Microbial Risk Assessment Guide

Microbial Risk Assessment Guide PDF
MICROBIAL RISK ASSESSMENT GUIDE
1 - THE RANKING TOOL
Welcome to the Small Water System Survey

guidance. This part of the Microbial Risk
Assessment Guide will provide helpful
information for answering system survey
questions, and assist you in understanding
your water system's risk scores.
We suggest that you view the introduction

and print all required survey documents
before proceeding to the guidance content in
Units 1-7. If you have missed either of these
steps, please click the MENU tab above and
then choose the appropriate link below the
Microbial Risk logo. If you are ready for guidance, please click a section below.
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1.1 - General Survey Instructions

The Small Water System Survey collects
information on various water system
components. Based on your answers, the
Ranking Tool provides numerical scores for
each system component and suggestions
you may want to consider when trying to
minimize potential microbial contamination
risks. The scores can be used to evaluate
both specific (each well or pump station) and
general components (all water sources or all
pump stations) of your water system. The
survey is divided into six parts:
Part A requests general information about

the water system, such as population served, number of wells, number of pump stations, etc.
Completing the survey for Part A is the first step in the process of filling out the survey forms
for your water system. If you have viewed the introduction movie and printed your survey
worksheets, then you have already completed this worksheet.
Survey Part B addresses the source(s) of water for your water system. For example, if you
divert water from a lake you would answer questions in the survey for "II. Surface Water -
Lake or Impoundment." Unit 2 provides more specific guidance for Part B.
Part C covers treatment facilities associated with your water system. There are separate
surveys for various types of treatment facilities, so you will only address questions for the
treatment facilities that are part of your water system. Disinfection and corrosion control
processes are included under treatment. Guidance for treatment processes can be found in
Unit 3.
Part D consists of questions regarding any pump station or storage tank in your system. If a
water source or treatment plant has a pump station, e.g., a pumping system at a well, answer
questions for the pump facilities using Part D. and use Part B. for the well. For more
information about pumping and storage survey questions, see Unit 4.
Part E covers both transmission pipelines and the distribution system. It addresses topics
such as what type of materials are installed, how the system is maintained, who performs
maintenance, etc. See Unit 5 for guidance.
Part F involves questions about who monitors your water for microbial safety, how often
monitoring is performed, and if there have been violations of current standards. If you are
unsure how to answer any of the questions in Survey Part F, refer to Unit 6 of this tutorial.
You should print and complete a survey for each part of your water system. You can skip a
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survey type that does not apply to your system. For example, if your system has no
distribution system you would not complete the survey for Part E.II.-Distribution System. If you
have more than one source of water (two wells, well and spring, etc.), three pump stations,
etc., then fill out an appropriate survey form for each source or facility.
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1.2 - The Ranking Tool

The Ranking Tool consists of a series of
linked worksheets within a single workbook.
The term "workbook" refers to all worksheets
in a single file. Think of each worksheet as a
page in a multiple-page workbook. At the
bottom of the Excel screen are labeled tabs
for each part of the survey. Think of tabs
much like divider tabs you might see in a
workbook or 3-ring binder. By placing the
mouse cursor over and left-clicking on the tab you want, the worksheet for that part of the
survey is opened. In all there are 21 worksheets (tabs) in the workbook file RankingTool.xls.
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1.3 - Viewing Comments

When you have completed answering
questions for a part of the survey, and have
entered answers to questions in the Ranking
Tool, you can view comments or
suggestions that are based on your answers.
As shown in (FIGURE 1), the right hand side
of the worksheet has a summary of the
information entered into the "Part_A"
worksheet (general water system
information). You can view this information directly on the screen of the computer's monitor,
but you may not be able to see all of the information due to limitations of the monitor's size.
However, you can view all of this information by placing the mouse pointer over the "View
Summary" button and left-clicking. This will allow you to see all of the summary or comments
on a worksheet. To return to the answers part of the worksheet, simply left-click on the "View
Answers" button to return to the left side of the worksheet. In place of the "View Summary"
button, each survey answer worksheet or Part has a "View Comments" button.
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1.4 - Navigating Worksheets

The user can switch between worksheets by
clicking on the appropriate "tab" at the
bottom of the worksheet screen. To facilitate
quicker movement from worksheet to
worksheet, a navigation window is provided.
There are two ways to access this window.
One way is to hold down the "Ctrl" key and
pressing the "h" key (Ctrl + h), or it can be
accessed by pointing to and left-clicking on
the Sheets and Forms button of the Survey
Tool Bar.
This toolbar should be a small window on top

of the worksheet. If the toolbar is not visible, go to the View menu at the top of the Excel
screen, select Toolbars, and select the Customize menu item. In the "Customize" window
click on the Toolbar tab and then make sure there is a check in the box in front of "Survey
Tools." If not, left-click the box to select the "Survey Tools" toolbar then close the window.
(FIGURE 2) indicates the short-cut key combinations to access other control forms (windows
that allow you to easily perform tasks such as clearing all answers on a worksheet).
When the "Select Survey Sheets & Control Forms" window is open, you can select any of the
survey answer sheets or sheets showing results of the survey by left-clicking on the down
arrow to show all sheets and then left-clicking on the sheet you want to view. This window can
also be used to select four other help windows (control forms) for the Ranking Tool.
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1.5 - Clearing Worksheet Answers

At any time, the user can clear the answers
in the current worksheet, a series of
worksheets or all worksheets. The "Clear
Worksheet Answers" window can be brought
up using the "Select Survey Sheets &
Control Forms" window, or by using the (Ctrl
+ a) shortcut. To clear (delete) answers for
any survey answer sheet, select the check
box next to the Part you want to clear
answers for and then left-click on the "Clear
Checked Items" button. A message box will come up asking if you want to clear all answers
on the selected worksheet(s). Left-click on the "Clear ALL Answers" button to clear answers
on ALL worksheets, or left-click on the "Cancel" button to close the window.
After clicking on the "Clear Checked Items" button a question dialogue box will appear asking
you if you want to clear answers to checked items. If you click on the "Yes" button, another
question dialogue box will appear asking if you want to clear the answers to a specific answer
worksheet. Answers can be cleared while working on any survey answer worksheet by left-
clicking on the button at the top of that sheet.
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1.6 - Checking Percent Values

The "Check Percent Values" window
(FIGURE 3) shows the user the current
sum of the percent of annual supply, or
percent of all storage, values required
in the survey forms. Each survey form
for Parts B., C., D., and E.I. require the
user to input the percent of annual
water supply provided by each facility,
or in the case of Part D.II.-Storage, the
percent of the total storage volume.
These are the same survey answer
sheets that provide up to four answer
forms for each type of source,
treatment or facility they cover. The
following example demonstrates the
sum of percent values concept.
A water system has three water

sources: a spring and two wells. The
survey for each source asks what
percent of the average annual water
supply is provided by each source.
First one must determine the average
annual water supply. For this example the water system produces approximately 200,000
gallons of water per day (200,000 gallons/day x 365 days/year = 73,000,000 gallons/year or
73 million gallons per year). There are several ways to determine the percent of annual supply
provided by each source:
● Based on operator knowledge, the spring supplies 80% of the annual supply and each well
supplies 10%. The total should sum up to 100%. (80% + 10% + 10% = 100%).
● If the operator has data on the total gallons of water supplied by each source last year, the
percent of annual supply values can be calculated as follows:
Total annual water supply = 73,000,000 gallons per year
Annual spring water production = 58,400,000 gallons per year
Annual well production, each well = 7,300,000 gallons per year
Percent of Annual Supply for Spring = 58,400,000 / 73,000,000 x 100 = 80%
Percent of Annual Supply for a Well = 7,300,000 / 73,000,000 x 100 = 10%
If at any time the user of the Ranking Tool is unsure as to what the sum of all percentages for
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a given "Part" are, the user can bring up the "Check Percent Values" window (Ctrl + k). Before
viewing or printing results for Part B or D, the user should check to make sure all components
in a particular Part add up to 100, otherwise the numerical scores assigned to each
component in the total water system scores will be in error. The Ranking Tool will give you a
message warning you of this condition, if it exists, prior to printing results. In addition to the
"Check Percent Values" window, there is an up-to-date box on each survey sheet showing the
current sum of percent values as shown in (FIGURE 4).
Sum of percent values for all of Part C, Part D.I., and Part E.I. do not have to add up to 100.
However, the percent values for a particular Part cannot exceed 100, e.g., the sum of percent
of supply for raw water transmission pipelines cannot exceed 100, but could be less than 100
if the pipe only supplied a fraction of the total supply. The exception to this is Part D.I.,
Pumping Facilities. Four different types of pumping facilities can be entered:
(1) Distribution System Pumping (e.g., a booster pump station),

(2) Wells (vertical turbine or submersible-type pumps),
(3) Treated water (e.g., pump station at a treatment plant), and
(4) Raw water (e.g., lake intake pump station).
With the exception of distribution system pumping facilities, the sum of percent values cannot
exceed 100% for any one type of pumping facility. For example, the sum of percent for all
treated water pumping facilities cannot exceed 100%. However, the sum of percent for
distibution system pumping can exceed 100%. You will receive a warning if the sum of
percent values you enter for a type of pump station, say for wells, exceeds 100%. There is no
maximum sum of percent value for distributions system pumping facilities.
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2 - WATER SOURCE
Unit 2 provides guidance material for

completing Part B - Water Source in the
Small Water System Survey. The Ranking
Tool contains surveys for surface water and
ground water source types. A surface water
source is all of the watershed upstream of an
intake point, including the intake structure. A
ground water source includes the facility
designed to extract water from an aquifer,
the aquifer itself and the land areas that
influence the quality of water in the aquifer.
Well pumps, pump stations, and treatment
facilities are covered in separate surveys.
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2.1 - Surface Water: Stream or River

Water diverted or pumped from a stream or
river that is open to the atmosphere is a
surface water source. Surface water sources
are vulnerable to a wide variety of microbial
contaminants originating from sources such
as wastewater and stormwater discharges to
the watershed. Part B.I. questions inquire
about items such as ownership and
management of land within the watershed,
discharges to the waterway upstream of the
diversion point, and prevalence of native and
domestic animals within the watershed.
1. Stream or river source identification
Give each surface water source a number, starting at 1. If the water from each source is
treated at different treatment facilities, answer "Part C - Treatment" for each facility.
Example: Suppose a water system has intakes on two different streams, North Fork and
South Fork, and the combined water from both sources is treated at one treatment facility.
Give the North Fork supply the No. 1 and the South Fork supply the No. 2. Answer a survey
for each intake and its associated watershed. When you fill out Part C for Treatment,
designate the treatment facility as number 1. A treatment facility that treats a third source can
be given the number 2.
2. Source Water Assessment
Source water assessments are an initial survey that indicates the extent of the watershed for
this supply source, characteristics of the watershed (such as land uses and ownership), and
an inventory of potential contaminant sources that could reach the surface water.
Examples of contaminant sources are a municipal wastewater discharge, presence of cattle

or other livestock grazing along stretches of a stream or lake, or numerous septic systems
located near the surface water source.
3. Source Water Protection Program
A source water protection plan uses the information gathered as part of the source water
assessment and develops a management plan for the watershed. The goal of the
management plan should be to develop agreements and relationships with landowners or
agencies to minimize the potential for pollution of the water supply.
An example would be working with landowners to fence-off a buffer area along streams to
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minimize cattle access to water. Many watersheds are so extensive that only those areas that
could conceivably contribute contaminants to the water are considered, such as the area
within a set number of feet of rivers, streams or lakes, and within a certain distance upstream
of the water intake.
4. Management of land use and activities within the watershed
The geographic extent of the watershed should be identified in the source water assessment
or source water protection plan. When a water system or other governmental agency
manages land use and activities within the area that could influence water quality, it becomes
more feasible to monitor and control those land uses or activities that could pose a
contamination risk to the water supply. Most management plans include setting clear lines of
communication between the water utility and those that could pose a serious risk of
contamination (e.g., municipal wastewater treatment plant). For example, if a cattle feedlot
existed within the watershed it may be possible to work with the owner to insure proper waste
disposal and control of surface water runoff.
5. Domestic and native animals within watershed
The presence of domestic animals within the watershed can be a source of microbial
contaminants under some circumstances. Grazing or confinement of domestic animals would
be of concern if the animals had unlimited access to streams or lakes. Minimizing domestic
animal access to surface water sources can improve water quality in several ways, including
reduction of microbial contaminants. Other benefits are protection of stream and lake banks
and reduced erosion, thus lowering suspended matter in the water.
Confined animal feeding operations (CAFOs) are another potential source of microbial
contamination. If surface runoff from a CAFO can reach a stream or lake during a precipitation
event, there is greater risk for contamination of the surface water. Vegetated buffer strips can
be effective in reducing microbial transport to a waterway.
Some watersheds support a large population of native animals such as deer or elk. The
greater the number of native animals in the watershed, the greater the risk of microbial
contamination. While native animals do not generally pose a great threat, their presence
should be noted as a potential source of microbial contamination.
6. Human access to and activities practiced within watershed
Many watersheds exist on public lands, such as national forests, and it is not possible to
totally restrict access to the watershed. There are a large number of activities that can be
practiced within a watershed, many of which are recreational activities such as hiking,
camping, boating, swimming, etc. These activities do not generally result in significant
microbial contamination, but should be noted as potential sources unless properly managed
or supervised. Boating and swimming are commonly practiced on lakes or rivers that supply
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drinking water, but those activities can increase the risk for microbial contamination.
Natural resource extraction activities are more noted for water quality contaminants other than
microbial contaminants. However, the mere presence of human activities can be considered a
risk unless properly managed and supervised.
7. Upstream wastewater discharges
The discharge of treated and untreated wastewater to rivers, streams or lakes upstream of a
drinking water intake can be a major source of microbial contamination. Some towns and
cities have combined wastewater and stormwater sewers, resulting in overload of the sewer
pipes during heavy precipitation events and potential discharge of untreated wastewater
directly to surface water. These discharges are referred to as combined sewer overflows
(CSOs). Most wastewater utilities are working to eliminate or treat any CSOs, however their
presence can be a serious threat to a drinking water supply.
Many homes and businesses within any given watershed may rely on individual wastewater
disposal systems, primarily septic tanks and drainfields. When located too close to a stream,
river or lake, the effluent from these systems can reach the surface water and possibly result
in microbial contamination.
The greater the distance from a water intake to an upstream discharge, the less risk there is
of microbial contamination. Dilution and pathogen die-off can occur within a healthy surface
water source, decreasing the chance of serious contamination of downstream uses.
8. Upstream stormwater discharges/runoff within watershed
Stormwater can enter a surface water source as a point discharge or nonpoint discharge.
Point discharges are pipes or waterways specifically designed to carry stormwater. Nonpoint
discharges are those that naturally occur as surface runoff during a precipitation event. Point
discharges arise from stormwater collected in urban, suburban or other developed areas and
conveyed to a nearby waterway or lake. These stormwater discharges can contain microbial
contaminants.
Nonpoint discharges occur naturally during a precipitation event. When the surface runoff is
from certain types of land uses, there is greater risk of microbial contamination. Specific land
uses of concern are land used for disposal of municipal wastewater sludge (solids from the
treatment process), liquid municipal wastewater, or animal wastes such as those produced by
CAFOs Vegetated buffer strips and/or diversion ditches are required to minimize
contaminated runoff from reaching the surface water.
As with wastewater discharges, the closer a potential contaminant source is to the water
intake, the greater the risk for contamination.
9. Surface water intake structures
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Intakes on rivers or streams come in many different configurations, but most have some form
of screen or bar rack to prevent objects and contaminants from entering the water supply.
Generally, fine screens are the best, keeping out fish and other rodents. Fine screens require
some form of cleaning mechanism or they become easily clogged with debris. Coarse
screens or bar racks are typical, but cannot remove smaller contaminants.
It is good practice to control human and animal access to the area around the water intake
structure. Most desirable is a security fence with a locked gate. Less desirable but many times
necessary are fences to prevent livestock or native animals away from the intake site. Posting
the area with signs that indicate access is restricted to only authorized personnel can help
prevent people from entering the water intake site. Keeping the intake site secure from people
and animals can help prevent intentional or unintentional contamination of the water supply.
Many times it is evident to water system operators that the location of the intake or its design
is severely limiting the ability to divert the best quality water. Moving or reconstructing the
intake may improve water quality and reduce treatment costs.
10. Known sources of microbial contamination
When operators of a water system are aware of sources of microbial contamination, efforts
should be made to eliminate, minimize or manage those sources. Preventing microbial
contaminants from entering the water supply is an important task in the protection of the
consumer from water contamination. This can be particularly important if a situation such as a
treatment unit failure should occur.
11. Filtration waiver
States and EPA have strict requirements that must be met if a waiver of filtration of surface
water is to be granted. Extensive watershed protection and management are required if a
water source is to meet the requirements for remaining unfiltered.
12. Source treatment
Does this water source receive any form of treatment, including disinfection? (yes/no)
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2.2 - Surface Water: Lake or Impoundment

