methods.
Aseptic
Free from the living germs of disease, fermentation, or putrefaction. Sterile.
Asphyxiation
An extreme condition often resulting in death due to a lack of oxygen and excess carbon dioxide in the blood from any cause.
Suffocation.
Association of Boards of Certification (ABC)
An international organization representing over 150 boards that certify the operators of waterworks and wastewater facilities.
For information on ABC publications regarding the preparation of and how to study for operator certification examinations,
contact ABC, 208 Fifth Street, Ames, IA 50010-6259. Phone (515) 232-3623.
Audit, water
A thorough examination of the accuracy of water agency records or accounts (volumes of water) and system control equipment.
Water managers can use audits to determine their water distribution system efficiency. The overall goal is to identify and verify
water and revenue losses in a water system.
Average Demand
The total demand for water during a period of time divided by the number of days in that time period. This is also called
"average daily demand."
BOD
Biochemical Oxygen Demand. The rate at which organisms use the oxygen in water while stabilizing decomposable organic
matter under aerobic conditions. In decomposition, organic matter serves as food for the bacteria, and energy results from its
oxidation. BOD measurements are used as a measure of the organic strength of wastes in water.
BOD5
Refers to the five-day biochemical oxygen demand. The total amount of oxygen used by microorganisms decomposing organic
matter increases each day until the ultimate BOD is reached, usually in 50 to 70 days. BOD usually refers to the five-day BOD or
BOD5.
Back Pressure
A pressure that can cause water to backflow into the water supply when a user's water system is at a higher pressure than the
public water system.
Backflow
A reverse flow condition created by a difference in water pressures, which causes water to flow back into the distribution pipes
of a potable water supply from any source or sources other than an intended source. See also "backsiphonage."
Backsiphonage
A form of backflow caused by a negative or below atmospheric pressure within a water system. Also see "backflow."
Backwashing
The process of reversing the flow of water back through the filter media to remove the entrapped solids.
Backwater Gate
A gate installed at the end of a drain or outlet pipe to prevent the backward flow of water or wastewater. Generally used on
storm sewer outlets into streams to prevent backward flow during times of flood or high tide. Also called a "tide gate."
Bacteria
Living organisms, microscopic in size, which usually consist of a single cell. Most bacteria use organic matter for their food and
produce waste products as a result of their life processes.
Baffle
A flat board or plate, deflector, guide, or similar device constructed or placed in flowing water, wastewater, or slurry systems to
cause more uniform flow velocities, to absorb energy, and to divert, guide, or agitate liquids (water, chemical solutions, slurry).
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Balling
A method of hydraulically cleaning a sewer or storm drain by using the pressure of a water head to create a high cleansing
velocity of water around the ball. In normal operation, the ball is restrained by a cable while water washes past the ball at high
velocity. Special sewer cleaning balls have an outside tread that causes them to spin or rotate, resulting in a "scrubbing" action
of the flowing water along the pipe wall.
Bar Rack
A screen composed of parallel bars, either vertical or inclined, placed in a sewer or other waterway to catch debris. The
screenings may be raked from it.
Base
A substance that takes up or accepts protons, dissociates (separates) in aqueous solution to yield hydroxyl ions (OH-), and
contains hydroxyl ions which react with an acid to form a salt or which may react with metals to form precipitates.
Base-Extra Capacity Method
A cost allocation method used by utilities to determine rates for various groups. This method considers base costs (operation
and maintenance expenses and capital costs), extra capacity costs (additional costs for maximum day and maximum hour
demands), customer costs (meter maintenance and reading, billing, collection, accounting), and fire protection costs.
Baseline Monitoring Report (BMR)
All industrial users subject to Categorical Pretreatment Standards must submit a baseline monitoring report (BMR) to the
Control Authority (POTW, state, or EPA). The purpose of the BMR is to provide information to the Control Authority to
document the industrial user's current compliance status with a Categorical Pretreatment Standard. The BMR contains
information on (1) name and address of facility, including names of operator(s) and owner(s), (2) list of all environmental
control permits, (3) brief description of the nature, average production rate, and SIC code for each of the operations conducted,
(4) flow measurement information for regulated process streams discharged to the municipal system, (5) identification of the
pretreatment standards applicable to each regulated process and results of measurements of pollutant concentrations and/or
mass, (6) statements of certification concerning compliance or noncompliance with the pretreatment standards, and (7) if not
in compliance, a compliance schedule must be submitted with the BMR that describes the actions the industrial user will take
and a timetable for completing these actions to achieve compliance with the standards.
Bench Scale Analysis
A method of studying different ways of treating wastewater and solids on a small scale in a laboratory.
Bench Scale Tests
A method of studying different ways or chemical doses for treating water on a small scale in a laboratory.
Best Available Technology (BAT)
A level of technology represented by a higher level of wastewater treatment technology than required by Best Practicable
Technology (BPT). BAT is based on the very best (state of the art) control and treatment measures that have been developed,
or are capable of being developed, and that are economically achievable within the appropriate industrial category.
Best Practicable Technology (BPT)
A level of technology represented by the average of the best existing wastewater treatment performance levels within the
industrial category.
Biochemical Oxygen Demand (BOD)
The rate at which organisms use the oxygen in water or wastewater while stabilizing decomposable organic matter under aerobic
conditions. In decomposition, organic matter serves as food for the bacteria and energy results from its oxidation. BOD
measurements are used as a measure of the organic strength of wastes in water.
Bioflocculation
The clumping together of fine, dispersed, organic particles by the action of certain bacteria and algae. This results in faster and
more complete settling of the organic solids in wastewater.
Biological Process
A waste treatment process by which bacteria and other microorganisms break down complex organic materials into simple,
nontoxic, more stable substances.
Biomass
A mass or clump of organic material consisting of living organisms feeding on the wastes in wastewater, dead organisms, and
other debris.
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Biomonitoring
A term used to describe methods of evaluating or measuring the effects of toxic substances in effluents on aquatic organisms in
receiving waters. There are two types of biomonitoring, the biosurvey and the bioassay.
Biosolids
A primarily organic solid product produced by wastewater treatment processes, that can be beneficially recycled. The word
"biosolids" is replacing the word "sludge."
Blockage
1.Partial	or complete interruption of flow as a result of some obstruction in a sewer.
2.When	a collection system becomes plugged and the flow backs up, it is said to have a "blockage." Commonly called a
"stoppage."
Blower
A device used to ventilate manholes and lift stations.
Bond
1.	A written promise to pay a specified sum of money (called the face value) at a fixed time in the future (called the date of
maturity). A bond also carries interest at a fixed rate, payable periodically. The difference between a note and a bond is that a
bond usually runs for a longer period of time and requires greater formality. Utility agencies use bonds as a means of obtaining
large amounts of money for capital improvements.
2.	A warranty by an underwriting organization, such as an insurance company, guaranteeing honesty, performance, or payment
by a contractor.
Branch Manhole
A sewer or drain manhole which has more than one pipe feeding into it. A standard manhole will have one outlet and one
inlet. A branch manhole will have one outlet and two or more inlets.
Branch Sewer
A sewer that receives wastewater from a relatively small area and discharges into a main sewer serving more than one branch
sewer area.
Break
A fracture or opening in a pipe, manhole or other structure due to structural failure and/or structural defect.
Breakpoint Chlorination
Addition of chlorine to water or wastewater until the chlorine demand has been satisfied. At this point, further additions of
chlorine result in a residual that is directly proportional to the amount of chlorine added beyond the breakpoint.
Breakthrough
A crack or break in a filter bed allowing the passage of floe or particulate matter through a filter. This will cause an increase in
filter effluent turbidity. A breakthrough can occur (1) when a filter is first placed in service, (2) when the effluent valve
suddenly opens or closes, and (3) during periods of excessive head loss through the filter (including when the filter is exposed to
negative heads).
Building Service
A saddle or "Y" connection to a lateral or branch sewer for connection of a building lateral.
Building Sewer
A gravity-flow pipeline connecting a building wastewater collection system to a lateral or branch sewer. The building sewer may
begin at the outside of the building's foundation wall or some distance (such as 2 to 10 feet) from the wall, depending on local
sewer ordinances. Also called a "house connection" or a "service connection."
Building Wastewater Collection System
All of the wastewater drain pipes and their hardware that connect plumbing fixtures inside or adjacent to a building to the
building sewers. This includes traps, vents, and cleanouts.
Bulking
Clouds of billowing sludge that occur throughout secondary clarifiers and sludge thickeners when the sludge does not settle
properly. In the activated sludge process, bulking is usually caused by filamentous bacteria or bound water.
Bypass
A pipe, valve, gate, weir, trench or other device designed to permit all or part of a wastewater flow to be diverted from usual
channels or flow. Sometimes refers to a special line which carries the flow around a facility or device that needs maintenance or
repair. In a wastewater treatment plant, overload flows should be bypassed into a holding pond for future treatment.
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C Factor
A factor or value used to indicate the smoothness of the interior of a pipe. The higher the C Factor, the smoother the pipe, the
greater the carrying capacity, and the smaller the friction or energy losses from water flowing in the pipe. To calculate the C
Factor, measure the flow, pipe diameter, distance between two pressure gages, and the friction or energy loss of the water
between the gages.
CT Factor	0
Residual concentration of a given disinfectant in mg/L times the disinfectant's contact time in minutes.
C-Zoned
An area set aside for commercial use.
CAS Number
The unique identification number assigned by the Chemical Abstracts Service (American Chemical Society) to specific
chemical substances. (Definition from California Labor Code, Division 5, Chapter 2.5.)
CERCLA
Comprehensive Environmental Response, Compensation, and Liability Act of 1980. This Act was enacted primarily to correct
past mistakes in industrial waste management. The focus of the Act is to locate hazardous waste disposal sites which are creating
problems through pollution of the environment and, by proper funding and implementation of study and corrective activities,
eliminate the problem from these sites. Current users of CERCLA-identified substances must report releases of these substances
to the environment when they take place (not just historic ones). This act is also called the Superfund Act. Also see "SARA."
CFR
Code of Federal Regulations. A publication of the United States Government which contains all of the proposed and finalized
federal regulations, including safety and environmental regulations.
CFS
Initials standing for "Cubic Feet Per Second." A measure of flow rate.
COD
Chemical Oxygen Demand. A measure of the oxygen-consuming capacity of organic matter present in wastewater. COD is
expressed as the amount of oxygen consumed from a chemical oxidant in mg/L during a specific test. Results are not necessarily
related to the biochemical oxygen demand (BOD) because the chemical oxidant may react with substances that bacteria do not
stabilize.
cso
Combined Sewer Overflow. Wastewater that flows out of a sewer (or lift station) as a result of flows exceeding the hydraulic
capacity of the sewer. CSOs usually occur during periods of heavy precipitation or high levels of runoff from snow melt or other
runoff sources.
CT Value
Residual concentration of a given disinfectant in mg/L times the disinfectant's contact time in minutes.
Call Date
First date a bond can be paid off.
Catch Basin
A chamber or well used with storm or combined sewers as a means of removing grit, which might otherwise enter and be
deposited in sewers.
Categorical Limits
Industrial wastewater discharge pollutant effluent limits developed by EPA that are applied to the effluent from any industry in
any category anywhere in the United States that discharges to a POTW. These are pollutant effluent limits based on the
technology available to treat the wastestreams from the processes of the specific industrial category and normally are measured
at the point of discharge from the regulated process. The pollutant effluent limits are listed in the Code of Federal Regulations.
Cathode
The negative pole or electrode of an electrolytic cell or system. The cathode attracts positively charged particles or ions
(cations).
Cathodic Protection
An electrical system for prevention of rust, corrosion, and pitting of metal surfaces which are in contact with water or soil. A
low-voltage current is made to flow through a liquid (water) or a soil in contact with the metal in such a manner that the
v external electromotive force renders the metal structure cathodic. This concentrates corrosion on auxiliary anodic parts which
are deliberately allowed to corrode instead of letting the structure corrode.
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Cationic Polymer
A polymer having positively charged groups of ions; often used as a coagulant aid.
Centrate
The water leaving a centrifuge after most of the solids have been removed.
Centrifugal Pump
A pump consisting of an impeller fixed on a rotating shaft that is enclosed in a casing, and having an inlet and discharge
connection. As the rotating impeller whirls the liquid around, centrifugal force builds up enough pressure to force the water
through the discharge outlet.
Certification Examination
An examination administered by a state or professional association that operators take to indicate a level of professional
competence.
Chain of Custody
A record of each person involved in the handling and possession of a sample from the person who collected the sample to the
person who analyzed the sample in the laboratory and to the person who witnessed disposal of the sample.
Check Sampling
Whenever an initial or routine drinking water sample analysis indicates that a maximum contaminant level (MCL) has been
exceeded, Check Sampling is required to confirm the routine sampling results. Check sampling is in addition to the routine
sampling program.
Check Valve
A special valve with a hinged disc or flap that opens in the direction of normal flow and is forced shut when flows attempt to go
in the reverse or opposite direction of normal flows.
Chelating Agent
A chemical used to prevent the precipitation of metals (such as copper).
Chemical Oxygen Demand (COD)
A measure of the oxygen-consuming capacity of organic matter present in wastewater. COD is expressed as the amount of
oxygen consumed from a chemical oxidant in mg/L during a specific test. Results are not necessarily related to the biochemical
oxygen demand (BOD) because the chemical oxidant may react with substances that bacteria do not stabilize.
Chemical Precipitation
1.Precipitation	induced by addition of chemicals.
2.The	process of softening water by the addition of lime or lime and soda ash as the precipitants.
Chloramination
The application of chlorine and ammonia to water to form chloramines for the purpose of disinfection.
Chloramines
Compounds formed by the reaction of hypochlorous acid (or aqueous chlorine) with ammonia.
Chlorination
The application of chlorine to water or wastewater, generally for the purpose of disinfection, but frequently for accomplishing
other biological or chemical results (aiding coagulation and controlling tastes and odors).
Chlorinator
A metering device which is used to add chlorine to water.
Chlorine Contact Unit
A baffled basin that provides sufficient detention time for disinfection to occur.
Chlorine Demand
Chlorine demand is the difference between the amount of chlorine added to water or wastewater and the amount of residual
chlorine remaining after a given contact time. Chlorine demand may change with dosage, time, temperature, pH, and nature
and amount of the impurities in the water.
Chlorine Requirement
The amount of chlorine which is needed for a particular purpose. Some reasons for adding chlorine are reducing the number of
coliform bacteria (Most Probable Number), obtaining a particular chlorine residual, or oxidizing some substance in the water. In
each case a definite dosage of chlorine will be necessary. This dosage is the chlorine requirement.
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Chronic Health Effect
An adverse effect on a human or animal body with symptoms that develop slowly over a long period of time or that recur
frequently.
Clarification
Any process or combination of processes the main purpose of which is to reduce the concentration of suspended matter in a
liquid.
Clarifier
A large circular or rectangular tank or basin in which water is held for a period of time during which the heavier suspended
solids settle to the bottom. Clarifiers are also called settling basins and sedimentation basins. May also be a tank or basin in
which wastewater is held for a period of time during which the heavier solids settle to the bottom and the lighter materials float
to the water surface.
Clean Water Act
An act passed by the U.S. Congress to control water pollution. The Federal Water Pollution Control Act passed in 1972
(Public Law [PL] 92-500). It was amended in 1977 (the Clean Water Act, PL 95-217) and again in 1987 (the Water Quality
Act, PL 100-4).
Clear Well
A reservoir for the storage of filtered water of sufficient capacity to prevent the need to vary the filtration rate with variations in
demand. Also used to provide chlorine contact time for disinfection.
Coagulant
A chemical that causes very fine particles to clump (floe) together into larger particles. This makes it easier to separate the
solids from the liquids by settling, skimming, draining or filtering.
Coagulation
The clumping together of very fine particles into larger particles (floe) caused by the use of chemicals (coagulants). The
chemicals neutralize the electrical charges of the fine particles, allowing them to come closer and form larger clumps. This
clumping together makes it easier to separate the solids from the water by settling, skimming, draining or filtering.
Code of Federal Regulations (CFR)
A publication of the United States Government which contains all of the proposed and finalized federal regulations, including
environmental regulations.
Coliform
A group of bacteria found in the intestines of warm-blooded animals (including humans) and also in plants, soil, air and water.
Fecal coliforms are a specific class of bacteria which only inhabit the intestines of warm-blooded animals. The presence of
coliform bacteria is an indication that the water is polluted and may contain pathogenic (disease-causing) organisms.
Collection Main
A wastewater collection pipe to which building laterals are connected.
