ONSITE 101

PROFESSIONAL DEVELOPMENT
CONTINUING EDUCATION COURSE
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Printing and Saving Instructions
The best thing to do is to download this pdf document to your computer
desktop and open it with Adobe Acrobat DC reader.

Adobe Acrobat DC reader is a free computer software program and you can
find it at Adobe Acrobat’s website.

You can complete the course by viewing the course materials on your
computer or you can print it out. Once you’ve paid for the course, we’ll give
you permission to print this document.

Printing Instructions: If you are going to print this document, this document
is designed to be printed double-sided or duplexed but can be single-sided.

This course booklet does not have the assignment. Please visit our website
and download the assignment also.
Internet Link to Assignment…
http://www.abctlc.com/PDF/Onsite101Ass.pdf

State Approval Listing Link, check to see if your State accepts or has pre-
approved this course. Not all States are listed. Not all courses are listed. Do
not solely trust our list for it may be outdated. It is your sole responsibility to
ensure this course is accepted for credit. No refunds.

Professional Engineers; Most states will accept our courses for credit but
we do not officially list the States or Agencies acceptance or approvals.

State Approval Listing URL…

http://www.tlch2o.com/PDF/CEU%20State%20Approvals.pdf
You can obtain a printed version from TLC for an additional $69.95 plus
shipping charges.

All downloads are electronically tracked and monitored for security

purposes.

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Some States and many employers require the final exam to be proctored.

Do not solely depend on TLC’s Approval list for it may be outdated.

A second certificate of completion for a second State Agency $50 processing fee.

Most of our students prefer to do the assignment in Word and e-mail or fax the assignment
back to us. We also teach this course in a conventional hands-on class. Call us and
schedule a class today.

Responsibility
This course contains EPA’s federal rule requirements. Please be aware that
each state implements /wastewater/safety regulations that may be more
stringent than EPA’s or OSHA’s regulations. Check with your state
environmental agency for more information. You are solely responsible in
ensuring that you abide with your jurisdiction or agency’s rules and
regulations.

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Contributing Editors
Joseph Camerata has a BS in Management with honors (magna cum laude). He retired as a
Chemist in 2006 having worked in the field of chemical, environmental, and industrial hygiene
sampling and analysis for 40 years. He has been a professional presenter at an EPA analytical
conference at the Biosphere in Arizona and a presenter at an AWWA conference in Mesa,
Arizona. He also taught safety classes at the Honeywell and City of Phoenix, and is a
motivational/inspirational speaker nationally and internationally.

Eric Pearce S.M.E., chemistry and biological review.

Pete Greer S.M.E., retired biology instructor.

Jack White, Environmental, Health, Safety expert, Art Credits.

Always wear all your required safety equipment, including your safety
harness in to confined spaces. Make sure your harness has an annual re-
certification too. Otherwise, you should throw your safety harness away and
get a new one immediately.
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Important Information about this Manual
This manual has been prepared to educate employees in the general awareness of dealing with complex
wastewater collection procedures and requirements for safely handling hazardous and toxic materials. The
scope of the problem is quite large, requiring a major effort to bring it under control. Employee health and
safety, as well as that of the public, depend upon careful application of safe sewer collection procedures.

This manual will cover general laws, regulations, required procedures and generally accepted policies
relating to wastewater collection systems. It should be noted, however, that the regulation of wastewater
and other hazardous materials is an ongoing process and subject to change over time. For this reason, a
list of resources is provided to assist in obtaining the most up-to-date information on various subjects.

This manual is not a guidance document for employees who are involved with pollution control or
wastewater treatment. It is not designed to meet the requirements of the United States Environmental
Protection Agency (EPA) or Department of Labor-Occupational Safety and Health Administration (OSHA)
or state environmental or health departments.

This course manual will provide general educational awareness guidance of onsite/wastewater treatment
and wastewater collection. This document is not a detailed wastewater treatment textbook or a
comprehensive source book on occupational safety and health.

Technical Learning College or Technical Learning Consultants, Inc. makes no warranty, guarantee, or
representation as to the absolute correctness or appropriateness of the information in this manual and
assumes no responsibility in connection with the implementation of this information.

It cannot be assumed that this manual contains all measures and concepts required for specific conditions
or circumstances. This document should be used for educational guidance and is not considered a legal
document.

Individuals who are responsible for the collection of wastewater or the health and safety of workers at
wastewater sewer facilities should obtain and comply with the most recent federal, state, and local
regulations relevant to these sites and are urged to consult with OSHA, EPA, and other appropriate federal,
state, health, and local agencies.

Copyright Notice
©1999-2018 Technical Learning College (TLC) No part of this work may be reproduced or distributed in any form or by
any means without TLC’s prior written approval. Permission has been sought for all images and text where we believe
copyright exists and where the copyright holder is traceable and contactable. All material that is not credited or
acknowledged is the copyright of Technical Learning College. This information is intended for educational purposes
only. Most unaccredited photographs have been taken by TLC instructors or TLC students. We will be pleased to hear
from any copyright holder and will make good on your work if any unintentional copyright infringements were made as
soon as these issues are brought to the editor's attention.

Every possible effort is made to ensure that all information provided in this course is accurate. All written, graphic,
photographic or other material is provided for information only. Therefore, Technical Learning College accepts no
responsibility or liability whatsoever for the application or misuse of any information included herein. Requests for
acknowledgements or permission to make copies should be made to the following address:
TLC
Editor
PO Box 3060
Chino Valley, AZ 86323

Information in this document is subject to change without notice. TLC is not liable for errors or omissions
appearing in this document.

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Course Description

ONSITE 101 CEU COURSE

This CEU course is designed for the continuing education, knowledge and inhancement of
sewer/septic installers, onsite installers, maintence and service providers. The target audience
for this course is the person interested in working in a pumping, installation, collection systems,
home sewage treamant systems or septic installation and/or wishing to maintain CEUs for
certification license or to learn how to do the job safely and effectively, and/or to meet education
needs for promotion. You will not need any other materials for this course.

Course Focus
This course will cover the operation, maintenance and permitting process ensuring that septic
systems are sited and constructed so that human health and the environment are protected. The
suitability of a proposed site for a septic system is largely determined by the type and depth of
soil and the depth to the water table. This course will cover various onsite factors from the size of
the property, how steep the site is, location of the system relative to streams, wells, cuts and fills,
and whether sewer service is available.

This CEU course will also review various wastewater-sewer-septic collection, maintenance
construction, design, cleaning and detailed safety related subjects. This course is general in
nature and not state specific, but it will contain different wastewater collection methods, septic
disposal, rules, confined space techniques, maintenance policies, electricity, pump operation,
general safety information, and lift station information. Review of the dangers of trenching and
excavation and related safety fundamentals. This course will cover the basic requirements of
OSHA’s Competent Person 29 CFR 1926.650 Subpart F and other related federal safety rules.
The Competent Person Program, as it is called, will require formal training and on-the-job
experience.

Final Examination for Credit

Opportunity to pass the final comprehensive examination is limited to three attempts per course
enrollment.

Course Procedures for Registration and Support

All of Technical Learning College’s distance learning courses have complete registration and
support services offered. Delivery of services will include, e-mail, web site, telephone, fax and
mail support. TLC will attempt immediate and prompt service. When a student registers for a
correspondence course, he/she is assigned a start date and an end date. It is the student's
responsibility to note dates for assignments and keep up with the course work. If a student falls
behind, he/she must contact TLC and request an end date extension in order to complete the
course. It is the prerogative of TLC to decide whether to grant the request. All students will be
tracked by a unique number assigned to the student.

Instructions for Written Assignments

The Onsite 101 CEU Training course uses a multiple choice style answer key. You can write
your answers in this manual or type out your own answer key. TLC would prefer that you fill out
and fax or e-mail the final examinations to TLC but it is not required.

Feedback Mechanism (examination procedures)

Each student will receive a feedback form as part of their study packet. You will be able to find
this form in the front of the course assignment or lesson.
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Security and Integrity
All students are required to do their own work. All lesson sheets and final exams are not returned
to the student to discourage sharing of answers. Any fraud or deceit and the student will forfeit
all fees and the appropriate agency will be notified.

Grading Criteria
TLC will offer the student either pass/fail or a standard letter grading assignment. If TLC is not
notified, you will only receive a pass/fail notice.

Required Texts
The Onsite 101 CEU training course will not require any other materials. This course comes
complete. No other materials are needed.

Environmental Terms, Abbreviations, and Acronyms

TLC provides a glossary that defines, in non-technical language, commonly used environmental
terms appearing in publications and materials. It also explains abbreviations and acronyms used
throughout the EPA and other agencies. You can find the glossary in the rear of the manual.

Recordkeeping and Reporting Practices

TLC will keep all student records for a minimum of seven years. It is your responsibility to give
the completion certificate to the appropriate agencies. TLC will mail a copy to Indiana,
Pennsylvania DEP, and to any other State that will require a copy from the Training Provider.