Water diverted or pumped from a lake,
reservoir or other type of impoundment that
is open to the atmosphere is a surface water
source. Surface water sources are
vulnerable to a wide variety of microbial
contaminants originating from sources such
as wastewater and stormwater discharges to
the lake or impoundment. Part B.II. questions
inquire about items such as ownership and
management of land within the watershed
that supplies water to the lake, discharges in
the watershed upstream of the diversion
point, and location of domestic animals within
the watershed.
1. General
Give each surface water source a number, starting at 1. If the water from each source is
treated at different treatment facilities, answer "Part C - Treatment" for each facility.
Example: Suppose a water system has intakes on two different streams, North Fork and
South Fork, and the combined water from both sources is treated at one treatment facility.
Give the North Fork supply the No. 1 and the South Fork supply the No. 2. Answer a survey
for each intake and its associated watershed. When you fill out Part C for Treatment,
designate the treatment facility as number 1. A treatment facility that treats a third source can
be given the number 2.
Source water assessments are an initial survey that indicates the extent of the watershed for
this supply source, characteristics of the watershed (such as land uses and ownership), and
an inventory of potential contaminant sources that could reach the surface water.
Examples of contaminant sources are a municipal wastewater discharge, presence of cattle

or other livestock grazing along stretches of a stream or lake, or numerous septic systems
located near the surface water source.
A source water protection plan uses the information gathered as part of the source water
assessment and develops a management plan for the watershed. The goal of the
management plan should be to develop agreements and relationships with landowners or
agencies to minimize the potential for pollution of the water supply.
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An example would be working with landowners to fence-off a buffer area along streams to
minimize cattle access to water. Many watersheds are so extensive that only those areas that
could conceivably contribute contaminants to the water are considered, such as the area
within a set number of feet of rivers, streams or lakes, and within a certain distance upstream
of the water intake.
4. Management of land use and activities within the watershed
The geographic extent of the watershed should be identified in the source water assessment
or source water protection plan. When a water system or other governmental agency
manages land use and activities within the area that could influence water quality, it becomes
more feasible to monitor and control those land uses or activities that could pose a
contamination risk to the water supply. Most management plans include setting clear lines of
communication between the water utility and those that could pose a serious risk of
contamination (e.g., municipal wastewater treatment plant). For example, if a cattle feedlot
existed within the watershed it may be possible to work with the owner to insure proper waste
disposal and control of surface water runoff.
5. Domestic and native animals within watershed
The presence of domestic animals within the watershed can be a source of microbial
contaminants under some circumstances. Grazing or confinement of domestic animals would
be of concern if the animals had unlimited access to streams or lakes. Minimizing domestic
animal access to surface water sources can improve water quality in several ways, including
reduction of microbial contaminants. Other benefits are protection of stream and lake banks
and reduced erosion, thus lowering suspended matter in the water.
Confined animal feeding operations (CAFOs) are another potential source of microbial
contamination. If surface runoff from a CAFO can reach a stream or lake during a precipitation
event, there is greater risk for contamination of the surface water. Vegetated buffer strips can
be effective in reducing microbial transport to a waterway.
Some watersheds support a large population of native animals such as deer or elk. The
greater the number of native animals in the watershed, the greater the risk of microbial
contamination. While native animals do not generally pose a great threat, their presence
should be noted as a potential source of microbial contamination.
6. Human access to and activities practiced within watershed
Many watersheds exist on public lands, such as national forests, and it is not possible to
totally restrict access to the watershed. There are a large number of activities that can be
practiced within a watershed, many of which are recreational activities such as hiking,
camping, boating, swimming, etc. These activities do not generally result in significant
microbial contamination, but should be noted as potential sources unless properly managed
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or supervised. Boating and swimming are commonly practiced on lakes or rivers that supply
drinking water, but those activities can increase the risk for microbial contamination.
Natural resource extraction activities are more noted for water quality contaminants other than
microbial contaminants. However, the mere presence of human activities can be considered a
risk unless properly managed and supervised.
7. Upstream wastewater discharges
The discharge of treated and untreated wastewater to rivers, streams or lakes upstream of a
drinking water intake can be a major source of microbial contamination. Some towns and
cities have combined wastewater and stormwater sewers, resulting in overload of the sewer
pipes during heavy precipitation events and potential discharge of untreated wastewater
directly to surface water. These discharges are referred to as combined sewer overflows
(CSOs). Most wastewater utilities are working to eliminate or treat any CSOs, however their
presence can be a serious threat to a drinking water supply.
Many homes and businesses within any given watershed may rely on individual wastewater
disposal systems, primarily septic tanks and drainfields. When located too close to a stream,
river or lake, the effluent from these systems can reach the surface water and possibly result
in microbial contamination.
The greater the distance from a water intake to an upstream discharge, the less is risk there is
of microbial contamination. Dilution and pathogen die-off can occur within a healthy surface
water source, decreasing the chance of serious contamination of downstream uses.
8. Upstream stormwater discharges/runoff within watershed
Stormwater can enter a surface water source as a point discharge or nonpoint discharge.
Point discharges are pipes or waterways specifically designed to carry stormwater. Nonpoint
discharges are those that naturally occur as surface runoff during a precipitation event. Point
discharges arise from stormwater collected in urban, suburban or other developed areas and
conveyed to a nearby waterway or lake. These stormwater discharges can contain microbial
contaminants.
Nonpoint discharges occur naturally during a precipitation event. When the surface runoff is
from certain types of land uses, there is greater risk of microbial contamination. Specific land
uses of concern are land used for disposal of municipal wastewater sludge (solids from the
treatment process), liquid municipal wastewater, or animal wastes such as those produced by
CAFOs. Vegetated buffer strips and/or diversion ditches are required to minimize
contaminated runoff from reaching the surface water.
As with wastewater discharges, the closer a potential contaminant source is to the water
intake, the greater the risk for contamination.
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9. Surface water intake structures
Many lakes or impoundments have variable water quality with depth based on the season of
the year. Therefore, the ability to withdraw water from variable depths within the lake can help
improve the ultimate quality of water withdrawn from the lake.
Intake structures for lakes of impoundments often are constructed with screens to prevent fish
and other small animals from being drawn into the water supply. Manual or automatic
cleaning systems are often required to prevent clogging of the screen. Cleaning systems
generally improve the quality of the water being withdrawn. Coarse screens may not require
cleaning but have the potential to let fish or other small animals enter the water supply.
It is good practice to control human and animal access to the area around the water intake
structure. Most desirable is a security fence with a locked gate. Less desirable, but many
times necessary, are fences to keep livestock or native animals away from the intake site.
Posting the area with signs that indicate access is restricted to only authorized personnel can
help prevent people from entering the water intake site. Keeping the intake site secure from
people and animals can help prevent intentional or unintentional contamination of the water
supply.
10. Known sources of microbial contamination
When operators of a water system are aware of sources of microbial contamination, efforts
should be made to eliminate, minimize or manage those sources. Preventing microbial
contaminants from entering the water supply is an important task in the protection of the
consumer from water contamination. This can be particularly important if a situation such as a
treatment unit failure should occur.
11. Filtration waiver States and EPA have strict requirements that must be met if a waiver of
filtration of surface water is to be granted. Extensive watershed protection and management
are required if a water source is to meet the requirements for remaining unfiltered.
12. Source Treatment
Does this water source receive any form of treatment? (yes/no)
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2.3 - Ground Water: Wells & Drilled, Horizontal Well Collectors

Wells are constructed to allow water to be
drawn from an aquifer located below the
ground surface. Aquifers are natural geologic
formations that are pervious enough to allow
water to move within the open pore spaces.
Aquifers are often composed of sand, gravel
and cobbles, but there are many other types
of materials that can serve as an aquifer.
Ground water is generally less vulnerable to
microbial contaminants than is surface water,
but there are numerous cases of
groundwater becoming polluted with
microbial contaminants from the ground's
surface. Shallow, unconfined aquifers can be
susceptible to contamination from surface pollutants.
Part B.III. questions cover both vertical wells (drilled or dug) and horizontal well collectors.
Horizontal well collectors consist of a central, vertical caisson that extends from the ground
surface to below the ground water table, with horizontally drilled wells located in a radial
pattern around the caisson. Protection of a well source from contamination requires knowing
the area of influence, defined as the surface and subsurface area surrounding a well through
which surface contaminants are reasonably likely to move toward and reach the well.
Determining the area of influence requires experts and will not generally be available unless a
Source Water Assessment or Source Water Protection Plan (or Wellhead Protection Plan)
has been developed for the well. Part B.III. questions inquire about items such as ownership
and management of land within the area of influence, the characteristics of the aquifer such
as distance to the ground water table, well construction information, and prevalence of septic
tank/drainfield systems in the area of the well.
1. Well source identification
Give each ground water well source a number, starting at the number 1.
Example: Suppose the Main Street well is one of your system's wells, and there is chlorine
feed equipment at this well. Give the Main Street well the number 1. When you answer Part D
for the pumping facility at this well, designate the pump station as No. 1. When you fill out Part
C for treatment at this well, designate the treatment facility as number 1 also.
2. Type of ground water source
Part B. III. should be used only for wells, including horizontal, drilled wells. Horizontal drilled
wells are those where a central sump or shaft was first constructed, then horizontal collector
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pipes were drilled in a radial direction. Horizontal well collectors may be known as "Ranney"
collectors.
3. Source Water Assessment (Initial examination of area around well where contamination
could exist)
Source water assessments are an initial examination that indicates where the well's area of
influence lies (the area where any contaminant spill or source could potentially reach the well
within a short period of time). Potential contaminant sources are inventoried within the area
around the well. The assessment can help identify possible sources of contamination near the
well, such as an area where livestock are being raised.
4. Source Water Protection or Wellhead Protection Program (Detailed management program

to protect the water quality in this well)
A source water protection plan or wellhead protection plan uses the information gathered as
part of the source water assessment and presents a management plan for the area of
influence and any other area that could potentially contribute to well contamination. These
plans many times involve land use management agreements with landowners to minimize
and control potential contaminants that could reach the well or the aquifer that supplies the
well.
5. Management of land use and activities within the area of influence
The area of influence should be identified in the source water assessment or source water
protection plan for this well. If you do not know the area of influence, assume it is all land
within 1000 feet of the well (an area of 7.2 acres). When a water system or other
governmental agency manages land use and activities within the well's area of influence, it
may be more feasible to monitor and control any activities that could pose a contamination
risk to the well's water supply aquifer.
6. Aquifer type
An aquifer is the geologic material (rock, cobbles, sand, gravel, etc.) below the ground surface
where ground water is found. The following gives a very general definition for confined and
unconfined aquifers.
A confined aquifer has both top and bottom confining layers. The confining layers are less
permeable and restrict water movement, and can consist of materials such as clays.
An unconfined aquifer has no top confining layer, only a bottom layer that is impermeable to
water movement.
A confined aquifer can be less vulnerable to nearby contamination compared to an

unconfined aquifer since it has a top confining or impermeable layer that helps restrict
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contaminant movement from above. Groundwater under the direct influence of surface water
(GWUDISW). A groundwater supply that is under the influence of surface water can usually
be determined by comparing the groundwater quality to that of nearby surface waters that are
suspected to be contributing to the groundwater in some way. If the State or EPA has
designated a ground water source as GWUDISW, then the source (aquifer) is more
vulnerable to microbial contamination and appropriate treatment and disinfection is required.
7. Potential microbial contaminants
A preliminary inventory of potential sources of microbial contamination can help assess a

well's risk to contamination. There are many possible sources, but the ones listed in the
questionnaire are obvious ones that have greater contamination potential. These sources of
potential contamination should be listed in the source water assessment or source water
protection plan, if they exist. The closer a potential contaminant source is to the well, the
greater the risk for contamination. Many sources may appear innocuous but the numbers of
waterborne disease outbreaks that have been associated with these sources are numerous.
8. Well construction - below ground
a. Does this well meet your State's current standards for construction of this type of well or
horizontal collector system?
If you are certain this well meets all current State regulations for drinking water well
construction, then answer Yes to question 2.a. As you answer the questions below you may
find areas where there may be some doubt as to whether or not the well meets all regulations
or standards for well construction.
b. Type of well
A drilling process is used to install most wells. A casing pipe is installed in the well to prevent
well collapse and block out groundwater areas where the water quality is less desirable. Dug
wells were generally installed in areas where the groundwater was shallow, near the ground
surface. Shallow wells have a greater potential for contamination.
c. What is the depth from the ground surface to the static water level (water level when pumps
are off)?
In general, the greater the depth to the static water level, less will be the potential for
contamination.
d. Drilled well casing was NOT grouted to a depth of 20-feet or greater
Cement or bentonite slurry should have been placed around the well casing to a depth greater
than 20 feet by the well driller. The grout prevents movement of water and pollutants from the
ground surface along the pipe casing to the groundwater below.
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e. Well casing pipe (if this is a vertical, drilled well), and
f. Horizontal well collectors (if it applies to this well) - type of materials used
Steel well casing pipe is vulnerable to corrosion. Corroding steel casing pipes can sometimes
lead to other problems such as growth of iron bacteria or coliform organisms, making it
difficult to meet water quality standards.
9. Well construction - above ground
a. The well casing should extend above the ground surface to prevent any surface water from
accidentally entering the well and contaminating the water. Many wells have air vent lines for
the casing pipe. These lines or pipes should extend above any possible flooding elevation,
end in a down-turned position, and have a tight-fitting insect screen over the end. The end of
the well should be equipped with a tight, sanitary seal to prevent any contaminant from
entering the well. Small wells sometimes have a pitless adapter installed. The pitless adapter,
if installed correctly, should prevent contaminants from entering the well. Make sure all
opening are properly sealed or screened, as appropriate.
b. Horizontal well collector sumps or central structure generally have access doors in the roof
of the sump. Access doors should be installed on a raised curb or other extension to prevent
entry of surface water. Doors should be of the "shoe-box lid" type, with a tight fit that prevents
any water, insects, rodents or dirt from entering the sump. Security locks can prevent
unauthorized tampering and possible water contamination. Manhole covers are commonly
used for access to sumps or water reservoirs. It is generally difficult to remove manhole-type
covers without contaminating the water below.
c. Runoff and Flooding potential. Wells and well houses should not be vulnerable to surface
water or floodwater. Flooding of a well house could contaminate the well, particularly if any
vent lines or openings terminate at an elevation that would allow water to enter the well via
the vent line or opening.
d. Flooding potential. Wells and well houses should not be vulnerable to surface water or
floodwater. Flooding of a well house could contaminate the well, particularly if any vent lines
or openings terminate at an elevation that would allow water to enter the well via the vent line
or opening.
e. If a sample tap exists at the well, water samples can easily and safely be obtained to check
the quality of water from the well. Frost free hydrants are sometimes used as sample taps, but
in general these hydrants can allow some backflow of contaminants and should not be used
without proper backflow prevention between the hydrant and the main line.
10. Historical microbiological contamination
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When a well has shown microbial contamination in the past, it may be more vulnerable to
continuing contamination, making it necessary to take greater precautions when using water
from the well. A source water assessment could help identify potential contaminant sources.
The disinfection system would be more critical for this source if there was known
contamination potential. Many systems are not required to regularly sample their water source
if some form of treatment is being provided. However, regular source water sampling can
provide an indication if anything is changing with respect of microbial quality of the source.
11. Treatment of this source
Enter a "1" in one of the boxes to indicate whether this water source receives treatment and/
or disinfection.
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2.4 - Ground Water: Springs & Infiltration Galleries