Collection System
A network of pipes, manholes, cleanouts, traps, siphons, lift stations and other structures used to collect all wastewater and
wastewater-carried wastes of an area and transport them to a treatment plant or disposal system. The collection system includes
land, wastewater lines and appurtenances, pumping stations and general property.
Colorimetric Measurement
A means of measuring unknown chemical concentrations in water by measuring a sample's color intensity. The specific color of
the sample, developed by addition of chemical reagents, is measured with a photoelectric colorimeter or is compared with "color
standards" using, or corresponding with, known concentrations of the chemical.
Combined Residual Chlorination
The application of chlorine to water or wastewater to produce a combined available chlorine residual. The residual may consist
of chlorine compounds formed by the reaction of chlorine with natural or added ammonia (NH3) or with certain organic
nitrogen compounds.
Combined Sewer
A sewer designed to carry both sanitary wastewaters and storm or surface water runoff.
Combined Wastewater
A mixture of storm or surface runoff and other wastewater such as domestic or industrial wastewater.
Glossary
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Commercial Contribution
Liquid and liquid-carried wastes dumped by commercial establishments into the wastewater collection system. Used in this
context, commercial contributions are distinct from domestic and industrial sources of wastewater contributions. Examples of
high-yield commercial sources are laundries, restaurants, and hotels.
Comminutor
A device used to reduce the size of the solid chunks in wastewater by shredding (comminuting). The shredding action is like
many scissors cutting or chopping to shreds all the large solids material in the wastewater.
Commodity-Demand Method
A cost allocation method used by water utilities to determine water rates for the various water user groups. This method
considers the commodity costs (water, chemicals, power, amount of water use), demand costs (treatment, storage, distribution),
customer costs (meter maintenance and reading, billing, collection, accounting) and fire protection costs.
Community Right-to-Know
The Superfund Amendments and Reauthorization Act (SARA) of 1986 provides statutory authority for communities to
develop "right-to-know" laws. The act establishes a state and local emergency planning structure, emergency notification
procedures, and reporting requirements for facilities. Also see "SARA" and "Right-to-Know Laws."
Community Water System (water)*
A water system which supplies drinking water to 25 or more of the same people year-round in their residences.
Compatible Pollutants
Those pollutants that are normally removed by the POTW treatment system. Biochemical oxygen demand (BOD), suspended
solids (SS), and ammonia are considered compatible pollutants.
Competent Person
A competent person is defined by OSHA as a person capable of identifying existing and predictable hazards in the surroundings,
or working conditions which are unsanitary, hazardous or dangerous to employees, and who has authorization to take prompt
corrective measures to eliminate the hazards.
Complete Treatment
A method of treating water which consists of the addition of coagulant chemicals, flash mixing, coagulation-flocculation,
sedimentation and filtration. Also called "conventional filtration."
Compliance
The act of meeting specified conditions or requirements.
Composite (Proportional) Sample
A composite sample is a collection of individual samples obtained at regular intervals, usually every one or two hours during a
24-hour time span. Each individual sample is combined with the others in proportion to the rate of flow when the sample was
collected. The resulting mixture (composite sample) forms a representative sample and is analyzed to determine the average
conditions during the sampling period.
Computed Collection System Contribution
The part of a collection system flow computed to be actual domestic and industrial wastewater. Applied to infiltration/inflow
research, the computed domestic and industrial wastewater contribution is subtracted from a total flow to determine infiltration/
inflow amounts.
Computed Commercial Contribution
That part of a collection system flow computed to originate in the commercial establishments on the basis of expected flows
from all commercial sources.
Computed Contribution
A liquid or liquid-carried contribution to a collection system that is computed on the basis of expected discharges from all of the
sources as opposed to actual measurement or metering. Also see "estimated contribution."
Computed Domestic Contribution
That part of a collection system flow computed to originate in the residential facilities based on the average flow contribution
from each person.
Computed Facility Contribution
The computed liquid-waste discharge from a single facility based on the sources of waste flows in the facility.
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Computed Industrial Contribution
The computed liquid-waste discharge from industrial operations based on the expected discharges from all sources.
Computed Per Capita Contribution
The computed wastewater contribution from a domestic area, based on the population of the area. In the United States, the
daily average wastewater contribution is considered to be 100 gallons per capita per day (100 GPCD).
Computed Total Contribution
The total anticipated load on a wastewater treatment plant or the total anticipated flow in any collection system area based on
the combined computed contributions of all connections to the system.
Conditioning
Pretreatment of sludge to facilitate removal of water in subsequent treatment processes.
Conductivity
A measure of the ability of a solution (water) to carry an electric current.
Confined Space
Confined space means a space that:
l.Is large enough and so configured that an employee can bodily enter and perform assigned work; and
2.Has limited or restricted means for entry or exit (for example, tanks, vessels, silos, storage bins, hoppers, vaults, and pits are
spaces that may have limited means of entry); and
3.1s not designed for continuous employee occupancy.
Consumer Confidence Reports
An annual report prepared by a water utility to communicate with its consumers. The report provides consumers with informa-
tion on the source and quality of their drinking water. The report is an opportunity for positive communication with consumers
and to convey the importance of paying for good quality drinking water.
Contact Stabilization
Contact stabilization is a modification of the conventional activated sludge process. In contact stabilization, two aeration tanks
are used. One tank is for separate reaeration of the return sludge for at least four hours before it is permitted to flow into the
other aeration tank to be mixed with
the primary effluent requiring treatment. The process may also occur in one long tank.
Contamination
The introduction into water of microorganisms, chemicals, toxic substances, wastes, or wastewater in a concentration that
makes the water unfit for its next intended use.
Continuous Sample
A flow of water from a particular place in a plant to the location where samples are collected for testing. This continuous stream
may be used to obtain grab or composite samples. Frequently, several taps (faucets) will flow continuously in the laboratory to
provide test samples from various places in a water treatment plant.
Control System
An instrumentation system which senses and controls its own operation on a close, continuous basis in what is called propor-
tional (or modulating) control.
Conventional Filtration
A method of treating water which consists of the addition of coagulant chemicals, flash mixing, coagulation-flocculation,
sedimentation and filtration. Also called "complete treatment." Also see "direct filtration" and "in-line filtration."
Conventional Pollutants
Those pollutants which are usually found in domestic, commercial or industrial wastes such as suspended solids, biochemical
oxygen demand, pathogenic (disease-causing) organisms, adverse pH levels, and oil and grease.
Conventional Treatment
The common treatment processes such as preliminary treatment, sedimentation, flotation, trickling filter, rotating biological
contactor, activated sludge and chlorination wastewater treatment processes used by POTWs.
Corporation Stop
A service shutoff valve located at a street main. This valve cannot be operated from the ground surface because it is buried and
there is no valve box. Also called a corporation cock.
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Corrosion
The gradual decomposition or destruction of a material by chemical action, often due to an electrochemical reaction. Corrosion
may be caused by (1) stray current electrolysis, (2) galvanic corrosion caused by dissimilar metals, or (3)
differential-concentration cells. Corrosion starts at the surface of a material and moves inward.
Corrosion Inhibitors
Substances that slow the rate of corrosion.
Corrosive Gases
In water, dissolved oxygen reacts readily with metals at the anode of a corrosion cell, accelerating the rate of corrosion until a
film of oxidation products such as rust forms. At the cathode where hydrogen gas may form a coating on the cathode and slow
the corrosion rate, oxygen reacts rapidly with hydrogen gas forming water, and again increases the rate of corrosion.
Corrosivity
An indication of the corrosiveness of a water. The corrosiveness of a water is described by the water's pH, alkalinity, hardness,
temperature, total dissolved solids, dissolved oxygen concentration, and the Langelier Index.
Coverage Ratio
The coverage ratio is a measure of the ability of the utility to pay the principal and interest on loans and bonds (this is known as
"debt service") in addition to any unexpected expenses.
Cross Connection
1.A	connection between a storm drain system and a sanitary collection system.
2.Less	frequently used to mean a connection between two sections of a collection system to handle anticipated overloads of one
system.
3.A	connection between drinking (potable) water and an unapproved water supply.
Cryptosporidium
A waterborne intestinal parasite that causes a disease called cryptosporidiosis in infected humans. Symptoms of the disease
include diarrhea, cramps, and weight loss. Cryptosporidium contamination is found in most surface waters and some
groundwaters. Commonly referred to as "crypto."
DO
Abbreviation of Dissolved Oxygen. DO is the molecular (atmospheric) oxygen dissolved in water or wastewater.
Day Tank
A tank used to store a chemical solution of known concentration for feed to a chemical feeder. A day tank usually stores
sufficient chemical solution to properly treat the water being treated for at least one day. Also called an "age tank."
Dead End
The end of a water main which is not connected to other parts of the distribution system by means of a connecting loop of pipe.
Debris
Any material in wastewater found floating, suspended, settled or moving along the bottom of a sewer. This material may cause
stoppages by getting hung up on roots or settling out in a sewer. Debris includes grit, paper, plastic, rubber, silt, and all materials
except liquids.
Debt Service
The amount of money required annually to pay the (1) interest on outstanding debts; or (2) funds due on a maturing bonded
debt or the redemption of bonds.
Dechlorination
The deliberate removal of chlorine from water. The partial or complete reduction of residual chlorine by any chemical or
physical process.
Defluoridation
The removal of excess fluoride in drinking water to prevent the mottling (brown stains) of teeth.
Degasification
A water treatment process which removes dissolved gases from the water. The gases may be removed by either mechanical or
chemical treatment methods or a combination of both.
Degradation
The conversion or breakdown of a substance to simpler compounds. For example, the degradation of organic matter to carbon
dioxide and water.
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Delegation
The act in which power is given to another person in the organization to accomplish a specific job.
Demineralization
A treatment process which removes dissolved minerals (salts) from water.
Denitrification
An anoxic process that occurs when nitrite or nitrate ions are reduced to nitrogen gas and nitrogen bubbles are formed as a
result of this process. The bubbles attach to the biological floe in the activated sludge process and float the floe to the surface of
the secondary clarifiers. This condition is often the cause of rising sludge observed in secondary clarifiers or gravity thickeners.
Also see "nitrification."
Depreciation
The gradual loss in service value of a facility or piece of equipment due to all the factors causing the ultimate retirement of the
facility or equipment. This loss can be caused by sudden physical damage, wearing out due to age, obsolescence, inadequacy or
availability of a newer, more efficient facility or equipment. The value cannot be restored by maintenance.
Desalinization
The removal of dissolved salts (such as sodium chloride, NaCl) from water by natural means (leaching) or by specific water
treatment processes.
Destratification
The development of vertical mixing within a lake or reservoir to eliminate (either totally or partially) separate layers of
temperature, plant, or animal life. This vertical mixing can be caused by mechanical means (pumps) or through the use of
forced air diffusers which release air into the lower layers of the reservoir.
Detection Lag
The time period between the moment a process change is made and the moment when such a change is finally sensed by the
associated measuring instrument.
Detention Time
1.The	theoretical (calculated) time required for a small amount of water to pass through a tank at a given rate of flow.
2.The	actual time in hours, minutes or seconds that a small amount of water is in a settling basin, flocculating basin or
rapid-mix chamber. In storage reservoirs, detention time is the length of time entering water will be held before being drafted for
use (several weeks to years, several months being typical).
Dewater
To drain or remove water from an enclosure. A structure may be dewatered so that it can be inspected or repaired. Dewater also
means draining or removing water from sludge to increase the solids concentration.
Diaphragm Pump
A pump in which a flexible diaphragm, generally of rubber or equally flexible material, is the operating part. It is fastened at the
edges in a vertical cylinder. When the diaphragm is raised suction is exerted, and when it is depressed, the liquid is forced
through a discharge valve.
Diatomaceous Earth
A fine, siliceous (made of silica) "earth" composed mainly of the skeletal remains of diatoms.
Diffused-Air Aeration
A diffused air activated sludge plant takes air, compresses it, and then discharges the air below the water surface of the aerator
through some type of air diffusion device.
Digester
A tank in which sludge is placed to allow decomposition by microorganisms. Digestion may occur under anaerobic (more
common) or aerobic conditions.
Dimictic
Lakes and reservoirs which freeze over and normally go through two stratification and two mixing cycles within a year.
Direct Discharger
A point source that discharges a pollutant(s) to waters of the United States, such as streams, lakes or oceans. These sources are
subject to the National Pollutant Discharge Elimination System (NPDES) program regulations.
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Direct Filtration
A method of treating water which consists of the addition of coagulant chemicals, flash mixing, coagulation, minimal floccula-
tion, and filtration. The flocculation facilities may be omitted, but the physical-chemical reactions will occur to some extent.
The sedimentation process is omitted. Also see "conventional filtration" and "in-line filtration."
Direct Runoff
Water that flows over the ground surface or through the ground directly into streams, rivers, or lakes.
Discharge Head
The pressure (in pounds per square inch or psi) measured at the centerline of a pump discharge and very close to the discharge
flange, converted into feet. The pressure is measured from the centerline of the pump to the hydraulic grade line of the water in
the discharge pipe.
Disinfection
The process designed to kill or inactivate most microorganisms in wastewater, including essentially all pathogenic
(disease-causing) bacteria. There are several ways to disinfect, with chlorination being the most frequently used in water and
wastewater treatment plants.
Disinfection By-Product (DBP)
A contaminant formed by the reaction of disinfection chemicals (such as chlorine) with other substances in the water being
disinfected.
Dissolved Oxygen
Molecular (atmospheric) oxygen dissolved in water or wastewater, usually abbreviated DO.
Distribution System (water)4
A network of pipes leading from a treatment plant to customers' plumbing systems.
Distributor
The rotating mechanism that distributes the wastewater evenly over the surface of a trickling filter or other process unit.
Diversion
Use of part of a stream flow as a water supply.
Domestic
Residential living facilities. A domestic area will be predominantly residential in occupancy and is sometimes referred to as a
"bedroom area" or "bedroom community."
Domestic Contribution
Wastes originating in a residential facility or dwelling. In this use, it means the type and quantity of wastes are different from
commercial and industrial or agricultural wastes.
Domestic Service
A connection to a sewer system for hookup of a residential-type building.
Downstream
The direction of the flow of water. In the lower part of a sewer or collection system or in that direction.
Drawdown
1 .The drop in the water table or level of water in the ground when water is being pumped from a well.
2.The	amount of water used from a tank or reservoir.
3.The	drop in the water level of a tank or reservoir.
EPA
United States Environmental Protection Agency. A regulatory agency established by the U.S. Congress to administer the
nation's environmental laws. Also called the U.S. EPA.
Easement
Legal right to use the property of others for a specific purpose. For example, a utility company may have a five-foot easement
along the property line of a home. This gives the utility the legal right to install and maintain a sewer line within the easement.
Effluent
Water or other liquid—raw (untreated), partially or completely treated—flowing from a reservoir, basin, treatment process, or
treatment plant.
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Effluent Limits
Pollutant limitations developed by a POTW for industrial plants discharging to the POTW system. At a minimum, all industrial
facilities are required to comply with federal prohibited discharge standards. The industries covered by federal categorical
standards must also comply with the appropriate discharge limitations. The POTW may also establish local limits more
stringent than or in addition to the federal standards for some or all of its industrial users.
Electron
1.A	very small, negatively charged particle which is practically weightless. According to the electron theory, all electrical and
electronic effects are caused either by the movement of electrons from place to place or because there is an excess or lack of
electrons at a particular place.
2.The	part of an atom that determines its chemical properties.
Elevation
The height to which something is elevated, such as the height above sea level.
Elutriation
The washing of digested sludge with fresh water, plant effluent, or other wastewater. The objective is to remove (wash out) fine
particulates and/or the alkalinity in sludge. This process reduces the demand for conditioning chemicals and improves settling
or filtering characteristics of the solids.
End Point
Samples are titrated to the end point. This means that a chemical is added, drop by drop, to a sample until a certain color
change (blue to clear, for example) occurs. This is called the end point of the titration. In addition to a color change, an end
point may be reached by the formation of a precipitate or the reaching of a specified pH. An end point may be detected by the
use of an electronic device such as a pH meter. The completion of a desired chemical reaction.
Enteric
Of intestinal origin, especially applied to wastes or bacteria.
Entrain
To trap bubbles in water either mechanically through turbulence or chemically through a reaction.
Enzymes
Organic substances (produced by living organisms) which cause or speed up chemical reactions. Organic catalysts and/or
biochemical catalysts.
Epidemic
A disease that occurs in a large number of people in a locality at the same time and spreads from person to person.