ADA Compliance
TLC will make reasonable accommodations for persons with documented disabilities. Students
should notify TLC and their instructors of any special needs.

Course content may vary from this outline to meet the needs of this particular group.

Prerequisites: None

Note to students: Keep a copy of everything that you submit. If your work is lost you can
submit your copy for grading. If you do not receive your certificate of completion or quiz results
within two or three weeks after submitting it, please contact your instructor. We expect every
student to produce his/her original, independent work.

Any student whose work indicates a violation of the Academic Misconduct Policy (cheating,
plagiarism) can expect penalties as specified in the Student Handbook, which is available through
Student Services; contact them at (928) 468-0665. A student who registers for a Distance
Learning course is assigned a "start date" and an "end date." It is the student's responsibility to
note due dates for assignments and to keep up with the course work. If a student falls behind,
she/he must contact the instructor and request an extension of her/his end date in order to
complete the course. It is the prerogative of the instructor to decide whether or not to grant the
request.

Your assignments are due on time. Any assignment or mailed-in examination that is one to five
days late will be marked down one letter grade. Any assignment or mailed-in examination that is
turned in later than five days will not be accepted and will be recorded in my grade book as “non-
participating” and you can be withdrawn from class. (See final grade options.)

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Continuing Education Units
You will have 90 days from receipt of this manual to complete it in order to receive your Continuing
Education Units (CEUs) or Professional Development Hours (PDHs). A score of 70% or better
is necessary to pass this course. If you should need any assistance, please visit our Assistance
Page on the website. Please e-mail all concerns and the final test to info@tlch2o.com.

Educational Mission
The educational mission of TLC is:

To provide TLC students with comprehensive and ongoing training in the theory and skills needed
for the environmental education field,

To provide TLC students with opportunities to apply and understand the theory and skills needed
for operator certification,

To provide opportunities for TLC students to learn and practice environmental educational skills
with members of the community for the purpose of sharing diverse perspectives and experience,

To provide a forum in which students can exchange experiences and ideas related to
environmental education,

To provide a forum for the collection and dissemination of current information related to
environmental education, and to maintain an environment that nurtures academic and personal
growth.

Course Objective: To provide continuing education training in effective and efficient sewerage
and waste disposal collection methods, pumping, recordkeeping, cleaning, rules, and generally
accepted onsite/wastewater treatment/ collection related safety practices.

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TABLE OF CONTENTS
Acronyms and Terms…………………………………… 15

Chapter 1 Onsite Introduction……………..…………… 21

Basic Onsite Treatment Processes……….....………… 25
Failures....................................................................... 37
System Design Standards …………………................. 39
Regular Maintenance................................................... 43
Construction ...................................................... …….. 45
Site Preparation……………………………......……….. 47
O&M Section ……………………………........................ 51
OSSF Maintenance .................................................... 59
Sampling Soils………………………………….............. 67
Residuals……………………….……………….............. 71

Chapter 2 Collection Rules and Regulations……….. 71

Clean Water Act Summary ………………….………… 73
CMOM……………………….………………….………… 85
Sanitary Sewer Overflows ………………….…………. 88
Combined Sewer Overflows………………….………… 89
Elements of CMOM Programs……………….………… 91
Overflow Response Plans …………………..………… 95
CMOM Audits………………………………….………… 97
NPDES……………………………………………………. 103
Pretreatment Roles……………………….……………... 107
Prohibited Discharge Standard……….………………….109

Chapter 3 Wastewater Collection Systems………….. 111

Gravity Sanitary Sewer …………………………………. 113
Flow Monitoring………………………………............... 114
Flow Capacity…………………………………................ 116
Sewer Cleaning………………………………................ 119
I & I ……………………….…………………............... 123
Dye Testing …………………………………................ 125
Manholes………………………………………............... 127
CCTV …………………………………………................ 128
Smoking Out Leaks……………………………............. 131
Low Pressure Systems………………………............... 141

Chapter 4 Grease ……………….……………………. 155

Interceptors ……………………….……………………. 159

Chapter 5 Pumps and Lift Stations…………………… 165

Hydraulic Principles ………………….………………….. 173
Pump Fundamentals…………………….……………… 183
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Pump Definitions…………………………..…………….. 185
Basic Pump ………………………….…………………. 187
Pump Categories……………………..….……………… 191
Motor Section ………….........................……………… 215
Motor Starters…………………………...………………. 216
Pump Highlights…………………….….…..……………. 229

Chapter 6 Hydrogen Sulfide……………………………. 237

Hydrogen Sulfite Gas……………………………………. 239
Chapter Highlights ………………….…………………. 242

Chapter 7 Safety ………………….……….…………. 243

Confined Space Program………….…..….…….. …….. 245
Confined Space Hazards………………………............ 251
Unusual Conditions..................................................... 255
Entry Program............................................................. 257
Entry Permit................................................................ 259
Duties and Responsibilities......................................... 261
Entering a Confined Space................................……… 263
Charge of Entry............................................................ 267
General Rules.............................................................. 261
Training........................................................................ 273
Entrant’s Log...................................................... ………277
Other Hazards............................................................. 279
Atmospheric Testing..................................................... 281
Policy Example........................................................... 282
Irritant Atmospheres........................................... …….. 283
Excavation Safety………………….……………………. 297
LOTO Safety ……………………….……………………. 329
Ladder Safety………………………….……. ………….. 335
Safety Glossary………………………...………………… 337
OSHA Rules ………………………….…………………. 343
Math Conversion Factors………….……………………. 379
Collections Glossary……………….…………….……… 383
References……………………………...............………. 389

This course contains general EPA’s CWA federal rule requirements. Please
be aware that each state implements wastewater/safety/environmental
/building regulations that may be more stringent than EPA’s
regulations. Check with your state environmental/health agency for more
information. These rules change frequently and are often difficult to interpret
and follow. Be careful to not be in non-compliance and do not follow this
course for proper compliance.

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Commonly Used Acronyms and Terms
LIST OF ACRONYMS

AMS Asset Management System

APP Aquifer Protection Permit
ASTM American Society for Testing and Materials
CADD Computer-Aided Drafting and Design
CCTV Closed-Circuit Television
CIP Capital Improvement Plan or capital improvement project
CIPP Cured-In-Place Pipe
CMMS Computerized Maintenance Management System
CMOM Capacity, Management, Operation and Maintenance
COOL Computerized On-line Operations Log
CPM Capital Project Management
CWA Clean Water Act
d/D depth divided by diameter
DIP Ductile Iron Pipe
DVD Digital Video Disk
EPA Environmental Protection Agency
ERP Enterprise Resource Planning Software; Emergency Response
Plan
FOG Fats, Oil, and Grease
fps Feet per second
GIS Geographic Information System
gpm Gallons per minute
GPS Global positioning system
HVAC Heating, ventilation, and air conditioning
I/I Infiltration and Inflow
IAS Information Access System
IGA Intergovernmental Agreement
IT Information Technology
JEPA Joint Exercise of Powers Agreement (SROG)
lf Linear Feet
mgd Million gallons per day
NOI Notice of Intent
NOV Notice of Violation
NPDES National Pollutant Discharge Elimination System
O&M Operation and Maintenance
PLC Programmable Logic Controller
POTW Publicly-Owned Treatment Works
Psi Pounds per square inch

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LIST OF ACRONYMS (continued)

PVC Polyvinyl Chloride

RDBMS Relational Database Management System
RFQ Request for Qualifications
SAI Southern Avenue Interceptor
SDR35 Standard Dimension Ratio 35
SCADA Supervisory Control and Data Acquisition
SECAP System Evaluation and Capacity Assurance Plan
SIU Significant Industrial User
SROG Sub-Regional Operating Group
SSO Sanitary Sewer Overflow
SSORP Sanitary Sewer Overflow Response Plan
VCC Virtual Call Center
VCP Vitrified Clay Pipe
WO Work order
WRF Water Reclamation Facility
WRP Water Reclamation Plant
WTP Water Treatment Plant
WWTF Wastewater Treatment Facilities (may include WWTP and WRP)
WWTP Wastewater Treatment Plant

Looking down inside a greasy lift station. Photograph credit John Bougham.

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Common OSSF Terms
Aerobic Treatment Unit (ATU): A mechanical wastewater treatment unit that provides secondary
wastewater treatment for single home, cluster of homes, or commercial establishments by mixing
air (oxygen) and aerobic and facultative microbes with the wastewater. ATUs typically use either
a suspended growth process (such as activated sludge, extended aeration and batch reactors),
fixed film process (similar to a trickling filter), or a combination of the two treatment processes.