Springs exist where a water-bearing aquifer
has become exposed to the ground surface,
allowing ground water to flow from the
aquifer and become a surface water source.
Aquifers are natural geologic formations that
are pervious enough to allow water to move
within the open pore spaces. Aquifers are
often composed of sand, gravel and cobbles,
but there are many other types of materials
that can serve as an aquifer such as
fractured rock or limestone.
Ground water is generally less vulnerable to

microbial contaminants than is surface water,
but there are numerous cases of ground water becoming polluted with microbial contaminants
on the ground's surface. Spring water collection systems gather the ground water from the
spring prior to the water exiting the aquifer. The shallow nature of most spring water collection
systems makes the spring water collection area susceptible to contamination from surface
pollutants.
Part B.IV. questions cover both traditional spring collection facilities as well as infiltration
galleries. Infiltration galleries are generally located in the alluvial material near a surface water
source such as a river; the quality of the water that they collect is usually influenced by the
quality of the surface water. Protection of a spring source from contamination requires
knowing the area of influence, the area around the spring where surface contaminants could
potentially reach the spring water at concentrations detrimental to human health. Determining
the area of influence requires experts and will not generally be available unless a Source
Water Assessment or Source Water Protection Plan has been developed for the spring. Part
B.III. questions inquire about items such as ownership and management of land within the
area of influence, characteristics of the aquifer, spring water collection system information
such as materials and surface water barriers, and control of native and domestic animals
around the spring area.
1. Spring or Infiltration Gallery source identification
Give each ground water source a number, starting at number 1. Example: Suppose the
Cottonwood Spring is one of your system's springs, and there is chlorine feed equipment at
this spring. Give Cottonwood Spring the number 1 and when you fill out Part C for treatment
at this spring source, designate the treatment facility as number 1. If there is a pump station at
this spring, designate it as number 1 also.
2. Type of ground water source
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Part B. IV. should be used only for springs or infiltration galleries not associated with a spring.
Springs generally consist of spring boxes (a box or manhole-type structure placed over the
spring source); buried, perforated or slotted collector pipes; or in some cases both.
Infiltration galleries not associated with a spring generally consist of buried, perforated or
slotted collector pipe; the water source being associated with groundwater being fed by a
surface water source such as a stream or river.
Source water assessments are an initial examination that indicates where the spring or
infiltration gallery's area of influence lies (the area where any contaminant spill or source
could potentially reach the ground water within a short period of time). Potential contaminant
sources are inventoried within the area around the source.
Source water protection plans use the information gathered as part of the source water
assessment and present a management plan for the area of influence and any other area that
could potentially contribute to ground water contamination. These plans many times involve
land use management or agreements with landowners to minimize and control potential
contaminants that could reach the water source.
5. Management of land use and activities within the area of influence
The area of influence should be identified in the source water assessment or source water
protection plan for this ground water source. If you do not know the area of influence, assume
it is all land within 1000 feet of the spring or infiltration gallery (an area of 7.2 acres). When a
water system or other governmental agency manages land use and activities within the area
of influence it may be more feasible to monitor and control any activities that could pose a
contamination risk to the water supply aquifer.
6. Aquifer type
An aquifer is the geologic material (rock, cobbles, sand, gravel, clay, etc.) below the ground
surface where ground water is found. The following gives a very general definition for
confined and unconfined aquifers.
A confined aquifer has both top and bottom confining layers. The confining layers are less
permeable and restrict vertical water movement, and can consist of materials such as clays.
An unconfined aquifer has no top confining layer, only a bottom layer that is impermeable to
water movement.
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A confined aquifer can be less vulnerable to nearby contamination compared to an

unconfined aquifer since it has a top confining or impermeable layer that helps restrict
contaminant movement from above.
Ground water under the direct influence (GWUDI) of surface water. A ground water supply
that is under the influence of surface water can usually be determined by comparing the
ground water quality to that of nearby surface water suspected to be contributing to the
ground water in some way. If the State or EPA has designated a ground water source as
GWUDI, then the source (aquifer) is more vulnerable to microbial contamination.
7. Potential microbial contaminants
A preliminary inventory of potential sources of microbial contamination can help assess the
risk for contamination. There are many possible sources, but the ones listed in the
questionnaire are obvious ones that have greater contamination potential. These sources of
potential contamination should be listed in the source water assessment or source water
protection plan, if they exist. The closer a potential contaminant source is to the spring or
infiltration gallery, generally the greater the risk for contamination.
8. Protection of area around spring box/spring collector pipes or infiltration gallery collector
pipes
Spring collection facilities can consist of a simple spring box located over the primary spring
source, to a series of buried collector pipes that are joined at collector pipe structures (many
times a concrete manhole structure). Infiltration galleries generally include buried collector
pipes and structures at pipe junctions.
Deep-rooted vegetation can destroy the integrity of collector pipes and spring boxes,
increasing the risk of contamination from the surface. Removing vegetation that could become
a problem is a recurring maintenance task for most spring or infiltration gallery sites.
In many areas a stock fence is required to prevent domestic animals from entering the spring
site. A fence capable of keeping out native animals may be required for some spring sites. A
security fence with locked gates is desirable to prevent unwanted persons from tampering
with the spring box or collection pipe structures.
Diversion of surface runoff from a spring or infiltration gallery site is necessary to prevent
transport of potential microbial contaminants to the areas around the spring box or buried
collector pipes.
9. Construction of spring collection facilities
Most spring boxes or collection pipe structures have access doors, a way to access the buried
pipes in case cleaning of the pipe is required. For example, if vegetation is not controlled
within the spring site, roots can clog collector pipes, requiring the pipes to be cleaned to
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restore system capacity. Access doors should be installed on a raised concrete or metal curb
that is capable of keeping rainfall or surface water from entering the structure via the door.
Access doors should close tight and be similar to a shoebox lid in design, having a lip that
extends down over the opening. Access doors should be capable of preventing rain, insects,
rodents and dust from entering and contaminating the water source. Vandalism-proof locks
are desirable on access doors to prevent unauthorized access to the water source. In the
survey, answer questions regarding access doors for the ones least likely to meet the criteria
indicated above for access doors. For example, if one structure has a shoebox-type lid and
the other is a manhole cover with holes, answer the questions assuming manhole covers for
access doors.
Many collector pipe structures or spring boxes are concrete manholes with standard manhole
covers. It is difficult to remove manhole covers without contaminants from the cover ring
falling into the water below. If manhole covers exist, make sure all holes are permanently
plugged and a vandalism-proof security lock exists for the cover.
Any unscreened holes or open joints in a spring box or collector pipe structure can allow
unwanted animals or insects to enter the water source. General maintenance can prevent any
unwanted holes or open joints from developing.
Many spring boxes or structures are equipped with an air vent, typically a pipe extending
upward. Air vents should be covered with a screen and protected to prevent rain or dust from
entering the water supply. The ends of air vent pipes should have a down-turned fitting and be
tightly screened to prevent insects from entering the pipe.
To minimize movement of surface contaminants with water that percolates down from the
surface, an impervious liner material can be buried near the surface and over the collector
pipes below.
Collector pipes constructed of steel are vulnerable to corrosion. Corroding steel pipes can
sometimes lead to other problems such as growth of iron bacteria or coliform organisms,
making it difficult to meet water quality standards.
Overflow pipes are required for some spring or infiltration gallery systems to prevent water
from flowing out of certain structures. Overflow pipes can be a potential source of
contamination if not properly constructed. The ends of overflow pipes should not become
submerged when an overflow event occurs. If the pipe discharges into a waterway it should
be above normal and high water levels. Ends of overflow pipes should be tightly screened to
prevent insects and rodents from entering the pipe, or a tightly closing flap gate should be at
the pipe's end.
If a sample tap exists at the spring, water samples can easily and safely be obtained to check
the water's quality. It may be necessary to install sample taps in pipes that carry the water to
the system.
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10. Historical microbiological contamination
When a source has shown microbial contamination in the past, it may be more vulnerable to
continuing contamination, making it necessary to take greater precautions when using water
from the source. A source water assessment could help identify potential contaminant
sources. The disinfection system would be more critical for this source if there was known
contamination potential. Many systems are not required to regularly sample their water source
if some form of treatment is being provided. However, regular source water sampling can
provide an indication if anything is changing with respect of microbial quality of the source.
11. Does this water source receive any form of treatment, including disinfection?
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3 - TREATMENT INFORMATION
Unit 3 provides guidance material for

completing Part C - Treatment in the Small
Water System Survey. Treatment processes
can be as simple as disinfection or as
complex as conventional surface water
treatment plants. Since many water systems
employ only disinfection treatment, there are
surveys provided for those facilities that
provide only disinfection of surface water or
ground water. Separate surveys are provided
for facilities that provide filtration or other
types of treatment for surface water or
ground water.
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3.1 - Surface Water: Disinfection/Corrosion Control Treatment

Disinfection is the treatment process
designed to inactivate (kill) most potentially
harmful microorganisms present in water.
Disinfection can be performed by the addition
of an oxidizing chemical (chlorine,
hypochlorite, chlorine dioxide, chloramines,
or ozone) or by exposing the water to an
ultraviolet (UV) light source.
All surface water sources must be treated

before use as drinking water, disinfection
being the minimum form of treatment that
can be provided. If a surface water source
receives only disinfection, then the water
system must have a Filtration Waiver from
the State or U.S. EPA.
To obtain a Filtration Waiver the water

system must demonstrate that the quality of the surface water is consistently such that
disinfection will result in a safe drinking water supply. Corrosion control treatment typically
includes the addition of a chemical to reduce the tendency for metals such as iron, copper
and lead to become soluble in the water.
Part C.I. questions inquire about the treatment processes, the redundancy of equipment,
safety features, controls, quality of the water, etc. Questions are also included regarding the
presence of potential cross-connections or backflow situations that may occur within the
treatment facilities. The questions have been selected based on those components of a
treatment system that could potentially allow microbial contamination or components that if
present can help prevent microbial contamination.
1. Are disinfection and/or corrosion control the only types of treatment provided for this
surface water supply? (yes/no)
2. Treatment Facility Identification
Give each water treatment facility a number, starting at 1. The treatment facility number must
be the same number as that on the survey worksheet you use. If this facility treats water from
several sources, indicate the source numbers that were designated when Part B was
completed.
Example: Suppose a water system has intakes on three different streams, North Fork (Supply
No. 1), Middle Fork (Supply No. 2), and South Fork (Supply No. 3). The combined waters
from the North and South Forks are treated at one treatment facility, and water from the
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Middle Fork is treated at a second treatment facility. Give the treatment facility for the North
and South Forks the No. 1 and the treatment facility treating water from the Middle Fork the
No. 2. Answer a survey for each treatment facility, indicating on the survey the number used
for the sources treated by that facility.
Indicate the number used in Part B for each water source treated by this facility.
3. Filtration Waiver
If a surface water supply does not have a filtration waiver from the state or EPA, then the
source requires a greater degree of treatment than disinfection only. Only surface water
sources that have a waiver of filtration can be treated using disinfection only. Proactive
watershed protection and management along with a history of very high quality water are
required if a water source is to meet the requirements for remaining unfiltered.
4. Treated Water Turbidity
State and EPA regulations require the turbidity of an unfiltered surface water supply be less
than 5.0 NTU. Regulations state that turbidity cannot exceed 5.0 NTU for more than two
events in 12 months or 5 events in 120 months. Water turbidity is a surrogate indicator for
microbial contamination. In general, low water turbidity indicates less likelihood of
contamination.
5. Disinfection - Water Quality
Disinfectant concentration (C, mg/L) multiplied by the contact time (T, minutes) gives the term
CxT. Disinfectant concentration is dependent upon how much disinfectant is added to the
water. For example, if liquid sodium hypochlorite were being used as a disinfectant, C would
be milligrams per liter (mg/L) of free chlorine. T is based on the flow rate of water, the volume
of the detention facility, and the effectiveness of the detention facility (ability to prevent short-
circuiting of water through the detention facility). For example, if the water flow rate was 300
gallons per minute (gpm), the detention facility had a volume of 4000 gallons, and it has been
determined that the detention facility is only 50% effective, the contact time would be:
A water system determines if it is providing adequate disinfection treatment by meeting a

specific CxT value based on several water quality factors. CxT values have been developed
for common disinfectants like chlorine, chloramines, chlorine dioxide and ozone. CxT values
are dependent upon 1) type of disinfectant, 2) disinfectant concentration, 3) water
temperature, and 4) water pH. Tables are published giving CxT values that must be met by a
water supplier. When the water supply is unfiltered, the ability to meet CxT requirements of
the surface water treatment rule is crucial to insuring that microbial contaminants are
inactivated by the disinfectant. With the exception of ozone, common disinfectants like
chlorine and chloramines do not inactivate Cryptosporidium oocysts at concentrations used in
drinking water. CxT values are available in guidance documents found on the EPA's web site
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http://www.epa.gov/safewater/regs.html.
Systems that use UV-light disinfection will most likely be required to meet a UV light dose
based on disinfection efficiency tests performed before the UV disinfection system is placed
into operation. UV dose is defined as the energy of the UV light per unit area, milliwatts per
square centimeter (mW/cm2) multiplied by the exposure time of the fluid or particle to be
treated (seconds). The units for UV dose are therefore mW-s/(cm2). Exposure time is a
function of flow rate and reactor configuration, i.e., it is the detention time within the UV light
reactor. UV dose will have to be monitored, along with several other parameters, to assure
that the required dose is provided at all flow rates and water quality conditions. UV
disinfection systems will most likely be required to monitor flow rate, UV-light intensity, UV-
light transmittance, water turbidity, and operational UV dose (determined based on the first
four parameters. Since the process is new, many states have yet to develop standards for its
use, control and monitoring. The survey presents a list of possible items that may be required
for a UV-light facility.
The Ranking Tool relies on disinfectant dose and type to determine a score for this item.
Generally the higher the disinfectant dose the better the inactivation of microorganisms. If a
water system has very high quality water and can effectively use low disinfectant doses, say
less than 0.5 mg/L free chlorine, the Ranking Tool may give too high a score for this item. The
user of the tool should take this into account when looking at the results of the Ranking Tool
model.
6. Type of Disinfectant
Primary disinfection is the process used to meet required CxT values. Primary disinfection is
where the disinfectant or disinfecting process inactivates microbes.
Secondary disinfection is the process of adding sufficient disinfectant to maintain a residual

concentration in the distribution system. Many facilities use one type of disinfectant for
primary disinfection and another for secondary disinfection. A chlorine-based disinfectant
must be provided for secondary disinfection if ozone or ultraviolet (UV) light is used for
primary disinfection; ozone and UV-light do not provide any residual for protection of water in
the distribution system.
Chloramines have become popular for use as a secondary disinfectant because they do not
react with natural organic matter in water to form disinfection byproducts. Combining free
chlorine with ammonia creates chloramines. There is some evidence that chloramines are
more effective at controlling biofilm in the distribution system and provide a more stable
residual concentration. However, chloramines are not as effective against pathogens as are
chlorine or chlorine dioxide.
7. Disinfection - Facilities and Equipment
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Disinfection provides the last barrier to possible microbial contamination and is extremely
important for unfiltered surface water supplies. First and foremost the facilities must have
sufficient capacity for meeting required CxT values. This requires having sufficient contact
time and being able to feed a sufficient dose of disinfectant.
A disinfection facility treating surface water must be capable of providing the right disinfectant
dose at all times. If the water flow rate changes during the day based on system water
demands, the concentration of disinfectant in the water will also change unless there is a
mechanism to make the addition of disinfectant proportional to water flow rate. This can be
performed by having a control system that adjusts the rate of disinfectant addition based on
the flow rate and/or disinfectant concentration as measured by meters or other instruments.
The result is more consistent disinfectant concentrations.
UV-light disinfection may become popular as a primary disinfection process because it is

effective at killing Giardia and Cryptosporidium. Since the process is new, many states have
yet to develop standards for its use, control and monitoring. The survey presents a list of
possible items that may be required for a UV-light disinfection facility.
Addition of the disinfectant almost always requires there be power for pumps, controls, etc.
Loss of power will usually result in water going through the facility without addition of any
disinfectant. Some facilities provide a back-up power generator that automatically starts upon
loss of power. A way to shut-off the treated water flow if a power outage occurs could prevent
improperly disinfected water from entering the system.
Disinfection facilities should be in good operating condition because of their importance to

safe drinking water. If equipment is in poor condition and needs replacement or repair, it is the
responsibility of the operator or manager to work towards correcting the situation. It is always
desirable to have a spare unit for critical items such as feed pumps or water supply booster
pumps, items that can take a long time to replace or repair.
8. Disinfection System Monitoring and Alarms
Most small water system disinfection facilities are not manned full time. Thus it is important to
have some way for a responsible person to know when a problem has occurred. Alarms at the
facility could include visible or audible alarms. Sending an alarm or message to an on-call
person is very desirable and can be accomplished using telemetry or a simple autodialer unit
that is set up to call various phone numbers upon activation of an alarm. When facilities are
remote or no one is around most of the time, an alarm system could prevent improperly
treated water from entering the system.
9. Flow Rate Control
Controlling flow rate can provide more consistent disinfection of the water. This can be
particularly important if the disinfection system is not automated to feed the disinfectant
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proportional to flow rate. Some small systems find it easier to control flow rate through the
facility than to feed a disinfectant proportional to flow rate or residual concentration. Manual
control of the disinfectant dose requires frequent monitoring of the treated water to assure that
water quality changes have not impacted the requirement for the disinfectant. Unfiltered
surface water supplies require very careful monitoring of disinfectant dose.
10. Corrosion Control Treatment
There is evidence that treatment of water for control of corrosion can reduce the number of
positive coliform samples from the distribution system. Addition of a phosphate-based
corrosion inhibitor has been effective when the system contains unlined cast or steel pipe.
These corrosion inhibitors consist of orthophosphate and blended ortho- and poly-
phosphates, the latter being more effective with hard water or water with high alkalinity.
Corrosion control using pH adjustment or silica addition may not be effective in regard to
minimizing coliform positive samples.
11. Turbidity Monitoring and Alarms
Surface water sources that are unfiltered should (must) be continuously monitored for
turbidity. New online turbidimeters have adjustable alarm set points to allow an alarm signal
be sent upon reaching a certain turbidity level (say 4 or 5 NTU for an unfiltered supply).
Alarms at the facility could include visible or audible alarms. Sending an alarm or message to
an on-call person is very desirable and can be accomplished using telemetry or a simple
autodialer unit that is set up to call various phone numbers upon activation of an alarm. When
facilities are remote or no one is around most of the time, an alarm system could prevent
improperly treated water from entering the system.
12. Cross-connections
Cross-connections in a treatment plant can lead to microbial contamination of treated water.