Equalizing Basin
A holding basin in which variations in flow and composition of a liquid are averaged. Such basins are used to provide a flow of
reasonably uniform volume and composition to a treatment unit. Also called a balancing reservoir.
Equity
The value of an investment in a facility.
Estimated Contribution
A contribution to a collection system that is estimated rather than computed. The distinction between computed and estimated
in such cases is difficult to specify or define. Also see "computed contribution."
Estimated Flow
A rough guess of the amount of flow in a collection system. When greater accuracy is needed, flow could be computed using
average or typical flow quantities. Even greater accuracy would result from metering or otherwise measuring the actual flow.
Estuaries
Bodies of water which are located at the lower end of a river and are subject to tidal fluctuations.
Eutrophic
Reservoirs and lakes which are rich in nutrients and very productive in terms of aquatic animal and plant life.
Eutrophication
The increase in the nutrient levels of a lake or other body of water; this usually causes an increase in the growth of aquatic
animal and plant life.
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Exemption (water)'
State or EPA permission for a water system not to meet a certain drinking water standard. An exemption allows a system
additional time to obtain financial assistance or make improvements in order to come into compliance with the standard. The
system must prove that: (1) there are compelling reasons (including economic factors) why it cannot meet a maximum contami-
nant level or treatment technique; (2) it was in operation on the effective date of the requirement, and (3) the exemption will
not create an unreasonable risk to public health. The state must set a schedule under which the water system will comply with
the standard for which it received an exemption.
Exfiltration
Liquid wastes and liquid-carried wastes which unintentionally leak out of a sewer pipe system and into the environment.
Explosimeter
An instrument used to detect explosive atmospheres. When the Lower Explosive Limit (LEL) of an atmosphere is exceeded, an
alarm signal on the instrument is activated. Also called a combustible gas detector.
F/M Ratio
Food-to-microorganism ratio. A measure of food provided to bacteria in an aeration tank.
Facultative
Facultative bacteria can use either dissolved molecular oxygen or oxygen obtained from food materials such as sulfate or nitrate
ions. In other words, facultative bacteria can live under aerobic or anaerobic conditions.
Facultative Pond
The most common type of pond in current use. The upper portion (supernatant) is aerobic, while the bottom layer is anaerobic.
Algae supply most of the oxygen to the supernatant.
Feedwater
The water that is fed to a treatment process; the water that is going to be treated.
Filamentous Organisms
Organisms that grow in a thread or filamentous form. Common types are Thiothrix and Actinomycetes. A common cause of
sludge bulking in the activated sludge process.
Filter Aid
A chemical (usually a polymer) added to water to help remove fine colloidal suspended solids.
Finished Water
Water that has passed through a water treatment plant; all the treatment processes are completed or "finished." This water is
ready to be delivered to consumers. Also called "product water."
Fix, Sample
A sample is "fixed" in the field by adding chemicals that prevent the water quality indicators of interest in the sample from
changing before final measurements are performed later in the lab.
Fixed Costs
Costs that a utility must cover or pay even if there is no demand for water or no water to sell to customers. Also see "variable
costs."
Fixed Film
Fixed film denitrification is the common name for attached growth anaerobic treatment processes used to achieve denitrifica-
tion.
Flagellates
Microorganisms that move by the action of tail-like projections.
Float (Control)
A device used to measure the elevation of the surface of water. The float rests on the surface of the water and rises or falls with
it. The elevation of the water surface is measured by a rod, chain, rope, or tape attached to the float.
Float on System
A method of operating a water storage facility. Daily flow into the facility is approximately equal to the average daily demand for
water. When consumer demands for water are low, the storage facility will be filling. During periods of high demand, the facility
will be emptying.
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Floe
Clumps of bacteria and particles or coagulants and impurities that have come together and formed a cluster.
Flocculation
The gathering together of fine particles after coagulation to form larger particles by a process of gentle mixing.
Flotation
1 .The stress or forces on a pipeline or manhole structure located below a water table which tend to lift or float the pipeline or
manhole structure.
2.The process of raising suspended matter to the surface of the liquid in a tank where it forms a scum layer that can be removed
by skimming. The suspended matter is raised by aeration, the evolution of gas, the use of chemicals, electrolysis, heat, or
bacterial decomposition.
Flow Equalization System
A device or tank designed to hold back or store a portion of peak flows for release during low-flow periods.
Flow Isolation
A procedure used to measure inflow and infiltration (1/1). A section of sewer is blocked off or isolated and the flow from the
section is measured.
Flow Recording
A record of a flow measurement past any'selected point. Usually consists of time, velocity and amount (in gallons) with
maximum and minimum rates as well as the total amount over a given time period.
Fluidized
A mass of solid particles that is made to flow like a liquid by injection of water or gas is said to have been fluidized. A bed of
filter media is fluidized by backwashing water through the filter.
Fluoridation
The addition of a chemical to increase the concentration of fluoride ions in drinking water to a predetermined optimum limit to
reduce the incidence (number) of dental caries (tooth decay) in children. Defluoridation is the removal of excess fluoride in
drinking water to prevent the mottling (brown stains) of teeth.
Flushing
A method used to clean water distribution lines. Hydrants are opened and water with a high velocity flows through the pipes,
removes deposits from the pipes, and flows out the hydrants. Also used for the removal of deposits of material which have
lodged in sewers because of inadequate vejocity of flows. Water is discharged into the sewers at such rates that the larger flow
and higher velocities are sufficient to remove the material.
Food/Microorganism Ratio
Food-to-microorganism ratio. A measure of food provided to bacteria in an aeration tank. Commonly abbreviated F/M Ratio.
Force Main
A pipe that carries wastewater under pressure from the discharge side of a pump to a point of gravity flow downstream.
Free Available Residual Chlorine
That portion of the total available residual chlorine remaining in water or wastewater at the end of a specified contact period.
Residual chlorine will react chemically and biologically as hypochlorous acid (HOC1) or hypochlorite ion (OC1-). This does not
include chlorine that has combined with ammonia, nitrogen, or other compounds.
Free Chlorine
Free chlorine is chlorine (C12) in a liquid or gaseous form. Free chlorine combines with water to form hypochlorous (HOC1)
and hydrochloric (HC1) acids. In wastewater free chlorine usually combines with an amine (ammonia or nitrogen) or other
organic compounds to form combined chlorine compounds.
Free Oxygen
Molecular oxygen available for respiration by organisms. Molecular oxygen is the oxygen molecule, 02, that is not combined
'with another element to form a compound.
Free Residual Chlorination
The application of chlorine or chlorine compounds to water or wastewater to produce a free available chlorine residual directly
or through the destruction of ammonia (NH3) or certain organic nitrogenous compounds.
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GIS
Geographic Information System. A computer program that combines mapping with detailed information about the physical
locations of structures such as pipes, valves, and manholes within geographic areas. The system is used to help operators and
maintenance personnel locate utility system features or structures and to assist with the scheduling and performance of mainte-
nance activities.
GPCD
Initials standing for "Gallons Per Capita Per Day."
GPD
Initials standing for "Gallons Per Day."
GPM
Initials standing for "Gallons Per Minute."
GPY
Initials standing for "Gallons Per Year."
Gasification
The conversion of soluble and suspended organic materials into gas during aerobic or anaerobic decomposition. In clarifiers the
resulting gas bubbles can become attached to the settled sludge and cause large clumps of sludge to rise and float on the water
surface. In anaerobic sludge digesters, this gas is collected for fuel or disposed of using a waste gas burner.
Germicide
A substance formulated to kill germs or microorganisms. The germicidal properties of chlorine make it an effective disinfectant.
Giardia
A waterbome intestinal parasite that causes a disease called giardias is in infected humans. Symptoms of the disease include
diarrhea, cramps, and weight loss. Giardia contamination is found in most surface waters and some groundwaters.
Grab Sample
A single sample of water collected at a particular time and place which represents the composition of the water only at that time
and place.
Gravimetric
A means of measuring unknown concentrations of water quality indicators in a sample by weighing a precipitate or residue of the
sample.
Gravimetric Feeder
A dry chemical feeder which delivers a measured weight of chemical during a specific time period.
Gravity Flow
Water or wastewater flowing from a higher elevation to a lower elevation due to the force of gravity. The water does not flow
due to energy provided by a pump. Wherever possible, wastewater collection systems are designed to use the force of gravity to
convey waste liquids and solids.
Grease
In a collection system, grease is considered to be the residues of fats, detergents, waxes, free fatty acids, calcium and magnesium
soaps, mineral oils, and certain other nonfatty materials which tend to separate from water and coagulate as floatables or scums.
Grease Trap
A receptacle designed to collect and retain grease and fatty substances usually found in kitchens or from similar wastes. It is
installed in the drainage system between the kitchen or other point of production of the waste and the building wastewater
collection line. Commonly used to control grease from restaurants.
Grit
The heavy material present in wastewater, such as sand, coffee grounds, eggshells, gravel and cinders. Grit tends to settle out at
flow velocities below 2 ft/sec and accumulate in the invert or bottoms of the pipelines. Also called "detritus."
Grit Removal
Grit removal is accomplished by providing an enlarged channel or chamber which causes the flow velocity to be reduced and
allows the heavier grit to settle to the bottom of the channel where it can be removed.
Groundwater
Subsurface water in the saturation zone from which wells and springs are fed. In a strict sense the term applies only to water
below the water table. Also called "phreatic water" and "plerotic water."
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Groundwater Depth
The distance of the groundwater table below the surface at any selected location.
Groundwater Elevation
The elevation of the groundwater table above mean sea level at any selected location.
Groundwater Table
The average depth or elevation of the groundwater over a selected area.
Hardness (water)
A characteristic of water caused mainly by the salts of calcium and magnesium, such as bicarbonate, carbonate, sulfate, chloride
and nitrate. Excessive hardness in water is undesirable because it causes the formation of soap curds, increased use of soap,
deposition of scale in boilers, damage in some industrial processes, and sometimes causes objectionable tastes in drinking water.
Hazard Communication
Employee "Right-to-Know" legislation requires employers to inform employees (pretreatment inspectors) of the possible health
effects resulting from contact with hazardous substances. At locations where this legislation is in force, employers must provide
employees with information regarding any hazardous substances which they might be exposed to under normal work conditions
or reasonably foreseeable emergency conditions resulting from workplace conditions. OSHA's Hazard Communication Standard
(HCS) (Title 29 CFR Part 1910.1200) is the federal regulation and state statutes are called Worker Right-to-Know Laws. Also
see "Community Right-to-Know" and "SARA."
Hazardous Material Management Plan (HMMP)
A document prepared by an industry which contains copies of MSDSs (Material Safety Data Sheets) as well as additional
information regarding the storage, handling and disposal of all chemicals used on site by the industry.
Hazardous Waste
A waste, or combination of wastes, which because of its quantity, concentration, or physical, chemical, or infectious characteris-
tics may:
1.	Cause, or significantly contribute to, an increase in mortality or an increase in serious, irreversible, or incapacitating revers-
ible illness; or
2.	Pose a substantial present or potential hazard to human health or the environment when improperly treated, stored, trans-
ported, or disposed of or otherwise managed; and
3.	Normally not be discharged into a sanitary sewer; subject to regulated disposal.
(Resource Conservation and Recovery Act [RCRA] definition.)
Head
The vertical distance, height or energy of water above a point. A head of water may be measured in either height (feet or
meters) or pressure (pounds per square inch or kilograms per square centimeter).
Head Loss
An indirect measure of loss of energy or pressure. Flowing water will lose some of its energy when it passes through a pipe, bar
screen, comminutor, filter or other obstruction. The amount of energy or pressure lost is called "head loss." Head loss is
measured as the difference in elevation between the upstream water surface and the downstream water surface and may be
expressed in feet or meters.
Headworks
The facilities where wastewater enters a wastewater treatment plant. The headworks may consist of bar screens, comminutors, a
wet well and pumps.
Health Advisory (water)*
An EPA document that provides guidance and information on contaminants that can affect human health and that may occur
in drinking water, but which EPA does not currently regulate in drinking water.
Hertz
The number of complete electromagnetic cycles or waves in one second of an electric or electronic circuit. Also called the
frequency of the current. Abbreviated Hz.
Heterotrophic
Describes organisms that use organic matter for energy and growth. Animals, fungi and most bacteria are heterotrophs.
High-Velocity Cleaner
A machine designed to remove grease and debris from the smaller diameter sewer pipes with high-velocity jets of water. Also
called a "jet cleaner," "jet rodder," "hydraulic cleaner," "high-pressure cleaner," or "hydro jet."
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Humus Sludge
The sloughed particles of biomass from trickling filter media that are removed from the water being treated in secondary
clarifiers.
Hydrated Lime
Limestone that has been "burned" and treated with water under controlled conditions until the calcium oxide portion has been
converted to calcium hydroxide (Ca(OH)2). Hydrated lime is quicklime combined with water. CaO + H20 -> Ca(OH)2. Also
called "slaked lime." Also see "quicklime."
Hydraulic Cleaning
Cleaning pipe with water under enough pressure to produce high water velocities.
1 .Using a high-velocity cleaner.
2.Using	a ball, kite, or similar sewer cleaning device.
3.Using	a scooter.
4.Flushing.
Hydraulic Loading
Hydraulic loading refers to the flows (MGD or cu m/day) to a treatment plant or treatment process. Detention times, surface
loadings and weir overflow rates are directly influenced by flows.
Hydraulic Population Equivalent
A flow of 100 gallons per day is the hydraulic or flow equivalent to the contribution or flow from one person. Population
equivalent =100 GPCD or gallons per capita per day.
Hydrogen Ion Concentration [H+]
The weight of hydrogen ion in moles per liter of solution. Commonly expressed as the pH value, which is the logarithm of the
reciprocal of the hydrogen ion concentration.
Hydrogen Sulfide Gas (H2S)
Hydrogen sulfide is a gas with a rotten egg odor. This gas is produced under anaerobic conditions. Hydrogen sulfide gas is
particularly dangerous because it dulls the sense of smell so that you don't notice it after you have been around it for a while. In
high concentrations, hydrogen sulfide gas is only noticeable for a very short time before it dulls the sense of smell. The gas is
very poisonous to the respiratory system, explosive, flammable, colorless, and heavier than air.
Hydrologic (Water) Cycle
The process of evaporation of water into the air and its return to earth by precipitation (rain or snow). This process also
includes transpiration from plants, groundwater movement, and runoff into rivers, streams and the ocean.
Hydropneumatic
A water system, usually small, in which a water pump is automatically controlled (started and stopped) by the air pressure in a
compressed-air tank.
Hydroxide Precipitation
A method of removing common metals from wastestreams by the precipitation process. The pH of the metal waste is increased
to an optimum level for hydroxide metal precipitates to form for the wastes being treated. The metal precipitates are settled out
of the wastestream in clarifiers and are removed from the bottom of the clarifiers as metal sludges.
Hypochlorination
The application of hypochlorite compounds to water or wastewater for the purpose of disinfection.
Hypochlorinators
Chlorine pumps, chemical feed pumps or devices used to dispense chlorine solutions made from hypochlorites such as bleach
(sodium hypochlorite) or calcium hypochlorite into the water being treated.
Hypochlorite
Chemical compounds containing available chlorine; used for disinfection. They are available as liquids (bleach) or solids
(powder, granules, and pellets) in barrels, drums, and cans. Salts of hypochlorous acid.
ICR
The Information Collection Rule (ICR) specifies the requirements for monitoring microbial contaminants and disinfection by-
products (DBPs) by large public water systems (PWSs). It also requires large PWSs to conduct either bench- or pilot-scale
testing of advanced treatment techniques.
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IDLH
Immediately Dangerous to Life or Health. The atmospheric concentration of any toxic, corrosive, or asphyxiant substance that
poses an immediate threat to life or would cause irreversible or delayed adverse health effects or would interfere with an
individual's ability to escape from a dangerous atmosphere.
Impeller
A rotating set of vanes in a pump or compressor designed to pump or move water or air.
Incineration
The conversion of dewatered wastewater solids by combustion (burning) to ash, carbon dioxide, and water vapor.
Indicator (chemical)
A substance that gives a visible change, usually of color, at a desired point in a chemical reaction, generally at a specified end
point.
Indicator (instrument)
A device which indicates the result of a measurement. Most indicators in the water utility field use either a fixed scale and
movable indicator (pointer) such as a pressure gage or a movable scale and movable indicator like those used on a circular
flow-recording chart. Also called a "receiver".
Indirect Discharger
A non-domestic discharger introducing pollutants to a POTW. These facilities are subject to the EPA pretreatment regulations.