Alternative Onsite Treatment System: A wastewater treatment system that includes different
components than typically used in a conventional septic tank and subsurface wastewater
infiltration system (SWIS). An alternative system is used to achieve acceptable treatment and
dispersal of wastewater where conventional systems either may not be capable of protecting
public health and water quality, or are inappropriate for properties with shallow soils over
groundwater or bedrock or soils with low permeability. Examples of components that may be used
in alternative systems include sand filters, aerobic treatment units, disinfection devices, and
alternative subsurface infiltration designs such as mounds, gravelless trenches, and pressure and
drip distribution.

Centralized Wastewater System: A managed system consisting of collection sewers and a

single treatment plant used to collect and treat wastewater from an entire service area.
Traditionally, such a system has been called a Publicly Owned Treatment Works (POTW) as
defined in 40 CFR 122.2.

Cesspool: A drywell that receives untreated sanitary waste containing human excreta, which
sometimes has an open bottom and/or perforated sides (40 CFR 144.3). Cesspools with the
capacity to serve 20 or more persons per day were banned in federal regulations promulgated on
December 7, 1999. The construction of new cesspools was immediately banned and existing
large-capacity cesspools must be replaced with sewer connections or onsite wastewater
treatment systems by 2005.

Cluster System: A wastewater collection and treatment system under some form of common
ownership which collects wastewater from two or more dwellings or buildings and conveys it to a
treatment and dispersal system located on a suitable site near the dwellings or buildings.

Construction Permit: A permit issued by the designated local regulatory authority that allows the
installation of a wastewater treatment system in accordance with approved plans and applicable
codes.

Conventional Onsite Treatment System: A wastewater treatment system consisting of a septic

tank and a typical trench or bed subsurface wastewater infiltration system.

Decentralized System: Managed onsite and/or cluster system(s) used to collect, treat, and
disperse or reclaim wastewater from a small community or service area.

Dispersal System: A system which receives pretreated wastewater and releases it into the air,
surface or ground water, or onto or under the land surface. A subsurface wastewater infiltration
system is an example of a dispersal system.

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Engineered Design: An onsite or cluster wastewater system that is designed and certified by a
licensed/certified designer to meet specific performance requirements for a particular wastewater
on a particular site.

Environmental Sensitivity: The relative susceptibility to adverse impacts of a water resource or

other receiving environment from dispersal of wastewater and/or its constituents. The impacts
may be low, acute (i.e. immediate and significantly disruptive), or chronic (i.e. long-term, with
gradual but serious disruptions).

Large Capacity Septic System: A soil dispersal treatment system having the capacity to serve
20 or more persons-per-day subject to EPA’s Underground Injection Control regulations.

Management Model: A program consisting of thirteen elements that is designed to protect and
sustain public health and water quality through the use of appropriate policies and administrative
procedures that define and integrate the roles and responsibilities of the regulatory authority,
system owner, service providers and management entity, to ensure that onsite and cluster
wastewater treatment systems are appropriately managed throughout their life cycle. The
program elements include public education and participation, planning, performance
requirements, training and certification/licensing, site evaluation, design, construction, operation
and maintenance, residuals management, compliance inspections/monitoring, corrective actions
and enforcement, record keeping, inventory, and reporting, and financial assistance and funding.
Management services should be provided by properly trained and certified personnel and tracked
via a comprehensive management information system.

National Pollutant Discharge Elimination System (NPDES) Permit: A national program under
Section 402 of the Clean Water Act for regulation of discharges of pollutants from point sources
to waters of the United States. Discharges are illegal, unless authorized by an NPDES permit.

Onsite Service Provider: A person who provides onsite system services. They include but are
not limited to designers, engineers, soil scientists, site evaluators, installers, contractors,
operators, managers, maintenance service providers, pumpers, and others who provide services
to system owners or other service providers.

Onsite Wastewater Treatment System (OWTS): A system relying on natural processes and/or
mechanical components to collect, treat, and disperse or reclaim wastewater from a single
dwelling or building.

Operating Permit: A renewable and revocable permit to operate and maintain an onsite or cluster
treatment system in compliance with specific operational or performance requirements stipulated
by the regulatory authority.

Performance-Based Management Program: A program designed to protect public health and

water quality by seeking to ensure sustained achievement of specific, measurable performance
requirements based on site and risk assessments.

Performance Requirement: Any requirement established by the regulatory authority to assure

future compliance with the public health and water quality goals of the community, the state or
tribe, and the federal government. Performance requirements can be expressed as numeric limits
(e.g., pollutant concentrations, mass loads, wet weather flow, structural strength) or narrative
descriptions of desired conditions or requirements (e.g., no visible scum, sludge, sheen, odors,
cracks, or leaks).
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Permitting Authority: The state, tribal, or local unit of government with the statutory or delegated
authority to issue permits to build and operate onsite wastewater systems.

Prescription-Based Management Program: A program designed to preserve and protect public

health and water quality through specification of pre-engineered system designs for specific sets
of site conditions, which if sited, designed, and constructed properly, are deemed to meet public
health and water quality standards.

Prescriptive Requirements: Specifications for design, installation and other procedures and
practices for onsite or cluster wastewater systems on sites that meet stipulated criteria. Proposed
deviations from the stipulated criteria, specifications, procedures, and/or practices require formal
approval from the regulatory authority.

Regulatory Authority (RA): The unit of government that establishes and enforces codes related
to the permitting, design, placement, installation, operation, maintenance, monitoring, and
performance of onsite and cluster wastewater systems.

Residuals: The solids generated and/or retained during the treatment of wastewater. They
include trash, rags, grit, sediment, sludge, biosolids, septage, scum, grease, as well as those
portions of treatment systems that have served their useful life and require disposal such as the
sand or peat from a filter. Because of their different characteristics, management requirements
can differ as stipulated by the appropriate Federal Regulations.

Responsible Management Entity (RME): A legal entity responsible for providing various
management services with the requisite managerial, financial, and technical capacity to ensure
the long-term, cost-effective management of decentralized onsite and/or cluster wastewater
treatment facilities in accordance with applicable regulations and performance requirements.

Septage: The liquid and solid materials pumped from a septic tank during cleaning operations.

Septic Tank: A buried, watertight tank designed and constructed to receive and partially treat raw
wastewater. The tank separates and retains settleable and floatable solids suspended in the
wastewater and discharges the settled wastewater for further treatment and dispersal to the
environment.

Source Water Assessment: A study and report required by the Source Water Assessment
Program (SWAP) of the Safe Drinking Water Act addressing the capability of a given public water
system to protect water quality that includes delineation of the source water area, identification of
potential sources of contamination in the delineated area, determination of susceptibility to those
sources, and public notice of the completed assessment.

Underground Injection Well: A constructed system designed to place waste fluids above, into,
or below aquifers classified as underground sources of drinking water. As regulated under the
Underground Injection Control (UIC) Program of the Safe Drinking Water Act (40 CFR Parts 144
& 146), injection wells are grouped into five classes. Class 5 includes shallow systems such as
cesspools and subsurface wastewater infiltration systems. Subsurface wastewater infiltration
systems with the capacity to serve 20 or more people per day, or similar systems receiving non-
sanitary wastes, are subject to federal regulation. Class V motor vehicle waste injection wells and
large-capacity cesspools are specifically prohibited under the UIC regulations.

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What are the Components of a Decentralized Wastewater System?

 Septic systems
 Onsite sewage systems
 On-lot sewage systems
 Private sewage systems
 Individual sewage systems
 Cluster, neighborhood or community systems

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Onsite System OSSF Chapter 1
Every house, restaurant, business, and industry produces waste. Wastewater collection protects
public health and the environment by removing this infectious waste and recycling the water. A
network of interconnected pipes accepts the flow from each building's sewer connection and
delivers it to the treatment facilities. In addition to what homes and businesses flush down the
drain, the system also collects excess groundwater, infiltration liquids, and inflow water.
Wastewater collection is therefore a comprehensive liquid waste removal system.

The fluid waste distributed through this system is about 98% water. The waste floats on, is carried
along by, and goes into suspension or solution in water. Possible waste includes anything that
can be flushed down the drain--human excretion, body fluids, paper products, soaps and
detergents, foods, fats, oil, grease, paints, chemicals, hazardous materials, solvents, disposable
and flushable items; the list is almost infinite. This mixture of water and wastes is called
"wastewater." In the past, it was known as "sewage," but this term is now falling out of favor
because it refers specifically to domestic sanitary wastewater, like toilet flushing, which represents
only a portion of the entire fluid waste content.

"Wastewater" is a more accurate description and has become the standard term for this fluid
waste because it encompasses the total slurry of wastes in water that is gathered from homes
and businesses.

Onsite Sewage Facilities (OSSF)

Onsite sewage facilities (OSSF) are wastewater systems designed to treat and dispose of effluent
on the same property that produces the wastewater. Onsite/decentralized wastewater treatment
systems, commonly called septic systems, treat sewage from homes and businesses that are not
connected to a centralized wastewater treatment plant. Decentralized treatment systems include
individual onsite septic systems, cluster systems, and alternative wastewater treatment
technologies like constructed wetlands, recirculating sand filters, mound systems, and ozone
disinfection systems.