The survey lists several possible cross-connections that may exist, repeated below:
- Dilution water tanks or carrier water lines for chemical feed units
- Dilution water lines that are activated by a float valve (float valves must be located upstream
of a vacuum breaker assembly to prevent possible cross-connection)
- Safety shower and/or eye wash stations
- Drain lines from the air inlet/outlet port of an air release or vacuum breaker valve
- Hose bibs (common point of cross connection unless vacuum breaker used)
- Permanent or seasonal connections for irrigation
These and other cross-connections could exist at a treatment plant. Installation of an

approved backflow prevention device is important to protection of the treated water.
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3.2 - Surface Water: Filtration/Disinfection/Corrosion Control

Most surface water sources require some
form of filtration in addition to disinfection.
The filtration step is included to remove most
potentially harmful pathogens from the water
prior to disinfection. There are numerous
types of filtration. Many treatment plants
include high-rate granular media filtration
(rapid sand filtration). This form of treatment
involves the addition of chemical coagulants,
rapid mixing, slow mixing (flocculation), and
many times settling prior to the filtration step.
Many new treatment facilities use a pressure
or vacuum-driven membrane system where a man-made membrane is used to "filter-out"
harmful microorganisms.
Part C.II. questions inquire about the treatment processes, the redundancy of equipment,
safety features, controls, quality of the treated water, etc. Questions are also included
regarding the presence of potential cross-connections or backflow situations that may occur
within the treatment facilities. The questions have been selected based on those components
of a treatment system that could potentially allow microbial contamination or components that
if present can help prevent microbial contamination.
1. Treatment Facility Information
completed.
for the sources that facility treats.
2. Treated Water Turbidity
Water turbidity is a surrogate indicator for microbial contamination. In general, low water
turbidity indicates less likelihood of contamination. It is recommended that filtration treatment
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plants set a turbidity goal that is much more stringent than the 0.3 NTU mandatory standard.
A turbidity goal of 0.1 NTU or less is typically used. Having a turbidity goal and operating the
facility accordingly provides a level of safety for producing quality water.
State and EPA regulations require the turbidity of a filtered surface water supply be less than
0.3 NTU in greater than 95% of samples taken in a month. This requirement is met by
measuring turbidity of the combined effluent from all filters on a continuous basis, or at least
every 15 minutes. Regulations state that turbidity cannot exceed 1.0 NTU.
In addition to measuring turbidity of combined filter effluent, turbidity must be monitored

continuously (or at least every 15 minutes) for each individual filter. Filter performance must
be recorded and submitted with monthly monitoring reports to the state or EPA. If certain
turbidity levels are exceeded for a given number of measurements, the treatment plant (those
that operate or are in charge) must perform work to try and correct any filter deficiencies. The
Long Term 1 Enhanced Surface Water Treatment Rule (Federal Register, 40 CFR, Parts 9,
141 and 142, National Primary Drinking Water Regulations) outlines the requirements. In
general, exceeding 1 NTU in 2 or more consecutive measurements 15 minutes apart will
trigger a requirement to notify the State.
Continued problems will lead to specific requirements for correcting the filter operation (see
LT1ESWTR).
If a turbidimeter should fail and require repair or replacement, you should take grab samples
every four hours until the unit is back in service. Current rules allow 14 days to resume
continuous monitoring.
Information on the LT1ESWTR can be found on the EPA's web site at http://www.epa.gov/
safewater/standards.html.
3. Disinfection - Water Quality
Disinfectant concentration (C, mg/L) multiplied by the contact time (T, minutes) gives the term
CxT. Disinfectant concentration is dependent upon how much disinfectant is added to the
water. For example, if liquid sodium hypochlorite were being used as a disinfectant, C would
be milligrams per liter (mg/L) of free chlorine. T is based on the flow rate of water, the volume
of the detention facility, and the effectiveness of the detention facility (ability to prevent short-
circuiting of water through the detention facility). For example, if the water flow rate was 300
gallons per minute (gpm), the detention facility had a volume of 25,000 gallons, and it has
been determined that the detention facility is only 50% effective, the contact time would be:
A water system determines if it is providing adequate disinfection treatment by meeting a

specific CxT value based on several water quality factors. CxT values have been developed
for common disinfectants like chlorine, chloramines, chlorine dioxide and ozone. CxT values
are dependent upon 1) type of disinfectant, 2) disinfectant concentration, 3) water
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temperature, and 4) water pH. Tables are published giving CxT values that must be met by a
water supplier. The ability to meet CxT requirements of the surface water treatment rules is
crucial to insuring that microbial contaminants are inactivated by the disinfectant. With the
exception of ozone, common disinfectants like chlorine and chloramines do not inactivate
Cryptosporidium oocysts at concentrations used in drinking water. CxT values are available in
guidance documents found on the EPA's web site http://www.epa.gov/safewater/regs.html.
model.
Primary disinfection is the process used to meet required CxT values. Primary disinfection is
where the disinfectant or disinfecting process inactivates microbes. Secondary disinfection is
the process of adding sufficient disinfectant to maintain a residual concentration in the
distribution system. Many facilities use one type of disinfectant for primary disinfection and
another for secondary disinfection. A chlorine-based disinfectant must be provided for
secondary disinfection if ozone or ultraviolet (UV) light is used for primary disinfection; ozone
and UV-light do not provide any residual for protection of water in the distribution system.
Disinfection provides the last barrier to possible microbial contamination. First and foremost
the facilities must have sufficient capacity for meeting required CxT values. This requires
having sufficient contact time and being able to feed a sufficient dose of disinfectant.
A disinfection facility treating surface water must be capable of providing the right disinfectant
dose at all times. If the water flow rate changes during the day based on system water
demands, the concentration of disinfectant in the water will also change unless there is a
mechanism to make addition of disinfectant proportional to water flow rate. This can be
performed by having a control system that adjusts the rate of disinfectant addition based on
flow rate and/or disinfectant concentration as measured by meters or other instruments. The
result is more consistant disinfectant concentrations.
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UV-light disinfection may become popular as a primary disinfection process because it is

effective at inactivating Giardia and Cryptosporidium. Since the process is new, many states
have yet to develop standards for its use, control and monitoring. The survey presents a list of
possible items that may be required for a UV-light facility.
Loss of power can result in water leaving the facility without addition of any disinfectant. Some
facilities provide a back-up power generator that automatically starts upon loss of power. A
way to shut-off the treated water flow if a power outage occurs could prevent improperly
disinfected water from entering the system.

microbially safe drinking water. If equipment is in poor condition and needs replacement or
repair, it is the responsibility of the operator or manager to work towards correcting the
situation. It is always desirable to have a spare unit for critical items such as feed pumps,
water supply booster pumps, or items that can take a long time to replace or repair.
remote or no one is around much of the time, an alarm system could prevent improperly
As discussed above under Item 5, controlling flow rate can provide more consistent
disinfection of the water. When coagulation and filtration processes are employed, flow control
becomes critical to proper treatment. Flow control can be particularly important if the chemical
feeders or the disinfection system is not automated to be proportional to flow rate. Some small
systems find it easier to control flow rate through the facility than to feed a chemical or
disinfectant proportional to flow rate or residual concentration.
corrosion inhibitor has been most effective for systems with unlined cast or steel pipe. These
corrosion inhibitors consist of orthophosphate and blended ortho- and poly-phosphates, the
latter being more effective with hard water or water with high alkalinity. Corrosion control
using pH adjustment or silica addition may not be effective with regard to minimizing coliform
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positive samples in the distribution system.
Filtered surface water sources must be continuously monitored for turbidity. Turbidity of the
combined filter effluent and turbidity of each individual filter must be continuously monitored
and recorded. Exceeding certain turbidity levels can become critical, requiring the facility be
corrected. Most online turbidimeters have adjustable alarm set points to allow an alarm signal
be sent upon reaching a certain turbidity level (say 0.3 NTU for the combined filter effluent).
Alarms at the facility could include visible or audible alarms. Sending an alarm or message to
an on-call person is very desirable and can be accomplished using telemetry or a simple
autodialer unit that is set up to call various phone numbers upon activation of an alarm. When
facilities are remote or no one is around most of the time, an alarm system could prevent
improperly treated water from entering the system.
10. Chemical Feed Units
Chemical feed units of some type are required at filtration plants. See Item 7 above for
information regarding control of flow rate. Certain treatment plants control the addition of
chemicals based upon different parameters, flow rate being the most common. Sometimes
chemical feeders are controlled by signals from turbidimeters, particle counters, or streaming
current detectors. All of these devices provide some measurement for how well the
coagulation/filtration process is performing. Control devices like streaming current detectors
can be important if quality of the water supply can change rapidly and unexpectantly.
11. Rapid Mixing, Flocculation and Settling
The addition of a chemical coagulant and subsequent rapid mixing, flocculation and settling
are three very important treatment processes when granular media filtration is utilized. Rapid
mixing (high intensity, vigorous mixing) of the chemical coagulant and water should precede
the flocculation step. Flocculation refers to the process of slow, gentle mixing of the water and
chemical coagulant to form larger "floc" particles that can be either settled in a sedimentation
basin and/or removed more easily in a granular media filter. Sedimentation basins create
quiescent conditions to promote settling of the large particles that can form during flocculation.
Under no circumstances should granular media filters be operated without addition of a
chemical coagulant.
Rapid mixing of chemical coagulant with the water is an important step in the treatment
process for granular media filtration facilities. Rapid mixing generally consists of a motor-
driven propeller or turbine or an inline static mix unit. Inline static mix devices consist of
baffles installed inside a pipe to create turbulence and mixing as water passes through. The
intensity of mixing for inline static mixers depends upon flow rate through the unit; thus there
is little control over how well the chemical coagulant is mixed if the flow rate must be varied.
Certain types of granular media filtration plants do not use flocculation or sedimentation. Inline
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filtration refers to facilities that do not have any flocculation or sedimentation processes. The
chemical coagulant is mixed with the water using a rapid mix facility followed directly by
filtration. Direct filtration refers to plants that do have flocculation facilities, but do not have
sedimentation basins. Conventional filtration refers to plants that have both flocculation and
sedimentation.
12. Filtration
Water treatment plants can employ many different types of filtration. These can be generally
grouped into two types: granular-media and membranes. Diatomaceous earth is a third type
of filtration. Granular media typically includes one or a combination of garnet, sand, anthracite
and granular activated carbon placed to total depths from 20 to 72 inches. Granular media
filters can rely on gravity or pressure to move water through the filter. The use of pressure-
type granular media filters is discouraged or prohibited in several States. It is difficult for an
operator to visually inspect the media before, during and after a backwash event for pressure
filters. Membranes can remove bacteria and cysts if properly designed and operated. In
general, the relative microbial removal capabilities of membrane types are: reverse osmosis>
nanofiltration> ultratfiltration> microfiltration. Knowing the type of membrane used in a plant
can give the operator an idea of its capabilities for removal of bacteria and cysts.
Filtration processes require some form of flow rate control if a quality effluent is to be
produced. Knowing and understanding how flow rate through the filters is controlled is crucial
to proper operation and maintenance. Improper or faulty flow control should be replaced or
repaired. Generally flow control can be a costly item to replace, and sometimes to repair, but
is absolutely necessary for proper operation of the filtration process.
Granular media filters require some method for diverting filter effluent to waste immediately
following backwash of the filter. Filter effluent can contain large numbers of bacteria and cysts
during the initial few minutes of operation after backwash or after a filter is re-started. Filter
effluent should be sent to waste for the first 10 to 30 minutes of filter operation after a
backwash and a short filter-to-waste period is desirable after a filter is re-started following a
period of inactivity. Facilities without filter to waste capabilities are many times difficult if not
impossible to retrofit.
Measurement of turbidity for each filter's effluent is now mandatory, and was discussed above
under Item 2. Two additional important parameters, particularly for granular media filters, are
head loss across the filter and run time between filter backwash cycles. Head loss across the
filter measures how plugged the filter has become since it was last cleaned. In membrane
plants the influent pressure is monitored to determine if the membrane has become plugged
and must be cleaned. Based on recent research it is recommended that backwash of granular
media filters be initiated based on head loss or run time. Waiting to backwash a granular
media filter based on an increase in effluent turbidity (break-through) can lead to passage of
Cryptosporidium oocysts at the end of the filter run.
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13. Filter Waste Backwash Water Recycle
At treatment facilities where waste wash water cannot be discharge or otherwise disposed of,
the waste backwash water is recycled to the front end of the treatment plant. The Filter
Backwash Recycling Rule (Federal Register, June 8, 2001, 40 CFR Parts 9, 141 and 142,
National Primary Drinking Water Regulations, Filter Backwash Recycling Rule, Final Rule)
requires recycled filter backwash water, sludge thickener supernatant, and liquids from
dewatering processes be returned to a location such that all processes of a system's
conventional or direct filtration including coagulation, flocculation, sedimentation (conventional
filtration only) and filtration, are employed. Recycled waste backwash water can contain
microbial contaminants that can reduce the efficiency of the treatment process and lead to
possible passage of the contaminants to the effluent. If a treatment facility recycles waste
backwash water to a point that does not receive full treatment (to head of plant), then the
recycle point must be changed or it must be shown that the current recycle does not in any
way impair treatment.

- Dilution water lines that are activated by a float valve
- Permanent or seasonal connections for irrigation or wash-down of plant areas
These and other cross-connections could exist at a treatment plant. Installation of an

approved backflow prevention device is important to protection of the treated water.
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3.3 - Ground Water: Disinfection/Corrosion Control Treatment

Disinfection is the treatment process
designed to inactivate (kill) potentially
harmful microorganisms present in water.
Disinfection can be performed by the addition
of an oxidizing chemical (chlorine,
hypochlorite, chlorine dioxide, chloramines,
or ozone) or by exposing the water to an
ultraviolet (UV) light source. Many, but not
all, ground water sources receive disinfection
treatment. Many new treatment facilities now
use or will use UV light disinfection for
treating ground water. Corrosion control
treatment typically includes the addition of a
chemical to reduce the tendency for metals
such as iron, copper and lead to become
soluble in the water.
Part C.III. questions inquire about the treatment processes, the redundancy of equipment,
safety features, controls, quality of the treated water, etc. Questions are also included
regarding the presence of potential cross-connections or backflow situations that may occur
within the treatment facilities. The questions have been selected based on those components
of a treatment system that could potentially allow microbial contamination or components that
if present can help prevent microbial contamination.
1. Does this ground water supply receive any form of treatment, including disinfection or
corrosion control treatment? (yes/no)
2. Are disinfection/corrosion control the only form of treatment? (yes/no)
completed.
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4. Disinfection - Residual Concentration
Many facilities treating ground water must only provide secondary disinfection. Secondary
disinfection is the process of adding sufficient disinfectant to maintain a residual concentration
in the distribution system. It is important to add sufficient disinfectant at the treatment facility
to maintain the desired residual concentration. Most systems using chlorine try to maintain a
minimum residual concentration of 0.5 milligrams per liter (mg/L) as free chlorine. When
chloramines are used the desired residual concentration is usually higher, generally no less
than 1.0 mg/L as total chlorine. Please refer to Item 3 of Part C, Section II - Surface Water
Treatment if this facility must attain a certain CxT value for primary disinfection.
model.
If disinfection is required, a chlorine-based disinfectant is added to maintain a residual

concentration in the distribution system. A chlorine-based disinfectant may be required for
secondary disinfection if ozone or ultraviolet (UV) light is used. Ozone and UV-light do not
provide any residual for protection of water in the distribution system.
Disinfection provides the last barrier to possible microbial contamination. The facilities must
have sufficient capacity for achieving CxT values if required. The facility must have sufficient
contact time and/or be able to feed a sufficient dose of disinfectant.
Disinfection facilities must be capable of providing the right disinfectant dose at all times. If the
water flow rate changes during the day based on system water demands, the concentration of
disinfectant in the water will also change unless there is a mechanism to make addition of
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disinfectant proportional to water flow rate. This can be performed by having a control system
that adjusts the rate of disinfectant addition based on flow rate and/or disinfectant
concentration as measured by meters or other instruments. The result is more consistent
disinfectant concentrations.
UV-light disinfection may become popular as a disinfection process for ground water that has
previously not required disinfection. UV-light can provide disinfection without adding any
chemicals, and can be used alone when there is no requirement for secondary disinfection.
Since the process is new, many states have yet to develop standards for its use, control and
monitoring. The survey presents a list of possible items that may be required for a UV-light
facility.

