United States Office of Research and Office of EPA/625/6-91/027

Environmental Protection Development Water Revised August 1998

Agency Washington DC 20460 Washington DC 20460

Optimizing WaterTr
Plant Performance Usin
Composite Correction
Program
1998 Edition
 EPA/625/6-9 l/O27
Revised August 1998

Handbook

Optimizing Water Treatment Plant

Performance Using the
Composite Correction Program

1998 Edition

Technical Support Center

Standards and Risk Management Division
Office of Ground Water and Drinking Water
Office of Water
Cincinnati, Ohio 45268

Center for Environmental Research Information

Technology Transfer and Support Division
National Risk Management Research Laboratory
Office of Reasearch and Development
U.S. Environmental Protection Agency
Cincinnati, Ohio 45268

@ Printed on Recycled Paper

 No the

This document has been reviewed in accordance with the U.S. Environmental
Protection Agencys peer and administrative review policies and approved for
publication. Mention of trade names or commercial products does not constitute
endorsement or recommendation for use.
 Acknowledgments

This handbook was prepared for the United States Environmental Protection Agency (U.S. EPA) by
Process Applications, Inc. Although many individuals contributed to the preparation and review of this
document, the assistance of the individuals listed below is especially acknowledged.

Major Authors:
Bob A. Hegg and Larry D. DeMers, Process Applications, Inc., Fort Collins, Colorado
Jon H. Bender, Eric M. Bissonette, and Richard J. Lieberman, U.S. EPA Office of Groundwater and
Drinking Water (OGWDW) Technical Support Center (TSC), Cincinnati, Ohio

Project Managers:
James E. Smith, Jr., U.S. EPA Office of Research and Development, Technology Transfer and
Support Division, National Risk Management Research Laboratory (NRMRL)
Jon H. Bender, U.S. EPA OGWDW, TSC, Cincinnati, Ohio

Reviewers:
Frank Evans, U.S. EPA, NRMRL, Cincinnati, Ohio
Julie Z. LeBlanc, U.S. Army Corps of Engineers, New Orleans, Louisiana
David Parker, U.S. EPA, Region IV, Atlanta, Georgia
Chuck Schwarz, Texas Natural Resource Conservation Commission, Tyler, Texas
Jeff Robichaud, U.S. EPA, OGWDW, Washington, D.C.

Editing and Production:

M. Lynn Kelly, Process Applications, Inc., Fort Collins, Colorado

...
III
 Contents

Chapter Page
...
Acknowledgments ..................................................................................................................... III
List of Figures ............................................................................................................................ X
List of Tables ............................................................................................................................ xi

1 Introduction ............................................................................................................. 1
1.1 Purpose .................................................................................................................... 1
1.2 Background .............................................................................................................. 1
1.2.1 Wastewater Treatment Compliance .................................................................. 1
1.2.2 Water Treatment Optimization ......................................................................... 2
1.2.3 Broad-Scale Application of CCP Concepts ......................................................... 2
1.3 Scope ...................................................................................................................... 3
1.3.1 Update of the CCP Approach and Implementation .............................................. 3
1.3.2 Support for Future Regulations ........................................................................ 3
1.3.3 Technical Resource for the Partnership for Safe Water ........................................ 4
1.3.4 Considerations for Total System Optimization .................................................... 4
1.4 Using the Manual ...................................................................................................... 4
1.5 References ............................................................................................................... 4

2 Protection Of Public Health From Microbial Pathogens .................................................. 7

2.1 Background .............................................................................................................. 7
2.2 Waterborne Disease History ........................................................................................ 7
2.3 Relationship Between Optimized Performance and Public Health Protection ....................... 8
2.3.1 Multiple Barrier Strategy ................................................................................. a
2.3.2 Basis for Optimization Goals ............................................................................ 9
2.4 Optimization Performance Goals ................................................................................. 10
2.4.1 Minimum Data Monitoring Requirements ......................................................... .lO
2.4.2 Individual Sedimentation Basin Performance Goals ............................................ 10
2.4.3 Individual Filter Performance Goals ................................................................. .lO
2.4.4 Disinfection Performance Goal ........................................................................ 11
2.5 Role of the Water Treatment Plant Staff in Public Health Protection ................................. 11
2.6 References .............................................................................................................. 11

3 Assessing Composite Correction Program Application ................................................. 13

3.1 Introduction ............................................................................................................. 13
3.2 Optimization Program Experience ................................................................................ 13
3.3 Area-Wide Optimization Model ................................................................................... 14
3.3.1 Status Component ........................................................................................ 14
3.3.2 Evaluation Component .................................................................................. 14
3.3.3 Follow-Up Component .................................................................................. -14
3.3.4 Maintenance Component ............................................................................... 14
3.4 Implementation of an Area-Wide Model ....................................................................... 14
3.4.1 Establish Criteria to Prioritize Water Systems .................................................... 16
3.4.2 Assess Water System Performance Relative to Optimization Goals .................... ..16
3.4.3 Prioritize Water Systems Based on Selected Criteria .......................................... 17
3.4.4 Assess Response to Prioritized Water Systems ................................................. ia
3.5 References .............................................................................................................. 19

V
 Con tents (continued)

Chapter Page

4 Comprehensive Performance Evaluation .................................................................... 21

4.1 Introduction ............................................................................................................. 21
4.2 CPE Methodology ..................................................................................................... 21
4.2.1 Assessment of Plant Performance ................................................................... 21
4.2.1 .l Review and Trend Charting of Plant Operating Records ...................... ..2 1
4.2.1.2 Supplemental Data Collection ........................................................... 22
4.2.2 Evaluation of Major Unit Processes ................................................................. 25
4.2.2.1 Overview ....................................................................................... 25
4.2.2.2 Approach ....................................................................................... 27
4.2.2.3 Determining Peak Instantaneous Operating Flow .................................. 28
4.2.2.4 Rating Individual Unit Processes ........................................................ 29
Flocculation ................................................................................ 30
Sedimentation ............................................................................ 30
Filtration .................................................................................... 31
Disinfection ................................................................................ 32
Post-Disinfection .................................................................. .32
Pre-Disinfection ..................................................................... 34
4.2.3 Identification and Prioritization of Performance Limiting Factors ......................... -35
4.2.3.1 Identification of Performance Limiting Factors ..................................... 35
Identification of Administrative Factors ......................................... .36
Policies ................................................................................. 37
Budgeting ............................................................................. 38
Staffing ................................................................................ 38
Identification of Design Factors ..................................................... 38
Identification of Operational Factors .............................................. 39
Plant Flow Rate and Number of Basins in Service.. .................... .39
Chemical Dose Control ........................................................... 39
Filter Control ......................................................................... 40
Process Control Activities ....................................................... 41
Other Controls ....................................................................... 42
Identification of Maintenance Factors ........................................... ..4 2
4.2.3.2 Prioritization of Performance Limiting Factors ...................................... 42
4.2.4 Assessment of the Applicability of a CTA ...................................................... ..4 4
4.2.5 CPE Report .................................................................................................. 44
4.3 Conducting a CPE ..................................................................................................... 44
4.3.1 Overview ..................................................................................................... 49
4.3.2 Initial Activities ............................................................................................ 49
4.3.2.1 Key Personnel ................................................................................. 50
4.3.2.2 CPE Resources ................................................................................ 50
4.3.2.3 Scheduling ..................................................................................... 50
4.3.3 On-Site Activities ......................................................................................... 51
4.3.3.1 Kick-Off Meeting ............................................................................ .51
4.3.3.2 Plant Tour ...................................................................................... 51
Pretreatment .............................................................................. 52
Mixing/Flocculation/Sedimentation ................................................. 52
Chemical Feed Facilities ............................................................... 53
Filtration .................................................................................... 53
Disinfection ................................................................................ 54
Backwash Water and Sludge Treatment and Disposal.. ................... ..5 4
Laboratory ................................................................................. 54
Maintenance ............................................................................... 54

vi
 Con tents (continued)

Chaljter Page

4.3.3.3 Data Collection Activities ................................................................ -54

4.3.3.4 Evaluation of Major Unit Processes .................................................... 55
4.3.3.5 Performance Assessment ................................................................ .55
4.3.3.6 Field Evaluations ............................................................................. 55
4.3.3.7 Interviews ..................................................................................... .57
4.3.3.8 Evaluation of Performance Limiting Factors.. ...................................... .57
4.3.3.9 Exit Meeting ................................................................................... 58
4.3.4 CPE Report .................................................................................................. 60
4.4 Case Study .............................................................................................................. 60
4.4.1 Facility Information ....................................................................................... 60
4.4.2 Performance Assessment .............................................................................. .61
4.4.3 Major Unit Process Evaluation ....................................................................... .61
4.4.3.1 Flocculation Basin Evaluation ........................................................... .6l
4.4.3.2 Sedimentation Basin Evaluation ......................................................... 62
4.4.3.3 Filter Evaluation .............................................................................. 62
4.4.3.4 Disinfection Process Evaluation ......................................................... 62
4.4.4 Performance Limiting Factors ......................................................................... 63
4.4.5 Assessing Applicability of a CTA .................................................................... 64
4.4.6 CPE Results ................................................................................................. 64
4.5 References .............................................................................................................. 64

5 Comprehensive Technical Assistance ........................................................................ 67

5.1 Objective.. ............................................................................................................... 67
5.2 Conducting CTAs ..................................................................................................... 68
5.2.1 Overview ..................................................................................................... 68
5.2.2 Implementation ............................................................................................ 69
5.2.2.1 Approach ....................................................................................... 70
CTA Facilitator ............................................................................ 70
On-Site CTA Champion ................................................................ 71
CTA Framework .......................................................................... 71
5.2.2.2 Tools.. .......................................................................................... .73
Contingency Plans ....................................................................... 73
Action Plans ............................................................................... 73
Special Studies ........................................................................... 73
Operational Guidelines ................................................................. 74
Data Collection and Interpretation ................................................ .74
Priority Setting Tools ................................................................... 75
Topic Development Sheets ........................................................... 75
Internal Support .......................................................................... 76
What If Scenarios ....................................................................... 77
5.2.2.3 Correcting Performance Limiting Factors ............................................ 77
Design Performance Limiting Factors ........................................... ..7 7
Maintenance Performance Limiting Factors .................................... .78
Administrative Performance Limiting Factors ................................... 78
Operational Performance Limiting Factors ....................................... 79
Process Sampling and Testing ............................................... ..8 0
Chemical Pretreatment and Coagulant Control .......................... .80
Unit Process Controls ............................................................. 82

vii
 Con tents (con timed)

Page

5.3 Case Study ............................................................................................................... 85

5.3.1 CPE Findings ................................................................................................ 85
5.3.2 CTA Activities .............................................................................................. 86
5.3.2.1 Initial Site Visit ............................................................................... 86
5.3.2.2 Off-Site Activities ............................................................................ 87
5.3.2.3 Follow-Up Site Visit ......................................................................... 87
5.3.2.4 Other CTA Activities ........................................................................ 88
5.3.2.5 CTA Results ................................................................................... 88
5.4 References ..................................................................................................... ..~ ...... 91

Findings From Field Work ........................................................................................ 93

6.1 Introduction ............................................................................................................. 93
6.2 Results of Comprehensive Performance Evaluations ...................................................... .93
6.2.1 Major Unit Process Capability ......................................................................... 93
6.2.2 Factors Limiting Performance ......................................................................... 94
6.2.3 Summary of CPE Findings .............................................................................. 96
6.3 Results of Comprehensive Technical Assistance Projects ................................................ 97
6.4 References .............................................................................................................. 98

The Future: Changing Regulations and New Optimization Challenges ........................... 99

7.1 Introduction ............................................................................................................. 99
7.2 Background on M-DBP Regulations .............................................................................. 99
7.3 M-DBP Requirements Relative to Optimized Performance Goals ..................................... 100
7.3.1 Treatment Technique Turbidity Requirements ................................................. 100
7.3.2 Removal/Inactivation Requirements ............................................................... 101
7.3.3 DBP Maximum Contaminant Levels (MCLsI .................................................... 102
7.3.4 Enhanced Coagulation Requirements ............................................................ .103
7.3.5 Microbial Backstop ..................................................................................... 103
7 . 4 S u m m a r y ............................................................................................................... 104
7.5 References ............................................................................................................ 105

Other CCP Considerations ..................................................................................... 107

8.1 Introduction ........................................................................................................... 107
8.2 Developing CCP Skills ............................................................................................. 107
8.2.1 CPE Training Approach ................................................................................ 107
8.2.2 CTA Training Approach ............................................................................... 107
8.3 Quality Control ....................................................................................................... 108
8.3.1 CPE Quality Control Guidance ...................................................................... 108
8.3.2 CTA Quality Control Guidance ...................................................................... 109
8.4 Total System Optimization ....................................................................................... 110
8.5 References ............................................................................................................ 112

..
VIII
 Con tents (continued)

Appendices Page

Appendix A Data Collection Spreadsheets and Macros for the Partnership for Safe Water . . . . ,. .I 15

Appendix B Drinking Water Treatment Plant (DWTP) Advisor Software . . . ..I.......................... 123

Appendix C Major Unit Process Capability Evaluation Performance Potential Graph

Spreadsheet Tool for the Partnership for Safe Water . . . . ..I.................................. 125

Appendix D CT Values for Inactivation of Giardia and Viruses by Free Cl, and Other
Disinfectants .,,...........,.............. . . . . . . . . . . . . . . . . ..*....*. . . . . . ..*................................. 135

Appendix E Performance Limiting Factors Summary Materials and Definitions . . . . . . . . . . . . . . . . . . . . . . . 145

Appendix F Data Collection Forms .................................................................................. 159

Appendix G Example CPE Report ..................................................................................... 205

Appendix H Example CPE Scheduling Letter.. .................................................................... 221

Appendix I Example Special Study ................................................................................. 225

Appendix J Example Operational Guideline ....................................................................... 227

Appendix K Example Process Control Daily Report.. ........................................................... 231

Appendix L Example Jar Test Guideline ........................................................................... 233

Appendix M Chemical Feed Guidelines .............................................................................. 237

Appendix N Conversion Chart . . . . . . ..*.....................*................. . . ..*.................................... 245

ix
 List of Figures

Chapter Page

Figure 2-l. Multiple barrier strategy for microbial contaminant protection ............................... 9
Figure 3-l. Area-wide optimization model .......................................................................... 15
Figure 3-2. Area-wide treatment plant performance status ................................................... 16
Figure 3-3. Example turbidity monitoring data for 12-month period ....................................... 18
Figure 4-l. Example performance assessment trend charts .................................................. 23
Figure 4-2. Example of individual filter monitoring.. ............................................................ .25
Figure 4-3. Major unit process evaluation approach ............................................................ 26
Figure 4-4. Example performance potential graph .............................................................. .27
Figure 4-5. Major unit process rating criteria ...................................................................... 28
Figure 4-6. Example factors summary and supporting notes ................................................. 45
Figure 4-7. CPEKTA schematic of activities ...................................................................... 47
Figure 4-8. Schematic of CPE activities ............................................................................. 48
Figure 4-9. Flow schematic of Plant A .............................................................................. 60
Figure 4-l 0. Performance potential graph for Plant A ............................................................ 61
Figure 5-l. CTA results showing finished water quality improvements ................................... 67
Figure 5-2. CTA priority setting model ............................................................................. .68
Figure 5-3. Schematic of CTA framework .......................................................................... 72
Figure 5-4. Example action plan ....................................................................................... 73
Figure 5-5. Special study format ...................................................................................... 74
Figure 5-6. Short term trend chart showing relationship of raw, settled and filtered
water turbidities ............................................................................................ 75
Figure 5-7. Example priority setting results from CTA site visit activity.. .............................. ..7 6
Figure 5-8. Example topic development sheet .................................................................... 76
Figure 5-9. A basic process control sampling and testing schedule ........................................ 81

Figure 5-l 0. Performance improvement during CTA project - filter effluent.. ........................... .89
Figure 5-l 1. Performance improvement during CTA project - sedimentation basin effluent ....... .89
Figure 5-l 2. Performance improvement during CTA project - filter backwash spikes.. .............. .90
Figure 5-l 3. Plant performance after CTA ........................................................................... 90

Figure 7-l. Historic perspective of turbidity goal and regulations ........................................ 101

Figure 7-2. Example of disinfection profile daily variations in log inactivation.. ..................... .I04

X
 List of TabJes

Number Page

Table l-l. Information Pertinent to Specific User Groups ..................................................... 5

Table 2-l. U.S. Outbreaks of Cryptosporidiosis in Surface Water Supplies.. ............................ 8
Table 3-l. Example Prioritization Criteria for Surface Water Systems .................................... 17
Table 3-2. Example Prioritization Database ........................................................................ 18
Table 4-l. Percentile Distribution Analysis of Water Quality Data.. ..................................... ..2 4
Table 4-2. Major Unit Process Evaluation Criteria ............................................................... 29
Table 4-3. Expected Removals of Giardia Cysts and Viruses by Filtration .............................. 33
Table 4-4. Factors for Determining Effective Disinfection Contact Time Based on
Basin Characteristics ...................................................................................... 34
Table 4-5. Classification System for Prioritizing Performance Limiting Factors.. .................... ..4 3
Table 4-6. Evaluation Team Capabilities ............................................................................ 49
Table 6-1. Geographical Distribution of CPEs and CTAs ...................................................... 93
Table 6-2. Summary of the Major Unit Process Ratings for 69 Plants ................................. ..9 4
Table 6-3. Most Frequently Occurring Factors Limiting Performance at 69 CPEs ..................... 95
Table 8-l. Training Approach to Achieve Transfer of CPE Skills ......................................... 108
Table 8-2. Quality Control Checklist for Completed CPEs .................................................. 109
Table 8-3. Quality Control Checklist for Completed CTAs ................................................. 110
Table 8-4. Total System Optimization Considerations for Drinking Water Utilities .................. 1 1 1

xi
 Chapter 1
lntroduc tion

1 .I Purpose requirement for Giardia and/or viruses described in

the SWTR guidance (9).
Maintaining public health protection at water sup-
ply systems has become more challenging in This handbook is an updated version of the USEPA
recent years with the resistance of some patho- Handbook: Optimizing Water Treatment Plant Per-
gens to disinfection using chlorination and an formance Using the Composite Correction Program
increase in the immuno-compromised population published in 1991 (71. It is intended to serve as a
(e.g., people with HIV, organ transplant patients, resource document for optimizing the performance
the elderly). Also, as evidenced by recent out- of existing surface water treatment facilities to
breaks, compliance with the 1989 Surface Water provide protection from microbial contamination.
Treatment Rule (SWTR) does not always assure
maximum protection of the public from waterborne
disease (1). Based on this awareness, the U.S. 1.2 Background
Environmental Protection Agency (USEPA) is
developing regulations to control contamination 1.2.1 Wastewater Treatment Compliance
from microbial pathogens in drinking water while
concurrently addressing other concerns such as The CCP approach was initially developed to
disinfection by-products (2,3). These new and address compliance problems at wastewater
interrelated regulations are moving the water sup- treatment facilities that were constructed in the
ply industry toward meeting increasingly more late 1960s and 1970s. A survey involving over
stringent water treatment requirements. one hundred facilities was conducted to identify
the reasons for this non-compliance (IO,1 1 ,i 21.
Research and field work results support optimizing The survey revealed that operations and mainte-
particle removal from water treatment facilities to nance factors were frequently identified as limiting
maximize public health protection from microbial plant performance, but also disclosed that adminis-
contamination (4,5,6). Since 1988 the Composite trative and design factors were contributing limita-
Correction Program (CCP) has been developed and tions. Most importantly, each plant evaluated had
demonstrated as a method of optimizing surface a unique list of factors limiting performance.
water treatment plant performance with respect to
protection from microbial pathogens in the United Based on these findings, an approach was devel-
States and Canada (7,8). The approach is based oped to identify and address performance limita-
on establishing effective use of the available water tions at an individual facility and to obtain
treatment process barriers against passage of par- improved performance. Significant success was
ticles to the finished water. achieved in improving performance at many
wastewater treatment facilities without major capi-
Specific performance goals are used by the CCP tal improvements (131. Ultimately, a handbook
approach to define optimum performance for key was developed that formalized the evaluation and
treatment process barriers such as sedimentation, correction procedures (14). The formalized
filtration, and disinfection. These include a maxi- approach was defined as the Composite Correction
mum individual sedimentation basin effluent tur- Program (CCP), and it consists of two compo-
bidity goal of less than 2 nephelometric turbidity nents-a Comprehensive Performance Evaluation
units (NTUs) to assure that the integrity of this (CPE) and Comprehensive Technical Assistance
barrier is consistently maintained and to provide a (CTA). As a point of clarification, the technical
low particle loading to the filters. For the filtration assistance phase was initially referred to as a
barrier, optimum performance has been described Composite Correction Program; however, the
as individual filter effluent turbidities of less than name of this phase was changed to Comprehen-
0.1 NTU with a maximum post backwash spike sive Technical Assistance to better differentiate
to 0.3 NTU and returning to less than 0.1 NTU in the two phases. A CPE is a thorough review and
less than 15 minutes. The disinfection goal has analysis of a plants performance-based capabili-
been based on achieving the log inactivation ties and associated administrative, operation, and

1
maintenance practices. It is conducted to identify Following these initial efforts, work continued,
factors that may be adversely impacting a plants through a cooperative agreement between TSC
ability to achieve permit compliance without major and the University of Cincinnati, on further refine-
capital improvements. A CTA is the performance ment and development of the CCP approach. For-
improvement phase that is implemented if the CPE mal efforts were implemented to incorporate the
results indicate improved performance potential. CCP into state programs. It was anticipated that
During the CTA phase, identified plant-specific fac- application of the CCP by state regulatory person-
tors are systematically addressed and eliminated. nel would achieve desired performance levels with
a minimum financial impact on the utilities in their
The wastewater CCP handbook was updated in jurisdiction. Pilot programs were implemented in
1989 to include specific low cost modifications eight states (West Virginia, Massachusetts,
that could be used to optimize an existing facilitys Maryland, Rhode Island, Kentucky, Pennsylvania,
performance (15). An expert system (POTW Texas, and Colorado) which focused on develop-
Expert) was also developed to supplement the ing CPE capability for state staff. A progressive
handbook (I 6). training process was developed within each state.
The training process included the completion of a
seminar followed by three CPEs conducted by a
7.2.2 Water Treatment Optimization state core team that was facilitated by USEPA and
Process Applications, Inc. Similar pilot programs
Based on the state of Montanas successful use of were also completed in USEPA Regions 6 and 9.
the CCP approach for improving compliance of Typically, state regulatory staff selected the CPE
their mechanical wastewater treatment facilities, candidate plants based on their perception of the
state personnel evaluated the feasibility of using plants inability to meet .the SWTR turbidity
the CCP to optimize the performance of small sur- requirements.
face water treatment facilities. With financial
assistance from USEPA Region 8, nine CPEs and The progressive training approach proved to be
three CTAs were completed from April 1988 until successful; however, other issues and challenges
September 1990. Through these efforts, each of related to implementation within the existing state
the existing facilities where CTAs were imple- regulatory program structure became apparent.
mented showed dramatic improvements in the As the state pilot programs progressed, these
quality of finished water turbidity. Additionally, challenges to implementation became known col-
improved performance was achieved at three lectively as institutional barriers. The impact of
plants where only the evaluation phase (CPE) of institutional barriers on state-wide optimization
the program was completed (17). The encourag- efforts is discussed further in Chapter 3.
ing results from Montanas adoption of the CCP
approach to surface water treatment plants led to
the USEPAs Office of Ground Water and Drinking 7.2.3 Broad-Scale Appiication of CCP
Water involvement with the program in 1989. Concepts

USEPA decided to further develop and demon- The optimization concepts included within the CCP
strate use of the CCP approach as it applied to approach have been expanded to a variety of
compliance with drinking water regulations to water industry and regulatory activities. A partial
ensure its applicability nation-wide. In pursuit of list of current optimization efforts that utilize com-
this goal, a cooperative project was initiated ponents of the CCP is described below.
between USEPAs Office of Ground Water and
Drinking Water, Technical Support Center (TSC) l The states of Alabama, Georgia, Kentucky,
and Office of Research and Development, Tech- and South Carolina, in cooperation with EPA
nology Transfer and Support Division, National Region 4, are currently pursuing a multi-state
Risk Management Research Laboratory (NRMRL). effort that focuses on optimization of their sur-
This project provided resources to: conduct an face water treatment facilities through a pilot
additional twelve CPEs in the states of Ohio, program based on the application of the CCP
Kentucky, West Virginia, Maryland, Montana, concepts and tools.
Vermont, and Pennsylvania; prepare a summary
report (8); and develop a water CCP Handbook l The Partnership for Safe Water is a voluntary
(7). program for enhancing water treatment to

2
provide higher quality drinking water. Organiza- An expanded discussion of the relationship
tions involved in the Partnership include the U.S. between optimized performance and public
Environmental Protection Agency, American Water health protection.
Works Association, Association of Metropolitan
Water Agencies, National Association of Water An expanded definition of optimized perform-
Companies, Association of State Drinking Water ance goals for microbial contaminant protec-
Administrators, and the American Water Works tion.
Association Research Foundation. The Partnership
utilized the CCP as the basis of its Phase III com- Considerations for selection of CPE and CTA
prehensive water treatment self-assessment (18). candidates.
Use of the CCP is also being considered for the
Phase IV third party assessment of participating Clarification on CCP terminology.
utilities. As of, May 1998, 217 water utilities
serving nearly 90 million people are participating in Description and use of the Partnership for Safe
the Partnership for Safe Water. Water software for compiling and analyzing
turbidity data.
l In 1996 the Am.erican Water Works Associa-
tion Research Foundation conducted an opti- Updated process criteria for completing the
mization workshop with national water quality major unit process evaluation.
and treatment experts from throughout the
industry. As a result of this workshop, a self- An updated database of completed CPEs and
assessment handbook was published by CTAs and a summary of typical factors found
AWWARF (19). This handbook, which follows limiting performance.
the CCP approach, is intended to be a resource
for water utilities that choose to conduct a Streamlined forms for collection of field data.
self-assessment to improve performance.

1.3.2 Support for Future Regulations

1.3 Scope
The initial CCP handbook focused on meeting the
Since publication of the predecessor of this hand- requirements of the Surface Water Treatment Rule
book in 1991, several modifications have been (SWTR) (20). As the challenges of protecting the
made to the CCP and its use for optimizing surface public health from microbial contamination became
water treatment plants. In addition, other com- more paramount, the emphasis was shifted from
plementary drinking water optimization activities the SWTR requirements to achieving optimized
(e.g., Partnership for Safe Water) have developed performance goals.
and continue to have positive impacts in this area.
The purpose of this handbook update is to incor- Pursuant to the requirements under the 1996
porate new information and to integrate the other Amendments to the Safe Drinking Water Act
complementary programs. (SDWA), the USEPA is developing interrelated
regulations to control microbial pathogens and
disinfectants/disinfection byproducts in drinking
1.3.1 Update of the CCP Approach and water, collectively known as the micro-
Implementation bial/disinfection byproducts (M/DBP) rules. The
1996 Amendment to the SDWA set a deadline for
Experience gained from over 70 CPEs and 9 CTAs promulgation of the Interim Enhanced Surface
provides the basis for updating the CCP approach Water Treatment Rule (IESWTR) of November
presented in this handbook. In addition, eight 1998. USEPAs Notice of Data Availability (3)
state pilot programs have provided the basis for indicates that this rule will include a revised fin-
the area-wide application of the CCP. Significant ished water turbidity requirement of 0.3 NTU, new
additions and modifications to the CCP included in individual filter monitoring requirements, and
this handbook are: requirements for states to have authority to

3
require the conduct of CCPs for water utilities that n Chapter 1 - Introduction
experience difficulties in meeting the turbidity
requirements of the rule. This handbook is = Chapter 2 - Protection of Public Health
intended to provide a technical resource to support from Microbial Pathogens
the implementation of the IESWTR.
n Chapter 3 - Assessing Composite Correc-
tion Program Application
1.3.3 Technical Resource for the Partnership
for Safe Water m Chapter 4 - Comprehensive Performance
Evaluations
This updated handbook is also intended to comple-
ment and enhance the existing Partnership for . Chapter 5 - Comprehensive Technical
Safe Water documentation and program activities. A s s i s t a n c e
In addition to supporting the ongoing Phase III
self-assessment activities, the handbook will also l Chapter 6 - Findings From Field Work
support the anticipated Phase IV activities. A
possible Phase IV approach could involve an inde- . Chapter 7 - Current and Future Regulation
pendent third party review of a utility using the Impacts on Optimization
CCP format. This final step in the Partnership
process ensures that some of the potential limita- n Chapter 8 - Other CCP Considerations
tions of self-assessment (e.g., difficulty in identi-
fying operational and administrative factors) are
not overlooked. Table l-l provides guidance on where specific
user groups can locate within this handbook
information that is considered pertinent to their
1.3.4 Considerations for Total System unique interest or intended use.
Optimization

Although this handbook is intended to be a techni- 1.5 References

cal resource for surface water treatment facilities
to pursue optimized performance for protection When an NTIS number is cited in a reference, that
against microbial contamination, it is recognized reference is available from:
that as the regulations change and optimum per-
formance is pursued, the focus of optimization National Technical Information Service
activities will expand to other parameters. Antici- 5285 Port Royal Road
pated future areas for optimization include source Springfield, VA 22161
water protection, disinfection by-products, corro- (703) 487-4650
sion control, groundwater disinfection, and distri-
bution system water quality. This expanded scope
is called total system optimization. Minor addi- 1. Kramer, M.H., et al. 1996. Waterborne
tions are included in this handbook to address Disease: 1993 and 1994. Journal AWWA,
some of these areas; however, future handbook 88(3):66.
modifications or additional handbooks are envi-
sioned to more thoroughly address total system 2. USEPA. 1997. National Primary Drinking
optimization concepts and topics. Water Regulations: Disinfectants and Disinfec-
tion Byproducts; Notice of Data Availability;
Proposed Rule. Fed. Reg., 62:212:59338
1.4 Using the Manual (November 3, 1997).

The primary intended users of this handbook 3. USEPA. 1997. National Primary Drinking
include regulators (e.g., federal and state agency Water Regulations: Interim Enhanced Surface
personnel) and non-regulators (e.g., utility person- Water Treatment Rule Notice of Data
nel and consultants). To facilitate the use of this Availability; Proposed Rule. Fed. Reg.,
handbook, information has been separated into the 62:212:59486 (November 3, 1997).
following chapters:

4
Table l-1. Information Pertinent to Specific User Groups
User Purpose Chapter
Source
USEPA/State l Assess application of the CCP as part of an area-wide = Chapter 3
Regulatory optimization strategy
Personnel
l Identify priority plants for CCP application * Chapter 3

l Review/learn the CPE protocol = Chapter 4

l Review/learn the CTA protocol 3 Chapter 5

l Review CCP database for common factors limiting = Chapter 6

performance

l Review quality control criteria for assessment of third = Chapter 8

party CCPs

Utility l Utilize the CCP as a self-assessment resource 3 Chapters

Personnel 4&5
l Assess capabilities of CCP providers = Chapter 8

Consultants/ l Review/learn the CPE protocol =j Chapter 4

Peer Assessment
Team Members l Review/learn the CTA protocol 2 Chapter 5

l Review CCP database for common factors limiting = Chapter 6

performance

4. Patania, N.L., et al. 1996. Ootimization of Fil- 8. Renner, R.C., B.A. Hegg, and J.H. Bender.
tration for Cvst Removal. AWWARF, Denver, 1990. Summarv ReDort: Optimizina Water
co. Treatment Plant Performance With the Com-
posite Correction Proaram. EPA 625/8-
5. Nieminski, E.C., et al. 1995. Removing 90/01 7, USEPA Center for Environmental
Giardia and Cryptosporidium by Conventional Research Information, Cincinnati, OH.
Treatment and Direct Filtration. Journal
AWWA, 87(91:96. 9. Guidance Manual for Compliance With the Fil-
tration and Disinfection Reauirements for Pub-
6. Consonery, P.J., et al. 1996. Evaluating and lic Water Svstems Usina Surface Water
Optimizing Surface Water Treatment Plants: Sources. 1989. NTIS No. PB-90148016,
How Good is Good Enough? Paper presented USEPA, Cincinnati, OH.
at
AWWA Water Quality Technology Conference, 10. Hegg, B.A., K.L. Rakness, and J.R. Schultz.
Boston, MA. 1979. Evaluation of Operation and Mainte-
nance Factors Limitina Municioal Wastewater
7. Renner, R.C., B.A. Hegg, J.H. Bender, and Treatment Plant Performance. EPA 600/2-79-
E.M. Bissonette. 1991. Optimizina Water 034, NTIS No. PB-300331, USEPA, Municipal
Treatment Plant Performance Usina the Com- Environmental Research Laboratory, Cincinnati,
posite Correction Proaram. EPA/625/6- OH.
91/027, USEPA C e n t e r f o r E n v i r o n m e n t a l
Research Information, Cincinnati, OH.
11. Gray, A.C., Jr., P.E. Paul, and H.D. Roberts. ronmental Research Information, Cincinnati,
1979. Evaluation of Operation and Mainte- OH.
nance Factors Limitina Bioloaical Wastewater
Treatment Plant Performance. EPA 600/2-79- 16. Publicly Owned Treatment Works Expert Users
087, NTIS No. PB-297491, USEPA, Municipal Guide and Software. 1990. Eastern Research
Environmental Research Laboratory, Cincinnati, Group, Inc. and Process Applications, Inc. for
OH. USEPA Center for Environmental Research
Information, Cincinnati, OH.
12. Hegg, B.A., K.L. Rakness, J.R. Schultz, and
L.D. DeMers. 1980. Evaluation of Operation 17. Renner, R.C., B.A. Hegg, and D.L. Fraser.
and Maintenance Factors Limitina MuniciDal 1989. Demonstration of the Comprehensive
Wastewater Treatment Plant Performance - Performance Evaluation Technique to Assess
Phase II. EPA 600/2-80-l 29, NTIS No. PB-81- Montana Surface Water Treatment Plants.
1 12864, USEPA, Municipal Environmental Presented at the 4th Annual ASDWA Confer-
Research Laboratory, Cincinnati, OH. ence, Tucson, AZ.

13. Hegg, B.A., K.L. Rakness, and J.R. Schultz. 18.Bender, J.H., R.C. Renner, B.A. Hegg, E.M.
1979. A Demonstrated ADDrOaCh for Imerov- Bissonette, and R. Lieberman. 1995. Part-
ina Performance and Reliabilitv of Bioloaical nership for Safe Water Voluntary Water
Wastewater Treatment Plants. EPA 600/2-79- Treatment Plant Performance Improvement
035, NTIS No. PB-300476, USEPA, Cincinnati, Program Self-Assessment Procedures.
OH. USEPA, AWWA, AWWARF, Association of
Metropolitan Water Agencies, Association of
14. Hegg, B.A., J.R. Schultz, and K.L. Rakness. State Drinking Water Administrators, and
1984. EPA Handbook: lmorovina POTW Per- National Association of Water Companies.
formance Usina the Composite Correction Pro-
gram ADDroach. EPA 625/6-84-008, NTIS No. 19. Renner, R.C., and B.A. Hegg. 1997. Self-
PB-88184007, USEPA Center for Environ- Assessment Guide for Surface Water Treat-
mental Research Information, Cincinnati, OH. ment Plant Optimization. AWWARF, Denver,
co.
15. Hegg. B.A., L.D. DeMers, and J.B. Barber.
1989. EPA Technoloav Transfer Handbook: 20. USEPA. 1989. Surface Water Treatment
Retrofittina POTWs. EPA 625/6-89-020, NTIS Rule. Fed. Reg., 54:124:27486 (June 29,
No. PB-90182478, USEPA Center for Envi- 19891.
 Chapter 2
Protection of Public Health From Microbial Pathogens

2.1 Background as the causative agent for 10 of the outbreaks,

and six of these systems were associated with a
One of the major objectives of water supply sys- surface water source. All six systems provided
tems is to provide consumers with drinking water chlorination, and four also provided filtration. In
that is sufficiently free of microbial pathogens to the filtered systems, deficiencies in the distribution
prevent waterborne disease. Water supply sys - system were identified for one outbreak, inade-
tems can achieve this level of public health protec- quate filtration for one, and no apparent deficien-
tion by providing treatment to assure that patho- cies were identified in two cases (1).
gens found in the raw water supply are removed
or inactivated. The relationship between optimized Cryptosporidium presents a unique challenge to
water treatment plant performance and protection the drinking water industry because of its resis-
of public health from microbial pathogens is pre- tance to chlorination and its small size, making it
sented in this chapter. difficult to remove by filtration. Cryptosporidiosis
is the diarrhea1 illness in humans caused by Cryp-
tosporidium parvum. Cryptosporidiosis outbreaks
2.2 Waterborne Disease History from surface water supplies have been docu-
mented in the United States, Canada and Great
Several well documented disease outbreaks that Britain (5,6,7). A summary of U.S. outbreaks
were associated with the use of untreated surface associated with surface water supplies is shown in
water, contaminated well water, treatment plant Table 2-l. Five of the outbreaks were associated
deficiencies, and contaminated distribution sys - with filtered drinking waters. Three systems
tems have occurred over the past 20 years. Dur- (Carroll, Jackson - Talent, and Milwaukee) were
ing this period the most common suspecte d experiencing operational deficiencies and high fin-
causes of waterborne disease outbreaks were the ished water turbidities at the time of the out-
protozoan parasites Giardia lamblia and Cryptospo- breaks. All three plants utilized conventional
ridium parvum ( 1). These parasites exist in the treatment processes that included rapid mix, floc-
environment in an encysted form where the infec- culation, sedimentation, and filtration. The Clark
tious material is encapsulated such that they are County outbreak was the only outbreak associated
resistant to inactivation by commonly used disin- with a filtered drinking water for which no appar-
fectants. These parasites are transmitted to their ent treatment deficiencies were noted. All five
hosts by ingestion of cysts that have bee n systems were in compliance with the federal
excreted in the feces of infected humans or ani- drinking water regulations in effect at that time.
mals. Infection can occur through ingestion of
fecally contaminated water or food or contact with Recent research has shown that free chlorine and
fecally contaminated surfaces. Recent studies monochloramine provide minimal disinfection of
have indicated that these parasites are routinely Cryptosporidium oocysts at the dosage and deten-
detected in surface water supplies throughou t tion time conditions found at most treatment facili-
North America (2,3,4). They can enter surface ties (8). Disinfection requirements based on CT in
water supplies through natural runoff, wastewater the 1989 SWTR guidance were developed solely
treatment discharges, and combined sewer over- on inactivation of Giardia lamblia cysts. Research
flows, conducted by Finch (9) showed approximately
0.2 log or less inactivation of Cryptosporidium
A recent review of waterborne disease in the U.S. when free chlorine was used alone (5 to 15 mg/L
during the period 1993 through 1994 identified 30 @ 60 to 240 min.). Monochloramine was slightly
disease outbreaks associated with drinking water. more effective than free chlorine. Inactivation of
The outbreaks caused over 400,000 people to Cryptosporidium through the use of stronger
become ill-the majority from a 1993 outbreak in disinfectants (e.g., ozone, chlorine dioxide) and
Milwaukee. Twenty-two of the outbreaks were combined disinfectants is currently being
known or suspected to be associated with infec- investigated by the water industry and research
tious agents and eight with chemical contami - institutions.
nants. Giardia or Cryptosporidium was identified

7
Table 2-1. U.S. Outbreaks of Cryptosporidiosis in Surface Water Supplies (5)

Location Year Type of System Estimated

Number of
Cases
Bernalillo County, New Mexico 1986 Untreated surface water supply 78

Carroll County, Georgia 1987 Treated surface water supply 13,000

Jackson County, Oregon 1992 Medford - chlorinated spring 15,000

Talent - treated surface water

Milwaukee County, Wisconsin 1993 Treated surface water supply 403,000

Cook County, Minnesota 1993 Treated surface water supply 27

Clark County, Nevada 1994 Treated surface water supply 78

The recent incidence of waterborne disease associ- tional approach for water systems that choose to
ated with protozoan parasites and the resistance optimize performance. This strategy is also being
of some pathogens to conventional disinfection proposed as a method for addressing Cryptospo-
presents a challenge to the water industry. Use of ridium in the Interim Enhanced Surface Water
a single barrier, such as disinfection alone, or Treatment Rule (10).
operation of a conventional treatment plant that
had not been optimized has contributed to several Particle removal through a water treatment proc-
disease outbreaks. For surface supplied filtration ess can be monitored and assessed by various
plants, minimizing consumers risk from microbial methods including turbidity, particle counting, and
pathogens will require a proactive approach to m i c r o s c o p i c p a r t i c u l a t e a n a l y s i s (MPA). A n
water treatment, including plant optimization. increasing number of water systems treating a sur-
face water supply have turbidimeters installed to
monitor turbidity at various locations throughout
2.3 Relationship Between Optimized the process. Some systems are supplementing
Performance and Public Health Protection turbidity monitoring with particle counting and
microscopic particulate analysis, However,
because turbidity monitoring is the most common
2.3. 7 Multiple Barrier Strategy
method of assessing particle removal in surface
water systems, performance goals based on this
Microbial pathogens, including protozoan para-
parameter have been developed for the CCP to
sites, bacteria, and viruses, can be physically
define optimized system performance.
removed as particles in flocculation, sedimenta-
tion, and filtration treatment processes or inacti-
The role of multiple treatment barriers in optimiz-
vated in disinfection processes. Consequently, the
ing water treatment for protection from microbial
level of protection achieved in a water system can
pathogens and the associated performance goals
be increased by optimizing the particle removal
are shown in Figure 2-1. Despite variability in
processes in a system and by proper operation of
source water quality, surface water treatment
the disinfection processes. In a conventional
plants must produce consistently high quality fin-
plant, the coagulation step is used to develop par- ished water. To meet this objective, each treat-
ticles that can be physically removed by sedimen- ment process must consistently produce treated
tation and filtration processes. Effective use of To this end,
water of a specific quality.
these processes as part of a multiple barrier strat-
egy for microbial protection represents an opera-

8
Figure 2-1. Multiple barrier strategy for microbial contaminant protection.

Variabla
Quality
sourcs
Water

Finished
Water
Flocculation/Sedimentation
Barrier Filtration
Barrier

Disinfection
Barrier

performance goals have been established for each 2.3.2 Basis for Optimization Goals
of the treatment barriers in a plant.
Strong evidence exists in support of maximizing
When plants include a sedimentation process, the public health protection by optimizing particle
maximum sedimentation basin effluent turbidity removal in a plant. Recent supportive evidence
goal of less than 2 NTU is used to define optimum from water treatment research and field evalua-
process performance. A sedimentation perform- tions is summarized below:
ance goal ensures the integrity of this barrier and
provides a consistent particle loading to the filtra- l Pilot study work conducted by Patania (12)
tion process. With respect to optimum particle showed that when treatment conditions were
removal for the filtration process, the optimum optimized for turbidity and particle removal,
performance goal is defined as achieving individual very effective removal of both Cryptosporidium
filter effluent turbidities of less than 0.1 NTU. and Giardia was observed. Cryp tosporidium
removal ranged from 2.7 to 5.9 logs, and
The performance of the disinfection barrier is Giardia removal ranged from 3.4 to 5.1 logs
based on the log inactivation requirement for Giar- during stable filter operation. Under the condi-
dia and virus, as established by the Surface Water tions tested, meeting a filter effluent turbidity
Treatment Rule guidance manual (11). This goal of 0.1 NTU was indicative of treatment
document provides tables of the required CT (i.e., performance producing the most effective cyst
disinfectant concentration (Cl times the time (T) and oocyst removal. A small difference in fil-
that the disinfectant must be in contact with the ter effluent turbidity (from 0.1 or less to
water) to achieve different levels of inactivation between 0.1 and 0.3 NTU) produced a large
based on the temperature and pH of the water. difference (up to 1.0 log) in cyst and oocyst
The amount of log inactivation, and hence the CT removal.
value that the plant must achieve, is based on
SWTR guidance. l Pilot study and full-scale plant work performed
by Nieminski (13) demonstrated that consis-
Inactivation requirements for Ctyptosporidium tent removal rates of Giardia and Cryptospo-
based on CT have not been established but would ridium were achieved when the treatment plant
be significantly higher than those for Giardia and was producing water of consistently low tur-
virus. Since inactivation of Cryptosporidium is bidity (0.1 - 0.2 NTUI. As soon as the plants
difficult to achieve with chlorine disinfection, performance changed and water turbidity fluc-
maximizing particle removal could represent the tuated, a high variability in cyst concentration
most cost effective and viable option for maximiz- was observed in collected effluent samples.
ing public health protection from this microorgan- The pilot study work, confirmed by full-scale
ism. plant studies, showed that in a properly

9
 operated treatment plant producing finished with turbidity measurements alone. This is due to
water of 0.1 to 0.2 NTU, either conventional the insensitivity of turbidimeters at extremely low
treatment or direct filtration can achieve 3-log turbidity measurements (i.e., below about
removal of Giardia cysts. 0.05 NTU) (18,19,20).

l An extensive amount of water filtration

research was conducted at Colorado State 2.4 Optimization Performance Goals
University on low turbidity water (14,151.
Using field-scale pilot filters, researchers dem- For purposes of this handbook, optimized water
onstrated greater than 2-log Giardia removal treatment performance for protection against
when proper chemical coagulation was prac- microbial pathogens is defined by specific meas-
ticed on low turbidity raw water (i.e., 0.5 to urements and goals. This section presents the
1.5 NTU), resulting in filter effluent turbidity performance goals for surface water treatment
values of less than 0.1 NTU. systems. These goals are based on CCP field
work performed by the authors and experience
. Filter plant performance evaluations conducted gained from the Partnership for Safe Water and
by Consonery (16) at 284 Pennsylvania filtra- state optimization pilot programs. It is important
tion plants over the past eight years have to note that these goals are the foundation for all
included a combination of turbidity, particle assessments in this handbook and that obtaining
counting, and microscopic particulate analysis this performance level exceeds present regulatory
to assess the performance of plant processes. requirements.
The person completing the evaluation uses this
information to rate the plant as to whether it
provides an acceptable level of treatment for 2.4.1 Minimum Data Monitoring
microbial pathogens. Evaluation results have Requirements
shown that when filter effluent turbidity was
less than or equal to 0.2 NTU, 60 percent of Daily raw water turbidity
the plants were given an acceptable rating.
When filter effluent turbidity was greater than Settled water turbidity at 4-hour time incre-
or equal to 0.3 NTU, only 11 percent of the ments from each sedimentation basin
plants were given an acceptable rating.
Although this work did not assess plant per- On-line (continuous) turbidity from each filter
formance at the 0.1 NTU level, the increased
acceptable rating that occurred when effluent
One filter backwash profile each month from
turbidity was less than 0.2 NTU versus
each filter
0.3 NTU indicates the benefit of lowering
finished water turbidity.
2.4.2 Individual Sedimentation Basin
An extensive amount of research and field work
results support a filtered water turbidity goal of Performance Goals
0.1 NTU. These findings are also compatible with
a long standing AWWA Policy Statement support- l Settled water turbidity less than 1 NTU
ing treatment to this level (17). It is important to 95 percent of the time when annual average
understand that achieving this level of filter per- raw water turbidity is less than or equal to
formance (i.e., 0.1 NTU) does not guarantee that 10 NTU.
microbial pathogens will not pass through filters;
however, it represents the current best practice for l Settled water turbidity less than 2 NTU
water treatment plants to achieve the greatest 95 percent of the time when annual average
level of public health protection. raw water turbidity is greater than 10 NTU.

Particle counting can be used to support and

enhance turbidity measurements, and can be 2.4.3 Individual Filter Performance Goals
especially useful when source water turbidity is
low (< 5 NTU). At low source water turbidity . Filtered water turbidity less than 0.1 NTU
levels, it is difficult to assess the level of particle 95 percent of the time (excluding 15minute
reduction being achieved in the filtration process period following backwashes) based on the

10
 maximum values recorded during 4-hour time situations, once utility staff become aware of the
increments. importance of achieving optimized performance
goals, they have enthusiastically pursued these
. If particle counters are available, maxi- goals through a variety of activities. Later chap-
mum filtered water measurement of less ters present comprehensive procedures for
than 10 particles (in the 3 to 18 pm assessing and achieving the level of performance
range) per milliliter. (Note: The current described in this chapter.
state-of-the-art regarding calibration of
particle counters and the inherent prob-
lems in comparisons of readings between 2.6 References
different counters must be considered in
using particle count information to assess 1. Kramer, M.H., et al. 1996. Waterborne Dis-
optimized performance. Higher readings ease: 1993 and 1994. Journal A WWA,
than the above 10 particles/ml goal from 88(3):66.
a counter that is properly calibrated may
be a function of differences between 2. Chauret, C., et al. 1995. Correlating Crypto-
instruments. Relative changes in particle sporidium and Giardia With Microbial Indica-
count data will be of greater use in tors. JournalAWWA, 87(11):76.
assessing optimized performance than the
absolute values from the particle counter). 3. LeChevallier, M.W., et al. 1995. Giardia and
Ctyptosporidium in Raw and Finished Water.
l Maximum filtered water measurement of Journal A WWA, 87(9):54.
0.3 NTU.
4. States, S., et al. 1997. NProtozoa in River
l Initiate filter backwash immediately after tur- Water: Sources, Occurrence, and Treatment. II
bidity breakthrough has been observed and Journal A WWA, 89(g): 74.
before effluent turbidity exceeds 0.1 NTU.
5. Solo-Gabriele, H., et al. 1996. U.S. Out-
l Maximum filtered water turbidity following breaks of Cryptosporidiosis. n Journal A WWA,
backwash of less than 0.3 NTU. 88(91:76.

l Maximum backwash recovery period of 6. Pett, B., et al. 1993. Cryptosporidiosis Out-
15 minutes (e.g., return to less than 0.1 NTU). break From an Operations Point of View:
Kitchener-Waterloo, Ontario. Paper presented
at AWWA Water Quality Technology Confer-
2.4.4 Disinfection Performance Goal ence, Miami, FL.

l CT values to achieve required log inactivation 7. Richardson, A.J., et al. An Outbreak of

of Giardia and virus. Waterborne Cryptosporidiosis in Swindon and
Oxfordshire. Epidemiol. Infect., 107(3)485.

2.5 Role of the Water Treatment Plant 8. Korich, D.G., et al. 1990. Effects of Ozone,
Chlorine Dioxide, Chlorine, and Monochlora-
Staff in Public Health Protection m i n e o n Cryptosporidium parvum O o c y s t
Viability. Applied and Environmental Microbi-
The information presented in this chapter demon-
ology, 56(5):1423.
strates that the quality of water leaving a water
treatment plant has the potential to directly impact
9. Finch, G.R., et al. 1995. Ozone and Chlorine
the health of the consumers of its finished water.
Inactivation of Cryptosporidium. n In Proceed-
All staff associated with the plant, from the opera-
inas of Water Quality Technoloov Conference,
tor to the highest level administrator, have an November 6-10, 1994, San Francisco, CA.
important role in protecting public health and a
AWWA, Denver, CO.
responsibility to provide finished water that mini-
mizes the possibility of a disease outbreak. Expe- 1997. National Primary Drinking
10. USEPA.
rience gained from implementing CCP optimization
Water Regulations: Interim Enhanced Surface
activities at plants has demonstrated that, in most
Water Treatment Rule; Notice of Data

11
 Availability; Proposed Rule. Fed. Reg., 16. Consonery, P.J., et al. 1996. Evaluating and
62:212:59486 (November 3, 1997). Optimizing Surface Water Treatment Plants:
How Good is Good Enough? Paper presented
11 Guidance Manual for Comoliance With the at AWWA Water Quality Technology Confer-
Filtration and Disinfection Reauirements for ence, November 1996, Boston, MA.
Public Water Svstems Usina Surface Water
Sources. 1989. NTIS No. PB-90148016, 17. AWWA Statement of Policy. 1968. Quality
USEPA, Cincinnati, OH. Goals for Potable Water, Journal AWWA,
60(12):1317.
12. Patania, N.L., et al. 1996. Ootimization of
Filtration for Cvst Removal. AWWARF, 18. Cleasby, J.L., et al. 1989. Design and Opera-
Denver, CO. tion Guidelines for Optimization of the High
Rate Filtration Process: Plant Survey Results.
13. Nieminski, E.C., et al. 1995. Removing AWWARF, Denver, CO.
Giardia and Cryptosporidium by Conventional
Treatment and Direct Filtration. Journal 19. West, T., P. Demeduk, G. Williams, J.
AWWA, 87(9):96. Labonte, A. DeGraca, and S. Teefy. 1997.
Using Particle Counting to Effectively Monitor
14. Mosher, R.R., et al. 1986. Rapid Rate Filtra- and Optimize Treatment. Paper presented at
tion of Low Turbidity Water Using Field-Scale AWWA Annual Conference, Atlanta, Georgia.
Pilot Filters. Journal AWWA, 78(3):42.
20. Veal, C., and B. Riebow. 1994. Particle
15. Al-Ani, M.Y., et al. 1986. Removing Giardia Monitor Measures Filter Performance.
Cysts From Low Turbidity Water by Rapid Opflow, 20(51:1.
Sand Filtration. Journal A WWA, 78(5):66.

12
 Chapter 3
Assessing Composite Correction Program A ppfica tion

3.1 Introduction technical skills at plants with potential public

health concerns.
The CCP is currently used as an optimization tool
by several EPA regional offices and state drinking Despite the identified institutional barriers, the
water programs, and its use could increase as the continued success of the CCP efforts at individual
result of possible new turbidity requirements when facilities could not be ignored (2). In addition,
the Interim Enhanced Surface Water Treatment experience gained from the broad-scale implemen-
Rule (IESWTRI is promulgated (1). However, the tation of the CCP through state optimization pilot
most effective application of the approach has not programs and the Partnership for Safe Water dem-
always been achieved. Results from CCP field onstrated that improvement in water treatment
experience and state pilot programs have indicated performance could be achieved through multiple
that the CCP is most effective when it is strategi- activities that are based on CCP concepts. Some
cally integrated into a program that focuses on specific examples include:
area-wide optimization of water treatment sys-
tems. This chapter describes a developing pro- l Self-Assessment Based on CCP Can Positivelv
gram for regulatory agencies and others to initiate Impact Performance: Activities that involve
effective CCP-based optimization activities through water utilities with the development and inter-
the implementation of an area-wide optimization pretation of their turbidity data have provided
model. utility staff with a different perspective on
assessing their performance and have resulted
in utility-directed changes to their operation
3.2 Optimization Program Experience and system that have improved performance.
Specifically, many water utilities that have par-
The experience gained from the transfer of CCP ticipated in the Partnership for Safe Water
capability to state drinking water programs is dis- have acknowledged that associated turbidity
cussed in Chapter 1, These activities provided data trending activities have focused them on
valuable insights into the use of the CCP as an improving their plant performance to achieve
optimization tool by primacy agencies. The objec- the Partnership goals (3).
tive of the early pilot programs was to demon-
strate the capability to effectively transfer CCP l Centralized Trainina Usina CCP Princiules Can
skills to state personnel and to facilitate state-wide lmoact Multiple Facilities: The application of
implementation of these activities. Several chal- CCP-based principles through centralized,
lenges became apparent during the implementation facilitated training workshops represents an
phase. The CCP approach, while considered effective and efficient approach to assist a
extremely valuable, was also considered to be group of utilities with achieving optimization
resource intensive and, therefore, in competition g o a l s . Specifically, a training facilitator in
with other state program activities. In some Pennsylvania, working with a group of water
states with decentralized programs, field and cen- utilities, used CCP-based process control pro-
tral office personnel had difficulty defining their cedures in a workshop format to improve
roles and responsibilities for implementing optimi- coagulant dosing understanding and applica-
zation activities. Primacy agency policies guiding tion (41.
the implementation of follow-up efforts were
sometimes challenged (e.g., enforcement versus l CCP Components Can be Used to Enhance
assistance responsibilities). As the state pilot pro- Existina State Proaram Activities: Aligning
grams progressed, these challenges to implemen- existing programs (e.g., sanitary surveys,
tation became known collectively as institutional facility outreach) with the CCP approach can
barriers. In some cases these institutional barriers enhance achievement of performance goals.
were pervasive enough to prevent state teams For example, existing state sanitary survey
trained in CCP procedures from using their new

13
 programs in Texas and Pennsylvania were the various optimization efforts associated with
modified to include performance-related CPE the model.
activities (e.g., individual filter evaluations, fil-
ter backwash special studies, process control
interviews) (5). 3.3.2 Evaluation Component
Evaluation Component activities focus on the
These findings supported a strategic change in the
determination of factors limiting performance for
CCP direction. The result was an organizational
those water systems where performance problems
framework for implementing optimization activities
were identified from Status Component activities.
on an area-wide basis.
Existing evaluation programs can be utilized by
incorporating performance-focused activities. The
most resource-intensive evaluation tools, such as
3.3 Area-Wide Optimization Model CPEs, are applied at water systems presenting the
greatest risk to public health.
An area-wide optimization model was developed
that creates an environment to effectively apply
existing resources (e.g., state programs and per- 3.3.3 Folio w-Up Component
sonnel) with proven performance improvement
tools (e.g., CCP). Major components of the cur- Follow-Up Component activities focus on identify-
rent model include: Status, Evaluation, Follow-Up ing and developing technical assistance method-
and Maintenance. These components are des-
ologies, such as the CTA, to systematically
cribed in Figure 3-l. This model represents a pro- address performance limiting factors at these sys-
active approach to public health protection, tems. Coordination and training of available tech-
serving to promote continuous improvement and nical resources (e.g., state drinking water program
addressing performance-related issues when they trainers, non-profit organizations, water system
first become apparent. Pervasive throughout the
peers, consultants) are important activities to
area-wide optimization program is an awareness assure consistency and effectiveness of this com-
building process linking treatment plant perform- ponent. The degree of involvement of regulatory
ance with public health protection. It is important agency personnel in follow-up activities may be
to note that an area-wide optimization program is impacted by the agencys policies on enforcement
an ongoing activity with an overall objective to versus technical assistance. In these situations,
improve the performance level of all water sys- policies should be clearly established and agreed
tems. upon by agency staff prior to implementing follow-
up activities.
Future activities are planned to enhance the area-
wide optimization model. Potential activities
include expanded optimization efforts at surface
3.3.4 Maintenance Component
water treatment facilities (e.g., disinfection by-
products, source water protection, distribution
The Maintenance Component formalizes a feed-
system water quality), and optimization activities
back loop to integrate the lessons learned from
related to ground water systems.
the various component activities back into the
model. In addition, these lessons learned can
provide opportunities to coordinate findings with
3.3. I Status Component other related programs.