A septic tank and drainfield combination is the oldest and most common type of OSSF, although
newer aerobic and biofilter units exist which represent scaled down versions of municipal sewage
treatments. OSSFs account for approximately 25% of all domestic wastewater treatment in the
United States.

In the United States, onsite sewage facilities collect, treat, and release about 4 billion US gallons
(15,000,000 m3) of treated effluent per day from an estimated 26 million homes, businesses, and
recreational facilities nationwide (U.S. Census Bureau, 1997). Recognition of the impacts of onsite
systems on ground water and surface water quality (e.g., nitrate and bacteria contamination,
nutrient inputs to surface waters) has increased interest in optimizing the systems' performance.

Public health and environmental protection officials now acknowledge that onsite systems are not
just temporary installations that will be replaced eventually by centralized sewage treatment
services, but permanent approaches to treating wastewater for release and reuse in the
environment. Onsite systems are recognized as viable, low-cost, long-term, decentralized
approaches to wastewater treatment if they are planned, designed, installed, operated, and
maintained properly (USEPA, 1997).

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NOTE: In addition to existing state and local oversight, decentralized wastewater treatment
systems that serve more than 20 people might become subject to regulation under the USEPA's
Underground Injection Control Program, although EPA has proposed not to include them
(64FR22971:5/7/01).
Although some onsite wastewater management programs have functioned successfully in the
past, problems persist. Most current onsite regulatory programs focus on permitting and
installation.

Few programs address onsite system operation and maintenance, resulting in failures that lead
to unnecessary costs and risks to public health and water resources. Moreover, the lack of
coordination among agencies that oversee land use planning, zoning, development, water
resource protection, public health initiatives, and onsite systems causes problems that could be
prevented through a more cooperative approach. Effective management of onsite systems
requires rigorous planning, design, installation, operation, maintenance, monitoring, and controls.

Why is EPA concerned about Onsite Wastewater Treatment Systems?

Onsite wastewater systems include a wide range of individual and cluster treatment systems that
process household and commercial sewage. These systems are used in approximately 20
percent of all homes in the United States. An estimated 10 to 20 percent of these systems
malfunction each year, causing pollution to the environment and creating a risk to public health.

Who regulates Onsite Wastewater Treatment Systems?

States, tribes and local governments are responsible for regulating individual onsite systems.
EPA provides guidance and technical assistance to help develop and enhance onsite programs.
 EPA regulates large capacity septic systems under the Underground Injection Well
program.
 EPA regulates system discharges to surface waters under the National Pollutant
Discharge Elimination System.
 EPA regulates disposal of sewage sludge (biosolids) and domestic septage under 40
CFR Part 503.

What is EPA doing to help manage onsite systems?

 EPA develops voluntary policies and guidance for onsite wastewater management
programs.
 EPA sponsors state-of-the-art research on onsite and clustered wastewater system
technologies through demonstration projects.
 EPA works with state and local officials, industry professionals, and partner
organizations to support onsite wastewater management.
 EPA promotes homeowner awareness to strengthen onsite wastewater management.

Advanced wastewater treatment increases the percentage of contaminants, particularly nitrogen

and fecal coliform, removed in wastewater. Advanced pretreatment components typically follow
primary treatment from septic tanks and decrease the constituents of concern before they reach
the final treatment and dispersal component.

Advanced pretreatment components are used when a site has a high risk to public or
environmental health and primary treatment is not protective enough.

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Types of Sewer Systems
Centralized sewer systems are generally broken out into three different categories: sanitary
sewers, storm sewers, and combined sewers. Sanitary sewers carry wastewater or sewage from
homes and businesses to treatment plants. Underground sanitary sewer pipes can clog or break,
causing unintentional "overflows" of raw sewage that flood basements and streets. Storm sewers
are designed to quickly get rainwater off the streets during rain events. Chemical, trash and debris
from lawns, parking lots, and streets are washed by the rain into the storm sewer drains. Most
storm sewers do not connect with a treatment plant, but instead drain directly into nearby rivers,
lakes, or oceans. Combined sewers carry both wastewater and storm water in the same pipe.
Most of the time, combined sewers transport the wastewater and storm water to a treatment plant.

However, when there is too much rain, combined sewer systems cannot handle the extra volume
and designed "overflows" of raw sewage into streams and rivers occur. The great majority of
sewer systems have separated, not combined, sanitary and storm water pipes. According to a
recent Clean Water Needs Survey conducted by the USEPA, by the year 2016, the U.S. will have
to invest more than $10 billion to upgrade existing wastewater collection systems, over $20 billion
for new sewer construction, and nearly $44 billion to improve sewer overflows, to effectively serve
the projected population.

As the infrastructure in the United States and other parts of the world ages, increasing importance
is being placed on rehabilitating wastewater collection systems. Cracks, settling, tree root
intrusion, and other disturbances that develop over time deteriorate pipelines and other
conveyance structures that comprise wastewater collection systems, including stormwater,
sanitary, and combined sewers.

Leaking, overflowing, and insufficient wastewater collection systems can release untreated
wastewater into receiving waters. Outdated pump stations, undersized to carry sewage from
newly developed subdivisions or commercial areas, can also create a potential overflow hazard,
adversely affecting human health and degrading the water quality of receiving waters. The
maintenance of the sewer system is therefore a continuous, never-ending cycle.

As sections of the system age, problems such as corroded concrete pipe, cracked tile, lost joint
integrity, grease, and heavy root intrusion must be constantly monitored and repaired. Technology
has improved collection system maintenance with such tools as television camera assisted line
inspection equipment, jet-cleaning trucks, and improvements in pump design. Because of the
increasing complexity of wastewater collection systems, collection system maintenance is
evolving into a highly skilled trade.

Collection system operators are charged with protecting public health and the environment, and
therefore must have documented proof of their certifications in the respective wastewater
management systems. These professionals ensure that the system pipes remain clear and open.
They eliminate obstructions and are constantly striving to improve flow characteristics. They keep
the wastewater moving underground, unseen and unheard.

Because this wastewater collection system and the professionals who maintain it operate at such
a high level of efficiency, problems are very infrequent. So much so that the public often takes the
wastewater collection system for granted. In truth, these operators must work hard to keep it
functioning properly.

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Characteristics of Domestic Wastewater

 Mostly water -- 99.95% pure water

 What is the 0.05%?
o Large Solids -- rags, wigs, sticks, shoes, etc.
o Small Solids -- grit (sand, garbage, etc.)
o Suspended Solids -- bacteria, feces are 30 - 60% by weight bacteria
o Dissolved Material
 Organic (Biochemical Oxygen Demand, BOD)
 Ammonia (Nitrogenous Oxygen Demand, NOD)
 Inorganic (Metals and nutrients like nitrogen and phosphorus)
 Other Organic (not decomposable)
o Pathogens

Sewer Main
In a centralized wastewater treatment
system, the sewer to which sewer
connections are made from individual
residences.

Trunk Lines
Sewer pipes measuring more than 12
inches in diameter and having a capacity
of 1 to 10 million gallons per day. Trunk
lines connect smaller sewer pipes, or
collectors, to the largest transport pipes or
interceptors.

Collectors
Small sewer pipes measuring twelve inches or less in diameter.

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Onsite Treatment Processes

Onsite sewage treatment systems provide septic system owners with best management practices
to keep their septic systems functioning properly. These practices are really about recycling water:
cleaning wastewater and returning safe water to the water cycle. If a septic system is not
functioning properly, clean water is not returned to our groundwater systems. Our goal is to ensure
that you can treat your wastewater while protecting human and environmental health in a cost-
effective manner.

The high cost of centralized wastewater treatment plants and the advances made in individual
and cluster (decentralized) system technologies have expanded the array of available treatment
options and supported development of a more tailored approach to wastewater management
services.

Today, wastewater collection and treatment can be closely matched to the types and quantities
of sewage generated through a “just in time” modular approach financed via a “user pays” cost
structure. Options now exist that span the full spectrum of treatment facilities, from large
centralized plants, to large and small soil-discharging clustered facilities, to individual treatment
systems providing conventional or enhanced service.

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Key Considerations
Wastewater flow and strength, site and local infrastructure conditions, and performance
requirements for the dispersed or discharged effluent are all key considerations in deciding what
type of wastewater collection and treatment system is needed and how it should be designed.

Onsite systems treat wastewater and disperse it on the property where it is generated. When
functioning properly, onsite systems prevent human contact with sewage, and prevent
contamination of surface and groundwater. Factors that affect the proper functioning of onsite
systems include the site and soil conditions, design, installation, operation and maintenance.