desirable to have a spare unit for critical items such as feed pumps, water supply booster
pumps, or items that can take a long time to replace or repair.
Controlling flow rate can provide more consistent disinfection of the water. Flow control can
be particularly important if the disinfection system is not automated such that disinfectant
dose is proportional to flow rate. Some small systems find it easier to control flow rate through
the facility than to feed a disinfectant proportional to flow rate or residual concentration.
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corrosion inhibitor has been most effective. These corrosion inhibitors consist of
orthophosphate and blended ortho- and poly-phosphates, the latter being more effective with
hard water or water with high alkalinity. Corrosion control using pH adjustment or silica
addition may not be effective with regard to minimizing coliform positive samples in the
distribution system.
Turbidity monitoring is not common for ground water systems. However, an online
turbidimeter may detect a contamination event, alerting the operator to shutdown the supply
or adjust disinfection accordingly. Alarms at the facility could include visible or audible alarms.
Sending an alarm or message to an on-call person is very desirable and can be accomplished
using telemetry or a simple autodialer unit that is set up to call various phone numbers upon
activation of an alarm. When facilities are remote or no one is around most of the time, an
alarm system could prevent improperly treated water from entering the system.
11. Filtration Treatment
Some ground water supplies require filtration treatment for removal of constituents such as
iron, manganese, or organic compounds such as pesticides. Many different types of filtration
exist. Granular media types include sand, anthracite, garnet and greensand. Cartridge or bag
filters can be used for removal of particulate and pathogenic protozoa cysts and may precede
membrane filtration units. Membrane filtration has become more economical and reliable; thus
it is being used more in small water systems. Processes that adsorb the contaminant include
granular activated carbon and ion exchange.
Granular media filtration treatment units for ground water that do not employ the addition of a
coagulant are not designed for removal of microbial pathogens. GAC and ion exchange are
not designed for removal of microbes. Membranes can remove bacteria and cysts if properly
designed and operated. In general, the relative microbial removal capabilities of membrane
types are: reverse osmosis> nanofiltration> ultratfiltration> microfiltration. Knowing the type of
membrane used in a plant can give the operator an idea of its capabilities for removal of
bacteria and cysts.
produced. Knowing and understanding how flow through the filters is controlled is crucial to
proper operation and maintenance. Improper or faulty flow control should be replaced or
is absolutely necessary for operation of the plant.
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3.4 - Ground Water Supply: Other Treatment Types

Many ground water sources receive
treatment other than disinfection and/or
corrosion control. These treatment processes
can include softening to remove hardness,
oxidation and filtration to remove iron and
manganese, or air stripping to remove
volatile contaminants such as TCE or PCE.
In addition to questions regarding the

disinfection process, Part C.III. questions
inquire about the treatment processes, the
redundancy of equipment, safety features,
controls, quality of the treated water, etc. Questions are also included regarding the presence
of potential cross-connections or backflow situations that may occur within the treatment
facilities. The questions have been selected based on those components of a treatment
system that could potentially allow microbial contamination or components that if present can
help prevent microbial contamination.
1. Does this ground water supply receive any form of treatment, including disinfection or
corrosion control treatment? (yes/no)
2. Is disinfection and/or corrosion control the only form of treatment provided for this ground
water supply? (yes/no)
completed.
4. Disinfection - Residual Concentration
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Many facilities treating ground water must only provide secondary disinfection. Secondary
disinfection is the process of adding sufficient disinfectant to maintain a residual concentration
in the distribution system. It is important to add sufficient disinfectant at the treatment facility
to maintain the desired residual concentration. Most systems using chlorine try to maintain a
minimum residual concentration of 0.5 milligrams per liter (mg/L) as free chlorine. When
chloramines are used the desired residual concentration is usually higher, generally no less
than 1.0 mg/L as total chlorine. Please refer to Item 3 of Part C, Section II - Surface Water
Treatment if this facility must attain a certain CxT value for primary disinfection.
model.
If disinfection is required, a chlorine-based disinfectant is added to maintain a residual

concentration in the distribution system. A chlorine-based disinfectant may be required for
secondary disinfection if ozone or ultraviolet (UV) light is used. Ozone and UV-light do not
provide any residual for protection of water in the distribution system.
Disinfection provides the last barrier to possible microbial contamination. The facilities must
have sufficient capacity for achieving CxT values if required. The facility must have sufficient
contact time and/or be able to feed a sufficient dose of disinfectant.
Disinfection facilities must be capable of providing the right disinfectant dose at all times. If the
water flow rate changes during the day based on system water demands, the concentration of
disinfectant in the water will also change unless there is a mechanism to make addition of
disinfectant proportional to water flow rate. This can be performed by having a control system
that adjusts the rate of disinfectant addition based on flow rate and/or disinfectant
concentration as measured by meters or other instruments. The result is more consistent
disinfectant concentrations.
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UV-light disinfection may become popular as a disinfection process for ground water that has
previously not required disinfection. UV-light can provide disinfection without adding any
chemicals, and can be used alone when there is no requirement for secondary disinfection.
Since the process is new, many states have yet to develop standards for its use, control and
monitoring. The survey presents a list of possible items that may be required for a UV-light
facility.

desirable to have a spare unit for critical items such as feed pumps, water supply booster
pumps, or items that can take a long time to replace or repair.
Controlling flow rate can provide more consistent disinfection of the water. Flow control can
be particularly important if the disinfection system is not automated such that disinfectant
dose is proportional to flow rate. Some small systems find it easier to control flow rate through
the facility than to feed a disinfectant proportional to flow rate or residual concentration.
corrosion inhibitor has been most effective. These corrosion inhibitors consist of
orthophosphate and blended ortho- and poly-phosphates, the latter being more effective with
hard water or water with high alkalinity. Corrosion control using pH adjustment or silica
addition may not be effective with regard to minimizing coliform positive samples in the
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distribution system.
Turbidity monitoring is not common for ground water systems. However, an online
turbidimeter may detect a contamination event, alerting the operator to shutdown the supply
or adjust disinfection accordingly. Alarms at the facility could include visible or audible alarms.
Sending an alarm or message to an on-call person is very desirable and can be accomplished
using telemetry or a simple autodialer unit that is set up to call various phone numbers upon
activation of an alarm. When facilities are remote or no one is around most of the time, an
alarm system could prevent improperly treated water from entering the system.
11. Filtration Treatment
Some ground water supplies require filtration treatment for removal of constituents such as
iron, manganese, or organic compounds such as pesticides. Many different types of filtration
exist. Granular media types include sand, anthracite, garnet and greensand. Cartridge or bag
filters can be used for removal of particulate and pathogenic protozoa cysts and may precede
membrane filtration units. Membrane filtration has become more economical and reliable; thus
it is being used more in small water systems. Processes that adsorb the contaminant include
granular activated carbon and ion exchange.
Granular media filtration treatment units for ground water that do not employ the addition of a
coagulant are not designed for removal of microbial pathogens. GAC and ion exchange are
not designed for removal of microbes. Membranes can remove bacteria and cysts if properly
designed and operated. In general, the relative microbial removal capabilities of membrane
types are: reverse osmosis> nanofiltration> ultratfiltration> microfiltration. Knowing the type of
membrane used in a plant can give the operator an idea of its capabilities for removal of
bacteria and cysts.
produced. Knowing and understanding how flow through the filters is controlled is crucial to
proper operation and maintenance. Improper or faulty flow control should be replaced or
is absolutely necessary for operation of the plant.
12. Aeration or Air-Stripping
Aeration and air-stripping processes are used to remove contaminants such as iron,
manganese, radon, or volatile organic compounds like trichloroethylene (TCE) or
perchloroethylene (PCE). Aeration units can consist of water cascading over trays or bubbling
compressed air into the water. Air-stripping processes typically consist of a tower containing a
packing media; water flows down through the media as air is blown upward through the
media. The air "strips" the contaminant from the water.
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Since these processes rely upon contacting the water with air, it is important that
contaminants in the air do not reach the water being treated. Screens capable of keeping
birds and insects from the water are a minimum requirement. Filters capable of removing
particulates are recommended to ensure air borne contaminants do not reach the water. In
addition to having the proper filters, it is imperative that the filters be replaced or cleaned on a
regular basis. Failure to do this could result in doing more harm than good with respect to
microbial contamination.
As with any surface that is in contact with air and water, a layer of microorganisms will form
on the surfaces of trays or packed media. This slimy layer is called a biofilm and it can contain
microorganisms that are potential pathogens. A well designed system will have the capability
to recycle a concentrated cleaning or disinfecting solution through the media or across the
trays to keep biofilm development to a minimum. A cleaning disinfection system should be
installed if one does not exist. Any water used for cleaning should be properly disposed of and
not introduced into the drinking water system.

- Dilution water lines that are activated by a float valve
- Permanent or seasonal connections for irrigation (hoses connected directly to finished water
lines)
These and other cross-connections could exist at a treatment plant. Proper installation of an
approved backflow prevention device (FIGURE 11) is important to protection of the treated
water.
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4 - PUMPING & STORAGE
Unit 4 provides guidance material for Part D -

Pumping and Storage in the survey.
Pumping facilities includes well pumps, raw
water pumps at a surface water intake,
finished or treated water pumps at a
treatment facility, or booster pumps in a
distribution system. Storage facilities can
range from hydropneumatic (bladder) tanks
to elevated steel tanks to buried concrete
tanks. The guidance material will help
explain some of the most common items that
can represent a potential for microbial contamination.
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4.1 - Pumping Facilities

Water systems typically rely on pumps to
provide the pressure required for delivery of
drinking water. There are numerous types
and configuration of pumping facilities. The
questions in Part D.I. inquire about those
aspects of a pumping facility that have the
potential for or to prevent microbial
contamination.
Areas of concern include the termination of

valve drain lines into floor drains that can
become flooded, causing a potential back-
siphonage situation or no vacuum breakers
on hose bibs. Poor pump start and stop
control can create a water-hammer condition
in the piping, setting up the potential for
contaminants in the ground surrounding
buried pipes to be "sucked" into the pipe
during the short periods of negative or low
pressure that result when water-hammer
occurs.
1. Pumping facilities
Does your system have pumping facilities?

(yes/no)
Enter a "1" in the cell next to the appropriate answer. If you answer NO you will get an error
message indicating you should not be completing this survey answer sheet.
2. Pumping facility information
Give each pumping facility a number, starting at 1. The pumping facility number must be the
same number as that on the survey worksheet you use. Indicate the number given in Parts B
or C to the facility this pump station is associated with, if applicable. Example: Suppose the
pumping facility in question is associated with a lake water intake structure. Indicate the
number used in Part B. Section II. for the associated surface water source. Estimate what
percent of your annual water requirements are pumped by this facility (see the Instructions).
3. Type of pumping facility
Enter a "1" beside the facility type that matches your system.
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4. Capacity
A pumping facility with insufficient capacity to meet the system's water demands can lead to
conditions that increase the risk of microbial contamination. For example, if a booster pump
station cannot meet the system demands, system water pressure could drop, allowing
contaminants to enter system pipes through joints or holes in pipes or by creating a condition
that induces backflow into the pipes. When a pumping facility is critical to supplying water to
the system, installation of a spare pump is desirable. The spare unit can be used when other
pumps require repair or maintenance, and in some cases be used to meet unusually high
water demands.
5. Emergency Power
Emergency power units for a pump station could include a standby power generator or an
auxiliary motor such as a combustion engine. When a pump station is critical to the water
system's supply, and there is not sufficient storage, an emergency power unit would prevent
low-pressure conditions from occurring, thus preventing potential intrusion of microbial
contaminants.
6. Physical Facility
A well-constructed pumping facility should include some basic features that function to
prevent potential microbial contamination or allow the facility to be properly operated and
maintained. Many aspects of the construction allow the pump station to remain in service if a
pump must be removed from service, or simply allow operators to properly maintain the
pumps to keep them operational.
a. A check valve should be located on the discharge side of each pump. The check valve
prevents water from flowing backwards through the pump when the pump is off, maintaining
pressure on the discharge side of the pump. To reduce transient negative pressure in the
piping system, a slow-closing check valve is desirable.
b. An isolation valve should be installed on the discharge side of submersible or vertical

turbine pumps, and on the suction and discharge side of other pump types. Isolation valves
allow a pump to be taken off-line for maintenance or repair.
c. Many wells and booster pump stations have submersible-type pumps, especially wells that
are not covered by a well-house structure. Pitless adapters allow submersible pumps to be
removed relatively quickly if repairs are required. Most adapters provide sealed connections
for passing the power cable into the well casing, and have a tight-fitting sanitary cap on over
the exposed end of the well casing. All openings should be sealed or screened as appropriate.
d. A pressure gauge on the discharge side of a pump allows operators to monitor pump
performance, insure pressure is sufficiently high (greater than 20 psi) or not excessively high,
and visually see if hydraulic surge or water hammer occurs when the pump turns off.
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e. Without proper design and controls, a pump station can create significant hydraulic surge
(high and low pressure transients) in a water system when pumps are turned off. Hydraulic
surge creates both high pressure waves and low pressure waves in discharge piping. High
pressure waves can damage pipes, pumps, equipment and customer plumbing. High-
pressure surges can break pipe or open pipe joints, particularly at bends. A more important
aspect of hydraulic surge with respect to microbial contamination is low-pressure waves. Even
though the time between high and low pressure waves may be microseconds, contaminants
surrounding buried pipes can be sucked into the pipe through joints or holes. Low pressure
waves can also induce backflow conditions where water enters the system from, for example,
the customer's plumbing or an irrigation system.
Hydraulic surge is created in a pipeline anytime the flow of water is abruptly stopped. The
most common cause of hydraulic surge is pumps turning on and off. If a pump has only a
check valve on its discharge side, hydraulic surge will most likely occur within the piping
system, and can occur on both the suction and discharge sides of the pump, but most likely
on the discharge side. One way to minimize surge is to design pumping systems that slowly
increase the flow rate as a pump turns on and the opposite when a pump turns off. Pump
control valves are placed on the discharge side of a pump and should be tied into the pump's
control system to properly operate. A common type of valve is the hydraulically actuated
diaphragm valve. When the pump is called to come on the valve is set to slowly open after the
pump has started. Upon a call to turn the pump off the valve will slowly close and when
completely shut the pump will turn off. Variable speed drives have become popular as the
technology for controlling the speed of electric motors has improved over the years. Variable
speed units not only allow soft startup and shutdown of the pump; they offer the advantage of
controlling the pressure or flow rate on the pump discharge side, thus reducing pressure
transients in pipelines. In variable speed drive units the pump starts up slowly, coming to full
speed over a preset period of time, and the opposite occurs upon shut down.
In some cases simple pump control valves are not totally effective at preventing surge
pressure transients. Surge relief valves or surge tanks are sometimes required if surge is to
be minimized.
f. Some pump stations are located in below-grade structures. These are commonly
prefabricated units, selected because they require minimal installation in the field. These units
are also at risk of flooding during a surface runoff event or if a leak should occur within the
pump station's piping. In the case of flooding, the open port of air inlet/outlet valves could
allow contaminated water to enter the treated water pipes. One possible solution would be to
install a pipe from the open port to a point above possible flooding. Make sure the end of the
pipe ends in a down-turned position (a 90-degree bend turned down) and the end has a tightly
fitting insect screen.
g. Many pump stations associated with wells have automatic valves that open during pump
startup to direct the pumped water to waste, thus preventing water that has been standing in
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the well pump piping and pump-column from entering the water system. Blow-off lines can
also serve as pressure-relief lines if a valve is installed to allow water from the system to be
bled off during a high pressure event such as during hydraulic surge after a pump shuts off.
However, any blow-off line can act as a route for microbial contamination. Blow-off lines
should not discharge to sanitary or storm sewer manholes. The end of the lines should be
tightly screened or have a flap valve that closes completely, preventing any birds, rodents or
insects from entering the blow-off line. The end of a blow-off line should discharge to the
atmosphere, at a point well above any possible standing or flowing water.
7. Potential cross-connections
Cross-connections represent points where contaminated water could be pulled back into the
water system. The following are a few common cross-connections found in pumping facilities.
a. The air inlet/outlet port of an air release/vacuum breaker valve can be a possible cross-
connection point if a pipe or hose connecting the port to a drain is not properly installed. Air
inlet/outlet drain lines should discharge to a point where they will not be submerged, the end
screened, and an air gap of 6-inches exists between the end of the drain line and the
discharge point. It is common to see drain lines that discharge into a floor or hub drain without
the proper air gap.
b. Hose bibs (the point where a garden hose can be attached) are common in pump stations.
They can serve to provide water for cleaning, landscape irrigation or as a sample tap. All hose
bibs should be equipped with a vacuum breaker unit to prevent any water in the hose from
being pulled back into the water system if a low pressure event were to occur (such as loss of
power and a hydraulic surge event during pump shut-down).
c. Any permanent or seasonal connection to the water system piping at a pump station should
be equipped with a backflow prevention device, regardless of how frequently the connection is
used.
d. Many pumps use water from the discharge side of the pump for seal lubrication or for
priming the pump. If not equipped with backflow prevention devices these become potential
cross-connections.
8. Susceptibility to runoff or flooding
There is an increased risk for contamination if a pump station is located within a known flood
plain or is susceptible to flooding during a heavy precipitation event. This is especially true if
the pump station is associated with a well that has holes in the well casing that are not
properly sealed. Possible solutions include improvements to storm drainage systems around
the pumping facility, flood proofing the pump station, and making sure there are no drain line
ends or openings in well casings that could become submerged.
9. Control of pumps
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It is usually necessary for an operator to adjust how a pump station is controlled. Common
schemes include control based on water levels or discharge pressure. It is important that
operators be able to adjust the set points that turn pumps on and off. This flexibility is required
if, for example, water age in a storage tank is to be minimized during periods of low water use.
10. Maintenance
An important but often overlooked aspect of maintenance and repair work is proper
disinfection. Any operator or outside maintenance contractor that works on pumps, piping or
valves must have the appropriate training and certification required for such work. Improper
cleaning and disinfection of the pump and associated piping, valves and appurtenances can
lead to microbial contamination of the water. Proper cleaning and disinfection is often
overlooked during maintenance of well pumps and associated in-the-well piping.
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4.2 - Storage
Most water systems have some form of
storage designed to provide water during
emergencies, periods of high flow demands,
fire, or simply to serve as a pressure tank for
control of a pump. Improperly constructed air
vents and access openings are common
sites where birds, rodents and insects can
enter a storage tank and contaminate the
water. Storage tanks need to be cleaned
regularly to prevent build-up of sediments
that could harbor potential pathogens. An
over-sized storage tank can hold the water
so long that it loses its disinfectant residual,
creating a potentially dangerous situation
when the water enters the distribution system. Part D.II. questions inquire into those aspects
of water storage that could be potential sources of contamination or that can help prevent
contamination.
1. Storage facilities
Does your system have storage facilities? (yes/no)
Enter a "1" in the cell next to the appropriate answer. If you answer NO you will get an error
message indicating you should not be completing this survey answer sheet.
2. Storage facility information
Give each storage facility a number, starting at the number 1. The storage facility number
must be the same number as that on the survey worksheet you use. Estimate what percent of
your water system's total storage capacity is provided by this facility (see Instructions).
3. Type of storage facility
Enter a "1" beside the facility type that matches your system.
4. Open holes or joints in roof or uncovered reservoirs
Uncovered storage tanks or reservoirs are extremely vulnerable to contamination by birds,