Status Component activities are designed to deter-

mine the status of water systems relative to opti-
3.4 Implementation of an Area-Wide
mized performance goals within a defined area
(e.g., state, region, district). Implementers of Model
optimization programs then use the results of
these activities in a prioritization process to con- Figure 3-2 shows the status of filtration plant tur-
tinuously focus available resources where they are bidity performance during a two-year period when
most needed, typically at high risk public health a state was initiating an area-wide optimization
systems. A key activity under the Status Compo- program (51. For those plants that achieved
nent is continuous performance monitoring, which improved performance levels, this progress was
can be used to effectively measure the success of accomplished through their participation in Status

14
Component activities such as turbidity monitoring addition, systems showing improved performance
and Follow-Up Component activities such as can be assessed to ascertain the reasons for such
chemical feed training. This figure demonstrates improvement. In some cases, an awareness of the
some of the benefits of using the Status Compo- importance of optimized performance by the water
nent to continuously monitor the ,water systems system has been identified as a major contributing
level of performance relative to the desired per- factor for the change.
formance goal. For example, systems representing
the greatest public health risk are apparent. In

Figure 3-1. Area-wide optimization model.

b
STATUS COMPONENT
9 Establish optimized performance goals.
9 Routinely prioritize water systems based on public health risk.
9 Continuously monitor and assess performance data.
9 Incorporate performance-based activities into existing surveillance
programs.
9 Establish feedback mechanism to include monitoring and surveillance data
into ongoing prioritization process.

EVALUATION COMPONENT
9 Focus existing programs on optimized performance goals.
b 9 Use CCP-based evaluations to identify factors limiting performance.
9 Implement CPEs at high risk systems.
9 Identify and develop resources to provide CCP-based evaluations.

FOLLOW-UP COMPONENT
9 Establish parties responsible for follow-up component activities.
9 Utilize a follow-up protocol that systematically addresses factors limiting
performance.
9 Identify and develop resources to provide CCP-based follow-up activities.
9 Coordinate existing programs to complement performance improvement
efforts.

MAINTENANCE COMPONENT
9 Integrate optimization efforts with other drinking water program activities,
such as design review, training, and funding.
9 Identify and implement ongoing optimization program refinements.

15
Figure 3-2. Area-wide treatment plant performance status.

60

20

10

0
1 2 3 4 5 6 7 6 9 10 11 12 13 14 15
System

In the following sections, the Status Component is as the percentage of time meeting this goal
further defined to provide a systematic procedure decreases. Additional data required to complete
for assessing applicability of the CCP. The four the assessment outlined in Table 3-l can usually
steps of the procedure are: 11 establish perform- be obtained from existing resources (e.g., plant
ance focused goals to prioritize water systems, performance charts, water system monthly
2) assess performance relative to defined optimiza- reports, sanitary surveys). It may be necessary to
tion goals, 3) prioritize water systems based on expand the data collection requirements from
selected criteria, and 4) assess the response to the water systems to assure that sufficient perform-
prioritized water systems. ance focused information is available for this
activity.

3.4.7 Establish Criteria to Prioritize Water

Systems 3.4.2 Assess Water System Performance
Relative to Optimization Goals
The initial step in the development of a prioritized
facility database is the selection of performance Typically, each water system utilizing a surface
focused criteria. Example prioritization criteria for water source collects and records plant perform-
surface water treatment systems are shown in ance data on a daily basis. These data can be
Table 3-l. In this example, criteria were selected entered into a computer by either water system
based on specific performance goals (e.g., tur- staff, regulators, or others on a monthly basis
bidity) and operations and management practices using a spreadsheet program such as the Partner-
that support optimized performance (e.g., process ship f o r S a f e W a f e r s o f t w a r e i n c l u d e d i n
control, staffing level). Appendix A. Data are then used to develop
turbidity trend charts and percentile tables.
Points are applied to each criterion relative to their Specific types of turbidity data included in the
potential to impact public health risk. For exam- assessment are listed below.
ple, the ability to meet the filtered water turbidity
goal of 0.1 NTU is given a higher number of points

16
l Raw water turbidity (daily value; maximum plotted for a 12-month period. In this example,
value recorded for the day preferred). overall filtered water quality is excellent; however,
occasional turbidity spikes occur in the filtered
l Sedimentation basin effluent turbidity (daily; water that correspond to increases in the raw
maximum value recorded for the day pre- water turbidity.
ferred).

l Filter effluent turbidity (daily for each filter; 3.4.3 Prioritize Water Systems Based on
maximum value preferred; combined filter or Selected Criteria
finished water as alternative).
When prioritization criteria data are available for
A minimum of 12 months of turbidity data is the water systems that are to be included in the
desired to assess water system performance under area-wide optimization program, each of the sys-
variable source water conditions. An example tur- tems can be assigned points, as shown in Ta-
bidity monitoring chart for a surface water treat- ble 3-2. The water systems are then ranked from
ment system is shown in Figure 3-3. Raw , highest priority (i.e., most points) to lowest pri-
settled, and filtered water turbidity values are ority (i.e., least points). Ideally, a prioritized water

Table 3-1. Example Prioritization Criteria for Surface Water Systems

Prioritization Criteria Points

(0 if No)
Has the water system had an imminent health violation within the last two (2) 10 - 15
years (turbidity, CT, positive coliform)?
Does the water system achieve the optimization turbidity goal for filtered water of
0.1 NTU?
2 95 % time 0
50 - < 95 % time 5
< 50 % time 10
Does the water system experience post filter backwash turbidity of > 0.3 NTU O-IO
for greater than 15 minutes?
Does the water system achieve the optimization turbidity goal for settled water o - 5
(e.g., < 2 NTU 95% time)?
Does the water system have operation and treatment problems (e,g., improper o - 5
chemical feed, improper jar testing, inadequate procedures)?
Does the water system experience sedimentation and filtered water turbidity O - 5
variability given changing raw water quality?
Does the water system lack administrative support (e.g., inadequate funding, o - 5
inadequate support of system operational needs)?
Does the water system have poor source water quality (e.g., high turbidity vari- o - 3
ability, high presence of protozoan parasites)?
Does consistent, high-quality source water lead to complacency in the operation 0 - 3
and management of the water system?
Does the water system fail to monitor raw, settled and filtered water turbidity? o - 3

17
Figure 3-3. Example turbidity monitoring data for 12-month period.

9.5 % time settled turbidity ~9.7 NTU

95 % time fittered turbdii < 0.1 NTlJ
I I

I, T

l/l/95 2/l 195 314195 4/4/95 515185 6/5/95 7/6/95 6/6/95 g/w95 1 o/7/95 lln795 12lW95

Taable 3-2. Example Prioritization Database

9 0 0 3 3 2 0 4 3 4 0 19

6 0 2 3 1 3 0 2 3 0 0 14

4 0 0 2 0 0 0 2 0 0 0 4

system database would include each system and response to achieving performance ,goals. For ex-
their total point score. This database should be ample, some specific actions that could result from
updated routinely (e.g., quarterly) to reflect new an area-wide prioritization database include:
information from system reports, field surveys,
and performance data. l High scoring utilities:
9 Apply CCP

3.4.4 Assess Response to Prioritized Water . Modifications/major construction

Systems
n Enforcement action
Information gained from the prioritization database
provides the basis for determining the appropriate

18
l Moderate scoring utilities: Water Treatment Rule; Notice of Data Avail-
. ability; Proposed Rule. Fed. Reg.,
Performance-focused sanitary survey
62:212:59486 (November 3, 1997).
n Centralized training using CCP principles
2. Renner, R.C., B.A. Hegg, J.H. Bender, and
(focus on high ranking performance limit-
E.M. Bissonette. 1993. Composite Correc-
ing factors)
tion Program Optimizes Performance at Water
Plants. JuurnalAWWA, 85(3):67.
l Low scoring utilities:
. Telephone contact 3. Pizzi, N.G., B.A. Hegg, J.H. Bender, and
J. DeBoer. 1997. Clevelands Self-
g Self-assessment Assessment and Contribution to the
Partnership for Safe Water Peer Review
. Maintain or reduce frequency of sanitary Process. Proceedinus - A W W A A n n u a l
surveys Conference, June 1997, Atlanta, GA.

Use of a performance-based prioritization database 4. Jesperson, K. 1997. Pilot Program Ripples

provides assurance that the identified responses Through PA DEP. E-Train, Published by the
are commensurate with the level of public health National Environmental Training Center for
risk. Following this approach, the CCP, a proven Small Communities.
process that can result in optimized performance,
is applied at water systems that have the highest 5. Hoover, J.T,, R.J. Lieberman, L.D. DeMers,
public health risk. and J. Borland. 1997. Public Water Supply
Area-Wide Optimization Strategy. Presenta-
tion at the Association of State Drinking Water
3.5 References Administrators Annual Conference, October
1997, Savannah, GA.
1 . USEPA. 1997. National Primary Drinking
Water Regulations: Interim Enhanced Surface

19
 Chapter 4
Comprehensive Performance Evaluation

4.1 Introduction less-than-optimized performance.

optimized performance, a water treatment plant
This chapter provides information on the evalua-
tion phase of the CCP, which is a two-step proc- source of variable quality and produce a consistent
ess to optimize the performance of existing sur-
face water treatment plants. For purposes of this ance of each unit process must demonstrate its
handbook, optimization is defined as achieving the
performance goals as outlined in Chapter 2. The ticles at all times. The performance assessment
evaluation phase, called a Comprehensive Perform-
ance Evaluation (CPE), is a thorough review and sistently perform at optimum levels to provide
analysis of a facilitys design capabilities and
associated administrative, operational, and main- ance is not optimized, it also provides valuable
tenance practices as they relate to achieving opti-
mum performance from the facility. A primary problems and serves as the basis for other CPE
objective is to determine if significant improve- findings.
ments in treatment performance can be achieved
without major capital expenditures. This chapter
covers three main areas related to CPEs. First, a 4.2.1.1 Review and Trend Charting of Plant
CPE methodology section presents all of the major Operating Records
technical components of a CPE and their theoreti-
cal basis. The following section discusses how to The performance assessment is based on turbidity
implement the CPE methodology when conducting data located in plant operating records. These
a CPE. This section also includes many practical records, along with a review of laboratory quality
considerations based on the field experience control procedures (especially calibration of turbi-
gained by conducting actual CPEs. The last sec- dimeters) and sample locations, are first assessed
tion of this chapter includes a case history of an to ensure that proper sampling and analysis have
actual CPE. provided data that is representative of plant per-
formance. The next step is to prepare trend
graphs of the maximum daily turbidities for the
4.2 CPE Methodology raw water, settled water, finished water, and indi-
vidual filter effluents, if available. Data for the
Major components of the CPE process include: most recent one-year period is used in this evalua-
11 assessment of plant performance, 21 evaluation tion and can typically be obtained from the plants
of major unit processes, 3) identification and pri- process control data sheets. Maximum values are
oritization of performance limiting factors, used in these trend charts since the goal is to
4) assessment of applicability of the follow-up assess the integrity of each barrier at its most vul-
phase, and reporting results of the evaluation. nerable time. A twelve-month period is utilized
Although these are distinct components, some are because it includes the impacts of seasonal varia-
tions and provides a good indicator of long term
conduct of an actual CPE. A discussion of each of performance.
these components follows.
Data development can be accomplished by using a
commercial computer spreadsheet. However,
4.2.7 Assessment of Plant Performance spreadsheets that work with several commercially
available spreadsheet programs were developed
Partnership for Safe Water (1) and have
from plant records supplemented by data collected proven valuable in making the desired performance
assessment trend charts. The Partnership data
relative to achieving the optimized performance
how to use them are provided in Appendix A.

21
Figure 4-1 shows an example of performance water turbidity was less than or equal to 5.3 NTU
assessment trend charts prepared for a typical at the 95th percentile. This indicates less-than-
plant. In addition to the trend charts, a percentile optimum performance from this process barrier.
analysis can also be made using the data to
determine the percent of time that raw, settled Optimized performance for the finished water is
and finished water quality is equal to or less than a assessed based on achieving 0.1 NTU or less in
certain turbidity. This information can be used to 95 percent of the samples. For the example
assess the variability of raw water turbidity and shown, the finished water was 0.48 NTU or less
the performance of sedimentation and filtration in 95 percent of the samples; consequently, opti-
unit processes. The percentile analysis of settled mum performance was not being achieved by this
and finished water quality are useful to project a barrier. In summary, the interpretation of the data
plants capability to achieve optimized perform- shown in Figure 4-l and Table 4-l indicates that
ance objectives. An example of the percentile optimum performance is not being achieved, and it
analysis for the data shown in Figure 4-1 is pre- will be necessary to identify the causes for this
sented in Table 4-l. It is noted that the trend less-than-optimum performance during the conduct
charts and the percentile analysis are developed as of the CPE.
a portion of the Partnership data development
spreadsheets and are shown in Appendix A. The CPEs conducted to date have revealed that oper-
data provided in Table 4-l was taken from the ating records often do not have adequate informa-
yearly summary on the percentile portion of the tion to complete the performance assessment.
software output. It is often useful to summarize Maximum daily turbidities are often not recorded
the data in this fashion since the spreadsheet pro- and settled water turbidity information often does
vides a significant amount of information. not exist. The fact that this type of information is
not available provides a preliminary indication
Once the trend charts and percentile analysis have about the priority that the utility has on pursuing
been developed, interpretation of the data can be achievement of optimum performance goals.
accomplished. A good indication of the stability of
plant operation can be obtained from comparing a Particle data, when available, can also be used to
plot of raw water, settled water and finished water assess optimized performance. Typically, particle
turbidity. When comparing these data, the evalua- data will provide a more sensitive assessment of
tor should look for consistent settled and filtered filter performance when the turbidity is less than
water turbidities even though raw water quality 0.1 NTU. Particle counts will normally show more
may vary significantly. In Figure 4-l the raw subtle changes in filter performance than indicated
water ,turbidity shows variability and several sig- by the turbidimeters. This does not mean that
nificant spikes. Variability is also evident in the turbidimeter information should be ignored when
settled and finished water turbidities. In addition a particle count data is available. It is important that
raw water spike on March 9th carried through the evaluator have confidence in the filters per-
the plant resulting in a finished ,water turbidity formance relative to producing water that is less
close to 1 NTU. These pass through variations than 0.1 NTU.
and spikes indicate that the performance of this
plant is not optimized and that a threat of particle
and possibly pathogen passage exists. In plants 4.2.1.2 Supplemental Data Collection
that have consistent low raw water turbidities,
periodic spikes in sedimentation and finished water Plant records used for the trend charting perform-
that appear related to changes in raw water quality ance assessment activities are usually based on
may indicate that the plant staff are complacent clearwell samples collected at four-hour intervals
and lack process control skills. The administrative as required by regulations. Complete assessment
support for the plant may also play a role in this of optimized performance, however, also requires
complacency. knowledge of the instantaneous performance of
individual treatment units; especially for individual
Optimized performance for the sedimentation basin filters. Many plants currently do not have separate
in the example is assessed based on achieving set- turbidimeters on individual treatment units, and
tled water turbidities consistently less than 2 NTU most of these do not have equipment that will
in 95 percent of the samples, since the average provide continuous recording of the data. To sup-
raw water turbidity exceeds 10 NTU (e.g., plement the performance data available from the
19 NTU). In the example shown, the settled

22
Figure 4-1. Example performance assessment trend charts.

Raw Wats:

Settled Water
25.00

Finished W atsr
0.90

0.80

0.70

L 0.60

- 0.50
5
0 0.40
n
; 0.30
c-
0.20

0.10

0.00
*v-0* 0.I.01 *..a. D . . . . 4 1..,5 F.b.86 Id.,.96 ,p,.er MS.95 Jun.05 lC9, a.g.pI

23
Table 4-1. Percentile Distribution Analysis of operational changes such as filter backwashes and
Water Quality Date* changes in flow rates. Grab sampling from indi-
vidual filters can provide useful insights about the
Percent of Time RF4W Settled Finished
performance of individual filter units, but a con-
Values Water Water Water tinuous recording turbidimeter provides more accu-
Less Than or Turbidity Turbidity Turbidity rate results. Grab sampling to assess individual
Equal To NTU MU NTU filter performance is also cumbersome because
Value Shown
many samples at short time increments (e.g.,
I 50 I 17 I 2.1 I 0.30
-1
1 minute intervals) are needed to get an accurate
filter backwash recovery profile. It is noted, how-
75 22 3.0
ever, that in a plant with multiple filters it is
0.38
advantageous to collect grab samples from indi-
90 29 4.1 0.44 vidual filters for turbidity analysis before selecting
the filter that is to be monitored by the continuous
95 34 5.3 0.48 recording turbidimeter. The filter demonstrating
the poorest performance should be selected for
Average 19 2.6 0.31 analysis. If all filters demonstrate similar perform-
ance, it is desirable to install the on-line turbidime-
ter on a filter to be backwashed to allow observa-
*Percentile analysis is based on peak daily turbiditias measured
tion of the backwash recovery profile.
for each sample source for the twelve-month evaluation period.
Continuous monitoring and recording of turbidity
from each filter allows identification of short term
turbidity excursions such as: impacts of malfunc-
plant records, additional turbidity performance tioning filter rate control valves, impacts of hy-
data is usually collected during the CPE. draulic changes such as adjustments to plant flow,
impacts of hydraulic loading changes during
Optimum performance cannot be assessed without backwash of other filters, impacts of plant start-
an evaluation of individual filter performance. Fin- up, and impacts of backwashing on individual fil-
ished water samples are often obtained from the ters. When the plant staff can properly apply
clearwell. The clearwell averages the perform- process control concepts they can eliminate these
ance of the individual filters and thus may mask variations in turbidity either through proper control
the impact of damaged underdrains, of blown of the hydraulic loadings to the treatment proc-
media on an individual filter, or of malfunctioning esses or through chemical conditioning. These
filter rate control valves. A malfunctioning indi- types of turbidity fluctuations on the filter tur-
vidual filter could allow the passage of sufficient bidimeters are often indicators of inadequate proc-
microbial contamination to threaten public health ess control that must be verified during the CPE.
despite the plant as a whole producing a low fin-
ished water turbidity. A second reason for the Figure 4-2 shows results of continuous recording
need of supplemental data collection is that most of turbidity from a filter that was backwashed. As
plants do not keep records of their filter backwash indicated, optimized performance of 0.1 NTU or
recovery profiles. These are needed to assess if less was not being achieved prior to the back-
the plant is meeting the filter backwash recovery wash. Also, the post backwash turbidity spike of
optimized performance goals. 0.95 NTU exceeded the optimized performance
goal of 0.3 NTU, and the filtered water turbidity
Since this instantaneous individual filter perform- did not recover to 0.1 NTU or less within a 15-
ance data is so critical, it is usually best if one or minute period.
two independently calibrated on-line continuous
recording turbidimeters are available during the These same goals are also used to assess back-
CPE. Along with providing the ability to assess wash spikes and optimized performance at plants
the performance of individual filters, these units that use filter-to-waste. The 15-minute recovery
also allow a quality control check on the plants period starts when the filter begins filtering after
monitoring equipment. On-line units will provide backwash even though the plant may filter-to-
more information on the impacts of various waste for longer periods of time. The rationale for

24
 Figure 4-2. Example of individual filter monitoring.

Resume Filtration
0.80.

Begin Backwash
\

Plant Flow Reduced _ Limited Chlorine AvailaMe

.,_w-
0 2 4 6 8 10 12 14 16 16 20 22 24
Time From Start of Continuous Filter Monltorlng - hrs

this approach is that the control of backwash mize the performance of existing facilities by ad-
spikes is a key indicator of the adequacy of the dressing operational, maintenance or administra-
plants process control program and chemical con- tive limitations is available. If, on the other hand,
ditioning of the filters. Waiting until the filter-to- the evaluation shows that major unit processes are
waste is completed to assess backwash spikes too small, utility owners should consider construc-
could hide key information relative to the process tion of new or additional processes as the initial
. control capability of the plant staff. focus for pursuing optimized performance.

As discussed above, many plants do not collect It is important to understand that the major unit
and/or record data on sedimentation basin per- process evaluation only considers if the existing
formance. During a CPE, therefore, it may be treatment processes are of adequate size to treat
necessary to collect sedimentation basin perform- current peak instantaneous operating flows and to
ance data to assess if this process is meeting the meet the optimized performance levels. The intent
optimized performance goals. It may be necessary is to assess if existing facilities in terms of con-
to collect data on individual sedimentation units if crete and steel are adequate and does not include
one appears to have worse performance than the the adequacy or condition of existing mechanical
others. Usually, grab sampling of these units will equipment. The assumption here is that if the
suffice. concrete and steel are not of adequate size then
major construction may be warranted, and the
pursuit of purely operational approaches to achieve
4.2.2 Evaluation of Major Unit Processes optimized performance may not be prudent. The
condition of the mechanical equipment around the
4.2.2.1 Overview treatment processes is an important issue, but in
this part of the CPE it is assumed that the poten-
The major unit process evaluation is an assess- tial exists to repair and/or replace this equipment
ment of treatment potential, from the perspective without the disruption of the plant inherent to a
of capability of existing treatment processes to major construction project. These types of issues
achieve optimized performance levels. If the are handled in the factors limiting performance
evaluation indicates that the major unit processes component of the CPE, discussed later in this
are of adequate size, then the opportunity to opti- chapter. It is also projected in the major unit

25
process evaluation that the process control believed to be required to achieve optimized per-
requirements to meet optimized performance goals formance goals. Although other limiting factors
are being met. By assuming that the equipment may exist, such as the operators lack of process
limitations can be addressed and that operational control capability or the administrations unfamili-
practices are optimized, the evaluator can project arity with plant needs, consistent acceptable per-
the performance potential or capability of a unit formance cannot be expected to be achieved until
process to achieve optimized performance goals. physical limitations of major unit processes are
corrected.
The evaluation approach uses a rating system that
allows the evaluator to project the adequacy of Owners with a Type 3 plant are probably looking
each major treatment process and the overall plant at significant expenditures to modify existing facili-
as either Type 1, 2 or 3, as graphically illustrated ties so they can meet optimized performance
in Figure 4-3. Type 1 plants are those where the goals. Depending on future water demands, they
evaluation shows that existing unit process size may choose to conduct a more detailed engineer-
should not cause performance difficulties. In ing study of treatment alternatives, rate struc-
these cases, existing performance problems are tures, and financing mechanisms. CPEs that iden-
likely related to plant operation, maintenance, or tify Type 3 facilities are still of benefit to plant
administration. Plants categorized as Type 1 are administrators in that the need for construction is
projected to most likely achieve optimized per- clearly defined. Additionally, the CPE provides an
formance through implementation of non-construc- understanding of the capabilities and weaknesses
tion-oriented follow-up assistance (e.g., a CTA as of all existing unit processes, operation and main-
described in Chapter 5). tenance practices, and administrative policies.

As discussed in Chapter 2, water suppliers have a

Figure 4-3. Major unit process evaluation key role to play in public health protection and a
approach. responsibility to water quality that they must meet
on a continuous basis. If a facility is found to
pose a severe health risk because of its perform-
ance, some action must be taken even if it is
found to be Type 3. In the short term, other
weaknesses in the plant that are identified in other
components of the CPE may need to be addressed
to improve performance as much as possible. If
these actions do not result in satisfactory perform-
I ance, a boil water order or water restriction may
I I
have to be implemented until modifications are
completed and performance is improved. This may
require coordination with appropriate state regula-
tory agencies. The water system must also make
long term plans to upgrade or replace deficient
treatment processes.
The Type 2 category is used to represent a situa-
tion where marginal capability of unit processes Another situation that must be considered in com-
could potentially limit a plant from achieving an pleting the major unit process evaluation is the age
optimum performance level. Type 2 facilities have and condition of the plant. Though the CCP
marginal capability, but often these deficiencies approach attempts to minimize construction of
can be operated around and major construction new facilities, some plants are so old that they are
is not required. In these situations, improved pro- not structurally sound and/or contain antiquated
cess control or elimination of other factors through equipment (e.g., outdated filter rate-of-flow control
implementation of a CIA may allow the unit proc- valves). It is possible that the major unit process
ess to meet performance goals. evaluation will show these plants as Type 1
because they were designed based on conserva-
Type 3 plants arethose in which major unit proc- tive loadings and/or the water demand of the area
esses are projected to be inadequate to provide has not increased. In these cases, the owner of
required capability for the existing plant flows. the plant will have to look at the plant needs, both
For Type 3 facilities, major modifications are long term and short term. In addition, the plant

26
may be able to optimize performance to meet The projected unit process treatment capability is
short term public health protection, but will also then compared to the peak instantaneous operat-
have to consider construction of a new plant in ing flow rate experienced by the water treatment
order to provide high quality water on a long term plant during the most recent twelve months of
basis. operation. If the most recent twelve months is not
indicative of typical plant flow rates, the evaluator
may choose to review a time period considered to
4.2.2.2 Approach be more representative. The peak instantaneous
operating flow is utilized because unit process per-
Major unit processes are evaluated based on their formance is projected to be most challenged dur-
capability to handle current peak instantaneous ing these peak loading events and it is necessary
flow requirements. The major unit processes that high quality finished water be produced on a
included in the evaluation are flocculation, sedi- continuous basis.
mentation, filtration and disinfection. These proc-
esses were selected for evaluation based on the An example petformance potential graph is shown
concept of determining if the basin sizes are ade- in Figure 4-4. The major unit processes evaluated
quate. The performance potential of a major unit are shown on the left of the graph and the various
process is not lowered if minor modifications, flow rates assessed are shown across the top.
such as providing chemical feeders or installing Horizontal bars on the graph depict projected
baffles, could be accomplished by the utility. This capability for each unit process, and the vertical
approach is consistent with the CPE intent of line represents the actual peak operating flow
assessing adequacy of existing facilities to deter- experienced at the plant. Footnotes are used to
mine the potential of non-construction alternatives. explain the loading criteria and conditions used to
Other design-related components of the plant pro- rate the unit processes.
cesses, such as rapid mix facilities, are not
included in the major unit process evaluation but
rather are evaluated separately as factors that may Figure 4-4. Example performance potential graph.
be limiting performance. For purposes of the flow (MGD)
major unit process evaluation, these components Unit Process 10 20 30 40 50 60
I I I I I I
are projected to be addressed through minor
modifications. It is important to note that the Flocculation
maior unit orocess evaluation should not be
viewed as a comDarison to the oricrinal desian Sedimentation+
caoabilitv of a olant. The maior unit Process
Filtration*
evaluation is based on an assessment of existinq
unit processes to meet optimized oerformance Disinfection
qoals. These qoals are most likelv not the aoals
that the existinq facilitv was desiqned to achieve.
Rated at 20 min hydraulic detention time (HDT); assumes
A performance potential graph is used to evaluate variable speed drive would be added to existing flocculator.
major unit processes. As an initial step in the
development of the performance potential graph, Rated at 0.6 gpmlsq ft surface overflow rate (SOR); 12.5 ft
the CPE evaluators are required to use their judg- depth.
ment to select loading rates which will serve as
the basis to project peak treatment capability for Rated at 4 gpmlsq ft hydraulic loading rate (HLR); dual
media: assumes adequate media depth and backwashing
each of the major unit processes. It is important
capability.
to note that the projected capability ratings are
based on achieving optimum performance from Rated at CT = 127 mg/L-min based on 2.4 mg/L Cl,
flocculation, sedimentation, filtration and disinfec- residual, 53-min HDT, total 4 log Giafdia reduction (1.5 log
tion such that each process maintains its integrity by disinfection), pH = 8, temperature = 5 OC. 10% of
as a barrier to achieve microbial protection. This usable clearwell volume, and depth in clearwell maintained
> 9 feet.
allows the total plant to provide a multiple bar-
rier to the passage of pathogenic organisms into
the distribution system.

27
optimized performance goals and are the criteria The following guidelines are provided to aid in se-
that are used for development of the major unit lecting a hydraulic detention time to be used in
process evaluation for this handbook. However, development of the flocculation unit process per-
the performance of the unit process in meeting the formance potential:
optimized performance goals should be a major
consideration in the selection of evaluation criteria. l Desired hydraulic detention times for floe for-
The situation where a unit process continuously mation are:
performs at optimized levels should not be rated
Typical range: 15 to 30 minutes.
as a Type 2 or Type 3 unit process merely based
on the criteria in Table 4-2. Specific guidance for
Cold low turbidity waters (e.g., <0.5 C
assessing each unit process is described in the
and < 5 NTU): 30 minutes or greater for
following sections.
a conventional plant.

With tapered mixing and at least three

Flocculation
stages, use lower end of ranges. Twenty
minutes is commonly used for multiple
Proper flocculation requires sufficient time to allow stages in temperate climates.
aggregation of particles so that they are easily re-
moved in the sedimentation or filtration processes. With single-stage, use upper end of
The capability of the flocculation process is pro- ranges shown in Table 4-2.
jected based on the hydraulic detention time in
minutes required to allow floe to form at the low- . Lower hydraulic detention times than those
est water temperature. Judgment is used to ad-
shown in Table 4-2 can be used to project
just the selected times based on the type of treat-
capacity in cases where plant data demon-
ment plant, number of stages, and ability to con-
strates that the flocculation basin contributes
trol mixing intensity.
to the plant achieving the desired performance
goals at higher loading rates.
Selection of the required detention time for ade-
quate flocculation can vary widely depending on
water temperature. For example, at plants where
Sedimentation
water temperatures of less than 5C (41F) occur,
floe formation can be delayed because of the cold
Except for consistent low turbidity waters, sedi-
water. In these instances, longer (e.g., 30-minute)
mentation is one of the multiple barriers normally
detention times may be required. If temperatures
provided to reduce the potential of cysts from
are not as severe, detention times as low as 15 passing through the plant. The sedimentation pro-
minutes or less could be considered adequate.
cess is assessed based on achieving a settled
water turbidity of less than 1 NTU 95 percent of
Other factors to consider include the number of
the time when the average raw water turbidity is
flocculation stages and the availability of variable
less than or equal to 10 NTU and less than 2 NTU
energy input to control flocculation. A minimum
when the average raw water turbidity exceeds
of three stages of flocculation is desirable. How- 10 NTU.
ever, because the baffling and variable mixing
energy can often be added or modified through
Sedimentation performance potential is projected
minor modifications, these items are not consid- primarily based on surface overflow rate (SOR)
ered as significant in determining the basin capa-
with consideration given to the basin depth, en-
bility rating. Baffling a flocculation basin to better
hanced settling appurtenances (e.g., tube settlers),
achieve plug flow conditions can often signifi-
and sludge removal mechanisms. Greater depths
cantly improve the size and settleability of the floe.
generally result in more quiescent conditions and
If adequate basin volume is available (i.e., typically allow higher SORs to be used (see Table 4-2).
a Type 1 unit process), a one-stage flocculation Sludge removal mechanisms also must be consid-
basin may result in a Type 2 rating with the stipu- ered when establishing an SOR for projecting
lation that baffling could be provided to overcome If sludge is manually
sedimentation capability.
the single-stage limitation if it was shown to be the sedimentation basin(s),
removed from
limiting in follow-up CTA activities. additional depth is required to allow volume for

30
sludge storage. For these situations, the selected . Higher SORs than those shown in Table 4-2
SOR should be lowered. can be used to project capability in cases
where plant data demonstrates that a sedimen-
Sedimentation capacity ratings can be restricted to tation basin achieves the desired performance
certain maximum values because of criteria estab- goals at these higher loading rates.
lished by state regulatory agencies on hydraulic
detention time. In these cases, state criteria may
be used to project sedimentation treatment capa- Filtration
bility. However, if data exists that indicates the
sedimentation basins can produce desired per- Filtration is typically the final unit treatment proc-
formance at rates above the state rate, it may be ess relative to the physical removal of microbial
possible to obtain a variance from the state crite- pathogens and, therefore, high levels of perform-
ria. ance are essential from each filter on a continuous
basis. Filters are assessed based on their capa-
As shown in Table 4-2, the availability of or the bility to achieve a treated water quality of less
addition of tube or plate settlers in existing tank- than or equal to 0.1 NTU 95 percent of the time
age can be used to enhance the performance (excluding the lEGminute period following back-
potential of the sedimentation process (e.g., per- wash) based on the maximum values recorded
form at higher SORs). Upflow-solids-contact clari- during 4-hour time increments. Additional goals
fiers represent a unique sedimentation configura- include a maximum filtered water turbidity follow-
tion since they contain both a flocculation and ing backwash of less than or equal to 0.3 NTU
sedimentation process that have been designed as with a recovery to less than 0.1 NTU within 15
a single unit. These units can be rated using the minutes.
center volume to assess the flocculation capability
and the clarifier surface area to rate the sedimen- The performance potential of the filtration process
tation capability. is projected based on a filtration rate in gpm/ft2
which varies based on the type of media as shown
The following guidelines are suggested to aid in in Table 4-2. For mono-media sand filters a maxi-
selecting a surface overflow rate to be used in the mum filtration rate of 2 gpm/ft2 is used because
development of the sedimentation unit process of the tendency of this filter to surface bind by
capability. removing particles at the top of the filter. Dual or
mixed-media filters use a filtration rate of
l SORs to project performance potential for rec- 4 gpm/ft2 because of their ability to accomplish
tangular, circular, and solids contact basins, particle removal throughout the depth of the an-
operating in a temperate climate with cold sea- thracite layer. Using the anthracite layer allows
sonal water (< 5C) are shown in Table 4-2. higher filtration rates to be achieved while main-
taining excellent filtered water quality. Filtration
l SORs to project performance potential for rates can be, and often are, restricted to certain
basins with vertical (> 45O) tube settlers, maximum values because of criteria established by
operating in a temperate climate with cold sea- state regulatory agencies. In these cases, state
sonal water (< 5C) are shown in Table 4-2. criteria may be used to project filter performance
potential. However, if data exists that indicates
l SORs for projecting performance potential of the filters can produce desired performance at fil-
proprietary settling units are: tration rates above the state rate, it may be possi-
ble to obtain a variance from the state criteria.
. Lamella plates:
Limitations caused by air binding can also impact
* 10 ft long plates with 2-inch spacing the selected loading rate for projecting a filters
at 55 slope performance potential and could bias the selected
loading rate toward more conservative values (see
* 4 gpm/ft (based on surface area Table 4-2). Air binding is a condition that occurs
above plates) in filters when air comes out of solution as a result
of pressure decreases or water temperature
n Contact adsorption clarifiers (CACs): increases (i.e., the water warms as it passes
* 6 - 8 gpm/ft2 through the filter. The air clogs the voids between
the media grains, which causes the filter to behave

31
as though it were clogged and in need of back- following filtration. Whether or not a utility can
washing. The result is shorter filter runs and limi- use pre-disinfection depends on how the utilitys
tations in hydraulic capability. state has developed its disinfection requirements.
Some states discourage pre-disinfection because
Inadequate backwash or surface wash facilities, of concerns with disinfecti.on by-products and the
rate control systems, and media and underdrain possible ineffectiveness of disinfectants in un-
integrity are areas that can be addressed through treated water. Other states allow pre-disinfection
minor modifications. As such, these items are because of concerns with the limited capabilities
assessed during a CPE as factors limiting perform- of post-disinfection systems (e.g., limited contact
ance and are typically not used to lower the filtra- time). Although the approach used in this Hand-
tion loading rate. book is based on the SWTR requirements, it is
important to note that the major unit process
evaluation for disinfection will have to be based on
Disinfection the disinfection requirements adopted by the util-
itys state regulatory agency.
Disinfection is the final barrier in the treatment
plant, and is responsible for inactivating any Future regulations may affect the following
microbial pathogens that pass through previous approach for assessing disinfection unit process
unit processes. For purposes of this handbook, capability. CPE evaluators will need to carefully
assessment of disinfection capability will be based assess and modify the following procedures as
on the SWTR (8). The rule requires a minimum of more details concerning disinfection requirements
99.9 percent (3 log) inactivation and/or removal of are established.
Giardia lamblia cysts and at least 99.99 percent (4
log) inactivation and/or removal of viruses. Under
the rule, each state was required to develop its Post-Disinfection:
own regulations to assure that these levels of dis-
infection are achieved. The following procedure is used to assess the
plants disinfection capability when using only
USEPA has published a guidance manual that pre- post-disinfection.
sents an approach to assure that required levels of
disinfection are achieved (9). The approach uses l Project the total log Giardia reduction and inac-
the concept of the disinfectant concentration (C) tivation required by water treatment processes
multiplied by the actual time (T) that the finished based on the raw water quality or watershed
water is in contact with the disinfectant. In the characteristics. Typically, Giardia inactivation
guidance manual, CT values are provided that can requirements are more difficult to achieve than
be used. to project the various log removals for the virus requirements; consequently, Giardia
various disinfectants at specific operating condi- inactivation is the basis for this assessment.
tions (e.g., temperature, pH, disinfectant residual). State health departments may have established
The guidance manual also indicates that, while the these values for a specific plant. If not, the
3-log and 4-log inactivation and/or removals are standard requirement for a watershed of rea-
the minimum required, the log inactivation and/or sonable quality is a 3.0 log reduction/
removal may need to be increased if the raw water inactivation of Giardia cysts. A 4.0 or more
source is subject to excessive contamination from log reduction/inactivation may be required for
cysts and/or viruses, Cyst and virus removal an unprotected watershed exposed to factors
credits for the different types of treatment proc- such as wastewater treatment effluents.
esses (e.g., conventional, direct filtration) are also
provided in the guidance manual. w Project the log reduction capability of the ex-
isting treatment plant. Expected removals of
The following procedures present an approach for Giardia and viruses by various types of filtra-
projecting the capability of a plant to meet the tion plants are presented in Table 4-3. As
disinfection requirements based on the CT values shown, a 2.5 log reduction may be allowed for
presented in the SWTR guidance manual. Proce- a conventional plant with adequate unit treat-
dures are presented for both pre- and post-disin- ment process capability (e.g., Type 1 units
fection, with pre-disinfection defined as adding the preceding disinfection). If a Type 1 plant does
disinfectant ahead of the filtration process and not exist, the evaluator may choose to lower
post-disinfection defined as adding the disinfectant the projection of log removal capability for the

32
 facility. For purposes of the projection of . Select an effective volume of the existing
major unit process capability, it is assumed clearwell and/or distribution pipelines to the
that the plant will be operated to achieve first user. Effective volume refers to the vol-
optimum performance from existing units. ume of a basin or pipeline that is available to
provide adequate contact time for the disinfec-
tant. Effective volumes are calculated based
Table 4-3. Expected Removals of Giardia Cysts on worst case operating conditions using the
and Viruses by Filtration (91 minimum operating depths, in the case of
basins. This is especially critical in plants
where high service pumps significantly change
the operating levels of the clearwell and in
plants that use backwash systems supplied
from the clearwell. Depending on the informa-
tion available, there are two ways to determine
the effective volume.

Some plants have conducted tracer studies to

l SeJect a required CT vaJue from the tables in determine the actual contact time of basins.
the SWTR guidance document (also provided Adequate contact time is defined in the regula-
in Appendix Dl based on the required log tions as T,,, which is the time it takes 10 per-
reduction/inactivation, the log reduction capa- cent of a tracer to be detected in the basin
bility projected for the plant, the maximum pH effluent (9). For these plants the effective
and minimum temperature of the water being volume is the peak instantaneous operating
treated, and the projected maximum disinfec- flow rate (gpm) multiplied by the T,O value
tant residua/. The maximum pH and the mini- (min) determined from the tracer studies. If a
mum temperature, of the water being treated tracer study has been conducted, the results
are selected to ensure capability under worst should be utilized in determining the effective
case conditions. When chlorine is used as the contact time. It is important to note that the
disinfectant, the maximum residual utilized in tracer study results must also consider peak
the evaluation should not exceed 2.5 mg/L instantaneous operating flows as well as
free residual, based on research which indi- minimum operating depths in order to project
cates that contact time is more important than an accurate CT.
disinfectant concentration at free chlorine
residuals above 2.5 mg/L (10). Maximum For those plants where tracer studies have not
chlorine residual may also be impacted by been conducted, the effective volume upon
maximum residuals tolerated by the consumer. which contact time will be determined can be
calculated by multiplying the nominal clearwell
l Using these parameters, calculate a required or pipeline volumes by a factor. Nominal vol-
detention time {e.g., CT required value divided umes are based on worst case operating con-
by the projected operating disinfectant resid- ditions. For example, an unbaffled clearwell
ual) to meet the required CT. The following may have an effective volume of only 10%
equation is used to complete this calculation. (factor = 0.1) of actual basin volume because
of the potential for short-circuiting; whereas, a
Cl& (mg/L - min) transmission line could be based on 100% of
T,,(min) = the line volume to the first consumer because
Disinfectant Residual (mg/L)
of the plug flow characteristics. A summary
of factors to determine effective volume is
Where:
presented in Table 4-4. Typically, for unbaf-
Tw = Required detention time in post disinfection fled clearwells a factor of 0.1 has been used
unit processes. because of the fill and draw operational prac-
tices (e.g., backwashing, demand changes)
CT,,, = CT requirements from tables in Appendix D and the lack of baffles. A factor of 0.5 has
for post disinfection conditions. been used when calculating the effective vol-
ume of flocculation and sedimentation basins
Disinfectant Residual = Selected operating residual
when rating prechlorination, and a factor of
maintained at the discharge point from the
disinfection unit processes.

33
 1 .O has been used for pipeline flow. However, Pre-Disinfection:
each disinfection system must be assessed on
individual basin characteristics, as perceived The following procedure is used to assess the
by the evaluator. Caution is urged when using plants disinfection capability when using pre-
a factor from Table 4-4 of greater than 0.1 to disinfection along with post-disinfection. For pur-
project additional disinfection capability for poses of the calculations, the approach assumes
unbaff led basins. Available tracer test infor- that the disinfection requirements can be met
mation indicates that actual T,,/T ratios in independently by both pre- and post-disinfection;
typical full-scale clearwells are close to and, therefore, these capabilities are additive when
10 percent of theoretical time (10). projecting plant disinfection unit process capa-
bility. The procedure is used to determine the
additional disinfection capability provided if pre-
Table 4-4. Factors for Determining Effective disinfection is actually being practiced at the utility
Disinfection Contact Time Based on Basin being evaluated. If pre-disinfection is practiced
Characteristics* (9) and the utility is concerned about disinfection by-
products, the performance potential graph should
Baffling Condition Factor Baffling Description be developed with two bars for disinfection: one
including pre- and post-disinfection and one
Unbaffled 0.1 None; agitated basin, high
inlet and outlet flow including only post-disinfection capability. This
velocities, variable water allows the evaluators and the utility to assess
level capability if pre-disinfection was excluded.
Poor 0.3 Single or multiple unbaf-
fled inlets and outlets, Project the total Jog Giardia reduction and inac-
no intra-basin baffles tivation required by water treatment processes
based on the raw water quality or watershed
Average 0.5 Baffled inlet or outlet with
some intra-basin baffling
characteristics as presented in the post-
disinfection procedure.
Superior 0.7 Perforated inlet baffle,
serpentine or perforated Project the log reduction capability of the ex-
intra-basin baffles, outlet
weir or perforated weir
isting treatment plant as presented in the post-
disinfection procedure.
Excellent 0.9 Serpentine baffling
throughout basin. Select a required CT value for pre-disinfection
Perfect (plug flow) 1 .o Pipeline flow. from the tables in the SWTR guidance docu-
men t. This value should be based on the
*Based on hydraulic detention time at minimum operating required log reduction, the log reduction capa-
depth. bility of the plant, the maximum pH and mini-
J mum temperature of the water being treated,
and the projected maximum disinfectant resid-
ual. The required pre-disinfection CT value
l Calculate a flow rate where the plant will may be different than the post-disinfection
achieve the required CT values for post- conditions if different temperatures, pHs, and
disinfection. The following equation is used to residuals exist for the two conditions (e.g.,
complete this calculation. addition of lime or soda ash to increase the pH
of finished water would change the required
post-disinfection CT value relative to the pre-
Q (m-N = disinfection value). CT values for inactivation
of Giardia cysts and viruses are presented in
Appendix D.
Where:
NOTE: If chlorine is used as the pre-
Q = Flow rate where required CT,,, can disinfectant, a 1.5 mg/L free chlorine residual
be met. can be used as a value in the calculations
unless actual plant records support selection of
v po*t = Effective volume for post-disinfection a different residual.
units.

34
l Calculate T,W (e.g., CT required value divided 4.2.3 Identification and Prioritization of
by the projected operating disinfectant resid- Performance Limiting Factors
ual) as presented in the post-disinfection pro-
cedure. 423.1 Identification of Performance Limiting
Factors
. Select an effective volume available to provide
adequate contact time for pre-disin fection. A significant aspect of any CPE is the identifica-
Assess which basins and lines will provide tion of factors that limit the existing facilitys per-
contact time. These are typically the floccula- formance. This step is critical in defining the
tion and sedimentation basins, but could future activities that the utility needs to focus on
include raw water transmission lines if facilities to achieve optimized performance goals. To assist
exist to inject disinfectant at the intake struc- in factor identification, a list of 50 different fac-
ture. Filters typically have not been included tors, plus definitions, that could potentially limit
because of the short detention times typically water treatment plant performance are provided in
inherent in the filters and the reduction in chlo- Appendix E. These factors are divided into the
rine residual that often occurs through filters. four broad categories of administration, design,
However, increasingly plants are adding free operation, and maintenance. This list and defini-
chlorine ahead of the filters and ammonia after tions are based on the results of over 70 water
the filters to improve particle removal while treatment plant CPEs. Definitions are provided for
minimizing DBP formation. Free residuals of the convenience of the user and also as a refer-
2.0 mg/L in the filter effluent are common. ence to promote consistency in the use of factors
These residuals with a filter bed contact time from plant to plant. If alternate names or defini-
of 10 to 15 minutes may meet the majority, if tions provide a clearer understanding to those
not all, of the CT requirement. The actual conducting the CPE, they can be used. However,
basin volumes should be converted to effective if different terms are used, each factor should be
volumes by applying factors described in defined, and these definitions should be made
Table 4-4 and discussed previously in the readily available to others conducting the CPE and
post-disinfection procedure. Add the individ- interpreting the results. Adopting and using a list
ual effective volumes together to obtain the of standard factors and definitions as provided in
total effective pre-disinfection volume. this handbook allows the effective comparison of
factors identified from different plants which will
. Calculate a f/o w rate where the plant will enhance the usefulness of the findings for
achieve the required CT values for both pre- improving water system performance on an area-
and post-disinfection using the formula below. wide basis.
Use this flow rate to project the pre- and post-
disinfection system capability on the perform- It is noted that several of the design factors refer
ance potential graph. to capability of major unit processes. If the major
unit process evaluation resulted in a Type 2 or 3
classification for an individual unit process, these

Q (wm)= T
vpre (gal) results are also indicated in the CPE findings as an
identified factor limiting the existing facilitys per-
reqpre tmin) formance. This also applies to those situations
where major unit processes are rated Type 1, but
Where: have equipment-related problems that are limiting
performance. This would include key equipment
Q = Flow rate where required CT,,, can be that needs to be repaired and/or replaced.
met.
A CPE is a performance-based evaluation and,
v pre = Effective volume for pre-disinfection therefore, factors should only be identified if they
units.
impact performance. An observation that a utility
v post = Effective volume for post-disinfection does not meet a particular industry standard
units. (e.g., utility does not have a documented preven-
tive maintenance program or does not practice
good housekeeping) does not necessarily indicate
that a performance limiting factor exists in these

35
areas. An actual link between poor plant perform- 2. Administrative Policies: A restrictive
ance and the identified factor must exist. administrative policy existed that prohibited
hiring an additional operator to allow
Properly identifying a plants unique list of factors increased plant operating time at a reduced
is difficult because the actual problems in a plant plant flow rate.
are often masked. This concept is illustrated in
the following example: 3. Process Control Testing: The utility had
inadequate test equipment and an inade-
A review of plant records revealed that a con- quate sampling program to provide process
ventional water treatment plant was periodically control information.
producing finished water with a turbidity
greater than 0.5 NTU. The utility, assuming
that the plant was operating beyond its capa- In this example, pursuing the perceived limitation
bility, was beginning to make plans to expand regarding the need for additional sedimentation
both the sedimentation and filtration unit proc- and filtration capacity would have led to improper
esses. Field evaluations conducted as part of a corrective actions (i.e., plant expansion). The CPE
CPE revealed that settled water and finished indicated that addressing the identified operational
water turbidities averaged about 5 NTU and and administrative factors would allow the plant to
0.6 NTU, respectively. Filtered water tur- produce a quality finished water on a continuous
bidities peaked at 1.2 NTU for short periods basis without major expenditures for construction.
following a filter backwash. Conceivably, the
plants sedimentation and filtration facilities This example illustrates that a comprehensive
were inadequately sized. However, further analysis of a performance problem is essential to
investigation revealed that the poor perform- identify the actual performance limiting factors.
ance was caused by the operator adding The CPE emphasis of assessing factors in the
coagulants at excessive dosages, leading to broad categories of administration, design, opera-
formation of a pin floe that was difficult to set- tion, and maintenance helps to ensure the identifi-
tle and filter. Additionally, the plant was being cation of root causes of performance limitations.
operated at its peak capacity for only 8 hours The following sections provide useful observations
each day, further aggravating the washout of in identifying factors in these broad categories.
solids from the sedimentation basins. It was
assessed that implementing proper process
control of the plant (e.g., jar testing for coagu- Identification of Administrative Factors
lant control, calibration and proper adjustment
of chemical feed) and operating the plant at a For purposes of a CPE administrative personnel are
lower flow rate for a longer time period would those individuals who can exercise control over
allow the plant to continuously achieve opti- water treatment but do not work on-site at the
mized finished water quality. When the opera- plant on a day-to-day basis. This definition
tor and administration were questioned about includes personnel with job titles such as: off-site
the reasons that the plant was not operated for superintendents, Directors of Public Works, coun-
longer periods of time, it was identified that it cil personnel, mayors, etc.
was an administrative decision to limit the plant
staffing to one person. This limitation made The identification of administrative performance
additional daily operating time as well as week- limiting factors is a difficult and subjective effort.
end coverage difficult. Identification is primarily based on interpretation of
management and staff interview results. Typi-
It was concluded that three major factors con- cally, the more interviews that can be conducted
tributed to the poor performance of the plant: the better the interpretation of results will be. In
small plants the entire staff, budgetary personnel,
1. Application of Concepts and Testing to and plant administrators, including a minimum of
Process Control: Inadequate operator one or two elected officials, can be interviewed.
knowledge existed to determine proper In larger facilities all personnel cannot typically be
coagulant doses and to set chemical feed interviewed, requiring the CPE evaluator to select
pumps to apply the correct chemical dose. key personnel.

36
Interviews are more effective after the evaluator An ideal situation is one in which the administra-
has been on a plant tour and has completed tors function with the awareness that they want
enough of the data development activities (includ- to achieve high quality finished water as the end
ing the performance assessment and major unit product of their treatment efforts. At the other
process evaluations) to become familiar with plant end of the spectrum is an administrative attitude
capabilities and past performance. With this that We just raised rates last year, and we arent
information, the evaluator is better informed to ask willing to pursue additional revenues. Besides my
insightful questions about the existing plant. family used to drink untreated water from the river
Accurately identifying administrative factors and no one ever got sick. Also, plant administra-
requires aggressive but non-threatening interview tors may emphasize cost savings as a priority to
skills. The evaluator must always be aware of this plant staff. The staff may be told to keep chemi-
delicate balance when pursuing the identification cal cost down and to cut back if the finished water
of administrative factors. turbidity falls below the regulated limit (i.e.,
0.5 NTUI. For instance, one administrator indi-
Policies, budgeting, and staffing are key mecha- cated to a plant superintendent that he would be
nisms that plant owners/administrators generally fired if he did not cut chemical costs. Administra-
use to implement their objectives. Therefore, tors who fall into this category usually are identi-
evaluation of these aspects is an integral part of fied as contributing to inadequate performance
efforts to identify the presence of administrative during an administrative assessment.
performance limiting factors.
Another area in which administrators can signifi-
cantly, though indirectly, affect plant performance
Policies: is through personnel motivation. A positive influ-
ence exists if administrators: encourage personal
In order for a utility to strive for optimized per- and professional growth through support of train-
formance, there needs to be a commitment to ing; encourage involvement in professional organi-
excellence in the form of supplying a high quality zations; and provide tangible rewards for pursuing
treated water. This commitment must be based certification. If, however, administrators eliminate
on an understanding of the importance of water or skimp on essential operator training, downgrade
treatment to the protection of public health. operator or other positions through substandard
Administrators must understand that to minimize salaries, or otherwise provide a negative influence
the potential for exposure of consumers to patho- on staff morale, administrators can have a signifi-
genic organisms in their drinking water, all unit cant detrimental effect on plant performance.
processes must be performing at high levels on a
continuous basis. Accordingly, administrators When the CPE evaluator finds that the operations
should develop goals for high quality water and staff exhibit complacency, the role of the utilitys
should emphasize to the operating staff the impor- management in this situation needs to be
tance of achieving these goals. Relative to par- assessed. Utility management must support de-
ticulate removal, administrators should encourage velopment of a work environment that generates a
pursuit of optimized performance goals as commitment to excellence as the best defense
described in this handbook. against complacency. This requires involvement
of the entire utility to create an empowered staff
Typically, all administrators verbally support goals that can effectively respond to changing condi-
of low cost, safe working conditions; good plant tions.
performance; and high employee morale. An
important question that must be answered is, Is Utility administrators also need to be aware of the
priority given to water quality? Often administra- impact that their policies have on treatment plant
tors are more concerned with water quantity than performance. For example, at one small utility the
water quality, and this question can be answered city manager forbid the plant operators to back-
by observing the items implemented or supported wash filters more than once a week because
by the administrators. If a multi-million dollar operating the backwash pump caused excessive
storage reservoir project is being implemented power demand and increased the utilitys power
while the plant remains unattended and neglected, bill. This administrative policys negative impact
priorities regarding water quality and quantity can on plant performance is obvious.
be easily discerned.

37
When a plant is using key process equipment and guidance on their use are included in
(e.g., filter rate controllers) that appear to be anti- Appendix F.
quated and are impacting plant performance cur-
rently or potentially longlterm, concerns with plant
reliability must be assessed. In these cases the Staffing:
utility administrators role in influencing the plant
to use the antiquated equipment past its useful life Administrators can directly impact performance of
should be determined. For example, utility admin- a plant by providing inadequate staffing levels
istrators may have delayed replacement of the key such that there is not an operator at the plant
equipment way beyond its useful life because when it is in operation. Inadequate plant coverage
there was no immediate problem and they wanted often results in poor performance since no one is
to keep the utilitys budget low. Identification of at the plant to adjust chemical dosages relative to
this situation would be used to support an admin- raw water quality changes. Non-staffed plant
istrators policies factor limiting performance. operation can sometimes be justified if remote
monitoring associated with performance parame-
ters and alarm and plant shutdown capability
Budgeting: exists.

Minor plant modifications to address performance

problems identified by the utility staff can often Identification of Desian Factors
serve as a basis for assessing administrative fac-
tors limiting performance. For example, the plant Data gathered during a plant tour, review of plant
staff may have correctly identified needed minor drawings and specifications, completion of design
modifications for the facility and presented these information forms in Appendix F, and the com-
needs to the utility manager, but had their pleted evaluation of major unit processes, includ-
requests declined. The CPE evaluator must solicit ing the performance potential graph, provide
the other side of the story from the administrators information needed to assess design-related per-
to see if the administration is indeed non- formance limiting factors. Typically, the identifica-
supportive in correcting the problem. There have tion of design factors falls into two categories:
been numerous instances in which operators or major unit process limitations, as indicated by the
plant superintendents have convinced administra- performance potential graph, and other design fac-
tors to spend money to correct problems that tors indicated in the list in Appendix E.
resulted in no improvement in plant performance.
When considering identifying major unit process
Smaller utilities often have financial information limitations, the evaluator needs to exercise a great
combined with other utilities, such as wastewater deal of judgment since identification of these fac-
treatment, street repairs, and parks and recreation. tors directs the utility toward construction alter-
Additionally, nearly every utilitys financial infor- natives. If at all possible, the evaluator should
mation is set up differently. Therefore, it is neces- assess options for operational alternatives (e.g.,
sary to review information with the assistance of lower plant loading during periods where the raw
plant and/or budgetary personnel to rearrange the water quality is poor or extended operational time
line items into categories understood by the to bring loading more in-line with assessed capa-
evaluator. Forms for comprehensively collecting bility). This emphasis is especially true for Type 2
plant information, including financial information, unit processes.
have been developed and are included in Appen-
dix F. When the CPE evaluator has concerns with plant
reliability because the plant is using antiquated
When reviewing financial information, it is impor- process equipment, the root cause of the reliability
tant to determine the extent of bond indebtedness must be assessed beyond just identifying this as a
of the community and whether the rate structure design factor. Typically, a reliability issue from
creates sufficient revenue to adequately support use of antiquated equipment is an administrative
the plant, Water system revenues should provide factor. In rare cases preventive maintenance pro-
an adequate number of fairly paid staff and exceed grams can lead to reliability problems.
expenditures enough to allow establishment of a
reserve fund for future plant modifications. Crite- Frequently, to identify design factors the evaluator
ria for determining key financial ratios for a utility must make field evaluations of the various unit

38
processes to assess design limitations. Identifica- operator are flow rate; number of basins in serv-
tion of these factors often offers great potential to ice; chemical selection and dosage; and filter
improve facility performance (e.g., baffling of backwash frequency, duration and rate. Other
basins or improvement of flow splitting). Field controls include flocculation energy input and
evaluations will be discussed later in this chapter. sedimentation sludge removal. Process control
It is important to note that any field evaluations testing includes those activities necessary to gain
undertaken during a CPE should be completed in information to make decisions regarding available
cooperation with the plant staff. This approach is plant controls. Information to assist in evaluating
essential since the evaluator may wish to make process control testing, data interpretation, and
changes that could improve plant performance but process adjustment efforts is presented below.
could be detrimental to equipment at the plant.
Plant staff have worked and maintained the
equipment, are familiar with control systems, and Plant Flow Rate and Number of Basins in Service:
are in the best position to ascertain any adverse
impact of proposed changes. Plant flow rate dictates the hydraulic loading rate
on the various plant unit processes. In plants that
operate 24 hours each day, water demand dictates
Identification of Ooerational Factors water production requirements. However, many
small plants operate at maximum flow rates for
The approach and methods used in maintaining short (e.g., &hour) periods of time. Also, some
process control can significantly affect perform- plants have multiple treatment trains, and flexi-
ance of plants that have adequate physical facili- bility exists to vary the number in service. If the
ties (3,7). As such, identification of operationally- operator is not aware that operating for longer
based performance limiting factors offers the periods of time at a lower flow rate or increasing
greatest potential in improving the performance of the number of trains in service could improve plant
an existing utility. Information for identifying the performance, an operations factor may be indi-
presence or absence of operational factors is cated. Rapid increases in plant flow rate can also
obtained throughout the CPE activities and have a significant effect on plant performance by
includes the plant tour, interviews, and the field forcing particles through the filters.
evaluation activities.