Report to Congress
Nearly one in four households in the United States depends on an individual septic (onsite) system
(referred to as an onsite system) or small community cluster system to treat wastewater. In far
too many cases, these systems are installed and largely forgotten - until problems arise. EPA
concluded in its 1997 Report to Congress that "adequately managed decentralized wastewater
systems are a cost-effective and long-term option for meeting public health and water quality
goals, particularly in less densely populated areas."

The difference between failure and success is the implementation of an effective wastewater
management program. Such a program, if properly executed, can protect public health, preserve
valuable water resources, and maintain economic vitality in a community.

Public Health and Water Resource Impacts

State and tribal agencies report that onsite septic systems currently constitute the third most
common source of ground water contamination and that these systems have failed because of
inappropriate siting or design or inadequate long-term maintenance (USEPA, 1996a).

In the 1996 Clean Water Needs Survey (USEPA, 1996b), states and tribes also identified more
than 500 communities as having failed septic systems that have caused public health problems.
The discharge of partially treated sewage from malfunctioning onsite systems was identified as a
principal or contributing source of degradation in 32 percent of all harvest-limited shellfish growing
areas.

Onsite wastewater treatment systems have also contributed to an overabundance of nutrients in

ponds, lakes, and coastal estuaries, leading to the excessive growth of algae and other nuisance
aquatic plants (USEPA, 1996b).

In addition, onsite systems contribute to contamination of drinking water sources. USEPA

estimates that 168,000 viral illnesses and 34,000 bacterial illnesses occur each year as a result
of consumption of drinking water from systems that rely on improperly treated ground water.
Malfunctioning septic systems have been identified as one potential source of ground water
contamination (USEPA, 2000).

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 3 Stage System on top

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Basic Onsite Treatment Processes
Individual and clustered wastewater systems are designed to accomplish the same thing—the
treatment of wastewater—but how this is accomplished is based on the type of treatment
technology used. Treatment processes or methods are often described as primary, secondary,
and tertiary or advanced, as summarized below:

Primary Treatment
Physical treatment processes involving capture of solids and fats/oils/grease in an enclosed
vessel, typically by settling and flotation, such as provided in a septic tank or grease interceptor
tank. This process also includes trapping of solids via septic tank effluent filters or screens prior
to discharge of the tank effluent.

Secondary Treatment
Biological and chemical processes designed to remove organic matter, mostly through digestion
and decomposition, often aided by introduction of or exposure to atmospheric oxygen. A typical
standard for secondary effluent is biochemical oxygen demand (BOD) and total suspended solids
(TSS) concentrations less than or equal to 20 mg/L each on a 30-day average basis. These
standards can be achieved via flow through unsaturated soil or other media (e.g., sand, gravel,
textile, peat, and plastic media) or within an aerated vessel or chamber.

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Tertiary (Advanced) Treatment
Advanced treatment of wastewater includes enhanced organic matter removal, pathogen
reduction, and nutrient removal. Standards for advanced or tertiary effluent vary according to
regulatory requirements. Typical effluent quality parameters can include nitrate-nitrogen (e.g., no
more than 10-20 mg/l), phosphorus (e.g., 1-5 mg/l or less), and bacteria (fecal coliform less than
10 colony forming units per 100 ml). Advanced treatment can occur via process controls (e.g.,
alternating oxic/anoxic conditions) or through exposure to additives or media designed to cause
chemical or other reactions (e.g., disinfection, phosphorus precipitation).

Conventional Systems
Conventional treatment systems are the most commonly used wastewater treatment
technologies, combining primary and secondary treatment. These systems are the least
expensive in terms of total cost but require specific conditions (e.g., at least 24-36 inches of
unsaturated soil) and maintenance to perform adequately. A conventional wastewater treatment
system consists of a septic tank and a soil absorption field that allows primary treatment (i.e.,
septic tank) effluent to infiltrate into unsaturated soil. Flow through the system usually occurs via
gravity but can be aided by a pump, if necessary, operated by a float switch or timer.

Conventional systems can serve individual homes or businesses, or clusters of buildings. The
most frequently used treatment system design for a single family home is a conventional system
serving an individual home. As noted above, the conventional system has two principal parts—
the tank and soil absorption field. The septic tank treats wastewater by allowing floatable materials
(e.g., fats, oils, grease) to rise to the surface, forming a scum layer, and the heavier solids to sink
to the bottom, creating a layer of sludge. The tank effluent is similar to that of primary
sedimentation in larger treatment facilities, except that it is generally devoid of oxygen (i.e.,
anaerobic).

The soil absorption system facilitates aerobic treatment and filtration of the remaining
contaminants. Subsurface discharge of effluent to the soil can be configured to optimize treatment
via pressurized time-dosing of preset volumes of treated wastewater, which facilitates
oxygenation of the soil matrix between doses, promotes film flow of wastewater over soil particles,
and ensures a uniform and consistent application of effluent to the entire drainfield.

The laws of most states and counties prohibit the direct discharge of septic tank effluent onto the
ground surface. Surface water discharges must be covered by an approved NPDES permit.
Individual systems require periodic pumping of the tank (e.g., every 5-7 years) and inspection of
the dispersal field for signs of problems, such as wastewater surfacing, soggy soil, and odor.

Studies of conventional system costs indicate that installation costs can range from $3,500 to
$6,000 or more, depending on local labor and materials expenses, site conditions, permit fees,
and other factors. Annual operation, inspection, and maintenance costs vary, but average about
$30 to $100 per year, depending on state or local requirements.

When functioning properly, individual or clustered conventional systems are effective in treating
or removing pollutants. There are also many advanced technologies that have been developed
for situations where conventional systems are not appropriate.

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The next section discusses alternatives for sites that do not meet minimum requirements for
conventional systems or require advanced treatment due to more stringent treatment standards.

Advanced pretreatment components include:

 Aerobic treatment units (ATUs)
 Constructed wetlands
 Lagoons
Media filters:
 Trickling Filter
 Sand/Gravel Filter
 Foam Filter
 Peat Filter
 Textile Filter
 Upflow Filter

Pretreatment Components
Pretreatment components remove many of the contaminants from the wastewater to prepare the
effluent for final treatment and dispersal into the environment. The level of treatment is selected
to match the receiving environment and the intended use.

The quantity of contaminants is reduced to a level the soil can accept and treat. Many options
exist for treatment prior to release into the receiving environment. Wastewater pretreatment
components include septic tanks, trash tanks, and processing tanks, while aerobic treatment
units, media filters, and constructed wetlands are considered advanced pretreatment
components.

Components:
 Septic Tank
 Trash Tank
 Processing Tank
 Effluent Screen
 Recirculation Tank
 Final Treatment and Dispersal

Final treatment and dispersal components provide the final removal of contaminants and
distribute the effluent for dispersal back into the environment. Several options are available for
distributing wastewater in soil. Gravity flow systems are the most widely used dispersal
systems. These systems will continue to be used in areas where the soil separation distances
can be met, primarily because they are the least expensive alternative and require the least
amount of operation and maintenance.

Pressurized distribution methods overcome a variety of site limitations. Low pressure, subsurface
drip, and spray distribution systems are designed to function in difficult areas. These systems are
pressurized, which assists in providing even distribution of wastewater.

These technologies also facilitate reuse of wastewater in the landscape. These advantages,
however, increase the operation and maintenance requirements.

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Methods:
 Soil Adsorption Field  Shallow Narrow Drainfield
 Conventional Drainfield System  Spray Distribution
 Gravel-less Pipe  Drip Distribution
 Leaching Chamber  Evapotranspiration Bed (ET)
 Mound System  Media Filter as Drainfield Option
 Low-Pressure Drainfield (LPD)  Bottomless Sand Filter
 Low-Pressure Pipe (LPP)  Bottomless Peat Filter

Advanced Systems
Treatment system components designed to pretreat septic tank effluent before discharge to the
soil dispersal field are often called alternative, enhanced, or advanced systems. Advanced
systems can be designed and built on-site or can consist of prefabricated units designed to
overcome some site and soil limitations including:

When the aerated (unsaturated) soil depth below the infiltrative surface in the drainfield is less
than the minimum required, advanced treatment processes or components (e.g., fixed film
treatment units) can be added to increase pollutant removal prior to soil discharge.

In environmentally sensitive areas, advanced systems can be used to meet effluent standards for
oxygen-demanding wastes, bacteria, nitrogen, and phosphorus.

If a soil dispersal area malfunctions hydraulically due to a buildup of the biomat (inorganic,
organic, and/or bacterial slime) at the infiltrative surface, it may be restored, and treatment may
be enhanced, by improving soil oxidation through timed dosing of septic tank effluent to the
dispersal field. The dose/rest cycle allows the soil to drain between doses, improving soil oxygen
transfer.

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Wastewater with high organic strength (e.g., from a restaurant) can employ advanced treatment
units/processes to improve aeration, biological decomposition, and treatment of organic wastes.
(Note: High concentrations of fats, oils, and greases should be removed through housekeeping
practices and use of a grease trap tank.)