Industrial Pretreatment (waste) Inspector
A person who conducts inspections of industrial pretreatment facilities to ensure protection of the environment and compliance
with general and categorical pretreatment regulations. Also called an inspector and a pretreatment inspector.
Industrial Waste Survey
A survey of all companies that discharge to a POTW. The survey identifies the magnitude of the wastewater flows and pollut-
ants in the discharge.
Industrial Wastewater
Liquid wastes originating from industrial processing. Because industries have peculiar liquid waste characteristics requiring
special consideration, these sources are usually handled and treated separately before being discharged to a wastewater collection
system.
Infiltrated Debris
Sand, silt, gravel, and rocks carried or washed into a collection system by infiltration water flows.
Infiltration
The seepage of groundwater into a sewer system, including service connections. Seepage frequently occurs through defective or
cracked pipes, pipe joints and connections, interceptor access risers and covers, or manhole walls.
Infiltration/Inflow
The total quantity of water from both infiltration and inflow without distinguishing the source. Abbreviated I & 1 or I/I.
Inflow
Water discharged into a sewer system and service connections from such sources as, but not limited to, roof leaders, cellars, yard
and area drains, foundation drains, cooling water discharges, drains from springs and swampy areas, around manhole covers or
through holes in the covers, cross connections from storm and combined sewer systems, catch basins, storm waters, surface
runoff, street wash waters or drainage. Inflow differs from infiltration in that it is a direct discharge into the sewer rather than a
leak in the sewer itself. See "internal inflow."
Influent
Water, wastewater, or other liquid—raw (untreated) or partially treated—flowing into an interceptor, reservoir, basin, treatment
process, or treatment plant.
Information Collection Rule (ICR)
The Information Collection Rule (ICR) specifies the requirements for monitoring microbial contaminants and disinfection by-
products (DBPs) by large public water systems (PWSs). It also requires large PWSs to conduct either bench- or pilot-scale
testing of advanced treatment techniques.
Initial Sampling
The very first sampling conducted under the Safe Drinking Water Act (SDWA) for each of the applicable contaminant
categories.
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Inlet
1 .A surface connection to a drain pipe.
2.A chamber for collecting storm water with no well below the outlet pipe for collecting grit. Often connected to a catch basin
or a "basin manhole" ("cleanout manhole") with a grit chamber.
In-line Filtration
The addition of chemical coagulants directly to the filter inlet pipe. The chemicals are mixed by the flowing water. Flocculation
and sedimentation facilities are eliminated. This pretreatment method is commonly used in pressure filter installations. Also see
"conventional filtration" and "direct filtration."
Inorganic
Material such as sand, salt, iron, calcium salts and other mineral materials. Inorganic substances are of mineral origin, whereas
organic substances are usually of animal or plant origin. Also see "organic."
Inorganic Waste
Waste material such as sand, salt, iron, calcium, and other mineral materials which are only slightly affected by the action of
organisms. Inorganic wastes are chemical substances of mineral origin; whereas organic wastes are chemical substances of an
animal or plant origin.
Integrator
A device or meter that continuously measures and calculates (adds) a process rate variable in cumulative fashion; for example,
total flows displayed in gallons, million gallons, cubic feet, or some other unit of volume measurement. Also called a "totalizer."
Intercepting Sewer
A sewer that receives flow from a number of other large sewers or outlets and conducts the waters to a point for treatment or
disposal. Often called an "interceptor."
Interceptor
A septic tank or other holding tank which serves as a temporary wastewater storage reservoir for a Septic Tank Effluent Pump
(STEP) system. See "septic tank."
Interceptor Sewer
A large sewer that receives flow from a number of sewers and conducts the wastewater to a treatment plant. Often called an
interceptor. The term interceptor is sometimes used in small communities to describe a septic tank or other holding tank which
serves as a temporary wastewater storage reservoir for a Septic Tank Effluent Pump (STEP) system.
Interconnector
A sewer installed to connect two separate sewers. If one sewer becomes blocked, wastewater can back up and flow through the
interconnector to the other sewer.
Interference
Interference refers to the harmful effects industrial compounds can have on POTW operations, such as killing or inhibiting
beneficial microorganisms or causing treatment process upsets or sludge contamination. Also see "inhibition."
Internal Inflow
Non-sanitary or industrial wastewaters generated inside of a domestic, commercial or industrial facility and being discharged
into the sewer system. Examples are cooling tower waters, basement sump pump discharge waters, continuous-flow drinking
fountains, and defective or leaking plumbing fixtures.
Ion Exchange
A water treatment process involving the reversible interchange (switching) of ions between the water being treated and the
solid resin. Undesirable ions in the water are switched with acceptable ions on the resin.
JSA
Job Safety Analysis. A supervisor selects the job to be analyzed and then, with the help of the inspectors, the job is subdivided
into individual steps and each step of the job is critically examined. During the examination process any potential hazards or
problems associated with that step are identified by reviewing how each inspector performs the tasks of this step. The intent of
this review is to see what can happen and how any potential accidents and injuries can be prevented.
Jar Test
A laboratory procedure that simulates coagulation/flocculation with differing chemical doses. The purpose of the procedure is to
estimate the coagulant dose required to achieve certain water quality goals. Samples of water to be treated are placed in six jars.
Various amounts of chemicals are added to each jar, stirred and the settling of solids is observed. The dose of chemicals that
provides satisfactory settling is the dose used to treat the water.
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Jogging
The frequent starting and stopping of an electric motor.
Joint
A connection between two lengths of pipe, made either with or without the use of another part.
Key Manhole
In collection system evaluation, a key manhole is one from which reliable or specific data can be obtained.
Kite
A device for hydraulically cleaning sewer lines. Resembling an airport windsock and constructed of canvas-type material, the
kite increases the velocity of a flow at its outlet to wash debris ahead of it. Also called a "parachute."
Kjeldahl Nitrogen
Nitrogen in the form of organic proteins or their decomposition product ammonia, as measured by the Kjeldahl Method.
Langelier Index (L.I.)
An index reflecting the equilibrium pH of a water with respect to calcium and alkalinity. This index is used in stabilizing water
to control both corrosion and the deposition of scale.
Lateral Sewer
A sewer that discharges into a branch or other sewer and has no other common sewer tributary to it. Sometimes called a "street
sewer" because it collects wastewater from individual homes.
Level Control
A float device (or pressure switch) which senses changes in a measured variable and opens or closes a switch in response to that
change. In its simplest form, this control might be a floating ball connected mechanically to a switch or valve such as is used to
stop water flow into a toilet when the tank is full.
Life-Cycle Costing
An economic analysis procedure that considers the total costs associated with a sewer during its economic life, including
development, construction, and operation and maintenance (includes chemical and energy costs). All costs are converted to a
present worth or present cost in dollars.
Lift
Vertical distance water is lifted from upstream water surface up to downstream water surface (which is at a higher elevation).
Lift Station
A wastewater pumping station that lifts the wastewater to a higher elevation when continuing the sewer at reasonable slopes
would involve excessive depths of trench. Also, an installation of pumps that raise wastewater from areas too low to drain into
available sewers. These stations may be equipped with air-operated ejectors or centrifugal pumps. Sometimes called a "pump
station," but this term is usually reserved for a similar type of facility that is discharging into a long force main, while a lift
station has a discharge line or force main only up to the downstream gravity sewer. Throughout this manual when we refer to lift
stations, we intend to include pump stations.
Liquor
Water, wastewater, or any combination; commonly used to mean the liquid portion when other wastes are also present.
Loading
Quantity of material applied to a device at one time.
Lower Explosive Limit (LEL)
The lowest concentration of gas or vapor (percent by volume in air) that explodes if an ignition source is present at ambient
temperature, At temperatures above 250°F the LEL decreases because explosibility increases with higher temperature.
Lower Flammable Limit (LFL)
The lowest concentration of a gas or vapor (percent by volume in air) that burns if an ignition source is present.
M-Zoned
An area set aside for manufacturing and industry.
MCL
Maximum Contaminant Level. The largest allowable amount. MCLs for various water quality indicators are specified in the
National Primary Drinking Water Regulations (NPDWR).
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MCLG
Maximum Contaminant Level Goal. MCLGs are health goals based entirely on health effects. They are a preliminary standard
set but not enforced by EPA. MCLs consider health effects, but also take into consideration the feasibility and cost of analysis
and treatment of the regulated MCL. Although often less stringent than the corresponding MCLG, the MCL is set to protect
health.
MG
Initials for "Million Gallons."
MGD
Initials for "Million Gallons Per Day."
mg/L
See "milligrams per liter," mg/L.
MPN
MPN is the Most Probable Number of coliform-group organisms per unit volume of sample water. Expressed as a density or
population of organisms per 100 mL of sample water.
Macroscopic Organisms
Organisms big enough to be seen by the eye without the aid of a microscope.
Main Line
Branch or lateral sewers that collect wastewater from building sewers and service lines.
Main Sewer
A sewer line that receives wastewater from many tributary branches and sewer lines and serves as an outlet for a large territory or
is used to feed an intercepting sewer.
Manhole
An opening in a sewer provided for the purpose of permitting operators or equipment to enter or leave a sewer. Sometimes
called an "access hole" or a "maintenance hole."
Manifold
A large pipe to which a series of smaller pipes are connected. Also called a "header."
Manning's Formula
A mathematical formula for calculating wastewater flows in sewers.
Manometer
Usually a glass tube filled with a liquid and used to measure the difference in pressure across a flow-measuring device such as an
orifice or a Venturi meter.
Masking Agents
Substances used to cover up or disguise unpleasant odors. Liquid masking agents are dripped into the wastewater, sprayed into
the air, or evaporated (using heat) with the unpleasant fumes or odors and then discharged into the air by blowers to make an
undesirable odor less noticeable.
Material Safety Data Sheet (MSDS)
A document which provides pertinent information and a profile of a particular hazardous substance or mixture. An MSDS is
normally developed by the manufacturer or formulator of the hazardous substance or mixture. The MSDS is required to be made
available to employees and operators whenever there is the likelihood of the hazardous substance or mixture being introduced
into the workplace. Some manufacturers are preparing MSDSs for products that are not considered to be hazardous to show that
the product or substance is not hazardous.
Mean Cell Residence Time (MCRT)
An expression of the average time that a microorganism will spend in the activated sludge process.
Measured Flow
A flow which has been physically measured.
Measured Variable
A characteristic or component part that is sensed and quantified (reduced to a reading of some kind) by a primary element or
sensor.
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Mechanical Aeration
The use of machinery to mix air and water so that oxygen can be absorbed into the water. Some examples are: paddle wheels,
mixers, or rotating brushes to agitate the surface of an aeration tank; pumps to create fountains; and pumps to discharge water
down a series of steps forming falls or cascades.
Media
The material in a trickling filter on which slime accumulates and organisms grow. As settled wastewater trickles over the media,
organisms in the slime remove certain types of wastes thereby partially treating the wastewater. Also the material in a rotating
biological contactor or in a gravity or pressure filter.
Mesophilic Bacteria
Medium temperature bacteria. A group of bacteria that grow and thrive in a moderate temperature range between 68°F (20°C)
and 113°F (45°C). The optimum temperature range for these bacteria in anaerobic digestion is 85°F (30°C) to 100°F (38°C).
Mesotrophic
Reservoirs and lakes which contain moderate quantities of nutrients and are moderately productive in terms of aquatic animal
and plant life.
Metered
Measured through a meter, as a quantity of water or flow might be measured.
Microbial Growth
The activity and growth of microorganisms such as bacteria, algae, diatoms, plankton and fungi.
Microorganisms
Very small organisms that can be seen only through a microscope. Some microorganisms use the wastes in wastewater for food
and thus remove or alter much of the undesirable matter.
Milligrams Per Liter, mg/L
A measure of the concentration by weight of a substance per unit volume in water or wastewater. In reporting the results of
water and wastewater analysis, mg/L is preferred to the unit parts per million (ppm), to which it is approximately equivalent.
Million Gallons
A unit of measurement used in wastewater treatment plant design and collection system capacities or performances. One million
gallons of water is approximately equivalent to:
Mineral Content
The quantity of dissolved minerals in a sample of water.
Mixed Liquor
When the activated sludge in an aeration tank is mixed with primary effluent or the raw wastewater and return sludge, this
mixture is then referred to as mixed liquor as long as it is in the aeration tank. Mixed liquor also may refer to the contents of
mixed aerobic or anaerobic digesters.
Mixed Liquor Suspended Solids (MLSS)
Suspended solids in the mixed liquor of an aeration tank.
Mixed Liquor Volatile Suspended Solids (MLVSS)
The organic or volatile suspended solids in the mixed liquor of an aeration tank. This volatile portion is used as a measure or
indication of the microorganisms present.
Monitoring (water)4
Testing that water systems must perform to detect and measure contaminants. A water system that does not follow EPA's
monitoring methodology or schedule is in violation, and may be subject to legal action.
Motor Efficiency
The ratio of energy delivered by a motor to the energy supplied to it during a fixed period or cycle. Motor efficiency ratings will
vary depending upon motor manufacturer and usually will be near 90.0 percent.
Moving Average
To calculate the moving average for the last 7 days, add up the values for the last 7 days and divide by 7. Each day add the most
recent day's value to the sum of values and subtract the oldest value. By using the 7-day moving average, each day of the week is
always represented in the calculations.
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Mudballs
Material that is approximately round in shape and varies from pea-sized up to two or more inches in diameter. This material
forms in filters and gradually increases in size when not removed by the backwashing process.
Multi-Stage Pump
A pump that has more than one impeller. A single-stage pump has one impeller.
NIOSH
The National Institute of Occupational Safety and Health is an organization that tests and approves safety equipment for
particular applications. NIOSH is the primary federal agency engaged in research in the national effort to eliminate on-the-job
hazards to the health and safety of working people. The NIOSH Publications Catalog contains a listing of NIOSH publications
concerning industrial hygiene and occupational health. To obtain a copy of the catalog, write to National Technical Informa-
tion Service (NTIS), 5285 Port Royal Road, Springfield, VA 22161. NTIS Stock No. PB-86-116-787.
NPDES Permit
National Pollutant Discharge Elimination System permit is the regulatory agency document issued by either a federal or state
agency which is designed to control all discharges of pollutants from point sources and storm water runoff into U.S. waterways.
NPDES permits regulate discharges into navigable waters from all point sources of pollution, including industries, municipal
wastewater treatment plants, sanitary landfills, large agricultural feedlots, and return irrigation flows.
NPDWR
National Primary Drinking Water Regulations.
NSDWR
National Secondary Drinking Water Regulations.
NTU
Nephelometric Turbidity Units. See "turbidity units (TU)."
Nameplate
A durable metal plate found on equipment which lists critical installation and operating conditions for the equipment.
Natural Cycles
Cycles that take place in nature such as the water or hydrologic cycle where water is transformed or changed from one form to
another until the water has returned to the original form, thus completing the cycle. Other natural cycles include the life cycles
of aquatic organisms and plants, nutrient cycles, and cycles of self- or natural purification.
Nephelometric
A means of measuring turbidity in a sample by using an instrument called a nephelometer. A nephelometer passes light through
a sample and the amount of light deflected (usually at a 90-degree angle) is then measured.
Net Wastewater Contribution
In a wastewater collection system, the net wastewater contribution consists of the liquid wastes and liquid-carried wastes
transported by the pipelines or received by the pipelines. This value would be the only wastewater found in a collection system
if all sources of infiltration, inflow and exfiltration were eliminated.
Net Wastewater Flow
The actual wastewater flow from a collection system that reaches a wastewater treatment plant. The net wastewater flow
includes the net wastewater contribution, infiltration and inflow and does not include losses through exfiltration.
Neutralization
Addition of an acid or alkali (base) to a liquid to cause the pH of the liquid to move toward a neutral pH of 7.0.
Nitrification Stage
A stage of decomposition that occurs in biological treatment processes when aerobic bacteria, using dissolved oxygen, change
nitrogen compounds (ammonia and organic nitrogen) into oxidized nitrogen (usually nitrate). The second-stage BOD is
sometimes referred to as the "nitrification stage" (first-stage BOD is called the "carbonaceous stage").
Nitrifying Bacteria
Bacteria that change the ammonia and organic nitrogen in wastewater into oxidized nitrogen (usually nitrate).
Nitrogenous
A term used to describe chemical compounds (usually organic) containing nitrogen in combined forms. Proteins and nitrate are
nitrogenous compounds.