A plant tour provides an opportunity to initially Chemical Dose Control:

assess process control efforts. For example, the
process control capability of an operator can be Chemical coagulants and flocculant and filter aids
subjectively assessed during a tour by noting if the are utilized to neutralize charges on colloidal parti-
operator discusses the importance of process cles and to increase the size and strength of parti-
adjustments that are made to correlate with cles to allow them to be removed in sedimentation
changes in raw water quality. A solid foundation and filtration unit processes. Either overdosing or
for a viable process control program exists if the underdosing these chemicals can result in a failure
operator presents this key information. to destabilize small particles, including pathogens,
and allow them to pass through the sedimentation
It is also important to assess issues of compla- and filtration processes. If disinfection is inade-
cency and reliability with respect to the staffs quate to eliminate the pathogens that pass through
process control capabilities. It is especially critical the plant, a significant public health risk exists.
to determine if all of the staff have the required Chemicals used for stabilization, disinfection, taste
process control skills or if plant reliability is jeop- and odor control, and fluoridation must also be
ardized because only one person can make proc- controlled.
ess control decisions. Causes for this situation
could be administrative policies, staff technical The following are common indicators that proper
skills, or supervisory style. chemical application is not practiced:

After the tour, the focus of the identification of l Calibration curves are not available for chemi-
operational factors is the assessment of the util- cal feed pumps.
itys process control testing, data interpretation,
and process adjustment techniques. Key process
controls available to a water treatment plant

39
 Operations staff cannot explain how chemi- headloss. Filters should be backwashed based on
cals, such as polymers, are diluted prior to effluent turbidity if breakthrough occurs before
application. terminal headloss to prevent the production of
poor filtered water quality. Backwash based on
Operations staff cannot calculate chemical headloss should be a secondary criteria. For
feed doses (e.g., cannot convert a mg/L example, particles that are initially removed by the
desired dose to lb/day or ml/min to allow filter are often shed when velocities and shear
proper setting of the chemical feeder). forces increase within the filter as headloss accu-
mulates as the filter becomes dirty. This signifi-
Operations staff cannot determine the chemi- cant breakthrough in particles can be prevented by
cal feeder setting for a selected dose role. washing a filter based on turbidity or particle
counting. Also, inadequate washing, both in
Operations staff do not adjust chemical feed terms of rate and duration, can result in an accu-
rates for varying raw water quality conditions. mulation of particles in the filter, resulting in poor
filtered water quality. When a filter is continually
Chemicals are utilized in combinations that returned to service with a significant amount of
have detrimental effects on plant performance. particles still within the media, these particles can
An example is the practice of feeding lime and accumulate to form mudballs. The accumulation
alum at the same point without consideration of mudballs displaces filter surface area and raises
of the optimum pH for alum coagulation. the filtration rate through those areas of the filter
where water can still pass. The filter can also
Chemicals are not fed at the optimum location reach a point where minimal additional particles
(e.g., non-ionic polymer fed before rapid mix can be removed because available storage sites
unit). within the media already have an accumulation of
filtered particles. The evaluator must determine
Chemical feed rates are not changed when whether inadequate washing is caused by a design
plant flow rate is adjusted. or an operational limitation. Field evaluations,
such as bed expansion and rise rate, that can be
Chemical coagulants are not utilized when raw conducted to determine the capability of backwash
water quality is good (e.g., less than 0.5 to facilities are discussed later in this chapter.
1 NTU).
Another key process control activity is returning a
filter to service following a backwash. Since start-
Filter Control: up of filters can often result in loss of particles and
high turbidities, process control practices should
The effectiveness of the filtration unit process is be developed to minimize this impact on perform-
primarily established by proper coagulant control; ance. Operational practices that have provided
however, other factors, such as hydraulic loading improved quality from filters during start-up have
rate and backwash frequency, rate, and duration, included: ramping the backwash rate down in
also have a significant effect on filter performance. increments to allow better media gradation, resting
Filters can perform at relatively high filtration rates a filter after backwash for several minutes or up to
(e.g., 8 gpm/ft*) if the water applied is properly several hours before putting the filter in service,
conditioned (1 1, 12). However, because particles adding a polymer to the backwash water, and
are held in a filter by relatively delicate forces, slowly increasing the hydraulic loading on the filter
rapid flow rate changes can drive particles through as it is brought back on line. These process con-
a filter, causing a significant degradation in per- trol practices should be implemented and observed
formance (7, 11, 12). Rapid rate changes can be at each utility to develop the optimum combination
caused by increasing plant flow, by bringing a high of activities that provides the best filter perform-
volume constant rate pump on-line, by a malfunc- ance.
tioning filter rate control valve, or by removing a
filter from service for backwashing without reduc- The following are common indicators that proper
ing overall plant flow. filter control is not practiced:

Filters must be backwashed periodically to prevent l Filters are started dirty (i.e., without back-
accumulated particles from washing through the washing).
filter or to prevent the filter from reaching terminal

40
 Rapid increases in overall plant flow rate are each factor are different. Water Treatment Under-
made without consideration of filtered water standing is identified when the technical skills of
quality. the staff are not adequate to implement proper
process control procedures. This limitation would
Filter to waste capability is not being utilized require training in the fundamentals of water
or is not monitored if utilized. treatment. Application of Concepts and Testing to
Process Control is identified if the staff have basic
Filters are removed from service without technical skills but are not appropriately applying
reducing plant flow rate, resulting in the total their knowledge to the day-to-day process control
plant flow being directed to the remaining fil- of the unit processes. This factor can often be
ters. best addressed with site-specific hands-on train-
ing.
Operations staff backwash the filters without
regard for filter effluent turbidity. The following are common indicators that required
process control activities are not adequately
Operations staff backwash at a low rate for a implemented at a plant:
longer period of time, or stop the backwash
when the filter is still dirty to conserve . Specific performance objectives for each major
water. unit process (barrier) have not been estab-
lished.
Filters have significantly less media than speci-
fied, damage to underdrains or support grav- . A formalized sampling and testing schedule
els, or a significant accumulation of mudballs; has not been established.
and these conditions are unknown to the oper-
ating staff because there is no routine exami- . Data recording forms are not available or not
nation of the filters. used.

Operations staff cannot describe the purpose . Jar tests or other methods (e.g., streaming
and function of the rate control device. current monitor, zeta potential, or pilot filter)
of coagulation control are not practiced.

Process Control Activities: . The operator does not understand how to

prepare a jar test stock solution or how to
It is necessary for the operations staff to develop administer various chemical doses to the jars.
information from which proper process adjust-
ments can be made. As a minimum, a method of . The staff collects one sample per day for raw
coagulation control must be practiced, such as jar water turbidity despite a rapidly .changing raw
testing. Samples of raw water, settled water, and water source.
individual filter effluent should be monitored for
turbidity. Operations staff that properly under- . Settled water turbidities are not measured or
stand water treatment should be able to show the are not measured routinely (e.g., minimum of
evaluator a recorded history of raw, settled, and once each shift).
filtered water quality and jar test results; and be
able to describe how chemical dosages are deter- . Individual filtered water quality is not moni-
mined and calculated and how chemical feeders tored.
are set to provide the desired chemical dose.
They should also be able to explain how chemical . Recycle water quality is not monitored or its
feed rates are adjusted, depending on raw water impact on plant performance is not controlled
quality. (e.g., intermittent high volume recycle pump-
ing).
Two similar factors are described in Appendix E
which often are difficult to discern when identify- l Raw water used in jar testing does not include
ing operational factors: Water Treatment Under- recycle streams.
standing and Application of Concepts and Testing
to Process Control. Identification of the proper
factor is key since follow-up efforts to address

41
l There are no records available which document pieces of equipment running to ensure optimum
performance of the individual sedimentation or unit process performance or with reliability issues
filtration unit processes. related to a lack of ongoing preventive mainte-
nance activities.
. Performance following backwash is not moni-
tored or recorded. Maintenance performance limiting factors are
evaluated throughout the CPE by data collection,
l Recorded data are not developed or interpreted observations, and interviews concerning reliability
(e.g., trend charts are not developed for and service requirements of pieces of equipment
assessing unit process performance). critical to plant performance. If units are out of
service routinely or for extended periods of time,
l Calibration and other quality control proce- maintenance practices may be a significant con-
dures are not practiced. tributing cause to a performance problem. For
example, key equipment, such as chemical feed-
l An emergency response procedure has not ers, require back-up parts and on-site skills for
been developed for the loss of chemical feeds repair to ensure their continued operation.
or for unacceptable finished water quality Another maintenance limitation could be a smaller
occurrences. raw water pump that was out of service for an
extended period of time. In this example, the staff
may be forced to use a larger raw water pump
Other Controls: that overloads the existing unit processes during
periods of poor raw water quality.
Other controls available to the operations staff
include rapid mixing, flocculation energy input, Another key distinction to make when trying to
sedimentation sludge removal, and disinfection identify maintenance factors is to assess the qual-
control. The following are indicators that these ity of the preventive maintenance program relative
controls are not fully utilized to improve plant per- to the reliability of the equipment due to age.
formance: Many utilities have excellent maintenance pro-
grams and personnel that have kept equipment
The rapid mixer is shut down (e.g., to con- running long beyond its useful/reliable lifetime. In
serve power) and no other means exists to these cases frequent breakdowns of the aging
effectively mix coagulant chemicals with raw equipment can lead to performance problems.
water (e.g., through a pump or prior to a However, the root cause of the performance limi-
valve). tation may be plant administrators that have made
a decision to forego the costs of replacement and
Variable speed flocculation drives are not continue to force the plant to rely on the old
adjusted (e.g., they remain at the setting equipment. In this example, the CPE evaluator
established when the plant was constructed). must identify whether the lack of reliability is due
to poor maintenance or is an attitude related to the
There is no routine removal of sludge from administration staff.
sedimentation basins.

There is no testing to control sludge quantities 4.2.3.2 Prioritization of Performance Limiting

in an upflow solids contact clarifier (e.g., rou- Factors
tine sludge withdrawal is not practiced).
After performance limiting factors are identified,
Clearwell or disinfection contact basin levels they are prioritized in order of their adverse impact
are not monitored or maintained above a mini- on plant performance. This prioritization estab-
mum level to ensure that CT values can be lishes the sequence and/or emphasis of follow-up
met. activities necessary to optimize facility perform-
ance. For example, if the highest ranking factors
(Le., those having the most negative impact on
Identification of Maintenance Factors performance) are related to physical limitations in
unit process capacity, initial corrective actions are
Maintenance performance limiting factors are typi- directed toward defining plant modifications and
cally associated with limitations in keeping critical obtaining administrative funding for their

42
implementation. If the highest ranking factors are excessive loading during spring run-off or a
process control-oriented, initial emphasis of follow- short flocculation detention time that limits
up activities would be directed toward plant- floe formation during cold water periods.
specific operator training.
Factors receive a C rating if they have a minor
Prioritization of factors is accomplished by a two- effect on performance. For example, the lack of
step process, First, all factors that have been laboratory space could be a C factor if samples
identified are individually assessed with regard to had to be taken off-site for analysis. The problem
their adverse impact on plant performance and could be addressed through the addition of bench
assigned an A, B or C rating (Table 4-5). space and, thus, would not be a major focus
The summary of factors in Appendix E includes a during follow-up activities.
column to enter this rating. The second step of
prioritizing factors is to list those receiving A A particular factor can receive an A, B, or C
rating in order of severity, followed by listing rating at any facility, depending on the circum-
those receiving B rating in order of severity. stances. For example, a sedimentation basin could
C factors are not prioritized. receive an A rating if its size was inadequate to
produce optimized performance under all current
loading conditions. The basin could receive a B
Table 4-5. Classification System for Prioritizing rating if the basin was only inadequate periodi-
Performance Limiting Factors cally, for example, during infrequent periods of
high raw water turbidity. The basin would receive
Rating Classification a C rating if the size and volume were adequate,
but minor baffling would improve the consistency
A Major effect on a long term repetitive of its performance.
basis
Typically, 5 to 10 unique factors are identified for
B Mpderate effect on routine basis or major a particular CPE. The remaining factors that are
effect on a periodic basis not identified as performance limiting represent a
significant finding. For example, in the illustration
C Minor effect that was previously presented in the Identification
of Performance Limiting Factors section of this
chapter, neither sedimentation nor filtration were
identified as performance limiting factors. Since
A factors are the major causes of performance they were not identified, plant personnel need not
deficiencies and are the central focus of any sub- focus on sedimentation basin or filter modifica-
sequent improvement program. An example A tions and the associated capital to upgrade these
factor would be an operations staff that has not facilities, Factors that are not identified are also a
developed or implemented process control adjust- basis for providing recognition to plant personnel
ments to compensate for changing raw water for adequately addressing these potential sources
quality. of problems.

Factors are assigned a B rating if they fall in one Once each identified factor is assigned an A,
of two categories: B, or C classification, those receiving A or
B ratings are listed on a one-page summary
1. Those that routinely contribute to poor plant sheet (see Appendix El in order of assessed sever-
performance but are not the major problem. ity on plant performance. Findings that support
An example would be insufficient plant proc- each identified factor are summarized on an at-
ess control testing where the primary problem tached notes page. An example of a Factors
is that the operations staff does not sample Summary Sheet and the attached notes is shown
and test to determine process efficiency for in Figure 4-6. The summary of prioritized factors
the sedimentation basins. provides a valuable reference for the next step of
the CPE, assessing the ability to improve perform-
2. Those that cause a major degradation of plant ance, and serves as the foundation for imple-
performance, but only on a periodic basis. menting correction activities if they are deemed
Typical examples are sedimentation basins that appropriate.
cause periodic performance problems due to

43
All factors limiting facility performance may not be For plants where a decision is made to implement
identified during the CPE phase. it is often neces- a CTA, all performance limiting factors should be
sary to later modify the original corrective steps as considered as feasible to address. These are typi-
new and additional information becomes available cally corrected with adequate training of the
during conduct of the performance improvement appropriate personnel. The training is directed
phase (CTA). toward the operations staff for improvements in
plant process control and maintenance, toward the
plant administrators for improvements in adminis-
4.2.4 Assessment of the Applicability of trative policies and budget limitations, and toward
a CTA administrators and operations staff to achieve
minor facility modifications. Training, as used in
Proper interpretation of the CPE findings is neces- this context, describes activities whereby informa-
sary to provide the basis for a recommendation to tion is provided to facilitate understanding and
pursue the performance improvement phase (e.g., implementation of corrective actions.
Chapter 5). The initial step in assessment of CTA
applicability is to determine if improved petform-
ante is achievable by evaluating the capability of 4.2.5 WE Report
major unit processes. A CTA is typically recom-
mended if unit processes receive a Type 1 or Results of a CPE are summarized in a brief written
Type 2 rating. However, if major unit processes report to provide guidance for utility staff and, in
are deficient in capability (e.g., Type 3), ac- some cases, state regulatory personnel. It is
ceptable performance from each barrier may not important that the report be kept brief so that
be achievable; and the focus of follow-up efforts maximum resources are used for the evaluation
may have to include construction alternatives, rather than for preparation of an all-inclusive
Another important consideration with Type 3 report. The report should present sufficient infor-
facilities is the immediate need for public health mation to allow the utility decision-makers to initi-
protection regardless of the condition of the plant. ate efforts toward achieving desired performance
Even if a facility has serious unit process deficien- from their facility. it should not provide a list of
cies and antiquated equipment, the plant still has a specific recommendations for correcting individual
responsibility to protect public health until new performance limiting factors. Making specific rec-
treatment processes are designed and constructed. ommendations often leads to a piecemeal
in these situations every effort should be made, approach to corrective actions, and the goal of
therefore, to operate around marginal unit proc- improved performance is not achieved. For
esses and unreliable equipment if it represents the Type 1 and Type 2 plants, the necessity of com-
best short-term solution for providing safe drinking prehensively addressing the combination of factors
water. This concept is shown schematically in Fig- identified by the CPE through a CTA should be
ure 4-7. stressed. For Type 3 plants, a recommendation
for a more detailed study of anticipated modifica-
Although all performance limiting factors can theo- tions may be warranted. Appendix G demon-
retically be eliminated, the ultimate decision to strates a sample CPE report.
conduct a CTA may depend on the factors that are
identified during the CPE. An assessment of the
list of prioritized factors helps assure that ail fac- 4.3 Conducting a CPE
tors can realistically be addressed given the unique
set of factors identified. There may be reasons A CPE involves numerous activities conducted
why a factor cannot be approached in a straight- within a structured framework. A schematic of
forward manner. Examples of issues that may not CPE activities is shown graphically in Figure 4-8.
be feasible to address directly are: replacement of Initial activities are conducted prior to on-site
key personnel, increases in rate structures, or efforts and involve notifying appropriate utility
training of uninformed or uncooperative adminis- personnel to ensure that they, as well as neces-
trators to support plant needs. In the case of sary resources, will be available during the CPE.
recalcitrant administrators who refuse to recognize The kick-off meeting, conducted on-site, allows
the importance of water quality and minimizing the evaluators to describe forthcoming activities,
public health risk, regulatory pressure may be nec- to coordinate schedules, and to assess availability
essary before a decision is made to implement a of the materials that will be required. Following
CTA.

44
Figure 4-6. Example factors summary and supporting notes.

CPE PERFORMANCE LIMITING FACTORS SUMMARY

Plant Name/Location: XYZ Water Treatment Plant

CPE Performed By: Process Applications, Inc.

CPE Date: June 15 - 18, 1998

Plant Type: Conventional with mixed media filters

Source Water: Wolf Creek

Performance Summary:

Plant was not able to meet the Surface Water Treatment Rule turbidity requirement of 0.5 NTU
95 percent of the time during March - May 1998. Optimized performance to achieve maximum
public health protection from microbial contaminants by producing a filtered water turbidity of
0.1 or less 95 percent of the time has not been achieved.

Ranking Table

Rank Rating Performance Limiting Factor (Category)

1 A Alarm Systems (Design)

2 A Process Flexibility (Design)

3 A Policies (Administration)

4 A Application of Concepts and Testing to Process Control

(Operation)

5 B Process Instrumentation/Automation (Design)

Rating Description
A - Major effect on long-term repetitive basis.
B - Moderate effect on a routine basis or major effect on a periodic basis.
c- Minor effect.

45
Figure 4-6. Example factors summary and supporting notes (continued).

Performance Limiting Factors Notes

Factor Rating Notes

Alarm Systems A l No alarm/plant shutdown capability on chlorine feed,

chlorine residual, raw water turbidity, and finished water
turbidity.

Process Flexibility A . Inability to select plant flow rate (e.g., set at

2,100 gpm).

. No ability to feed filter aid polymer to the filters.

. Inability to gradually increase and decrease backwash

flow rate.

Policies A l Lack of established optimization goals (e.g., 0.1 NTU

filtered water turbidity) to provide maximum public
health protection and associated support to achieve
these performance goals.

Applications of Concepts and A 9 No sampling of clarifier performance.

Testing to Process Control
. inadequate testing to optimize coagulant type and
dosages.

. No individual filter turbidity monitoring.

. Starting dirty filters without backwash.

. Incomplete jar testing to optimize coagulant dose.

. Non-optimized feed point for flocculant aid addition.

Process Instrumentation/ B . No turbidimeters on individual filters.

Automation
. Start and stop of filters without backwash or filter-to-
waste (due to storage tank demand).

. Location of raw water turbidity monitor cell resulting in

inaccurate readings.

46
Figure 4-7. CPEKTA schematic of activities.

Regulators Recognize Need

To Evaluate or Improve
Plant Performance

*
Facility Abandon
Modifications Modifications Existing
Plus CTA Facilities and
Activities Design New
Ones Plus
CTA
Activities
Optimized Performance -
Achieved

the kick-off meeting, a plant tour is conducted by formance data prior to the site visit. In this case
the superintendent or process control supervisor. the performance graphs can be initially completed
During the tour, the evaluators ask questions prior to the on-site activities. However, it is
regarding the plant and observe areas that may important to verify the sources of the samples and
require additional attention during data collection quality of the data during field efforts.
activities. For example, an evaluator might make a
mental note to investigate more thoroughly the Field evaluations are also conducted to continue to
flow splitting arrangement prior to flocculation gather additional information regarding actual plant
basins. performance and confirm potential factors. Once
all of this information is collected a series of inter-
Following the plant tour, data collection activities views are completed with the plant staff and
begin. Depending on team size, the evaluators administrators. Initiating these activities prior to
split into groups to facilitate simultaneous collec- the interviews provides the evaluators with an
tion of the administrative, design, operations, understanding of current plant performance and
maintenance and performance data. After data are plant unit process capability, which allo,ws inter-
collected, the performance assessment and the view questions to be more focused on potential
major unit process evaluation are conducted. It is factors.
noted that often the utility can provide the per-

47
Figure 4-8. Schematic of CPE activities.

Location
Initial Activities
Off-Site

L
Kick-Off Meeting

Plant Tour

Data Collection Activities

I I
Administration Design Operations Maintenance Performance
Data Data Data Data Data

I I

Off-Site

48
After all information is collected, the evaluation Because of the wide range of areas that are evalu-
team meets at a location isolated from the utility ated during a CPE, the evaluation team needs to
personnel to review findings. At this meeting, fac- have a broad range of available skills. This broad
tors limiting performance of the plant are identified skills range is another reason to use a team
and prioritized and an assessment of the applica- approach in conducting CPEs. Specifically, per-
bility of a follow-up CTA is made. The prioritized sons should have capability in the areas shown in
list of factors, performance data, field evaluation Table 4-6.
results, and major unit process evaluation data are
then compiled and copied for use as handouts Regulatory agency personnel with experience in
during the exit meeting. An exit meeting is held evaluating water treatment facilities; consulting
with appropriate operations and administration engineers who routinely work with plant evalua-
personnel where all evaluation findings are pre- tion, design and start-up; and utility personnel
sented. Off-site activities include completing and with design and operations experience represent
distributing the written report. A more detailed the types of personnel with appropriate back-
discussion of each of these activities follows. grounds to conduct CPEs. Other combinations of
personnel can be used if they meet the minimum
4.3.7 Overview experience requirements outlined above. Although
teams composed of utility management and opera-
A CPE is typically conducted over a three to five- tions personnel associated with the CPE facility
day period by a team comprised of a minimum of can be established, it is often difficult for an inter-
two personnel. A team approach is necessary to nal team to objectively assess administrative and
allow a facility to be evaluated in a reasonable operational factors. The strength of the CPE is
time frame and for evaluation personnel to jointly best represented by an objective third party
develop findings on topics requiring professional review.
judgment. Professional judgment is critical when
evaluating subjective information obtained during
the on-site CPE activities. For example, assessing 4.3.2 Initial A c tivities
administrative versus operational performance lim-
iting factors often comes down to the evaluators The purpose of the initial activities is to establish
interpretation of interview results. The synergistic the availability of the required personnel and
effect of two people making this determination is a documentation. To assure an efficient and com-
key part of the CPE process. prehensive evaluation, key utility personnel and

Table 4-6. Evaluation Team Capabilities

Technical Skills Leadership Skills

l Water treatment plant design l Communication (presenting, listening,

interviewing)

l Water treatment operations and l Organization (scheduling, prioritizing)

process control

. Regulatory requirements . Motivation (involving people, recognizing staff

abilities)

. Maintenance l Decisiveness (completing CPE within time frame

allowed)

. Utility management (rates, l Interpretation (assessing multiple inputs, making

budgeting, planning) judgments)

49
specific information need to be available. Required contact for review at the kick-off meeting and
information includes basic data on the plant before initiating on-site activities:
design, staffing and performance. A letter should
be sent to the utility describing the schedule of Engineering drawings and specifications which
activities that will take place and outlining the include design information on the individual
commitment required of plant and administrative unit processes, and plant equipment.
staff. An example letter is presented in Appen-
dix H. Topics that are discussed in the letter are A plant flow schematic.
presented below.
Daily plant performance summaries showing
the results of turbidity measurements on raw,
4.3.2.1 Key Personnel settled, and filtered water for the most recent
twelve-month period.
It is necessary to have key people available during
the conduct of the CPE. The plant superintendent, Financial information showing budgeted and
manager or other person in charge of the water actual revenues and expenditures (i.e., chemi-
treatment facility must be available. If different cals, salaries, energy, training), long-term debt,
persons are responsible for plant maintenance and water rates and connection fees.
process control, their presence should also be
required. These individuals should be available An organizational chart of the utility.
throughout the three to five-day on-site activities.
A list of utility staff members.
A person knowledgeable about details of the utility
budget must also be available. A one- to two-hour
meeting with this person will typically be required In addition to the information listed, meeting and
during the on-site activities to assess the financial work rooms are required during the conduct of the
information. In many small communities, this per- CPE. A meeting room large enough for the evalua-
son is most often the City Clerk; in small water tion team and utility personnel should be available
districts it may be the Chairman of the Board or a for the kick-off and exit meetings. During the
part-time clerk. In larger communities, the Finance CPE, a somewhat private work room with a table
Director, Utilities Director, or Plant Superintendent and electrical outlets is desirable. Two or three
can usually provide the required information. small rooms or offices are necessary for the indi-
vidual interviews.
Availability of key administrative personnel is also
required. In many small communities or water Some facilities do not have a sample tap available
districts, an operator or plant superintendent may on the effluent from each individual filter. If these
report directly to the mayor or board chairman or taps are not available they should be requested
to the elected administrative body (e.g., City prior to the on-site activities. During the CPE,
Council or District Board). In larger communities, existing taps should be checked to see if they are
the key administrative person is often the Director functional. All taps both new and existing must
of Public Works/Utilities, City Manager, or other be located at points that assure a continuous sam-
non-elected administrator. In all cases the admin- ple stream that is representative of the filter efflu-
istrator(s) as well as representative elected offi- ent.
cials who have the authority to effect a change in
policy or budget for the plant should be available 4.3.2.3 Scheduling
to participate in the evaluation. Typically these
people are needed for a one-half to three-quarter A typical schedule for on-site CPE activities for a
hour interview and to attend the kick-off and exit small to medium-sized water treatment facility is
meetings. presented below:

l First Day - a.m. (travel)

4.3.2.2 CPE Resources

Availability of specific utility and plant information l First Day - p.m.:

is required during a CPE. The following list of the a Conduct kick-off meeting.
necessary items should be provided to the utility

50
 . Conduct plant tour. activities that will be conducted during the on-site
effort should be described. Meeting times for
. Set-up and calibrate continuous recording interviews with administration and operations per-
turbidimeter (if available). sonnel should be scheduled. Some flexibility with
the interview schedules should be requested since
n Coordinate location of CPE resources. time for data development, which is essential prior
to conducting interviews, is variable from facility
to facility. A sign-up sheet (see Appendix F) may
l Second Day - a.m.:
be used to record attendance and as a mechanism
. Compile data on plant performance, for recognizing names. Information items that
design, administration, operations and were requested in the letter should be reviewed to
maintenance. ensure their availability during the CPE.

Observations that can contribute to the identifica-

l Second Day - p.m.:
tion of factors are initiated during the kick-off
. Continue data compilation. meeting. More obvious indications of factors may
be lack of communication between the plant staff
. Develop performance assessment and per- and administration personnel or the lack of famili-
formance potential graph. arity with the facilities by the administrators.
More subtle indications may be the priority placed
on water quality or policies on facility funding.
l Third Day - a.m.: These initial perceptions often prove valuable
n Conduct interviews with plant staff and when formally evaluating administrative factors
utility officials. later in the CPE effort.

. Conduct field evaluations.

4.3.3.2 Plant Tour
l Third Day- p.m.:
A plant tour follows the kick-off meeting. The
. Shut down continuous recording turbi- objectives of the tour include: 1 I familiarize the
dimeter (if available). evaluation team with the physical plant; 21 make a
preliminary assessmentof operational flexibility of
. Meet to identify and prioritize performance the existing processes and chemical feed systems;
limiting factors. and 3) provide a foundation for discussions on
performance, process control and maintenance
. Prepare materials for exit meeting. and continued observations that may indicate per-
formance limiting factors. A walk-through tour
following the flow through the plant (i.e., source
l Fourth Day - a.m.: to clearwell) is suggested. Additionally, the tour
n Conduct exit meeting. should include backwash and sludge treatment
and disposal facilities, and the laboratory and
. Meet to debrief and make follow-up maintenance areas. The evaluator should note the
assignments. sampling points and chemical feed locations as the
tour progresses.

4.3.3 On-Site A c tivities The CPE evaluation is often stressful, especially

initially, for plant personnel. Consequently, during
4.3.3.1 Kick-Off Meeting the conduct of a tour, as well as throughout the
on-site activities, the evaluation team should be
A short (i.e., 30-minute) meeting between key sensitive to this situation. Many of the questions
plant operations and administration staff and the asked by the evaluation team on the plant tour are
evaluators is held to initiate the field work. The asked again during formal data collection activities.
major purposes of this meeting are to present the The plant staff should be informed that this repeti-
objectives of the CPE effort, to coordinate and tiveness will occur. Questions that challenge cur-
establish the schedule, and to initiate the adminis- rent operational practices or that put plant person-
trative evaluation activities. Each of the specific nel on the defensive must be avoided. It is

51
imperative that the CPE evaluators create an open, to perform adequately. If presedimentation facili-
non-threatening environment so that all of the ties do not exist, the evaluator must assess the
plant staff feel free to share their perspective as capability of existing water treatment unit proc-
various questions are asked. The evaluator should esses to remove variable and peak raw water tur-
try to maintain an information gathering posture at bidities.
all times. It is not aporooriate to recommend
changes in facilities or operational practices during Raw water pumping should be evaluated regarding
the plant tour or the conduct of on-site activities. the ability to provide a consistent water supply
This is often a challenge since the evaluation team and with respect to how many pumps are oper-
will frequently be asked for an opinion. Handle ated at a time. Frequent changing of high volume
these requests by stating that observations of the constant speed pumps can cause significant
CPE team will be presented at the conclusion of hydraulic surges to downstream unit processes,
the on-site activities after all information is col- degrading plant performance. In addition, opera-
lected and analyzed. tional practices as they relate to peak flow rates,
peak daily water production, and plant operating
The plant tour continues the opportunity for the hours should be discussed to assist in defining the
evaluator to observe intangible items that may peak instantaneous operating flow rate.
contribute to the identification of factors limiting
performance (i.e., operator knowledge of the plant Flow measurement facilities are important to accu-
operation and facilities, relationship of process rately establish chemical feed rates, wash water
control testing to process adjustments, the quality rates, and unit process loadings. Questions
of the relationships between various levels, etc.). should also be asked concerning location, mainte-
The tour also presents an opportunity to assess nance, and calibration of flow measurement
the potential of using minor modifications to devices. Discussions of changes in coagulant
enhance current facility capability. Suggestions to dosages with changes in plant flow rate are also
help the evaluation team meet the objectives of appropriate at this stage of the tour.
the plant tour are provided in the following sec-
tions.
Mixins/Flocculation/Sedimentation

Rapid mixing is utilized to provide a complete

instantaneous mix of coagulant chemicals to the
Pretreatment facilities consist of raw water intake water. The coagulants neutralize the negative
structures, raw water pumps, presedimentation charges on the colloidal particles allowing them to
basins and flow measurement equipment. Intake agglomerate into larger particles during the gentle
structures and associated screening equipment can mixing in the flocculation process. These heavier
have a direct impact on plant performance. For particles are then removed by settling in the quies-
example, if the intake configuration is such that cent area of the sedimentation basin. These
screens become clogged with debris or the intake facilities provide the initial barrier for particle
becomes clogged with silt, maintaining a consis- removal and, if properly designed and operated,
tent supply of water may be a problem. While at reduce the particulate load to the filters, allowing
the raw water source, questions should be asked them to polish the water. During the tour,
regarding variability of the raw water quality, observations should be made to determine if the
potential upstream pollutant sources, seasonal mixing, flocculation, and sedimentation unit proc-
problems with taste and odors, raw water quantity esses are designed and operated to achieve this
limitations, and algae blooms. goal. The evaluators should also observe flow
splitting facilities and determine if parallel basins
Presedimentation facilities are usually only found are receiving equal flow distribution.
at water treatment plants where high variability in
raw water turbidities occurs. If plants are Rapid mix facilities should be observed to deter-
equipped with presedimentation capability, basin mine if adequate mixing of chemicals is occurring
inlet and outlet configurations should be noted, throughout the operating flow range. The opera-
and the ability to feed coagulant chemicals should tor should be asked what type of coagulants are
be determined. Typically, most presedimentation being added and what process control testing is
configurations lower turbidities to a consistent employed to determine their dosage. Observations
level to allow conventional water treatment plants should be made as to the types of chemicals that

52
are being added together in the mixing process. location that supplies various chemicals to feed
For example, the addition of alum and lime at the points throughout the plant. Chemical feed facili-
same location may be counter-productive if no ties should be toured to observe the feed pumps,
consideration is given to maintaining the optimum day tanks, bulk storage facilities, flow pacing
pH for alum coagulation. If coagulant chemicals facilities, and chemical feeder calibration equip-
are added without mixing, observations should be ment. Availability of backup equipment to ensure
made as to possible alternate feed locations, such continuous feeding of each chemical during plant
as prior to valves, orifice plates or hydraulic operation should also be observed.
j u m p s , w h e r e acceptable mixing m i g h t b e
achieved.
Filtration
When touring flocculation facilities, the evaluator
should note inlet and outlet conditions, number of Filters represent the key unit process for the
stages, and the availability of variable energy removal of particles in water treatment. Careful
input. Flocculation facilities should be baffled to observation of operation and control practices
provide even distribution of flow across the basin should occur during the tour. The number and
and to prevent velocity currents from disrupting configuration of filters should be noted, including
settling conditions in adjacent sedimentation the type of filter media. The filter rate control
basins. If multiple stages are not available, the equipment should be observed and discussed to
capability to baffle a basin to create additional ensure that it regulates filter flow in an even, con-
staging should be observed. The ability to feed sistent manner without rapid fluctuations. The
flocculation aids to the gentle mixing portion of flow patterns onto each filter should be noted to
the basin should be noted. The operator should be see if there is an indication of uneven flow to indi-
asked how often flocculation energy levels are vidual filters. Backwash equipment, including
adjusted or if a special study was conducted to pumps and air compressors, should be noted. The
determine the existing levels. In the case of availability of back-up backwash pumping is desir-
hydraulic flocculation, the number of stages, the able to avoid interruptions in treatment if a break-
turbulence of the water, and the condition of the down occurs.
floe should be noted to determine if the unit proc-
ess appears to be producing an acceptable floe. The operator should be asked how frequently fil-
For upflow solids contact units, questions con- ters are backwashed and what process control
cerning control of the amount of solids in the unit procedures are used to determine when a filter
and sludge blanket control procedures should be should be washed. Since turbidity represents an
asked. indication of particles in the water, it should be the
parameter utilized to initiate a backwash unless
Sedimentation basin characteristics that should be the plant has on-line particle counters. The opera-
observed during the tour include visual observa- tors response to this inquiry helps to demonstrate
tions of performance and observations of physical his understanding and priorities concerning water
characteristics such as configuration and depth. quality.
Performance observations include clarity of settled
water, size and appearance of floe, and presence The tour guide should also be questioned con-
of flow or density currents. The general configu- cerning the backwash procedure and asked if all
ration, including shape, inlet conditions, outlet operators follow the same technique. The
conditions, and availability of a sludge removal evaluation team should determine if filter to waste
mechanism should be observed. Staff should be capability exists and, if so, how it is controlled.
asked about process control measures that are Questions concerning individual filter monitoring
utilized to optimize sedimentation, including sludge should also be asked. The availability of turbidity
removal. profiles following backwash should be determined.
Some facilities utilize particle counting to assess
filter performance, and the availability of this
Chemical Feed Facilities monitoring tool should be determined during the
plant tour.
A tour of the chemical feed facilities typically
requires a deviation from the water flow scheme in The tour is an excellent time to discuss the selec-
order to observe this key equipment. Often all tion of a filter and the location of the sampling
chemical feed facilities are located in a central point for continuous turbidity monitoring to be

53
conducted during the field evaluation activities. exist, questions should be asked to determine the
Ideally, the filter that is most challenged to pro- method of controlling the performance of these
duce high quality water should be monitored by facilities.
the evaluation team. Often, the operational staff
will be able to quickly identify a problem filter.
Laboratory

Disinfection The laboratory facilities should be included as part

of the plant tour. Source water and performance
The evaluation team should tour disinfection facili- monitoring, process control testing, and quality
ties to become familiar with the equipment feed control procedures should be discussed with labo-
points and type of contact facilities. Special atten- ratory personnel. It is especially important to
tion should be given to the configuration and baf- determine if turbidity measurements represent
fling of clearwells and finished water reservoirs actual plant performance. The use of laboratory
that provide contact time for final disinfection. results should be discussed and a review of the
Observation of in-line contact time availability data reporting forms should also be made. The
should be made by noting the proximity of the laboratory tour also offers the opportunity to
first user to the water treatment plant. Often, assess the availability of additional plant data that
distribution piping cannot be used in the assess- could be used to assess plant performance (e.g.,
ment of contact time since the plant staff repre- special studies on different coagulants, individual
sents the first user. turbidity profiles), Available analytical capability
should also be noted. An assessment should also
The availability of back-up disinfection equipment be made if all of the analytical capability resides in
should be determined to assess the capability of the laboratory and, if so, does the operations staff
providing an uninterrupted application of disinfec- have sufficient access to make process control
tant. The addition of a disinfectant prior to filtra- adjustments?
tion, either as an oxidizing agent or disinfectant,
should also be noted. The capability to automati-
cally control the disinfection systems by flow Maintenance
pacing should be determined.
A tour of the maintenance facilities provides an
opportunity to assess the level of maintenance
Backwash Water and Sludae Treatment and support at the plant. Tools, spare parts availa-
Disoosal bility, storage, filing systems for equipment cata-
logues, general plant appearance, and condition of
The location of any recycle streams should be equipment should be observed. Questions on the
identified during the tour. Recycle of water should preventive maintenance program, including meth-
be assessed with respect to the potential for ods of initiating work (e.g., work orders), are
returning a high concentration of cysts to the plant appropriate. Equipment out of service should also
raw water stream. Since this practice represents a be noted.
potential risk, the evaluator should determine the
method of treatment or other methods used to
handle the impact of recycle streams (e.g., storage 4.3.3.3 Data Collection Activities
for equalization of flows with continuous return of
low volumes of recycle to the raw water). It is Following the plant tour, data collection proce-
also important to assess if plant piping allows col- dures are initiated. Information is collected
lection of a representative sample of recycle to be through discussions with plant and administrative
used in jar tests to determine coagulant dose. staff utilizing a formalized data collection format as
shown in Appendix F. Categories covered by
Typically, the main sources of recycle flows are these forms are listed below:
the settled filter backwash water and sedimenta-
tion basin sludge decant. If these streams are dis- l Kick-Off Meeting
charged to a storm sewer system or a waterway,
questions should be asked to determine if the dis- l Administration Data
charge is permitted and if permit requirements are l Design Data
being complied with. If recycle treatment facilities

54
l Operations Data 4.3.3.5 Performance Assessment
l Maintenance Data
An assessment of the plants performance is made
l Field Evaluation Data by evaluating existing recorded data and by con-
. ducting field evaluations to determine if unit proc-
Interview Guidelines
ess and total plant performance have been opti-
l Exit Meeting mized. Typically, the most recent twelve months
of existing process control data is evaluated and
graphs are developed to assess performance of the
When collecting information requested on the plant. Additional data (e.g., backwash turbidity
forms, the evaluation team should solicit the par- profiles, particle counting data, individual filter 24-
ticipation of the most knowledgeable person in hour continuous turbidimeter performance) can be
each of the evaluation areas. For example, those developed if they aid in the determination of the
persons actually implementing the maintenance existing plant performance relative to optimized
activities should be included in the maintenance goals. Evaluations are also conducted during the
data collection efforts. performance assessment activities to determine if
existing plant records accurately reflect actual
When collecting information, the evaluator should plant-treated water quality. Calibration checks on
be aware that the data are to be used to evaluate turbidimeters or a review of quality control proce-
the performance capability of the existing facilities. dures in the laboratory are part of these evalua-
The evaluator should continuously be asking How tions.
does this information affect plant performance?.
If the area of inquiry appears to be directly related It is conceivable that a public health threat could
to plant performance, the evaluator should spend be indicated by the data during the development of
sufficient time to fully develop the information. the data for the performance assessment compo-
Often this pursuit of information will go beyond nent. The CPE evaluation team will have to handle
the constraints of the forms. In this way, some of these situations on a case-by-case basis. An
the most meaningful information obtained is writ- immediate discussion of the potential threat should
ten on the back of the forms. be conducted with the plant staff and administra-
tion and they should be encouraged to contact the
appropriate regulatory agency. Voluntary actions
4.3.3.4 Evaluation of Major Unit Processes such as plant shut-down or a voluntary boil water
notice should also be discussed. It is important
An evaluation of the plants major unit processes that the CPE evaluation team not assume respon-
is conducted to determine the performance poten- sibility for the process adjustments at the plant.
tial of existing facilities at peak instantaneous
operating flow. This is accomplished by develop- Another key part of the performance assessment
ing a performance potential graph and rating the is the use of a continuous recording turbidimeter
major unit processes as Type 1, 2, or 3, as previ- during the conduct of the on-site activities. This
ously discussed in 4.2.2 Evaluation of Major Unit effort will be further described in the next section
Processes. of this chapter. A detailed discussion of the
methods utilized in the performance assessment
It is important that the major unit process evalua- was presented previously in the Assessment of
tion be conducted early during the on-site activi- Plant Performance section of this chapter.
ties, since this assessment provides the evaluator
with the knowledge of the plants treatment capa-
bility. If the plant major unit processes are deter- 4.3.3.6 Field Evaluations
mined to be Type 1 or 2 and they are not per-
forming at optimum levels, then factors in the Field evaluations are an important aspect of the
areas of administration, operation or maintenance on-site activities. Typically, field evaluations are
are likely contributing to the performance prob- conducted to verify accuracy of monitoring and
lems. The completed major unit process assess- flow records, chemical dosages, record drawings,
ment aids the evaluation personnel in focusing filter integrity, and backwash capability. Forms to
later interviews and field evaluations to identify assist in the documentation of the data collected
those performance limiting factors.

55
during field evaluations have been included in pare polymer dilutions, and make chemical feeder
Appendix F. settings. Additionally, the plant staff should be
asked how they arrived at the reported dosage. If
Performance monitoring records can be verified by jar testing is used, the evaluation team should dis-
utilizing a continuous recording turbidimeter to cuss this procedure, including preparation of stock
assess an individual filters performance over a solutions. Often, a discussion can be used to
twenty-four hour period. A backwash cycle is assess the validity and understanding of this
conducted during this monitoring effort. It is coagulation control technique. Performing jar
important that the evaluation team acquire or have tests is typically not part of the CPE process.
made available to them a properly calibrated tur-
bidimeter to support this field effort. If a recording The integrity of the filter media, support gravels,
on-line turbidimeter is not available, an instrument and underdrain system for a selected filter should
that allows individual analysis of grab samples can be evaluated. This requires that the filter be
be used. If the evaluation team does not have drained and that the evaluation team inspect the
access to a turbidimeter, the plants turbidimeter, media. The filter should be investigated for sur-
which must be calibrated prior to the sampling and face cracking, proper media depth, mudballs and
testing activities, can be used. segregation of media in dual media filters. The
media can be excavated to determine the depth of
Treated water quality obtained from the field the different media layers in multi or dual media
evaluation can be compared with recorded data to filters. The media should be placed back in the
make a determination if performance monitoring excavations in the same sequence that it was
records accurately represent treated water quality. removed. The filter should also be probed with a
Differences in actual versus recorded finished steel rod to check for displacement of the support
water quality can be caused by sampling location, gravels and to verify the media depth within the
sampling time, sampling procedures, and testing filter. Variations in depth of support gravels of
variations. The evaluation teams instrument can over two inches would signify a potential problem.
also be used to assess the plants turbidimeter and Variations in media depth of over two incl-ies
calibration techniques. would also indicate a potential problem. If possi-
ble, the clear well should be observed for the
The accuracy of flow records can be verified by presence of filter media. Often, plant staff can
assessing the calibration of flow measurement provide feedback on media in the clearwell if
equipment. This is often difficult because of the access is limited. If support gravels or media loss
type of meters utilized (e.g., propeller, venturi, are apparent, a more detailed study of the filter
magnetic). If these types of meters are utilized, it would then be indicated, which is beyond the
may be necessary to require a basin to be filled or scope of a CPE.
drawn down over a timed period to accurately
check the metering equipment. If accuracy of Filter backwash capability often can be determined
metering equipment is difficult to field-verify, the from the flow measurement device on the back-
frequency of calibration of the equipment by the wash supply line. If this measurement is in ques-
plant staff or outside instrumentation technicians tion or if the meter is not available, the backwash
can be evaluated. If flow metering equipment is rate should be field-verified by assessing either the
being routinely (e.g., quarterly or semiannually) backwash rise rate or bed expansion. Rise rate is
calibrated, flow records typically can be assumed determined by timing the rise of water for a spe-
to be accurate. cific period. For example, a filter having a surface
area of 150 ft would have a backwash rate of
Dosages of primary coagulant chemicals should be 20 gpm/f? if the rise rate was 10.7 inches in
verified. Feed rates from dry feeders can be 20 seconds. This technique is not suitable for
checked by collecting a sample for a specified time filters where the peak backwash rate is not
and weighing the accumulated chemical. Simi- reached until the washwater is passing over the
larly, liquid feeders can be checked by collecting a troughs.
sample in a graduated cylinder for a specified time.
In both cases the feed rate in Ib/min or mL/min of Bed expansion is determined by measuring the
chemical should be converted to mg/L and com- distance from the top of the unexpanded media to
pared with the reported dosage. During this a reference point (e.g., top of filter wall) and from
evaluation the operating staff should be asked the top of the expanded media to the same refer-
how they conduct chemical feed calculations, pre- ence point. The difference between these two

56
measurements is the bed expansion. A variety of meeting or final report. Approximately 30 to 45
techniques can be used to determine the top of minutes should be allowed for each interview.
the expanded bed. A light-colored can lid attached
to the end of a pole is effective. The bed expan- Interviews are conducted to clarify information
sion measurement divided by the total depth of obtained from plant records and on-site activities
expandable media (i.e., media depth less gravels) and to ascertain differences between real or per-
multiplied times 100 gives the percent bed expan- ceived problems. Intangible items such as com-
sion. A proper wash rate should expand the filter munication, administrative support, morale, and
media a minimum of 20 to 25 percent (4). work attitudes are also assessed during the inter-
view process. The interviews also offer an oppor-
Record drawings may have to be field-verified by tunity to ask questions about potential factors.
measuring basin dimensions with a tape measure if During the conduct of on-site activities, the CPE
there is doubt as to their accuracy. If no drawings evaluators begin to form preliminary judgments.
are available, all basin dimensions will have to be The interviews offer the opportunity to ask, in an
measured. information gathering forum, what the utility per- I
sonnel may think of the perceived limitation. An
Additional field tests such as verification of equal adamant response may justify additional data col-
flow splitting and calibration of monitoring or labo- lection to strengthen the evaluation teams convic-
ratory equipment can also be conducted. Field tions prior to the exit meeting. On the other hand,
verification to support identified factors limiting sensitive findings such as operational and adminis-
performance should always be considered by the trative limitations can be introduced in a one-on-
evaluation team; however, time requirements for one setting and will allow the affected parties to
these activities must be weighed against meeting be aware that these issues may be discussed at
the overall objectives of the CPE. the exit meeting.

Interview skills are a key attribute for CPE evaluat-

4.3.3.7 Interviews ors. Avoidance of conflict, maintaining an infor-
mation gathering posture, utilizing initial on-site
Prior to conducting personnel interviews, it is nec- activity results, creating an environment for open
essary to complete the data collection forms, the communication, and pursuing difficult issues (e.g.,
major unit process evaluation, and performance supervisory traits) are a few of the skills required
assessment. This background information allows to conduct successful interviews. An additional
the evaluator to focus interview questions on challenge to the CPE evaluators is to avoid pro-
anticipated factors limiting performance. It is also viding answers for the person being interviewed.
advantageous for the CPE evaluators to be familiar A major attribute is the ability to ask a question
with the factors outlined in Appendix E prior to and wait for a response even though a period of
conducting the interviews. This awareness also silence may exist.
helps to focus the interviews and to maintain the
performance emphasis of the interview process. A key activity after conducting several interviews
F o r e x a m p l e , a n adamantly stated concern is for the evaluation team members to discuss
regarding supervision or pay is only of significance their perceptions among themselves. Often, con-
if it can be directly related to plant performance. flicting information is indicated, and an awareness
of these differences can be utilized to gather addi-
Unless the number of the utility staff is too large, tional information in remaining interviews. To
interviews should be conducted with all of the assist in conducting interviews, guidelines have
plant staff and with key administrative personnel been provided in Appendix F - Interview Guide-
in order to obtain feedback from both resources. lines.
Example key administrators include the mayor,
board members from the Water Committee, and
the Utility Director. 4.3.3.8 Evaluation of Performance Limiting
Factors
Interviews should be conducted privately with
each individual. The persons being interviewed The summarizing effort of the on-site activities is
should be informed that the responses are pre- identification and prioritization of performance lim-
sented in the findings as an overall perception, and iting factors. This activity should be completed at
individual responses are not utilized in the exit a location that allows open and objective

57
An ideal conclusion for an exit meeting is that the 4.4 Case Study
utility fully recognizes its responsibility to provide
a high quality finished water and that, provided The following case study provides insights on the
with the findings from the CPE, the utility staff are conduct of a CPE at an actual water utility. The
enthusiastic to pursue achievement of this goal. state regulatory agency had identified in their
review of monthly monitoring reports that a con-
ventional water treatment plant was routinely vio-
4.3.4 WE Report lating the 0.5 NTU limit on finished water turbid-
ity. The state notified the community that they
At the conclusion of the on-site activities, a CPE intended to conduct a CPE to identify the reasons
report is prepared. The objective of a CPE report for non-compliance with current regulatory
is to summarize findings and conclusions. Ten to requirements.
fifteen typed pages are generally sufficient for the
text of the report. The CPE report should be
available within a month following the on-site 4.4.7 Facility Information
activities to reinforce the need to address factors
limiting optimized performance. An example Facility A serves a community of 10,000 people
report is presented in Appendix G. Typical con- and is located in an area with a temperate climate.
tents are: The facility was designed to treat 5.0 MGD. Nor-
mally during the year the plant is operated for
Introduction periods ranging from 5 to 12 hours each day.
Facility Information During operation, the facility is always operated at
a flow rate of 5 MGD. A flow schematic of the
Performance Assessment facility is shown in Figure 4-9.
Major Unit Process Evaluation
The following data were compiled from the com-
Performance Limiting Factors pleted data collection forms, as presented in
Appendix F.
Assessment of Applicability of a CTA
Design Flow: 5.0 MGD
As a minimum, the CPE report should be distrib- Average Daily Flow: 1.2 MGD
uted to plant administrators, and they should be
requested to distribute the report to key plant per- Peak Daily Flow: 4.0 MGD
sonnel. Further distribution of the report (e.g., to Peak Instantaneous Operating Flow:
regulatory personnel or to the design consultant) 5.0 MGD
depends on the circumstances of the CPE.

Figure 4-9. Flow schematic of Plant A.

Sedimentation

Flash
Mix
Intake

Fe IH_ Flocculation
Raw
Cleanwater Creek
water
Pumps
TO
Distribution

Sludge to Ponds/
Drying Beds Backwash to
Pond Supsrnatant
Returned to Plant

60
Flocculation: approximately 15 NTU and the settled water tur-
. Number Trains: 2 bidity was measured at 4.3 NTU during the CPE.
Routine sampling of settled water was not being
n Type: Mechanical turbines, 3 stages
practiced. Field evaluation of one of three filters
. Dimensions: during the on-site activities indicated a turbidity
* Length: 15.5 ft spike of 1 .I NTU following backwash with a
reduction to 0.6 NTU after one hour of operation.
* Width: 15.5 ft
The results of the performance assessment indi-
* Depth: 10.0 ft cated that optimized performance goals were not
being achieved.
Sedimentation:
. Number Trains: 2
4.4.3 Major Unit Process Evaluation
. Type: Conventional rectangular
. Dimensions: A performance potential graph (Figure 4-101 was
* L e n g t h : 9 0 ft prepared to assess the capability of Plant As ma-
jor unit processes. The calculations that were
* W i d t h : 30 ft conducted to complete the graph are shown in the
* D e p t h : 12 ft following four sections.

Filtration:
. Number: 3 FIGURE 4-10. Performance potential graph for
Plant A.
n Type: Dual media (i.e., anthracite, sand),
gravity
Unit Process I 0 1 2 3 4 5 6
. Dimensions:
* Length: 18 ft
* Width: 18 ft

Disinfection:
n Disinfectant: Free chlorine
Disinfectiod4) TYPO 2 I i
= Application Point: Clearwell I
I
I
I
I
. Number: 1 Peak lnstmtmmus Operating
Row - 5.0 MC0

. Clearwell Dimensions:
* Length: 75 ft (1) Rated at 20 min (HDT) - 7.6 MGD
(2) Rated at 0.6 gpm/ft2 - 4.7 MGD
* Width: 75 ft
(3) Rated at 4.0 gpm/ft2 - 5.6 MGD
* Maximum operating level: 20 ft
(4) Rated at 20 min HDT - 4.2 MGD
* Minimum operating level: 14 ft
. Baffling factor: 0.1 based on unbaffled
basin
4.4.3.1 Flocculation Basin Evaluation

4.4.2 Performance Assessment The flocculation basins were rated at a hydraulic

detention time of 20 minutes because the floccula-
The performance assessment, using the most tion system has desirable flexibility (i.e., three
recent 12 months of data, indicated that the fin- stages with each stage equipped with variable
ished water turbidity was not meeting the regu- speed flocculators). The plant is also located in a
lated quality of <0.5 NTU in 95 percent of the temperate climate, so the temperature criteria is
samples collected each month. In fact, the < 0.5C.
95 percent requirement was exceeded in 5 of 12
months, The raw water turbidity averaged

61
1. Basin Volume = 6 basins x 15.5 ft x 1. Filter Area = 3 filters x 18 ft x 18 ft
1 5 . 5 f t x 10 ft x 7.48 gal/ft3
= 9 7 2 ft2
= 107,824 gallons
2. Select 4 gpm/ft to determine peak rated capa-
bility.
2. Select 20-minute detention time to determine
peak rated capability.
3. Rated Capability = 972 ft2 x 4 gpm/ft2
3. Rated Capability = 107,824 gal/20 minutes
= 3,888 gpm x 1 MGD
694.4 gpm
1 MGD
= 5,391 gpm x
694.4 gpm = 5.6 MGD

The 4 gpm/ft2 rate results in a rated capability of

= 7.8 MGD
5.6 MGD. The filters were rated Type 1 because
5.6 MGD exceeds the peak instantaneous operat-
The 20-minute detention time results in a rated
ing flow of 5.0 MGD.
capability of 7.8 MGD. Therefore, the flocculation
system is rated Type 1 because the 7.8 MGD
exceeds the peak instantaneous plant flow of
5.0 MGD. 4.4.3.4 Disinfection Process Evaluation

The disinfection system was evaluated based on

4.4.3.2 Sedimentation Basin Evaluation post-disinfection capability only since prechlorina-
tion was not practiced at Plant A.
The sedimentation basins were rated at
1. D e t e r m i n e r e q u i r e d Giardia log reduction/
0.6 gpm/ft2 surface overflow rate. This mid-range
criteria was selected based on the basin depth of inactivation based on raw water quality.
12 ft and the observed poor performance during Select 3.0 log, based on state regulatory
agency requirement.
the on-site activities.

1. Basin Surface Area = 2 basins x 90 ft x 30 ft

2 . Determine CT based on minimum water tem-
perature and maximum treated water pH.
= 5 , 4 0 0 ft2
From plant records select:
2 . Select 0.6 gpm/ft2 surface overflow rate to Temperature (minimum) = 0.5 O C
determine peak rated capability.
pH (maximum) = 7.5
3. Rated Capability = 5,400 ft2 x 0.6 gpm/ft2
3 . Determine log inactivation required by disinfec-
tion,
= 3 , 2 4 0 g p m x 1 MGD
694.4 gpm Allow 2.5 log reduction because plant is con-
ventional facility in reasonable condition with a
= 4.7 MGD
minimum Type 2 rating in previous unit proc-
ess evaluation.
The 0.6 gpm/ft2 overflow rate results in a rated
capability of 4.7 MGD. The sedimentation basins
Log inactivation required by disinfection =
are rated Type 2 because the 4.7 MGD rating falls
3.0 - 2.5 = 0.5
within 80 percent of the 5 MGD peak instantane-
ous operating flow.
4 . Determine CT required for 0.5 log inactivation
of Giardia at pH = 7.5
4.4.3.3 Filter Evaluation T = 0.5OC, free chlorine residual = 2.5 mg/L.

The filters were rated at 4 gpm/ft2 filtration rate From tables in Appendix D, CT =
based on dual-media with adequate backwashing 50:5 mg/L-min
capability.