insects and animals. An uncovered storage facility should be properly covered or replaced
with a new, covered facility.
5. Air vents
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Most covered storage tanks have air vents to allow the movement of air in and out of the tank
as the water level changes. Air vents can allow rainwater, birds, animals or insects into the
storage tank unless properly constructed. Air vent opening should have tight-fitting insect
screens. The vents should be constructed such that rainwater cannot enter the tank.
6. Access openings
Tanks should have access openings to allow the interior to be inspected, cleaned and
maintained. Storage tank access doors must prevent rainwater, birds, insects or animals from
entering the tank. With the exception of hydropneumatic tanks, access doors should be
installed on a 4-inch high or greater curb to prevent rain or snowmelt from entering the tank.
Tank doors should be of the shoe-box-lid type, with a lip that extends down over the opening.
Doors should close tightly to prevent animals, birds or insects from entering the tank. Many
doors have rubber gaskets to provide a tight closure. Some tanks were constructed with
manhole-type covers. These covers are difficult to remove without contaminants falling into
the tank. If a manhole-type cover exists, it is desirable to replace it with a door-type. If
replacement is not possible, plug any holes in the cover. Any access door or cover should
have a vandal-proof locking mechanism.
7. Susceptibility to runoff or flooding
There is an increased risk for contamination if a storage tank is located within a known flood
plain or is susceptible to flooding during a heavy precipitation event. This is especially true if
the storage tank is completely or partially buried. Possible solutions include improvements to
storm drainage systems around the storage tank site to divert surface runoff, or flood proofing
the storage tank by making sure there are no openings or air vents that could become
submerged. If there are any control valves, such as altitude valves, that could become
submerged, insure that any air/water ports are piped to an elevation above any possible flood
level, and the end of the pipe ends in a down-turned position and has a tight-fitting insect
screen.
8. Tank overflow/drain lines
Most storage tanks have overflow/drain lines. The overflow line functions to divert water from
the tank to a disposal point in case the water level gets too high, a condition possibly caused
by a malfunctioning valve or water level control system. Drain lines allow the tank contents to
be drained to a disposal point. Overflow/drain lines can act as a route for microbial
contamination. Overflow/drain lines should not discharge to sanitary or storm sewer
manholes. The end of an overflow/drain line should discharge to the atmosphere, at a point
well above any possible standing or flowing water. The end of the lines should be tightly
screened or have a flap valve that closes completely, preventing any birds, rodents or insects
from entering.
9. Storage capacity
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Storage tanks are typically designed to provide stored water for emergencies, fire and to
handle fluctuations in water demand. Low or negative pressures can be created in the water
system if the tank is easily drained during high water demand periods. Low or negative
pressures in the distribution system can lead to contamination by allowing contaminants from
the soil and ground water to enter at pipe joints or holes. Low pressure can also induce
backflow from customer plumbing systems, increasing the risk of microbial contamination.
Insufficient capacity can be corrected by increasing the amount of water storage capacity or
increasing the water supply rate.
On the other hand, certain water quality problems can occur if a tank has too much capacity.
Microbial contamination risks for tanks with excessive capacity are loss of disinfectant
residual and regrowth of bacteria, and possibly coliform organisms, within the tank. One
indicator of excessive capacity is loss of disinfectant residual in stored water. If the tank's
water level does not change significantly during high water demand, the tank may have too
much capacity. This typically occurs during months when outside water uses are minimal and
water demands are greatly reduced. Other indicators are taste and odor problems, high
heterotrophic plate counts (HPCs), or an increase in temperature between water entering and
stored water.
Several terms used in discussing storage tanks are water age and turnover time. Both terms
refer to how long, on the average, water stays in the tank. This is influenced by how well
water entering the tank mixes with water already in the tank. It is also influenced by how much
the water level in the tank fluctuates in any given day. Water level fluctuations are normal;
tanks should not be operated to "always stay full."
10. Storage controls
It is important that an operator have the option to adjust water level set points in the tank.
When a tank has excessive capacity it is necessary to change the operation of the tank to
reduce how long water is in the tank. One option is to adjust the water level set points for
control of tank filling. By lowering the high water level shut-off point or raising the low water
level fill set-point, more frequent filling and draining of the tank's water can occur. When
changing water level set points it is important to take into account any reduction in system
pressure that will occur as well as some reduction in emergency/fire water storage. Install a
water level indication system (manual or electronic) if there are no water level indicators for
the storage tank. If operation and maintenance changes do not solve water quality problems,
it may be necessary to install a booster disinfectant station designed to add disinfectant to the
tank inlet, outlet, or within the tank itself.
11. Tank maintenance, and

12. Tank Cleaning
Frequent cleaning of storage tanks, along with painting and/or repairs, can help reduce risks
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from microbial contamination. In order to clean a tank there must be valves present that allow
the tank to be isolated from the water system. When a tank is drained for cleaning and
inspection it is important that routine maintenance also be performed. This can include spot
painting or concrete patching. Cleaning a tank removes sediments that accumulate on the
tank wall as well as biofilm that develops on tank interior surfaces. However, once the tank is
repaired and cleaned, it is extremely important that it be flushed clean and properly
disinfected. Only trained and certified persons should be in charge of tank disinfection and
monitoring.
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5 - TRANSMISSION & DISTRIBUTION
Some water systems have raw water and/or

treated water transmission pipelines that
bring water from its source or a treatment
facility to the users. The distribution system
carries the water to individual customers.
Some small systems may not have
transmission pipelines or even what can be
considered a distribution system.
Transmission pipelines, and particularly
distribution systems, can represent
significant potential contamination risks
unless they are built, operated and
maintained properly. The guidance material
in this unit will provide you more information
on some of these potential risks.
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5.1 - Transmission Pipelines

Transmission pipelines are those whose
primary function is to transport raw or treated
water over significant distances (generally
greater than 2500 feet) and have few, if any,
service connections. Examples are a pipeline
from a surface water intake to the treatment
plant, or a pipeline from a treatment plant to
the distribution system. These pipelines are
typically larger in diameter than pipes within
the distribution system.
Transmission pipelines can carry treated,

potable water or untreated, raw water. If a
transmission pipeline is carrying treated
water, then any contamination of the water is
more critical than if the pipeline were carrying
raw water. In addition to leaking joints or
holes in a pipe caused by corrosion, air
release/vacuum valves are commonly buried
in below-ground vaults that can become
flooded and create a potential condition for
contamination.
Part E.I. questions inquire as to the materials

of construction, air release/vacuum valves,
control of flow in the pipeline, pipeline blow-
offs, maintenance and repairs, and other
aspects of the pipeline that could have the potential to cause microbial contamination of the
water.
1. Does system have transmission pipelines?
Transmission pipelines are those whose primary function is to transport raw or treated water
over significant distances (generally greater than 2500 feet) and have few, if any, service
connections. Examples are a pipeline from a surface water intake to the treatment plant, or a
pipeline from a treatment plant to the distribution system. These pipelines are typically larger
in diameter than pipes within the distribution system.
2. Type of pipeline
Give each transmission pipeline a number, starting at number 1. The transmission pipeline
number must be the same number as that on the survey worksheet you use.
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Separate any transmission pipelines into those that carry raw, untreated water (water that is
not safe for drinking) or treated, finished water (water that has been properly treated and is
suitable for consumption, sometimes referred to potable water).
3. Materials of construction
With respect to microbial contamination, materials of construction can be a factor with respect
to bacterial regrowth in biofilm on the pipe wall, susceptibility to corrosion, and integrity of pipe
joints. Unlined steel and cast iron pipes easily corrode, leading to an increase in biofilm
development and possibly coliform regrowth. Pipes made of ferrous metals (steel, cast iron,
ductile iron) are more prone to internal and external corrosion. Thinner walled pipes such as
steel pipes have been known to develop small holes in the pipe wall as a result of corrosion.
Any hole provides a potential contamination point. Pipes constructed of plastic polymers (PVC
or polyethylene) are more resistant to biofilm formation and corrosion is not an issue.
Reinforced concrete pipes typically do not have pipe joints capable of preventing all leakage,
and thus could allow contaminants to also enter at pipe joints. Prestressed concrete cylinder
and asbestos cement pipes are generally resistant to corrosion and have good pipe joints
unless there has been pipe movement or failure at a joint.
4. Pressure and pressure zones
Water pipelines are generally designed to operate under pressure to reduce the possibility
contaminants entering the pipe (such as when there is negative or low pressure). Some raw
water transmission pipelines are designed to flow partially full under gravity. There are also
cases when treated water pipelines flow partially full, such as if water demand is too high. The
concern is possible microbial contamination from soil and ground water if the pressure
becomes low or negative, allowing water to be pulled into the pipe through pipe joints and/or
holes in the pipe wall.
It is typically recommended that the minimum pressure be at least 20 pounds per square inch
(psi). Pipes that normally flow full and under pressure, but can become only partially full under
certain conditions, should be modified or controlled to force full pipe, pressurized flow
conditions. This can be accomplished using pressure sustaining valves that work to keep a
constant pressure upstream of the valve. Insertion of valves into the transmission pipeline to
keep it pressurized will also reduce the pipe's capacity. It may be necessary in make
improvements to the pipe to increase overall capacity while at the same time insuring the pipe
remains full. Valves should be controlled such that they open and close very slowly, otherwise
rapid valve closure can create hydraulic pressure transients (surge) in the pipeline.
5. Integrity of pipeline joints
As stated above, the concern is possible microbial contamination from soil and ground water if
the pressure becomes low or negative, allowing water to be pulled into the pipe through pipe
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joints and/or holes in the pipe wall. Most pipes use some form of rubber-gasketed joint
designed to seal against leakage when there is pressure inside the pipe. However, these
joints are not designed to prevent water movement into the pipe if the pressure becomes very
low or even negative. It is important that pipe joints function as designed under pressure.
Excessive leakage would be one possible indicator that the pipe joints were not performing as
desired.
6. Maintenance
Frequent maintenance of pipeline appurtenances can reduce the risk of microbial

contamination. It is important that line isolation valves be operable. Line isolation valves are
crucial if a break occurs and the pipe must be quickly isolated for repair. Isolation of the
problem area will also reduce the risk of contaminants entering the other parts of the system
during the break and repair period.
Inspection of air release, vacuum breaker or combination air/vacuum valves is extremely

important. It is common to install these valves in below ground vaults or manholes. This is
often necessary to minimize the potential for vandalism or freezing. The air inlet/outlet port of
an air release/vacuum breaker valve can be a possible cross-connection point if there is not a
pipe connected to the port that discharges to a point above ground and above any flooding
elevation, including snow accumulation elevation. Otherwise, there is a risk of contamination if
the valve vault becomes flooded and the valve opens to allow air to exit or enter the pipe. The
pipe connected to the valve's inlet/outlet port should terminate in a down-turned position and
have a tight fitting insect screen. In freezing climates the inlet/outlet pipe must be designed to
drain. This is often accomplished by drilling holes in the inlet/outlet pipe at the 90-degree bend
where the pipe turns upward. If the holes are buried in drain gravel outside the vault, it is
possible that contaminants can enter the transmission pipeline when air is pulled into the
pipeline via the vacuum breaker valve. There is no easy solution to this problem. Probably the
best option is to have the drain holes inside the valve vault, covered with insect screen, and
the vault have a drain line that discharges to daylight at some point.
Maintenance of pipelines and appurtenances should be performed only by persons who are
properly trained and certified to work on drinking water pipelines. Knowledge of how to
prevent contamination as well as how to clean and disinfect pipelines is an important aspect
of maintenance.
It is desirable to flush accumulated sediments from transmission pipelines on a regular basis,

or at least every two years. However flushing is difficult unless blow-off lines are provided and
the waste water can be disposed of properly. Many localities require that chlorine or
chloramines be neutralized before discharge to any waterway or drain system.
7. Repairs
Repair of pipelines and appurtenances should be performed only by persons who are properly
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trained and certified to work on drinking water pipelines. Knowledge of how to prevent
contamination as well as how to clean and disinfect pipelines is an important aspect of
maintenance. There is an extremely high risk of microbial contamination when a line break
occurs. Although difficult, is is important that repair items be cleaned before installation and
that the affected area be disinfected and flushed before being returned to service. Proper
bacterial testing should be performed to assure no contaminants are present in the affected
portion of the water system before the pipe is put back into service.
8. Pipeline structures
In an effort to minimize or eliminate pressure reducing valves, some raw water transmission
pipelines have been constructed with head-breaking structures where water pressure (or
hydraulic head) is dissipated to prevent extremely high pressure in the transmission pipeline.
These structures expose the water to air, therefore they have openings for air to enter or
escape, and to allow overflow of water in certain cases. Unless these openings are properly
screened and protected, birds, insects, rodents or rainwater could enter and potentially
contaminate the water. The ends of any overflow lines should be screened to prevent
entrance of insects and rodents, and should discharge to atmosphere at a point that cannot
become submerged.
9. Service lines
By definition transmission pipelines should have few, if any, service lines. Where service lines
exist, the water delivered must meet all drinking water standards. If there is insufficient
treatment or disinfection contact time it would be best to remove the service line connection.
However, when removal is not feasible installation of a point-of-entrance treatment unit may
be warranted. Installation and maintenance of any treatment unit should only be performed by
qualified personnel. Since maintenance is the most important aspect of point-of-entrance
treatment units, the water system's personnel should provide that service, or a contract
developed with the supplier/representative of the unit.
10. Possible contamination hazards
The presence of possible contamination hazards in the vicinity of the pipeline can increase
the risk of microbial contamination. These possible hazards are discussed individually below:
a. Fire hydrants
Properly installed fire hydrants do not represent a contamination risk unless they are used by
unauthorized persons. If anyone, such as a contractor, desires access to water from a
hydrant, the connection should include a backflow prevention device. Improper or illegal
connections do represent a significant risk for contamination.
b. Air release/vacuum valves
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Please refer to the discussion under item 6 above for a description of hazards posed by these
valves.
c. Pipeline blow-offs
Blow-off lines are installed to provide points where the pipeline can be flushed for cleaning
and maintenance. Since there is typically only a single isolation valve on blow-off lines, it is
imperative that the ends be tightly screened or fitted with a flap valve that closes properly.
Blow-off lines should discharge to atmosphere at a point where the end cannot become
submerged.
d. Sewers
The presence of sanitary or storm sewers near the pipeline poses a potential threat to
contamination under certain circumstances. It is common for sewers to leak at joints, thereby
contaminating the surrounding soil and groundwater to some extent. Under low or negative
pressure conditions these contaminants can enter a water pipeline via pipe joints or holes.
Other sources of fecal contamination are septic tank/drainfield systems used for individual
home or building wastewater disposal.
e. Pumped pipeline, and