Advanced systems that provide timed dosing of septic tank or treatment unit effluent to the soil
can sometimes be used where soil infiltration areas are limited, except in cases of high-clay
content soils.

Advanced systems that employ pressure drip dispersal of the effluent can reduce bacteria and
nutrient loading to groundwater by applying wastewater high in the soil profile, improving bacteria
predation and uptake of nutrients by plants and providing a carbon source for denitrification.

All treatment systems require management, but advanced systems, due to their use of pumps,
switches, and other electromechanical components, especially need regular operation and
maintenance attention.

Permanent maintenance contracts with qualified service providers should be required by state or
county code for systems with these components. Links to the treatment system types below
contain information on system design, management, and other requirements.

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Elevated (Mound or At-Grade) Systems
This system type includes a septic tank or prefabricated treatment unit to provide primary (and
sometimes secondary) treatment prior to discharging the effluent to a modified drainfield.

Effluent flows from the tank or treatment unit to a pump tank and periodically dosed to the modified
dispersal area, which is typically constructed of a layer of clean, uniformly graded sand on a
plowed or roughened natural soil surface. The tank effluent is uniformly dosed onto the infiltrative
surface within the mound, which may be 1-4 ft. above the natural grade. Sand within the mound
compensates for shallow unsaturated soil conditions below the natural grade.

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Mound Systems
Mound systems are appropriate for areas with a high water table or shallow, fractured bedrock.
After treatment through the sand, the effluent percolates directly into the soil under the mound.
At-grade systems feature effluent dispersal piping placed at natural grade, with the mound
consisting mostly of cover soil for the piping. The mound should have inspection ports, so
wastewater distribution across the infiltration area can be monitored. Distribution lines should
have cleanouts so they can be flushed at least twice a year. Costs for mound systems range from
$5,000 to $15,000. The cost is mostly related to the delivered cost of the mound materials and
local labor costs. Operation and maintenance costs average $100 per year.

Aerobic Treatment Units

Aerobic treatment units (ATUs) consist of prefabricated units featuring consecutive or
compartmentalized tanks, pumps, blowers, and internal piping, and are designed to treat
wastewater via suspended or attached growth decomposition in an oxygen rich environment.
When oxygen is supplied, the rate of microbial activity and related treatment processes
accelerates. Three processes are involved in most aerobic systems: physical separation (mostly
settling), aerobic treatment (aeration and mixing), and clarification (final settling).

These processes may be in separate tanks, compartments of a single tank, or other

configurations. ATUs vary in design and can consist of simple activated sludge variations,
sequencing batch reactors, trickling filters, and combinations of two or more of these unit
processes. ATU systems require permanent, regularly scheduled inspections and maintenance
attention. The National Sanitation Foundation has a certification program for aerobic treatment
units based on testing over a range of operating conditions. An activated sludge ATU, where
oxygen is added by injecting adding air into the wastewater, can range between $6,000 and
$10,000 installed with maintenance costs averaging $500 and $700 per year.

Fixed-Activated Sludge Treatment

ATUs cost slightly more than an activated sludge unit; however, maintenance costs are reduced
by half. The cost of Sequencing Batch Reactors, which perform all functions in a single tank, can
range $8,500 to $12,000 installed, with yearly maintenance costs at $600 to $700.

Media Filters
Septic tank effluent can be applied to a layer of sand or gravel, a tank containing peat or plastic
media, or compartments of hanging textile or other material to improve oxygen access and
enhance biochemical treatment processes. A number of these so-called “media filters” are
available to treat wastewater. Sand is the most commonly used media, but clean gravel, crushed
glass, textile strips, peat, and tire crumbs are also used, depending on site restrictions and
state/local regulations. In single-pass or intermittent filter (ISF) design, septic tank effluent is
pump-dosed uniformly onto the media at regular intervals 12 to 48 times per day. As the effluent
trickles through the media, suspended and some colloidal particles are filtered, and bacteria
growing on the media aerobically treat organic wastewater. Effluent that percolates through the
media bed is discharged to the soil dispersal field. Intermittent filters include higher installed costs
($6,000 to $10,000) and have some potential for odors if septic tank effluent is the influent stream.

Operation and maintenance costs run from $175 to $250 per year. Recirculating sand filters (RSF)
return two-thirds or more of the filter percolate to the pump dosing chamber, greatly improving
nitrogen removal (e.g., up to 50 percent or more, depending on influent nitrogen levels and other
factors). Effluent quality from the RSF and ISF are typically less than 10 mg/L of BOD and TSS,
however, the facility size for an RSF is less, and it lacks the odor potential of the ISF. A
recirculating filter system costs $8,000 to $11,000 installed.
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Operation and maintenance costs range from $250 to $350 per year. In addition to maintenance
of the pump and controls, dosing lines must be flushed and the pressure on each line checked at
6-month intervals.

Submerged-Flow Wetland or Vegetative Submerged-Bed (VSB)

Vegetative submerged beds are also called submerged-flow wetlands. This system type treats
septic tank effluent by horizontal flow through a lined bed of unmulched gravel planted with
wetland species.

The plants fill in spaces between the rocks and provide aesthetic appeal. Wetland systems are
extremely passive and require little management in producing a good quality effluent (typically
BOD and TSS of less than 30 mg/L).

The treatment environment in the system is mostly anaerobic, with some aerobic microsites on
plant roots and near surface areas. Effluent is further treated when discharged to unsaturated soil
following flow through the wetland cell(s).

Septic tanks with subsurface flow gravel bed wetlands have been used successfully in many
areas including Texas, Louisiana, Arizona, Indiana, and Kentucky. Constructed wetlands can
have a relatively low construction cost in areas where media and land is readily available. Properly
designed and constructed systems do not require chemical additions or mechanical equipment.

Maintenance is important to prevent clogging the rock bed and influent and effluent structures.
The average cost of a VSB system can range from $5,000 to $8,000 installed. Operation and
maintenance costs are generally less than $100 per year.

Cluster System Applications

A cluster system is designed to collect wastewater from two to several hundred homes. The
Cluster Wastewater Systems Planning Handbook lists a number of potential wastewater collection
technologies for small and large cluster systems, including: grinder pump systems, which
transport all sewage; effluent sewers, such as the septic tank effluent pump (STEP); the septic
tank effluent gravity (STEG) collection system; and vacuum systems. Treatment facilities serving
clustered buildings may range from a communal septic tank and soil dispersal system to a more
advanced treatment system.

Advanced systems may facilitate local reuse of the treated effluent for toilet flushing, irrigation,
industrial purposes, or to replenish aquifers. Cluster systems must be managed by an entity with
the technical, financial, and managerial capacity to effectively and efficiently handle operation,
maintenance, customer billing, repair/replacement, and other tasks.

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Septic System Failures
Septic system failures are a major source of groundwater pollution. Layers of soil act as a natural
filter, removing microbes and other particles as water seeps through. Improperly treated water
can carry bacteria and viruses that can cause gastroenteritis, fever, common cold, respiratory
infections and hepatitis. Septic system maintenance is like automobile maintenance; a little effort
on a regular basis can save you a lot of money and significantly prolong the life of the system.

Septic systems are effective, cost efficient, and easy to maintain. However, failing systems are a
major source of groundwater pollution, cause waterborne illnesses, such as dysentery and
hepatitis, and are expensive for homeowners to replace. There are many different types of
wastewater collection and treatment technologies.

Systems can treat individual homes, clusters of buildings, or whole subdivisions and/or
commercial establishments. Collection systems for clustered facilities can work by gravity or
operate via vacuum or pressure pump. Wastewater is typically treated through primary and
secondary processes (and sometimes tertiary or advanced “polishing” procedures) and can be
disinfected prior to discharge.

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There are a number of resources available online that can provide additional information on
individual and cluster system designs including:

 EPA Design Manual

 EPA Onsite Wastewater Treatment Systems Manual
 EPA Onsite Technology Fact Sheets
 Small Flows Clearinghouse Environmental Technology Initiative (ETI) Fact sheets
 EPA Alternative Wastewater Collection Systems Handbook
 Cluster System Planning Handbook
 University of Minnesota Innovative Onsite Treatment Systems
 Rutgers University Onsite Wastewater Treatment Systems: Alternative Technologies
 New England Interstate Water Pollution Control Commission

Improving OSSF Treatment through Performance Requirements

Most onsite wastewater treatment systems are of the conventional type, consisting of a septic
tank and a subsurface wastewater infiltration system (SWIS). Site limitations and more stringent
performance requirements have led to significant improvements in the design of wastewater
treatment systems and how they are managed.