62
5. Determine required contact time based on longer periods of operation. This option offers the
maximum free chlorine residual that can be capability to avoid major construction and still pur-
maintained.
ties.
Required contact time = 50.t rrdirnin

= 20 min 4.4.4 Performance Limiting Factors

The following performance limiting factors were

6. Determine effective clearwell (contact basin)
volume required to calculate peak rated A or B.
capacity. was also conducted, as indicated by the number
Effective volume + = 75 ft x 75 ft x
14 ft x 0.1 x 7.48 gal/ft3
1. Application of Concepts and Testing to Proc-
= 58,905 gallons ess Control - Operation (A)
The plant operators had established no
*Basin is unbaffled so use T,,/T factor of 0.1. process control program to make deci-
Use 14 minimum operating depth. sions regarding plant flow rate, coagulant
dose and filter operation.
7. Determine rated capability:
Coagulant dosages had not been estab-
58,905 lished based on jar tests or other means
Rated Capability =
20 min and were typically maintained at a con-
stant setting despite raw water quality
= 2,945 gpm x lMGD variations.
694.4 gpm
Filters were started dirty on a routine
= 4.2 MGD
basis and the plant was operated at
maximum capacity when a much lower
The 20 minute HDT results in a rated capa-
rate was possible.
bility of 4.2 MGD. The disinfection system
was rated Type 2 because 4.2 MGD falls
Filter effluent turbidities exceeded regula-
within 80 percent of the peak instantaneous
tory requirements for extended periods
plant flow of 5.0 MGD.
following backwash of a filter.
Based on the above calculations, a performance
The operators lack of awareness of the
potential graph was prepared. The performance
existence or impact of these spikes dem-
potential graph for Plant A is shown in Fig-
onstrated a limited understanding of water
ure 4-l 0. As shown, flocculation and filtration
treatment technology and the importance
were rated Type 1 because their rated capabilities
of producing high quality treated water on
exceeded the peak instantaneous operating flow
a continuous basis.
rate of 5.0 MGD. Sedimentation and
disinfection unit process were rated Type 2
2. Process Control Testing - Operation (A)
because rated capacity was within 80% of the
= The only process control testing that was
conducted was turbidity on daily grab
It is noted that the option to operate the facility for samples of raw water and treated water
a longer period of time to lower the peak instanta- from the clearwell and chlorine residual on
treated water after the high service
age daily flow rate on an annual basis is 1.2 MGD. pumps.
If the plant were operated for 8 hours per day at
. No process control testing was done to
flow rate below the projected capability of all of establish coagulant dosages or optimized
the major unit processes. For peak demand days, sedimentation and filtration unit process
performance.

63
3. Plant Coverage - Administration (A) plant flow can be reduced and operator coverage
. increased, it appears that the utility would be able
Plant operators were only allowed enough
to achieve improved performance through imple-
time to be at the plant to fill the reservoir,
mentation of a follow-up CTA. These conditions
approximately six hours each day.
would require approval by the City Council before
. a CTA could be initiated. Documentation of
On occasion, the alum feed line would
improvement in finished water turbidity, including
plug and go unnoticed, resulting in peri-
reduction of spikes after dirty filter start-up and
ods of poor treated water quality.
backwashing, should result from CTA efforts.
Additionally, maintaining settled water turbidity at
= The operators were expected to conduct
< 2 NTU on a continuous basis would be the
other activities, such as monitoring the
expected result from a CTA. These improvements
city swimming pool, assisting wastewater
to optimized performance will enhance the treat-
treatment plant operators, and assisting
ment barriers that this facility provides and, thus,
street maintenance crews during summer
enhance public health protection.
months.

4. Disinfection - Design (B)

4.4.6 CPE Results
. Operation of the plant at maximum flow
rate does not allow sufficient contact time The success of conducting CPE activities can be
for disinfection. However, operation of measured by plant administrators selecting a fol-
the plant at or below 4.2 MGD allows the low-up approach and implementing activities to
disinfection unit process to be in compli- achieve the required performance from their water
ance with existing regulations. treatment facility. If definite follow-up activities
are not initiated within a reasonable time frame,
5. Sedimentation - Design (B) the objectives of conducting a CPE have not been
achieved. Ideally, follow-up activities must com-
n The sedimentation basin was not pro-
prehensively address the combination of factors
jected to be capable of achieving opti-
identified (e.g., implement a CIA) and should not
mized performance criteria at flows above
be implemented in a piecemeal approach. In the
4.7 MGD. Reducing the flow would allow
the basin to perform adequately during previous example, plant administrators decided to
hire a third party to implement a CTA. The CTA
most periods of the year.
addressed the identified factors and resulted in the
6. existing plant achieving optimized performance
Sample Taps - Design (B)
goals without major capital improvements.
. Sample taps do not exist to allow samples
to be obtained from the individual filters.
This prevents the plant staff from obtain- 4.5 References
ing needed information to optimize indi-
vidual filter performance. 1. Bender, J.H., R.C. Renner, B.A. Hegg, E.M.
Bissonette, and R. L i e b e r m a n . 1 9 9 5 . Part-
nership for Safe Water Voluntary Water
4.4.5 Assessing Applicability of a CTA Treatment Plant Performance Improvement
Program Self-Assessment Procedures. I
The most serious of the performance limiting fac- USEPA, AWWA, AWWARF, Association of
tors identified for Plant A were process control- Metropolitan Water Agencies, Association of
oriented. The evaluation of major unit processes State Drinking Water Administrators, and
resulted in a Type 2 rating at the present peak National Association of Water Companies.
instantaneous operating flow. However, it was
determined that the rating could be upgraded to 2. Eastern Research Group, Inc. 1992. Water
Type 1 if the plant peak instantaneous operating Advisor Utilizing the CCP Approach (Expert
flow rate could be reduced by operating for longer System). USEPA Work Assignment No. 7391-
periods of time each day. This adjustment will 55. Eastern Research Group, Inc., Arlington,
require addressing the plant coverage factor by MA.
convincing administrators to allow operators to
spend additional time at the treatment facility. If

64
3. Renner, R.C., B.A. Hegg, J.H. Bender, and 8. Surface Water Treatment Rule, from Federal
E.M. Bissonette. February 1991. Handbook - Register, Vol. 54, No. 124, U.S. Environ-
Optimizino Water Treatment Plant Performance mental Protection Agency, 40 CFR, Parts 141
Usina the Composite Correction Proaram. EPA a n d 1 4 2 , Rules and Regulations, Filtra-
625/g-91 /027. USEPA, Cincinnati, OH. tion/Disinfection (June 1989).

American Society of Civil Engineers and 9. USEPA. 1989. Guidance Manual for Compli-
American Water Works Association. 1990. ance With the Filtration and Disinfection
Water Treatment Plant Desian. McGraw-Hill, Reauirements for Public Water Svstems Usinq
2nd ed. Surface Water Sources. NTIS No. PB
90148016. USEPA, Washington, DC.
5. James M. Montgomery Consulting Engineers,
Inc. 1985. Water Treatment Princioles and 10. Regli, S. June 1990. Hows and Whys of
Desian. John Wiley & Sons, Inc. CTs . Presented at AWWA Annual Confer-
ence, Cincinnati, OH.
6. Sanks, R.L., ed.. 1978. Water Treatment
Plant Desian for the Practicina Enaineer. Ann 11. Cleasby, J.L., M.M. Williamson, and E.R.
Arbor Science Publishers, Kent, England. Baumann. 1963. Effect of Filtration Rate
Changes on Quality. Journal AWWA, 55:869-
Renner, R.C., B.A. Hegg, and J.H. Bender. 878.
March 1990. EPA Summarv Report: Opti-
mizina Water Treatment Plant Performance 12. Cleasby, J.L., A.H. Dharmarajah, G.L. Sindt,
With the Composite Correction Prooram. EPA and E.R. Baumann. September 1989. Desian
625/g-90/01 7, USEPA Center for Environ- and Operation Guidelines for Optimization of
mental Research Information, Cincinnati, OH. the Hiah Rate Filtration Process: Plant Survev
Results. AWWA Research Foundation and
AWWA, Denver, CO.

65
 Chapter 5
Comprehensive Tech&al Assistance

5.1 Objective An additional objective of a CTA is to achieve opti-

mized performance from an existinq water treat-
The objective of conducting Comprehensive Tech- ment facility (i.e., avoid, if possible, major modifi-
nical Assistance (CTA) activities is to achieve and cations). If the results of a Comprehensive Per-
sustain optimized performance goals, as was formance Evaluation (CPE) indicate a Type 1 plant
described in Chapter 2. Given this objective, the (see Figure 4-31, then existing major unit proc-
results of a successful CTA can be easily depicted esses have been assessed to be adequate to meet
in graphical form. Results from an actual CTA are optimized treatment requirements at current plant
presented in Figure 5-l. As shown, plant per- loading rates. For these facilities, the CTA can
formance was inconsistent as depicted by the focus on systematically addressing identified per-
variations in finished water turbidity. However, formance limiting factors to achieve optimized per-
after CTA activities had been implemented (April formance goals.
1997) the treated water quality gradually improved
to a level that has been consistently less than For Type 2 plants, some or all of the major unit
0.1 NTU. It is noted that other parameters, such processes have been determined to be marginal.
as improved operator capability, cost savings, and Improved performance is likely through the use of
improved plant capacity are oft&r associated with a CTA; however, the plant may or may not meet
the conduct of a CTA, but the true measure of optimized performance goals without major facility
success is the ability to achieve optimized per- modifications. For these plants, the CTA focuses
formance goals and demonstrate the capability to on obtaining optimum capability of existing facili-
meet these goals long-term under changing raw ties. If the CTA does not achieve the desired fin-
water quality conditions. It is recommended that ished water quality, unit process deficiencies will
CTA results be presented graphically to indicate be clearly identified and plant administrators can
that the primary objective has been achieved. be confident in pursuing the indicated facility
modifications.

Figure 5-1. CTA results showing finished water quality improvements.

Start CT&

67
For Type 3 plants, major unit processes have been the CTA. Since these goals exceed regulated
determined to be inadequate to meet performance requirements, the plant administration has to
objectives. For these facilities, major construction embrace achieving this level of performance from
is indicated and a comprehensive engineering a public health perspective. For example, adminis-
study that focuses on alternatives to address the trators must be aware that even momentary
indicated construction needs is warranted. The excursions in water quality must be avoided to
study should also look at long term water needs, prevent Giardia and Cryptosporidium or other
raw water source or treatment alternatives, and pathogenic organisms from passing through the
financing mechanisms. treatment plant and into the distribution system.
To this end, all unit processes must be performing
If an existing Type 3 plant has performance prob- at high levels on a continuous basis, thus provid-
lems with the potential to cause serious public ing a multiple barrier to passage of pathogenic
health risk, officials may want to try to address organisms through the treatment plant. Ulti-
any identified limitations, in addition to the design mately, administrators must adopt the concept of
factors, to improve plant performance. In these optimized performance goals and be willing to
cases, activities similar to a CTA could be imple- emphasize the importance of achieving these goals
mented to obtain the best performance possible within the framework of the CTA.
with the existing facilities, realizing that optimum
performance would not be achieved. Additionally,
administrative actions such as a boil order or Figure 5-2. CTA priority setting model.
water restrictions may have to be initiated by
regulators until improvements and/or construction Optimized Performance Goals

can be completed for Type 3 facilities.

t
I

Operation IProcess Control)

5.2 Conducting CTAs

5.2. I Overview

The CTA was developed as a methodology to

address the unique combination of factors that
limit an individual facilitys performance through
use of a consistent format that could be applied at
multiple utilities. This foundation for the CTA
necessarily required a flexible approach. Concepts
that define the general CTA approach are further
discussed. When the performance objectives are established,
the focus turns to operation (i.e., process control)
Implementation of a CTA is guided by an unbiased activities. Implementing process control is the key
third party who is in a position to pursue correc- to achieving optimized performance goals with a
tion of factors in all areas such as addressing capable facility. Administration, design and main-
politically sensitive administrative or operational tenance are necessary to support a capable plant.
limitations. This person, called the CTA facilitator, Any limitations in these areas hinder the success
initiates and supports all of the CTA activities. of the process control efforts. For example, if fil-
The CTA facilitator uses a priority setting model as tered water turbidity cannot be consistently main-
a guide to address the unique combination of fac- tained at optimized levels because operating staff
tors that have been identified in a CPE. Based on is not at the plant to make chemical feed adjust-
the priorities indicated by this model, a systematic ments in response to changing raw water quality,
long term approach is used to transfer priority set- then improved performance will require more staff
ting and problem solving skills to utility personnel. coverage. In this case, identified limitations in
The priority setting model is illustrated graphically making chemical feed adjustments established the
in Figure 5-2. priority for improving staff coverage (i.e., an
administrative policy). Additional staff coverage
The first step in implementation of a CTA is estab- would alleviate the identified deficiency (i.e., sup-
lishing the optimized performance goals that will port a capable plant) and allow process adjust-
be the objectives to achieve during the conduct of ments to be made so that progress toward the

68
optimized performance goals could be continued. l Time required to make minor faciJity modifica-
In this manner, factors can be prioritized and tions. For changes requiring financial expendi-
addressed, ensuring efficient pursuit of the opti- tures, a multiple step approach is typically
mized performance goals. required to gain administrative (e.g., City
Council) approval. First, the need for minor
The results of the CPE (Chapter 4) provide the ini- modifications to support a capable facility
tial prioritized list of performance limiting factors must be demonstrated. Then, council/
impacting an individual facility. The CTA facilita- administrators must be shown the need and
tor utilizes these factors, coupled with the priority ultimately convinced to approve the funds
setting model, to establish the direction for the necessary for the modifications, This process
CTA. It is important to note that a CTA is a results in several months before the identified
dynamic process, and the facilitator will have to modification is implemented and operational.
constantly readjust priorities as the events unfold.
The model can be used repetitively to assist in the . Time required to make administrative changes.
prioritization of CTA activities. Administrative factors can prolong CTA
efforts. For example, if the utility rate struc-
A systematic long term process is used to transfer ture is inadequate to support plant perform-
priority setting and problem solving skills to the ance, extensive time can be spent facilitating
utility personnel during a CTA. Typically, 6 to 18 the required changes in the rate structure.
months are required to implement a CTA. This Communication barriers between downtown
long time period is necessary for several reasons: and the plant or among staff members may
have to be addressed before progress can be
. Time necessary to identify and develop a local made on improved performance. If the staff is
champion or champions. Since the CTA facili- not capable, changes in personnel may be
tator is off-site, one or more personnel that required for the CTA to be successful. The
can implement the CTA activities need to be personnel policies and union contracts under
identified. These persons are called champi- which the utility must operate may dictate the
ons since they are the focal point for CTA length of time these types of changes could
implementation. They are designated as the take.
person at the plant responsible to understand
the implementation of the CTA and to assist l Time required for identification and elimination
the plant staff with CTA activities on a day-to- of any additional performance limiting factors
day basis. This person is also the key contact that may be found during the CCP. It is impor-
for communications with the CTA facilitator tant to note that additional performance limit-
and the local personnel. The champion is also ing factors, not identified during the short
the focal point for the transfer of priority duration of the CPE, often become apparent
setting and problem solving skills. The cham- during conduct of the CTA. These additional
pion will ultimately be responsible for transfer limitations must also be removed in order to
of these skills to the other utility personnel. achieve the desired level of performance.
This transfer is essential to ensure the conti-
nuity of water quality improvements after the
facilitator is gone. Ideally, the champion 5.2.2 Implementation
would be the superintendent or lead operator.
Experience has shown that no single approach to
l Greater effectiveness of repetitive training implementing a CTA can address the unique com-
techniques. Operator and administrator train- bination of factors at every water treatment plant.
ing should be conducted under a variety of However, a systematic approach has been devel-
actual operating conditions (e.g., seasonal oped and specific tools have been used to increase
water quality or demand changes). This the effectiveness of CTA activities. The approach
approach allows development of observation, requires involvement of key personnel and estab-
interpretation, and implementation skills nec- lishes the framework within which the CTA activi-
essary to maintain desired finished water ties are conducted. Key personnel for the imple-
quality during periods of variable raw water mentation of the CIA are the CTA facilitator and
quality.

69
 the utility champions. The framework for con- lead and copper. In addition, those responsible for
ducting the activities includes site visits, commu- implementing a CTA must have sufficient process
nication events, and data and records review con- control capability to establish an appropriate
ducted over a sufficient period of time (e.g., 6 to approach that is compatible with the personnel
18 months), capabilities available at the utility.

The tools utilized for conducting CTAs have been A CTA facilitator must often address improved
developed to enhance the transfer of capability to operation, improved maintenance, and minor
utility administrators and staff. Actual implemen- design modifications with personnel already
tation of each CTA is site-specific, and the combi- responsible for these water treatment functions,
nation of tools used is at the discretion of the CTA A worst case situation is one in which the plant
facilitator. Additional approaches to addressing staff is trying to prove that the facilitator cant
performance limiting factors exist,, and a creative make it work either. The CTA facilitator must be
facilitator may choose other options, able to create an environment to maintain commu-
nications and enthusiasm and to allow all parties
Implementation of a successful CTA requires that involved to focus on the common goal of achiev-
the CTA facilitator constantly adjust the priorities ing optimized plant performance. Ultimately, the
and implementation techniques to match the CTA facilitator must transfer priority setting and
facility and personnel capabilities at the unique problem solving skills to the utility staff. The
site. The bottom line is that ootimized oerform- objective here is to leave the utility with the nec-
ante qoals, that can be araohicallv deoicted, need essary skills after the facilitator leaves so that the
to be achieved as a result of the CTA efforts (see performance goals can be met long term. To
Fioure 5-l). Components of CTA implementation accomplish this transfer, the facilitator must create
are further described. situations for local personnel to self discover
solutions to ongoing optimization challenges so
that they have the knowledge and confidence to
5.2.2.1 Approach make all necessary changes. In almost all cases
the facilitator must avoid assuming the role of
CTA Facilitator troubleshooter or the person with all of the
answers. Each situation has to be evaluated for
The CTA facilitator is a key person in the imple- its learning potential for the staff.
mentation of CTA activities and must possess a
variety of skills due to the dynamic nature of the A CTA facilitator must be able to conduct training
process. Desired skills include a comprehensive in both formal and on-the-job situations. Training
understanding of water treatment unit processes capabilities must also be developed so they are
and operations and strong capabilities in leader- effective with both operating as well as adminis-
ship, personnel motivation, priority setting, and trative personnel. When addressing process con-
problem solving. trol limitations, training must be geared to the
specific capabilities of the process control decision
Comprehensive understanding of water treatment makers. Some may be inexperienced; others may
unit processes and operations is necessary have considerable experience and credentials.
because of the broad range of unit processes Administrative training is often a matter of
equipment and chemicals utilized. For example, clearly providing information to justify or support
numerous sedimentation devices exist such as CTA objectives or activities. Although many
spiral flow, reactor type, lamella plate, tube set- administrators are competent, some may not know
tlers, pulsators and solids contact units. Addition- what to expect from their facilities or what their
ally, multiple possibilities exist in terms of types, facilities require in terms of staffing, minor modifi-
combinations and dosages of coagulant, flocculant cations, or specific funding needs.
and filter aid chemicals.
CTA facilitators can be consultants, state and fed-
Operations capability is necessary to understand eral regulatory personnel, or utility employees. For
the continually changing and sometimes conflicting consultants, the emphasis of optimizing the
requirements associated with water treatment. existing facility without major construction must
Optimization for particulate removal ultimately has be maintained. A substantial construction cost
to be coordinated with control of other regulated can be incurred if an inexperienced facilitator is
parameters such as disinfection by-products or not able to bring a capable water treatment plant

70
to the desired level of performance. For example, sisting of the selected personnel and the personnel
a consultant, involved primarily with facility that normally would assume the role (e.g., the
design, may not have the operational experience to superintendent) can be selected.
utilize the capability of existing unit processes to
their fullest extent and may be biased toward Ideally the role of the champion is formally identi-
designing and constructing new processes. fied during the CTA activities. In other cases,
however, it may be necessary to use an informal
If utility personnel try to fill the role as CTA facili- approach where the champion is only recognized
tator, they should recognize that some inherent by the CTA facilitator. For example, in some
problems may exist. The individuals implementing cases the champion may not be the typical person,
the CTA, for example, often find it difficult to pro- based on the chain of command. In these cases
vide an unbiased assessment of the area in which the use of a junior person to assist the supervisor
they normally work (i.e., operations personnel tend or superintendent in the actual implementation
to look at design and administration as problem may be the only option available to ensure pro-
areas; administrators typically feel the operations gress on CTA activities. This is a delicate situa-
personnel should be able to do better with existing tion for the facilitator, and extra effort is required
resources). These biases should be recognized, to maintain open communications and acceptance
and they must be continually challenged by utility for project activities. In any event, the closer the
personnel who assume the role of CTA facilitator. characteristics of the champion are to those out-
lined for the CTA facilitator, the easier the imple-
Individuals who routinely work with water utilities mentation of the CTA will be.
to improve water treatment plant performance will
likely be the best qualified CTA facilitators. These
people are typically engineers or operators who CTA Framework
have gained experience in correcting deficiencies
at plants of various types and sizes. CTA facilita- A consistent framework has been developed to
tors that have experience in a variety of plants support the implementation of a CTA. The
have a definite advantage in their ability to recog- framework consists of on-site involvement (e.g.,
nize and correct true causes of limited perform- site visits) interspersed with off-site activities
ance. (e.g., communication events such as phone/fax/
e-mail and data and guidelines review). A graphi-
cal illustration of the CTA framework is shown in
On-Site CTA Champion Figure 5-3.

In addition to the capabilities of the CTA facilita- l Site visits are used by the facilitator to verify
tor, it is necessary to have one or several utility or clarify plant status, establish optimization
personnel who champion the objectives and performance goals, initiate major process con-
implementation of the CTA process. The cham- trol changes, test completed facility modifica-
pion is the person who assumes the day-to-day tions, provide on-site plant or administrative
responsibilities of pursuing the implementation of training, and report progress to administrators
the established priorities. This person is also and utility staff. Dates for site visits cannot be
responsible for the transfer of problem solving established at specific intervals and must be
skills learned from the CIA facilitator to the rest of scheduled based on plant status (e.g., process
the staff. upsets), training requirements, communica-
tions challenges, etc. As shown in Figure 5-3,
Identification of the champion is a key step in the site visits and communication events typically
success of the CTA. Ideally, the superintendent or taper off as the CTA progresses. This is in
lead operator is the person that would fill the line with the transfer of skills to the plant staff
champion role. However, many times these indi- that occurs throughout the CTA. The number
viduals may be part of the limitation to achieving of site visits required by a CTA facilitator is
optimized performance because they tend to stick dependent on plant size and on the specific
to the old ways of conducting business. New performance limiting factors. For example,
operators or laboratory personnel often offer the some administrative (e.g., staffing and rate
greatest potential for the role as champion. To changes) and minor design modifications could
resolve some of the issues with the selection of significantly increase the number of site visits
these junior personnel, a champion team con- required to complete a CTA. Typically, the

71
Figure 5-3. Schematic of CTA framework.

5 6 7 8 8 10 11 12

Site Visits I

Communication:
Phone,Fax,E-Mai 0.. . 0

Data and
Correspondence 08 ee 04 BP 00 80

Review

Reporting 0 0
Activities
I - -

Months of Involvement

initial site visit is conducted over three to four studies or draft operational guidelines are also
days and intermediate site visits are conducted submitted to the CTA facilitator for review.
over two to three days. CTA accomplish- Review and feedback by the CTA facilitator are
ments and proposed future activities are pre- key to demonstrate the importance of efforts
sented to plant and administrative personnel at by the utility personnel. Findings from data
an exit meeting at the conclusion of each site and records review are related to the staff by
visit. communications events. The routine feedback
enhances the data development and interpreta-
l Communication events such as telephone tion skills of the utility staff.
calls, faxes and e-mail are used to routinely
assess CTA progress. Communication activi- l Reporting activities are used to document pro-
ties are normally conducted with the on-site gress and to establish future direction. Short
CTA champion. Routine contact is used to letter reports are typically prepared at the con-
train and encourage plant personnel to pursue clusion of each site visit. These reports can
data collection and interpretation, encourage be used to keep interested third parties (e.g.,
progress on prioritized activities, and provide regulatory personnel) informed and to maintain
feedback on special studies and guideline a record of CTA progress and events. They
development. The CTA facilitator should also provide the basis for the final CTA report,
always summarize important points, describe Short reports or summaries can also be devel-
decisions that have been reached, and identify oped to justify minor facility upgrades or
actions to be taken. Further, both the CTA changes in plant coverage or staffing. A final
facilitator and plant personnel should maintain CTA report is typically prepared for delivery at
written phone logs. It is noted that communi- the last site visit. The report should be brief
cation events have limited ability to address all (e.g., eight to twelve pages are typically suffi-
identified factors. As such, the CTA facilitator cient for the text of the report). Graphs docu-
should always monitor the progress being menting the improvement in plant performance
accomplished in the effectiveness of the com- should be presented. If other benefits were
munication events to assess the need for a site achieved these should also be documented.
visit. Typical contents are:
n Introduction:
l Data and correspondence review are activities
where the CTA facilitator reviews the informa- * Reasons for conducting the CTA.
tion provided routinely by the utility. A format
for submittal of weekly performance data is . CPE Results:
established during the initial site visit. This
* Briefly summarize pertinent informa-
information is provided in hard copy or elec-
tion from the CPE report.
tronically by the utility. Results of special

72
 . CTA Significant Events: is assigned a particular task and the projected due
date. The plan is normally developed during the
* Chronological summary of activities
CTA site visits and distributed by the CTA facilita-
conducted.
tor. The plan should identify tasks that are clear
to the person responsible and within their area of
* Include special study results.
control. The person should have been involved in
the development of the action item and should
. CTA Results:
have agreed to the assignment and the due date.
* Graph of plant performance plus The action plan is provided to administrators and
other benefits. plant personnel after site visits or communication
events. Communication events are used to
. Conclusions: encourage and monitor progress on the assigned
action items. An example format for an Action
* Efforts required to maintain improved plan is shown in Figure 5-4.
performance.

n Appendices: Figure 5-4. Example action plan.

* Compilation of site specific guidelines Item Action Person Date
developed by the plant staff. Responsible Due
1 Develop calibration curve Jon 414
for polymer feed pump.
5.2.2.2 Tools 2 Draft special study Bob 5/l
procedure to evaluate use
of a flocculant aid to
improve sedimentation
basin performance.
Contingency plans should be prepared for facilities
producing finished water quality that is not meet- 3 Process control:
a. Develop daily data Larry 4117
ing current regulated requirements and for possible collection sheet. Eric 4124
instances when finished water degrades during b. Develop routine Rick 4128
implementation of changes during the CTA. The sampling program.
contingency plan should include actions such as c. Draft guideline for jar
testing.
reducing plant flow rate to improve performance,
shutting down the plant, initiating a voluntary
public notification, and initiating a voluntary boil
order. If plant finished water exceeds a regulated
maximum contaminant level (MCL), the State Special Studies
regulatory agency should be immediately informed,
and public notification procedures mandated by Special studies can be used to evaluate and opti-
the Public Notification Regulation Rule (1) should mize unit processes, to modify plant process con-
be followed. To minimize the chance of producing trol activities, or to justify administrative or design
unacceptable finished water while conducting a changes necessary to improve plant performance.
CTA, all experimentation with chemical doses and They are a structured, systematic approach for
different coagulant products should be done on a assessing and documenting plant optimization
bench scale (e.g., jar test) before implementing activities. The format for development of a special
changes on a full scale basis. Full scale experi- study is shown in Figure 5-5. The major compo-
mentation can be done on an isolated treatment nents include the special study topic, hypothesis,
train or during low demand conditions that would approach, duration of the study, expected results,
allow dumping of improperly treated water. documentation/conclusions, and implementation
plan. The hypothesis should have a focused
scope and should clearly define the objective of
Action Plans the special study. The approach should provide
detailed information on how the study is to be
Action plans can be utilized to ensure progressive conducted including: when and where samples
implementation of performance improvement are to be collected, what analyses are to be con-
activities. The action plan summarizes items to be ducted, and which specific equipment or proc-
completed, including the name of the person that esses will be used. The approach should be

73
developed in conjunction with the plant staff to regulatory agency and to serve as a historic record
obtain staff commitment and to address any chal- for plant operation. Examples of daily and
lenges to implementation that may exist prior to monthly process control sheets are presented in
initiating the study. Expected results ensure that Appendix K. Graphs or trend charts can be used
measures of success or failure are discussed prior to enhance the interpretation of process monitor-
to implementation. It is important that the study ing results. The data developed can be plotted
conclusions be documented. Ideally, data should over long periods to show seasonal trends and
be developed using graphs, figures and tables. changes in water demand or over shorter periods
This helps to clarify the findings for presentation to show instantaneous performance. Examples of
to interested parties (e.g., plant staff, administra- data development over a several month period are
tors, regulators). Special study findings serve as a shown in Figure 5-1, A short term trend chart
basis for continuing or initiating a change in plant showing raw, settled and filtered water turbidities
operation, design, maintenance or administration. over a one-day period is depicted in Figure 5-6.
An implementation plan in conjunction with con- During this period no change in coagulant dose
clusions identifies the procedural changes and was initiated, despite the change in raw water tur-
support required to utilize special study results. If bidity. As a result, settled water and finished
all of the steps are followed, the special study water quality deteriorated several hours after the
approach ensures involvement by the plant staff, raw water turbidity increased. Without the use of
serves as a basis for ongoing training, and a trend chart this correlation would be difficult to
increases confidence in plant capabilities. An observe.
example special study is presented in Appendix I.

Figure 5-5. Special study format.

Ooerational Guidelines
Special Study Topic: Identify name of the special study
Operational guidelines can be used to formalize and briefly describe why the study is being conducted
activities that are essential to ensure consistent (i.e., one to two sentences).
plant performance. Examples of guidelines that
can be developed include: jar testing, polymer Hypothesis:
dilution preparation, polymer and coagulant feed Focused scope. Try to show definite cause/effect
calculations, filter backwashing, chemical feeder relationship.
calibration, sampling locations and data recording.
Approach:
The CTA facilitator may provide examples, but Detailed information on conducting study. Involve
guidelines should be developed by the plant staff. plant staff in development.
Through staff participation, operator training is
Duration of Study:
enhanced and operator familiarity with equipment
Important to define limits of the study since extra
manuals is achieved. Additionally, communication work is typically required.
among operators and shifts is encouraged in the
preparation of guidelines. The guidelines should be Expected Results:
Projection of results focuses attention on interim
prepared using word processing software and
measurements and defines success or limitations of
should be compiled in a three-ring binder so that effort.
they can be easily modified as optimization
practices are enhanced. An example guideline is Conclusions:
Documented impact of study allows the effort to be
presented in Appendix J.
used as a training tool for all interested parties. Allows
credit to be given for trying an approach.

Data Collection and InterDretation Implementation:

Identifies changes or justifies current operating
procedures. Formalizes demonstrated
Data collection and interpretation activities are mechanisms to optimize plant performance.
used to formalize the recording of results of proc-
ess control testing that is initiated. Typically, a
daily sheet is used to record operational data such
as lab test results, flow data, and chemical use.
These data are transferred to monthly sheets that
are used to report necessary information to the

74
Figure 5-6. Short term trend chart showing relationship of raw, settled and filtered water turbidities.

0-l I
0 4 a 12 16 20 24

Tlme (hrs)

Prioritv Settina Tools and action steps are identified and placed on an
action list. Example results from a priority setting
The CTA facilitator uses the priority setting model activity are shown in Figure 5-7.
(i.e., Figure 5-2) to aid in establishing priorities for
implementing a CTA. Awareness of this model The nominal group process encourages involve-
can be provided to utility personnel to aid them in ment of all parties and provides significant training
setting routine priorities for utility activities. during the open discussion of prioritized topics.
The CTA facilitator can interrupt the discussions if
Another method that is useful for utility personnel technical inaccuracies exist; but, for the most part,
to aid in developing their priority setting skills is the facilitator should try to maintain a neutral role.
the nominal group process. This mechanism uses It is important to note, however, that the nominal
a facilitator (e.g., the CTA facilitator initially and group process is only effective after the CTA is
the utility champion or other staff as the CTA pro- underway and the initial key priorities have been
gresses) to solicit input from plant personnel dur- implemented. After the initial efforts, the utility
ing a formal meeting by asking an open-ended personnel are more aware of the purpose of the
question concerning optimization activities. A CTA and better equipped to contribute meaningful
question such as What concerns, activities, or suggestions concerning optimization activities. It
modifications, can we address to continue to pur- is up to the CTA facilitator to ascertain when
sue optimization performance goals at our utility? utility personnel are able to effectively utilize this
can be asked to start the discussion. Participants tool.
are given time to develop ideas and the facilitator
then solicits responses one at a time from each
person in a round-robin fashion. After all ideas are Tooic DevdODtTWIt Sheets
documented (e.g., on a flip chart or chalk board)
the ideas are discussed for clarity and overlap. Topic development sheets (see Figure 5-8) can be
The participants then priority vote on the issues used to develop problem solving skills in utility
(e.g., vote for the top five issues, allowing five personnel. In utilizing the topic development
points for the top issue, four for the second issue, sheet, the issue should be clearly defined. An
etc.). Topics are prioritized by the number of ideal starting point would be a prioritized issue
votes that they get, and ties are differentiated by developed from the nominal group process. The
the number of points. Based on the combined CTA facilitator, initially, and utility champion, as
results of all of the voting, the highest priority the CTA progresses, would lead the discussion on
issues are identified. These issues are discussed, using the topic development sheet format.

75
Figure 5-7. Example priority setting results from and the associated activity also enhances commu-
C T A s i t e v i s i t activity - - nication skills among the staff.

Question: What concerns, activities or modifications can

be addressed to continue to pursue optimization goals at Figure 5-8. Example topic development sheet.
your utility?

List of Rewonses: TOPIC DEVELOPMENT SHEET

1. Post backwash turbidity spikes Topic/Issue:

2. Retention of trained staff

3. End point for CTA project

Benefits:
4. Eliminate washwater return
5. Drought impact (color, taste and odor, rationing)
6. Flow indicators on chemical feeders
Possible Obetacles: Possible Solutions:
7. Reconsider particle counter capability
8. Recognition for utility staff by regulatory agency
9. Recent budget constraints
10. Public relations on optimization efforts
1 1. Maintaining optimization approach

Prioritized Topics:

Rank Item Votes Points

1 Flow indicators on chemical Action Steps: l
feeders 6 24
2 Post backwash turbidity spikes 6 23
3 Retention of trained staff 5 17
4 End point for CTA project 4 7 * ransfer to an Action Plan.
5 Maintaining optimization
approach 3 10

6 Recognition for utility staff 3 5 Internal Support

The CTA facilitator must ensure that internal

Figure 5-8, provides a section listing obstacles. communication to maintain support for the CTA
Typically, it is easier for participants to discuss the occurs at all levels of the organization. This is
reasons why an idea will not work. After the typically done through routine meetings (e.g.,
obstacles are presented, the facilitator should during site visits) or with summary letters and
focus the group on possible solutions. The facilita- communication events. Internal support is key to
develop during the conduct of a CTA and can be
tor should have the group pursue a solution for
each obstacle. While the discussion occurs, the useful in accomplishing desired changes. Typi-
cally, a CTA introduces a new way of doing busi-
benefits for making the change can be listed in the
ness to the water utility. This new approach is
benefits section of the sheet. The solutions
not always embraced by the existing personnel.
should be converted to action steps and docu-
Support from the personnel department or the
mented on the sheet. The action steps should be
administrative staff can be utilized in establishing
subsequently transferred to the optimization action
the acceptable behavior required of the utility
plan.
staff to support the CTA objectives. For example,
the CTA facilitator and utility champion may have
Use of the topic development sheet is effective in
clearly defined a new sampling procedure to
enhancing the problem solving skills of utility per-
support the optimization efforts. If a staff member
sonnel. The tool allows obstacles to be presented
will not comply with the approach or continues to
but requires that solutions and action steps also be
resist the change, administrative pressure can be
developed. Use of the topic development sheet

76
solicited if internal support for project activities may.support the need for major construction; and
has been maintained. once this has been established, utility staff should
pursue this direction similar to a Type 3 facility.

What-If Scenarios The performance of Type 1 and Type 2 plants can

often be improved by making minor modifications
Many facilities have very stable raw water sources to the plant. A minor modification is defined as a
and as such are not challenged with variations that modification that can be completed by the plant
test the capability of facilities and personnel to staff without development of extensive contract
respond and maintain optimized performance documents. Examples of minor modifications
goals. In some facilities this is true even if the include: adding a chemical feeder, developing
duration of the CTA is over a period of a year or additional chemical feed points, or installing baffles
greater. In these facilities, factors relating to reli- in a sedimentation basin.
ability and complacency often need to be
addressed. The CTA facilitator can create what-if A conceptual approach to improving design per-
scenarios for the utility personnel to address. formance limiting factors is based on the premise
Development of these scenarios may be the only that if each proposed design modification can be
opportunity during the conduct of the CTA to pre- related to an increased capability to achieve opti-
pare local personnel for challenging situations. mized performance goals, then the modification
What-if scenarios should only be utilized after will be supported. For example, if a chemical
the plant staff have gained experience and confi- feeder is necessary to provide a feed rate in a
dence from CTA training activities. lower range than current equipment can provide,
then the design modifications are needed to pro-
vide a capable plant so that desired process con-
5.2.2.3 Correcting Performance Limiting trol objectives can be met (see Figure 5-2). The
Factors need for this minor modification can be easily
documented and justified to the administration.
A major emphasis of a CTA is addressing factors Support for the modification would be expected.
identified as limiting performance in the CPE phase
as well as additional limiting factors that may be The degree of documentation and justification for
identified during the CTA. Correcting these fac- minor modifications usually varies with the associ-
tors provides a capable plant and allows the opera- ated costs and specific plant circumstances. For
tional staff to utilize improved process control example, little justification may be required to add
(operation) to move the plant to achievement .of a sampling tap to a filter effluent line. However,
optimized performance goals. Approaches that justification for adding baffles to a flocculation
can be implemented to enhance efforts at basin would require more supporting information.
addressing factors in the areas of design, admini- Extensive justification may be required for a facility
stration, maintenance and operation are discussed where water rates are high and have recently been
in the following sections. raised, yet there is no money available for an iden-
tified modification.

Desiqn Performance Limitina Factors The CTA facilitator should assist in developing the
plant staff skills to formally document the need for
The performance of Type 3 plants is limited by minor modifications. This documentation is valu-
design factors that require major modifications to able in terms of presenting a request to supervi-
correct. Major modifications require the develop- sory personnel and in providing a basis for the
ment of contract documents (i.e., drawings and plant staff to continue such requests after the CTA
specifications) and hiring a construction company has been completed. For many requests the spe-
to complete the improvements. Examples include cial study format can be used as the approach for
the addition of a sedimentation basin or expansion documenting the change (see Special Studies sec-
of a clear well. Major modifications can some- tion previously discussed in this chapter). For
times be avoided by operating the plant at a lower modifications with a larger cost, the following
flow rate for longer periods of time; thereby items may have to be added to the special study
reducing the unit process hydraulic loading rate to format.
a range that allows adequate performance to be
achieved. CTA experience with Type 2 facilities

77
. Purpose and benefit of the proposed change obvious evidence directly correlating poor mainte-
(i.e., how does the change relate to the devel- nance practices with poor performance; therefore,
opment of a.capable plant so that process con- maintenance factors often do not become apparent
trol can be used to achieve performance until the conduct of a CTA. For example, in many
goals?). cases CTA activities utilize equipment and proc-
esses more extensively than they have been used
. Description of the proposed change and an in the past, such as running a facility for longer
associated cost estimate. periods of time. The expanded use emphasizes
any maintenance limitations that may exist.
Many state regulatory agencies require that modi-
fications, other than repair and maintenance items, Implementing a basic preventive maintenance pro-
be submitted for their approval. Improvements gram will generally improve maintenance practices
requiring state approval may consist of items such to an acceptable level in many plants. A sug-
as changing types of chemicals added to the water gested four-step procedure for developing a main-
(e.g., substituting iron salts for aluminum salts), tenance record keeping system is to: 1) list all
adding another chemical feeder (e.g., filter aid equipment, 2) gather manufacturers literature on
polymer feeder), or modifying filter media. If there all equipment, 3) complete equipment information
is any doubt as to whether approval is needed, the summary sheets for all equipment, and 4) develop
facilitator should recommend submitting the pro- and implement time-based.preventive maintenance
posed modification to the regulatory agency for activities. Equipment lists can be developed by
approval. Typically, the same documentation that touring the plant and by reviewing available
would be prepared to obtain administrative equipment manuals. As new equipment is pur-
approval can be used for the submittal to the chased it can be added to the list. Existing manu-
regulatory agency. facturers literature should be inventoried to iden-
tify missing but needed materials. Maintenance
Once the proposed modification has been literature can be obtained from the manufacturer
approved by plant administrators and the state or from local equipment representatives.
regulatory agency, the CTA facilitator should serve
as a technical reference throughout the implemen- Equipment maintenance sheets that summarize
tation of the modification. Following completion recommended maintenance activities and sched-
of a modification, the CTA facilitator should ules are then developed for each piece of equip-
ensure that a formal presentation of the improved ment. Once these sheets are completed, a com-
plant capability is presented to the administration. prehensive review of the information allows a
This feedback is necessary to build rapport with time-based schedule to be developed. This sched-
the plant administrators and to ensure support for ule typically includes daily, weekly, monthly, quar-
future requests. The intent of the presentation terly, semiannual, and annual activities. Forms to
should be to identify the benefits in performance remind the staff to complete the tasks at the
obtained from the expended resources. desired schedule (e.g., check-off lists) can be
developed.

Maintenance Performance Limitina Factors The above system for developing a maintenance
record keeping system provides a reliable founda-
Maintenance can be improved in nearly all plants, tion for implementing a preventive maintenance
but it is a significant performance limiting factor in program. However, there are many other good
only a small percentage of plants (2,3,4). The maintenance systems, including computer-based
first step in addressing maintenance factors is to systems. The important concept to remember is
document any undesirable results of the current that adequate maintenance is essential to reliablv
maintenance effort. If plant performance is achieve optimized performance goals.
degraded as a result of maintenance-related
equipment breakdowns, the problem is easily
documented. Likewise, if extensive emergency Administrative Performance Limitina Factors
maintenance events are experienced, a need for
improved preventive maintenance is easily recog- Administrators who are unfamiliar with plant
nized. Ideally, maintenance factors should have needs, and thus implement policies that conflict
been previously identified and prioritized during a with plant performance, are a commonly identified
CPE. However, most plants do not have such factor. For example, such items as implementing

78
minor modifications, purchasing testing equip- l Solicit support for involvement of plant staff in
ment, or expanding operator coverage may be rec- the budgeting process. Budget involvement
ognized by plant operating personnel as needed has been effective in encouraging more effec-
performance improvement steps, but changes tive communication, in motivating plant staff,
cannot be pursued due to lack of support by non- and in improving administrative awareness and
technical administrators. Administrative support understanding. This activity also helps to
and understanding are essential to the successful ensure continued success after the CTA facili-
implementation of a CTA. The following tech- tator is gone.
niques have proven useful in addressing adminis-
trative factors limiting performance: . Encourage development of a self-sustaining
utility attitude. This requires financial plan-
Focus administrators on their responsibility to ning for modification and replacement of plant
provide a product that not only meets but equipment and structures, which encourages
exceeds regulatory requirements on a continu- communication between administrators and
ous basis to maximize public health protection. plant staff concerning the need to accomplish
Often, administrators are reluctant to pursue both short and long term planning. It also
actions aimed at improving plant performance requires development of a fair and equitable
because of a lack of understanding of both the rate structure that requires each water user
health implications associated with operating a (i.e., domestic, commercial, and industrial) to
water treatment plant and of their responsibili- pay their fair share. The revenues generated
ties in producing a safe finished water. The should be sufficient to support ongoing oper-
CTA facilitator must inform and train adminis- ating costs as well as short term modification
trators about their public health responsibilities and long term replacement costs. The CTA
and the associated objectives of achieving facilitator may choose to encourage the utility
optimized performance goals from their facili- to gain professional help in this area,
ties. As an endpoint, administrators should be depending on the circumstances. Information
convinced to adopt the optimum performance is also available from other sources (5,6,7).
goals described in Chapter 2. Administrators
should also be encouraged to emphasize to the
operating staff the importance of achieving Operational Performance Limitinu Factors
these goals.
Obtaining optimized performance goals is ulti-
Build a rapport with administrators such that mately accomplished by implementing formal
candid discussions concerning physical and process control procedures, tailored for the par-
personnel resources can take place (e.g., see ticular personnel and plant. Additionally, the proc-
Internal Support section previously discussed ess control skills must be transferred to the local
in this chapter). staff for the CTA to result in the plant having the
long term capability to maintain the desired per-
Involve plant administrators from the start. formance goals.
Site visits should include time with key
administrators to explain the CTA activities. If Initial efforts should be directed toward the train-
possible, conduct a plant tour with the admin- ing of the key process control decision-makers
istrators to increase their understanding of (i.e., on-site CTA champion). In most plants with
plant processes and problems. Share perform- flows less than 0.5 MGD, one person typically
ance results on a routine basis. makes and implements all major process control
decisions. In these cases, on-the-job training is
Listen carefully to the concerns of administra- most effective in developing skills and transferring
tors so that they can be addressed. Some of capability. If possible, in plants of this size a
their concerns or ideas may be unrelated to the back-up person should also be trained. This
technical issues at the plant, but are very person may be an administrator or board member
important in maintaining internal support for at a very small utility. As the number of operators
ongoing CTA activities. to be trained increases with plant size, the need
for classroom training also increases. However, a
Use technical data based on process needs to significant aspect of the CTAs effectiveness is the
convince administrators to take appropriate hands-on training approach; therefore, any
actions. classroom training must be supported by actual

79
hands-on applicability and use. The only excep- turbidity; however, most small facilities are not yet
tion to this emphasis is in addressing complacency using this technology. Raw water turbidity testing
issues with what if scenarios (see What If Sce- should be conducted on a frequent basis (e.g.,
narios section previously discussed in this chap- every four hours) to identify changes in quality.
ter). During periods of rapid change, raw water tur-
bidity should be measured on a more frequent
A generic discussion of process control for water basis to allow adjustment of coagulant aids. Set-
treatment facilities is presented. The CTA facilita- tled water turbidity from each basin should be
tor must identify deficiencies in any of the follow- measured a minimum of every four hours to moni-
ing areas and implement activities to address these tor the effectiveness of the settling process and to
limitations, recognizing existing facility and per- document that the integrity of this barrier is being
sonnel capabilities. maintained. If the effectiveness of sedimentation
deteriorates (e.g., due to the unexpected failure of
an alum feeder), the monitoring allows immediate
Process Sampling and Testing: corrective actions to be taken to minimize or
lessen the impact on downstream unit processes.
Successful process control of a water treatment Filtered water turbidity should be measured and
plant involves producing a consistent, high quality recorded on a continuous basis from each filter to
treated water despite the variability of the raw allow constant monitoring of filtered water quality.
water source. To accomplish this goal, it is nec- Continuous monitoring of filtered water tremen-
essary that the performance of each unit process dously enhances the operators capability to prop-
be optimized. This is important because a break- erly time backwashing of filters, to determine the
down in any one unit process places a greater extent of post backwash turbidity breakthrough,
burden on the remaining processes and increases and to observe if filter control valve fluctuations
the chance of viable pathogenic organisms reach- are impacting filtered water turbidity.
ing the distribution system and consumers taps.
By optimizing each unit process, the benefit of The process control data should be recorded on
providing multiple barriers prior to the consumer is daily sheets, and this data should be transferred to
realized. monthly sheets to allow observation of water
quality trends. For turbidity measurement, maxi-
To optimize each unit process, information must mum daily values are recorded since this repre-
be routinely obtained and recorded on raw water sents the worst case potential for the passage of
quality and on the performance of the various unit particles. Appendix K includes examples of both
processes in the plant so that appropriate controls daily and monthly process control sheets. The
can be exercised to maintain consistent treated daily sheets should include space for recording
water quality. The term routinely is stressed actual chemical feed rates and the conversion of
because it is necessary to have the plant achieve these values to a mg/L dosage so that dosage and
performance objectives at all times when it is in water quality can be correlated. This database can
operation. To allow information to be gathered then be used by the operator to better predict
and for process control adjustments to be made chemical feed requirements during different raw
whenever water quality conditions dictate, staff water quality events. Graphs and trend charts
should be available during all periods of operation. greatly enhance these correlation efforts. The use
If staffinq is not available, continuous water of computer spreadsheets is encouraged to sup-
aualitv monitorinq with alarms and shutdown port data development and the use of trend charts.
caoabilitv should exist.

The gathering of information in an organized and Chemical Pretreatment and Coagulant Control:
structured format involves development of a proc-
ess control sampling and testing schedule. A The selection and control of chemical coagulants,
basic process control sampling and testing sched- flocculants and filter aids is the most important
ule for a conventional plant is shown in Figure 5-9. aspect of improving water treatment plant per-
Turbidity is the primary test because it provides a formance. Therefore, a method to evaluate differ-
quick and easily conducted measurement to ent coagulants and to control the selected coagu-
determine particulate levels and particle removal lant is a primary focus in implementing a process
effectiveness of individual plant unit processes. control program. The special study format is
Particle counting can be used in conjunction with

80
especially effective for systematically optimizing same sequence should be used in the jar test. The
chemical pretreatment. use of syringes without needles to measure and
deliver the appropriate chemical dose to each jar
A coagulant control technique must exist or be simplifies the chemical addition step (i.e., 1 cc =
implemented during a CTA if optimized perform- 1 mL). Syringes are available from pharmacies or
ance is to be achieved. Example coagulant control veterinary/farm supply stores. The jar test proce-
techniques include: jar testing, streaming current dure should be adjusted to more closely duplicate
monitors, zeta potential, and pilot filters. Jar the plant processes. In direct filtration plants, a
testing is the most common technique and is dis- small volume (about 50 mL) of flocculated water
cussed in more detail. should be removed from the jars and passed
through filter paper. Typically, 40 micron filter
To successfully implement jar testing as a coagu- paper (e.g., Whatman #40, Schleicher and Schuell
lant control technique requires understanding of #560) can be used to approximate filter perform-
stock solution preparation and conducting the test ance. The filtered samples should be tested for
so that it duplicates plant operating conditions as turbidity, and the sample with the lowest turbidity
closely as possible. A typical procedure for pre- represents the optimum chemical dose.
paring stock solutions, conducting jar tests, and
determining mixing energy settings is shown in In conventional plants, the jar contents should be
Appendix L. Stock solutions must be prepared for allowed to settle for a period of time relative to the
all coagulant chemicals (e.g., metal salts and surface overflow rate of the basins. The approach
polymers) that are going to be added to the jars. for determining the sampling time for settled water
is shown in Appendix L. Allowing the water in the
The jar test can be set up to represent plant oper- jar to settle for 30 to 60 minutes and then taking a
ating conditions by setting jar test mixing energy sample for turbidity measurement has no relation-
inputs, mixing times, and settling detention times ship to a full-scale plant and should not be done
similar to those found in the plant (Appendix LI. for collecting useful jar test information. After the
Plant mixing energy (i.e., G-values) can be deter- correct sampling time is determined, samples
mined by using worksheets presented in the should be drawn from the sample tap located
design section of Appendix F. The use of square 10 cm from the top of the jar, and the turbidity of
jars is recommended because square jars break up the sample should be determined. The lowest tur-
the circular motion inherent in cylinders and more bidity represents the best chemical dosage. If
accurately represent plant operating conditions. sample taps are not available on the jars, pipettes
can be used to draw-off samples from the jars.
Chemicals should also be added to the jars to try Excellent references are available to guide the
to duplicate plant operating conditions. For exam- facilitator in implementing jar testing techniques to
ple, if alum is added to the plant flash mix and obtain optimum coagulant doses (8,9,10,11 I.
polymer is added to a pipeline approximately
30 seconds downstream from the flash mix, the

Figure 5-9. A basic process control sampling and testing schedule.

Sample Sample Location I Tests I Frequency I Sample By

Plant lnfluant Tap by Raw Water Turbidity Continuous Meter

Turbidimeter PH Daily Operator
Alkalinity Weekly Operator
Flow Rate Continuous Meter
Jar Test As Needed Operator
Temperature Daily Operator

Sedimentation Top of Filter Turbidity Every 2 Hours Operator

I
Basin
I I
Filter Effluent Turbidimeter Turbiditv Continuous Meter

Treated or Lab Tap PH Daily Meter

Finished Water Cl1 Residual Continuous Meter
Turbidity Every 4 Hours Operator/Mater

81
Once the correct chemical dose is determined, the Some chemicals should not be added at the same
staff must be able to adjust the chemical feeders location. For example, the addition of lime and
to deliver the desired dosage. This requires the alum at the same point is counter-productive if the
ability to conduct chemical calculations and to lime is raising the pH to the extent that the opti-
develop and utilize calibration curves for chemical mum range for alum coagulation is exceeded. The
feeders. For example, a mg/L dose has to be con- addition of powdered activated carbon at the same
verted to a feed rate (e.g., lb/day or mL/min) in location as chlorine is also detrimental since the
order to correctly adjust chemical feed equipment. carbon will quickly adsorb the chlorine, inhibiting
Calibration curves which indicate feed rate setting the ability of both chemicals. The addition of chlo-
versus feeder output must be developed for all rine, potassium permanganate or other oxidant, in
chemical feeders to assure the correct feeder set- combination with some polymers, will result in the
ting for a given desired chemical dosage. Some oxidation of the polymer, with a subsequent
chemicals, such as polymers, must often be pre- reduction in its effectiveness.
pared in dilute solutions prior to introduction into
the plant flow stream. Therefore, the capability to
prepare chemical dilutions must be transferred to Unit Process Controls:
the operators during the CTA. Example chemical
feed calculations are presented in Appendix M, Optimization of unit processes requires that those
and a procedure to develop a chemical feeder cali- parameters that can be controlled to adjust proc-
bration curve is shown in Appendix J. ess performance be identified and incorporated
into a plant specific process control program.
Chemical addition must not only be carefully con- Ideally, existing process control procedures and
trolled, but the correct type of coagulants, floccu- input from plant staff are used to develop this
lants and filter aids must be applied. program, This usually must be supplemented by
information from the CTA facilitator based on
. A positively charged product (e.g., metal salt, experience at other facilities, equipment manuals,
cationic polymer, polyaluminum chloride) or networking with peers. Multiple unit processes
should be added for coagulation. Coagulants and their unique control features exist in water
typically require good mixing so they should be treatment facilities. An overview of the more con-
added to the rapid mix. ventional unit processes and their associated con-
trols is presented in the following sections.
. If alum is being utilized with a raw water pH
exceeding 8.0 to 8.5, consideration should be Mixinq, Flocculation, and Sedimentation. The
given to switching to iron salts, sodium alumi- main controls for mixing, flocculation and sedi-
nate or polymerized products. mentation unit processes include the following:
l Plant process flow rate and flow splitting
l The use of a flocculant polymer to enhance between unit processes operating in parallel
floe formation and settling can also be investi-
gated. l Type of chemical and chemical feed rate (see
Chemical Pretreatment and Coagulation Con-
. Investigation of filter aid polymers should be trol section previously discussed in this
conducted since these products are often chapter)
required if filtered water turbidities less than
l Flocculation energy input
0.1 NTU are to be achieved on a continuous
basis. Flocculant and filter aids typically have l Sludge removal
an anionic or nonionic charge, and they should . Floe break-up at the effluent of sedimentation
be introduced into the plant flow stream at a
tanks
point of gentle mixing, since excessive turbu-
lence will shear the polymer chains and reduce
Plant flow rate is a primary control at many small
the product effectiveness.
plants that are operated for less than 24 hours
each day. At these plants an excessive hydraulic
. For low alkalinity waters (e.g., <20 mg/L), loading rate on the flocculation/sedimentation
consideration should be given to adding alka-
processes can be avoided by operating at a lower
linity (e.g., soda ash, lime).