f. Hydraulic pressure surges
Low or negative pressure can be created in a pipeline a number of ways. High water
demands, such as during a fire or major line break, can cause low pressure to occur. When
the water is being pumped through the pipeline, hydraulic surges can occur during pump
startup, shutdown, or loss of power. If hydraulic surge occurs there are periods of low or
negative pressure when contaminants can enter the pipeline. If a pressure gauge exists at the
pump station, hydraulic surges may be noted by wildly fluctuating pressure during pump
startup or shutdown. Hydraulic surges can be minimized in several ways. First, air release/
vacuum breaker valves should be in good operating condition. Second, pump control valves
or variable speed drives should be used to minimize pressure surges during pump startup and
shutdown. Pump control valves must be capable of slowly opening up startup after pump
starts and closing slowing during shutdown prior to pump being shut off. In some cases it may
be necessary and desirable to install an engineering hydraulic surge control system. If flow in
a transmission pipeline is controlled by a downstream booster pump station, and that pump
station does not have pump startup/shutdown control mechanisms, then hydraulic surge can
occur in the pipeline (see Guidance Document, Part D.I.- 6.e. - Pumping Facilities for more
information on pump control valves and hydraulic surge).
11. System records
System records become important during certain maintenance and repair events. Knowing
the location of pipes, valves and appurtenances becomes important when a main break
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occurs and the pipeline must be isolated. Knowing the size and pipe material allows
personnel responsible for repairs to keep on hand the appropriate repair devices. If
maintenance personnel know where blow-offs and fire hydrants are located, they can better
plan and perform line flushing.
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5.2 - Distribution System

The distribution system is the network of
pipelines that carry water from the source/
treatment facilities directly to the customer.
Customer service lines are tapped into the
distribution system and fire hydrants are
connected to the distribution system. Not all
small systems may have a distribution
system. For example, a water supply/
treatment system for a resort consisting of a
single building may not have a distribution
system.
Distribution systems can be very complex

and variable in age and quality. Many factors
should be taken into account when
assessing the distribution system for
potential microbial contamination. Among
these include who performs maintenance
and repairs and whether or not they are
trained to properly clean, disinfect and flush
the pipelines after repair. Main breaks and
subsequent repair procedures have been
implicated in waterborne disease outbreaks.
Part E.II. questions cover aspects such as
the physical facilities and conditions and
operation and maintenance issues.
1. Does this water system have a distribution

system? (yes/no)
2. Materials of construction
With respect to microbial contamination, materials of construction can be a factor with respect
to bacterial regrowth in biofilm on the pipe wall, susceptibility to corrosion, and integrity of pipe
joints. Unlined steel and cast iron pipes easily corrode, leading to an increase in biofilm
development and possibly coliform regrowth within the biofilm. Pipes made of ferrous metals
(steel, cast iron, ductile iron, and galvanized steel) are more prone to internal and external
corrosion. Thinner walled pipes such as steel pipes have been known to develop holes in the
pipe wall as a result of corrosion. Any hole provides a potential contamination point. Pipes
constructed of plastic polymers (PVC or polyethylene) are more resistant to biofilm formation
and corrosion is not an issue. Asbestos cement pipes are generally resistant to corrosion and
have good pipe joints unless there has been pipe movement or failure at a joint.
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3. Pressure and pressure zones
Water pipelines are generally designed to operate under pressure to reduce the possibility of
contaminants entering the pipe (such as when there is negative or low pressure). The concern
is possible microbial contamination from soil and ground water or backflow from customer
plumbing if the pressure becomes low or negative. Low pressure can allow water to be pulled
into the pipe through joints and/or holes in the pipe wall.
It is typically recommended that the minimum pressure be at least 20 pounds per square inch
(psi). Under conditions of high demand, the pressure in distribution pipes can drop and in
certain places become negative. It may be necessary to make improvements to increase pipe
sizes, construct additional storage, or increase overall water supply capacity. Maintaining
sufficient pressure in the system is important and it may be necessary to make major
improvements if minimum pressures cannot be met.
Extremely high pressure presents a problem because it can cause line breaks both in the
distribution system and in the customers plumbing. Since line breaks can be a source of
microbial contamination, a reduction in system pressure may be warranted if high pressure
becomes problematic.
4. Maintenance
Frequent maintenance of pipeline appurtenances can reduce the risk of microbial

contamination. It is important that line isolation valves be operable. Line isolation valves are
crucial if a break occurs and the pipe must be quickly isolated for repair. Isolation of the
problem area will also reduce the risk of contaminants entering other portions of the water
system during the break and repair period. Inspection of air release, vacuum breaker or
combination air/vacuum valves is extremely important. It is common to install these valves in
below ground vaults or manholes. This is often necessary to minimize the potential for
vandalism or freezing. The air inlet/outlet port of an air release/vacuum breaker valve can be
a possible cross-connection point if there is not a pipe connected to the port that discharges
to a point above ground and above any flooding elevation, including snow accumulation
elevation. Otherwise, there is a risk of contamination if the valve vault becomes flooded and
the valve opens to allow air to exit or enter the pipe. The pipe connected to the valve's inlet/
outlet port should terminate in a down-turned position and have a tight fitting insect screen. In
freezing climates the inlet/outlet pipe must be designed to drain. This is often accomplished
by drilling holes in the inlet/outlet pipe at the 90-degree bend where the pipe turns upward. If
the holes are buried in drain gravel outside the vault, it is possible that contaminants can enter
the transmission pipeline when air is pulled into the pipeline via the vacuum breaker valve.
There is no easy solution to this problem. Probably the best option is to have the drain holes
inside the valve vault, covered with insect screen, and the vault have a drain line that
discharges to daylight at some point.
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Only persons who are properly trained and certified to work on drinking water pipelines should
perform maintenance of pipelines and appurtenances. Knowledge of how to prevent
maintenance. Distribution system flushing has been shown to reduce positive coliform
samples. Flushing removes accumulated sediments from pipelines, thus removing a possible
haven for bacterial growth.
Distribution system flushing should be performed at least every two years and preferably
every year. However flushing is difficult unless blow-off lines or fire hydrants are provided and
the water can be disposed of properly. Many localities require that chlorine or chloramines be
neutralized before discharge to any waterway or drain system. During periods of drought
customers may complain that water is being wasted during flushing operations.
5. Repairs
Only persons who are properly trained and certified to work on drinking water pipelines should
be involved in repair of pipelines and appurtenances. Knowledge of how to prevent
maintenance. There is a high risk of microbial contamination when a pipeline break occurs.
The soil and trench water surrounding the break contains numerous potentially pathogenic
bacteria. Although difficult, it is important that the broken pipe and repair items be cleaned
before installation and that the affected distribution piping be cleaned, flushed, disinfected and
bacteriological samples taken before being returned to service. Proper bacteriological testing
should be performed to assure no contaminants are present in the repaired pipeline and
within the water system surrounding the break. If tests are positive for coliforms, the affected
distribution system area should again be flushed, disinfected and tested. Appropriate state or
EPA authorities should be notified if tests are positive after a main break repair.
6. Service lines and meters
When a service line and/or meter is installed, the connection represents a potential source of
contamination unless personnel performing the work are properly trained and certified to
perform such work. All equipment used for tapping the pipe should be clean and disinfected to
the degree possible prior to making the connection. Valves and piping that are installed
should be clean, preferably flushed with potable water prior to installation. Ends should be
capped to prevent contaminants such as mud or soil from entering the pipe. The entire
service line and meter should be pressure tested, cleaned and flushed, disinfected, and
tested for bacteriological contaminants (coliforms) following installation.
7. New construction of distribution pipelines and facilities
The discussion presented above for item 6 applies to new construction as well. Keeping pipe
and valves clean during construction can minimize contamination. Pipe and appurtenances
should be kept free of dirt, mud and groundwater. Pipe ends should be closed with watertight
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plugs following each day's work. New work should include access points for flushing and
disinfection. Trained personnel should supervise all work, particularly final cleaning, flushing,
disinfection and bacteriological testing prior to putting the new construction into service.
8. Possible contamination hazards
The presence of possible contamination hazards in the vicinity of distribution pipelines can
increase the risk of microbial contamination. Microbial contaminants can enter the ground
water surrounding water pipes, thus becoming a potential source of contamination during low
pressure or negative pressure events. Possible contamination hazards are discussed
individually below.
a. Fire hydrants
Properly installed fire hydrants do not represent a contamination risk unless used by
unauthorized persons. If anyone, such as a contractor, desires access to water from a
hydrant, the connection should include a backflow prevention device. Improper or illegal
connections do represent a significant risk for contamination. When fire hydrants are used
during a fire it is possible to create very low or negative pressures in the distribution system,
increasing the chances of contamination. If insufficient fire flow capability exists, the water
system should investigate appropriate improvements such as larger pipes, additional storage,
or additional pumps.
b. Air release/vacuum valves
Please refer to the discussion under item 2 above for a description of hazards posed by these
valves.
c. Pipeline blow-offs
Blow-off lines are installed to provide points where the pipeline can be flushed for cleaning
and maintenance. Since there is typically only a single isolation valve on blow-off lines, it is
imperative that the ends be tightly screened or fitted with a flap valve that closes properly.
Blow-off lines should discharge to atmosphere at a point where the end cannot become
submerged.
d. Sewers
The presence of sanitary or storm sewers near water pipelines poses a potential threat to
contamination under certain circumstances. It is common for sewers to leak at joints, thereby
contaminating the surrounding soil and groundwater to some extent. Other sources of fecal
contamination are septic tank/drainfield systems used for individual home or building
wastewater disposal. Under low or negative pressure conditions these contaminants can
enter a water pipeline via pipe joints or holes. Contaminants can also enter a pipeline during a
break and repair. This is especially true if the ground water level is above the water pipeline.
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However, if a hole exists in a pipe the soil around the pipe is saturated, and that water can
serve as a source of contamination.
One indicator of distribution system integrity is a measure of how much water is lost due to
leakage. Only if both the supply and all customers are metered can water loss be determined
with any reasonable accuracy. When a water system's unaccounted for water exceeds 15
percent, there may be a need to examine the system for leaks and repair or replace pipes
with excessive leakage.
e. Hydraulic surge
Hydraulic surge is created in a pipeline anytime the flow of water is abruptly stopped. The
most common cause of hydraulic surge is pumps turning on and off. If a pump has only a
check valve on its discharge side, hydraulic surge will most likely occur within the piping
system, and can occur on both the suction and discharge sides of the pump, but most likely
on the discharge side. A pumping system designed to slowly increase the flow rate as a pump
turns on, and the opposite when a pump turns off, is one way to minimize surge. Pump control
valves are placed on the discharge side of a pump and should be tied into the pump's control
system to properly operate. A common type of valve is the hydraulically actuated diaphragm
valve. When the pump is called to come on the valve is set to slowly open after the pump has
started. Upon a call to turn the pump off the valve will slowly close and when completely shut
the pump will turn off. Another method that is becoming more common is variable speed drive
units. In variable speed drive units the pump starts up slowly, coming to full speed over a
preset period of time and the opposite upon shut down.
Other sources of hydraulic surge can be pressure reducing/pressure sustaining valves that do
not close slowly because of improper design or lack of maintenance. Storage reservoir level
controlled by altitude valves can also fall into this category.
9. Dead ends and low flow areas
Dead end pipes occur where the distribution system has not been (or cannot be) properly
looped. If dead ends or other areas do not have a sufficient number of customers connected
to the pipe, the water stays in the pipe longer than desirable. Water age refers to how long
water is in the pipes before being used. Water age is difficult to determine unless the
distribution system has been modeled using a computer program or tracer studies have been
performed. Since small systems typically do not have either of these, water age becomes very
difficult to determine.
Residual disinfectant concentration and bacteriological tests should be performed at dead

ends or areas where flows are low due to insufficient service connections. If the residual
disinfectant concentration drops below 0.2 mg/L (measured as total chlorine, combined
chlorine, or chlorine dioxide), lines should be flushed to restore the disinfectant concentration.
Positive coliform tests in these areas may indicate a source of contamination is present or
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coliform regrowth is occurring within the pipes. It is common for particulate matter to
accumulate in low flow or dead end areas. It has been shown that coliform organisms can be
associated with the particulate matter. Pipes should be flushed and/or disinfectant residuals
increased if coliform regrowth is suspected. Many times increasing disinfectant residuals will
not prevent positive coliform samples.
The most desirable solution to dead ends is to install pipes to form loops so water does not
become stagnant. In low flow areas one should investigate ways to increase flows. Many
times line valves are left closed, causing flow to become stagnant in areas thought to be
looped. Having proper system records and performing routine maintenance involving location
and exercising of all valves can prevent unknown stagnant areas.
10. Cross-connections - backflow prevention
Elimination of potential cross-connections or backflow points may be one of the most

important aspects of maintaining microbial water quality in a distribution system. A cross-
connection is a point in the distribution system or customer plumbing system where it is
possible for nonpotable water to come into contact with treated, potable water. The cross-
connection becomes a point where contaminated water can enter the distribution system.
Backflow can occur either because of low or negative pressure in the distribution system
(backsiphonage) or because a high pressure condition exists in the customer's plumbing that
could force nonpotable water back into the system (backpressure).
Water systems should have in place a cross-connection control program. Basically, a cross-
connection control program provides an organized effort to inspect and enforce cross-
connection control devices, as well as eliminate potential cross-connections.
Essential to a cross-connection program are rules or ordinances that require installation of

backflow prevention devices.
Common cross-connections in small water systems are direct connection of irrigation systems
to a water service line, connection of fire lines to water system without backflow prevention
device, use of potable water at sewage lift stations or treatment plants without backflow
prevention devices on the service lines, or service to stock watering tanks without backflow
prevention devices. Schools, day care centers, medical offices, hospitals, and food or animal
processing businesses can present a greater risk to the water system if backflow were to
occur. Cross-connection control should become a priority for any water system, even the
smallest system serving a gas station or motel.
11. System records
System records become important during certain maintenance and repair events. Knowing
the location of pipes, valves and appurtenances becomes important when a main break
occurs and the pipeline must be isolated. Knowing the size and pipe material allows
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personnel responsible for repairs to keep on hand the appropriate repair devices. If
maintenance personnel know where blow-offs and fire hydrants are located, they can better
plan and perform line flushing.
12. Residual disinfection
Residual or secondary disinfection refers to addition of a chlorine-based disinfectant to the

water entering the distribution system. The concept is that if a microbial contaminant enters
the distribution system the residual disinfectant will be present to inactivate the contaminant.
Some water systems that derive their water from high quality ground water do not practice
secondary disinfection. As water professionals and operators learn of the potential for
contamination of water while in the distribution system, the case becomes stronger for
providing a residual disinfectant.
Residual disinfectants currently in use include free chlorine, chloramines (chlorine combined
with ammonia) and chlorine dioxide. In order of ability to inactivate free-floating bacteria and
viruses, chlorine dioxide is the most effective, followed by free chlorine with chloramines being
the least effective. However, chloramines have been shown to be more effective in minimizing
biofilm in distribution systems, thus reducing the possibility of positive coliform samples due to
regrowth, not from contamination. Operators should actively sample numerous points in the
water system for disinfectant concentration. If the residual disinfectant concentration drops
below 0.2 mg/L (measured as total chlorine, combined chlorine, or chlorine dioxide), lines
should be flushed to restore the disinfectant concentration and/or disinfectant feed increased.
Positive coliform tests in these areas may indicate a source of contamination is present or
coliform regrowth is occurring within the pipes. Many times increasing disinfectant residuals
will not prevent positive coliform samples if the source is regrowth. However, coliform
regrowth should not be assumed until an actual contamination event has been ruled out
based on sufficient investigation. Water systems currently not required to perform secondary
disinfection should seriously consider the purchase and installation of equipment to feed a
disinfectant if the need should arise. One simple approach would be to provide the necessary
feed pumps, storage tanks and connections to feed liquid sodium hypochlorite (free chlorine).
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6 - WATER QUALITY MONITORING
Some water systems perform only the water

quality monitoring that is required by
regulations. Water quality monitoring
demonstrates compliance with standards set
by State or U.S. EPA regulations. Monitoring
can serve the equally important role of
providing information to operators: trends or
changes that may indicate a change in the
quality of the water source, efficiency of
treatment or a change within the distribution
system. The questions in Part F ask about
the specific type and frequency of monitoring
performed on the water source, treated water
and water in the distribution system.
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6.1 - Source Water Monitoring