Over the past 20 years the onsite wastewater treatment system (OWTS) industry has developed
many new treatment technologies that can achieve high performance levels on sites with size,
soil, ground water, and landscape limitations that might preclude installing conventional systems.
New technologies and improvements to existing technologies are based on defining the
performance requirements of the system, characterizing wastewater flow and pollutant loads,
evaluating site conditions, defining performance and design boundaries, and selecting a system
design that addresses these factors.

Performance requirements can be expressed as numeric criteria (e.g., pollutant concentration or

mass loading limits) or narrative criteria (e.g., no odors or visible sheen) and are based on the
assimilative capacity of regional ground water or surface waters, water quality objectives, and
public health goals.

Wastewater flow and pollutant content help define system design and size and can be estimated
by comparing the size and type of facility with measured effluent outputs from similar, existing
facilities. Site evaluations integrate detailed analyses of regional hydrology, geology, and water
resources with site specific characterization of soils, slopes, structures, property lines, and other
site features to further define system design requirements and determine the physical placement
of system components.

Most of the alternative treatment technologies applied today treat wastes after they exit the septic
tank; the tank retains settleable solids, grease, and oils and provides an environment for partial
digestion of settled organic wastes.

Post-tank treatment can include aerobic (with oxygen) or anaerobic (with no or low oxygen)
biological treatment in suspended or fixed-film reactors, physical/chemical treatment, soil
infiltration, fixed-media filtration, and/or disinfection. The application and sizing of treatment units
based on these technologies are defined by performance requirements, wastewater
characteristics, and site conditions.

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System Design Standards and Practices
Nearly all states and some local governments have regulatory or guidance documents detailing
acceptable design approaches for individual and clustered wastewater treatment systems. For
example, Kansas, in its Minimum Standards for the Design and Construction of Wastewater
Systems, lists the following five elements of septic tank–lateral field system design:

 Wastewater flow
 Soil and site evaluation
 Septic tank standards for design, construction, and installation
 Lateral field design and construction
 System maintenance

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Onsite Sewer Systems Do's and Don'ts
Don’t treat an on-site wastewater treatment system as if it were a normal centralized sewer system
(Items flushed down the toilet don’t disappear).

Don’t flush household wastes such as:

Coffee grinds Kitty Litter Cigarette butts Disposable diapers fat, grease or oil Paper towels
Feminine hygiene products

Don’t flush hazardous chemicals, such as:

Paints Paint thinners Medications Pesticides Varnishes Waste oils

Don’t build driveways, storage buildings or other structures over the septic tank or
drainfield.

Don’t send the back-flush water from a water softener into your septic system.

Do divert rainwater coming from driveways and roofs from drainfields. Flooding of the drainfield
with excessive water will keep the soil from naturally cleaning the wastewater, leading to
groundwater pollution.

Do use water wisely by fixing leaking faucets and toilets, install low-flow devices, take shorter
showers and shallower baths, and wash only full loads of dishes and laundry to help reduce the
wastewater volume the system must treat. The more wastewater you produce, the more your tank
and drainfield must treat. Continuous saturation can affect the quality of the soil and its ability to
naturally remove toxins, bacteria, and viruses from the water.

Do maintain a grass cover over drainfield area.

Do use household cleaning materials in moderation. They seldom affect the operation of a septic
system when used in moderation.

Do leave stand pipes extending at least 24” above the surface. If you must cut them down be sure
to measure and mark their location on a drawing of your system so they may be located for
pumping maintenance in the future.

Don't wait until you have a problem - Pump Regularly!

If the buildup of solids, sludge, in the tank becomes too high, solids move to the drainfield and
can clog and strain the system to the point where a new drainfield will be needed. TLC
recommends pumping every 2 years. If you have a garbage disposal, hot tub, or whirlpool you
should increase the pumping frequency to once a year.

Don’t add chemical or biological additives to your septic tank. Because of the cold soil
temperatures typically found in Alaska, adding performance enhancing additives like yeast,
bacteria or chemicals to your septic tank is of little value. In fact, in some cases, these additives
can be harmful to your system or the environment. Because of this, TLC recommends NOT using
additives and instead have your septic tank pumped every 2 years.

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Performance-Based Standards
Most state and local system design codes traditionally have been based on prescriptive
approaches that specify minimum site requirements, construction methods, and acceptable tank
types and other components. However, the move toward site-appropriate, risk-based system
design and the growing interest in clustered facilities has increased the need for performance-
based design guidance.

Performance-based management approaches have been proposed as a substitute for

prescriptive requirements for system design, siting, and operation. Performance codes set
measurable outcomes that all treatment systems must achieve regardless of the technology used.
British Columbia, Canada has a fairly comprehensive performance code, and Arizona has a
hybridized code that allows a wide array of enhanced treatment methods for protecting
groundwater.

System Design Considerations

One of the more common reasons why some individual or cluster systems do not perform properly
is inappropriate system/technology selection. A wastewater system should be matched to the
volume and pollutant profile of wastewater, and the site, soil, and groundwater/surface water
conditions must be known in detail in order to develop an appropriate system design.

State and local wastewater system permitting programs are expanding the options available for
providing treatment services, especially for sites with limiting soil conditions and those with
threatened or impaired water resources nearby. Instituting a protocol to provide guidance and
oversight during the system design process can also help to address:

 Impacts of different pretreatment levels on the long-term hydraulic and pollutant removal
performance of the soil.
 Cumulative impacts of high-density system installations.
 Operation and maintenance requirements of different treatment and soil dispersal
technologies.
 Potential implications of water conservation fixtures.

The protocol should include a pre-design meeting between the permitting agency, the
management entity, the designer, and the owner of the property. All of these parties have a stake
in the performance of the system, and such a meeting can assist in identifying potential problems
and solutions.

The protocol should be as complete as possible and should feature a rational, defensible
evaluation procedure for proposed designs and materials specifications. The protocol should be
dynamic and should be regularly reviewed and updated as new information and experience is
gained.

Management Considerations
All wastewater treatment systems require management. Management services can be provided
by an outside contractor or responsible management entity. In general, individual gravity flow
systems with septic tanks and subsurface drainfields require less management attention;
clustered facilities with collection system pumps, mechanized treatment units, and time or
demand-dosed infiltration areas require much more.

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Factors that influence system management include:

 Operation in extreme conditions, such as very cold or wet climates.

 Life of system components and access to repair parts.
 Power reliability and backup power needs.
 Maintenance needs, including frequency and complexity of service.
 Availability of trained, reliable service providers.
 System compatibility with the owner’s needs or lifestyle.
 Aesthetics (visible system components, noise, odors, etc.).
 Annual costs for operation, maintenance, and repair.

Permitting and Approval Process

State and local governments vary considerably in their approach to approving system types and
components and issuing installation and operation permits. Consultation with state and local
regulatory agencies is required in all cases to ensure that minimum requirements are met. In
general, a typical permit application procedure should include the following information:

 Consultation with the property owner regarding final design components.

 Detailed drawing for the site, including property lines, structures, easements,
topographical and drainage features, vegetation, etc.
 Detailed drawings of all system components.
 Site preparation requirements.
 Documentation of decisions made regarding system location and features.
 Total dynamic head pressure requirements, if applicable.
 Specifications for equipment and materials, based on calculations.

It is important that the application include system drawings, narratives, forms, calculations,
catalog cuts, photos, and other data, including detailed equipment and installation specifications
to make siting the system components easier. If the site has been developed, all structures,
utilities, and ingress and egress pathways should be identified.

The source of potable water and distribution lines should be identified as well. If there is an
existing wastewater treatment system, the condition of all components, including the reserve area,
should be recorded and minimum setbacks met.

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Regular OSSF Maintenance
Regular maintenance is required for all systems. However, it is especially important for more
complex alternative systems, especially those that use pumps, controls, timers, and pressure
distribution. Verification of system maintenance contracts, operator expertise, and reporting
requirements for system maintenance such as tank pumping and repairs should be included in
the approval process. Oregon has developed an approval application for alternative systems
which includes:

 Certification to the National Sanitation Foundation (NSF) International Class I Standard

40 Protocol.
 Documentation that the system meets state performance requirements.
 A guide for inspecting system installations.
 A plan for training agents and system installers on installation and inspection.
 A plan for training operation and maintenance providers.
 Detailed plans showing that the system complies with the state requirements

A completed checklist
A system operation and maintenance manual outlining minimum maintenance frequency
The TOP warning signs of septic system failure:
1. Slowly draining sinks and toilets
2. Gurgling sounds in the plumbing
3. Plumbing backups
4. Sewage odors in house or yard
5. Ground wet or mushy underfoot over the drainfield
6. Grass growing faster or greener in one area of the yard
7. Drinking water tests showing presence of bacteria

None of these warning signs is a sure indicator that a system has failed, but you should investigate
further if one or more of these signs is present!

Check the Record

Unlike the other parts of a house, the septic system is difficult to see! However, you can check
the records on a home's septic system by contacting your local or state sewer or septic agency
or environmental agency.