82
flow rate for a longer period of time. This pro- quate monitoring of the basin can lead to a loss of
vides an option to meet more rigorous perform- the sludge blanket over the weirs, which signifi-
ance requirements with existing units without cantly degrades unit process performance and,
major capital improvements. The capability to ultimately, filter performance. A 100 mL gradu-
reduce plant flow rate to improve performance is ated cylinder has been used to monitor sludge
offset by the need to staff the plant for longer mass in a reactor type basin. A volume of 18 -
periods of time, which adds to operating costs. 25 mL of sludge in a 100 mL cylinder, after five
Therefore, plant administrators and staff, in con- minutes of settling, has provided satisfactory per-
junction with the CTA facilitator, must evaluate formance at one location (12).
these options.
Another issue to consider is the possibility of floe
If multiple basins exist, flow splitting to ensure breakup after the settled water leaves the sedi-
equal loading to the units should be monitored and mentation basins. Depending on the chemical
controlled. Often, performance monitoring (e.g., conditioning used in the plant, coagulated particles
turbidity) of individual sedimentation basins can be may break apart because of turbulence when the
used to indicate unequal flow splits. settled water is conveyed to the filtration process
(e.g., sedimentation effluents with large elevation
Flocculation energy input is often fixed at small changes at the discharge of the basin). If floe
plants, either by hydraulic flocculation systems or breakup is suspected, operational changes, such
by constant speed flocculation drives. However, as flooding the effluent weirs, can be tried to
flocculation energy, if low enough to allow forma- assess if performance improves. Additionally, the
tion of settleable floe, is not considered an essen- use of a filter aid can assist in overcoming the det-
tial variable to achieve desired performance of a rimental impacts of floe breakup.
small plant. More important are the plug flow
characteristics of the flocculation system. Plug Filtration. The controls for the filtration process
flow characteristics, similar to those found in most include the following:
hydraulic flocculation systems, result in the forma-
l Coagulation control
tion of floe particles of uniform size, which greatly
aids settleability. As such, greater priority may be l Filtration rate control
placed on installing baffling in flocculation systems
rather than trying to optimize mixing energies. l Filter aid chemical and chemical feed rate
Adequate time for chemical reaction is typically l Backwash frequency, duration and rate
more important when the water temperature is
less than 5OC, and under these conditions per- l Filter to waste
formance can be improved by reducing plant flow
rate. Proper chemical pretreatment of the water prior to
filtration is the key to acceptable filter perform-
Sludge needs to be removed from conventional ance. Improper coagulation (e.g., incorrect feed
sedimentation basins frequently enough to prevent rate, inappropriate coagulant) fails to produce par-
solids carryover to the filters. The frequency of ticles that can be removed within the filter or to
sludge removal can be determined by using a core produce particles large enough that they can be
sampler to monitor build-up in the basin. The removed by sedimentation. Because of this
duration of sludge removal can be determined by impact, the importance of a good plant specific
collecting samples during draw-off (e.g., every coagulant control technique cannot be overempha-
30 seconds) and determining when the sludge sized.
begins to thin. A centrifuge, graduated cylinder,
or lmhoff cone can be used to observe the density For waters that are properly chemically condi-
changes. tioned, filter flow rate becomes less critical. The
most important aspect of flow rate relative to filter
Sludge control is very important in the operation of performance is the magnitude and rate of change
reactor type upflow sedimentation basins that of flow rate adjustments (4,131. Rapid, high mag-
operate using a sludge blanket. The reactor sec- nitude flow rate can cause a large number of
tion of the basin must be monitored daily, and the particles to be washed through the filter. This can
appropriate amount of sludge must be removed be observed by the associated increases in
from the basin to maintain the optimum reactor turbidity measurements or particle counts. Since
concentration and sludge blanket depth. Inade- the filters are the most effective barriers to cysts,

83
even short term performance deviations can points of low turbulence, such as flocculation
potentially expose consumers to significant basins or sedimentation basin effluent lines,
concentrations of cysts.
During a filter run, backwashing must occur before
Filtration rate changes most often occur during particle breakthrough occurs. Filtered water tur-
backwashing events, raw water pumps cycling on bidity should be monitored continuously, and the
and off, start-up of filters, and periods when filter filter should be backwashed at the first indication
rate controllers malfunction. of an increasing turbidity trend. Particle counters
have recently been used to monitor individual fil-
l When one filter is removed from service for ters at some plants. Results have shown that par-
backwashing, many operators leave plant flow ticle breakthrough is indicated prior to deteriora-
rate the same and direct the entire plant flow tion in filtered water turbidity (14,15). Excessive
to the remaining filter or filters. At plants with filter runs (e.g., greater than 48 hours) can some-
a limited number of filters this places an times make filters difficult to clean during back-
instantaneous, high magnitude flow increase wash due to media compaction and can cause an
on the remaining filters. This is frequently increase in biological growth on the filter. How-
inherent in automatic backwash control sys- ever, filter run times are site-specific and should
tems where the plant was not designed to be determined at each treatment plant. One
adjust flow during backwash. This can be method to assess filter run time is to conduct a
prevented by lowering the plant flow rate prior special study involving microscopic evaluations of
to removing the filter from service, thereby filtered water throughout the filter run (16,17).
controlling the hydraulic loading to the Particle breakthrough, as measured by turbidity or
remaining on-line filters. particle counting, should always remain a primary
control in establishing filter run times.
l Rapid changes in plant influent flow by starting
and stopping constant speed raw water pumps The filter backwash duration and intensity must be
also encourages the loss of particles from fil- sufficient to clean the filter, but not so great that
ters. This may be prevented by using a man- damage occurs with the support gravel and
ual or automatic control valve to slowly adjust underdrain system or media is washed out of the
plant influent flow rate. filter. A filter bed expansion test can be used to
assess the adequacy of backwash rate (see the
l Start-up of dirty filters can also result in the Field Evaluations section discussed in Chapter 4).
washout of entrained particles. Backwashing The backwash duration should be long enough to
of filters prior to returning them to service is adequately clean the media, otherwise filter per-
essential to maintain the integrity of this unit formance will degrade and mudballs could form in
process. the media. The filter should be probed periodically
(e.g., semi-annually) to inspect for support gravel
l Malfunctioning filter rate control valves can problems and to check media depths. Proper
result in rapid changes in filtration rates. The cleaning can be evaluated by inspecting the filter
impact of filter rate control valve malfunction- media for mudballs and overall cleanliness. Filters
ing is difficult to identify without continuous occasionally require the addition of media (i.e.,
on-line monitoring. An ongoing preventive topping due to washout of media during back-
maintenance program can be effective to keep wash).
the valves in good working order and to avoid
this source of poor filter performance. Operating guidelines should be developed to
describe consistent methods of backwashing fil-
The utilization of a low dose of filter aid polymer ters. Guideline content should include measures
can improve filtered water quality from dual or to: 1) prevent rapid flow rate increases to the
mixed media filters. These products are very remaining on-line filter(s), 2) ensure that the filter
effective but, if overdosed, can quickly blind a is properly cleaned, 3) prevent damage to the filter
filter. They, therefore, should be used at optimum by operating at excessive flow rates or opening
doses (i.e., typically less than 0.1 mg/L) to avoid valves too quickly, and 4) return a filter to service.
excessively short filter runs. Once activated, When a filter is returned to service following
these products are subject to shearing because of washing, it should be rested for a period of time to
their long polymer chains and should be fed at allow the media to consolidate before it is
restarted, or it should be slow-started by gradually

84
increasing the filtration rate over a period of basins small size provides limited contact time.
30 minutes (18). Conducting a special study to Reducing the plant flow rate, operating at greater
define backwash procedures that result in the clearwell depth, or baffling the basin can often be
achievement of optimized performance goals used to gain more effective contacting.
should be completed and serve as the foundation
for the backwash guideline. Adding a chlorine application point prior to the
plant rapid mix to provide contact time in raw
At some plants where operational adjustments do water transmission lines and flocculation. and
not allow filters to return to optimized performance sedimentation basins can also be evaluated. How-
goals within 15 minutes following backwash, more ever, this practice, while allowing greater CT val-
aggressive steps may be required. These include ues to be obtained, may cause the formation of
addition of coagulant to the water used to back- excessive disinfection by-products. State regula-
wash the filter or modifications to provide filter to tory personnel should be consulted prior to initiat-
waste capabilities. Some utilities have found that ing this practice.
addition of coagulants to the backwash water
helps in minimizing turbidity spikes by conditioning If operational changes cannot be made to achieve
the filter prior to returning it to service. Filter to the specified CT values, modifications to the plant
waste allows the initial filtered water to be may be required to provide sufficient disinfectant
directed to a drain until the quality achieves the contact time. It is noted that actual levels of disin-
performance criteria, at which time it can be redi- fection required for water treatment plants is pres-
rected to the clearwell. These approaches should ently established by the state where the plant is
only be implemented after other less costly located. Additionally, future regulations may
approaches described above have proven ineffec- impact disinfection practices (20). Modifications
tive during a series of special studies. to a plants disinfection system should include a
thorough review of proposed regulations and
Disinfection. The controls for the disinfection coordination with the state regulators.
process include the following:
l Contact time
5.3 Case Study
l Disinfectant concentration
. A case study of a CTA is difficult to present
Disinfectant application point
because many of the activities are conducted over
a long period of time and include numerous events
To prove adequate disinfection, the plant unit such as on-site training, transfer of technical and
processes, including disinfection, must meet a interpersonal skills, weekly data review, phone
state-specified criteria for log reduction/inactiva- consultations and site visits, and multiple special
tion of Giardia and viruses. Presently, this criteria studies. Since these activities do not lend them-
is defined as achieving a CT value outlined in the selves readily to the case study format, an abbre-
SWTR Guidance Manual (191. The CT value, viated overview of a CTA will be presented.
which is the concentration of disinfectant (mg/L)
multiplied by the effective contact time (minutes)
prior to the first users tap, is affected both by 5.3.7 CPE Findings
plant flow rate and the concentration of the disin-
fectant applied. The maximum concentration of A CPE was conducted at a conventional water
disinfectant that can be added because of effec- treatment plant that included facilities for chemical
tiveness and aesthetic concerns (taste and odor) is addition, rapid mixing, flocculation, sedimentation,
normally 2.5 mg/L as free chlorine residual. filtration, and clearwell storage. Raw water was
Therefore, adjustments to contact time offer the supplied to the plant from a reservoir fed by a
best process control option for optimizing disinfec- river. The facility was constructed in 1994 and
tion. Most plants apply chlorine as a disinfectant had a rated design capacity of 13 MGD. The plant
to the filtered water prior to a clearwell. The is operated 24 hours per day and serves approxi-
clearwell is typically designed as a storage basin mately 23,000 people.
for backwash water or a wet well for finished
water pumps and not as a disinfectant contactor. The performance assessment of the plant revealed
As a result, there are no baffles or other means to that this new facility had not consistently met the
make the basin plug flow, and the clearwell 0.5 NTU turbidity limit required by the 1989

85
 SWTR (21) during its first year of operation. In chemical feed pumps were oversized for current
fact, enforcement action was being considered by flows and sufficient flexibility had not been pro-
the state regulatory personnel due to the frequent vided with respect to adding chemicals at various
violations. Turbidity values at the levels observed locations in the plant.
indicated that the plant was definitely not achiev-
ing optimized performance goals as described in A CTA was initiated at the plant to attempt to
Chapter 2. Along with not meeting the filtered achieve optimized performance goals. The dura-
water optimization goals, the plant had inconsis- tion of the CTA was about 18 months, and high-
tent sedimentation basin performance with peaks lights from the project are summarized below.
as high as 8 NTU. Turbidity spikes of 0.6 NTU
after backwash were also found.
5.3.2 C TA A c tiviries
The major unit process evaluation revealed that all
of the major unit processes had sufficient physical 5.3.2.1 Initial Site Visit
capacity to support achievement of optimized per-
formance goals. The rated design capacity of the During the initial site visit, the CTA facilitator used
facility was 13 MGD, and the peak instantaneous the CPE results and the priority setting model to
flow rate was 7.5 MGD. All of the major unit prioritize activities. At the CTA facility, caution
processes were rated above the 13 MGD capa- had to be taken to consider the potential adverse
bility. impact of any changes on plant performance and
public health since the facility was producing
Three major performance limiting factors were unacceotable finished water quality. A contin-
identified in the CPE. The highest ranking factor gency plan was developed that included plant
was related to the operations staffs capability to shutdown, lowering plant flow rate, and initiating
apply proper process control concepts to improve an order to boil water. Fortunately, the staff had
the performance of their facility. Performance improved process monitoring (e.g., began indi-
monitoring and process control testing were not vidual filter monitoring and initiated sedimentation
consistent, and data was not developed nor used basin monitoring) after the CPE exit meeting.
to make process adjustments. Limited efforts had These steps had resulted in process control
been completed to define optimum chemical feed changes that allowed improved performance and,
strategies. Backwashing practices were inconsis- for the most part, compliance with the SWTR.
tent and not focused on limiting turbidity spikes or After the CPE, the plant staff had also dealt with
shortening recovery time after filters were placed the oversized chemical feed pumps by interchang-
back in service. ing with others within the plant. They also made
provisions for some additional chemical feed
The second factor was related to administration. points.
Specific administrative policies were limiting per-
formance of the plant by failing to create an envi- A key step in the CTA was the identification of the
ronment necessary to support optimization. Start- local CTA champion. The person selected was the
/ up training for the operators in connection with new superintendent for the utility. Although he
the new facilities was deleted as a cost saving was new to the position, it was felt that he was
measure. Optimization goals were not embraced the best choice for utility champion and was the
by administrative personnel, and personnel best person to assist the CTA facilitator in making
changes at the plant had resulted in conflicting the necessary changes to the old ways of doing
directives to the plant staff and confusion over business.
who was in charge.
Jar testing procedures were developed, and rou-
The third factor was related to design with several tine testing was initiated. A sampling and jar test
issues related to process controllability. The loca- set-up modification was implemented to allow jar
tion of the recycle line from the sludge and back- testing to be conducted on the blended raw water
wash storage pond was after the point of chemical and recycle water. Based on the jar test results,
addition to the raw water. This prevented the the need for coagulant dosage adjustments was
plant staff from properly monitoring and control- indicated. The operations staff participated in all
ling the coagulation chemistry of the blended raw of the testing and data development. Despite the
water. Chemical feed facilities were also contrib- results, the staff was reluctant to make changes.
uting to the performance problems since several This stemmed from the fact that jar testing had

86
never been a routine activity at the plant and, tions didnt change. Questions were received
thus, the operators lacked the confidence to take from the administrators concerning the need and
jar tests results and use the information to make costs of achieving water quality goals that
chemical feed changes in the plant. However, a exceeded regulatory requirements. The public
staff consensus of We dont think it will work, health implications were explained by the CTA
but we can try it was achieved. Preliminary facilitator, with only limited acceptance on behalf
results during the site visit were very encouraging. of the administrative personnel. A report which
summarized the progress made and the action list
A formal meeting was set up between the CTA that was developed was prepared by the facilitator
facilitator and the plant staff to discuss additional at the conclusion of the site visit.
high priority items. The topics for discussion were
established by the CTA facilitator. During this
meeting, optimized unit process performance goals 5.3.2.2 Off-Site Activities
were established. The guidelines in Chapter 2
were used to set the performance goals. Limited The on-site CTA champion provided drafts of the
staff acceptance for the goals was accomplished agreed upon guidelines as well as weekly summa-
at this meeting because they were more focused ries of plant data. The CTA facilitator reviewed
on just being able to meet the SWTR require- the guidelines and provided written comments to
ments. In addition, they did not have the confi- the utility. Data review was also completed by the
dence that the optimized treatment goals could be CTA facilitator, and trend charts were developed
met. Sampling, monitoring and data recording to aid in data interpretation.
procedures were also discussed. The negative
impact of the location of the recycle line was also Phone calls were made on a weekly basis to dis-
discussed, and it was decided to pursue modifica- cuss data trends and to follow up on action items.
tion of this line with the utility administration. Feedback from the CTA champion indicated that
even after his best efforts, the plant staff were still
An action list was developed which included balking at the increased sampling and laboratory
assignments to the staff to develop operational activities and that the administration had not pur-
guidelines on jar testing and unit process perform- sued the recycle line modification. A decision was
ance sampling, monitoring, and data recording. made to make a return site visit to address these
Arrangements were made with the on-site CTA issues,
champion to provide plant monitoring and per-
formance data to the CTA facilitator on a weekly
basis. 5.3.2.3 Follow-Up Site Visit

Prior to the conclusion of the site visit, the CTA During the second site visit the nominal group
facilitator and the on-site CTA champion met with process was used to establish priorities for con-
the City Manager and the Director of Public tinued optimization activities (see Priority Setting
Works. The basis for the meeting was to report Tools section previously presented in this chapter).
on the process control changes and the action list The issue of increased work load and lack of rec-
and to initiate discussions on the desired recycle ognition was rated high and received extensive
line modification. The initial response on the need discussion. The CTA facilitator used the trend
for the recycle line was Wasnt that the design charts developed from plant data to show the
consultants responsibility?. The CTA facilitator improvements that had been accomplished in
identified that the optimized performance goals achieving optimized performance goals, Several of
that were being pursued required much closer con- the operators took pride in these accomplishments
trol than would be required to just meet the SWTR and voiced support for the increased process con-
requirements. The utility was encouraged to pur- trol activities. However, one operator remained
sue modifications on their own, and the adminis- adamantly opposed to the changes. At the con-
trators agreed to begin an evaluation of the possi- clusion of the discussion it was decided to con-
ble approaches for completion of -the modification tinue the additional process control effort for at
and associated costs. A discussion was also held least several more months.
concerning the less-than-enthusiastic response by
the staff to the new procedures and performance The concept of special studies was introduced
goals. This information was provided to lay the during the staff meeting, and two special studies
groundwork for administrative support if condi- were developed to evaluate the use of a filter aid
polymer and to assess control of backwash spikes. not quickly accepted by all of the operators. One
Additional guidelines for turbidimeter calibration recalcitrant operator was found to be undermining
and sludge removal from the sedimentation basins the CTA champions efforts to get consistent
were also discussed. An action list was developed process control procedures implemented. A sig-
to conduct the special studies, draft the additional nificant amount of the time during the CTA was
guidelines, and to pursue the modification to the involved in obtaining the administrative support to
recycle line. reassign this person to maintenance.

At the conclusion of the site visit, an administra- After the CPE, the plant staff made changes to the
tive exit meeting was held where the preliminary existing piping so that polymers could be added
graph of improved performance was presented. before and after the rapid mix basin. During the
The results of the plant meeting and discussions CTA, a decision was made that a separate polymer
were presented, and support for the recycle line feed system would also be needed so that a filter
modification was again requested. These discus- aid could be added to the sedimentation basin
sions revealed that the administrators did not effluent. This was deemed necessary to meet the
completely understand the importance of the recy- filter effluent and backwash spike turbidity goals.
cle line modifications with respect to being able to
perform effective process control. Once they Controlling the turbidity spikes after filter back-
understood the need for timely modifications to wash required a significant effort by the plant
the recycle line, these modifications were quickly staff I Many special studies were completed to
made. evaluate a variety of filter backwash procedures,
including gradual ramping of the backwash flow
A report was prepared by the facilitator at the and resting of the filter before returning it to serv-
conclusion of the second site visit which summa- ice. Problems were also found with the sample
rized the progress made and the updated action tap locations when the special study results
list. The site visit was an effective mechanism to showed that the spikes were eliminated on two of
demonstrate improved performance to the utility the filters but remained on the other two.
staff, provide positive feedback on achieving
interim milestones, and reinforce the long term
project goals. This site visit also demonstrated the 5.3.2.5 CTA Results
importance of the facilitator in resolving issues
that the CTA champion finds difficult to resolve on Figure 5-10 graphically depicts the success of the
his/her own. case history CTA. There was a dramatic change
from highly variable finished water prior to the
CPE to stable, high quality finished water after the
5.3.2.4 Other CTA Activities CTA.

Activities conducted by the CTA facilitator off-site Along with the optimized performance from their
and on-site (an additional two site visits) filters, Figure 5-l 1 shows how the plant also
continued, using a similar format for another achieved the settled water turbidity performance
twelve months. During that time, the modification goals. Additionally, after much effort, the plant
to the recycle line was accomplished, and process has essentially eliminated the turbidity spikes after
control skills were transferred to all of the plant backwash, as shown in Figure 5-l 2. A significant
staff. A significant part of transferring process benefit achieved from the CTA was the develop-
control skills was getting all of the operators to ment of staff tenacity to address any deviations
accurately record individual filter effluent from the optimized water quality goals. This
turbidities on the plants process control sheets. tenacity, coupled with the experience and confi-
Procedures had to be developed and implemented dence that the staff gained during the CTA, sup-
where readings above a certain level (0.1 NTU) ports the long term achievement of the optimiza-
had to be verified before being recorded. A total of tion goals. This is demonstrated in Figure 5-13
23 operational guidelines were developed by the which shows the performance of this plant for a
plant staff. year after completion of the CTA without the
assistance of the facilitator.
Acceptance of the optimization goals and the
process control procedures to achieve them were

88
Figure 5-10. Performance improvement during CTA project - filter effluent.

CPE CTA

1.6

1.4

0.6

Pefformana, Goal - 0.1 NTU

0.0 J
Jm-94 FQr-94 51694 0.244 Jan-95 Apr-95 Jld-95 Od-% Jan-96 &Jr-96

Figure 5-11. Performance improvement during CTA project - sedimentation basin effluent.

I
9 I I 1 I

Apr-95 Jun-95 Aug-95 act-95 Dee-95 Feb-96

Date

89
Figure 5-12. Performance improvement during CTA project - filter backwash spikes.

5 10 15 20 25 30
Time After Filter Start-Up

Figure 5-13. Plant performance after CTA.

0.25
I

0.05

o.oo 1
Jan-97 Mar-97 May-97 Jul-97 Sep-97 Nov-97 Jan-98 Mar-98
Date

90
Additionally, the administrators developed pride in 7 . USEPA. 1989. A Water and Wastewater
their utilitys capability to maintain consistent, high M a n a a e r s G u i d e f o r Stavino Financiallv
quality treated water that exceeds regulatory Healthv. USEPA (#430-09-89-0041, Cincinnati,
requirements. Most importantly, the consumers of OH.
the utilitys water have benefited from the high
level of protection against water-borne disease 8. Hudson, H.E., Jr. 1980. Water Clarification
outbreaks. Processes: Practical Desiqn and Evaluation,
Van Nostrand Reinhold Co.
A final CTA report was prepared and was used to
present the benefits of utilizing the CTA process to 9. Singley, H.E. June 1981. Coagulation Con-
plant administrators. trol Using Jar Tests. Coaqulation and Filtra-
tion: Back to Basics, Seminar Proceedinas,
1981 Annual Conference, p.85. AWWA,
5.4 References Denver, CO.

When an NTIS number is cited in a reference, that 10. Hudson, H.E. and J.E. Singley. June 1974.
reference is available from: Jar Testing and Utilization of Jar Test Data.
Uoqradina Existinq Water Treatment Plants,
National Technical Information Service AWWA Seminar Proceedinqs, VI-79. Denver,
5285 Port Royal Road co.
Springfield, VA 22161
(703) 487-4650 11. AWWA. 1992. Ooerational Control of
Coaaulation and Filtration Process. AWWA
Manual M37. AWWA, Denver, CO.
1. Public Notification Regulation Rule. October
1987. U.S. Environmental Protection Agency, 12. Process Applications, Inc. December 1990.
40 CFR, Part 141, Subpart D, Reporting, Pub- Summary Report - Loma, Montana Water
lic Notification and Record Keeping. Treatment Plant Composite Correction Pro-
gram. Unpublished report.
2. Renner, R.C., B.A. Hegg, and J.H. Bender.
March 1990. EPA Summarv Report: Opti- 13. Cleasby, J.L., M.M. Williamson, and E.R.
mizino Water Treatment Plant Performance Baumann. 1963. Effect of Filtration Rate
With the Comoosite Correction Proaram. Changes on Quality, Journal AWWA, 55:869-
EPA 625/8-90/017, USEPA Center for Envi- 878. Denver, CO.
ronmental Research Information, Cincinnati,
OH. 14. West, T., P. Demeduk, G. Williams,
J. Labonte, A. DeGraca, and S. Teefy. June
3. Renner, R.C., B.A. Hegg, and D.L. Fraser. 1997. Using Particle Counting to Effectively
February 1989. Demonstration of the Com- Monitor and Optimize Treatment. Presented
prehensive Performance Evaluation Technique at AWWA Annual Conference, Atlanta, GA.
to Assess Montana Surface Water Treatment
Plants. n Presented at the 4th Annual ASDWA 15. Veal, C., and B. Riebow. May 1994. Particle
Conference, Tucson, AZ. Monitor Measures Filter Performance. m
Opflow, Vol. 20, No. 5. AWWA, Denver, CO.
4. USEPA. February 1991. Handbook: Ooti-
mizinq Water Treatment Plant Performance 16. Hibler, C.P. and CM. Hancock. Inter-
Usinq the Composite Correction Proaram. EPA pretation - Water Filter Particulate Analysis.
625/6-91/027, USEPA Office of Research and CH Diagnostic & Consulting Service, Inc., Fort
Development, Cincinnati, OH. Collins, CO.

5. Water Rates and Related Charqes (M251. 17. Hibler, C.P. Protocol - Sampling Water for
1986. AWWA Reference Manual, No. Detection of Waterborne Particulate& Giardia,
30026, Denver, CO. a n d Cryptosporidium. C H D i a g n o s t i c &
Consulting Service, Inc., Fort Collins, CO.
6. Small Svstem Guide to Rate Settinq. Commu-
nity Resource Group, Inc., Springdale, AK.

91
18. Pizzi, N. 1996. Optimizing Your Plants Filter 21. Surface Water Treatment Rule. June 1989.
Performance. Opflow, Vol.22, No.5. AWWA, From Federal Register, Vol. 54, No. 124, U.S.
Denver, CO. Environmental Protection Agency, 40 CFR,
Parts 141 and 142, Rules and Regulations, Fil-
19. USEPA. October 1989. Guidance Manual for tration/Disinfection.
Compliance With the Filtration and Disinfection
Reauirements for Public Water Svstems Usins
Surface Water Sources. NTIS No. PB-90 148-
016, USEPA, Cincinnati, OH.

20. USEPA. 1997. Microbial/Disinfection By-

Products Federal Advisory Committee Agree-
ment in Principle. Dated June 9, 1997.
Signed July 15, 1997.

92
 Chapter 6
Findings From Field Work

6.1 introduction evaluated operated in a direct or in-line direct fil-

tration mode. Three lime softening plants were
This chapter summarizes findings from the field evaluated. In addition, several types of unique
activities and draws conclusions concerning future filtration processes were evaluated; they included
efforts and potential impacts of utilizing the CCP automatic valveless gravity filters, .traveling bridge
approach in improving performance of surface backwashing filters, and several types of pressure
water treatment plants. filters. The CCP approach was found to be appli-
cable regardless of plant size or type.
The field activities conducted to refine the CCP
approach have focused on three distinct areas:
Table 6-1. Geographical Distribution of CPEs and
l Development/application of the process to CTAs
water treatment plants. CPEs CTAS CPEs

l Demonstration and transfer of principles and

Montana 11 3 Louisiana 3
practices to state, third-party and utility per-
sonnel. Maryland 10 Rhode Island 3

l Incorporation of the process into an area-wide West Virginia 8 1 Wisconsin 3

optimization program (see Chapter 3). Texas 7 1 Kentucky 2

In addition, the CCP approach has evolved from a Massachusetts 4 Ohio 2

focus of achieving compliance with the Surface
Pennsylvania 4 1 California 1
Water Treatment Rule (1) to one of minimizing the
passage of Ctyptosporidium oocysts through the Canada 4 Vermont 1
treatment plant by achieving optimized perform-
ance goals (see Chapter 2). Colorado 3 1 Washington 1

Navajo Tribal 2 1
The basis for the conclusions and results Lands in Utah,
described in this chapter is drawn from 69 CPEs New Mexico
and 8 CTAs conducted in 17 states and Canada.
The geographical distribution of the CPEs and
CTAs is described in Table 6-l. The plants had a
wide range of peak instantaneous operating flow
rates and populations served. Thirty-five percent 6.2 Results of Comprehensive Perform-
of the plants served communities with populations ance Evaluations
less than 3,300, with peak flow rates typically
less than 3.0 MGD, while 10 percent of the plants 6.2.7 Major Unit Process Capability
provided service to populations in excess of
50,000 persons. The majority of the systems A summary of the major unit process capability for
served small to medium-sized communities. Larger the 69 plants is shown in Table 6-2. The unit
plants typically required more time to conduct the processes were assigned a rating of Type 1, 2 or
plant tour and interviews; otherwise, the CPE pro- 3 depending on their projected ability to consis-
cess was only minimally affected by plant size. tently meet optimized performance goals at the
peak instantaneous operating flow rates under
All of the plants evaluated used surface water for ideal conditions. Ideal conditions are those in
their raw water source. The majority of the plants which all ancillary features of a unit process are
utilized conventional treatment consisting of rapid operational (e.g., paddles, drive motors and inter-
mix, flocculation, sedimentation, filtration and basin baffles are functional in a flocculation basin)
disinfection. Several of the plants that were and process control activities have been optimized.

93
 As described in Chapter 4, a Type 1 or 2 rating of the plants evaluated could meet optimized per-
indicates that the unit processes are potentially formance goals without major capital construction.
adequate to consistently meet optimized perform-
ance goals. A unit process rated as Type 3 would Disinfection was evaluated at 60 of the facilities
not be expected to perform adequately. with respect to their ability to meet the CT
requirements of the SWTR. Post-disinfection
alone was only found capable to meet the CT
Table 6-2. Summary of the Major Unit Process requirements in 49 percent of the plants. The
Ratings for 69 Plants primary deficiency was the limited contact time of
the clearwells that were typically designed to pro-
vide backwash water storage or wet wells for high
service pumps. The majority of disinfection con-
tact basins were unbaffled and operated on a fill
and draw basis. This operation is less than ideal
for optimizing contact time.

For facilities where both pre- and post-disinfection

was practiced, 91 percent of the plants were pro-
jected to comply with the SWTR CT requirements.
Although use of both pre- and post-disinfection
may allow some plants to provide adequate disin-
fection capability with existing facilities, its appli-
cation may be limited due to requirements related
to the allowable levels of disinfection by-products
The basis for rating the major unit processes has (DBPs). Proposed requirements of the Disinfec-
been consistent for all 69 CPEs except for the tants and Disinfection By-Products Rule (2) would
disinfection process. The disinfection process ini- establish DBP requirements for all systems. The
tially was evaluated on the ability of a plant to final regulations regarding CT credit for predisin-
provide two hours of theoretical detention time. fection will be established by individual states.
This was done for the initial nine plants evaluated Because the regulations governing disinfection are
in Montana. The disinfection evaluation was later changing, it is likely that capability projected from
modified based on the SWTR CT requirements. the historical CPE disinfection unit process evalua-
The disinfection ratings for the initial nine Montana tions will change.
CPE sites are not included in the summary in
Table 6-2.
6.2.2 Factors Limiting Performance
As shown in Table 6-2, the flocculation, sedimen-
tation and filtration unit processes were typically Factors limiting performance were identified for
judged adequate to justify attempts to optimize each of the 69 CPEs utilizing the list of factors
performance using existing facilities (e.g., major described in Appendix E. An average of eight fac-
unit processes rated either Type 1 or 2). Only 5 tors was identified at each plant. Each factor was
percent of the flocculation and 6 percent of the given a rating of A, 8, or C, depending on its
sedimentation processes were judged to require impact on performance (see Chapter 41. To
major capital improvements. Also, the filtration assess the degree of impact from an overall basis,
processes were almost always rated as being A factors (i.e., major impact on performance) were
Type 1. In some circumstances filters that had assigned 3 points, B factors (i.e., moderate impact
been rated as Type 1 were found to require modi- on performance on a continuous basis or a major
fications such as media replacement because of impact on performance on a periodic basis) were
damaged underdrains or support gravels; however, assigned 2 points, and C factors (i.e., minor
media replacement was not judged to be a major impact on performance) were assigned 1 point.
construction requirement. In some circumstances, The summary of factors that occurred most
reducing the peak instantaneous flow rate and frequently and the degree of impact of the factors
operating the plant longer enabled a Type 3 unit identified during the 69 CPEs are presented in
process to be reclassified as Type 2 or 1. Based Table 6-3.
on these findings, it was projected that 92 percent

94
Table 6-3. Most Frequently Occurring Factors Limiting Performance at 69 CPEs

8 Process Controllability Design 47 22

9 Flocculation Design 45 23

10 Water Treatment Understanding Operations 41 14

11 Plant Staff Administrative 40 18

12 Ultimate Sludge Disposal and/or Design 39 15

Backwash Water Treatment

Three of the top twelve factors were related to limitations in water treatment understanding are
operations: Number I- Application of Concepts, mutually independent in identifying CPE factors,
Number 3 - Process Control Testing, and Number these results can be combined, which indicates
10 - Water Treatment Understanding. The overall that 85 percent of the plants had operational limi-
high ranking of operational-related factors is of tations that adversely impacted performance.
major significance. Consistently achieving opti-
mized performance goals requires optimization of Seven of the top 12 factors were related to design
each unit process in the treatment scheme. Addi- aspects of the facility. While most flocculation,
tionally, achieving optimized performance goals sedimentation, and filtration processes were found
requires timely adjustments in response to chang- to be of adequate size during the major unit proc-
ing raw water quality. ess evaluation, limitations associated with these
unit processes contributed to their identification as
Essentially, inadequate or marginal process control factors limiting performance. Sedimentation proc-
programs existed in over half of the plants where esses were projected to be marginal at 39 plants,
CPEs were conducted. At 62 percent of the typically due to the inability to treat seasonal high
plants, the operators had problems applying their raw water turbidities, improper placement of efflu-
knowledge of water treatment to the control of the ent weirs that disrupted quiescent settling, and
treatment processes. These operators could dis- effluent conditions that resulted in floe shear prior
cuss coagulation chemistry and filter operation but to filtration. Problems such as backwash limita-
had difficulty in demonstrating that they could tions, improperly maintained rate-of-flow control-
apply this knowledge to changing raw water lers, and disrupted support gravels and
quality and subsequently to achieving optimized underdrains contributed to filtration being identi-
performance goals. Water treatment understand- fied as a performance limiting factor. Flocculation
ing was identified at 14 of the 69 plants. A lack problems were typically related to marginal vol-
of understanding means that the operators did not ume, lack of multiple stages, fixed speed mixer
have the basic knowledge of water treatment, drives that made tapered flocculation impossible,
which would make successful implementation of a and inoperative mechanical equipment.
process control testing program impossible. Since
operator limitations in applications of concepts and

95
Disinfection was also identified as a top factor Eighteen of the 69 plants had a plant staff size
limiting performance. As noted, the adoption of considered to be too small to properly operate and
final regulations by the states may affect the monitor the treatment plant. This was considered
future results in identifying the ranking of this fac- to be critical with respect to the projected need for
tor. Although plants may be able to improve con- increased levels of process control and monitoring
tact time by installing baffles, some plants may required to achieve optimized performance goals.
require major capital improvements (e.g., new con- Staffing limitations were felt to be especially criti-
tact basins, alternate disinfectant capabilities) to cal for plants that were being operated for periods
accommodate the need for greater contact time without staff on-site and without alarm and shut-
and/or reduced DBP levels. down capability triggered by performance parame-
ters.
Process flexibility, process controllability and ulti-
mate sludge disposal/backwash water treatment It was interesting to note that insufficient
were the other design factors that were consis- resources were not found to be a significant factor
tently identified. The identification of these fac- limiting performance of the water plants evaluated
tors was usually.attributed to plants that were not despite the fact that lack of resources is a widely
equipped with the capability to add chemicals at publicized reason for noncompliance of small sys-
different points in the plant, were unable to oper- tems. Insufficient funding was identified in only
ate processes in different configurations (e.g., 13 of 69 plants. Furthermore, in only 4 of the 13
series or parallel), were unable to measure or con- plants where insufficient funding was identified, it
trol flows through processes, or lacked appropriate was considered to be a major factor limiting per-
backwash water treatment facilities that limited formance. Numerous utilities had sizable capital
the plants ability to backwash filters based on reserve funds, and those that did not often had
performance degradation. water rates set at unreasonably low levels. It was
projected that resources could be made available
It was projected that implementing minor modifica- to address operations limitations and to implement
tions, reducing peak flows, and improving process minor design modifications at these facilities.
control could provide alternatives at individual Time would be required in follow-up CTAs at these
facilities to avoid major modifications. Ideally, utilities to gain administrative support and under-
CTAs implemented at these facilities could be used standing for reallocation or development of
to implement these alternatives. If the CTA resources, but the option to achieve this support
results were unsuccessful, a construction alterna- was projected to be viable.
tive could be more clearly pursued. It was con-
cluded that, despite the high ranking for design The lack of identification of any significant mainte-
factors, immediate construction of major plant nance-related factors is also important to note.
modifications was not indicated or warranted. Maintenance-related factors were assessed as
having a lessor or minor impact relative to the
Two administrative factors, policies and inade- operations and administrative factors. Only 2 of
quate plant staff, were among the top factors the 69 CPEs had a maintenance factor identified
identified. Plant administrative policies were as having a major impact on performance. At both
observed in 29 CPEs to be detrimental to perform- facilities, total neglect was apparent. At these
ance. Typically, these administrators were not facilities administrative policies that were contrary
aware of the significance of finished water quality. to supporting the integrity of the infrastructure
For example, most were unaware of the impact on were also identified as factors.
public health of even short-term excursions from
high quality treated water. Additional items con-
tributing to the identification of these factors 6.2.3 Summary of CPE Findings
included plant administrators that: 1) were not
aware of plant resources or training requirements, l The flocculation, sedimentation and filtration
2) could not relate the impact of their decisions on processes in 92 percent of the plants were
plant performance and thus public health, 3) had projected to have adequate capacity to handle
policies related to minimizing production cost at plant peak instantaneous operating flows.
the expense of performance, and 4) maintained
plant staffing at levels too low to support process l Construction would be required for 13 percent
control requirements. of the plants if only post-disinfection were

96
 allowed, and baffling of existing clear-wells is . Numerous plant-specific impacts on perform-
not sufficient. Disinfection capabilities are ance were identified during the conduct of the
dependent on the final interpretation and CPEs:
implementation of the disinfection regulations
by individual states. Lack of attention to filter rate control
devices resulted in deteriorated filter per-
l Operations factors limited performance in 60 formance.
percent of the CPEs performed. This finding,
coupled with the fact that 92 percent of the Lack of attention to the impact of flow
existing facilities were assessed to have ade- rate changes on operating filters resulted
quate capacity to meet turbidity removal in deteriorated filter performance.
requirements, indicates that addressing opera-
tions factors could significantly improve water Starting dirty filters resulted in deterio-
treatment plant performance. rated filter performance.

l Although design factors represent half of the Filter performance immediately following
top factors identified, it was projected that backwash was often unsatisfactory and
these deficiencies could be satisfactorily posed a significant health threat during
addressed in many cases by utilizing minor this critical operational period. Improved
modifications, decreasing plant flows, and operational practices, chemical condition-
improving process control/operations. ing of the backwash water, or use of
existing filter-to-waste provisions are
l Administrative factors were identified as hav- alternatives to address this negative
ing a significant impact on plant performance. impact on filter performance.
Training of plant administrators must be an
integral part of implementation of programs to Adequate process control was only prac-
optimize performance. ticed in just over half of the plants where
CPEs were conducted.
l Administrators must assure that adequate pro-
visions have been made to deal with compla- Decreased flows and increased operating
cency and reliability issues. These issues are time offer a significant alternative to con-
prevalent for systems using stable high quality struction of new facilities for many small
source waters where administrators and staff water treatment plants.
may be lulled into a false sense of security by
over-relying on the source water to protect Exit meetings with the administrators
them from performance degradation. Adminis- were identified as one of the major advan-
trators need to encourage operational staff to tages of the CPE over other surveys and
maintain skills relative to proper process con- inspections.
trol for changing source water quality.

l Impacts due to plant size only affected the 6.3 Results of Comprehensive Technical
amount of time that it took to conduct the Assistance Projects
actual CPE. Larger plants required more time
to conduct the interview process due to larger CTAs have been conducted at eight facilities to
operational and administrative staffs, yet the establish that plant performance
approach was still applicable to large systems. improved. Seven facilities achieved improved per-
formance without major capital expenditures.
l On-site performance assessments indicated
that reported finished water turbidities were remaining CTA, and improved performance was
often not representative of true performance. not documented at this facility.
Continuous recording of turbidity from each fil- facilities where successful CTAs were imple-
ter is considered essential to provide operators mented, four were completed when the goal was
with enough information to minimize excur-
sions in treated water turbidities. SWTR. The remaining three facilities were com-
pleted when the performance objective was the

97
optimized performance criteria outlined in National Technical Information Service
Chapter 2. It is noted that performance results of 5285 Port Royal Road
all seven of the facilities where CTAs were Springfield, VA 22161
completed would meet the proposed turbidity (703) 487-4650
performance objectives outlined in the IESWTR.
(3)
1. Surface Water Treatment Rule From Federal
The potential in existing facilities to achieve cur- Register, Vol. 54, No. 124. June 1989. U.S.
rent and proposed regulatory requirements is a
viable alternative for many water treatment utili- Parts 141 and 142, Rules and Regulations, Fil-
ties. More importantly, the CTA component has tration/Disinfection.
demonstrated that optimized performance goals
can be achieved at small to medium-sized facilities 2. USEPA. November 3, 1997. National Primary
without major construction. This capability should Drinking Water Regulations: Disinfectants and
be utilized, especially at high risk facilities, as Disinfection Byproducts; Notice of Data
described in Chapter 3, to obtain maximum benefit Availability; Proposed Rule. Fed. Reg.,
toward public health protection from existing 62:212:59338.
plants.
3. USEPA. November 3, 1997. National Primary
Drinking Water Regulations: Interim Enhanced
6.4 References Surface Water Treatment Rule; Notice of Data
Availability; Proposed Rule. Fed. Reg.,
When an NTIS number is cited in a reference, that 62:212:59486.
reference is available from:

98
 Chapter 7
The Future: Changing Regulations and
Ale w Optimization Challenges

7.1 Introduction Control of microbial pathogens and DBPs were

linked together in these regulatory discussions
This handbook presents procedures for optimizing because of a fundamental concern that operational
filtration plant performance for particle removal. It changes to control DBPs could potentially lead to
is the intent of this chapter to discuss how, even changes in treatment. These changes could
when a water system has used these procedures adversely impact microbial pathogen control,
and attained the desired turbidity performance Regulations for microbials and DBPs, therefore,
goals, the challenges of plant optimization will needed to simultaneously consider the inherent
continue. Water systems face other regulatory tradeoff of public health risks associated with
requirements, both current and future, that they changing treatment practices for reducing levels of
will need to consider as they maintain the opti- DBPs along with the potential risks of lower
mized turbidity performance achieved through use microbial pathogen control. In order to balance
of the CCP procedures. While water systems these risk-risk tradeoffs, separate regulations for
must comply with a wide variety of drinking water microbial pathogens and DBPs are to be promul-
regulations, this chapter will focus on a series of gated with effective dates set such that water sys-
regulations known as the microbial-disinfectants/ tems will have to comply with both regulations at
disinfection by-product regulations (M-DBP) which, the same time.
from a regulatory perspective, represent one of the
biggest challenges facing water suppliers over the The original M-DBP Reg-Neg agreement included
next several years. It is not intended that this the following:
chapter discuss the detailed requirements of these
regulations or serve as the definitive resource on l A Stage 1 fl DBP regulation that would apply
the technical issues around these regulations. to all systems. This regulation would initially
Most of these regulations have not been finalized; apply to systems with a population of
and, when finalized, USEPA will provide detailed > 10,000. Systems with a population of
guidance on the specific requirements and the < 10,000 would have extended compliance
relevant technical information needed to comply. dates.

l A Stage 2 DBP regulation to evaluate the

7.2 Background on M-DBP Regulations need for further reductions in DBPs when more
health effects and occurrence information
becomes available.
The M-DBP regulations were the result of a regula-
tory negotiation process (Reg-Neg) in 1993 (1,2,3)
l An Interim Enhanced SWTR (IESWTR) for
between the USEPA and representatives of the
PWSs > 10,000 to address improvements in
water supply industry over mutual concerns about
microbial control and risk-risk trade-off issues
the possible health impacts of microbial pathogens
related to the Stage 1 N DBP regulation which
and DBPs. The following concerns were identified
would be implemented at the same time.
during discussions to identify ways to minimize
health risks:
l A Long Term ESWTR (LTESWTR) that
would apply to PWSs C 10,000 which would
1. The adequacy of microbial control, especially
be implemented when they are required to
for Cryptosporidium, under the current Surface
comply with the Stage 1 n DBP regulation.
Water Treatment Rule (SWTR).
This regulation could also include enhance-
ments that would also apply to the large sys-
2. The possibility that, if systems were to reduce
levels of disinfection to control DBPs, microbial tems.
control could be compromised.

99
During the Reg-Neg process there was also USEPA also plans to promulgate a Long Term 2
agreement that additional data and research was ESWTR (LT2ESWTRl at the same time that the
needed on occurrence, treatment capabilities, and Stage 2 DBP regulation is promulgated in order
health effects of both microbials and DBPs to pro- to address risk-risk trade-offs.
vide a sound technical basis for these regulations.
These issues were to be resolved by:
7.3 M-DBP Requirements Relative to
l An Information Collection Rule (ICR) to collect Optimized Performance Goals
occurrence and treatment information to
evaluate possible components of an IESWTR, The discussions above indicate that by the year
LTESWTR, and Stage 2 DBP regulations. 2002 USEPA will have promulgated several differ-
ent SWTRs and DBP regulations, and water sys-
l Additional research, including health effects tems will be facing compliance. It is also apparent
studies, to support regulatory development. that these regulations are interrelated such that
water systems will need to consider the impacts of
In July 1994, USEPA proposed a Stage 1 II DBP treatment process changes from the perspective of
regulation (4) and an IESWTR (51 which reflected both regulations. The remainder of this section
the 1992-93 negotiations. The ICR was promul- will discuss some of the major areas where special
gated in May 1996 (6) with data collection start- consideration of optimization with respect to
ing in July 1997 and continuing for 18 months. M-DBP will need to be considered.
Based on this schedule, the ICR data will not be
collected, validated and available for regulation
development until January 2000. 7.3.7 Treatment Technique Turbidity
Requirements
In August 1996 congress passed amendments to
the Safe Drinking Water Act (SDWA) (7) that
Figure 7-l presents a historical perspective of tur-
included the following statutory deadlines for
bidity goals and regulations. The original SDWA
USEPA to promulgate the M-DBP regulations:
passed by congress in 1974 (I 0) required USEPA
. IESWTR and Stage I* DBPs - November for the first time to regulate turbidity. A require-
1998 ment of 1 NTU was established, which was to be
measured at the combined plant effluent based on
l LTESWTR - November 2000
one sample per day. There was also a maximum
. Stage 2 DBPs - May 2002 turbidity level of 5 NTU. In 1989 the original
SWTR (1 I) was promulgated that lowered the
These deadlines were such that it would be combined plant turbidity levels to 0.5 NTU based
impossible to use the ICR data to develop the on samples every four hours, but retained the
IESWTR and LTESWTR as intended by Reg-Neg. maximum of 5 NTU.
In early 1997, USEPA formed the M-DBP Advisory
Committee under the Federal Advisory Committee The 1997 Microbial and Disinfectants/Disinfection
Act (FACA) to help the Agency meet the new Byproducts (M-DBP) Federal Advisory Committee
SDWA deadlines. This resulted in an agreement in meetings, resulted in the collection, development,
principle that formed the basis for the Notice of evaluation, and presentation of substantial data
Data Availability (NODA) for the Stage 1 N DBP (81 and information related to turbidity control. The
and the IESWTR (9) to supplement the 1994 FACA committee recommended that the turbidity
proposal for these regulations. Based on com- performance requirements be changed such that
ments on the 1994 proposals and these NODAs, the combined filter effluent limit be reduced to
the IESWTR will be promulgated in November 0.3 NTU and that the maximum value be reduced
1998. USEPA plans to promulgate the LTESWTR to 1 NTU. In addition, the Committee recom-
in 2000 in order to meet the SDWA mandate with mended that systems conduct individual filter
a compliance date that will correspond to the monitoring and that exceptions reports be pro-
Stage 1 V DBP regulations for PWSs < 10,000. vided to states under specific circumstances,
Even though the LTESWTR applies to PWSs namely:
< 10,000, it could include refinements for larger
systems.

100
I. any individual filter with a turbidity level Figure 7-1 also shows the turbidity goal of
greater than I.0 NTU based on two 0.1 NTU that was discussed in previous chapters
consecutive measurements fifteen minutes of this handbook and how regulated turbidity lev-
apart; and els are approaching this long held turbidity goal.
This is not intended to predict that future regula-
2. any individual filter with a turbidity level tions will be set at the 0.1 NTU level, but to
greater than 0.5 NTU at the end of the first encourage plants to pursue the 0.1 NTU perform-
four hours of filter operation based on two ance goals outlined in this handbook, as a way to
consecutive measurements fifteen minutes assure regulatory compliance on a combined plant
apart. basis.

The Committee also recommended that if an indi-

vidual filter has turbidity levels greater than 7.3.2 RemovaMnactivation Requirements
1.0 NTU based on two consecutive measurements
fifteen minutes apart at any time in each of three The original SWTR required water systems to pro-
consecutive months, the system should be vide a minimum of 3-log removal/inactivation of
required to conduct a self-assessment of the filter, Giardia cysts. State regulatory agencies that
utilizing as guidance relevant portions of guidance received primacy from USEPA were given broad
issued by the Environmental Protection Agency for latitude in how plants would meet this require-
Comprehensive Performance Evaluation (CPE). ment, including the option to increase the
Also, if an individual filter has turbidity levels removal/inactivation requirements for water sys-
greater than 2.0 NTU based on two consecutive tems that may have higher levels of cysts in their
measurements fifteen minutes apart at any time in source water. Rule guidance stated that properly
each of two consecutive months, the system operating filtration plants could be expected to
should be required to arrange for the conduct of a remove between 2.0 to 2.5~log of Giardia cysts,
CPE by the State or a third party approved by the and this removal could be credited against the
State. 3-log requirement. The remaining log removal was
to be achieved with disinfection. Log removal
The IESWTR is scheduled for promulgation in credits for various disinfectants and operating
November 1998, at which time the specific conditions were provided in tables of disinfectant
turbidity requirements and provisions will be concentration (Cl multiplied by the contact time
available. EPA WITI issue detailed guidance at that (TI .
time on the relevant technical information needed
to comply with the rule. Both the L TElES WTR A major impetus for the IESVVTR was that Crypto-
and L TZESWTR are in pre-developmental stages. sporidium was not regulated under the original

Figure 7-1. Historic perspective of turbidity goal and regulations.

1.5
SDWA (1 .O NTU)
J SWTR (0.5 NTU)

s l-
5 IESVVTR (0.3 NTU:

s \/
s
tz 0.5-
Optimized Performance Goal (0.1 NTU)
SWTR. This was of concern since chlorine is not l Removal of natural organic matter (NOM),
an effective disinfectant against Cryptosporidium, which are precursors, in the raw water.
and the impact of other disinfectants (e.g., ozone,
chlorine dioxide) has not been well established. l Altering the point of disinfectant addition.

The 1997 M-DBP Federal Advisory Committee . Reducing the amount of disinfectant used.
recommended adoption of a 2-log Cryptosporidium (NOTE: This may not be feasible because of
removal requirement for all surface water systems microbial backstop requirements.)
that serve more than 10,000 people and are
required to filter. The committee also recom- l Switching to alternate disinfectants,
mended that systems which use rapid granular
filtration (direct filtration or conventional filtration In conventional treatment, NOM is removed by a
treatment - as currently defined in the SWTR) and coagulation/adsorption mechanism accomplished
meet strengthened turbidity requirements would by changing the coagulation process to enhance
be assumed to achieve at least a 2-log removal of the removal of these organics. A potential con-
Cryptosporidium. Systems which use slow sand flict exists from the standpoint of plant process
filtration and diatomaceous earth filtration and
meet existing SWTR turbidity performance meet the optimized turbidity performance goals
requirements (less than 1 NTU for the 95th per- described in this handbook may not be compatible
centile or alternative criteria as approved by the
State) also would be assumed to achieve at least a goals. Some research has shown, however, that
2-log removal of Ctyptosporidium. enhanced coagulation conditions also achieved

The IESWTR is scheduled for promulgation in ies have evaluated the impacts of enhanced
November 7998, at which time the specific coagulation on filterability which may be more of a
removal requirements and provisions will be problem.
available. EPA will issue detailed guidance at that
time on the relevant technical information needed Altering the plants disinfection practices to meet
to comply with the rule. Both the L TE 1ESWTR the DBP MCLs, either through changing the point
and L T2ES WTR are in pre-developmental stages. of disinfectant addition or lowering the disinfectant
dose, can potentially also lead to other types of
conflicts. When disinfectants are added ahead of
7.3.3 DBP Maximum Contaminant Levels
(MCLsl can also provide additional important benefits
(e.g., enhance the coagulation process for tur-
DBPs were first regulated in 1979 (12) when an bidity removal, enhance iron and manganese con-
MCL of 0.10 mg/L was established for the sum of trol, etc.) along with meeting the plants CT
four trihalomethanes (THM), which applied to only requirements. Lowering pre-disinfection doses to
those water systems serving populations reduce DBP formation, therefore, could result in
> 10,000 persons. As discussed above, the pur- turbidity performance problems or higher levels of
pose of the M-DBP regulations is to reduce the iron and manganese in the finished water. The
health risk for these compounds and other DBPs major consideration in changing disinfection prac-
by promulgation of disinfectant and disinfectant tices to control DBPs, however, is to assure that
by-product (D/DBP) regulations to be implemented the change will not result in compliance problems
in two stages. The NODA for Stage 1 of the with state SWTR disinfection and the IESWTR
D/DBP rule has lowered the MCL for THMs and a microbial backstop requirements. The major unit
new MCL has been added for the sum of five addi- process evaluation described in Chapter 4 presents
tional compounds called haloacetic acids (HAA,). disinfection conditions (e.g., chlorine residual, pH)
The NODA also contains maximum residual disin- that are necessary to achieve desired inactivation
fectant levels (MRDLs) permitted in the distribution levels.
system.
If none of the above process control changes are
Fundamental control procedures for THMs and sufficient to control DBPs, then the utility may
HAAs remain essentially the same and include: have to consider alternate disinfection including

102
ozone, chlorine dioxide, or chloramines. Ozone sidered reasonable and practical and would be
and chlorine dioxide will result in major modifica- used in discussions with the primacy agency rela-
tions to the treatment plant and will require the tive to giving the plant an alternate enhanced
design and installation of new treatment processes coagulation requirement.
and equipment. Chloramines, depending on the
plant, may be considered a modification that When a water system meets one of a variety of
would be addressed as part of a CTA. conditions it may be exempted from the enhanced
coagulation part of the regulation. It was recog-
nized that only the humic fraction of the raw water
7.3.4 Enhanced Coagulation Requirements TOC is amenable to removal by enhanced coagula-
tion. Plants, therefore, with high levels of non-
The Stage 1 DBP regulations. proposed in the humic TOC may not be able to meet any of the
NODA for the first time require surface water sys- enhanced coagulation removal requirements and
tems that use conventional treatment or softening could be exempt from this part of the regulations.
to remove a specified minimum percentage of the Plants can assess the amount of humics in their
total organic carbon (TOC) from their raw water raw water by measuring its specific UV absorb-
using a process called enhanced coagulation. TOC ance or SUVA. SUVA is defined as the UV
removal is required because other DBPs besides absorbance divided by the dissolved organic car-
THMs and HAAs are formed when disinfectants bon (DOC). SUVAs of ~3 L/mg-cm represent
react with a NOM, measured as TOC. The occur- largely non-humic materials, and SUVAs in the
rence and health effects of these unidentified 4-5 L/mg-cm range are mainly humic. SUVA val-
DBPs are unknown at this time. The intent of this ues can also be used to request exemption from
part of the proposed regulation is to control the the regulations and to determine PODR.
formation of unknown, as well as known, DBPs by
requiring that a minimum percentage of NOM in Plants may find that achieving desired TOC
the raw water, measured as TOC, is removed by removal will require some significant changes in
the plant. plant process control procedures. Enhanced
coagulation typically requires that additional
The percentage of TOC removal required is based coagulant and/or acid is added to depress the pH
on the TOC and alkalinity levels of the plants raw to a point where the TOC is removed in the
water. These TOC removal requirements are coagulation process. As with control of DBPs,
broken down into nine different percent TOC potential conflicts exist from the standpoint of
removal categories. They are presented in a table plant process control procedures. Chemical feed
for three different alkalinities and raw water TOC rates needed to meet the turbidity performance
levels. goals in this handbook may not be compatible with
those needed for enhanced coagulation.
Plants that cannot meet the specified percent TOC
removals will follow a Step 2 procedure to
determine what levels of TOC removal are rea- 7.3.5 Microbial Backs top
sonable and practical to achieve. The plant uses
this information to request an alternative TOC As discussed above, the Reg-Neg agreement
removal requirement from its primacy regulatory required that the M-DBP regulations would balance
agency. the risk-risk tradeoffs between control of microbial
contaminants and DBPs. Control of DBPs was not
The Step 2 procedures consist of special jar to result in any decrease in microbial protection.
tests to determine the maximum percent TOC Since alteration of disinfection practices is one
removal that they can achieve by incremental way of controlling DBPs, major concern was
increases in coagulant dose. Coagulant dose is expressed during the 1997 FACA process regard-
increased in 10 mg/L increments until a specified ing reduced disinfection capability. An approach
pH level (depending on the raw water alkalinity) is was needed to make sure that water systems did
achieved. Residual TOC levels in each jar are then not change disinfection practices to control DBPs
measured, and an analysis is made of the point of and decrease microbial protection.
diminishing return (PODR). The PODR is defined
as when a 10 mg/L increase in coagulant does not The approach that resulted from these discussions
decrease the residual TOC by more than 0.3 mg/L. was the microbial backstop. As part of the micro-
This percentage TOC removal would then be con- bial backstop requirements, water systems will be

103
required to prepare a disinfection profile when they was not operating their disinfection systems at
approach specified levels of THMs and HAAs. A any common baseline. Day-to-day variations
disinfection profile is a historical characterization above the state disinfection requirement could be
of the systems disinfection practices over a period caused by plants not determining their required CT
of time using new or grandfathered daily moni- based on seasonal changes in water temperature
toring data. A disinfection profile consists of a and pH and/or not having close operational control
compilation of daily Giardia log inactivation values over the actual CT provided by the plant. An
based on SWTR CT tables. These calculations will example would be not changing the applied disin-
be based on daily measurements of operational fectant dose to respond to changes in the required
data (disinfectant residual concentration(s); con- CT, disinfectant demand, and/or operating flow.
tact time(s); temperature(s); and, where neces- Plants could also be adding disinfectant for other
sary, pH(s)). treatment issues such as to control Fe, Mn, algae,
and/or taste and odor. The microbial backstop
The second part of the microbial backstop would require water systems to understand in
requirement is benchmarking, which quantifies the more detail how much disinfectant they are
lower bound of the systems current disinfection applying on a daily basis, and it would force them
practices. It is intended that water systems take to make rational decisions on why they are adding
the results from the profiling and work with the higher levels of disinfectant above that required for
state regulatory agency to evaluate changes in the states disinfection requirements.
disinfection practices which could be used to con-
trol DBPs so that these changes result in no sig-
nificant decreases in microbial protection. Bench- 7.4 Summary
marking is only required if a PWS intends to make
a significant change to its disinfection practices Water systems pursuing optimization for public
such as moving the point of disinfection, changing health protection must remain vigilant concerning
disinfectants, changing the disinfection process, or the ramifications of new and changing regulations.
any changes the state considers significant. Those plants that have met the optimized
performance goals defined in this handbook should
Part of the concern that led to the microbial back- be well positioned to take those regulations in
stop was based on data that showed water plants stride and continue to meet the ever more
with widely varying disinfection levels. Figure 7-2 stringent challenges facing the water industry.
shows a profile where it is apparent that the plant

Figure 7-2. Example of disinfection profile daily variations in log inactivation.