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Noncompatible Pollutants
Those pollutants which are normally not removed by the POTW treatment system. These pollutants may be a toxic waste and
may pass through the POTW untreated or interfere with the treatment system. Examples of noncompatible pollutants include
heavy metals such as copper, nickel, lead, and zinc; organics such as methylene chloride, 1,1,1-trichloroethylene, methyl ethyl
ketone, acetone, and gasoline; or sludges containing toxic organics or metals.
Nonpoint Source
A runoff or discharge from a field or similar source. A point source refers to a discharge that comes out the end of a pipe or other
clearly identifiable conveyance.
Nonpotable
Water that may contain objectionable pollution, contamination, minerals, or infective agents and is considered unsafe and/or
unpalatable for drinking.
Non-Transient, Non-Community Water System (water)*
A water system which supplies water to 25 or more of the same people at least six months per year in places other than their
residences. Some examples are schools, factories, office buildings, and hospitals which have their own water systems.
Nutrient
Any substance that is assimilated (taken in) by organisms and promotes growth. Nitrogen and phosphorus are nutrients which
promote the growth of algae. There are other essential and trace elements which are also considered nutrients.
Nutrient Cycle
The transformation or change of a nutrient from one form to another until the nutrient has returned to the original form, thus
completing the cycle. The cycle may take place under either aerobic or anaerobic conditions.
Nutrients 0
Substances which are required to support living plants and organisms. Major nutrients are carbon, hydrogen, oxygen, sulfur,
nitrogen and phosphorus. Nitrogen and phosphorus are difficult to remove from wastewater by conventional treatment
processes because they are water-soluble and tend to recycle. Also see "nutrient cycle."
O&M Manual
Operation and Maintenance Manual. A manual that describes detailed procedures for operators to follow to operate and
maintain a specific water or wastewater treatment or pretreatment plant and the equipment of that plant.
OSHA
The Williams-Steiger Occupational Safety and Health Act of 1970 (OSHA) is a federal law designed to protect the health and
safety of industrial workers, including the operators of water supply and treatment systems and wastewater treatment plants. The
Act regulates the design, construction, operation, and maintenance of water supply systems, water treatment plants, wastewater
collection systems, and wastewater treatment plants. OSHA also refers to the federal and state agencies which administer the
OSHA regulations.
Odor Threshold
The minimum odor of a water sample that can just be detected after successive dilutions with odorless water. Also called
"threshold odor."
Olfactometer
A device used to measure odors in the field by diluting odors with odor-free air.
Olfactory Fatigue
A condition in which a person's nose, after exposure to certain odors, is no longer able to detect the odor.
Oligotrophic
Reservoirs and lakes which are nutrient poor and contain little aquatic plant or animal life.
Operating Ratio
The operating ratio is a measure of the total revenues divided by the total operating expenses.
Organic
Substances that come from animal or plant sources. Organic substances always contain carbon. (Inorganic materials are
chemical substances of mineral origin.) Also see "inorganic."
Organic Waste
Waste material which comes mainly from animal or plant sources. Organic wastes generally can be consumed by bacteria and
other small organisms. Inorganic wastes are chemical substances of mineral origin.
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Organics
1.A	term used to refer to chemical compounds made from carbon molecules. These compounds may be natural materials (such
as animal or plant sources) or manmade materials (such as synthetic organics). Also see "organic."
2.	Any form of animal or plant life. Also see "bacteria."
Organism
Any form of animal or plant life. Also see "bacteria."
Organizing
Deciding who does what work and delegating authority to the appropriate persons. A utility should have a written organiza-
tional plan and written policies.
Osmosis
The passage of a liquid from a weak solution to a more concentrated solution across a semipermeable membrane. The membrane
allows the passage of the water (solvent) but not the dissolved solids (solutes). This process tends to equalize the conditions on
either side of the membrane.
Outfall
1.The	point, location or structure where wastewater or drainage discharges from a sewer, drain, or other conduit.
2.The	conduit leading to the final disposal point or area.
Outfall Sewer
A sewer that receives wastewater from a collection system or from a wastewater treatment plant and carries it to a point of
ultimate or final discharge in the environment. See "outfall."
Outlet
Downstream opening or discharge end of a pipe, culvert, or canal.
Overall Efficiency, Pump
The combined efficiency of a pump and motor together. Also called the "wire-to-water efficiency."
Overdraft
The pumping of water from a groundwater basin or aquifer in excess of the supply flowing into the basin. This pumping results
in a depletion or "mining" of the groundwater in the basin.
Overflow Manhole
A manhole which fills and allows raw wastewater to flow out onto the street or ground.
Overflow Rate
One of the guidelines for the design of settling tanks and clarifiers in treatment plants. Used by operators to determine if tanks
and clarifiers are hydraulically (flow) over- or underloaded. Also called "surface loading."
Overflow Relief Line
Where a system has overload conditions during peak flows, an outlet may be installed above the invert and leading to a less
loaded manhole or part of the system. This is usually called an "overflow relief line." Also see "cross connection."
Overhead
Indirect costs necessary for a water utility to function properly. These costs are not related to the actual production and delivery
of water to consumers, but include the costs of rent, lights, office supplies, management and administration.
Overturn
The almost spontaneous mixing of all layers of water in a reservoir or lake when the water temperature becomes similar from top
to bottom. This may occur in the fall/winter when the surface waters cool to the same temperature as the bottom waters and
also in the spring when the surface waters warm after the ice melts.
Oxidation
Oxidation is the addition of oxygen, removal of hydrogen, or the removal of electrons from an element or compound. In the
environment, organic matter is oxidized to more stable substances. The opposite of reduction.
Oxidation Ditch
The oxidation ditch is a modified form of the activated sludge process. The ditch consists of two channels placed side by side
and connected at the ends to produce one continuous loop of wastewater flow and a brush rotator assembly placed across the
channel to provide aeration and circulation.
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Oxidation-Reduction Potential (ORP)
The electrical potential required to transfer electrons from one compound or element (the oxidant) to another compound or
element (the reductant); used as a qualitative measure of the state of oxidation in water or wastewater treatment systems. ORP
is measured in millivolts, with negative values indicating a tendency to reduce compounds or elements and positive values
indicating a tendency to oxidize compounds or elements.
Oxidized Organics
Organic materials that have been broken down in a biological process. Examples of these materials are carbohydrates and
proteins that are broken down to simple sugars.
Oxidizing Agent
Any substance, such as oxygen (02) or chlorine (C12), that will readily add (take on) electrons. The opposite is a reducing
agent.
Ozonation
The application of ozone to water, wastewater, or air, generally for the purposes of disinfection or odor control.
PMCL
Primary Maximum Contaminant Level. Primary MCLs for various water quality indicators are established to protect public
health.
POTW
Publicly Owned Treatment Works. A treatment works which is owned by a state, municipality, city, town, special sewer district
or other publicly owned and financed entity as opposed to a privately (industrial) owned treatment facility. This definition
includes any devices and systems used in the storage, treatment, recycling and reclamation of municipal sewage (wastewater) or
industrial wastes of a liquid nature. It also includes sewers, pipes and other conveyances only if they carry wastewater to a
POTW treatment plant. The term also means the municipality (public entity) which has jurisdiction over the indirect dis-
charges to and the discharges from such a treatment works.
PSIG
Pounds per Square Inch Gage pressure. The pressure within a closed container or pipe measured with a gage in pounds per
square inch.
Package Treatment Plant
A small wastewater treatment plant often fabricated at the manufacturer's factory, hauled to the site, and installed as one
facility. The package may be either a small primary or a secondary wastewater treatment plant.
Parallel Operation
Wastewater being treated is split and a portion flows to one treatment unit while the remainder flows to another similar
treatment unit. Also see "series operation."
Parshall Flume
A device used to measure the flow in an open channel. The flume narrows to a throat of fixed dimensions and then expands
again. The rate of flow can be calculated by measuring the difference in head (pressure) before and at the throat of the flume.
Particle Count
The results of a microscopic examination of treated water with a special particle counter which classifies suspended particles by
number and size.
Particle Counter
A device which counts and measures the size of individual particles in water. Particles are divided into size ranges and the
number of particles is counted in each of these ranges. The results are reported in terms of the number of particles in different
particle diameter size ranges per milliliter of water sampled.
Particulate
A very small solid suspended in water which can vary widely in size, shape, density, and electrical charge. Colloidal and
dispersed particulates are artificially gathered together by the processes of coagulation and flocculation.
Parts Per Million (PPM)
Parts per million parts, a measurement of concentration on a weight or volume basis. This term is equivalent to milligrams per
liter (mg/L) which is the preferred term.
Pass-Through
The passage of untreated pollutants through a publicly owned treatment works (POTW) which could violate applicable water
quality standards or National Pollutant Discharge Elimination System (NPDES) effluent limitations.
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Pathogenic Organisms
Organisms, including bacteria, viruses or cysts, capable of causing diseases (giardiasis, cryptosporidiosis, typhoid, cholera,
dysentery) in a host (such as a person). There are many types of organisms which do not cause disease. These organisms are
called non-pathogenic.
Peak Demand
The maximum momentary load placed on a water treatment plant, pumping station or distribution system. This demand is
usually the maximum average load in one hour or less, but may be specified as the instantaneous load or the load during some
other short time period.
Peaking Factor
Ratio of a maximum flow to the average flow, such as maximum hourly flow or maximum daily flow to the average daily flow.
Peristaltic Pump
A type of positive displacement pump.
Permeate
1 .To penetrate and pass through, as water penetrates and passes through soil and other porous materials.
2.The liquid (demineralized water) produced from the reverse osmosis process that contains a low concentration of dissolved
solids.
Permissible Exposure Limit (PEL)
The maximum 8-hour time weighted average of any airborne contaminant (such as dust, mist, vapor, gas, noise) to which an
operator may be exposed. At no time may the exposure level exceed the ceiling concentration for that contaminant. Ceiling
levels of regulated contaminants are listed in the Code of Federal Regulations (CFR) Title 29 Part 1910, Subparts G and Z. Also
see "Time Weighted Average (TWA)."
PH
pH is an expression of the intensity of the basic or acidic condition of a liquid. The pH may range from 0 to 14, where 0 is most
acidic, 14 most basic, and 7 neutral. Natural waters usually have a pH between 6.5 and 8.5.
Physical Waste Treatment Process
Physical waste treatment processes include use of racks, screens, comminutors, clarifiers (sedimentation and flotation) and
filtration. Chemical or biological reactions are important treatment processes, but not part of a physical treatment process.
Phytoplankton
Small, usually microscopic plants (such as algae), found in lakes, reservoirs, and other bodies of water.
Pig
Refers to a poly pig which is a bullet-shaped device made of hard rubber or similar material. This device is used to clean pipes. It
is inserted in one end of a pipe, moves through the pipe under pressure, and is removed from the other end of the pipe.
Pilot Scale Study
A method of studying different ways of treating wastewater and solids or to obtain design criteria on a small scale in the field.
Pipe Capacity
In a gravity-flow sewer system, pipe capacity is the total amount in gallons a pipe is able to pass in a specific time period.
Pipe Cleaning
Removing grease, grit, roots and other debris from a pipe run by means of one of the hydraulic cleaning methods. See "balling,"
"hydraulic cleaning," and "kite."
Pipe Diameter
The nominal or commercially designated inside diameter of a pipe, unless otherwise stated.
Pipe Joint
A place where two sections of pipe are coupled or joined together.
Pipe Section
A single length of pipe between two joints or couplers.
Plan View
A diagram or photo showing a facility as it would appear when looking down on top of it.
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Plankton
1.Small, usually microscopic, plants (phytoplankton) and animals (zooplankton) in aquatic systems.
2. All of the smaller floating, suspended or self-propelled organisms in a body of water.
Planning
Management of utilities to build the resources and financial capability to provide for future needs.
Plant Hydraulic Capacity
The flow or load, in millions of gallons per day (or portion thereof), that a treatment plant is designed to handle.
Plug Flow
A type of flow that occurs in tanks, basins or reactors when a slug of water moves through a tank without ever dispersing or
mixing with the rest of the water flowing through the tank.
Pneumatic Ejector
A device for raising wastewater, sludge or other liquid by compressed air. The liquid is alternately admitted through an
inward-swinging check valve into the bottom of an airtight pot. When the pot is filled compressed air is applied to the top of
the liquid. The compressed air forces the inlet valve closed and forces the liquid in the pot through an outward-swinging check
valve, thus emptying the pot.
Point Source
A discharge that comes out the end of a pipe. A nonpoint source refers to runoff or a "sheet flow" discharge from a field or
similar source.
Pollutant
Any substance which causes an impairment (reduction) of water quality to a degree that has an adverse effect on any beneficial
use of the water.
Pollution
The impairment (reduction) of water quality by agricultural, domestic or industrial wastes (including thermal and radioactive
wastes) to a degree that the natural water quality is changed to hinder any beneficial use of the water or render it offensive to
the senses of sight, taste, or smell or when sufficient amounts of wastes create or pose a potential threat to human health or the
environment.
Polyelectrolyte
A high-molecular-weight (relatively heavy) substance having points of positive or negative electrical charges that is formed by
either natural or manmade processes. Natural polyelectrolytes may be of biological origin or derived from starch products and
cellulose derivatives. Manmade polyelectrolytes consist of simple substances that have been made into complex,
high-molecular-weight substances. Used with other chemical coagulants to aid in binding small suspended particles to larger
chemical floes for their removal from water. Often called a "polymer."
Polymer
A long chain molecule formed by the union of many monomers (molecules of lower molecular weight). Polymers are used with
other chemical coagulants to aid in binding small suspended particles to larger chemical floes for their removal from water.
Ponding
A condition occurring on trickling filters when the hollow spaces (voids) become plugged to the extent that water passage
through the filter is inadequate. Ponding may be the result of excessive slime growths, trash, or media breakdown.
Population Equivalent
A means of expressing the strength of organic material in wastewater. In a domestic wastewater system, microorganisms use up
about 0.2 pound of oxygen per day for each person using the system (as measured by the standard BOD test). May also be
expressed as flow (100 gallons per day per person) or suspended solids (0.2 lb SS/day/person).
Positive Bacteriological Sample
A water sample in which gas is produced by coliform organisms during incubation in the multiple tube fermentation test.
Positive Displacement Pump
A type of piston, diaphragm, gear or screw pump that delivers a constant volume with each stroke. Positive displacement pumps
are used as chemical solution feeders.
Postchlorination
The addition of chlorine to the plant effluent, following plant treatment, for disinfection purposes.
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Potable Water
Water that does not contain objectionable pollution, contamination, minerals, or infective agents and is considered satisfactory
for drinking.
Power Factor
The ratio of the true power passing through an electric circuit to the product of the voltage and amperage in the circuit. This is
a measure of the lag or lead of the current with respect to the voltage. In alternating current the voltage and amperes are not
always in phase; therefore, the true power may be slightly less than that determined by the direct product.
Pre-Aeration
The addition of air at the initial stages of treatment to freshen the wastewater, remove gases, add oxygen, promote flotation of
grease, and aid coagulation.
Prechlorination (water)
The addition of chlorine at the headworks of the plant prior to other treatment processes mainly for disinfection and control of
tastes, odors, and aquatic growths. Also applied to aid in coagulation and settling.
Prechlorination (wastewater)
The addition of chlorine in the collection system serving the plant or at the headworks of the plant prior to other treatment
processes mainly for odor and corrosion control. Also applied to aid disinfection, to reduce plant BOD load, to aid in settling, to
control foaming in Imhoff units and to help remove oil.
Precipitate
1.An	insoluble, finely divided substance which is a product of a chemical reaction within a liquid.
2.The	separation from solution of an insoluble substance.
Precipitation
1 .The total measurable supply of water received directly from clouds as rain, snow, hail, or sleet; usually expressed as depth in a
day, month, or year, and designated as daily, monthly, or annual precipitation.
2.The	process by which atmospheric moisture is discharged onto a land or water surfaces.
3.The	separation (of a substance) out in solid form from a solution, as by the use of a reagent.
Precursor,THM
Natural organic compounds found in all surface and groundwaters. These compounds may react with halogens (such as chlo-
rine) to form trihalomethanes (THMs); they must be present in order for THMs to form.
Preliminary Treatment
The removal of metal, rocks, rags, sand, eggshells, and similar materials which may hinder the operation of a wastewater
treatment plant. Preliminary treatment is accomplished by using equipment such as racks, bar screens, comminutors, and grit
removal systems.
Prescriptive
Water rights which are acquired by diverting water and putting it to use in accordance with specified procedures. These
procedures include filing a request (with a state agency) to use unused water in a stream, river, or lake.