In this section, source water refers to water
before application of any form of treatment.
Source water quality data provide the
information required to properly treat water
and to monitor the source for any changes in
water quality. This information can become
important for source water protection
programs, especially if the water system
must prove that a change in quality has
occurred as a result of actions by another
party, such as a discharge upstream from a
surface water intake. Of the parameters
listed, frequent measurement of pH,
temperature, turbidity and fecal coliforms
should be considered. If the source of water is surface water or ground water under the direct
influence of surface water (GWUDISW), the total organic carbon (TOC) concentration and
alkalinity will be important in determining TOC removal requirements.
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6.2 - Treated Water Monitoring

Treated water has received all required
treatment, including disinfection, but the
water has not yet entered the distribution
system for use by customers. Water from
surface water sources must be carefully
monitored for turbidity, pH, temperature,
alkalinity, TOC and disinfectant
concentration. If surface water or GWUDISW
are the source of water, the disinfectant
concentration should be at least 0.2 mg/L.
Higher values are typically used depending
on the concentration required to maintain a
residual concentration in the distribution
system. It is useful to sample for total and
fecal coliforms to assure treated water is microbiologically safe to consume. Even systems
that do not require disinfection should sample their treated water for microbial contaminants.
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6.3 - Distributed Water Sampling

The National Primary Drinking Water
Regulations (40 CFR Part 141) have specific
requirements for monitoring distributed water
for microbiological quality. A water system
should have a sampling plan that identifies
where samples will be taken and with what
frequency. Along with the required
microbiological samples, i.e., coliform
samples, distributed water should be
frequently monitored for residual disinfectant
concentration. Maintaining a residual
disinfectant concentration greater than 0.2
mg/L is important in case of backflow or
other intrusion that introduce microbial
contaminants into the system.
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6.4 - Microbiological Sample Handling / Analysis

Most small water systems rely on state or
private labs for sample analysis. The state
and/or EPA must certify these labs for
analysis of drinking water. Once taken,
samples must be properly stored and
transported. If there is any delay in
transporting or shipping samples,
immediately place samples in a refrigerator.
Samples that are shipped overnight should
be in insulated coolers with "blue ice" or
equivalent to keep samples chilled. If
transporting samples requires more than 30
minutes, it is desirable to also use insulated
coolers and "blue ice" to keep samples
chilled until delivery.
Only persons with appropriate training and certification should sample and/or analyze drinking
water. In certain localities the operators must perform the microbiological analyses since
overnight shipping does not exist or is prohibitively expensive. States frequently have annual
or biannual school sessions for water operators where they can receive the necessary
education to gain proper certification for their job. Small water system operators should seek
information regarding their job from state water authorities, rural water assistance programs,
state universities, and the Internet. For example, the EPA and some states post almost all
water regulations on the Internet.
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7 - USING FEEDBACK
Upon completion of all surveys relevant to

your water system and entry of answers into
the Ranking Tool, you will be ready to view
the results of your hard work. This unit will
show you how to view your results on the
computer, as well as how to print your
scores. The results will include charts and
tables showing the computed ranking scores
for all of your system components and
comments generated by the Ranking Tool
based on your answers. This unit will also
provide guidance on how to interpret the
results and use them to minimize system
vulnerability to potential microbial risks.
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7.1 - Viewing Scores

After a survey has been completed you can
view the ranking scores by opening the
worksheets that summarize results. The
screen in (FIGURE 5) shows the numerical
ranking scores for Part B.I., Surface Water
Source-Stream or River, by major
component of the survey. In the example
shown there are two sources, each having
identical scores. Numerical scores are
presented for each major component of the
Part B.I survey, for each source (No. 1 and
No. 2.) In the table presented in (FIGURE 6)
the numerical scores for each source have
not been weighted by their contribution to the
total supply. Therefore, each source can be directly compared with another if there should be
more than one. The "Total" score is weighted based on how much each source contributes to
the total supply (percent of total supply, as explained below).
Directly adjacent to the table summarizing ranking scores are bar charts that show the scores
for each source and the total by component of the survey. The graphs provide a quick visual
interpretation of the results and comparisons to other like sources. The user can left-click on
the "View Table" and "View Graph" buttons to switch the view to that item, much in the same
way as the buttons in the survey worksheets are used to view comments or view answers.
Summary worksheets are provided for Parts B, C, D, E, and F, as well as a summary for the
entire water system.
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7.2 - Interactively Viewing a Chart

For any of the answer worksheets in Parts B,
C, D, E, and F, one can immediately see a
results chart by double-left-clicking anywhere
within the worksheet area. A window will
appear showing the current scores based on
the answers that have been entered. If an
answer is changed the new scores can be
viewed by left-clicking on the "Update Chart"
button. This unique feature can be used to
view what would happen to the scores if an
answer could be changed. For example,
maybe the water system currently does not
have source water protection plans in place
and one would like to assess how the scores
would change if the plans were completed
and implemented.
Note: Using the interactive charts features

requires a computer with sufficient memory
and processor speed. If you try to use this feature and it is taking several minutes for the
computer to generate the chart, you may not want to use this feature.
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7.3 - Interpretation of Scores

The results can be used to look at specific
components of a facility (e.g., a pump
station), combined scores for an entire part
of a water system (e.g., all pump stations), or
for the total water system by major category.
Numerical ranking scores are presented in
(FIGURE 6) for two surface water stream or
river sources. These scores are presented
graphically in (FIGURE 10). Using the
ranking scores it is seen that component
numbers 4 - "Management of land use and
activities", 5 - "Native and domestic animals
within watershed," and 7 - "Upstream
wastewater discharges," have much greater
scores than the other components. Components with the highest numerical scores are those
with the potential for the greatest risk of microbial contamination.
Each component of a system facility is given a numerical score between 0.0 and 1.0. The
greater the numerical score, the greater the potential risk of microbial contamination based on
answers to the survey questions. However, just because a component has the highest score
does not mean there is a problem or significant risk. Take into consideration the comments
and suggestions generated for the particular source or facility in the example shown in
(FIGURE 1). One would look at comments for Surface Water - Stream or River sources No. 1
and No. 2 in the worksheet for Part B.I. (or print the results for Part B.I.). The comments will
help explain where major risks are present. Always look at the scores and comments
carefully. You may find that you answered a series of questions incorrectly or incompletely,
therefore giving an erroneous score.
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7.4 - Printing Comments & Scores

To print the results for any Part of the survey,
open the "Select Survey Sheets & Control
Forms" window (click on the "Survey Tool
Bar" or press Ctrl + h), then point to and left-
click on the "Print Results" button. This will
bring up the "Print Results" window that will
allow you to select which results you wish to
print (FIGURE 7). Alternatively, press down
the "Ctrl" key plus the "r" key (Ctrl + r) to
bring up the "Print Results" window. To
select a Part to print results for, place the
mouse cursor over the box to the left of the
Part you wish to print and left-click the box to
select the box. You will see a check mark in
the box you have selected. Left-click on the "Print Results" button to print results for the
selected Part(s). To clear all boxes click on the "Clear All Checked Boxes" button. To close
the window click on the "Cancel" button or the X in the upper right-hand corner of the window.
The printed results page will contain both the tables and graphs on a single printed page as
shown in (FIGURE 8).
In a similar manner you can select the "Print Comments" window from the "Select Survey
Sheets & Control Forms" window, or by using the "Ctrl" key plus the "m" key (Ctrl + m)
shortcut. The "Print Comments" window is shown in (FIGURE 9). You select the Part(s) for
printing comments by checking (left-clicking on) the appropriate boxes and then left-click the
"Print" button. To clear all check boxes you left-click on the "Clear ALL Check Boxes" button,
and to close the window left-click on the "Cancel" button or the X in the upper right-hand
corner of the window.
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7.5 - Using the Scores

The results of the survey and scoring
process are dependent upon correct and
truthful answers to the questions. As you
view individual results for a given facility, look
at those components with the higher scores
along with any comments or suggestions
provided. Some items causing higher scores
can be easily remedied. For example,
screening vents and repairing holes or
cracks in a reservoir will greatly help reduce
the chance for contamination, and the repairs
may be inexpensive and easy to perform.
Once the repairs are made, revise the
answers to your individual survey and
ranking to see how they affected overall scores.
Suppose you have a facility that shows significant risk of contamination, say a poorly
constructed pump station, and the desired modifications are expensive or require hiring
outside help. Your Ranking Tool scores, along with comments and suggestions, can be used
in discussions with those who control finances for the water system (e.g., district board, town
council, or water system committee). Use the ranking scores to show others that a problem
could exist and then explain what is needed to improve the situation. Use the Ranking Tool to
help support your recommendations.
The survey and Ranking Tools are not all-inclusive and therefore may not be totally applicable
to your system. You may see areas of your system that you feel are contamination risks, but
they do not show up that way in the survey. Be careful to not blindly assume the survey and
Ranking Tool are totally correct. Use your own judgment. Chances are you already know
where many of the problems are and only want to see if the Ranking Tool verifies your
knowledge.
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7.6 - Closing Remarks

Congratulations! If you have completed the
Microbial Risk Assessment for your water
system, you have taken an important step
towards protecting the health of those who
drink and use your system's water. The
ultimate goal for every system operator or
manager is to provide safe, high quality
drinking water. Microbial contamination of a
drinking water system is a serious issue, and
can lead to illness and possibly death.
Prevention is an ongoing process requiring
operators and managers to remain vigilant,
continuously assessing their system for
potential threats. The Microbial Risk
Assessment Toolbox provides a systematic
approach for determining potential threats
along with recommendations for minimizing
those threats.
If you are completely finished with the program, you can now print your certificate. Click on
the "LOGBOOK" at the top to view the summary of work completed. If the "PRINT
CERTIFICATE" button is not gold-colored, then click on the question marks next to "Sections"
and "Activities" to see what sections are incomplete. Visit each remaining section, complete
the tutorials and then return to click the "PRINT CERTIFICATE" button. Thank you for using
the Microbial Risk Assessment Guide.
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7.7 - Acknowledgments
We hope that the Microbial Risk Assessment Guide has been a useful tool. Here are the
people and organizations who have developed this training tool:
FUNDING
Funding provided by the EPA Office of Groundwater & Drinking Water. This product was
funded by grant number X-82868501-3 from the US Environmental Protection Agency to
Montana State University.
PRIMARY CONTENT
Content for the Microbial Risk Assessment Guide, as well as the Ranking Tool spreadsheet
was written by Dr. Phillip Butterfield, Ph.D., P.E., Montana State University. Content was
modified for use as a multimedia training tool by the Montana Water Center Media Team.
Tutorials were co-written by Dr. Phillip Butterfield, Ph.D., P.E., and Ken Glynn of the Montana
Water Center.
GUIDE DEVELOPMENT TEAM

Kevin Kundert, Training Director
Ken Glynn, Project Manager / Developer
Justin West, Multimedia Programmer
Nicholas Dunbar, Multimedia Developer
Vince Cusomato, Multimedia Developer
Brooks Walch, Multimedia Developer
TECHNICAL REVIEWERS
Kevin Kundert, Montana Water Center
Gretchen Rupp, P.E., Montana Water Center
Barb Coffman, Montana Water Center
DISTRIBUTION
The National Drinking Water Clearinghouse (http://www.nesc.wvu.edu/ndwc) will be the
distributor of this training tool. To obtain a CD-ROM copy of this program, call 800-624-8301
or 304-293-4191 and refer to product #DWCDTR21.
SUPPORT CONTACT
Montana Water Center
EPA Technical Assistance Center
for Small Public Drinking Water Systems
Montana State University
101 Huffman Building
Bozeman, MT 59717-2690
Contact: watercenter@montana.edu
http://water.montana.edu/training/mr
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TRADEMARKS
Throughout this program, trademarked names are used. Rather than put a trademark symbol
in every occurrence of a trademarked name, we have used the names in an editorial fashion
only, with no intention of trademark infringement. The absence of the trademark symbol in any
product or service names or logos belonging to manufacturers or other companies, or
anywhere in the program text does not constitute a waiver of trademark or other intellectual
property rights concerning that name or logo. All other product and brand names are
trademarks of their respective owners.
DISCLAIMER
THERE IS NO WARRANTY FOR THE PROGRAM, TO THE EXTENT PERMITTED BY
APPLICABLE LAW. EXCEPT WHEN OTHERWISE STATED IN WRITING THE COPYRIGHT
HOLDERS AND/OR OTHER PARTIES PROVIDE THE PROGRAM "AS IS" WITHOUT
WARRANTY OF ANY KIND, EITHER EXPRESSED OR IMPLIED, INCLUDING, BUT NOT
LIMITED TO, THE IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A
PARTICULAR PURPOSE. THE ENTIRE RISK AS TO THE QUALITY AND PERFORMANCE
OF THE PROGRAM IS WITH YOU. SHOULD THE PROGRAM PROVE DEFECTIVE, YOU
ASSUME THE COST OF ALL NECESSARY SERVICING, REPAIR OR CORRECTION. IN
NO EVENT UNLESS REQUIRED BY APPLICABLE LAW OR AGREED TO IN WRITING
WILL ANY COPYRIGHT HOLDER, OR ANY OTHER PARTY WHO MAY MODIFY AND/OR
REDISTRIBUTE THE PROGRAM AS PERMITTED ABOVE, BE LIABLE TO YOU FOR
DAMAGES, INCLUDING ANY GENERAL, SPECIAL, INCIDENTAL OR CONSEQUENTIAL
DAMAGES ARISING OUT OF THE USE OR INABILITY TO USE THE PROGRAM
(INCLUDING BUT NOT LIMITED TO LOSS OF DATA OR DATA BEING RENDERED
INACCURATE OR LOSSES SUSTAINED BY YOU OR THIRD PARTIES OR A FAILURE OF
THE PROGRAM TO OPERATE WITH ANY OTHER PROGRAMS), EVEN IF SUCH HOLDER
OR OTHER PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES.
PRODUCTS SHOWN ARE FOR ILLUSTRATION PURPOSES ONLY. THEIR APPEARANCE
DOES NOT IMPLY AN ENDORSEMENT BY THE MONTANA WATER CENTER, THE EPA,
OR CONTRIBUTING AUTHORS.
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Microbial Risk Assessment Guide

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Microbial Risk Assessment Guide

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Microbial Risk Assessment Guide PDF

MICROBIAL RISK ASSESSMENT GUIDE

1 - THE RANKING TOOL

Welcome to the Small Water System Survey

We suggest that you view the introduction

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1.1 - General Survey Instructions

Part A requests general information about

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1.2 - The Ranking Tool

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1.3 - Viewing Comments

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1.4 - Navigating Worksheets

This toolbar should be a small window on top

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1.5 - Clearing Worksheet Answers

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1.6 - Checking Percent Values

A water system has three water

Percent of Annual Supply for Spring = 58,400,000 / 73,000,000 x 100 = 80%

Percent of Annual Supply for a Well = 7,300,000 / 73,000,000 x 100 = 10%

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(1) Distribution System Pumping (e.g., a booster pump station),

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Unit 2 provides guidance material for

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2.1 - Surface Water: Stream or River

1. Stream or river source identification

2. Source Water Assessment

Examples of contaminant sources are a municipal wastewater discharge, presence of cattle

3. Source Water Protection Program

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4. Management of land use and activities within the watershed

5. Domestic and native animals within watershed

6. Human access to and activities practiced within watershed

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7. Upstream wastewater discharges

8. Upstream stormwater discharges/runoff within watershed

9. Surface water intake structures

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10. Known sources of microbial contamination

11. Filtration waiver

12. Source treatment

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2.2 - Surface Water: Lake or Impoundment

2. Source Water Assessment

Examples of contaminant sources are a municipal wastewater discharge, presence of cattle

3. Source Water Protection Program

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4. Management of land use and activities within the watershed

5. Domestic and native animals within watershed

6. Human access to and activities practiced within watershed

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7. Upstream wastewater discharges

8. Upstream stormwater discharges/runoff within watershed

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9. Surface water intake structures

10. Known sources of microbial contamination

12. Source Treatment

Does this water source receive any form of treatment? (yes/no)

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