Why the Difference?

*Improper Operational Practices
-Fe and Mn Control
t *Taste and Odor

104
7.5 References 7. US Code. August 6, 1996. Title XIV of the
Public Health Service Act (The Safe Drinking
1. Means, E.G. and SW. Krasner. February Water Act) as Amended by Public Law 104-
1993. D-DBP Regulation: Issues and Ramifi- 182.
cations. Journal A WWA, 85:2:68. Denver,
co. 8. USEPA. November 3, 1997. National Primary
Drinking Water Regulations: Disinfectants and
2. Pontius, F.W. September 1993. Reg-Neg Disinfection By-products; Notice of Data
Process Draws to a Close. Journal AWWA, Availability; Proposed Rule. Fed. Reg.,
85:9:18. Denver, CO. 62:212:59338.

3. Roberson J.A., J.E. Cromwell, S.W. Krasner, 9. USEPA. November 3, 1997. National Primary
M.J. McGuire, D.M. Owen, S. Regli, and R.S. Drinking Water Regulations: Interim Enhanced
Summers. October 1995. The D/DBP Rule: Surface Water Treatment Rule; Notice of Data
Where did the Numbers Come From? Journal Availability; Proposed Rule. Fed. Reg.,
A WWA, 87:10:48. Denver, CO. 62:212:59486.

4. USEPA. July 29, 1994. National Primary 10. USEPA. December 4, 1975. National Interim
Drinking Water Regulations: Enhanced Surface Primary Drinking Water Regulations. EPA-
Water Treatment Requirements; Proposed 570/9-76-003.
Rule. Fed. Reg., 59:145:38832.
11 USEPA. June 29, 1989. Filtration and Disin-
5. USEPA. July 29, 1994. National Primary fection: Turbidity, Giardia lamblia, Viruses,
Drinking Water Regulations: Disinfectants and Legionella, and Heterotrophic Bacteria; Final
Disinfection By-products; Proposed Rule. Fed. Rule. Fed. Reg., 54: 124:27486.
Reg., 59:145:38668.
12. USEPA. November 29, 1979. National Pri-
6. USEPA. May 14, 1996. National Primary mary Drinking Water Regulations: Control of
Drinking Water Regulations: Monitoring Trihalomethanes in Drinking Water; Final Rule.
Requirements for Public Drinking Water Sup- Fed. Reg., 44:231:68624.
plies. Fed. Reg., 61:94:24353.

105
 Chapter 8
0 ther CCP Considerations

8.1 Introduction month period. It is noted that in addition to the

training activities, a quality CPE must be provided
The purposes of this chapter are to present train- to the water utility. Because of this expectation,
ing requirements for persons wanting to conduct the number of participants that can be trained
CCP activities and to identify parameters that can while still completing the CPE must be limited to
be used by CCP providers or recipients of CCP about four to six people.
services to assure quality control of the CCP
approach. In addition, a brief discussion is pre-
sented concerning the applicability of the CCP 8.2.2 CTA Training Approach
approach to other optimization and compliance
activities that a utility may be required to achieve Participation in the CPE training, as described in
now or in the future. the previous section, is considered a prerequisite
to participation in CTA training. Training for per-
sonnel to implement CTAs has followed a format
8.2 Developing CCP Skills similar to the one used for CPE training. CTA pro-
viders can be used to progressively transfer skills
8.2. 7 WE Training Approach to trainees through the conduct of actual CTA
activities. The difficulty with this approach is the
In Chapters 4 and 5 the type of training and expe- fact that the CTA typically occurs over a 6 to 18-
rience necessary to implement CPEs and CTAs month period. Also, routine telephone contact
was discussed. In addition to these basic skill with the facility can only be effectively imple-
requirements, it has been demonstrated that mented by one person. The current training
hands-on training is very effective for developing approach consists of CTA provider and trainee
CCP skills in interested parties. For conducting involvement at site visits, with the provider sup-
CPEs, a training approach has been formalized and plying technical assistance to a designated trainee
demonstrated with several state drinking water who maintains routine contact with the utility per-
program personnel. The training consists of train- sonnel. The CTA provider utilizes telephone calls
ees participating in a one-day seminar that pro- and exchange of materials (e.g., telephone
vides instruction and workshop opportunities for memos, operations guidelines, plant data) to main-
them to become familiar with the CPE terminology tain trainee involvement. Although the approach
and approach. This seminar is followed by three and time commitment limit the number of trainees
actual CPEs where the trainees gain CPE skills involved, effective transfer of CTA skills has been
through progressive training that is facilitated by achieved.
experienced CPE providers. The roles of the CPE
provider and trainee are described in Table 8-1. A key component of CTA training is the emphasis
During the first CPE, the trainees are involved in on providing problem solving and priority setting
the data collection and special study activities but capability to the utility staff. Using this approach,
are largely in an observation role during the kick- the trainees must learn not to lead with their
off meeting, interview, and exit meeting activities. troubleshooting skills but rather to recognize how
Involvement in the remaining two CPEs is gradu- to utilize situations to enhance utility priority set-
ally increased such that by the time the third CPE ting and problem solving skills. This does not
is conducted the trainees are responsible for all of mean that CTA providers do not give technical or
the activities. CPE provider observation and administrative guidance when necessary; they only
involvement take place only when necessary. use these activities when they are absolutely nec-
essary to accomplish the long term transfer of
This approach has proven to be very effective in capability to the utility staff and administration.
transferring CPE skills to trainees. Currently, the
training process is scheduled over a four to six-

107
Table 8-1. Training Approach to Achieve Transfer of CPE Skills

Training Activity CPE Provider Role Trainee Role

CCP Seminar l Present CPE seminar l Participate in seminar
(1 day)
First CPE l Conduct kick-off meeting . Observe kick-off meeting
(3-4 days)
l Facilitate data collection . Participate in data collection

. Conduct special studies l Participate in special studies

l Conduct interviews . Observe interviews

l Facilitate information exchange with team l Review exit meeting materials

l Prepare exit meeting materials . Observe exit meeting

l Conduct exit meeting . Review final report

l Facilitate feedback session with team

l Prepare final report

Second CPE l Conduct kick-off meeting . Participate in kick-off meeting

(3-4 days)
l Facilitate data collection l Participate in data collection

l Conduct special studies . Participate in special studies

l Conduct interviews l Participate in interviews

. Facilitate information exchange with team l Prepare exit meeting materials

l Finalize exit meeting materials l Participate in exit meeting

. Facilitate exit meeting . Prepare final report

. Facilitate feedback session with team

. Review draft report

Third CPE l Observe kick-off meeting l Conduct kick-off meeting

(3-4 days)
l Participate in data collection l Facilitate data collection

l Observe special studies . Conduct special studies

l Participate in interviews l Conduct interviews

l Review exit meeting materials . Facilitate information exchange with team

l Observe exit meeting l Prepare exit meeting materials

. Facilitate feedback session with team l Conduct exit meeting

l Review draft report l Prepare final report

8.3 Quality Control 8.3.1 CPE Quality Control Guidance

It is important for CCP providers and recipients of Table 8-2 presents a checklist for CPE providers
CCPs to be aware of appropriate CCP applications, and recipients to assess the adequacy of a CPE
expectations of the process, and maintenance of relative to the guidance provided in this handbook.
program integrity, Maintaining the integrity of the Some of the key areas are discussed in more detail
CCP approach can best be accomplished by fol- in this section.
lowing the protocols described in this handbook.
However, to assure effective and consistent CCP A challenging area for the CPE provider is to main-
results, quality control considerations have been tain the focus of the evaluation on performance
developed and are presented in this section. (i.e., public health protection). Often, a provider

108
will tend to identify limitations in a multitude of When implementing a CPE, it is important to
areas which may not be related to optimized per- understand that specific recommendations involv-
formance criteria. Typical areas may include poor ing plant modifications or day-to-day operational
plant housekeeping practices, lack of preventive practices should not be made. For example, direc-
maintenance, or lack of an operation and mainte- tion on changing coagulants or chemical dosages
nance manual. Limitations in these areas are is not appropriate during the conduct of a CPE.
easily observed and do not challenge the capability There is a strong bias for providers to give specific
of the operations staff. While they demonstrate a recommendations and for recipients to want spe-
thoroughness by the provider to identify all issues, cific checklists to implement. CPE providers
their identification may cause the utility to focus should focus their observations during the evalua-
resources on these areas and to ignore areas more tion on two key areas: 11 identification of factors
critical to achievement of optimized performance limiting the facility from achieving optimized per-
goals. The evaluator should be aware that a utility formance goals and 2) provision of specific exam-
will have the tendency to take the CPE results and ples to support these factors.
only address those factors that are considered
relatively easy to correct without consideration of Another significant challenge in conducting an
priority or the inter-relatedness of the factors. effective CPE is the tendency for providers to iden-
tify limitations that are non-controversial rather
than real factors that may challenge utility person-
Table 8-2. Quality Control Checklist for nels roles and responsibilities. For example, it is
Completed CPEs often easy to identify a design limitation, since the
utility could not be expected to achieve optimum
. Findings demonstrate emphasis on achievement of performance with inadequate facilities. It is much
optimized performance goals (i.e., performance more difficult to identify lack of administrative
emphasis is evident in the discussion of why priori-
tized factors were identified). support for optimized performance goals or an
operators inability to apply process control con-
. Lack of bias associated with the providers back- cepts as the causes of poor performance. Failing
ground in the factors identified (e.g., all design fac- to appropriately identify these difficult factors is a
tors identified by a provider with a design back- dissenrice to all parties involved. A common result
ground or lack of operations or administrative fac-
tors identified by the utility personnel conducting a of this situation is the utility will address a design
CPEI. limitation without addressing existing administra-
tive or operational issues. Ultimately, these
. Emphasis in the CPE results to maximize the use of administrative and operational issues remain and
existing facility capability. impact the utilitys ability to achieve optimized per-
formance. The challenge to properly identify the
. AlLcomponents of the CPE completed and docu-
mented in a report (i.e., performance assessment,
true factors can best be achieved by the CPE pro-
major unit process evaluation, identification and pri- vider focusing on the greater good (i.e., achiev-
oritization of factors, and assessment of CTA appli- ing sustainable water quality goals). Understand-
cation). ing this concept allows the CPE provider to pres-
ent the true factors, even though they may not be
. Less than 15 factors limiting performance identified
(i.e., excessive factors indicates lack of focus for
well received at the exit meeting.
the utility).

. Specific recommendations are not presented in the 8.3.2 GTA Quality Control Guidance
CPE report, but rather, clear examples that support
the identification of the factors are summarized.
Table 8-3 presents a checklist for CTA providers
. Identified limitations of operations staff or lack of
and recipients to assess the quality of a CTA. A
site specific guidelines instead of a need for a third review of the components of the checklist would
party-prepared operation and maintenance manual. be a good way to ensure that the integrity of the
CTA approach has been maintained. Some of the
. Findings address administrative, design, operation key components are discussed further in this
and maintenance factors (i.e., results demonstrate
providers willingness to identify/present all perti-
section.
nent factors).

109
Table 8-3. Quality Control Checklist for operations staff that have established water
Completed CTAs quality goals and demonstrated a commitment to
achieve them. A successful CTA will result in a
. Plant specific guidelines developed by utility staff. tenacious staff that utilize problem solving and
priority setting skills in their daily routine. Plant
. Demonstrated problem solving skills of utility staff. staff recognition of the role that they play in pro-
.
tecting the public health of their customers can
Demonstrated priority setting skills of utility admini-
stration and staff. create a strong professional image. These attrib-
utes can often be difficult to assess, but they are
. Tenacity of plant staff to pursue process changes obvious to the utility personnel and the CTA pro-
when optimized performance goals are exceeded vider if they have been developed during the CTA.
(i;e., filtered water turbidity begins to increase and
approaches 0.1 NTU).
One of the most difficult challenges for a CTA
. Utility policy established by administrators to
provider and utility personnel is to address the
achieve optimized performance goals. issue of complacency. Complacency can occur for
all parties if stable raw water quality exists or if
. Demonstrated communication between utility man- stable performance occurs due to the efforts of a
agement and staff. few key personnel. It is important that a CTA
provider and the utility personnel look beyond the
. Training plan that supports front line operators to
be capable of achieving performance goals under all
comfort of existing good performance and develop
raw water conditions. For very stable raw water skills to address the scenarios that could upset the
conditions the training plan should include capability current stable situation.
to address what if situations (e.g., avoid compla-
cency).

. Adequate staffing or alarm and shut down capa- 8.4 Total System Optimization
bility to ensure continuous compliance with opti-
mized performance goals. As current and future regulations continue to be
implemented, the challenges facing the water
. Adequate funding to support maintaining optimized
treatment industry will also expand. One of the
performance goals.
challenges will be the integration of optimizing par-
I Clear direction for utility personnel if optimized per- ticle removal with other, sometimes competing,
formance goals are not achieved. optimization goals (e.g., control of disinfection by-
products, corrosion control). The CCP approach
. Trend charts showing unit processes meeting opti- has been successfully applied to wastewater
mized performance objectives over long time peri- treatment, water treatment (i.e., microbial protec-
ods despite changes in raw water quality.
tion), and ozone applications for water treatment
(1,2). Based on this success, it is anticipated that
the CCP approach can be adapted to new drinking
water regulations and associated requirements.
Quality control for a CTA is more easily measured
Future areas for optimization, such as watershed
than for a CPE, since the bottom line is achieve-
management, balancing disinfection by-product
ment of unit process and plant optimized perform-
control with microbial protection, and controlling
ance goals. Consequently, a graphical depiction of
water quality in distribution systems, are believed
performance results can be used to demonstrate
to be suitable for development utilizing the CCP
the CTA endpoint. In some cases the desired per-
approach. This overall approach is called total
formance graph cannot be achieved because of system optimization, and the concept is intended
physical limitations (e.g., a Type 2 unit process to be developed through additional pubrrcations
was not able to perform as desired); however, the that will enhance this handbook. Table 8-4 pre-
utility officials can then proceed with confidence in
sents a summary of total system optimization con-
addressing the limiting factor. siderations for drinking water utilities.
Some attributes of a successful CTA are subtle The USEPA is funding the development of a Cen-
and difficult to measure. However, they ensure ter for Drinking Water Optimization that will focus
that the integrity of the process is maintained after research on the impacts of new regulations on
the CTA provider is gone. Long term performance water treatment plant process control. Results of
can only be achieved by an administrative and this research, coupled with field applications and

110
Table 8-4. Total System Optimization Considerations for Drinking Water Utilities

Optimization Performance Optimization Activities Possible Treatment Conflicts

Area Focus
Natershedl Microbial . Monitor for sources of microbial
source Water Protection contamination
rotection . Develop watershed protection
program
. Remove/address known sources
of contamination: develop
pollution prevention partnerships
. Develop emergency response
plans
Xsinfeotion By- THMs . Reduce current level of . Reduction in prechlorination
Jroducts HAAs prechlorination reduces preoxidation effects and
Bromate . reduces particle removal
Relocate prechlorination to post
sedimentation . Increased TOC removal increases
. sludge production/impacts
Increase TOC removal
facilities
. Change disinfectant type; change
Lowering disinfectant residual
from chlorine to chloramines for l
causes regrowth
maintaining residual
. Lowering oxidant level increases
T&O
. Lowering disinfectant residual
reduces disinfection capability
.ead Lead and . Corrosion control; feed corrosion l Increased pH levels could reduce
Zapper Copper inhibitor, adjust pH to achieve available CT for disinfection
stable water
?yptos,ooridium Microbial . Achieve optimization criteria
Zontrol Protection defined in Chapter 2
. Stop recycle practices
Vant Recycle Microbial . Stop recycle to plant; discharge l Discharge of water treatment
Protection wastewater to sewer or obtain residuals to sewer impacts
permit to discharge to receiving wastewater treatment capacity
water
. Provide treatment of recycle for
particle removal
Distribution Microbial Develop monitoring program: Optimizing storage tank turnover
System Protection include routine, construction, and impacts disinfection capability
emergency coverage
. Maintain minimum disinfectant in
system; consider booster
stations, changing from chlorine
to chloramines; eliminate dead-
end zones
. Develop unidirectional flushing
program
. Cover treated water storage
reservoirs
. Develop storage tank inspection
program, provide vent screens,
routine cleaning procedure
. Maintain turnover rate in storage
tanks based on monitoring results

111
Table 84. Total System Optimization Considerations for Drinking Water Utilities (Continued)

Groundwater Microbial . Eliminate contaminants from

Treatment Protection entering wells (i.e.. well head
protection program)
. Monitor for microbial
contamination
. Provide disinfection (e.g.,
establish policy to achieve virus
inactivation, CT)

evaluations, will be used to integrate total system tric Power Research Institute Community Envi-
optimization components with the CCP approach. ronmental Center, St. Louis, MO.

2. Hegg, B.A., L.D. DeMers, and J.B. Barber.

8.5 References 1989. Handbook: Retrofittina POTWs.
EPA/625/6-89/020, USEPA C e n t e r f o r Envi-
I. DeMers, L.D., K.L. Rakness, and B.D. Blank. ronmental Research Information, Cincinnati,
1996. Ozone Svstem Enerav Ootimization OH.
Handbook. AWWARF, Denver, CO and Elec-

112
Appendices

113
 Appendix A
Data Collection Spreadsheets and Macros for
the Partnership for Safe Water

Section 1 Background on the Data Collection Spreadsheets and Macros

Section 2 Selecting the Spreadsheet and Macros for Your Applications

Section 3 Loading the Spreadsheet and Macros

Section 4 Running the Macro Self-Test

Section 5 Entering Performance Data

Section 6 Activating the Macros

Section 7 Printing Spreadsheet Output

Section 8 Important Rules to Remember When Using the Spreadsheets and Macros

Figure A-l Example performance assessment data collection spreadsheet output

Table A-l File Designations for Various Software Spreadsheets - Single Sample Per Day Format

Table A-2 File Designations for Various Software Spreadsheets - Multiple Sample Per Day Format

Developed by Eric M. Bissonette, Technical Support Center, USEPA.

115
Section 1 - Background on the Data worth of data per spreadsheet. If memory con-
Collection Spreadsheets and Macros straints persist, memory management techniques
specified for individual software versions should
Spreadsheets have been prepared to assist utility be utilized.

formance data (raw, settled, and filtered turbidity) Execution of the spreadsheet macros to analyze
data, generate trend graphs, and calculate monthly
of the Self-Assessment. percentile distributions is straightforward. The
spreadsheets will also form the basis of reports to following instructions for loading selected spread-
sheets, entering data, activating macros, and
the Partnership activities. printing output were, however, generated assum-
ing that users have some familiarity with spread-
The spreadsheets have been developed to capture sheet software packages. Specific instructions for
turbidity data from raw water, sedimentation basin entering data are discussed in Section 5. Macro
effluent and filter effluent, but can be used to execution for LOTUS 123 Release 2.4 spread-
manage repetitive data of any kind (e.g., particle sheets is approximately 15 minutes on a 486
counts in certain size ranges, turbidity data from 25 MHz computer for twelve months of data. The
an individual filter, chemical dosages and flows) WINDOWS spreadsheet macros take four minutes
from any point in the process for up to 365 days to complete once activated.
worth of data. Macros have been written to gen-
erate frequency distributions, on a monthly and The spreadsheets are designed such that upon
annual basis, to help evaluate trends and summa- macro execution the user may simply print the
rize the large amounts of data. Graphics capabili- previously defined range containing the percentile
ties of the spreadsheets ,are also built in to auto- tables and graphs and submit this as the baseline
matically plot trend charts and frequency distribu- report (please see the attached example Perform-
tions. There are also capabilities for generating ance Assessment Data Collection Spreadsheet
summaries of the data to report as background Output). Users requiring assistance in data entry
information or on an annual basis. Other data and macro execution should contact Eric
summaries within the capabilities of each spread- Bissonette of USEPA/OGWDW Technical Support
sheet software version could be generated as well. Division at (5 13) 569-7933 or e-mail requests for
The spreadsheets accommodate up to six values assistance to [email protected].
per day or one value per day.
Users are encouraged to continue to use the
Interpretation of data from the performance spreadsheets to collect and analyze data after the
assessment is addressed in Chapter 4 of this baseline collection effort has been completed.
handbook. In general, turbidity fluctuations in raw Simply copy the provided spreadsheet with a new
filename and continue data entry as defined for
water being propagated through the sedimentation
basin and filter effluents could indicate inadequate each spreadsheet type. Continued long term use
process control or physical limitations in one or all of the data management spreadsheets will assist
of the major unit treatment processes. The trend users in the conduct of Phase III - the self-assess-
charts and frequency distributions can indicate ment/self-correction phase and Phase IV - the third
variability of turbidity and trends in performance. party assessment/correction phase of the Partner-
ship for Safe Water, as well as provide fundamen-
Individual filter turbidity or particle data can be
tal input to a plant process control testing pro-
examined to determine if individual filters are not
gram.
performing up to expectations,
PLEASE NOTE: Never work from the diskette con-
Each spreadsheet has memory requirements of
taining the master copy of the data co//e&ion
1 MB of RAM, of which 250 KB at minimum has
spreadsheets. Folio w instructions for copying the
been allocated as expanded or enhanced memory.
appropriate spreadsheet and files described in Sec-
Systems with computers incapable of allocating
tion 3 and work from that copy.
memory above 640 KB should restrict data entry
to one turbidity value per day for six months

116
Section 2 - Selecting the Spreadsheet and Section 3 - Loading the Spreadsheet and
Macros for Your Applications Macros

Spreadsheets with macros have been developed to The Spreadsheet files with macros have been
execute in LOTUS 123 Release 2.4 for DOS and stored in a compressed mode on the diskette and
5.0 for WINDOWS, EXCEL Release 4.0 and 5.0 for must be exploded to create the working files
WINDOWS, and QUATTRO PRO Release 5.0 for listed in Section 2. Files may be exploded as
WINDOWS software systems. The spreadsheets follows:
will accommodate data entry of a single value per
day or up to six values per day. Files preceded by l Start from the drive prompt of the desired
the letter d represent spreadsheets capable of directory (e.g., C:\l23\PA_data\I.
accommodating one sample per day. Files pre-
ceded by the number 4 represent spreadsheets l Copy the appropriate compressed file for
capable of accommodating six samples per day (a your spreadsheet software application as
sample every four hours). Select the files corre- specified in Section 2 from the Spreadsheet
sponding to your application and data entry needs Master Diskette to a directory resident on your
from the following table and proceed to Section 3. hard drive.

Table A-l. File Designations for Various Software Spreadsheets - Single Sample Per Day Fdrmat
for DOS for WINDOWS
Single Component
LOTUS 123 2.4 LOTUS 123 5.0 EXCEL 4.0 or 5.0 QUATTRO PRO 5.0
Spreadsheets
Compressed Files D-L24.EXE D-L5W.EXE D-XCL.EXE D-QP.EXE

Working Files D-1 23R24.WKl D-1 23R5W.WK4 D-EXCEM.XLS D-QUTPRO.WBl

External Format D-1 23R24.FMT None None None

Files

External Macros None None MACRO 1 .XLM None

Table A-2. File Designations for Various Software Spreadsheets - Multiple Sample Per Day Format

for DOS for WINDOWS

Multiple
LOTUS 123 2.4 LOTUS 123 5.0 EXCEL 4.0 or 5.0 QUAmRO PRO 5.0
Component
Spreadsheets
Compressed Files 4-L24.EXE 4-L5W.EXE 4-XCL.EXE 4~QP.EXE

Working Files 4-l 23R24.WKl 4-l 23R5W.WK4 4-EXCEL4.XLS 4-QUTPRO.WBl

External Format 4-l 23R24.FMT None None None

Files

External Macros None None MACR04.XLM None

117
. For non-WINDOWS applications, simply type . For a single component (one sample per day1
the compressed filename with the .EXE exten- self-test: Copy range Bl ..B365 from the file
sion and press return (e.g., type D-L5W.EXE DATA1 .WKl n to cell B49..B413. Go to the
at the C:\l23\PA_data> prompt and press Single Component portion of Section 5 and
return). proceed.

. For WINDOWS applications, select Run from l For a multiple component (up to six samples
the Eile submenu and type the compressed per day) self-test: Copy range Dl ..I365 from
filename with the .EXE extension and click on the file DATA1 .WKl 0 to Cell D49..1413. Go
OKAY. to the Multiple Component portion of
Section 5 and proceed.
When control of the keyboard is returned to the
user: l Activate the macro using steps specified in
Section 6.
Copy the required External format and macro
files and DATAl.WKl s from the Master
l Print output using steps specified in Section 7.
Diskette to the directory containing the newly
created working file.
The printed output should resemble the attached
Return to the menu or WINDOWS screen. Example Performance Assessment Data Collection
Spreadsheet Output. Please note: Outputs gener-
Select the icon or menu option to enter the ated will vary slightly due to differences in the
spreadsheet package (e.g., click on the spreadsheet software package being used. Should
LOTUS 123 Release 5.0 icon). (NOTE: the macro prove inoperable, reinstall the files from
WYSIWYG needs to be invoked for the the Master Diskette and repeat the process and/or
LOTUS 123 Release 2.4 spreadsheets.) refer to Section 8 prior to requesting assistance.

Open the newly created working file as

specified in Section 2 and save the file under a Section 5 - Entering Performance Data
new file name. Please note: The EXCEL
spreadsheets require that the macro files Prior to enteringdata, users should set the work-
M A C R O 1 .XLM o r MACR04.XLM a r e sheet recalculation mode to manual to decrease
opened in addition to the spreadsheet file. data entry and macro execution time. To begin
Once the macro file has been opened, utilize the data entry process:
the HIDE feature under the WINDOW com-
mand to redisplay the data entry worksheet. Open or Retrieve the working and external files
specified in Section 3.
Proceed to Section 4 to run the macro self-test
or Section 5 to begin entering performance Enter the appropriate Utility/Plant specific
data. information in cells F39.. F44.

Enter the last two digits of the start year in

cell 840 (e.g., 94 for 19941.
Section 4 - Running the Macro Self-Test
Enter the start month in cell 841 (e.g., 7 for
Should users have concerns about the compati-
July!.
bility of the spreadsheets and macros and their
spreadsheet software package, they should con-
Data entry should always begin on the first of
duct a self-test of the macro. The self-test output
each month and include the entire month.
will resemble the attached Example Performance
Assessment Data Collection Spreadsheet Output.
All graphical and percentile table computations
Run the self-test as follows:
key on the entered dates. Therefore, no dates
l Open the working file created in Section 3 should be left blank.
(refer to Section 2 table file name) and
save/rename the file.

118
For Single Component Spreadsheets (for use when Section 6 - Activating the Macros
entering one value per day):
l The formula residing in cell A50 will automati- To activate the macros when using:
cally increase the date entered in A49 by one l LOTUS 123 Release 2.4 for DOS, press the
day. Copy cell A50 to A51, A52, A53 and so ALT and F3 keys simultaneously. Highlight A
on to the end of the year or the data entry and press C Enter> or <Return>. Note: the
period. LOTUS 123 Release 2.4 spreadsheets generate
graphs during execution, and users must press
l After the column of dates has been generated c Return> or <Enter> when graphics appear
in Column A, begin entering data (turbidity or on the screen to proceed through execution.
particle counts, etc.) one value at a time in cell These graphs summarize previous entries and
B49, B50, B51, etc. until all data has been may be confusing during the first entry
entered. Note: The data entry section of the process.
spreadsheet is highlighted in yellow. Skip cells
when no data exists for those days. . LOTUS 123 Release 5.0 for WINDOWS or
QUATTRO PRO Release 5.0 for WINDOWS,
l Do NOT enter data in Column A. position and click the mouse button on any
button contained within the spreadsheet
For Multiple Component Spreadsheets (for use labeled Run Macro.
when entering six values per day - e.g., 4-hour
data): l EXCEL Release 4.0 or 5.0 for WINDOWS,
The formula residing in cell A50 will automati- press the CTRL and A keys simultaneously.
cally increase the date entered into A49 by
one day. Copy cell A50 to A51, A52, A53
and so on to the end of the year or the data Section 7 - Printing Spreadsheet Output
entry period.
To print the percentile tables and graphs generated
The formula residing in cell B49 calculates the during macro execution using:
maximum value of the six daily entries. Copy l LOTUS 123 Release 2.4, invoke the
cell B49 to B50, B51, B52 and so on to the WYSIWYG add-in and print the previously
end of the year or until the end of the data defined range by pressing <Shift:> then
entry period. Note: Until data is entered in selecting <Print > and <Go> after the sys-
Columns D through I, the value in Column B tem has been configured to the users printer.
will show an ERR message. Ignore this If the WYSIWYG add-in is unavailable, users
message. shouldgenerate and print the graph PIC files
Filtyear.PIC and Filtprob.PIC using the LOTUS
After the column of dates and formulas for Printgraph procedures.
daily maximums has been generated in
Columns A and B, begin entering the 40 hour l LOTUS 123 Release 5.0 or QUATTRO PRO
data (turbidity or particle counts, etc.) one Release 5.0 or EXCEL Release 4.0 or 5.0, fol-
value at a time in cells D49 and E49 and F49 low printing techniques specified for
and G498 and H49 and 149, etc. until all data WINDOWS applications by clicking on a printer
has been entered. Note: The data entry sec- icon (which will print the previously defined
tion is highlighted in yellow. Skip cells when range) or select PRINT from the Eile submenu
no data exists for those days. (and select previously defined range) when
the system requests a printing option. Users
Do NOT enter data in Column A or B. may have to adjust margins to accommodate
individual applications in order to print output
After all data has been entered the worksheet to a single sheet of paper.
should be saved with a new file name. This
will protect the data in the unlikely event of
error during execution of the macro.

119
Section 8 Important Rules to Remember percentiles in the table and on the probability
graph when data entry exceeds one year.
When Using the Spreadsheets and
Macros Do NOT expect the percentile tables and trend
and percentile graphs to update with correct
l Please remember that the spreadsheets and values until the macros for the spreadsheets
macros were developed and tested to operate have been executed. Prior to macro execu-
tion, the spreadsheet percentile tables and
sions specified in Section 2. The spreadsheets graphs contain data generated from the test
data.
other release versions. Users have had suc-
When using the EXCEL spreadsheets do NOT
for DOS spreadsheet in a Release 2.3 operat- open both external macro files simultaneously.
Use only the designated macro for the appro-
to execute the WINDOWS QUATTRO PRO 5.0 priate spreadsheet.

ALT and F2 in lieu of depressing the RUN Individual spreadsheets need to be created for
handling raw, settled, and filtered/finished
WINDOWS applications. Please remember that data. Memory constraints preclude accommo-
dating all sampling points within a single
tested by the Partnership for Safe Water soft- spreadsheet.
ware development group.
Table and graph titles, when working in
l The only DOS version of the spreadsheets is WINDOWS applications, may be edited by
LOTUS 123 Release 2.4. All other spread- simply positioning the mouse pointer on the
sheets are WINDOWS applications. appropriate cells and double clicking the cell.
This enters the edit mode.
l Make certain that the correct spreadsheet and
macros are used for analyzing the appropriate When using the DOS spreadsheet, the titles
data based on the number of daily samples may be edited by depressing the F2 key in the
(e.g., 1 sample per day versus 6 samples per appropriate cell and typing in the changes.
day). Users must enter the graph mode to modify
the chart/graph titles.
. Do NOT enter more than 12 months of data on
any spreadsheet. Users should create a sepa-
rate spreadsheet for each 12 months worth of
data. The spreadsheet will inaccurately depict

120
Figure A-l. Example performance assessment data collection spreadsheet output.

Daily Filtered Water Turbidity

PWOWh? YWIY JUll-94 Jul-94 Aug-94 Apr-05

50 0.03 0.02 0.02 0.02 0.06

75 0.04 0.02 0.03 0.02 0.12

SO 0.07 0.03 0.04 0.02 0.19

95 0.11 0.05 0.06 0.03 0.20

96 0.14 0.05 0.06 0.03 0.20

97 0.16 0.07 0.09 0.03 0.22

98 0.19 NA IA NA IA
09 0.20 NA IA NA IA

AVI 0.04 0.02 0.02 0.02 0.09

PAI 0.01 0.01 0.01 0.01 0.02

Ma: 0.54 0.07 0.09 0.03 0.22

RSI 121.9% 57.w 07.4% 27.99 72.7%

Filtered Water Turbidity Probability Dietribution of All Data

0.6

10 20 30 40 50 60 70 60 90 100
Percent of time turbidity values < = X

my rrlrnc

Plant Name
start Year 94 365 = Total Days Plant Street Address
Month 6 12.00 = Total Months Plant any. state. zip

Day 1 Plant Contact Name

 Appendix B
Drinking Water Treatment P/ant (D WTF) Advisor Software

Development of the DWTP Advisor A hard disk with at least 5.0 megabytes of
free space
The DWTP Advisor is a computer software appli-
cation designed as an expert system to provide At least 640 Kbytes of RAM (560,000 bytes
assistance in the evaluation of drinking water user-available)
treatment plants. The program was based on the
source document Interim Handbook: Ootimizinq A high density floppy disk drive (5.25 1.2 MB
Water Treatment Plant Performance Usina the or 3.5 1.4 MB)
Comoosite Correction Program Aoproach (1). The
Interim Handbook is the predecessor document to DOS version 3.0 or higher
this handbook, of which this appendix is a part.
The software was developed to assist personnel A printer (EPSON compatible) configured as
responsible for improving the performance of system device PRN (optional)
existing water treatment plants in order to achieve
compliance with the 1989 SWTR. If you installed the DWTP Advisor, but are unable
to run the program, you may need to check your
The system consists of two major components: computers memory configuration. Although your
Major Unit Process Evaluation and Performance computer may have the minimum memory
Limiting Factors. These two component parts were required, memory resident programs may use
designed to work together. The evaluator, there- some of this memory. User-available memory is
fore, cannot choose to use only one of the pro- the amount of memory remaining after the oper-
grams components. In addition, the evaluator ating system and memory resident programs are
cannot modify the loading values, some of which loaded. If memory resident programs are installed
are currently outdated. The software leads the and adequate memory is not available for the
evaluator through a series of questions and pro- DWTP Advisor, an error message will appear on
vides responses based on the experience and the screen when you attempt to run the program.
judgment of a group of experts that were used to If this occurs, memory resident programs should
delineate the logic for the program. The complex- be disabled (e.g., by editing your computers con-
ity of the multiple interrelated factors limiting per- figuration files, config.sys and autoexec.batI and
formance and the uniqueness of individual plants your computer rebooted before running the sys-
makes production of an expert system with broad tem. To check the status of your computers disk
scale application difficult. This coupled with the and available memory, run the MS-DOS CHKDSK
fact that the program has not been updated for program by typing CHKDSK and pressing
several years, should make persons considering <Enter>. For more information, see the MS-DOS
use of the software aware of these inherent manual that came with your computer or consult
limitations. your PC support staff.

Even though an expert system like the DWTP

Advisor would theoretically have many uses, its Software Specifications
current level of development limits its usefulness
The DWTP Advisor has been developed using sev-
in conducting CPEs. Persons familiar with the fun-
eral commercially available software tools. The
damental CCP concepts and who understand the
system interface was developed using Turbo
limitations of the software, however, may find it a
Pascal 6. The reasoning or evaluating portion of
useful tool.
the system uses the expert system shell 1ST
Class. The system also consists of data files in
Technical Information dBase.dbf format.

Hardware Requirements
The DWTP Advisor requires an IBM AT or com-
patible computer with the following components:

123
Contents of the System
The DWTP Advisor package includes one double-
sided, high density disk and complete User Docu-
mentation.

A copy of the Water Advisor Software may be

obtained by contacting:

ORD Publications (G-721

26 West Martin Luther King Drive
U. S. Environmental Protection Agency
Cincinnati, Ohio 45268-l 072
Telephone: 513-569-7562
Fax: 5 13-569-7566

Ask for: Drinking Water Treatment Plant

Advisor Software: 625/R-96/02

124
 Appendix C
Major Unit Process Capability Evaluation
Performance Po tentiaf Graph Spreadsheet Tool
for the Partnership for Safe Water

Section 1 Background on the Major Unit Process Capability Evaluation

Section 2 The Performance Potential Graph Spreadsheet Tool

Section 3 Selecting the Appropriate Spreadsheet for Your Application

Section 4 Loading the Spreadsheet

Section 5 Entering Plant Information/Data

Section 6 Printing Spreadsheet Output

Section 7 Important Rules to Remember When Using the Performance Potential Graph
Spreadsheet Tool

Figure C-l Example performance potential graph output for LOTUS 123 files.

Figure C-2 Example performance potential graph output for EXCEL and QUATTRO
PRO files.

Figure C-3 Example performance potential graph data entry section for all files.

Figure C-4 Performance potential graph data entry guide.

Table C-l Various Software Spreadsheets - The Designations for Performance Potential Graph

Table C-2 Major Unit Process Evaluation Criteria

125
Section 1 - Background on the Major Unit the peak instantaneous operating flow for the
Process Capability Evaluation treatment plant. Any unit process rated capacities
which do not exceed the plants peak instantane-
ous operating flow are suspect in their ability to
Water treatment plants are designed to take a raw consistently meet desired performance goals that
water source of variable quality and produce a will maximize protection against the passage of
consistent, high quality finished water using mul- microbial contaminants through the treatment
tiple treatment processes in series to remove tur- plant. Specific interpretation of the results of the
bidity and prevent microbial contaminants from performance potential graph are discussed in Sec-
entering the finished water. Each treatment proc- tion 3 of the Partnership for Safe Water self-
ess represents a barrier to prevent the passage of assessment procedures. It is important that the
microbial contaminants and particulates in the
plant. By providing multiple barriers, any microor-
ganisms passing one unit process can possibly be
removed in the next, minimizing the likelihood of Figure C-l. Example performance potential graph
microorganisms passing through the entire treat- spreadsheet output for LOTUS 123 releases.
ment system and surviving in water supplied to
the public. Major Unit Prowss Evduation
Performance Potential Graph
Flow (MGD)
The performance potential graph (see Figures C-l
and C-2) is used to characterize capabilities of 2.5 5 7.5 10 12.5 15 17.5 20

individual treatment processes to continuously unn Processes: : Pe;k Row

Flocculation 9.60 :)f% MGD
function as a barrier for removing particulates and I
I
harmful pathogens. Each of the major unit proc- Sedimentation 14.04 Ii
esses is assessed with respect to its capability to I
I
consistently contribute to an overall plant treated Filtration 18.82 I
I
water quality of less than 0.1 NTU turbidity during I
I
peak flows. Specific considerations are given only Disinfection 0

to process basin size and capability under optimum Pre & Post 16.82
I
I
conditions. Limitations in process capability due I
I
Post Only 8.98 I
to minor deficiencies or incorrect operation (e.g., 1
:
degraded baffles which allow short-circuiting or I

improper process control) do not contribute to

development of the performance potential graph.
These operational or minor modification limitations
are addressed during the evaluation of the other
aspects of the treatment plant conducted as part Figure C-2. Example performance potential graph
of the Partnership for Safe Water self-assessment spreadsheet output for EXCEL and QUATTRO PRO
procedures. releases.

Specific performance goals for the flocculation,

sedimentation, filtration, and disinfection unit
processes are used when developing the perform-
ance potential graph. These include settled water
turbidities of less than 2 NTU and filtered effluent
turbidities of less than 0.1 NTU. Capabilities of
the disinfection process are assessed based on the
CT values outlined in a USEPA guidance manual
for meeting filtration and disinfection require-
ments. Rated capacities are determined for each
of the unit processes based on industry standard
loading rates and detention times with demon-
strated capability to achieve specific unit process
performance goals. These evaluation criteria are
defined in Table C-2 of this appendix. The result-
ing unit process rated capacities are compared to

126
evaluator recognize that the guidance provided by Table C-l. File Designations for Various Software
this computer software should not exceed the Spreadsheets - Performance Potential Graph
evaluators judgement in projecting unit process
for DOS f-x wffmows
capability. Options to change loading rate projec-
tions to values different from those provided are Performance
Potential
LOTUS
123 2.4
LOTUS 123
5.0
EXCEL 4.0 or
5.0
GUATTRO
PRO 5.0
available and should be considered if data or the Qraphr

evaluators experience justifies the modification. Worklng Files PPG.WKl PPG.WK4 PPGXLC-XLS PPGQP.WEl

EXtNld PPG.FMT NOW NOM NOM

Format Files

Section 2 - The Performance Potential

Graph Spreadsheet Tool
Section 4 - Loading the Spreadsheet
Spreadsheets have been generated to assist Utility
Partners in creating the performance potential l Copy the required working file and external
graph required for Section 3 for use in the Part- format file from the Master Diskette to a direc-
nersbip for Safe Water self-assessment proce- tory resident on the hard drive of your com-
dures. Generating the performance potential graph puter. Do NOT work from the files contained
requires opening the appropriate spreadsheet file on the Master Diskette.
and entering specific physical plant information in
the defined cells (see Figure C-4). A performance l Enter your spreadsheet software by selecting
potential graph will be generated automatically. the appropriate icon or menu option (e.g., click
Rated capacities for each unit process are gener- on the LOTUS 123 Release 5.0 icon). (Note:
ated from user-defined criteria as well as from cri- WYSIWYG needs to be invoked for the LOTUS
teria defined in Table C-2 and discussed in Section 123 Release 2.4 spreadsheets.)
3 o f t h e P a r t n e r s h i p f o r S a f e W a t e r self-
assessment procedures. The user may print a l Open the working file as specified in Section 3
hard copy of the performance potential graph by and save the file under a new file name.
following steps defined in Section 6 of this
appendix.
Section 5 - Entering Plant Information
Users requiring expanded instructions for entering
appropriate information in the spreadsheet cells Each spreadsheet contains a data entry section
should refer to Figure C-3. Should users require and a chart which depicts the resulting individual
additional assistance in preparing a performance unit process rated capacities. The LOTUS 123
potential graph using the spreadsheet, please con- spreadsheets generate a performance potential
tact Eric Bissonette of USEPA/OGWDW Technical graph with the unit process rated capacities char-
Support Division at (513) 569-7933. acterized by horizontal bars (see Figure C-l). Con-
trarily, the EXCEL and QUATTRO PRO perform-
ance potential graphs characterize the unit process
Section 3 - Selecting the Appropriate capacities by vertical bars (see Figure C-2). The
Spreadsheet for Your Application data entry sections are identical for the LOTUS
123, EXCEL, and QUATTRO PRO performance
Performance Potential Graph Spreadsheets have potential graph files (see Figure C-3).
been developed in LOTUS 123 Release 2.4 for
DOS and 5.0 for WINDOWS, EXCEL Release 4.0 l Begin entering appropriate physical plant data
and 5.0 for WINDOWS, and QUATTRO PRO in cells B31..B71 and E32..E69. Figure C-4
Release 5.0 for WINDOWS software systems. contains in-depth description of the acceptable
Select the files corresponding to your application entries for each of the cells in the spreadsheet.
and data entry needs from Table C-l and proceed
to Section 4. l The entered physical plant data will appear in
blue. Cells containing black values are calcu-
lated from data entered in other cells and can-
not be modified.

127
Figure C-3. Performance potential graph data entry guide.

Peak Instantaneous Flow 1 What is the peak flow in MOD at any instant through the treatment plant? This peak flow is based on hi$torical records and pumping capacity.

(See Section 3 of the Self-Assessment for further discussion.1

Predisinfection
Presedimentation Does the plant have and tlllre B presedimentation basin? Enter Yes or No.

Presed. Basin Volume What is the volume (in gallons) of the presedimentation basin(s)?

q
Presed. Basin Baffling What is the baffling condition of the presedimentation basinfsl? Unbaffled Poor Average Superior Impacts effective volume cakulatlqn regarding
predisinfection contact time based on estimated TIo to T ratios.

Predisinfectian Practiced Does the plant apply a disinfectant prior to the clearvvell? Enter Yes or No.
Temperature (*Cl What is the coldest water temperature (in degrees Celsius1 at the predisinfectant application point?

PH What is the maximum pH at the predirinfectant application point?

Predisint. Residual (mg/Ll What is the maximum predislnfectant residual (In mg/L)?

Predisinf. Application Paint Where is the predislnfectant applied? Prior to the presedimentation or flocculation or sedimentation or filtration unit processes7

Required CT Using the prwdisinfection operating conditions @l-l and Temp and required log removals), obtain the required CT value from Appendix C

of the Surface Water Treatment Rule Guidance Manual or Appendix A of the CCP Handbook.

Predisinfection Volume 1 Calculated from data entered in other weas. No entry is required here.

Effective Predislnf. Volume Calculated from data entered In other areas. lncorparates effective contact of the disinfectant based on baffling In each of the unit processes.

Flocculation
r 4
What Is the total volume (in gallons~ Of the flocculation basin(s)?

What is the coldest water temperature (in Celsius1 that the flocculation basin experiences7

Describe the stages contained within the flocculation basin(s). Single or Multiple? No baffling or interbasin compartments equals

single-staged. All other conditions equal multiple-staged.

Detention Time

Suggested detention time calculated using above information from existing conditions (see Attachment 21. No entry is required here.

Enter a detention time (in minutesl. Use the suggested detention time or select one based on site-specific circumstances.

This is the rated capacity of the unit process lin MGDI calculated from the Assigned hydraulic detention time. NO entry Is required here.

Sedimentation
Basin Volume This volume is calculated from other entered data. NO entry is required here.

Surface Area What is the total area lin square feet) of the sedimentation basinIs)?

Basin Depth What is the average depth (in feet1 Of the sedimentation basin(s)?

Operation Mode Enter Turbidity or Softening, depending an the pracess used. Is the process operated mainly to remqve turbidity of tq provide softening?

Process Type What settling process is utilized? Enter RsctangularlCircular/Contact/Lamella Plates/Adsorption Clarifier or SuperPulsator.

Tubes Present What type of settling tubes is present in the sedimentation basin(sl? Enter None or Vertical (>451 or Horizontal (~459.
Figure C-3. Performance potential graph data entry guide (continued).

prowar SOR

Suggested I I SUggeStad surface overflow rate calculated using above information from existing conditions (see Attachment 21. No entry is required hers.

Assigned Enter a surface overflow rots ISOR (in gpm/ftl. Use the suggested SOR or sslect one based on sitekpecific circumstencas.

Rated Capacity This is ths rated capacity of the unit process (in MGOI calculated from the ASSIgned surface overflow rate. No antry is required.

Filtration
Total Filter Surface Arcs Whet is the total surface area (in square feet1 of the filter(s)?

Total Number of Filters What Is the total number of filtars in the trestment plant?

Filters Typically In Service What number of filters era typIcally in service?

B
Total Volume Above Flltsrs What Is the total volume of water above the filter media (In gallons)?

Media Type What media configuration Is pressnt In the filters? Enter Sand, Duel. Mlxsd, Deep Bed.

Operation Mode How ore the filters operated? Enter Conventional Direct. lnllne Direct.

Raw Turbidity What is ths yearly 95th percentile raw Water turbidity value? Refer to the raw water turbidity spreadsheet Output table.

Air BInding What level of sir binding is noticeable in the filter(sl? Enter None, Moderate, High.

Loading Rate

Suggested Suggested filter loading rate calculated using above information from existing conditions (see Attachment 21. No entry la required here.

Assigned Enter a filter lqsding rate (in Qpmlftl. Use the suggested rate or select one based on site-specific circumstances.

Rated Capacity This is the rated capacity of the unit prqcass lin MGD) calculated from the Assigned filter loading rate. No entry Is required here.
EE

Disinfection
Clearwell Volume What is the total volume (in gallonsl of the clearvvell(sI?

Effective Baffling What is the baffling condition of the clearwell~a~? Enter Unbaffled. Poor, Average, Superior. lmpacte effective volume calculation
regarding disinfection contact time.

Temperature IT) What Is the temperature (in degrees Celsius1 et the disinfectant application point?

PH What is the pH St the disinfectant application point?

Disinfectant Residual (mQlL1 What is the maximum disinfectant residual (in mglU?

Required Log Inactivation Enter the total number of log ramovals required for the plant. Enter 3 or 4 or >4 (must be a numeric value).

Reqd. Disinfection Log Inactivation Required disinfection log removals calculated from other dots. No entry is required hare.

Pipe Distance to First User What is the transmission distance (in feet1 to the flrst user/customer?

Pipe Diameter What is the pipe diameter Iin inches.1 of the transmission pipe?
Figure C-3. Performance potential graph data entry guide (continued).

Required CT Using the disinfection operating conditions IpH end Tamp end required log removalsl. obtain the required CT value from Appendix C
of the Surface Water Treatment Rule Guidance Manual or Appendix A of the Composite Correction Program Handbook.

Effective Contact Volume

I Detention Time
Calculated from data entered in other areas. No entry is required here.

Suggested Suggested detantlon time calculated using above information from existing conditions (see Attachment 21. No entry is required here.

Assigned Enter a detention time lin minutes). Use the suggested detention time or select one based on site-specific circumstances.

Post Disinfection Rated Capacity This is the rated capacity of the unit process (in MGOI calculated from the Assigned detention time end required CTs.
No entry is required here.

Pre & Post Oisinf. Rated Capacity This is tha rated capacity of the unit process lin MGOI calculated from the Assigned detention time and required CTs.
No entry is required here.
Figure C-4. Example performance potential graph data entry section.

Plant Name avenport, New Mexrco I

Peaklnstantaneous flow 9 VW Filtration
Total Fitter Surface Area flw

PredisinfectionlPresdimentation Contact Total Number of Fitters

Basin Type None, Ptesed, Predts. both Filters Typically in Service
(gallons) Total Volume Above Fitters (gallons)
Basin Volume
Unbaffled Poor Average Superior Media Type Sand Dual Mbed
Basin Baffling
None, Chbrtne, Chbramines, Chlortne Dioxide, Ozone DeeoBed
Disinfectant Applied
Temperature (C)
Raw Turbidity (NW)
Disinfect residual (mg/L)
Required ,T -4 See Guidance Manual Appendk C
Disinfectant Appfbd I~IChbrine. Chloramtnes

Flocculation None, Chlorine Dioxide

Basin Volume n ~(galtons) Disinfect residual (mg/L)
Temperature (C) Required CT p!$;;eGu&a;ce Manual
Mbing Stages
Disinfectant Applied Loading Rate
l-l
Disinfect residual (mg/L)
Reouired a, I See Gutdance Manual Appendb C
Rated Capacity [T.96]MGD
Detention Time
Disinfection
sy$g; Fq$; ;; Cleanvetl Volume
Effective Baffling
Averaoe Suoerbr
Rated Capacity LqMGD
Disinfectant Apptiid v[Chbrtne. Chloramines
None, Chlorine Dioxide
Sedimentation
Basin Volume ~B/@allon 1s) Temperature (C)
PH 7.5
Surface Area
Basin Depth Disinfectant residual (mgll) 2.5
Operation Mode Turbid.w or Softening Required Log Inactivation El 3 or4 or>4
Process Type NonelRectanguladCimuhdContact Required Disinfection Log Removals17
LamellaPlates/AdsorpCladfiir/SuperPukator
Tubes Present Ii~~~~~s~~~~~~i~~~~~~l Distribution Pipe Distance to First User
Percent Tube Area Pipe diameter
Required CT
None, Chlorine, Chloramines, Chlorine Dioxide Manual Appendbc C
Disinfectant Applied
Effective Contact Volume ~q(gallons)
Disinfect residual (mg/L)
Required CT 1-1 See Guidance Manual Appendix C Detention Time

sz;: f=q;; ;:
Process SOR

Post Disinfection Rated Capacity (8;981MGD

12.351MGD Pre & Post Disinfection Rated Capacity 1 29.51 [MGD

Rated Capacity 1
Table C-2. Major Unit Process Evaluation Criteria*

Base
Hydraulic
Detention Time

20 minutes
/I I Sedimentation

kectanaular/Circular/Contact Basin Devth

Surface Overflow
Rate I

Single Stage Temp <C= 0.5 + 10 minutes Turbidity Mode > 14ft 0.7 gpm/ft*

Temp >0.5C +5 m i n u t e s 12 - 14 ft 0.6 apm/ft*

Multiple Stages Temp CC= 0.5* +0 minutes 10 - 12 ft 0.5 - 0.6 gpmlft

3
Temo >0.6% -5 minutes <loft 0 . 1 - 0 . 5 m/ft*
Softening Mode. > 14 ft 1 . 0 m/ftZ
IZ- 14ft 0 . 7 5 m/ft*
lo- 12ft Oa5 $J5
<IO ft 0.1 - 0.5 m/ft*
Vertical (>45) Tube Settlers
Turbidity Mode > 14 ft
12- 14ft
10 - 12ft
<lO ft
Softening Mode > 14ft
12-14ft
IO - 12 ft

Horizontal (<45) Tube Settlers

Adsorption Clarifier
Lamella Plates
SuperPulsator
with tubes
Claricone Turbiditv Mode
Claricone Softening Mode

*If long term (12-month) data monitoring indicates capability to meet performance goals at higher loading
rates, then these rates can be used.

Renner, KC., B.A. Hegg, J.H. Bender, and E.M. Bissonette. 1991. Handbook - Optimizing Water Treatment Plant Performance
Using the Composite Correction Program. EPA 625/g-911027. Cincinnati, OH: USEPA.

AWWARF Workshop. 1995. P/ant Optimization Workshop. Colorado Springs, CO: AWWARF.

Eastern Research Group, Inc. 1992. Water Advisor Utilizing the CCP Approach (Expert System). USEPA Work Assignment No.
7391-55. Eastern Research Group, Inc., Arlington, MA.

USEPA, AWWA, AWWARF, Association of Metropolitan Water Agencies, Association of State Drinking Water Administrators, and
National Association of Water Companies. 1995. Partnership for Safe Water Voluntary Water Treatment Plant Performance
Improvement Program.

132
 Each major unit process section contains a PPG. PIC, using the LOTUS Printgraph
suggested and assigned evaluation criteria cell procedures.
(e.g., the flocculation section contains a sug-
gested and an assigned hydraulic detention l LOTUS 123 Release 5.0 for WINDOWS, or
time cell). The suggested loading rates, sum- QUATTRO PRO Release 5.0 for WINDOWS, or
marized in Table C-2 of this appendix, for EXCEL Release 4.0 or 5.0 for WINDOWS, fol-
specified situations are representative of condi- low printing techniques specified for
tions in which identified unit processes have WINDOWS applications by clicking on a
demonstrated effectiveness in serving as a printer icon (which will print the previously
multiple barrier in the prevention of cyst and. defined range) or select PRINT from the Eile
microorganism passage through the treatment submenu (and select previously defined
plant. range when the system requests a printing
option). Users may have to adjust margins to
The actual rated capacities for each of the unit accommodate individual applications in order
processes are calculated from the loading rates to print output to a single sheet of paper.
entered into the cells labeled assigned loading
rates. Users must enter a value into the
assigned cell, either selecting the suggested Section 7 - Important Rules to Remember
value or entering their own loading rate. When Using the Performance Potential
Graph Spreadsheet Tool
The performance potential graph contained at
the top of each spreadsheet will instantane-
l Cells containing Black values are calculated
ously update after each data entry. Complete
from other pertinent data entries and cannot
the entire data entry process prior to proceed-
be modified because the cells have been pro-
ing to printing the spreadsheet output
tected.
described in Section 6.
l The actual rated capacities for each of the unit
processes are calculated from the loading rate
Section 6 - Printing Spreadsheet Output entered into the cells labeled assigned loading
rates. Users must enter a value into the
To print the performance potential graph using: assigned cell, either selecting the suggested
value or entering their own loading rate.
l LOTUS 123 Release 2.4 for DOS, invoke the
WYSIWYG add-in and print the previously l The external format file must be copied from
defined range by pressing <Shift : > then the Master Diskette to the same directory as
selecting <Print > and <Go> after the sys- the working file or the Performance Potential
tem has been configured to the users printer. Graph will not be visible when using LOTUS
If the WYSIWYG add-in is unavailable, users 123 Release 2.4 for DOS.
should generate and print the graph PIC file

133
-able D-l. bv Free Chlorine at 0.5 OC or ILabwer
Norins pH < - 8 . 0 pH - 8.5 pH - 7 . 0 pH - 7.5
oncsaration Log lnactlvatlon Log lnacdvatlon Log lnactivstlon Log Inactivation
(mgn 1 .o 1.5 2.0 2.5 3.0 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.6 2.0 2.5 3.0

< -0. 23 48 80 01 114 137 27 54 82 109 138 183 33 85 98 130 163 195 40 79 119 158 198 237

0.8 24 47 71 04 119 141 28 58 84 112 140 188 33 87 100 133 187 200 40 80 120 150 109 230

0.8 24 48 73 97 121 145 20 57 88 115 143 172 34 68 103 137 171 205 41 82 123 184 205 248

1 25 49 74 99 123 148 20 50 88 117 147 176 35 70 105 140 175 210 42 64 127 169 211 253

1.2 25 51 78 101 127 152 30 60 00 120 150 160 38 72 109 143 179 215 43 88 130 173 218 259

1.4 26 52 78 103 129 155 31 81 92 123 153 164 37 74 111 147 184 221 44 89 133 177 222 288

1.8 26 52 70 105 131 157 32 63 95 126 159 199 38 75 113 151 199 228 46 01 137 162 228 273

1.8 27 54 81 108 135 182 32 84 07 129 181 193 39 77 118 154 193 231 47 93 140 lE6 233 279

2 28 55 83 110 138 165 33 86 99 131 164 197 39 79 1lE 157 197 236 49 95 143 191 238 266

2.2 26 58 85 113 141 169 34 87 101 134 169 201 40 51 121 161 202 242 50 99 149 106 248 297

2.4 20 57 88 115 143 172 34 66 103 137 171 205 41 92 124 185 209 247 50 99 149 199 248 288

2.8 20 58 86 117 148 175 35 70 105 130 174 200 42 84 126 166 210 252 51 101 152 203 253 304

2.8 30 58 89 118 146 176 38 71 107 142 176 213 43 86 120 171 214 257 62 103 155 207 259 310

30 60 91 121 151 191 38 72 100 145 181 217 44 07 131 174 216 281 53 105 156 211 283 318
pH - 8.0 pH P 8.5 pH < - 9 . 0
Log lnatlvatfon Log lnsotivdon Log Inactlvath
0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.6 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0

< -0. 46 92 130 185 231 277 55 110 165 219 274 329 65 130 195 280 325 300

0.6 49 05 143 101 238 286 57 114 171 229 285 342 88 136 204 271 339 407

0.9 49 08 148 197 248 205 59 119 177 238 295 354 70 141 211 261 352 422

1 51 101 152 203 253 304 61 122 183 243 304 365 73 148 219 201 364 437

1.2 52 104 157 209 281 313 63 125 188 251 313 378 75 150 226 301 376 451

1.4 54 107 161 214 266 321 65 120 104 258 323 397 77 155 232 300 387 484

1.6 55 110 185 219 274 320 88 132 199 285 331 307 80 159 239 316 398 477

1.6 58 113 189 225 292 336 88 138 204 271 330 407 82 183 245 328 409 469

2 58 115 173 231 288 348 70 130 209 278 346 417 83 187 250 333 417 500

2.2 50 118 177 235 204 353 71 142 213 284 355 428 85 170 258 341 428 511

2.4 80 120 191 241 301 381 73 145 216 200 383 435 87 174 281 346 435 522

2.6 81 123 184 245 307 386 74 148 222 208 370 444 88 178 287 355 444 533

2.6 63 125 168 250 313 375 75 151 228 301 377 452 01 181 272 362 453 543

64 127 101 255 318 382 77 153 230 307 393 480 02 184 276 368 460 552

NOTE: CT 00.0 = CT for 3-log inactivation.