Present Worth
An economic term used to compare alternative projects. The present worth method uses a discount rate that converts (dis-
counts) all future benefits and costs over the life of the project to a single economic value at the start of the project.
Pressure Control
A switch which operates on changes in pressure. Usually this is a diaphragm pressing against a spring. When the force on the
diaphragm overcomes the spring pressure, the switch is actuated (activated).
Pressure Head
The vertical distance (in feet) equal to the pressure (in psi) at a specific point. The pressure head is equal to the pressure in psi
times 2.31 ft/psi.
Pretreatment Facility
Industrial wastewater treatment plant consisting of one or more treatment devices designed to remove sufficient pollutants from
wastewaters to allow an industry to comply with effluent limits established by the US EPA General and Categorical Pretreat-
ment Regulations or locally derived prohibited discharge requirements and local effluent limits. Compliance with effluent limits
allows for a legal discharge to a POTW.
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Pretreatment Inspector
A person who conducts inspections of industrial pretreatment facilities to ensure protection of the environment and compliance
with general and categorical pretreatment regulations. Also called an "industrial pretreatment (waste) inspector" and an
"inspector."
Preventive Maintenance
Regularly scheduled servicing of machinery or other equipment using appropriate tools, tests and lubricants. This type of
maintenance can prolong the useful life of equipment and machinery and increase its efficiency by detecting and correcting
problems before they cause a breakdown of the equipment.
Preventive Maintenance Units
Crews assigned the task of cleaning sewers (for example, balling or high-velocity cleaning crews) to prevent stoppages and odor
complaints. Preventive maintenance is performing the most effective cleaning procedure, in the area where it is most needed, at
the proper time in order to prevent failures and emergency situations.
Primacy State (water)*
A state that has the responsibility and authority to administer EPA's drinking water regulations within its borders. The state
must have rules at least as stringent as EPA's.
Primary Clarifier
A wastewater treatment device which consists of a rectangular or circular tank that allows those substances in wastewater that
readily settle or float to be separated from the wastewater being treated.
Primary Element
1.	A device that measures (senses) a physical condition or variable of interest. Floats and thermocouples are examples of primary
elements. Also called a "sensor."
2.	The hydraulic structure used to measure flows. In open channels, weirs and flumes are primary elements or devices. Venturi
meters and orifice plates are the primary elements in pipes or pressure conduits.
Primary Treatment
A wastewater treatment process that takes place in a rectangular or circular tank and allows those substances in wastewater that
readily settle or float to be separated from the water being treated.
Priority Pollutants
The EPA has proposed a list of 126 priority toxic pollutants. These substances are an environmental hazard and may be present
in water. Because of the known or suspected hazards of these pollutants, industrial users of the substances are subject to
regulation. The toxicity to humans may be substantiated by human epidemiological studies or based on effects on laboratory
animals related to carcinogenicity, mutagenicity, teratogenicity, or reproduction. Toxicity to fish and wildlife may be related to
either acute or chronic effects on the organisms themselves or to humans by bioaccumulation in food fish. Persistence (includ-
ing mobility and degradability) and treatability are also important factors.
Probe
A t-shaped tool or rod that is pushed or driven down through the soil to locate underground pipes and utility conduits.
Process Variable
A physical or chemical quantity which is usually measured and controlled in the operation of a water, wastewater, or industrial
treatment plant.
Product Water
Water that has passed through a water treatment plant. All the treatment processes are completed or finished. This water is the
product from the water treatment plant and is ready to be delivered to the consumers. Also called "finished water."
Profile, water
A drawing showing elevation plotted against distance, such as the vertical section or side view of a pipeline.
Profile, wastewater
A drawing showing the side view of sewers and manholes.
Programmable Logic Controller (PLC)
A small computer that controls process equipment (variables) and can control the sequence of valve operations.
Proteinaceous
Materials containing proteins which are organic compounds containing nitrogen.
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Protozoa
A group of motile microscopic organisms (usually single-celled and aerobic) that sometimes cluster into colonies and often
consume bacteria as an energy source.
Psychrophilic Bacteria
Cold temperature bacteria. A group of bacteria that grow and thrive in temperatures below 68°F (20°C).
Public Notification (water)4
An advisory that EPA requires a water system to distribute to affected consumers when the system has violated Maximum
Contaminant Levels or other regulations. The notice advises consumers what precautions, if any, they should take to protect
their health.
Public Water System (PWS) (water)*
Any water system that provides water to at least 25 people for at least 60 days annually. There are more than 170,000 PWSs
providing water from wells, rivers, and other sources to about 250 million Americans. Others drink water from private wells.
There are differing standards for PWSs of different sizes and types.
Pump
A mechanical device for causing flow, for raising or lifting water or other fluid, or for applying pressure to fluids.
Pump Bowl
The submerged pumping unit in a well, including the shaft, impellers and housing.
Pump Pit
A dry well, chamber, or room below ground level in which a pump is located.
Pump Station
Installation of pumps to lift wastewater to a higher elevation in places where flat land would require excessively deep sewer
trenches. Also used to raise wastewater from areas too low to drain into available collection lines. These stations may be
equipped with air-operated ejectors or centrifugal pumps. See "lift station."
Pumping Water Level
The vertical distance in feet from the centerline of the pump discharge to the level of the free pool while water is being drawn
from the pool.
Purveyor Water
An agency or person that supplies water (usually potable water).
Putrefaction
Biological decomposition of organic matter with the production of foul-smelling products associated with anaerobic conditions.
Quicklime
A material that is mostly calcium oxide (CaO) or calcium oxide in natural association with a lesser amount of magnesium oxide.
Quicklime is capable of combining with water, that is, becoming slaked. Also see "hydrated lime."
R-Zoned
Areas established for residential occupancy.
RCRA
The Federal Resource Conservation and Recovery Act (10/21/76), Public Law (PL) 94-580, provides technical and financial
assistance for the development of plans and facilities for recovery of energy and resources from discarded materials and for the
safe disposal of discarded materials and hazardous wastes. This Act introduces the philosophy of the "cradle to grave" control of
hazardous wastes. RCRA regulations can be found in Title 40 of the Code of Federal Regulations (40 CFR) Parts 260-268, 270
and 271.
Rack
Evenly spaced parallel metal bars or rods located in the influent channel to remove rags, rocks, and cans from wastewater.
Radionuclides (water)'
Any man-made or natural element that emits radiation and that may cause cancer after many years of exposure through
drinking water.
Rate of Return
A value which indicates the return of funds received on the basis of the total equity capital used to finance physical facilities.
Similar to the interest rate on savings accounts or loans.
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Raw Wastewater
Plant influent or wastewater before any treatment.
Raw Water
1.Water	in its natural state, prior to any treatment.
2.Usually	the water entering the first treatment process of a water treatment plant.
Reaeration
The introduction of air through forced air diffusers into the lower layers of the reservoir. As the air bubbles form and rise
through the water, oxygen from the air dissolves into the water and replenishes the dissolved oxygen. The rising bubbles also
cause the lower waters to rise to the surface where oxygen from the atmosphere is transferred to the water. This is sometimes
called "surface reaeration."
Recarbonation
A process in which carbon dioxide is bubbled into the water being treated to lower the pH. The pH may also be lowered by the
addition of acid. Recarbonation is the final stage in the lime-soda ash softening process. This process converts carbonate ions to
bicarbonate ions and stabilizes the solution against the precipitation of carbonate compounds.
Receiving Water
A stream, river, lake, ocean, or other surface or groundwaters into which treated or untreated wastewater is discharged.
Recharge Rate
Rate at which water is added beneath the ground surface to replenish or recharge groundwater.
Recirculation
The return of part of the effluent from a treatment process to the incoming flow.
Reclamation
The operation or process of changing the condition or characteristics of water so that improved uses can be achieved.
Recycle
The use of water or wastewater within (internally) a facility before it is discharged to a treatment system.
Redox
Reduction-oxidation reactions in which the oxidation state of at least one reactant is raised while that of another is lowered.
Reducing Agent
Any substance, such as base metal (iron) or the sulfide ion (S2-) that will readily donate (give up) electrons. The opposite is an
oxidizing agent.
Reductant
A constituent of wastewater or surface waters that uses either free (02) or combined oxygen in the process of stabilization.
Reduction
Reduction is the addition of hydrogen, removal of oxygen, or the addition of electrons to an element or compound. Under
anaerobic conditions (no dissolved oxygen present), sulfur compounds are reduced to odor-producing hydrogen sulfide (H2S)
and other compounds. The opposite of oxidation.
Reference
A physical or chemical quantity whose value is known exactly, and thus is used to calibrate instruments or standardize measure-
ments. Also called a "standard."
Refractory Materials
Materials difficult to remove entirely from wastewater such as nutrients, color, taste- and odor-producing substances and some
toxic materials.
Regulator
A device used in combined sewers to control or regulate the diversion of flow.
Regulatory Negotiation
A process whereby the U.S. Environmental Protection Agency acts on an equal basis with outside parties to reach consensus on
the content of a proposed rule. If the group reaches consensus, the US EPA commits to propose the rule with the agreed upon
content.
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Representative Sample
A sample portion of material, water, or wastestream that is as nearly identical in content and consistency as possible to that in
the larger body of material or water being sampled.
Residual Chlorine
The amount of free and/or available chlorine remaining after a given contact time under specified conditions.
Residue
The dry solids remaining after the evaporation of a sample of water or sludge. Also see "total dissolved solids."
Respiration
The process in which an organism uses oxygen for its life processes and gives off carbon dioxide.
Responsibility
Answering to those above in the chain of command to explain how and why you have used your authority.
Retention
1.That	part of the precipitation falling on a drainage area which does not escape as surface stream flow during a given period. It
is the difference between total precipitation and total runoff during the period, and represents evaporation, transpiration,
subsurface leakage, infiltration, and, when short periods are considered, temporary surface or underground storage on the area.
2.The	delay or holding of the flow of water and water-carried wastes in a pipe system. This can be due to a restriction in the
pipe, a stoppage or a dip. Also, the time water is held or stored in a basin or wet well. This is also called "detention."
Retention Time
The time water, sludge or solids are retained or held in a clarifier or sedimentation tank. See "detention time."
Return Activated Sludge (RAS)
Settled activated sludge that is collected in the secondary clarifier and returned to the aeration basin to mix with incoming raw
or primary settled wastewater.
Return Sludge
The recycled sludge in a POTW that is pumped from a secondary clarifier sludge hopper to the aeration tank.
Reuse
The use of water or wastewater after it has been discharged and then withdrawn by another user. Also see "recycle."
Reverse Osmosis
The application of pressure to a concentrated solution which causes the passage of a liquid from the concentrated solution to a
weaker solution across a semipermeable membrane. The membrane allows the passage of the water (solvent) but not the
dissolved solids (solutes).
Right-To-Know Laws
Employee "Right-to-Know" legislation requires employers to inform employees (operators) of the possible health effects
resulting from contact with hazardous substances. At locations where this legislation is in force, employers must provide
employees with information regarding any hazardous substances which they might be exposed to under normal work conditions
or reasonably foreseeable emergency conditions resulting from workplace conditions. OSHA's Hazard Communication Standard
(HCS) (Title 29 CFR Part 1910.1200) is the federal regulation and state statutes are called Worker Right-to-Know Laws.
Riparian
Water rights which are acquired together with title to the land bordering a source of surface water. The right to put to beneficial
use surface water adjacent to your land.
Rising Sludge
Rising sludge occurs in the secondary clarifiers of activated sludge plants when the sludge settles to the bottom of the clarifier, is
compacted, and then starts to rise to the surface, usually as a result of denitrification.
Rotary Pump
A type of displacement pump consisting essentially of elements rotating in a pump case which they closely fit. The rotation of
these elements alternately draws in and discharges the water being pumped. Such pumps act with neither suction nor discharge
valves, operate at almost any speed, and do not depend on centrifugal forces to lift the water.
Rotifers
Microscopic animals characterized by short hairs on their front end.
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Rotor
The rotating part of a machine. The rotor is surrounded by the stationary (non-moving) parts (stator) of the machine.
Routine Sampling
Sampling repeated on a regular basis.
Runoff
That part of rain or other precipitation that runs off the surface of a drainage area and does not enter the soil or the sewer
system as inflow.
SARA
Superfund Amendments and Reauthorization Act of 1986. The Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA), commonly known as Superfund, was enacted in 1980. The Superfund Amendments increase
Superfund revenues to $8.5 billion and strengthen the EPA's authority to conduct short-term (removal), long-term (remedial)
and enforcement actions. The Amendments also strengthen state involvements in the cleanup process and the Agency's
commitments to research and development, training, health assessments, and public participation. A number of new statutory
authorities, such as Community Right-to-Know, are also established.
SCADA System
Supervisory Control and Data Acquisition system. A computer-monitored alarm, response, control and data acquisition system
used by operators to monitor and adjust their treatment processes and monitor their operations.
SIC Code
Standard Industrial Classification Code. A code number system used to identify various types of industries. In 1997, the United
States and Canada replaced the SIC code system with the North American Industry Classification System (NAICS); Mexico
adopted the NAICS in 1998.
SMCL
Secondary Maximum Contaminant Level. Secondary MCLs for various water quality indicators are established to protect public
welfare.
SNARL
Suggested No Adverse Response Level. The concentration of a chemical in water that is expected not to cause an adverse
health effect.
SPC Chart
Statistical Process Control chart. A plot of daily performance such as a trend chart.
SVI (Sludge Volume Index)
This is a calculation which indicates the tendency of activated sludge solids (aerated solids) to thicken or to become concen-
trated during the sedimentation/thickening process. SVI is calculated in the following manner: (1) allow a mixed liquor sample
from the aeration basin to settle for 30 minutes; (2) determine the suspended solids concentration for a sample of the same
mixed liquor; (3) calculate SVI by dividing the measured (or observed) wet volume (mL/L) of the settled sludge by the dry
weight concentration of MLSS in grams/L.
Sacrificial Anode
An easily corroded material deliberately installed in a pipe or tank. The intent of such an installation is to give up (sacrifice)
this anode to corrosion while the water supply facilities remain relatively corrosion free.
Safe Drinking Water Act
Commonly referred to as SDWA. An act passed by the U.S. Congress in 1974. The act establishes a cooperative program among
local, state and federal agencies to ensure safe drinking water for consumers. The act has been amended several times, including
the 1980, 1986, and 1996 amendments.
Safe Water
Water that does not contain harmful bacteria, or toxic materials or chemicals. Water may have taste and odor problems, color
and certain mineral problems and still be considered safe for drinking.
0
Safe Yield
The annual quantity of water that can be taken from a source of supply over a period of years without depleting the source
permanently (beyond its ability to be replenished naturally in "wet years").
Sand Trap
A device which can be placed in the outlet of a manhole to cause a settling pond to develop in the manhole invert, thus
trapping sand, rocks and similar debris heavier than water. Also may be installed in outlets from car wash areas.
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Sanitary Collection System
The pipe system for collecting and carrying liquid and liquid-carried wastes from domestic sources to a wastewater treatment
plant. Also see "wastewater collection system."
Sanitary Sewer
A pipe or conduit (sewer) intended to carry wastewater or waterborne wastes from homes, businesses, and industries to the
POTW (Publicly Owned Treatment Works). Storm water runoff or unpolluted water should be collected and transported in a
separate system of pipes or conduits (storm sewers) to natural watercourses.
Sanitary Survey
A detailed evaluation and/or inspection of a source of water supply and all conveyances, storage, treatment and distribution
facilities to ensure protection of the water supply from all pollution sources.
Saprophytes
Organisms living on dead or decaying organic matter. They help natural decomposition of organic matter in water and wastewa-
ter.
Saturation
The condition of a liquid (water) when it has taken into solution the maximum possible quantity of a given substance at a given
temperature and pressure.
Scale
A combination of mineral salts and bacterial accumulation that sticks to the inside of a collection pipe under certain condi-
tions. Scale, in extreme growth circumstances, creates additional friction loss to the flow of water. Scale may also accumulate on
surfaces other than pipes.
Schedule, (pipe)
A sizing system of numbers that specifies the l.D. (inside diameter) and O.D. (outside diameter) for each diameter pipe. The
schedule number is the ratio of internal pressure in psi divided by the allowable fiber stress multiplied by 1,000. Typical
schedules of iron and steel pipe are schedules 40, 80, and 160. Other forms of piping are divided into various classes with their
own schedule schemes.
Schmutzdecke
A layer of trapped matter at the surface of a slow sand filter in which a dense population of microorganisms develops. These
microorganisms within the film or mat feed on and break down incoming organic material trapped in the mat. In doing so the
microorganisms both remove organic matter and add mass to the mat, further developing the mat and increasing the physical
straining action of the mat.