Table D-2. CT Values for Inactivation of Giardia Cysts by Free Chlorine at 5 C
pH<-6.0 pH=6.5 pn-7.0 pH-7.5
Log Inactivation Log Inactivation LogInac;uvstion Loglnscnvtion

0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0

< -0. 18 32 49 85 81 97 20 39 59 78 98 117 23 46 70 03 118 139 28 55 a3 111 138 166

0.6 17 33 50 87 83 1W 20 40 80 80 100 120 24 40 72 95 119 143 29 57 aa 114 143 171

0.8 17 34 52 69 98 103 20 41 61 a1 102 122 24 40 73 97 122 146 29 58 88 117 146 175

1 la 35 53 70 86 105 21 42 83 83 104 125 25 50 75 99 124 149 30 60 00 119 140 179

1.2 18 38 54 71 88 107 21 42 64 a5 106 127 25 51 78 101 127 152 31 81 02 122 153 183

1.4 18 38 55 73 01 100 22 43 85 07 108 130 26 52 78 103 129 155 31 82 94 125 158 197

1.6 19 37 58 74 93 111 22 44 86 88 110 132 26 53 79 105 132 158 32 64 96 129 160 192

1.6 19 38 57 78 95 114 23 45 68 80 113 135 27 54 ai 108 135 la2 33 65 08 131 183 198

2 19 36 56 77 97 118 23 46 60 92 115 138 26 55 a3 110 138 165 33 67 100 133 187 200

2.2 20 39 50 79 08 118 23 47 70 93 117 140 28 56 65 113 141 189 34 86 102 138 170 204

2.4 20 40 60 80 100 120 24 48 72 95 110 143 29 57 86 115 143 172 35 70 105 130 174 209

2.8 20 41 81 81 102 122 24 49 73 07 122 148 .29 59 89 117 148 175 38 71 107 142 178 213

2.9 21 41 82 83 103 124 25 49 74 so 123 148 30 50 88 119 148 178 36 72 109 145 181 217

3 21 42 63 84 105 128 25 50 78 101 128 151 30 81 91 121 152 182 37 74 111 147 184 221
hlorlne pH=a.0 pH-8.5 pH<=9.0
oncentratlon L0gln?+cthtl0n Loglnaotlvodon . L0glnactivatf0n

cmsn 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0

<-0 33 66 9s 132 165 198 39 70 11s 157 107 238 47 03 140 188 233 270

0.8 34 89 102 136 170 204 41 a1 122 163 203 244 49 97 148 194 243 291

0.0 35 70 105 140 175 210 42 64 128 186 210 252 50 loo 151 201 251 301

1 36 72 108 144 180 216 43 87 130 173 217 260 52 104 158 208 280 312

1.2 37 74 111 147 194 221 45 89 134 178 223 267 53 107 180 213 287 320

1.4 38 78 114 151 180 227 48 91 137 183 229 274 55 110 185 219 274 320

1.6 39 77 118 155 193 232 47 04 141 167 234 261 56 112 160 225 281 337

1.8 40 79 119 159 198 239 48 98 144 101 230 287 58 115 173 230 299 345

2 41 81 122 162 203 243 40 09 147 198 245 294 50 118 177 235 204 353

2.2 41 a3 124 185 207 248 50 100 150 200 250 300 80 120 ial 241 301 381

2.4 42 84 127 189 211 253 51 102 153 204 255 308 81 123 la4 245 307 368

2.8 43 a8 129 172 215 258 52 104 158 208 280 312 83 125 la9 250 313 375

2.8 44 88 132 175 219 263 53 108 159 212 265 318 84 127 191 255 318 382

3 46 89 134 170 223 288 54 108 182 218 270 324 85 130 105 259 324 380

NOTE: CT 08.0 = CT for 34og inactivation.

 able D-3. CT Values for Inactivation of Giardia Cysts by Free Chlorine at 10 C
pH< - 6 . 0 pH=6.5 pH=7.0 pH=7.5
Log lnsctivstlon Log lnaotivaion Log lnaotivalion Log InactivatiOn
0.5 1 1.5 2 2.5 3.0 0.5 1 1.5 2 2.5 3.0 0.5 1 1.5 2 2.5 3.0 0.5 1 1.5 2 2.5 3.0

c-o.4 12 '24 37 49 81 73 15 20 44 50 73 88 17 35 52 69 87 104 21 42 63 83 lo4 '125

0.8 13 25 38 50 63 75 15 30 45 80 75 90 18 36 54 71 89 107 21 43 84 85 107 128

0.9 13 28 39 52 85 78 15 31 48 61 77 02 ia 37 55 73 02 110 22 44 88 87 109 131

1 13 26 40 53 66 79 16 31 47 83 78 04 10 37 58 75 93 112 22 45 87 80 112 134

1.2 13 27 40 53 67 80 16 32 48 63 79 95 19 38 57 76 95 114 23 48 80 01 114 137

1.4 14 27 41 55 88 62 18 33 49 85 a2 98 19 39 58 77 07 118 23 47 70 03 117 140

1.8 14 26 42 55 69 63 17 33 50 66 93 99 20 40 80 79 99 119 24 46 72 96 120 144

1.6 14 29 43 57 72 88 17 34 51 67 a4 101 20 41 61 a1 102 122 25 40 74 08 123 147

2 15 20 44 58 73 87 17 35 52 60 a7 lo4 21 41 82 a3 103 124 25 50 75 100 125 150

2.2 15 30 45 59 74 89 18 35 53 70 88 105 21 42 84 85 lo6 127 26 51 77 102 128 153

2.4 15 30 45 60 75 so 18 36 54 71 89 107 22 43 65 a8 108 129 28 52 79 105 131 157

2.6 15 31 48 81 77 92 10 37 55 73 02 110 22 44 66 87 100 131 27 53 80 107 133 160

2.8 18 31 47 62 78 03 10 37 56 74 93 111 22 45 87 80 112 134 27 54 a2 lo9 136 163

3 16 32 49 63 70 05 19 38 57 75 04 113 23 46 60 01 114 137 29 55 63 111 138 168

M0rlM pH = a.0 pH = 6.5 pH < - 9 . 0
m-loantratlon Log Inactivauon Log lnacdvauon Log Inactivation
hwu 0.5 1 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0

C-O.4 25 50 75 00 124 149 30 58 a0 119 148 177 35 70 105 139 174 209

0.8 28 51 77 102 128 153 31 61 92 122 153 183 38 73 lb9 145 182 218

0.8 28 53 79 105 132 158 32 63 95 126 158 180 38 j5 113 151 188 228

1 27 54 61 ioa 135 182 33 85 98 130 183 195 39 78 117 156 195 234

1.2 28 55 63 111 136 188 33 87 loo 133 187 200 40 80 120 180 200 240

1.4 28 57 85 113 142 170 34 89 103 137 172 208 41 a2 124 165 208 247

1.8 20 58 a7 116 145 174 35 70 106 141 178 211 42 a4 127 188 211 243

1.8 30 80 00 110 149 179 36 72 108 143 179 215 43 96 130 173 218 250

2 30 61 01 121 152 182 37 74 111 147 la4 221 44 88 133 177 221 285

2.2 31 82 93 124 155 186 38 75 113 150 186 225 45 00 136 161 228 271

2.4 32 83 95 127 159 100 38 77 115 153 192 230 46 92 138 184 230 278

2.8 32 85 97 129 162 104 39 79 117 158 195 234 47 94 141 187 234 281

2.8 33 66 99 131 184 107 40 a0 120 159 189 230 48 08 144 191 230 287

3 34 87 101 134 188 201 41 81 122 182 203 243 _ 40 97 148 195 243 202 ,

NOTE: CT 99.9 = CT for +Iog inactivation.

Table D-4. CT Values for Inactivation of 4 vdia Cysts by Free Chlorine at 15 C
hloritm pn<-6.0 pH-6.5 pli-7.0 pH-7.5
onc~ntlatlon Log In8cuvauon Log lnactlvatfon Laginactiv8tion Lnglnactivsflon
bnen.) 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0

< -0.4 16 25 33 41 49 1 20 30 30 49 59 12 23 35 47 58 70 14 29 42 55 69 83

0.6 8 17 25 33 42 50 1 20 30 40 50 60 12 24 36 48 60 72 14 2s 43 57 72 86

0.6 9 17 26 35 43 52 1 20 31 41 51 61 12 24 37 49 61 73 15 29 44 59 73 88

1 S 18 27 35 44 53 11 21 32 42 53 63 13 25 38 50 83 75 15 30 45 60 75 00

1.2 9 18 27 36 45 54 11 21 32 43 53 64 13 25 38 51 63 76 15 31 46 81 77 92

1.4 9 18 26 37 46 55 11 22 33 43 54 65 13 26 39 52 65 78 18 31 47 83 78 04

1.6 8 1B 26 37 47 58 11 22 33 44 55 66 13 26 40 53 66 79 16 32 46 64 60 se

1.8 10 19 29 36 48 57 11 23 34 45 57 68 14 27 41 54 68 61 16 33 49 65 82 98

2 10 1s 2s 39 49 58 12 23 35 46 58 69 14 26 42 55 69 63 17 33 50 67 63 100

2.2 10 20 30 39 49 59 12 23 35 47 58 70 14 28 43 57 71 95 17 34 51 68 85 102

2.4 10 20 30 40 50 60 12 24 36 46 60 72 14 29 43 57 72 86 18 35 53 70 88 105

2.6 10 20 31 41 51 61 12 24 37 49 61 73 15 29 44 59 73 88 18 36 54 71 80 107

2.8 10 21 31 41 52 62 12 25 37 49 62 74 15 30 45 59 74 89 19 36 55 73 91 109

3 11 21 32 42 53 63 13 25 38 51 63 76 15 30 46 61 76 81 19 37 56 74 93 111
:wolinc pn-8.0 pn-9.5 pH< - 0 . 0
:onccntntlon Log mactlvdon Log lnactJvdon l.qj InacUvarlon
ma 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0

< -03 17 33 50 66 83 90 20 30 59 79 96 116 23 47 70 93 117 140

0.6 17 34 51 68 85 102 20 41 61 61 102 122 24 49 73 97 122 146

0.6 16 35 53 70 66 105 21 42 63 64 105 126 25 50 76 101 126 151

1 18 36 54 72 SO 109 22 43 65 67 109 130 26 52 78 104 130 156

1.2 19 37 56 74 93 111 22 45 67 69 ii2 134 27 53 80 107 133 160

1.4 1s 38 57 76 95 114 23 46 69 91 114 137 28 55 83 110 139 165

1.6 19 38 58 77 97 116 24 47 71 94 118 141 28 56 65 113 141 169

1.6 20 40 60 79 99 119 24 46 72 86 120 144 29 56 67 115 144 173

2 20 41 61 81 102 122 25 49 74 96 123 147 30 58 80 118 146 177

2.2 21 41 62 63 103 124 25 50 75 100 125 150 30 60 91 121 151 181

2.4 21 42 64 85 106 127 26 51 77 102 126 153 31 61 92 123 153 194

2.6 22 43 65 66 108 129 26 52 78 104 130 156 31 63 94 125 157 166

2.6 22 44 66 88 110 132 27 53 60 106 133 159 32 64 96 127 158 191

3 22 45 67 80 112 134 27 54 81 106 135 162 33 65 98 130 163 195

NOTE: CT 99.9 - CT for 3-log inactivation.

rable D-5. CT Values for Inactivation of Gkwu% Cysts by Free Chlorine at 20 C
hlorirm pH<=8.0 pH=6.5 pn-7.0 pH=7.5
cncsntration Log Inactivation Log hctlvation Log In~ctlv~tion Log lnactlvation

ImgAl 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0

<=0.4 6 12 18 24 30 36 7 15 22 28 37 44 9 17 26 35 43 52 10 21 31 41 52 62

0.6 6 13 18 25 32 38 8 15 23 30 36 45 3 16 27 38 45 54 11 21 32 43 53 64

0.8 7 13 20 26 33 38 8 15 23 31 36 46 8 18 26 37 48 55 11 22 33 44 55 66

1 7 13 20 26 33 39 8 16 24 31 38 47 8 13 28 37 47 56 11 22 34 45 56 67

1.2 7 13 20 27 33 40 8 16 24 32 40 48 10 19 29 38 48 57 12 23 35 46 58 69

1.4 7 14 21 27 34 41 8 16 25 33 41 49 10 19 29 39 48 58 12 23 35 47 56 70

1.6 7 14 21 28 35 42 8 17 25 33 42 50 10 20 30 39 49 58 12 24 36 48 60 72

1.8 7 14 22 28 36 43 8 17 26 34 43 51 10 20 31 41 51 61 12 25 37 49 62 74

2 7 15 22 28 37 44 8 17 26 35 43 52 10 21 31 41 52 62 13 25 38 50 83 75

2.2 7 15 22 28 37 44 a 18 27 35 44 53 11 21 32 42 53 63 13 26 39 51 84 77

2.4 6 15 23 30 38 45 8 18 27 36 45 54 11 22 33 43 54 65 13 26 39 52 65 78

2.6 8 15 23 31 38 46 9 16 28 37 46 55 11 22 33 44 55 66 13 27 40 53 67 80

2.9 8 16 24 31 39 47 9 19 28 37 47 56 11 22 34 45 56 67 14 27 41 54 88 81

3 8 16 24 31 39 47 10 19 29 38 48 57 11 23 34 45 57 68 14 28 42 55 68 83
Norim pH-8.0 pIi-8.5 pH<-8.0
cncentrdm Lot Inactivation Log Inmivation Log lnactivaticn
ImgRl 0.5 1 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0

<=0.4 12 25 37 49 62 74 15 30 45 59 74 69 18 35 53 70 88 105

0.6 13 26 39 51 84 77 15 31 46 61 77 92 18 36 55 73 91 109

0.8 13 26 40 53 88 79 16 32 48 63 79 95 13 38 57 75 04 113

1 14 27 41 54 68 61 16 33 49 65 62 86 20 39 59 78 98 117

1.2 14 26 42 55 68 63 17 33 50 87 33 100 20 40 60 60 100 120

1.4 14 26 43 57 71 65 17 34 52 69 86 103 21 41 62 82 103 123

1.6 15 23 44 56 73 87 18 35 53 70 66 105 21 42 63 64 105 126

1.6 15 30 45 59 74 89 18 36 54 72 90 108 22 43 65 a6 108 120

2 15 30 46 61 76 91 18 37 55 73 92 110 22 44 66 86 110 132

2.2 16 31 47 62 78 93 19 36 57 75 94 113 23 45 68 90 113 135

2.4 16 32 48 63 79 95 18 38 59 77 96 115 23 48 63 92 115 138

2.6 16 32 49 65 81 87 20 39 59 78 96 117 24 47 71 94 118 141

2.8 17 33 50 66 83 98 20 40 60 79 89 119 24 48 72 95 119 143

3 17 34 51 87 84 101 20 41 61 81 102 122 24 49 73 97 122 146

NOTE: CT 88.8 = CT for 3-log inactivation.

Table D-6. CT Values for Inactivation of Gi8fdi8 Cysts by Free Chlorine at 25 C
llorlm pH< - 6 . 0 pH-6.5 pH-7.0 PH-7.5
wvxmtrauon Log hlactlvatlon Log lnacuvatlon Log Inacuvauon Log Inactlvatlon
h9R) 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0

c-0.4 4 9 12 16 20 24 5 10 15 18 24 29 6 12 19 23 29 35 7 14 21 26 35 42

0.6 4 .6 13 17 21 25 5 10 15 20 25 30 6 12 16 24 30 36 7 14 22 2s 36 43

0.9 4 0 13 17 22 26 5 10 16 21 26 31 6 12 19 25 31 37 7 15 22 29 37 44

1 4 9 13 17 22 26 5 10 16 21 26 31 6 12 19 25 31 37 6 15 23 30 36 45

1.2 5 9 14 16 23 27 5 11 16 21 27 32 6 13 19 25 32 38 6. 15 23 31 38 46

1.4 5 9 14 18 23 27 6 11 17 22 28 33 7 13 20 28 33 39 6 16 24 31 39 47

1.6 5 9 14 19 23 29 6 11 17 22 .28 33 7 13 20 27 33 40 B 16 24 32 40 48

1.9 5 10 15 19 24 29 6 11 17 23 26 34 7 14 21 27 34 41 9 16 25 33 41 49

2 5 10 15 19 24 29 6 12 18 23 29 35 7 14 21 27 34 41 6 17 25 33 42 50

2.2 5 10 15 20 25 30 6 12 18 23 29 35 7 14 21 26 35 42 9 17 26 34 43 51

2.4 5 10 15 20 25 30 6 12 16 24 30 36 7 14 22 29 36 43 9 17 26 35 43 52

2.6 5 10 16 21 26 31 6 12 19 25 31 37 7 15 22 29 37 44 9 18 27 35 44 53

2.8 5 10 16 21 26 31 6 12 19 25 31 37 6 15 23 30 39 45 9 16 27 36 45 54

3 5 11 18 21 27 32 6 13 19 25 32 39 6 15 23 31 36 46 9 19 26 37 46 55
hwlru pH-8.0 pH-6.5 pH<-9.0
mcsntmtlon Log lnMtlwtlon LOQ lnactlvatlon Lag hl?ctlvatlon
hoax 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0 0.5 1.0 1.5 2.0 2.5 3.0

<so.4 8 17 25 33 42 50 10 20 30 39 49 59 12 23 35 47 58 70

0.6 S 17 26 34 43 51 11 20 31 41 51 61 12 24 37 49 61 73

0.8 9 18 27 35 44 53 11 21 32 42 53 63 13 25 38 50 63 75

1 9 18 27 36 45 54 11 22 33 43 54 65 13 28 38 52 85 76

1.2 9 18 28 37 46 55 11 22 34 45 56 67 13 27 40 53 67 60

1.4 10 19 29 38 48 57 12 23 35 46 56 69 14 27 41 55 68 82

1.6 10 19 29 39 48 56 12 23 35 47 56 70 14 26 42 56 70 04

1.6 10 20 30 40 50 80 12 24 36 48 60 72 14 29 43 57 72 96

2 10 20 31 41 51 61 12 25 37 49 62 74 15 29 44 59 73 9E

2.2 10 21 31 41 52 62 13 25 36 50 63 75 15 30 45 80 75 SO

2.4 11 21 32 42 53 63 13 26 39 51 84 77 15 31 46 61 77 92

2.8 11 22 33 43 54 65 13 28 39 52 65 70 16 31 47 63 76 94

2.8 11 22 33 44 55 66 13 27 40 53 67 60 16 32 40 64 80 96

3 11 22 34 45 56 67 14 27 41 54 66 El 16 32 4s 65 Bl 97

NOTE: CT 99.9 - CT for 3-log inactivatbn.

Table D-7. CT Values for Inactivation of Viruses by Free Chlorine
Log Inactivation
2.0 3.0 4.0
pH 1 6-9 10 6-9 10 6-9 10
Temperature (C)
0.5 6 45 9 66 12 90
5 4 30 6 44 8 60
10 I 3 22 4 33 6 45
15 2 15 3 22 4 30
20 1 11 2 16 3 22
25 1 7 1 11 2 15

Table D-8. CT Values for Inactivation of GimYi Cysts by Chlorine Dioxide

T6IIIp6r6tUr6 (Cl

1 <=l 5 10 15 20 25

0.5~log 10 4.3 4 3.2 2.5 2

1 -log 21 8.7 7.7 6.3 5 3.7
1.5~log 32 13 12 10 7.5 5.5
2-log 42 17 15 13 10 7.3
2.5-109 52 22 19 16 13 9
3-log 63 26 23 19 15 11

Table D-9. CT Values for Inactivation of Viruses by Chlorine Dioxide pH 6-9

Temperature (C)

<=l 5 10 15 20 25

2-log 8.4 5.6 4.2 2.8 2.1 1.4

3-log 25.6 17.1 12.8 8.6 6.4 4.3
44og 50.1 33.4 25.1 16.7 12.5 8.4

Table D-10. C . Values for Inactivation of Giardia Cysts by Ozone

Temperature (C)
<=l 5 10 15 20 25

0.5~log 0.48 0.32 0.23 0.16 0.1 0.08

1 -log 0.97 0.63 0.48 0.32 0.2 0.16
1.5-log 1.5 0.95 0.72 0.48 0.36 0.24
2-log 1.9 1.3 0.95 0.63 0.48 0.32
2.5-log 2.4 1.6 1.2 0.79 0.6 0.4
3-log I 2.9 1.9 1.43 0.95 0.72 0.48

142
Table D-l 1. CT Values for Inactivation of Viruses by Ozone

Temperature (C)

I
I
1 <=l 5 10 15 20 25

2-log 0.9 0.6 0.5 0.3 0.25 0.15

3-log 1.4 0.9 0.8 0.5 0.4 0.25
4-log 1.8 1.2 1 0.6 0.5 0.3

Table D-12. CT Values for Inactivation of Giardh Cysts by Chloramine pH 6-9

r <=1
Temperature (C)

5 10 15 20 25
1
0.5-log 635 365 310 250 185 125

l-log 1270 735 615 500 370 250

1.5-log 1900 1100 930 750 550 375

2-log 2535 1470 1230 1000 735 500

2.5-109 3170 1830 1540 1250 915 625

3-log 3800 2200 1850 1500 1100 750

Table D-13. CT Values for Inactivation of Viruses by Chloramine

Temperature (C)

<=l 5 10 15 20 25

2-log 1243 857 643 428 321 214

3-log 2063 1423 1067 712 534 356
4-log 2883 1988 1491 994 746 497

Table D-14. CT Values for Inactivation of Viruses by UV

/I

143
 Appendix E
Performance Limiting Factors Summary Materials
and Definitions

145
 CPE Factor Summary Sheet Terms

Plant Type Brief but specific description of plant type (e.g., conventional
with flash mix, flocculation, sedimentation, filtration and chlorine
disinfection; or direct filtration with flash mix, flocculation and
chlorine disinfection).

Source Water Brief description of source water (e.g., sutface water including
name of water body).

Performance Summary Brief description of plant performance based on performance

assessment component of the CPE (i.e., ability of plant to meet
optimized performance goals).

Ranking Table A listing of identified performance limiting factors that directly

impact plant performance and reliability.

Rank Relative ranking of factor based on prioritization of all A and

B rated factors identified during the CPE.

Rating Rating of factor based on impact on plant performance and

reliability:
A - Major effect on a long-term repetitive basis
B - Moderate effect on a routine basis or major effect on a
periodic basis
C - Minor effect

Performance Limiting Factor identified from Checklist of Performance Limiting Factors,

Factor (Category) including factor category (e.g., administration, design, operation,
and maintenance).

Notes Brief listing of reasons each factor was identified (e.g., lack of
process control testing, no defined performance goals).

146
 CPE Performance Limiting Factors Summary

Plant Name/Location:

CPE Performed By:

CPE Date:

Plant Type:

Source Water:

Performance Summary:

Ranking Table

Rank Rating Performance Limiting Factor (Category)

Rating Description
A - Major effect on long-term repetitive basis.
B - Moderate effect on a routine basis or major effect on a periodic basis.
C - Minor effect.

147
 Performance Limiting Factors Notes

Factor Notes
.

148
 Checklist of Performance Limiting Factors

A. ADMINISTRATION
1. Plant Administrators
a. 0 Policies
b. El Familiaritv With Plant Needs
C. q Suoervision
d. Cl Planning
e. 0 Comolacencv
f. 0 Reliabilitv
9. Cl Source Water Protection
2. Plant Staff
a. 0 Number
b. 0 Plant Coveraae
C. 0 Personnel Turnover
d. q Comoensation
e. Cl Work Environment
f. 0 Certification
3. Financial
a. 0 Ooeratina Ratio
b. 0 Coveraae Ratio
C. q Reserves

B. DESIGN
1. Source Water Quality
a. Cl Microbial Contamination
2. Unit Process Adequacy
a. 0 Intake Structure
b. 0 Presedimentation Basin
c. 0 Raw Water Pumoinq
d. 0 Flow Measurement
e. 0 Chemical Storaae and Feed
Facilities
f. 0 Flash Mix
9. q Flocculation
h. q Sedimentation
i. I7 Filtration

j. 0 Disinfection
k. 0 SludaeIBackwash Water
Treatment and Disoosal

149
 3. Plant Operabilitv
a. q Process Flexibilitv
b. q Process Controllability
c. q Process Instrumentation/
Automation
d. q Standbv Units for Kev
Eauipment
e. q Flow Proportioninq
f. q Alarm Svstems
9. q Alternate Power Source
h. q Laboratorv Space and Eauipment
i. cl Sample Taos

C. OPERATION
1. Testing
a. Cl Process Control Testinq
b. q Reoresentative Samolinq
2. Process Control
a. Cl Time on the Job
b. Cl Water Treatment Understandinq
C. Cl Apolication of Conceots and
Testina to Process Control
3. Operational Resources
a. 0 Trainina Proaram
b. 0 Technical Guidance
c. Cl Ooerational Guidelines/Procedures

D. MAINTENANCE
1. Maintenance Program
a. El Preventive
b. 17 Corrective
C. Cl Housekeeping
2. Maintenance Resources
a. I Materials and Equioment
b. Cl Skills or Contract Services

150
 Definitions for Assessing Performance Limiting Factors

NOTE: The following list of defined factors is provided to assist the evaluator with identifying perform-
ance limitations associated with protection against microbial contaminants in water treatment systems.
Performance limiting factors are described below using the following format.

A. CATEGORY
1. Subcategory
a. Factor Name
l Factor description
9 Examole of factor aDDtied to SOeCifiC D/ant or Uti/itV

A. Administration
1. Plant Administrators
a. Policies
4 Do existing policies or the lack of policies discourage staff members from making
required operation, maintenance, and management decisions to support plant perform-
ance and reliability?
9 Utility administration has not communicated a clear policy to optimize plant per-
formance for public health protection.
9 Multiple management levels within a utility contribute to unclear communication
and lack of responsibility for plant operation and performance.
9 Cost savings is emphasized by management at the expense of plant performance.
9 Utility managers do not support reasonable training and certification requests by
plant staff.
9 Administration continues to allow connections to the distribution system without
consideration for the capacity of the plant.
b. Familiaritv With Plant Needs
+ Do administrators lack first-hand knowledge of plant needs?
9 The utility administrators do not make plant visits or otherwise communicate with
plant staff.
9 Utility administrators do not request input from plant staff during budget develop-
ment.
c. Suoervision
l Do management styles, organizational capabilities, budgeting skills, or communication
practices at any management level adversely impact the plant to the extent that per-
formance is affected?
9 A controlling supervision style does not allow the plant staff to contribute to opera-
tional decisions.
9 A plant supervisors inability to set priorities for staff results in insufficient time
allocated for process control.
d. Planninq
+ Does the lack of long range planning for facility replacement or alternative source water
quantity or quality adversely impact performance?
9 A utility has approved the connection of new customers to the water system with-
out considering the water demand impacts on plant capacity.
9 An inadequate capital replacement program results in utilization of outdated equip-
ment that cannot support optimization goals.

151
 e. Complacencv
+ Does the presence of consistent, high quality source water result in complacency within
the water utility?
9 Due to the existence of consistent, high quality source water, plant staff are not
prepared to address unusual water quality conditions.
9 A utility does not have an emergency response plan in place to respond to unusual
water quality conditions or events.
f. Reliabilitv
+ Do inadequate facilities or equipment, or the depth of staff capability, present a poten-
tial weak link within the water utility to achieve and sustain optimized performance?
9 Outdated filter control valves result in turbidity spikes in the filtered water entering
the plant clearwell.
9 Plant staff capability to respond to unusual water quality conditions exists with
only the laboratory supervisor.
Source Water Protection
+ Does the water utility lack an active source water protection program?
9 The absence of a source water protection program has resulted in the failure to
identify and eliminate the discharge of failed septic tanks into the utilitys source
water lake.
9 Utility management has not evaluated the impact of potential contamination
sources on water quality within their existing watershed.
2. Plant Staff
a. Number
+ Does a limited number of people employed have a detrimental effect on plant operations
or maintenance?
9 Plant staff are responsible for operation and maintenance of the plant as well as
distribution system and meter reading, limiting the time available for process con-
trol testing and process adjustments.
b. Plant Coveraae
6 Does the lack of plant coverage result in inadequate time to complete necessary opera-
tional activities? (Note: This factor could have significant impact if no alarm/shutdown
capability exists - see design factors).
9 Staff are not present at the plant during evenings, weekends, or holidays to make
appropriate plant and process control adjustments.
9 Staff are not available to respond to changing source water quality characteristics.
c. Personnel Turnover
+ Does high personnel turnover cause operation and maintenance problems that affect
process performance or reliability?
9 The lack of support for plant needs results in high operator turnover and, subse-
quently, inconsistent operating procedures and low staff morale.
d. Compensation
l Does a low pay scale or benefit package discourage more highly qualified persons from
applying for operator positions or cause operators to leave after they are trained?
9 The current pay scale does not attract personnel with sufficient qualifications to
support plant process control and testing needs.
8. Work Environment
4 Does a poor work environment create a condition for sloppy work habits and lower
operator morale?
9 A small, noisy work space is not conducive for the recording and development of
plant data.

152
 f. Certification
+ Does the lack of certified personnel result in poor 0 & M decisions?
9 The lack of certification hinders the staffs ability to make proper process control
adjustments.
3. Financial
a. Ooeratina Ratio
+ Does the utility have inadequate revenues to cover operation, maintenance, and
replacement of necessary equipment (i.e., operating ratio less than 1 .O)?
9 The current utility rate structure does not provide adequate funding and limits
expenditures necessary to pursue optimized performance (e.g., equipment
replacement, chemical purchases, spare parts).
b. Coveraae Ratio
+ Does the utility have inadequate net operating profit to cover debt service requirements
(i.e., coverage ratio less than 1.25)?
9 The magnitude of a utilitys debt service has severely impacted expenditures on
necessary plant equipment and supplies.
C. Reserves
+ Does the utility have inadequate reserves to cover unexpected expenses or future
facility replacement?
9 A utility has a 40-year-old water treatment plant requiring significant modifications;
however, no reserve account has been established to fund these needed capital
expenditures.

B. Design
1. Source Water Quality
a. Microbial Contamination
+ Does the presence of microbial contamination sources in close proximity to the water
treatment plant intake impact the plants ability to provide an adequate treatment bar-
rier?
9 A water treatment plant intake is located downstream of a major wastewater
treatment plant discharge and is subject to a high percentage of this flow during
drought periods.
2. Unit Process Adequacy
a. Intake Structure
+ Does the design of the intake structure result in excessive clogging of screens, build-up
of silt, or passage of material that affects plant equipment?
9 The location of an intake structure on the outside bank of the river causes exces-
sive collection of debris, resulting in plugging of the plant flow meter and static
mixer.
9 The design of a reservoir intake structure does not include flexibility to draw water
at varying levels to minimize algae concentration.
b. Presedimentation Basin
+ Does the design of an existing presedimentation basin or the lack of a presedimentation
basin contribute to degraded plant performance?
9 The lack of flexibility with a presedimentation basin (Le., number of basins, size,
bypass) causes excessive algae growth, impacting plant performance.
9 A conventional plant treating water directly from a flashy stream experiences
performance problems during high turbidity events.

153
C. Raw Water Pumoing
4 Does the use of constant speed pumps cause undesirable hydraulic loading on down-
stream unit processes?
9 The on-off cycle associated with raw water pump operation at a plant results in
turbidity spikes in the sedimentation basin and filters.
d. Flow Measurement
+ Does the lack of flow measurement devices or their accuracy limit plant control or
impact process control adjustments?
9 The flow measurement device in a plant is not accurate, resulting in inconsistent
flow measurement records and the inability to pace chemical feed rates according
to flow.
e. Chemical Storaqe and Feed Facilities
l Do inadequate chemical storage and feed facilities limit process needs in a plant?
9 Inadequate chemical storage facilities exist at a plant, resulting in excessive chemi-
cal handling and deliveries.
9 Capability does not exist to measure and [email protected] the coagulant and flocculant feed
rates.
f. Flash Mix
l Does inadequate mixing result in excessive chemical use or insufficient coagulation to
the extent that it impacts plant performance?
9 A static mixer does not provide effective chemical mixing throughout the entire
operating flow range of the plant.
9 Absence of a flash mixer results in less than optimal chemical addition and insuffi-
cient coagulation.

9. Flocculation
4 Does a lack of flocculation time, inadequate equipment, or lack of multiple flocculation
stages result in poor floe formation and degrade plant performance?
9 A direct filtration plant, treating cold water and utilizing a flocculation basin with
short detention time and hydraulic mixing, does not create adequate floe for filtra-
tion.
h. Sedimentation
+ Does the sedimentation basin configuration or equipment cause inadequate solids
removal that negatively impacts filter performance?
9 The inlet and outlet configurations of the sedimentation basins cause short-
circuiting, resulting in poor settling and floe carryover to the filters.
9 The outlet configuration causes floe break-up, resulting in poor filter performance
9 The surface area of the available sedimentation basins is inadequate, resulting in
solids loss and inability to meet optimized performance criteria for the process.
i. Filtration
+ Do filter or filter media characteristics limit the filtration process performance?
9 The filter loading rate in a plant is excessive, resulting in poor filter performance.
9 Either the filter underdrain or support gravel have been damaged to the extent that
filter performance is impacted.
+ Do filter rate-of-flow control valves provide a consistent, controlled filtration rate?
9 The rate-of-flow control valves produce erratic, inconsistent flow rates that result
in turbidity and/or particle spikes.
l Do inadequate surface wash or backwash facilities limit the ability to clean the filter
beds?
9 The backwash pumps for a filtration system do not have sufficient capacity to
adequately clean the filters during backwash.

154
 9 The surface wash units are inadequate to properly clean the filter media.
9 Backwash rate is not sufficient to provide proper bed expansion to properly clean
the filters.
j. Disinfection
+ Do the disinfection facilities have limitations, such as inadequate detention time,
improper mixing, feed rates, proportional feeds, or baffling, that contribute to poor dis-
infection?
9 An unbaffled clearwell does not provide the necessary detention time to meet the
Giardia inactivation requirements of the SWTR.
k. Sludqe/Backwash Water Treatment and Disoosal
+ Do inadequate sludge or backwash water treatment facilities negatively influence plant
performance?
9 The plant is recycling backwash decant water without adequate treatment.
9 The plant is recycling backwash water intermittently with high volume pumps.
9 The effluent discharged from a sludge/backwash water storage lagoon does not
meet applicable receiving stream permits.
9 Inadequate long-term sludge disposal exists at a plant, resulting in reduced cleaning
of settling basins and recycle of solids back to the plant.
3. Plant Operability
a. Process Flexibility
+ Does the lack of flexibility to feed chemicals at desired process locations or the lack of
flexibility to operate equipment or processes in an optimized mode limit the plants
ability to achieve desired performance goals?
9 A plant does not have the flexibility to feed either a flocculant aid to enhance floe
development and strength or a filter aid to improve filter performance.
9 A plant includes two sedimentation basins that can only be operated in series.
b. Process Controllability
l Do existing process controls or lack of specific controls limit the adjustment and control
of a process over the desired operating range?
9 Filter backwash control does not allow for the ramping up and down of the flow
rate during a backwash event.
9 During a filter backwash, the lack of flow control through the plant causes hydrau-
lic surging through the operating filters.
9 The level control system located in a filter influent channel causes the filter effluent
control valves to overcompensate during flow rate changes in a plant.
9 Flows between parallel treatment units are not equal and cannot be controlled.
9 The plant influent pumps cannot be easily controlled or adjusted, necessitating
automatic start-up/shutdown of raw water pumps.
9 Plant flow rate measurement is not adequate to allow accurate control of chemical
feed rates.
9 Chemical feed rates are not easily changed or are not automatically changed to
account for changes in plant flow rate.
C. Process Instrumentation/Automation
l Does the lack of process instrumentation or automation cause excessive operator time
for process control and monitoring?
9 A plant does not have continuous recording turbidimeters on each filter, resulting
in extensive operator time for sampling.

155
 9 The indication of plant flow rate is only located in the pipe gallery, which causes
difficulty in coordinating plant operation and control.
9 Automatic shutdown/start-up of the plant results in poor unit process performance.
d. Standbv Units for Kev Eauioment
+ Does the lack of standby units for key equipment cause degraded process performance
during breakdown or during necessary preventive maintenance activities?
9 Only one backwash pump is available to pump water to a backwash supply tank,
and the combination of limited supply tank volume and an unreliable pump has
caused staff to limit backwashing of filters during peak production periods.
e. Flow Prooortioning
+ Does inadequate flow splitting to parallel process units cause individual unit overloads
that degrade process performance?
9 In fluent flow to a plant is hydraulically split to multiple treatment trains, and
uneven flow distribution causes overloading of one flocculation/sedimentation train
over the others.
f. Alarm Svstems
l Does the absence or inadequacy of an alarm system for critical equipment or processes
cause degraded process performance?
9 A plant that is not staffed full-time does not have alarm and plant shut-down capa-
bility for critical finished water quality parameters li. e., turbidity, chlorine residual).

9. Alternate Power Source

l Does the absence of an alternate power source cause reliability problems leading to
degraded plant performance?
9 A plant has frequent power outages, and resulting plant shutdowns and start-ups
cause turbidity spikes in the filtered water.
h. Laboratorv Soace and Eouipment
l Does the absence of an adequately equipped laboratory limit plant performance?
9 A plant does not have an adequate process control laboratory for operators to per-
form key tests (i.e., turbidity, jar testing).
i. Samole Taos
+ Does the lack of sample taps on process flow streams prevent needed information from
being obtained to optimize performance?
9 Filter-to-waste piping following plant filters does not include sample taps to meas-
ure the turbidity spike folio wing back wash.
9 Sludge sample taps are not available on sedimentation basins to allow process con-
trol of the sludge draw-off from these units.

C. Operation
1. Testing
a. Process Control Testing
l Does the absence or wrong type of process control testing cause improper operational
control decisions to be made?
9 Plant staff do not measure and record raw water pkl, alkalinity, and turbidity on a
routine basis: consequently, the impact of raw water quality on plant performance
cannot be assessed.
9 Sedimentation basin effluent turbidity is not measured routinely in a plant.

156
 b. Representative Samolinq
l Do monitoring results inaccurately represent plant performance or are samples collected
improperly?
9 Plant staff do not record the maximum turbidity spikes that occur during filter
operation and following filter back wash events.
9 Turbidity sampling is not performed during periods when the reclaim backwash
water pump is in operation.
2. Process Control
a. Time on the Job
+ Does staffs short time on the job and associated unfamiliarity with process control and
plant needs result in inadequate or improper control adjustments?
9 Utility staff, unfamiliar with surface water treatment, were given responsibility to
start a new plant; and lack of experience and training contributed to improper
coagulation control and poor performance.
b. Water Treatment Understanding
4 Does the operators lack of basic water: treatment understanding contribute to improper
operational decisions and poor plant performance or reliability?
9 Plant staff do not have sufficient understanding of water treatment processes to
make proper equipment or process adjustments.
9 Plant staff have limited exposure to water treatment terminology, limiting their
ability to interpret information presented in training events or in published informa-
tion.
C. ADDlication of Concepts and Testina to Process Control
6 Is the staff deficient in the application of their knowledge of water treatment and inter-
pretation of process control testing such that improper process control adjustments are
made?
Plant staff do not perform jar testing to determine appropriate coagulant dosages
for different water quality conditions.
Plant filters are placed back in service following backwash without consideration
for effluent turbidity levels.
Filter to waste valves are available but are not used following filter backwash.
Plant staff do not calculate chemical dosages on a routine basis.
Plant staff do not change chemical feed systems to respond to changes in raw
water quality.
Filters are backwashed based on time in service or headloss rather than on opti-
mized performance goal for turbidity or particle removal.
Plant staff nbump filters by increasing the hydraulic loading to see if backwashing
is necessary.
Sedimentation basin performance is controlled by visual observation rather than
process control testing.
3. Operational Resources
a. Trainina Program
l Does inadequate training result in improper process control decisions by plant staff?
9 A training program does not exist for new operators at a plant, resulting in incon-
sistent operator capabilities.

157
 b. Technical Guidance
l Does inappropriate information received from a technical resource (e.g., design engi-
neer, equipment representative, regulator, peer) cause improper decisions or priorities to
be implemented?
9 A technical resource occasionally provides recommendations to the plant staff:
however, recommendations are not based on plant-specific studies.
C. Ooerational Guidelines/Procedures
l Does the lack of plant-specific operating guidelines and procedures result in inconsistent
operational decisions that impact performance?
9 The lack of operational procedures has caused inconsistent sampling between
operator shifts and has led to improper data interpretation and process control
adjustments.

0. Maintenance
1. Maintenance Program
a. Preventive
l Does the absence or lack of an effective preventive maintenance program cause unnec-
essary equipment failures or excessive downtime that results in plant performance or
reliability problems?
9 Preventive maintenance is not performed on plant equipment as recommended by
the manufacturer, resulting in premature equipment failures and degraded plant
performance.
9 A work order system does not exist to identify and correct equipment that is func-
tioning improperly.
b. Corrective
+ Does the lack of corrective maintenance procedures affect the completion of emergency
equipment maintenance?
9 A priority system does not exist on completion of corrective maintenance activities,
resulting in a critical sedimentation basin being out of service for an extended
period.
9 Inadequate critical spare parts are available at the plant, resulting in equipment
down time.
C. Housekeeoinq
+ Does a lack of good housekeeping procedures detract from the professional image of
the water treatment plant?
9 An unkempt, cluttered working environment in a plant does not support the overall
good performance of the facility.
2. Maintenance Resources
a. Materials and EauiDment
+ Does the lack of necessary materials and tools delay the response time to correct plant
equipment problems?
9 Inadequate tool resources at a plant results in increased delays in repairing equip-
ment.
b. Skills or Contract Services
l Do plant maintenance staff have inadequate skills to correct equipment problems or do
the maintenance staff have limited access to contract maintenance services?
9 Plant maintenance staff do not have instrumentation and control skills or access to
contract services for these skills, resulting in the inability to correct malfunctioning
filter rate control valves.

158
 Appendix F
Data Collection Forms

159
 Contents

Section Page

Kick-Off Meeting 161 - 163

Administration Data 164 - 169

Design Data 170- 180

Operations Data 181 - 189

Maintenance Data 190- 191

Field Evaluation Data 192 - 197

Interview Data 198- 200

Exit Meeting 201 - 203

160
 KICK-OFF MEETING

A. Kick-Off Meeting Agenda

1. Purpose of the CPE

l Background on CCP process development and application

l Basis for conducting the CPE at the utility

l Assess ability of plant to meet optimized performance goals

Optimized performance criteria description
Multiple barrier concept for microbial protection

l Identify factors limiting plant performance

l Describe follow-up activities

2. Schedule CPE events Utilitv Staff Involved Date/Time

l Plant tour

l On-site data collection

Performance
Design
Operations
Maintenance
Administration

l Special studies

l Interviews

l Exit meeting

161
 KICK-OFF MEETING

3. Information Resources
. Performance monitoring records
. Plant operating records
. As-built construction drawings
. Plant flow schematic
. As-built construction drawings
. 0.81 M manuals
. Equipment manuals
. Previous and current year budgets
. Organizational structure
. Water rate structure

162
 KICK-OFF MEETING

B. Attendance List

Utility Name Date

I Name TitlelPosition TeleDhone No.

163
 ADMINISTRATION DATA

A. Name and Location

1. Name of Facility

2. Utility Name

3. Current Date

4. Contact Information:

B. Organization

1. Governing Body (name and scheduled meetings)

2. Utility structure (attach organizational chart if available)

164
 ADMINISTRATION DATA

3. Plant Organizational Structure (include operations, maintenance, laboratory personnel; attach chart if
available)

C. Communications

1. Utility Mission Statement

2. Water Quality Goals

165
 ADMINISTRATION DATA

3. Communication Mechanisms:

Type Description
Cl Staff Meetings

0 Administrator/Board
Visits to Plant

0 Reports (plant staff to

manager; manager to
governing board)

0 Public Relations/
Education

0. Planning

1. Short-Term Needs

2. Long-Term Needs

166
 ADMINISTRATION DATA

E. Personnel

Comments (e.g., vacant positions, adequacy of current staffing):

F. Plant Coverage

1. Shift Description (e.g., length, number per shift, we,ekend/holiday coverage)

2. Unstaffed Operation Safeguards (e.g., alarm/shutdown capability, dialer)

167
 ADMINISTRATION DATA

G. Financial Information

1. Budget (basis for budget: total utility 0 plant only 01

Last Year Actual Current Year Budget

Enter Year
1. Beginning Cash on Hand

I I

b. Other Revenue (connection fees, interest)

c. Total Water Revenue (2a t2bI
d. Number of Customer Accounts
e. Average Charge per Account (2a + 2d)
3. Total Cash Available (1 + 2~1

b. Replacement Expenses
c. Total O,M&R Expenses (4a + 4b)
d. Total Loan Payments (interest + principal)
e. Capital Purchases
f. Total Cash Paid Out (4c + 4d + 4eI
g. Ending Cash Position (3 - 4f) I I
5. Operating Ratio (2a + 4~)
6. Coverage Ratio (2c - 4c) + (4d)
7. Year End Reserves (debt, capital improvements)
I
8. End of Year Operating Cash (49 - 7)
Source: USEPA Region 8 Financial Analysis Document (1997)

* Includes employee compensation, chemicals, utilities, supplies, training, transportation,

insurance, etc.

f Measure of whether operating revenues are sufficient to cover O,M&R expenses. An

operating ratio of 1 .O is considered minimum for a self-supporting utility.

t Measure of the sufficiency of net operating profit to cover debt service requirements of
the utility. Bonding requirements may require a minimum ratio (e.g., 1.25).

168
 ADMINISTRATION DATA

2. Supporting Financial Information:

Category Information
0 Rate Structure
l User fees
l Connection fees
I
l Planned rate changes

0 Debt Service
l Long-term debt
l Reserve account

0 Capital
Improvements
l Planning
l Reserve account

0 Budget Process
l Staff involvement I

q Spending Authorization 1
l Administrator I
l Plant staff

169
 DESIGN DATA

A. Plant Schematic and Capacity Information

1. Attach or draw plant flow schematic; include the following details:

l Source water type/location l Chemical injection locations
l Major unit processes l Piping flexibility
l Flow measurement locations l On-line monitoring type/location

2. Flow Conditions:

Parameter Flow
Design Capacity
Average Annual Flow

I Peak Instantaneous Flow I I I

170
 DESIGN DATA

B. Major Unit Process Information

1. Flocculation:

Topic Description Information

1. Description Type (reel, turbine, hydraulic)
Number trains/stages per train
I

Control (constant/variable speed)

2. Dimensions Length per stage:

Width per stage:
Depth per stage:
Total volume:
3. Major Unit Selected Process Parameter(s):
Process Detention time (min)
Evaluation 1 Assigned process capacity I
4. Other I
Design
Information
(G values) I

Calculation of mixing energy as expressed by the mean velocity gradient (G) for mechanical mixing:

G = Velocity gradient, set -

p = viscosity, lb-seclft*
V = volume, ft3 sitv _.
Visco,.-, of Water
.---. Versus
- ___ Temoerature
- ,--.---~ -
P = energy dissipated, ft-lblsec Viscosity
Temp. (F) Temp. (C)
= hp x 550 ft-lblsec/hp x 1o-5
(lb-seclft*)
Calculation of G for hydraulic mixing:
32 0 3.746
40 4 3.229
50 . 10 2.735

= water density, 62.4 Iblft3

E, = head loss, ft
t = detention time, set

171
 DESIGN DATA

B. Major Unit Process Information (cont.)

2. Sedimentation:

Topic Description information

1 s Description Type (conventional, tube settlers)
Number trains
Weir location
Sludge collection

2. Dimensions 1
Width:
Depth:
Total surface area:
3. Major Unit Selected Process Parameter(s):
Process Surface loading rate
Evaluation
Assigned process capacity
4. Other
Design
Information

172
 DESIGN DATA

B. Major Unit Process Information (cont.)

3. Filtration:

Topic Description Information

1. Description Type (mono, dual, mixed)
Number of filters
Filter control (constant, declining)
Surface wash type (rotary, fixed)

2. Dimensions Length or diameter:

Width:
Total surface area:

3. Media design conditions (depth, effective size, uniformity coefficient):

4. Backwash Backwash initiation (headloss, turbidity, time):

Sequence (surface wash, air scour, flow ramping up/down, filter-to-waste):

173
 DESIGN DATA

B. Major Unit Process Information (cont.)

3. Filtration (cont.):

Topic Description Information

5. Major Unit Selected Process Parameter(s);
Process Surface loading rate
Evaluation
Assigned process capacity
6. Other
Design
Information

174
 DESIGN DATA

B. Major Unit Process Information (cont.)

4. Disinfection:

Topic Description Information

1 I Description Contact type (clearwell, storage)
T&T factor (see Table 4-4 or use
tracer study results)
2. Dimensions 1 Length or diameter:
Width:
Minimum operating depth:
Total volume:
1 Volume adjusted for T,,/T:
3. Major Unit Selected Process Parameters:
Process Disinfectant (chlorine, chloramines)
I

Evaluation Max. disinfectant residual (mg/L)

Maximum pH
Minimum temperature (C)
Required Giardia inactivation
Required virus inactivation

Assigned process capacity

5. Other
Design
Information

175
 DESIGN DATA

C. Miscellaneous Equipment Information

1. Miscellaneous Equipment/Unit Processes:

Equipment/Process Description/Information
1. Intake Structure
m Location

b Size of screen opening

l Design limitations

2. Presedimentation
l Detention time
. Flexibility to bypass
l Chemical feed capability
l Design limitations I

3. Rapid Mix
l Type (mech., inline)
l Chemical feed options
l Mixing energy
l Design limitations

176
 DESIGN DATA

C. Miscellaneous Equipment Information (cont.)

1. Miscellaneous Equipment/Unit Processes (cont.):

Equipment/Process I Description/Information
4. Backwash/Sludge
Decant Treatment
l

l
I
l Design limitations

I
5. Sludge Handing
l Onsite storage volume 1
l Long-term disposal
l Design limitations

177
 DESIGN DATA

C. Miscellaneous Equipment Information (cant .)

4. Pumping:

Flow Stream Pumped Pump Type Comments

l Location l Turbine l Flow control method
l Number of pumps l Centrifugal l Design issues
l Rated capacity l Source of rated capacity (name plate,
specifications, flow meter)
1.

2.

3.

4.

5.

6.

7.

180
 OPERATIONS DATA

A. Process Control Strategy and Communication

Describe the process control strategy used by the staff and associated communication mechanisms.

Topic Description/Information
1. Process Control Strategy
@ Does the staff set specific
performance targets? Are they
posted?

m Who sets process control

strategies and decisions?

b Are appropriate staff members

involved in process control
and optimization activities?
2. Communication Methods
b Does the staff have routine
plant/shift meetings?

b How is communication
conducted among operations,
maintenance, and lab?

) Does the staff develop and

follow operational procedures?

181
 OPERATIONS DATA

B. Process Control Procedures

Describe specific process control procedures for the following available processes.

Process I Description/Information
1. Intake Structure
m Flexibility to draw water from
different locations & depths

l Operational problems

2. Pumping/Flow Control
l Flow measurement and control

. Proportioning to multiple units 1

l Operational problems

3. Presedimentation
l Chemicals used/dose control
I

l Monitoring (turbidity)
l Sludge removal

l Operational problems

4. Preoxidation
l Chemicals used/dose control

l Monitoring (residual)

l Operational problems

182
 OPERATIONS DATA

Describe specific control, procedures for the following available processes (cont.)

Process Description/Information
5. Coagulation/Softening
l Chemicals used/feed location

l Dose control (adjustment for

flow changes; adjustment for
water quality - jar testing,
streaming current, pilot filter)

l Monitoring (turbidity, particle

counting)

l Operational problems

6. Flocculation
l Mixing energy adjustment

l Use of flocculant aid

l Monitoring

l Operational problems

7. Sedimentation
l Performance objective/
monitoring (turbidity)

l Sludge removal (control,

adjustment)

l Operational problems

183
 OPERATIONS DATA

Describe specific process control procedures for the following available processes (cont.)

Process Description/Information
5. Filtration
1 Performance objective/
monitoring (turbidity, particles,
headloss, run time)
1 Rate control due to demand,
filter backwash

1 Use of filter aid polymer

) Basis for backwash initiation

(turbidity, particles, headloss,
time)
1 Backwash procedures (wash
sequence, duration and rates,
basis for returning filter to
service)

B Filter/media inspections
(frequency and type)
b Operational problems

9. Disinfection
D Performance objective/
monitoring (residual, CT)

l CT factors (pH, minimum depth

of contactor, T,,fl, maximum
residual)
l Operational problems

184
 OPERATIONS DATA

Describe specific process control procedures for the following available processes (cont.)

Process I Description/Information
10. Stabilization
l Chemical used/feed location
l Performance objective/
monitoring (pH, index)
l Operational problems

11. Decant Recycle

. Duration, % of plant flow

l Type of treatment (settling,

chemical addition)

l Operational problems

12. Sludge Treatment

185
 OPERATIONS DATA

C. Data Management

Describe data collection and management approaches and tools used by plant staff.

Topic Description/Information
1. Data Collection
l Type of forms used (water
I
quality testing, shift rounds,
plant log)
l Computer (SCADA, database)
I

2. Data Application
l Development of daily, monthly
reports
l Development of trend charts
I

D. Problem Solving and Optimization Activities

Describe specific approaches and tools used to solve problems or optimize plant processes.

Topic Description/Information
1. Problem Solving/Optimization
l Use of special studies
l Pilot plant

l List recent and ongoing

problem solving/optimization
activities

l Available resources (technical

assistance providers, training,
manuals of practice)

186
 OPERATIONS DATA

E. Complacency and Reliability

Describe specific approaches used to address complacency and reliability issues in the plant.

Topic Description/Information
I. Complacency
1 How does staff respond to
unusual water quality
conditions?

B Does staff have an emergency

response plan? How does staff
train for unusual conditions or
events?

2. Reliability
D Does staff capability to make
process control decisions
exist at more than one level?

187
 OPERATIONS DATA

F. Laboratory Capability

1. Describe available analytical testing capability.

Analytical Capability Capability J Description/Comments

. Color
l Jar test
l Particle counting

0 PH
l Solids (dissolved)
l Taste and odor
l Temperature
l Turbidity

l Aluminum
l Calcium
l Fluoride
l Hardness
l Iron
l Magnesium
l Manganese
l Sodium

l Alkalinity

9 Ammonia Nitrogen
l Nitrite/nitrate
l Phosphate
l Sulfate

l Chlorine residual
l Bacteriological
l Disinfection byproducts

188
 OPERATIONS DATA

2. Describe laboratory space/equipment and procedures.

Process Description/Information
Lab Space and Equipment
9 Does adequate lab space exist? 1

l Do adequate equipment and

I
facilities exist?

Lab Procedures
m Is testing conducted following
standard procedures?

l Where is lab data recorded?

I

e Describe quality control

procedures.

Equipment Calibration
m Describe procedure for
calibrating turbidimeters.

l Describe procedures for

calibrating other equipment
(continuous chlorine and pH
monitors).

189
 MAINTENANCE DATA

A. Maintenance Program

Describe the plant maintenance program.

Topic Description/Information
1, Preventive Maintenance
B Describe equipment inventory
method (cards, computer).

D Describe maintenance scheduling

method (daily, weekly, monthly,
annual).

2. Corrective Maintenance
B Describe the work order system
(issuing orders/documentation).

b Describe priority setting

(relationship to process control
and plant performance needs).

B List major equipment out of

service within last 6 months.

3. Predictive Maintenance
l Describe methods used to
predict maintenance needs
(vibration, infrared analysis).

4. Housekeeping
l Does poor housekeeping detract
from plant performance/image?

190
 MAINTENANCE DATA

B. Maintenance Resources
Describe the available maintenance resources at the plant.

Topic Description/Information
1. Equipment Repair and Parts
l Are critical spare parts stored at
the plant?

l Can vendors provide quick

response to spare parts needs? I

l What is the policy on parts

procurement by staff?

2. Maintenance Expertise
l Describe staff expertise
(mechanical, electrical,
instrumentation).
l Does the staff use any contract
maintenance services? How
responsive are they to needs?
I
l Does staff develop and use
I
maintenance procedures?

3. Work Space and Tools

l Does the plant have adequate I
work space and tools to perform
maintenance tasks?

4. Performance Monitoring
l How is maintenance performance
measured (time to complete
task, work order backlog)?

191
 FIELD EVALUATION DATA

A. Historical Water Production Data

1, Use the following table to determine the peak instantaneous operating flow for the plant.

If a plant operates less than 24 hr/day, flow during operation can be determined from the
equation below:

Q -QT x24hr
A
T day

0, = Average flow during operation

0, = Total flow in 24-hour period
T = Time of plant operation, hours

* Peak instantaneous flow through a plant is often different than the average flow due to
changing water demands that the plant must meet. The peak instantaneous flow during a
day can sometimes be obtained from plant logs (e.g., raw pump operation, rate change
time and flow).

192
 FIELD EVALUATION DATA

B. Water Usage

1. Determine the water usage per capita based on water production records and population seirved.
Water usage statistics for the Unitid States are shown in the table below.

Qc = Usage per capita per day

QT = Total flow in 24-hour period
P = Population served

Population

0, Avg.

0, Peak

I State Use (qpcpd)

Alabama ebraska 174
IAlaska I 134 I 306 I
IArizona ! 191 I Eew Hampshire ! 85 I
Arkansas 154 New Jersey I 131 I
California 175 ,tjew Mexico ! 184 I
Colorado 188 New York I 166 I
IConnecticut
Delaware
! 120
124
IVorlh Carolina
North Dakota
!
I
107
114
I
A.-._ I
Florida 146 O-nlo* I -1 L I
,.,-La-- *-T*
LHawaii 180 I

llllinois 154 I ?hode Island 115 I

llowa I uaKoIa I IL I
3nnessee 148 I
Kentucky I 128 I
Louisiana 147 ! 1
Maine srmont ! 80 I
Maryland 119
Massachusetts 119 H Washington 217
Michigan 136 m west Virginia 96
Minnesota I 105
Mississippi 127 I tyoming
Missouri >uerto Rico
Montana r/it-gin Islands

Source: Solley, W.B. Preliminary Estimates of Water Use in the United States, 1995,
U.S. Geological Survey (1997).

193
 FIELD EVALUATION DATA

2. Determine unaccounted for water based on monthly or annual water production and meter records.
Unaccounted for water typically varies from 10 to 12 percent for new systems and 15 to 30 percent
for older systems (Metcalf and Eddy, Inc. 1991).

Q = tQT -QM)x,O(j
%
QT

Q% = % unaccounted
QT = Total plant water production for month or year
Q, = Total metered water for month or year

QT

QM

Q%

3. Determine backwash water percent based on volume of water filtered and volume of water used for
backwash. Typically, the amount of water used for backwash ranges for 2 to 6 percent for conven-
tional plants. Higher percentages can occur for direct filtration plants.

BW % = (F -~V&~~
F

BW% = % backwash water

VF = Volume of water filtered
V BW = Volume of water used for backwash

V 8W

194
 FIELD EVALUATION DATA

c. In-Plant Studies

Describe results of in-plant studies conducted during the CPE.

Topic Description/Information/Findings
1. Filter Media Evaluation
l Check media depth and type.

l Check media condition (presence

of chemicals/debris, mudballs,
worn media).

l Check support gravel level

(variation of less than 2 inches
acceptable).

2. Backwash Evaluation
l Check backwash rate (measure
I I
rise rate in the filter versus time
and convert to backwash rate; I I
> 15 gpm/ft* acceptable). .

l Check bed expansion I I

> 20 percent acceptable).

195
 FIELD EVALUATION DATA

C. In-Plant Studies (cont.)

Describe results of in-plant studies conducted during the CPE.

Topic Description/Information/Findings
2. Backwash Evaluation (cont.)
l Observe backwash procedure
(flow distribution, ramping of flow
rate, turbidity of water at end of
backwash).

3. Coagulant Dosage Evaluation

l Verify reported dose with actual;
measure liquid or dry feed rate
(Ib/min, mL/min) and convert to
dose (mg/L).

4. Turbidity Meter Evaluation

l Check meter calibration or
compare with calibrated meter.

196
 FIELD EVALUATION DATA

C. In-Plant Studies (cont.)

Describe results of in-plant studies conducted during the CPE.

Topic Description/Information/Findings

197
 INTERVIEW DATA

A. Interview Guidelines

The following interview guidelines are provided to assist CPE providers with the interview process.

1. Conduct interviews with one staff person at a time in a private location.

n It is important to create a comfortable environment for the interview process to take place. Con-
fidentiality of the interview should be explained.

2. Keep the interview team size small.

. The number of people included on each interview team should be kept to a minimum (e.g., 1 to 3)
to avoid overwhelming the person being interviewed. If more than one person is included on the
team, one person should be assigned as the lead interviewer.

3. Allow 30 to 45 minutes for each interview.

. Interview times will vary depending on the personality of the individual being interviewed and the
number and type of issues involved. It is the responsibility of the interviewer to maintain the
focus on performance-related issues. Interviews can easily be detracted by individuals who find
an open ear for presenting grievances.

4. Explain the purpose of the interview and use of the information.

. It is important for the people being interviewed to understand that any information obtained from
this process is only used to support identification of factors limiting performance (i.e., areas
impacting performance). The interview information is not used to place blame on specific indi-
viduals or departments.

5. Conduct interviews after sufficient information has been aathered from CPE activities.
n Utilize results and observations gained from the plant tour, performance assessment, major unit
process evaluation, and data collection activities to identify areas of emphasis during the inter-
views.

6. Proaress throuah the interview In a loaical order.

. For example, if an administrator is being interviewed, focus questions on administrative support,
then on design issues, followed by operation and maintenance capabilities,

7. Ask relevant auestions with respect to staff area of involvement.

n For example, when interviewing maintenance personnel, ask questions related to relevant topics
such as maintenance responsibilities, communication with supervisors, and administrative support
for equipment.

8. Ask open-ended auestions.

* . For example, a question such as Are you aware of any design deficiencies with the current
plant? II would provide better information than a question like Do you think that the flocculation
basin provides sufficient detention time for flocculation?.

198
 INTERVIEW DATA

9. Ask the auestions; dont aive the answers.

m The purpose of the interview is to gain the perspective of the person being interviewed. Ask the
question and wait for the response (i.e., dont answer your own question based on information
you may have received from previous activities). Rephrasing the question may sometimes be
necessary to provide clarity.

10. Repeat a resconse to a auestion for clarification or confirmation.

. For example, the interviewer can confirm a response by stating, If I understand you correctly,
you believe that the reason for poor plant performance during April was due to excessive algae
growth in the source water.

11. Avoid accusatorv statements.

n Accusatory statements will likely lead to defensiveness by the person being interviewed. Rather,
if an area of concern is suspected, ask questions that can confirm or clarify the situation.

12. Use the interview to clarifv or confirm field information.

. For example, if performance problems occurred during one month of the past year, ask questions
to clarify the perceived reasons for these problems.

13. Note scecific resnonses that support factor identification.

. During or following the interview, the interviewer may want to note or underline specific
responses that support the identification of possible factors limiting performance. This summary
can then be used during team debriefing and factor identification meetings.

199
 INTERVIEW DATA

B. Personnel Interview Form

Name Title
Time at plant Years of experience
Education/training/certification

Interview notes (concerns, recommendations in administration, design, operation, and maintenance):

200
 EXIT MEETING

A. Attendance List

Utility Name Date

201
 EXIT MEETING

B. Mutiple Barrier Concept for Microbial Contaminant Protection

n Turbidity

0
Addition GOal

Variable J I
Quality
SOWOe

Finished
Water

Disinfection
Barrier

l Given a variable quality source water, the treatment objective is to produce a consistent, high quality
finished water.

l Protozoan parasites, such as Giardia and Cryptosporidium, are found in most source waters; however,
it is difficult to quantify their presence and assess their viability.

l Microbial pathogens in the source water, such as protozoan parasites, bacteria, and viruses, can be
physically removed as particles in treatment processes and inactivated through disinfection.

l Multiple barriers are provided in a treatment plant to remove or inactivate microbial pathogens.

l Key treatment barriers include flocculation/sedimentation, filtration, and disinfection.

l Since measurement of protozoan parasites is difficult, surrogate parameters, such as turbidity, particle
counting, and pathogen inactivation, are used to assess the performance of each barrier.

202
 EXIT MEETING

C. Optimization Performance Criteria

A summary of performance criteria for surface water treatment plants to provide protection against
microbial contaminants is presented below:

1. Minimum Data Monitoring Requirements

. Daily raw water turbidity

n Settled water turbidity at 4-hour time increments from each sedimentation basin

n On-line (continuous) turbidity from each filter

n One filter backwash profile each month from each filter

2. Individual Sedimentation Basin Performance Criteria

. Settled water turbidity less than 1 NTU 95 percent of the time when annual average raw water
turbidity is less than or equal to 10 NTU

. Settled water turbidity less than 2 NTU 95 percent of the time when annual average raw water
turbidity is greater than 10 NTU

3. Individual Filter Performance Criteria

= Filtered water turbidity less than 0.1 NTU 95 percent of the time (excluding 15-minute period
following backwashes) based on the maximum values recorded during 4-hour time increments

. Maximum filtered water measurement of 0.3 NTU

. Initiate filter backwash immediately after turbidity breakthrough has been observed and before
effluent turbidity exceeds 0.1 NTU.

. Maximum filtered water turbidity following backwash of 0.3 NTU

. Maximum backwash recovery period of 15 minutes (i.e., return to less than 0.1 NTU)

. Maximum filtered water measurement of less than 10 particles (in the 3 to 18 ,um range) per milli-
liter (if particle counters are available)

4. Disinfection Performance Criteria

n CT values to achieve required log inactivation of Giardia and virus

203
 Appendix G
Example WE Report

205
 Results of the
Comprehensive Performance Evaluation
of Water Treatment Plant No. 005

Prepared by:

Prepared for:

206
 Site Visit Information

Mailing Address:

Date of Site Visit:

Utility Personnel:

CPE Team:

207
 Table of Contents

Paoe No.

INTRODUCTION 210

FACILITY INFORMATION 211

PERFORMANCE ASSESSMENT 212

MAJOR UNIT PROCESS EVALUATION 216

PERFORMANCE LIMITING FACTORS 218

Alarms (Design) A 218
Process Flexibility (Design) A 218
Policies (Administration) A 218
Insufficient Time on the Job (Operation) A 218
Process Instrumentation/Automation (Design) B 218
Presedimentation (Design) B 219

EVALUATION FOLLOW-UP 219

REFERENCES 219

208
 List of Figures

Paae No.

FIGURE 1 Comprehensive Performance Evaluation methodology. 210

FIGURE 2 Water treatment flow schematic. 211

FIGURE 3 Daily maximum plant influent water turbidity. 213

FIGURE 4 Daily maximum finished water turbidity. 214

FIGURE 5 Filter effluent turbidity profile after backwash. 215

FIGURE 6 Major unit process evaluation. 216

FIGURE 7 Process evaluation for individual treatment unit. 217

List of Tables

TABLE 1 Frequency Analysis of Raw Water Turbidity 213

TABLE 2 Frequency Analysis of Finished Water Turbidity 215

209
Introduction approach can be utilized to evaluate the ability of a
water filtration plant to meet the turbidity and
The Composite Correction Program (CCPI (1 I is an disinfection requirement of the SWTR and then to
approach developed by the U. S. Environmental facilitate the achievement of cost effective compli-
Protection Agency and Process Applications, Inc. ance.
to improve surface water treatment plant perform-
ance and to achieve compliance with the Surface In recent years, the CCP has gained prominence as
Water Treatment Rule (SWTRI. Its development a mechanism that can be used to assist in opti-
was initiated by Process Applications, Inc. and the mizing the performance of existing surface water
State of Montana (21, who identified the need for treatment plants to levels of performance that
a program to deal with performance problems at exceed the requirements in the SWTR. The cur-
their surface-supplied facilities. The approach rent standards do not always adequately protect
consists of two components, a Comprehensive against some pathogenic microorganisms, as evi-
Performance Evaluation (CPEI and Comprehensive denced by recent waterborne disease outbreaks.
Technical Assistance (CTA). Producing a finished water with a turbidity of
co.1 NTU provides much better protection
The methodology followed during a CPE is against pathogens like Cryptosporidium (3,4,5,
described in Figure 1. A comprehensive assess- 6,7,8,9,10,11 I, the microorganism responsible for
ment of the unit process design, administration a large outbreak of Ctyptosporidiosis in Milwaukee
and maintenance support is performed to establish in April 1993, where 403,000 people became ill
whether a capable plant exists. Additionally, an and at least 79 people died.
assessment is made on the plant staffs ability to
apply process control principles to a capable plant USEPA has chosen to use the CCP approach to
to meet the overall objective of providing safe and evaluate selected surface water treatment plants in
reliable finished water. The results of this this region. Water Treatment Plant No. 005 was
assessment approach establish the plant capability selected as the first candidate for a CPE. This
and a prioritized set of factors limiting perform- plant has experienced difficulties with continuously
ance. Utility staff can address all or some of the meeting the turbidity requirements of the SWTR,
identified factors, and improved performance can and the water system manager and staff
occur as the result of these efforts. A CTA is expressed interest in receiving assistance with cor-
used to improve performance of an existing plant recting this situation.
when challenging or difficult-to-address factors are
identified during the CPE. Therefore, the CCP

FIGURE 1, Comprehensive Performance Evaluation methodology.

Safe/Reliable Finished Water

Capable Plant

210
The following report documents the findings of the The intake for the treatment plant is located in
CPE conducted at Water Treatment Plant No. 005. Clear Creek upstream of a small diversion dam.
The CPE identifies and prioritizes the reasons for The turbidity in the raw water pipeline has not
less-than-optimum performance. The CPE may be been recorded regularly since the treatment plant
followed by the second phase of the CCP, Com- began operation. Limited raw water pipeline tur-
prehensive Technical Assistance (CTAI, if appro- bidity data from before plant start-up was
priate. reviewed during the CPE. The data indicate that
turbidity in the raw water pipeline was typically
low (i.e., < 1.5 NTUI with some peaks in the
Facility Information spring that were less than 5 NTU. About 100
cubic yards of sediment is dredged and removed
A flow schematic of Water Treatment Plant at two-year intervals in the vicinity of the intake,
No. 005 is shown in Figure 2. The water source upstream of the diversion dam. Settling of par-
for the plant is Clear Creek. Staff reported that ticulates at this location may partially account for
turbidity in the creek reaches a maximum level of the low raw water turbidity values observed. The
50 - 80 NTU. The Clear Creek Basin can be utility is also constructing a dam upstream of the
characterized as mountainous and forested. intake; and, as a result, even less raw water tur-
Sources of potential contamination include wildlife bidity variations are expected in the future.
and human sources (e.g., recreation use, camping
etc.).

FIGURE 2. Water treatment flow schematic.

Diversion Dam

Hycto Ebcbic Sta.

, Powcbrsd A&Carbon

To semr ,-Sod. Ash

211
About 6 cfs of water flows by gravity from the l Mixed media filters.
intake through about four miles of 14-inch
diameter ductile iron pipe to a utility-owned l Filter-to-waste capability set by a common
hydroelectric power generating station near the control valve to 1 MGD. (NOTE: This flow
water treatment plant. After the hydroelectric rate is not easily adjusted and limits the flexi-
station, about 4 cfs flows back into Clear Creek bility to change the individual treatment train
and the remaining 2 cfs flows through two large flow rate to a value other than 1 MGD.)
presedimentation ponds. Detention time through
these ponds is estimated to be about 14 days. A l Two continuously monitoring particle counters
raw water pump station located beside the lower on filter effluent (one shared by two trains).
pond includes four constant speed raw water
pumps, each with a 700 gpm capacity. l Clearwell with intra-basin baffles

The amount of water that can be run through the

presedimentation ponds and discharged to the Performance Assessment
creek is limited by the capacity of the Parshall
flume on the overflow of the lower pond. Also, During the CPE, the capability of the Water Treat-
there are no provisions to bypass an individual ment Plant No. 005 was evaluated to assess
pond to reduce the detention time. The ponds can whether the facility, under existing conditions,
be bypassed by directing the raw water to the could comply with the turbidity and disinfection
pump station intake; however, this results in the requirements that are used to define optimized
bypassing of the hydroelectric station. The utility performance. Optimized performance, for pur-
is planning to install another pipeline from the poses of this CPE, represents performance criteria
hydroelectric station to the raw water pumping that exceeds the SWTR requirements. Optimized
station before the spring runoff occurs. This will performance would require that the facility take a
allow the ponds to be bypassed without interfering source water of variable quality and consistentlv
with the hydroelectric station operation. produce a high quality finished water. Multiple
treatment processes (e.g., flocculation, sedimenta-
The water treatment plant began operation in tion, filtration, disinfection) are provided in series
August 1996. Prior to that, chlorination was to remove particles, including microbial pathogens,
provided after the settling ponds before entering and provide disinfection to inactivate any remain-
the distribution system. The plant has a reported ing pathogens.
firm design capacity of about 3 MGD. Major
treatment components include chemical feed Water Treatment Plant No. 005 utilizes a package
equipment, four package treatment trains consist- water treatment process that includes combined
ing of an upflow clarifier and filter basins, a flocculation/sedimentation in an upflow clarifier
110,000 gallon clearwell, and a 600,000 gallon and filtration. Each of the available processes rep-
finished water storage tank. Each of the upflow resents a barrier to prevent the passage of micro-
clarifier and filter units has a reported capacity of bial pathogens through the plant. By providing
1 MGD. The plant is designed to operate at multiple barriers, any microorganisms passing one
1 MGD incremental flow rates with one raw water process can be removed in the next, minimizing
pump dedicated to each treatment train in opera- the likelihood of microorganisms passing through
tion. Unique characteristics of the plant are sum- the entire treatment system and surviving in water
marized as follows. supplied to the public. The role of the water
treatment operator is to optimize the treatment
l Large presedimentation ponds prior to treat- processes (i.e., barriers) under all conditions
ment. because even temporary loss of a barrier could
result in the passage of microorganisms into the
0 Static mixer for coagulant mixing. distribution system and represents a potential
health risk to the community.
l Chemical feed capability: alum, polymer, soda
ash, powdered activated carbon, chlorine. A major component of the CPE process is an
assessment of past and present performance of
l Upflow clarifiers with gravel media (1 to 5 mm the plant. This performance assessment is
size). intended to identify if specific unit treatment

212
processes are providing multiple barrier protection water turbidity is less than or equal to 4 NTU 95
through optimum performance. The performance percent of the time. Maximum daily plant influent
assessment is based on data from plant records turbidity varied from less than 1 NTU to 10 NTU,
and data collected during special studies per- as shown in Figure 3.
formed during the CPE.

Specific turbidity performance targets were used TABLE 1. Frequency Analysis of Raw Water
during this assessment. These specific perform- Turbidity
ance targets include:
J
l Sedimentation - turbidity of less than 1 NTU
95 percent of the time, since average annual
raw water turbidity is less than 10 NTU.
90 3.6
l Filtration - individual filter turbidity less than 95 4.0
0.1 NTU 95 percent of the time (excluding 15- Average 2.6
minute period following backwash); also,
maximum filtered water turbidity following
*Daily maximum value
backwash of 0.3 NTU.

l Disinfection - CT values to achieve required log

The turbidimeter is located a long distance from
Giardia cyst and virus inactivation.
the influent pipe. A significant number of brief (a
few minutes to less than 1 hour) turbidity spikes
A plant influent turbidimeter and strip chart
were noted on the strip chart. A special study
recorder are provided, but the plant operators do
would be required to determine the cause of these
not routinely record daily influent water turbidity in
brief influent turbidity spikes. lnfluent turbidity
their operating log. The plant influent turbidity
during the CPE was less than 1 NTU.
strip charts for the past year were reviewed during
the evaluation. A frequency analysis of these data
is summarized in Table 1. As indicated, the raw

FIGURE 3. Daily maximum plant influent water turbidity.

9.00

7.00

g mo
$ 5.00
e
12 4.00

3.00

2.00

1.00

213
The finished water turbidimeter is located at the tank were used. The daily maximum finished
outlet of the 600,000 gallon finished water stor- water turbidity for the previous 12 months is
age tank. This meter has a strip chart recorder, shown in Figure 4. The results of a frequency
and operators routinely record this data for water analysis of the finished water data are shown in
quality reporting purposes. Table 2 and indicate that 95 percent of the time
the filtered water turbidity was less than
The plant operators do not routinely sample and 0.87 NTU.
measure turbidity after the upflow clarifiers. Dur-
ing the CPE, turbidities of 0.56 to 0.71 NTU were During several months, plant performance did not
measured between the upflow clarifier and the fil- meet the turbidity requirement of the SWTR (i.e.,
ter over a two-hour period. During the same <0.50 NTU 95 percent of the time on monthly
period the plant influent turbidity ranged from 0.5 basis). From April through June, filtered water
to 0.7 except for a 15-minute spike from 3 to turbidity consistently exceeded the regulated limit
10 NTU after a brief filter shutdown. Because of of 0.50 NTU. Plant staff reported that this period
the low influent water turbidity conditions during of poor performance was due to a bad batch of
the CPE and the lack of historical turbidity data at alum and poor water quality from the ponds. A
the clarifier outlet, the ability of the plant to meet large amount of algae or other filamentous material
the 1 NTU turbidity goal on a long-term basis from the ponds caused clogging problems on the
could not be determined. media support screens of the upflow clarifiers for
several weeks. This material was cleaned manu-
The plant does not have on-line turbidimeters for ally with great difficulty, and during the worst
monitoring turbidity following individual filters, and period cleaning was required on a daily frequency.
plant operators do not routinely collect grab sam- Hand-cleaned screens have been installed on the
ples to measure turbidity at this location. Two on- raw water pump intakes in the lower pond to
line particle counters are available for monitoring assist with removing this material before it reaches
filter performance; however, staff have experi- the treatment units. It is also possible that post
enced operating problems with at least one of the flocculation may have occurred in the clearwell
units. To assess historical plant performance, tur- and finished water storage tank during this period.
bidity values from after the treated water storage

FIGURE 4. Daily maximum finished water turbidity.

2.00

1.80

1.60

1.40

5 1.20

$ 1.00
z
5 0.80
+
0.60

214
TABLE 2. Frequency Analysis of Finished Water 31.5 inches. Of this mixed media depth, about 18
Turbidity inches was anthracite. Inspection of the media at
and below the surface showed that the media was
Percentile Finished Water very clean. During the backwash, a filter bed
NTU* expansion of 21.8 percent was calculated, which
50 0.16 is within the acceptable range of 20 to 25%.
75 0.32
90 0.55 Immediately after completion of the filter back-
95 0.87 wash, the filtered water turbidity was measured
Average I 0.33 periodically for about 35 minutes. These data are
shown in Figure 5. The current procedure is to
Daily maximum value
filter to waste for ten minutes after the end of the
backwash cycle. As indicated by the performance
graph, the filter did not meet the backwash optimi-
Although significant improvement in performance
zation criteria of a maximum turbidity spike of
has recently occurred, the plant d i d not achieve
0.3 NTU and return to less than 0.1 NTU within
the optimized filtered water turbidity target of less
15 minutes.
than 0.1 NTU during the past year. This perform-
ance allows an increased opportunity for patho-
In summary, performance data for the last year
gens, such as Cryptosporidium oocysts, to pass
show that Water Treatment Plant No. 005 has not
into the public water supply.
been in compliance with the SWTR on a consistent
basis. In addition, the plant has not met the opti-
During the CPE a special study was conducted on
mized performance goal of 0.1 NTU for filtered
the filter media, backwash procedure, and per-
water. Consequently, this performance assess-
formance of a filter following a backwash. Prior to
ment indicates that the water system is at risk of
backwashing, filter unit #2 was drained to allow
passing microbial pathogens to consumers.
physical observation of the filter media. The total
depth of the mixed media was consistently about

FIGURE 5. Filter effluent turbidity profile after backwash.

Optimized Target

0.05 Filter to Waste -+ to Cleawell

0.00 I I I I I I
0 5 10 15 20 25 30 35
Minutes After Backwash

215
Major Unit Process Evaluation Water Treatment Plant No. 005 has a maximum
raw water pumping capacity of 4 MGD. The plant
Major unit processes were assessed with respect was designed for a maximum treatment capacity
to their capability to provide consistent perform- of 3 MGD with one treatment unit out of service.
ance and an effective barrier to passage of micro- A peak instantaneous flow rate of 3 MGD is used
organisms on a continuous basis. The perform- for the major unit process evaluation, based on the
ance goal used in this assessment for the filtration highest instantaneous flow rate reported by the
process was a settled water turbidity of less than staff.
2 NTU and a filtered water turbidity of less than
0.1 NTU. Capabilities of the disinfection system Major unit process capability was assessed by
were based on the USEPA guidance manual (12) projecting treatment capacity of each major unit
requirements for inactivation of G i a r d i a and process against the peak instantaneous flow rate.
viruses. The major unit process evaluation for the entire
treatment plant is shown in Figure 6. The unit
Since the plants treatment processes must pro- processes evaluated are shown on the left side of
vide an effective barrier at all times, a peak instan- the graphs, and the flow rates against which the
taneous operating flow is typically determined. processes were assessed are shown across the
The peak instantaneous operating flow represents top. Horizontal bars on the graph represent the
the maximum flow rate that the unit processes are projected peak capability of each unit process to
subjected to, which represents the hydraulic con- achieve the desired optimized process perform-
ditions where the treatment processes are the ance. These capabilities were projected based on
most vulnerable to the passage of microorganisms. the combination of treatment processes at the
If the treatment processes are adequate at the plant, the CPE teams experience with other simi-
peak instantaneous flow, then the major unit proc- lar processes, industry guidelines, and regulatory
esses are projected to be capable of providing the standards. The shortest bar represents the unit
necessary effective barriers at lower flow rates. process which limits plant capability the most rela-
tive to achieving the desired plant performance.

FIGURE 6. Major unit process evaluation.

Water Flow Rate (MGD)

0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0

I~~

FlocYSedimentation (1)
Peak
hstantanmus +
Flow

Filtration (2)

1
Disinfection (3) 1, 1

(1) Surface area = 280 Rz; rated at 8.0 gpm/fP, upflow clarifier with rock gravel media
(2) Surface area = 580 ttl; rated at 4 gpm/fF; mixed media
(3) Volume = 98,000 gal; total 3-log Giardia inactivation/removal required; assume 2.5log
removal allowed through conventional plant credit and OS-log required by disinfection;
pH = 7.5; temp = OSoC; chlorine residual = 1.8 mg/L; T&T = 0.7; 3 tt minimum
cleatwell depth

216
The major unit processes evaluated were the well-operated conventional filtration plant is
upflow clarifiers (flocculation and sedimentation), allowed a 2.5-log removal credit for Giardia cysts,
filtration, and disinfection processes. Criteria used and the remaining 0.5-log removal is achieved by
to assess each major unit process are described in meeting specified CT requirements associated with
the notes below the graph. chemical disinfection. CT is the disinfectant con-
centration (Cl in mg/L multiplied by the time (T) in
The upflow clarifiers were rated based on their minutes that the water is in contact with the disin-
surface overflow rate. Typically, conventional fectant. The required CT value was obtained from
sedimentation basin capability is rated based on a the USEPA guidance manual (31, using typical
surface overflow rate of 0.5 to 0.7 gpmlft. A plant values for free chlorine residual (i.e.,
surface overflow rate of 10 gpm/ft2 is used by the 1 .O mg/L) and pH (i.e., 7.5) and a worst case
package plant manufacturer for the design rating water temperature of 0.5OC. The volume of the
of their upflow clarifier units. Because of the clearwell was adjusted for the minimum operating
combined flocculation and sedimentation function depth of 3 feet. A T,,/T ratio of 0.70 was used
and the short detention time of these units, they because of the superior baffling conditions in the
were rated based on an oveiflow rate of clearwell. Under this scenario, the disinfection
a gpm/ft2. This produced a combined floccula- process is capable of treating 3.44 MGD, using a
tion/sedimentation capability rating of 3.23 MGD required free chlorine CT value of 46 mg/L-min.
when using all four treatment units.
The results of the major unit process evaluation
The filtration process was rated based on a load- indicate that the plant should be capable of treat-
ing rate of 4 gpm/ft2 and use of all four filters. ing the peak instantaneous flow rate of about
These criteria resulted in a combined filtration 3.2 MGD with four treatment trains in service (i.e.,
capability of 3.23 MGD. 0.8 MGD per train). However, the control of the
plant is set up so that each treatment train
The disinfection process was assessed based on operates at a constant flow rate of 1 MGD (see
USEPA Surface Water Treatment Rule require- Figure 71, and flexibility does not exist to easily
ments for inactivation of 3-log of Giardia cysts and operate each train at lower flow rates without
4 log of viruses. The Giardia removal/inactivation modifying the filter to waste piping from the
is the most stringent criteria; consequently, it was filters.
used as the basis of the disinfection evaluation. A

FIGURE 7. Process evaluation for individual treatment unit.

Water Flow Rate (MGD)

0.0 0.5 1.0 1.5

FlocISedimentation (1)

Filtration (2)

(1) Surface area = 70 tt2; rated at 8.0 gpm/ft$ upflow clarifier with gravel media
(2) Surface area = 140 ft2; rated at 4 gpm/ft2; mixed media

217
The major unit process evaluation indicates that the filter to waste flow rate of 1 MGD; other-
the current practice of operating individual treat- wise, the water level in a filter changes.)
ment units at a constant flow rate of 1 MGD, as
required by the design and control system, may be l No ability to feed filter aid polymer to the fil-
contributing to the less-than-optimum performance ters, (NOTE: This flexibility can be used to
of the flocculation/sedimentation and filtration enhance filter performance, especially during
processes. times when clarifier performance is less than
optimum.)

Performance Limiting Factors l Inability to .gradually increase and decrease

backwash flow rate. (NOTE: This flexibility
The areas of design, operation, maintenance, and provides better cleaning of the filter media,
administration were evaluated in order to identify less opportunity for loss of media, and better
factors which limit performance. These evalua- re-stratification of the media following back-
tions were based on information obtained from the wash.)
plant tour, interviews, performance and design
assessments, special studies, and the judgment of Policies (Adminis tra tionl A
the evaluation team. Each of the factors was
classified as A, B, or C according to the following l Lack of established performance goals for the
guidelines: plant, such as 0.1 NTU filtered water turbidity,
that would provide maximum public health
A - Major effect on a long term, repetitive basis protection and associated support to achieve
these performance goals.
B - Minimal effect on a routine basis or major
effect on a periodic basis
c- Minor effect Insufficient Time on the Job lOperation A
No sampling and evaluation of upflow clarifier
The A and B factors were prioritized as to their performance.
relative impact on performance and are summa-
rized below. In developing this list of factors lim- Inadequate testing to optimize coagulant type
iting performance, 50 potential factors were and dosages. (NOTE: Some jar testing was
reviewed; and their impact on the performance of completed by staff; however, standard testing
Water Treatment Plant No. 005 was assessed. procedures were not followed to determine
The evaluation team identified six factors that are optimum dosages.1
limiting plant performance. Numerous other fac-
tors were not felt to be affecting plant perform- No monitoring of individual filter turbidity.
ance. The factors and the findings that support
their selection are summarized below in prioritized Excessive caution on use of the creek source
order. to achieve optimized performance.

Starting dirty filters without backwashing or

Alarms (Design) A using filter to waste.

l The plant does not have alarm and shutdown Non-optimized feed point for flocculant aid
capability on chlorine feed, chlorine residual, addition. (NOTE: Flocculant aid products are
influent turbidity and finished water turbidity. typically fed at a location with gentle mixing to
avoid breaking the long-chain organic mole-
cules.)
Process Flexibility (Design) A
. Inability to automatically change the filter to
waste flow rate to values other than 1 MGD. Process lnstrumen ta tion/Automa tion (Design) B
(NOTE: This lack of flexibility limits the flow l No turbidimeters are located on individual fil-
rate of the individual treatment trains, since ters and creek source (i.e., at turbine).
the plant flow rate must be 1 MGD to match

218
. Plant is designed to automatically start and l Establish a process control program based on
stop operation based on storage tank level and prioritized data collection, database develop-
upflow clarifier backwash requirements. ment, data and trend interpretation, and proc-
(NOTE: Without initiating a filter backwash or ess adjustments.
the filter to waste mode after each shutdown,
the potential exists to pass trapped particles l Provide technical guidance on use of the creek
(i.e., potential pathogens) through the plant source versus the presedimentation ponds
due to hydraulic surging.) during seasonal water quality changes.

l Location of influent turbidity sample line rela- . Facilitate special studies with plant staff to
tive to the monitor cell may cause inaccurate assist them with optimizing plant performance
readings. and establishing the need for minor plant modi-
fications.

Presedimen ta tion (Design) 6 l Provide training to assist operators with opti-

Long detention time and subsequent low turn- mizing coagulant type and dosages.
over contributes to excessive algae growth
and poor water quality.
References
Lack of flexibility to operate one, or portion of
one, presedimentation pond to reduce deten- 1. Renner, R.C., B.A. Hegg, J.H. Bender, and
tion time and increase turnover. E.M. Bissonette. February 1991. Handbook -
Optimizinq Water Treatment Plant Perform-
Lack of flexibility to bypass ponds without ance Usina the Composite Correction Pro-
bypassing the turbine. (NOTE: A new bypass m. EPA 625/6-91/027. Cincinnati, OH:
is under construction which will provide this USEPA.
flexibility.)
2. Renner, R.C., B.A. Hegg, and D.F. Fraser.
Limited ability to maintain high turnover February 1989. Demonstration of the Com-
through ponds when not in use because of prehensive Performance Evaluation Technique
restriction in Parshall flume from pond 2 to to Assess Montana Surface Water Treatment
creek. Plants. m Association of State Drinking Water
Administrators Conference. Tucson, AZ.

3. AWWA Statement of Policy. 1968. Quality

Evaluation Follow-Up
Goals for Potable Water. Jour.A WWA,
60(12):1317. Denver, CO.
The potential exists to achieve optimized perform-
ance goals and, therefore, enhance public health
4. AWWA White Paper. 1995. What Water
protection with Water Treatment Plant No. 005.
Utilities Can Do to Minimize Public Exposure
Implementation of a Comprehensive Technical
to Cryptosporidium in Drinking Water.
Assistance (CTA) project by a qualified facilitator
AWWA Mainstream. Denver, CO.
has been demonstrated to be an effective
approach to achieve optimum performance goals December
5. Logsdon, G.S. and E.C. Lippy.
(13). Through a CIA project, the performance
1982. The Role of Filtration in Preventing
limiting factors identified during the Comprehen- Jour.A WWA:654.
Waterborne Disease. n
sive Performance Evaluation would be addressed
Denver, CO.
in a systematic manner. A partial list of potential
CTA activities that could be implemented by a USEPA Water Engineering Research Labora-
6.
facilitator and plant staff is presented below:
tory. 1985. Project Summarv - Filtration of
G i a r d i a Cvsts and Other Substances:
. Facilitate development of optimization per- Volume 3 - Rapid Rate Filtration. EPA/GOO/
formance goals by the city administration to S2-85/027. Cincinnati, OH: USEPA.
provide adequate direction and support to
operation and maintenance staff.

219
7. Logsdon, G.S., L. Mason, and J.B. Stanley, Through High Rate Filtration. In Proceedinas
Jr. 1988. Troubleshooting an Existing of 1994 AWWA Annual Conference - New
Treatment Plant. In Proc. of A WWA Semi- York, NY. AWWA. Denver, CO.
nar - Filtration: Meeting New Standards:
109-l 25. Denver, CO. 11 Patania, N.L., et. al. 1996. Optimization of
Filtration for Cyst Removal. Denver, CO:
8. Consonery, P.J., et. al. November 1996. AWWARF.
Evaluating and Optimizing Surface Water
Treatment Plants: How Good is Good 12 Guidance Manual for Compliance With the
Enough. Paper presented at AWWA Water Filtration and Disinfection Reauirements for
Quality Technology Conference. Boston, MA. Public Water Svstems Usina Surface Water
Sources. 1989. USEPA Office. of Drinking
9. Nieminski, E.C., et. al. 1995. Removing Water. Washington, D.C.
Giardia and Cryptosporidium by Conventional
Treatment and Direct Filtration. Journal 13 Schwarz, C., J.H. Bender, and, B.A. Hegg.
AWWA, 87(9):96. Denver, CO. December 1997. Final Report - Comprehen-
sive Technical Assistance Project - City of
10. West, T., P. Daniel, P. Meyerhofer, A. Greenville Water Treatment Plant. II Texas
DeGraca, S. Leonard, and C. Gerba. 1994. Natural Resource Conservation Commission.
Evaluation of Cryptosporidium Removal

220
 Appendix H
Example CPE Scheduling 1 e tter

221
April 6, 1998

Chairman/Mayor/Public Works Director

Water Authority/City/Town

RE: Evaluation of the Water Authority/City/Town Water Treatment Plant

May 18-21, 1998

Dear Mr./MS.

You were recently contacted by of the (regulatory agency) regarding an

evaluation of your water treatment facility. This letter is intended to provide you with some information
on the evaluation and describe the activities in which the Water Authority/City/Town will be
involved. The evaluation procedure that will be used at your facility is part of an overall water treatment
optimization approach called the Composite Correction Program.

The Composite Correction Program (CCP) was developed by the U. S. Environmental Protection Agency
and Process Applications, Inc. to optimize surface water treatment plant performance for protection
against microbial contaminants such as Giardia and Cryptosporidium. The approach consists of two com-
ponents, a Comprehensive Performance Evaluation (CPE) and Comprehensive Technical Assistance (CTAI.
The first component, the Comprehensive Performance Evaluation, will be conducted at your facility the
week of . During the CPE, all aspects of your water treatment administration, design,
operation, and maintenance will be reviewed and evaluated with respect to their impact on achieving
optimized performance.

The evaluation will begin with a brief entrance meeting on Monday, May 18, 1998 at approximately
2:00 P.M. The purpose of the entrance meeting is to discuss with the plant staff and administrators the
purpose of the evaluation and the types of activities occurring during the next three days. Any questions
and concerns regarding the evaluation can also be raised at this time. It is important that the plant
administrators and those persons responsible for plant budgeting and planning be present because this
evaluation will include an assessment of these aspects of the plant. Following the entrance meeting,
which should last approximately 30 minutes, the plant staff will be requested to take the evaluation team
on an extensive plant tour. After the plant tour, the team will begin collecting performance and design
data. Please make arrangements so that the monitoring records for the previous 12 months, operating
records, and any design information for the plant are available for the team. Also, a continuous recording
on-line turbidimeter will be installed on one or more of your filters. Sample taps to accomodate this con-
nection should be available.

On Tuesday, the evaluation team will be involved in several different activities. The major involvement of
the plant staff will be responding to the evaluation teams questions on plant performance and operation
and maintenance practices. Several special studies may also be completed by the team to investigate the
performance capabilities of the plants different unit treatment processes. Requests to inspect filter media
and monitor filter backwashes will be coordinated with staff to minimize the impact on plant operation.

Also on Tuesday, a member of the evaluation team will meet with the administrators to review the
administrative policies and procedures and financial records associated with the plant. We would like to
review your water treatment budget for the previous and current fiscal years. We would expect that most
of this information would be available in your existing accounting system.

222
April 6, 1998
Page 2

We request that the plant staff and administrators be available for interviews either Tuesday afternoon or
Wednesday morning. We will be flexible in scheduling these interviews around other required duties of
you and your staff. Each of the interviews will require about 30 to 45 minutes of time.

We are anticipating that an exit meeting will be held on Thursday morning at 8:30 A.M., and it will last
about 1 hour. During the exit meeting, the results of the evaluation will be discussed with all of those
who participated. The performance capabilities of the treatment processes will be presented, and any fac-
tors found to limit the performance of the plant will be discussed. The evaluation team will also answer
any questions regarding the results of the evaluation. The results presented in the exit meeting will form
the basis of the final report, which will be completed in about one month.

We look forward to conducting the CPE at your facility. If you have any questions prior to the evaluation,
please dont hesitate to contact us.

Very truly yours,

Evaluation Team Contact

223
 Appendix I
Example Special Study

225
 Example Special Study
(as developed by CTA facilitator and plant staff prior to implementation)

I. Hypothesis
A. Increasing the ferric chloride dosage for low turbidity water (< 5.0 NTU) will improve the
finished water turbidity and increase plant stability.

B. Increasing the ferric dosage may decrease alkalinity below level to maintain finished water
pH target.

II. Approach
A. Conduct series of jar tests using established jar testing guidelines that vary ferric chloride
dosages (start with 0.5 mg/L increments and bracket down to 0.1 mg/L).

B. Add filter aid at the end of the flocculation time to simulate plant dosage (up to 0.1 mg/L).

C. Measure pH, alkalinity, temperature and turbidity of raw and finished water.

D. Document and interpret test results.

E. Test optimum dosage at full plant scale (pilot mode where filtered water is directed to
waste).

F. Measure same parameters as above.

G. If results indicate alkalinity limitation is necessary (finished water alkalinity C 20 mg/L),

conduct jar tests with soda ash addition.

III. Duration of Study

A. Two weeks to complete jar and full-scale testing.

IV. Expected Results

A. Improved finished water turbidity and increased plant stability at higher ferric chloride dos-
ages.

B. Deficiency in finished water alkalinity.

C. Loss of finished water pH.

D. Potential change in primary coagulant.

E. Potential need for alkalinity (soda ash) addition.

V. Conclusions
A. To be compiled in summary report after completion of study.

VI. Implementation
A. To be determined after completion of study.

226
 Appendix J
ExampJe Operational Guideline

227
 Example Operational Guideline

Subject: Process Control Data Collection Number: 5

Objective: To establish a data collection method Date Adopted: 4129197
Date Revised:

I. Measure a n d record the following water quality, chemical usage, and flow data at the
frequency noted.
A. Raw water parameters (measure/record once per day):
1. Plant flow rate - MGD (8:OO a.m. to 8:00 a.m.1
2. Raw turbidity - 7 days per week
3. pH - units - 7 days per week
4. Alkalinity - mg/L - 5 days per week
5. Temperature - C - 7 days per week

B. Chemical usage data (record once per day):

1. Coagulant use - gal/day
2. Coagulant batch density - lb/gal
3. Filter aid use - gal/day
4. Filter aid batch density - lb/gal
5. Chlorine use - lb/day
6. Orthophosphate use - lb/day

C. Finished water parameters (measure/record once per day, unless noted otherwise):
1. Alkalinity - mg/L - 5 days per week
2. pH - 7 days per week
3. Free chlorine residual - mg/L - 7 days per week (minimum value for day from chart)
4. Turbidity - NTU - value at established 4-hour increments

II. Individual sedimentation basin turbidity.

A. Collect samples once each 4-hour period from the effluent of each basin and use lab
turbidimeter to measure turbidity.

III. Individual filter monitoring data collection methods.

A. Circular recording charts will be used for turbidity monitoring.
1. Individual turbidity charts are located on top of the individual turbidity monitors.
2. Twenty-four hour charts will be used.
3. When changing charts, record the change chart time for the 24-hour period.

B. Data to record from individual filter charts.

1. Start of all backwashes (note time and record on chart).
2. Return to service after all backwashes (note time and record on chart).
3. Backwash turbidity spike (highest turbidity value after filter is back on-line).
4. Recovery turbidity (turbidity 15 minutes after filter placed back in service).
5. Highest turbidity recorded every 4 hours for each individual filter, excluding
backwash spike and recovery turbidities.

228
Process Control Data Collection (Continued)

IV. Utilize the process control data entry form below for data recording.
A. Complete the data entry form once per day, 7 days per week.

B. Enter daily data into computer database program and print out daily report.

C. At the end of each month, print monthly process control report from the database program
and distribute as follows:
1. Public Works Director
2. Monthly process control file in filing cabinet
3. Post copy on plant bulletin board

229
 Appendix K
Example Process Control Daily Report

231
agulant dose mg/L 5.24 Required CT mg/L-min 57.2
er aid dose mg/L 0.060 Measured CT mg/L-min 103.7
ier chemical dose mglL 0.00 CT ratio 1.8
emical cost $Im gal 47.91

---)-Filter3 --~-~Fiiter4

Time

mEWspike El 15 min after BW

Filter No.

232
 Appendix L
Example Jar lest Guideline

233
 JAR TEST PROCEDURE (page 1)
EST CONDITIONS
Facility 1 Date T i m e 1 T u r b i d i t y Temperature/ pH Alkalinity 1
I I I
Water Source Coagulant Coagulant Aid

REPARING STOCK SOLUTIONS

tep 1 Select desired stock solution concentration (see Table 1).
Choose a stock solution concentration that will be practical for transferring chemicals to jars.

#tep 2 Determine chemical amount to add to 1 liter flask.

If using dry products, see Table 2. If using liquid products, go to step 3.

Desired Amount Coagulant I Coag. Aid (

in 1 liter flask (mL) I
Itep 3 Determine liquid chemical amount to add to volumetric tlask.
For liqutd chemicals, use the equation below -

mL coagulant = (stock solution %) x (flask volume, mL) x (8.34 lb/gal)

100 x (chemical strength, lb/gal)

~1

Note: Chemical Strength = chemical density x % strength

234
 (plant flow rate, gal/d)

Floe time (min) = (flocculator volume, gal) x (1,440 minlday)

(plant flow rate, gal/d)

imated from plant

Sample time (min) = (10 cm) x (surface area, ft2) x (1,440 minIday) X (7.48 gal/R?
(plant flow rate, gal/d) x (30.48 cm/R)

235
 JAR TEST PROCEDURE (page 3)
EST RESULTS
Record test results in the table below.

:omments:

lmpdb Speed mm)

Figure 1. Laboratory G Curve for Flat Paddle in 2 Liter Gator Jar

236
 Appendix M
Chemical Feed Guidelines

237
 Chemical Feed Guidelines

The following guidelines provide information on n 0.78 mg/L 95% hydrated lime (Ca(OH),)
the use of water treatment chemicals for coagula-
tion and particle removal. Typical chemicals used
m 0.80 mg/L caustic soda (NaOHI
for these applications include coagulants, floccu-
lants, and filter aids. To use these chemicals
properly, it is necessary to understand how the . 1.08 mg/L soda ash (Na,CO,)
specific chemicals function and the type of calcu-
lations that are required to assure accurate feed-
. 1.52 mg/L sodium bicarbonate (NaHCO,)
ing. Although these guidelines focus on coagula-
tion and particle removal, the discussion on
determining feed rates and preparing feed solu- 6. If supplemental alkalinity is used it should be
tions applies to other water treatment chemical added before coagulant addition, and the
applications such as corrosion and taste and odor chemical should be completely dissolved by
control. the time the coagulant is added.

7. When mixing alum with water to make a feed

Chemicals for Coagulation and Particle solution, maintain the pH below 3.5 to prevent
Removal hydrolysis from occurring which will reduce
the effectiveness of the chemical. A 10 to 20
percent alum solution by weight will maintain
Coagulation Chemicals this pH requirement in most applications.

Alum 8. Density and solution strength values for com-

mercial alum can be found in Table M-l. A
1. Alum (aluminum sulfate) is one of the most solution strength of 5.4 lb/gal can be used for
widely used coagulants in water treatment. approximate chemical calculations.
When alum is added to water, insoluble pre-
cipitates such as aluminum hydroxide (AI(O
are formed. Ferric Chloride
2. The optimum pH range for alum is generally
1. The optimum pH range for ferric chloride is 4
about 5 to 8. to 12.
3. Alkalinity is required for the alum reaction to 2. When mixing ferric chloride with water to
proceed. If insufficient alkalinity is present in make a feed solution, maintain the pH below
the raw water, the pH will be lowered to the 2.2.
point where soluble aluminum ion is formed
instead of aluminum hydroxide. Soluble alu- 3. Ferric chloride consumes alkalinity at a rate of
minum can cause post flocculation to occur in about 0.75 mg/L alkalinity for every 1 mg/L of
the plant clearwell and distribution system. ferric chloride.
4. As a rule of thumb, about 1 .O mg/L of com- 4. Ferric chloride dosage is typically about half of
mercial alum will consume about 0.5 mg/L of the dosage required for alum.
alkalinity. At least 5 to 10 mg/L of alkalinity
should remain after the reaction to maintain 5. Density and solution strength values for com-
optimum pH. mercial ferric chloride vary with the supplier.
A solution strength of 3.4 lb FeClJgallon can
5. 1 .O mg/L of alkalinity expressed as CaCO, is be used for approximate chemical calculations
equivalent to: (i.e., product density of 11.3 lb/gal and 30
. 0.66 mg/L 85% quicklime KaO) percent FeCI, by weight).

238
Table M-l. Densities and Weight Equivalents of Commercial Alum Solutions

I Specific
Gravity I
Density
lb/gal
% AlzO, Equivalent %
Dry Alum lb
Strength
alum/gallon g
Strength
alum/liter I

I 1.0662 8.89 1.85 10.88 ! 0.97 1 116.003 1

1.0741 8.96 2.07 12.18 1.09 130.825
1.0821 9.02 2.28 13.41 1.21 145.110
1 nan3 I a na I 2.50 14.71 1.34 160.368
1.0985 9.16 2.72 16.00 1.47 175.760
1.1069 9.23 2.93 17.24 1.59 190.830
I 1.1154 I 9.30 I 3.15 1 18.53 1 1.72 1 206.684 1
I 1.1240 9.37 3.38 19.88 1.86
1.1328 9.45 3.60 21.18 2.00
1.1417 9.52 3.82 22.47 2.14
1.1508 9.60 4.04 23.76 2.28
1.1600 9.67 4.27 25.12 2.43
1.1694 9.57 4.50 26.47 2.58 309.540
1.1789 9.83 4.73 27.82 2.74 327.970
1 1.1885 1 9.91 I 4.96 1 29.18 1 2.89 1 346.804 1
1.1983 9.99 5.19 30.53 3.05 1 365.841 1
1.2083 I 10.08 5.43 31.94 3.22 1 I385.931
1.2185 10.16 5.67 33.35 3.39 406.370
1.2288 10.25 5.91 34.76 3.56 427.131
1.2393 10.34 6.16 36.24 3.74 449.122
1.2600
. . - - - - I 10.43 I 6.42 I 37.76 3.93 472.000
l- 1.2609 II 10.52 6.67 39.24 I 4.12 I 494.777 I
1.2719 10.61 6.91 40.65 4.31 517.027
1.2832 10.70 7.16 42.12 4.51 540.484
1.2946 10.80 I 7.40 43.53 4.71 1 563.539 1
1.3063 I 10.89 7.66 45.06 4.91 588.619
46.59 614.149
* 10 8146
48.18
49.76
5.12
5.34
5.57
640.938
668.078
10
..-- I
8.74 51.41 5.81 696.657
t 1.3679
..---. I 11.41 9.01 53.00 6.05 1 724.987

From Allied Chemical Company Alum Handbook, modified by adding gm/L dry alum column.
17% Al203 in Dry Alum + 0.03% Free Al2O3.

239
Polyaluminum Chloride (1 I Flocculation Chemicals

1. Polyaluminum chloride (PACI) products are less 1. Polymers used as flocculants generally have a
sensitive to pH and can generally be used over high molecular weight and have a charge that
the entire pH range generally found in drinking is positive, negative (anionic), or neutral (non-
water treatment (i.e., 4.5 to 9.5). ionic).

2. Alum and PACI products are not compatible; a 2. The purpose of a flocculant is to bridge and
change from feeding alum to PACI requires a enmesh the neutralized particles into larger floe
complete cleaning of the chemical storage particles, and they are generally fed at a dos-
tanks and feed equipment. age of less than 1 mg/L.

3. The basicity of the product determines its 3. Flocculants should be fed at a point of gentle
most appropriate application: mixing (e.g., diffuser pipe across a flocculation
Low basicity PACls (below 20 percent): basin) to prevent breaking apart the long-
Applicable for waters high in color and chained organic molecules.
total organic carbon (TOC).
4. Product density and solution strength informa-
Medium basicity PACls (40 to 50 per- tion can be obtained from the individual poly-
cent): Applicable for cold water, low tur- mer manufacturers.
bidity, and slightly variable raw water
quality.
Filter Aid Chemicals
High basicity PACls (above 70 percent):
Applicable for waters with highly variable 1. Polymers used as filter aids are similar to floc-
quality, as a water softening coagulant, culants in both structure and function.
for direct filtration, and some waters with
high color and TOC. 2. Filter aid polymers are typically fed at dosages
less than 0.1 mg/L; otherwise, when fed in
4. Check specific manufacturers product infor- excess concentrations they can contribute to
mation for density and strength values. filter head loss and short filter run times.

3. Filter aid polymers are fed at a point of gentle

Polymers (Coagulation) mixing (e.g., filter influent trough).

1. Polymer can be added as either the primary 4. Product density and solution strength informa-
coagulant or as a coagulant aid to partially tion can be obtained from the individual poly-
replace a primary coagulant (e.g., alum). mer manufacturers.

2. Polymers used for coagulation are typically low

molecular weight and positively charged (cati- Feeding Chemicals in the Plant
onic).
Step 1. Determining the Required Chemical
3. The dosage for polymers used for coagulation Dosage
is dependent on raw water quality.
1. The appropriate chemical dosage for coagu-
4. Product density and solution strength informa- lants is typically determined by lab or pilot
tion can be obtained from the individual poly- scale testing (e.g., jar testing, pilot plant), on-
mer manufacturers. line monitoring (e.g., streaming current meter,
particle counter), and historical experience. A
guideline on performing jar testing is include in
Appendix L.

240
2. Flocculants are typically fed at concentrations a plant. An approach similar to dry feeder
less than 1 mg/L. Jar testing can be used to calibration is followed; however, a volumetric
estimate the optimum dosage. cylinder is typically used to collect the sample.
For example, 50 mL of liquid chemical col-
3. The typical dosage for filter aid polymers is lected over 2 minutes would equate to a feed
less than 0.1 mg/L. Jar testing, including fil- r a t e o f 2 5 mL/min. A graph similar to
tering the samples, is typically not effective for Figure M-l can be developed showing pump
determining an optimum dose. The polymer setting (e.g., % speed) versus feed rate in
manufacturers can provide guidelines on use mL/min.
of their products as filter aids.
4. For liquid chemicals, an additional step is nec-
essary to convert the required weight-based
Step 2. Determining the Chemical Feed Rate feed rate to a volume-based pumping rate.
The following equation can be used to deter-
1. Once the chemical dosage is determined, the mined the pumping rate:
feed rate can be calculated by the equation
below: P u m p R a t e ( m U(FR)lb
m i n ) = -gal
x-x day x 3,785 mL
d a y (C,)lb 1,440min gal
Feed Rate (lb/day) = Flow Rate (MGD) x
Chemical Dose (mg/L) x 8.34 lb/gal
FR = Feed Rate (lb/day)
CS = Chemical Strength (lb/gal)
Step 3. Determining the Chemical Feeder
Setting
Preparation of Feed Solutions
1. Once the chemical feed rate is known, this
value must be translated into a chemical feeder Liquid solutions of both dry and liquid chemicals
setting. The approach for determining the set- are frequently prepared in a plant to prepare the
ting depends on whether the chemical is in a chemical for feeding (e.g., activating polymer) and
dry or liquid form. to allow the feeding of the chemical in an efficient
manner. Two examples are presented below to
2. For dry chemicals, a calibration curve should describe approaches for preparing chemical solu-
be developed for all feeders that are used in tions from dry and liquid chemicals.
the plant. A typical calibration curve is shown
in Figure M-l, The points on the curve are
determined by operating the feeder at a full Preparation of an Alum Feed Solution
operating range of settings and collecting a
sample of the chemical over a timed period for 1. Determine the desired percent solution for
each setting. Once the sample weight is feeding the alum. As described under the pre-
determined by a balance, the feed rate can be vious alum discussion, a percent solution of
determined for that set point. For example, 10 to 20 percent is typically used. In this
the feed rate for the 100 setting was deter- example, assume a 15 percent solution.
mined by collecting a feeder output sample
over a 2-minute period. The sample weight 2. Based on the volume of alum solution to be
was 5.8 lb. The associated feed rate can then prepared, determine the weight of alum to add
be converted into an equivalent hourly feed to the solution tank. For an alum solution vol-
rate as follows: ume of 500 gallons, determine the alum
weight as follows:
Feed Rate = 5.8 lb x 60
-=-min 174 lb
2min hr hr 8.34 lb
Alum Weight = 500 gal x - x0.15 =625 lb
gal
3. For liquid chemicals, a calibration curve should
also be developed for all liquid feeders used in

241
Figure M-l. Example dry chemical feeder calibration chart.

200 250 300

Feeder Setting

3. Determine the alum strength (A,) for use in 2. Based on the volume of solution to be pre-
calculating feed rates. The alum strength for pared, determine the weight of polymer to add
the example above is calculated as follows: to the solution tank. For a solution volume of
200 gallons, determine the polymer weight as
follows:
Alum Strength (A,) = z = F
500 gal
8.34 lb
Polymer Weight = 200 gal x - x 0.01 = 16.7 lb
gal

Preparation of a Polymer Feed Solution

3. It is frequently easier to measure polymer
1. Polymer manufacturers provide guidelines on volumetrically rather than by weight, so the
preparation of their products, including weight of polymer can be converted to an
whether the product is fed neat (i.e., undi- equivalent volume by obtaining the product
luted) or in a diluted form. Diluted polymers density from the manufacturer. For example,
are typically mixed at 2% by weight or less; if the polymer density is 9.5 lb/gal, the volume
otherwise, they become difficult to mix effec- is calculated as follows:
tively. For this example, assume a 1% solu-
tion is to be prepared. gal
PolymerVolume=16.7Ibx-= 1.76 gal
9.5 lb

242
4. Determine the polymer strength (P,) for use in
calculating feed rates. The polymer strength
for the example above is calculated as follows:

Polymer Strength (Ps) = 16.71b = o*~~:b

200 gal

Ref ecences

1. Lind, Chris. 1996. Top 10 Questions about

Alum and PACI. Opflow, 22(8):7. AWVVA,
Denver, CO.

243
 Appendix N
Conversion Chak

245
 Conversion Chart

English Unit Multiplier SI Unit

acre 0.405 ha

acre-ft 1,233.5 cu m

cfs 1.7 cu m/min

cu ft 0.0283 cu m

cu ft 28.32 I

F 5/9 x (F-32) C

ft 0.3048 m

ftlsec 30.48 cmisec

gal 3.785 I

wm 0.0631 liter/set

mm 8.021 cu ft/hr

gpdfsq ft 0.0408 cu m/day/sq m

wmlw ft 40.7 I/min/sq m

inch 2.54 cm

lb 0.454 kg

lb 454 9

MGD 3,785 cu m/day

psi 0.070 kg/w cm

w ft 0.0929 sq m

JtY.S GOVERNMENT PRINTING OFFICE: 1998 653-662

246
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