Scooter
A sewer cleaning tool whose cleansing action depends on the development of high water velocity around the outside edge of a
circular shield. The metal shield is rimmed with a rubber coating and is attached to a framework on wheels (like a child's
scooter). The angle of the shield is controlled by a chain-spring system which regulates the head of water behind the scooter
and thus the cleansing velocity of the water flowing around the shield.
Screen
A device used to retain or remove suspended or floating objects in wastewater. The screen has openings that are generally
uniform in size. It retains or removes objects larger than the openings. A screen may consist of bars, rods, wires, gratings, wire
mesh, or perforated plates.
Scum
1.A	layer or film of foreign matter (such as grease, oil) that has risen to the surface of water or wastewater.
2.	A residue deposited on the ledge of a sewer, channel, or wet well at the water surface.
3.	A mass of solid matter that floats on the surface.
Seasonal Water Table
A groundwater table that has seasonal changes in depth or elevation.
Secondary Clarifier
A wastewater treatment device which consists of a rectangular or circular tank that allows those substances not removed by
previous treatment processes that settle or float to be separated from the wastewater being treated.
Secondary Drinking Water Standards (water)4
Non-enforceable federal guidelines regarding cosmetic effects (such as tooth or skin discoloration) or aesthetic effects (such as
taste, odor, or color) of drinking water.
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Secondary Element
The secondary measuring device or flowmeter used with a primary measuring device (element) to measure the rate of liquid
flow. In open channels bubblers and floats are secondary elements. Differential pressure measuring devices are the secondary
elements in pipes or pressure conduits. The purpose of the secondary measuring device is to (1) measure the liquid level in open
channels or the differential pressure in pipes, and (2) convert this measurement into an appropriate flow rate according to the
known liquid level or differential pressure and flow rate relationship of the primary measuring device. This flow rate may be
integrated (added up) to obtain a totalized volume, transmitted to a recording device, and/or used to pace an automatic sampler.
Secondary Treatment
A wastewater treatment process used to convert dissolved or suspended materials into a form more readily separated from the
water being treated. Usually the process follows primary treatment by sedimentation. The process commonly is a type of
biological treatment process followed by secondary clarifiers that allow the solids to settle out from the water being treated.
Sediment
Solid material settled from suspension in a liquid.
Sedimentation (water)
A water treatment process in which solid particles settle out of the water being treated in a large clarifier or sedimentation
basin.
Sedimentation (wastewater)
The process of settling and depositing of suspended matter carried by wastewater. Sedimentation usually occurs by gravity when
the velocity of the wastewater is reduced below the point at which it can transport the suspended material.
Sedimentation Basin
Clarifier, Settling Tank. A tank or basin in which wastewater is held for a period of time during which the heavier solids settle
to the bottom and the lighter materials float to the water surface.
Seed Sludge
In wastewater treatment, seed, seed culture or seed sludge refers to a mass of sludge which contains populations of microorgan-
isms. When a seed sludge is mixed with wastewater or sludge being treated, the process of biological decomposition takes place
more rapidly.
Segregate
To keep separate or prevent mixing (of two or more wastestreams). Wastes from various in-plant sources are easier to treat before
they become mixed together.
Sensor
A device that measures (senses) a physical condition or variable of interest. Floats and thermocouples are examples of sensors.
Also called a "primary element."
Septage
The sludge produced in septic tanks.
Septic (water)
A condition produced by bacteria when all oxygen supplies are depleted. If severe, the bottom deposits produce hydrogen
sulfide, the deposits and water turn black, give off foul odors, and the water has a greatly increased chlorine demand.
Septic (wastewater)
A condition produced by anaerobic bacteria. If severe, the wastewater produces hydrogen sulfide, turns black, gives off foul
odors, contains little or no dissolved oxygen, and the wastewater has a high oxygen demand.
Septic Tank
A system sometimes used where wastewater collection systems and treatment plants are not available. The system is a settling
tank in which settled sludge and floatable scum are in intimate contact with the wastewater flowing through the tank and the
organic solids are decomposed by anaerobic bacterial action. Used to treat wastewater and produce an effluent that flows into a
subsurface leaching (filtering and disposal) system where additional treatment takes place. Also referred to as an "interceptor;"
however, the preferred term is "septic tank."
Septic Tank Effluent Filter (STEF) System
A facility where effluent flows from a septic tank into a gravity flow collection system which flows to a gravity sewer, treatment
plant or subsurface leaching system. The gravity flow pipeline is called an effluent drain.
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Septic Tank Effluent Pump (STEP) System
A facility where effluent is pumped from a septic tank into a pressurized collection system which may flow into a gravity sewer,
treatment plant, or subsurface leaching system.
Septicity
Septicity is the condition in which organic matter decomposes to form foul-smelling products associated with the absence of
free oxygen. If severe, the wastewater produces hydrogen sulfide, turns black, gives off foul odors, contains little or no dissolved
oxygen, and the wastewater has a high oxygen demand.
Sequestration
A chemical complexing (forming or joining together) of metallic cations (such as iron) with certain inorganic compounds, such
as phosphate. Sequestration prevents the precipitation of the metals (iron).
Series Operation
Wastewater being treated flows through one treatment unit and then flows through another similar treatment unit. Also see
"parallel operation."
Service
Any individual person, group of persons, thing, or groups of things served with water through a single pipe, gate, valve, or
similar means of transfer from a main distribution system.
Service Pipe
The pipeline extending from the water main to the building served or to the consumer's system.
Sewage
The used household water and water-carried solids that flow in sewers to a wastewater treatment plant. The preferred term is
"wastewater."
Sewer
A pipe or conduit that carries wastewater or drainage water. The term "collection line" is often used also.
Sewer Gas
1.Gas	in collection lines (sewers) that results from the decomposition of organic matter in the wastewater. When testing for
gases found in sewers, test for lack of oxygen and also for explosive and toxic gases.
2.Any	gas present in the wastewater collection system, even though it is from such sources as gas mains, gasoline, and cleaning
fluid.
Sewer Main
A sewer pipe to which building laterals are connected. Also called a "collection main."
Sewerage
System of piping with appurtenances for collecting, moving and treating wastewater from source to discharge.
Shock Load (water)
The arrival at a water treatment plant of raw water containing unusual amounts of algae, colloidal matter, color, suspended
solids, turbidity, or other pollutants.
Shock Load (wastewater)
The arrival at a plant of a waste which is toxic to organisms in sufficient quantity or strength to cause operating problems.
Possible problems include odors and sloughing off of the growth or slime on the trickling filter media. Organic or hydraulic
overloads also can cause a shock load.
Shoring
Material such as boards, planks or plates and jacks used to hold back soil around trenches and to protect workers in a trench
from cave-ins.
Short-Circuiting
A condition that occurs in tanks or basins when some of the water travels faster than the rest of the flowing water. This is
usually undesirable since it may result in shorter contact, reaction, or settling times in comparison with the theoretical (calcu-
lated) or presumed detention times.
Sidestream
Wastewater flows that develop from other storage or treatment facilities. This wastewater may or may not need additional
treatment.
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Significant Industrial User (SIU)
A Significant Industrial User (SIU) includes:
1.A11	categorical industrial users, and
2.Any	noncategorical industrial user that
Discharges 25,000 gallons per day or more of process wastewater ("process wastewater" excludes sanitary, noncontact cooling
and boiler blowdown wastewaters), or
Contributes a process wastestream which makes up five percent or more of the average dry weather hydraulic or organic (BOD,
TSS) capacity of a treatment plant, or
Has a reasonable potential, in the opinion of the Control or Approval Authority, to adversely affect the POTW treatment plant
(inhibition, pass-through of pollutants, sludge contamination, or endangerment of POTW workers).
Significant Noncompliance
An industrial user is in significant noncompliance if its violation meets one or more of the following criteria:
1.Chronic	violation of wastewater discharge limits, defined here as those in which sixty-six percent or more of all of the
measurements taken during a six-month period exceed (by any magnitude) the daily maximum limit or the average limit for the
same pollutant parameter;
2.Technical	Review Criteria (TRC) violations, defined here as those in which thirty-three percent or more of all of the
measurements for each pollutant parameter taken during a six-month period equal or exceed the product of the daily maximum
limit or the average limit multiplied by the applicable TRC (TRC = 1.4 for BOD, TSS, fats, oil and grease, and 1.2 for all other
pollutants except pH);
3.	Any other violation of a pretreatment effluent limit (daily maximum or longer-term average) that the Control Authority
determines has caused, alone or in combination with other discharges, interference or pass through (including endangering the
health of POTW personnel or the general public);
4.	Any discharge of a pollutant that has caused imminent endangerment to human health, welfare or to the environment or has
resulted in the POTW's exercise of its emergency authority under paragraph (f)(l)(vi)(b) of this section of the regulations to
halt or prevent such a discharge;
5.	(Failure to meet, within 90 days after the schedule date, a compliance schedule milestone contained in a local control
mechanism or enforcement order for starting construction, completing construction, or attaining final compliance;
6.Failure	to provide, within 30 days after the due date, required reports such as baseline monitoring reports, 90-day compliance
reports, periodic self-monitoring reports, and reports on compliance with compliance schedules;
7.Failure	to accurately report noncompliance; or
8.	Any other violation which the Control Authority determines will adversely affect the operation or implementation of the
local pretreatment program.
Single-Stage Pump
A pump that has only one impeller. A multi-stage pump has more than one impeller.
Slake
To mix with water so that a true chemical combination (hydration) takes place, such as in the slaking of lime.
Sloughings
Trickling filter slimes that have been washed off the filter media. They are generally quite high in BOD and will lower effluent
quality unless removed.
Sludge
The settleable solids separated from liquids during processing or the deposits of foreign materials on the bottoms of streams or
other bodies of water.
Sludge Age
A measure of the length of time a particle of suspended solids has been retained in the activated sludge process.
Sludge Density Index (SDI)
This calculation is used in a way similar to the Sludge Volume Index (SVI) to indicate the settleability of a sludge in a second-
ary clarifier or effluent. The weight in grams of one milliliter of sludge after settling for 30 minutes. SDI = 100/SVI. Also see
"Sludge Volume Index (SVI)."
Sludge Digestion
The process of changing organic matter in sludge into a gas or a liquid or a more stable solid form. These changes take place as
microorganisms feed on sludge in anaerobic (more common) or aerobic digesters.
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Sludge Volume Index (SVI)
This is a calculation which indicates the tendency of activated sludge solids (aerated solids) to thicken or to become concen-
trated during the sedimentation/thickening process. SVI is calculated in the following manner: (1) allow a mixed liquor sample
from the aeration basin to settle for 30 minutes; (2) determine the suspended solids concentration for a sample of the same
mixed liquor; (3) calculate SVI by dividing the measured (or observed) wet volume (mL/L) of the settled sludge by the dry
weight concentration of MLSS in grams/L.
Sludge-Volume Ratio (SVR)
The volume of sludge blanket divided by the daily volume of sludge pumped from the thickener.
Slugs
Intermittent releases or discharges of wastewater.
Slurry
A watery mixture or suspension of insoluble (not dissolved) matter; a thin, watery mud or any substance resembling it (such as a
grit slurry or a lime slurry).
Smoke Test
A method of blowing smoke into a closed-off section of a sewer system to locate sources of surface inflow.
Software Programs
Computer programs; the list of instructions that tell a computer how to perform a given task or tasks. Some software programs
are designed and written to monitor and control municipal water and wastewater treatment processes.
Soil Pollution
The leakage (exfiltration) of raw wastewater into the soil or ground area around a sewer pipe.
Sole Source Aquifer (water)*
An aquifer that supplies 50 percent or more of the drinking water of an area.
Solids Concentration
The solids in the aeration tank which carry microorganisms that feed on wastewater.
Soluble BOD
Soluble BOD is the BOD of water that has been filtered in the standard suspended solids test.
Source Water (water) 4
Water in its natural state, prior to any treatment for drinking.
Stabilization
Processes that convert organic materials to a form that resists change. Organic material is stabilized by bacteria which convert
the material to gases and other relatively inert substances. Stabilized organic material generally will not give off obnoxious
odors.
Stabilized Waste
A waste that has been treated or decomposed to the extent that, if discharged or released, its rate and state of decomposition
would be such that the waste would not cause a nuisance or odors.
Stale Water
Water which has not flowed recently and may have picked up tastes and odors from distribution lines or storage facilities.
Static Head
When water is not moving, the vertical distance (in feet) from a specific point to the water surface is the static head. (The static
pressure in psi is the static head in feet times 0.433 psi/ft.)
Step-Feed Aeration
Step-feed aeration is a modification of the conventional activated sludge process. In step aeration, primary effluent enters the
aeration tank at several points along the length of the tank, rather than all of the primary effluent entering at the beginning or
head of the tank and flowing through the entire tank in a plug flow mode.
Sterilization
The removal or destruction of all microorganisms, including pathogenic and other bacteria, vegetative forms and spores.
Compare with "disinfection."
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Storm Collection System
A system of gutters, catch basins, yard drains, culverts and pipes for the purpose of conducting storm waters from an area, but
intended to exclude domestic and industrial wastes.
Storm Runoff
The amount of runoff that reaches the point of measurement within a relatively short period of time after the occurrence of a
storm or other form of precipitation. Also called "direct runoff."
Storm Sewer
A separate pipe, conduit or open channel (sewer) that carries runoff from storms, surface drainage, and street wash, but does not
include domestic and industrial wastes. Storm sewers are often the recipients of hazardous or toxic substances due to the illegal
dumping of hazardous wastes or spills created by accidents involving vehicles and trains transporting these substances. Also see
"sanitary sewer."
Storm Water
The excess water running off from the surface of a drainage area during and immediately after a period of rain. See "storm
runoff."
Storm Water Inlet
A device that admits surface waters to the storm water drainage system. Also see "catch basin."
Stratification
The formation of separate layers (of temperature, plant, or animal life) in a lake or reservoir. Each layer has similar characteris-
tics such as all water in the layer has the same temperature. Also see "thermal stratification."
Stripped Gases
Gases that are released from a liquid by bubbling air through the liquid or by allowing the liquid to be sprayed or tumbled over
media.
Stripped Odors
Odors that are released from a liquid by bubbling air through the liquid or by allowing the liquid to be sprayed or tumbled over
media.
Structural Defect
A flaw or imperfection of a structure or design which was built into a project, pipeline or other collection system appurtenance.
Structural Failure
A condition that exists when one or more components of a system break down or fail to perform as expected. A structural
failure may result from defective parts or design or may result from other circumstances that occur after the completion of
construction.
Submergence
The distance between the water surface and the media surface in a filter.
Substrate
1.The	base on which an organism lives. The soil is the substrate of most seed plants; rocks, soil, water, or other plants or animals
are substrates for other organisms.
2.Chemical	used by an organism to support growth. The organic matter in wastewater is a substrate for the organisms in
activated sludge.
Suction Head
The positive pressure (in feet or pounds per square inch (psi)) on the suction side of a pump. The pressure can be measured from
the centerline of the pump up to the elevation of the hydraulic grade line on the suction side of the pump.
Suction Lift
The negative pressure [in feet (meters) of water or inches (centimeters) of mercury vacuum] on the suction side of the pump. The
pressure can be measured from the centerline of the pump down to (lift) the elevation of the hydraulic grade line on the suction
side of the pump.
Sump
The term "sump" refers to a structure which connects an industrial discharger to a public sewer. The structure (sump) could be a
sample box, a clarifier or an intercepting sewer.
Superchlorination
Chlorination with doses that are deliberately selected to produce free or combined residuals so large as to require dechlorina-
tion.
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SUPERFUND
The Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA). This Act was enacted
primarily to correct past mistakes in industrial waste management. The focus of the Act is to locate hazardous waste disposal
sites which are creating problems through pollution of the environment and, by proper funding and implementation of study
and corrective activities, eliminate the problem from these sites. Current users of CERCLA-identified substances must report
releases to the environment when they take place (not just historic ones).
Supernatant (water)
Liquid removed from settled sludge. Supernatant commonly refers to the liquid between the sludge on the bottom and the scum
on the water surface of a basin or container.
Supernatant (wastewater)
Liquid removed from settled sludge. Supernatant commonly refers to the liquid between the sludge on the bottom and the scum
on the surface of an anaerobic digester. This liquid is usually returned to the influent wet well or to the primary clarifier.
Supersaturated
An unstable condition of a solution (water) in which the solution contains a substance at a concentration greater than the
saturation concentration for the substance.
Surcharge
Sewers are surcharged when the supply of water to be carried is greater than the capacity of the pipes to carry the flow. The
surface of the wastewater in manholes rises above the top of the sewer pipe, and the sewer is under pressure or a head, rather
than at atmospheric pressure.
Surface Loading
One of the guidelines for the design of settling tanks and clarifiers in treatment plants. Used by operators to determine if tanks
and clarifiers are hydraulically (flow) over- or underloaded. Also called overflow rate.
Surface Runoff
1.The	precipitation that cannot be absorbed by the soil and flows across the surface by gravity.
2.The	water that reaches a stream by traveling over the soil surface or falls directly into the stream channels, including not only
the large permanent streams but also the tiny rills and rivulets.
3.Water	that remains after infiltration, interception, and surface storage have been deducted from total precipitation.
Surface Water (water)*
The water that systems pump and treat from sources open to the atmosphere, such as rivers, lakes, and reservoirs.
Surfactant
Abbreviation for surface-active agent. The active agent in detergents that possesses a high cleaning ability.
Suspended Growth Processes
Wastewater treatment processes in which the microorganisms and bacteria treating the wastes are suspended in the wastewater
being treated. The wastes flow around and through the suspended growths. The various modes of the activated sludge process
make use of suspended growth reactors. These reactors can be used for BOD removal, nitrification and denitrification.
Suspended Solids
1.Solids that either float on the surface or are suspended in water, wastewater, or other liquids, and which are largely removable
by laboratory filtering.
2.The quantity of material removed from water in a laboratory test, as prescribed in Standard Methods for the Examination of
Water and Wastewater, and referred to as Total Suspended Solids Dried at 103-105°C.
Temperature Sensor
A device that opens and closes a switch in response to changes in the temperature. This device might be a metal contact, or a
thermocouple that generates minute electric current proportional to the difference in heat, or a variable resistor whose value
changes in response to changes in temperature. Also called a "heat sensor."
Temporary Groundwater Table
1.During	and for a period following heavy rainfall or snow melt, the soil is saturated at elevations above the normal, stabilized or
seasonal groundwater table, often from the surface of the soil downward. This is referred to as a temporary condition and thus is
a temporary groundwater table.
2.When	a collection system serves agricultural areas in its vicinity, irrigation of these areas can cause a temporary rise in the
elevation of the groundwater table.
Terminal Manhole
A manhole located at the upstream end of a sewer and having no inlet pipe. Also called a deadend manhole.
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Tertiary Treatment
Any process of water renovation that upgrades treated wastewater to meet specific reuse requirements. May include general
cleanup of water or removal of specific parts of wastes insufficiently removed by conventional treatment processes. Typical
processes include chemical treatment and pressure filtration. Also called "advanced waste treatment."
Thermal Stratification
The formation of layers of different temperatures in a lake or reservoir. Also see "stratification."
Thermophilic Bacteria
Hot temperature bacteria. A group of bacteria that grow and thrive in temperatures above 113°F (45°C). The optimum
temperature range for these bacteria in anaerobic decomposition is 120°F (49°C) to 135°F (57°C). Aerobic thermophilic
bacteria thrive between 120°F (49°C) and 158°F (70°C).
Thickening
Treatment to remove water from the sludge mass to reduce the volume that must be handled.
Threshold Limit Value (TLV)
The average concentration of toxic gas or any other substance to which a normal person can be exposed without injury during
an average work week.
Threshold Odor
The minimum odor of a water sample that can just be detected after successive dilutions with odorless water. Also called "odor
threshold."
Time Lag
The time required for processes and control systems to respond to a signal or to reach a desired level.
Time Weighted Average (TWA)
The average concentration of a pollutant based on the times and levels of concentrations of the pollutant. The time weighted
average is equal to the sum of the portion of each time period (as a decimal, such as 0.25 hour) multiplied by the pollutant
concentration during the time period divided by the hours in the workday (usually 8 hours).
Titrate
To titrate a sample, a chemical solution of known strength is added drop by drop until a certain color change, precipitate, or pH
change in the sample is observed (end point). Titration is the process of adding the chemical reagent in increments until
completion of the reaction, as signaled by the end point.
Total Contribution
All water and wastewater entering a sewer system from a specific facility, subsystem or area. This includes domestic and
industrial wastewaters, inflow and infiltration reaching the main collection system.
Total Dissolved Solids (TDS)
All of the dissolved solids in a water. TDS is measured on a sample of water that has passed through a very fine mesh filter to
remove suspended solids. The water passing through the filter is evaporated and the residue represents the dissolved solids.
Total Dynamic Head (TDH)
When a pump is lifting or pumping water, the vertical distance (in feet) from the elevation of the energy grade line on the
suction side of the pump to the elevation of the energy grade line on the discharge side of the pump. The total dynamic head is
the static head plus pipe friction losses. Static head is the vertical distance between water surfaces when the water is not
moving.
Total Flow
The total flow passing a selected point of measurement in the collection system during a specified period of time.
Total Organic Carbon (TOC)
TOC measures the amount of organic carbon in water.
Total Residual Chlorine
The amount of available chlorine remaining after a given contact time. The sum of the combined available residual chlorine
and the free available residual chlorine. Also see "residual chlorine."
Totalizer
A device or meter that continuously measures and calculates (adds) a process rate variable in cumulative fashion; for example,
total flows displayed in gallons, million gallons, cubic feet, or some other unit of volume measurement. Also called an "integra-
tor."
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Toxic
A substance which is poisonous to a living organism.
Toxic Substances Control Act (TSCA)
The Toxic Substances Control Act of 1976 gave EPA the responsibility of controlling the entry of toxic, carcinogenic or
otherwise biologically active compounds into the environment. The Act placed a heavy reporting burden on industry and
contained provisions allowing EPA to demand premarket testing of some chemicals.
Toxicity
The relative degree of being poisonous or toxic. A condition which may exist in wastes and will inhibit or destroy the growth or
function of certain organisms.
Transmission Lines
Pipelines that transport raw water from its source to a water treatment plant. After treatment, water is usually pumped into
pipelines (transmission lines) that are connected to a distribution grid system.
Trap
l.ln the wastewater collection system of a building, plumbing codes require every drain connection from an appliance or fixture
to have a trap. The trap in this case is a gooseneck that holds water to prevent vapors or gases in a collection system from
entering the building.
2.Various other types of special trap's are used in collection systems such as a grit trap or sand
trap.
Transient, Non-Community Water System (water)4
A water system that provides water in a place such as a gas station or campground where people do not remain for long periods
of time. These systems do not have to test or treat their water for contaminants that pose long-term health risks because fewer
than 25 people drink the water over a long period. They still must test their water for microbes and several chemicals.
Treatment Technique (water)4
A required process intended to reduce the level of a contaminant in drinking water.
Trickling Filter
A treatment process in which the wastewater trickles over media that provide the opportunity for the formation of slimes or
biomass which contain organisms that feed upon and remove wastes from the water being treated.
Trickling Filter Media
Rocks or other durable materials that make up the body of the filter. Synthetic (manufactured) media have been used success-
fully.
Trihalomethanes (THMs)
Derivatives of methane, CH4, in which three halogen atoms (chlorine or bromine) are substituted for three of the hydrogen
atoms. Often formed during chlorination by reactions with natural organic materials in the water. The resulting compounds
(THMs) are suspected of causing cancer.
Turbidity
The cloudy appearance of water caused by the presence of suspended and colloidal matter. In the waterworks field, a turbidity
measurement is used to indicate the clarity of water. Technically, turbidity is an optical property of the water based on the
amount of light reflected by suspended particles. Turbidity cannot be directly equated to suspended solids because white
particles reflect more light than dark-colored particles and many small particles will reflect more light than an equivalent large
particle.
Turbidity Meter
An instrument for measuring and comparing the turbidity of liquids by passing light through them and determining how much
light is reflected by the particles in the liquid. The normal measuring range is 0 to 100 and is expressed as Nephelometric
Turbidity Units (NTUs).
Turbidity Units (TU)
Turbidity units are a measure of the cloudiness of water. If measured by a nephelometric (deflected light) instrumental proce-
dure, turbidity units are expressed in nephelometric turbidity units (NTU) or simply TU. Those turbidity units obtained by
visual methods are expressed in Jackson Turbidity Units (JTU) which are a measure of the cloudiness of water; they are used to
indicate the clarity of water. There is no real connection between NTUs and JTUs. The Jackson turbidimeter is a visual method
and the nephelometer is an instrumental method based on deflected light.
Turbulent Mixers
Devices that mix air bubbles and water and cause turbulence to dissolve oxygen in the water.
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U.S. EPA
United States Environmental Protection Agency.
Ultrafiltration
A membrane filter process used for the removal of some organic compounds in an aqueous (watery) solution.
Upper Explosive Limit (UEL)
The point at which the concentration of a gas in air becomes too great to allow an explosion upon ignition due to insufficient
oxygen present.
Upper Flammable Limit (UFL)
The point at which the concentration of a gas in air becomes too great to sustain a flame upon ignition due to insufficient
oxygen present.
Upset
An upset digester does not decompose organic matter properly. The digester is characterized by low gas production, high volatile
acid/alkalinity relationship, and poor liquid-solids separation. A digester in an upset condition is sometimes called a "sour" or
"stuck" digester.
Upstream
The direction against the flow of water; or, toward or in the higher part of a sewer or collection system.
V-Notch Weir
A triangular weir with a "V" notch calibrated in gallons per minute readings. By holding the weir in a pipe with rubber seals
forcing a flow to pass through the "V," a measure of the gallonage flowing through the pipe can be read on the basis of the depth
of water flowing over the weir.
Variable Costs (water)
Costs that a utility must cover or pay that are associated with the production and delivery of water. The costs vary or fluctuate
on the basis of the volume of water treated and delivered to customers (water production). Also see "fixed costs."
Variable Costs (wastewater)
Costs that a utility must cover or pay that are associated with the actual collection, treatment, and disposal of wastewater. The
costs vary or fluctuate. Also see "fixed costs."
Variable Process
A physical or chemical quantity which is usually measured and controlled in the operation of a water treatment plant or an
industrial plant.
Variance (water)*
State or EPA permission not to meet a certain drinking water standard. The water system must prove that: (1) it cannot meet a
Maximum Contaminant Level, even while using the best available treatment method, because of the characteristics of the raw
water, and (2) the variance will not create an unreasonable risk to public health. The state or EPA must review, and allow
public comment on, a variance every three years. States can also grant variances to water systems that serve small populations
and which prove that they are unable to afford the required treatment, an alternative water source, or otherwise comply with
the standard.
Velocity Head
The energy in flowing water as determined by a vertical height (in feet or meters) equal to the square of the velocity of flowing
water divided by twice the acceleration due to gravity (V2/2g).
Venturi Meter
A flow measuring device placed in a pipe. The device consists of a tube whose diameter gradually decreases to a throat and then
gradually expands to the diameter of the pipe. The flow is determined on the basis of the difference in pressure (caused by
different velocity heads) between the entrance and throat of the Venturi meter.
Violation (water)*
A failure to meet any state or federal drinking water regulation.
Volatile
1.	A volatile substance is one that is capable of being evaporated or changed to a vapor at relatively low temperatures. Volatile
substances also can be partially removed from water or wastewater by the air stripping process.
2.	In terms of solids analysis, volatile refers to materials lost (including most organic matter) upon ignition in a muffle furnace
for 60 minutes at 550°C. Natural volatile materials are chemical substances usually of animal or plant origin. Manufactured or
synthetic volatile materials such as ether, acetone, and carbon tetrachloride are highly volatile and not of plant or animal origin.
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Vulnerability Assessment (water)4
Air evaluation of drinking water spurce quality and its vulnerability to contamination by pathogens and toxic chemicals.
Waste Activated Sludge (WAS), mg/L
The excess growth of microorganisms which must be removed from the process to keep the biological system in balance.
Wastewater
A community's used water and water-carried solids (including used water from industrial processes) that flow to a treatment
plant. Storm water, surface water, and groundwater infiltration also may be included in the wastewater that enters a wastewater
treatment plant. The term "sewage" usually refers to household wastes, but this word is being replaced by the term "wastewater."
Wastewater Collection System
The pipe system for collecting and carrying water and water-carried wastes from domestic and industrial sources to a wastewater
treatment plant.
Wastewater Facilities
The pipes, conduits, structures, equipment, and processes required to collect, convey, and treat domestic and industrial wastes,
and dispose of the effluent and sludge.
Wastewater Ordinance
The basic document granting authority to administer a pretreatment inspection program. This ordinance must contain certain
basic elements to provide a legal framework for effective enforcement.
Wastewater Treatment Plant
1 .An arrangement of pipes, equipment, devices, tanks and structures for treating wastewater and industrial wastes.
2.A water pollution control plant.
Water Audit
A thorough examination of the accuracy of water agency records or accounts (volumes of water) and system control equipment.
Water managers can use audits to determine their water distribution system efficiency. The overall goal is to identify and verify
water and revenue losses in a water system.
Water Cycle
The process of evaporation of water into the air and its return to earth by precipitation (rain or snow). This process also
includes transpiration from plants, groundwater movement, and runoff into rivers, streams and the ocean. Also called the
"hydrologic cycle."
Water Purveyor
An agency or person that supplies water (usually potable water).
Water Table
The upper surface of the zone of saturation of groundwater in an unconfined aquifer.
Watershed
The region or land area that contributes to the drainage or catchment area above a specific point on a stream or river.
Weir
1.A	wall or plate placed in an open channel and used to measure the flow of water. The depth of the flow over the weir can be
used to calculate the flow rate, or a chart or conversion table may be used to convert depth to flow.
2.A	wall or obstruction used to control flow (from settling tanks and clarifiers) to ensure a uniform flow rate and avoid
short-circuiting.
Weir Loading
A guideline used to determine the length of weir needed on settling tanks and clarifiers in treatment plants. Used by operators
to determine if weirs are hydraulically (flow) overloaded.
Weir, Proportional
A specially shaped weir in which the flow through the weir is directly proportional to the head.
Wellhead Protection Area (WHPA)
The surface and subsurface area surrounding a water well or well field, supplying a public water system, through which contami-
nants are reasonably likely to move toward and reach such water well or well field. Also see "well isolation zone."
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Wet Oxidation
A method of treating or conditioning sludge before the water is removed. Compressed air is blown into the liquid sludge.The '
air and sludge mixture is fed into a pressure vessel where the organic material is stabilized. The stabilized organicjnaterial and
inert (inorganic) solids are then separated from the pressure vessel effluent by dewatering in lagoons or by mechanical means.
Wet Well
A compartment or tank in which wastewater is collected. The suction pipe of a pump may be connected to the wet well or a
submersible pump may be located in the wet well.
Y, Growth Rate
An experimentally determined constant to estimate the unit growth rate of bacteria while degrading organic wastes.
Yield
The quantity of water (expressed as a rate of flow -GPM, GPH, GPD, or total quantity per year) that can be collected for a
given use from surface or groundwater sources. The yield may vary with the use proposed, with the plan of development, and
also with economic considerations. Also see "safe yield."
Zeolite
A type of ion exchange material used to soften water. Natural zeolites are siliceous compounds (made of silica) which remove
calcium and magnesium from hard water and replace them with sodium. Synthetic or organic zeolites are ion exchange materials
which remove calcium or magnesium and replace them with either sodium or hydrogen. Manganese zeolites are used to remove
iron and manganese from water.
Zone of Aeration
The comparatively dry soil or rock located between the ground surface and the top of the water table.
Zoogleal Film
A complex population of organisms that form a "slime growth" on the trickling filter media and break down the organic matter
in wastewater. These slimes consist of living organisms feeding on the wastes in wastewater, dead organisms, silt, and other
debris. "Slime growth" is a more common term.
Zoogleal Mass
Jelly-like masses of bacteria found in both the trickling filter and activated sludge processes. These masses may be formed for or.
function as the protection against predators and for storage of food supplies. Also see "biomass."	'
Zoogleal Mat
A complex population of organisms that form a "slime growth" on the sand filter media and break down the organic matter in.
wastewater. These slimes consist of living organisms feeding on the wastes in wastewater, dead organisms, silt, and other debris.
On a properly loaded and operating sand filter these mats are so thin as to not be visible to the naked eye. "Slime growth" is a
more common term.
Zooplankton
Small, usually microscopic animals (such as protozoans), found in lakes and reservoirs.
A A number of terms were taken from the U.S. EPA Office of Water, Office of Groundwater and Drinking Water, Drinking
Water Glossary, http://www.epa.gov/safewater/glossary.htm and are marked with the water drop symbol.
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