These records should reflect:

1. The age of the system. If properly designed, installed, and maintained, a septic system can
effectively treat household wastewater for up to 20 years or more. Look to see if the house has a
system that is near the end of its life-span.
2. The size of the system. Size is important because graywater (laundry water, sink water) and
blackwater (toilet water) need to be retained in the tank for at least a day or more to allow solids
to separate from the liquids and begin breaking down. If wastewater is pushed through without
proper settling, the solids can clog the drainfield, stressing and possibly damaging the system.
Adequate tank size is 1,000 gallons for a home with up to three bedrooms plus 250 gallons for
each additional bedroom in the home.
3. The location of the system. Knowing where the tank and drainfield are will help you visually
check the area for obvious signs of failure. In addition, poorly sited drainfields can result in septic
system failures. Location of the system in relation to wells, other septic systems, slope of the land,

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natural drainage patterns, underlying soil conditions, and lot boundaries may indicate potential
problems with the septic system and should be reviewed by you or a professional.

Tip: Keep an eye out for previous certifications from your state sewer or septic agency or
environmental agency; these should indicate that the system is in compliance with good septic
system standards, or will indicate any waivers that were granted and why.

Testing and Certification

Approving the use of various treatment technologies is under the purview of state and local
governments. Some states individually test and validate treatment technologies and maintain a
list of those approved in their state. For example, North Carolina requires vendors to test new
technologies, according
to the environmental
technology verification
(ETV) protocols. Costs
for verification are paid
by vendors.

Testing Alternative
Systems
Test centers have been
created in some states to
test alternative or
advanced systems.

The Massachusetts
Septic System Test
Center was created to
provide state and local managers with a reliable database on enhanced treatment system
performance, operation, and maintenance.

The facility has the capacity to test six residential treatment technologies (in triplicate) in addition
to three conventional treatment systems, which serve as a benchmark for the other technologies,
for a total of 21 treatment units.

Additional capacity at the facility is used to test two nitrogen removal technologies and for
research and development of new and unproven technologies. As the verified data is developed,
the test center conducts an active outreach effort to convey this information to local boards of
health, wastewater professionals, and consumers.

Certification of System Designers

Most state wastewater management programs require an engineer to design a wastewater
system or to certify that it meets the manufacturer’s specifications once installed. However, some
states have added a certification or license requirement for system designers as part of their
wastewater certification program.

For example, the State of Washington recently passed a law (RCW 18.210) that requires a license
to practice system design unless the system designer is an employee or subordinate of a licensed
professional engineer or designer.

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OSSF Construction Section
Appropriate wastewater treatment system construction and/or installation practices are critical to
the performance of individual and clustered systems. Construction activities can affect short-term
and long-term system performance by failing to adhere to material specifications, neglecting
proper pipe slope requirements, inadvertently switching tank inlet/outlet orientation, or failing to
protect infiltration area soils from equipment compaction.

Infiltration area protection, a key component of good system installation practice, should be
carefully considered during site preparation, construction equipment selection and use, and
before and during construction. The development of a final design plan that includes drawings,
narratives, forms, calculations, photos, and other data, including detailed equipment and
installation specifications, will help ensure a successful outcome. This information must be
assembled into a cohesive document to allow the proper installation of the design without the
need for any assumptions.

Construction Phases
Construction/installation management of a wastewater system can be divided into the following
four basic phases:

1. Preparation Phase
 Conduct a pre-construction conference at the site to identify site component locations,
verify setbacks and other site conditions, check surface elevations, and identify potential
problems or safety concerns (e.g., overhead electric lines).
 Assess changes in conditions (e.g., soils, topography, vegetation) that may have occurred
since design work was completed.
 If work will be delayed, flag off or otherwise protect the infiltration area.
 Modify design components or layout, if appropriate.
2. Project Execution
 Verify designed treatment system components and materials, such as tank type, size, and
material; piping; and gravel (if used) that is free of fines.
 Excavate areas for conveyance piping, the tank(s), secondary treatment units, and
infiltration or soil dispersal components according to designated depths and required pipe
slopes.
 Use caution to avoid contact with power lines and excavation cave-ins!
 For gravity flow systems, all elevations are tied to the building sewer line elevation. Ensure
that the proper fall is available from the building to the tank, then to the distribution box(es),
and to the infiltration area.
 Ensure that the tank is on solid tamped ground, installed level and at the proper elevation,
and that inlet/outlet orientation is correct. Secure tank covers after hours to prevent
accidents. Backfill tanks as soon as possible.
 Follow manufacturer’s recommendations for installing tanks. Plastic and fiberglass tanks
usually require special installation techniques (e.g., anchoring, backfilling with sand,
tamping backfill in lifts, filling tank with water as its backfilled, etc.)
 Use proper primer and glue for plastic piping. Attach electric lines and control wiring in
accordance with design plans as appropriate.
 Ensure that pumps are plumbed, wired, and installed to allow easy inspection, access,
and removal (e.g., use quick-connect union and backflow prevention valve between pump
and uphill dispersal piping).

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  Ensure that trench bottoms for gravity flow pipes are tamped and stable and free of rocks
and roots, and that backfilled areas around pipes are tamped to prevent dips and rises
that could impede flow.
 Ensure that distribution pipe effluent dispersal holes go on the bottom.
 Extend inlet and outlet piping stubs below tank access ports, but do not block ports to
ensure access for pumping and inspection. Use rubber boots or grout to completely seal
around pipes and risers.
 Install access port risers to the surface, install outlet filters/screens, and complete
installation of pumps, wiring, control panels, and other components.
 Install cleanouts and inspection ports in key locations (near building sewer, D-box, etc.);
this aids in operation/maintenance later on.
 Conduct functional test of the system after installation, checking flows, pump discharge (if
used), operation of float switches (if used), and controls.
 Verify designed component finished conditions (e.g., tank type/capacity, riser covers,
elevations, location of key components, drainage, landscaping)

3. Final Inspection
Observe system components prior to cover-up; determine consistency between design and actual
installation; report inconsistencies

4. Post Construction
 Prepare a scaled and dimensioned as-built drawing.
 Record the materials and equipment used to meet the specifications that were established
in the design.
 Verify that any changes during construction are consistent with the design intent and are
of similar or equivalent specification.
 Record operating parameters for pumps, electronic controllers, hydraulic controllers, and
other devices.

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OSSF Site Preparation and Excavation Practices
Overhead power lines, steep slopes, and excavations at the installation site can all present
serious safety hazards. A brief preconstruction meeting can ensure that safety hazards and
practices to eliminate, minimize, or respond to them are identified.

Site preparation requires a number of activities including clearing and surface preparation for
filling. Use of lightweight tracked equipment will minimize soil compaction. Soil moisture should
be determined to ensure that it is dry, and care should be taken to avoid soil disturbance as much
as possible. To avoid potential soil damage during construction, the soil below the proposed
infiltration surface elevation must be below its plastic limit during construction (i.e., it must lack
the moisture required to make it moldable into stable shapes). This should be tested before
excavation begins.

Site excavation is conducted only when the infiltration surface can be covered the same day to
avoid loss of soil permeability from wind-blown silt or raindrop impact. Another solution is to use
light-weight gravel-less systems, which reduce the damage and speed the construction process.
Site access points and areas for traffic lanes, material stockpiling, and equipment parking should
be designated on the drawings for the contractor. Heavy equipment should be diverted from the
absorption field to avoid compaction and damage to the area. Flagging off the infiltration area as
early as possible is critical to ensure long-term function of the system.

Clearing should be limited to mowing and raking with minimal disturbance to the surface. If trees
are cut, they should be removed without heavy machinery, and, if necessary, stumps ground out.
Grubbing of the site (mechanically raking away roots) should be avoided. If the site is to be filled,
the surface should be moldboard- or chisel-plowed parallel to the contour (usually to a depth of
seven to ten inches) when the soil is sufficiently dry to ensure maximum vertical permeability. The
organic layer should not be removed. Scarifying the surface with the teeth of a backhoe bucket is
not sufficient. All efforts should be made to avoid any disturbance to the exposed infiltration
surface.

Field Construction Practices

Changes in construction practices over the past 25 years have led to improvements in the
performance of individual wastewater systems. For example, construction materials used in
plumbing, wastewater lines, and lateral fields should meet American Society for Testing and
Materials standards. Avoid work during wet conditions. Smeared soil surfaces in infiltration
trenches should be scarified and the surface gently raked prior to installing the gravel or gravel-
less piping/chambers. If gravel or crushed rock is to be used for the system medium, the rock
should be placed in the trench by using the backhoe bucket to long-term system performance. If
soil compaction occurs during drainfield installation, it might be possible to restore the area, but
only by removing the compacted layer.

It might be necessary to remove as much as four inches of soil to regain the natural soil porosity
and permeability (Tyler et al., 1985). Consequences of the removal of this amount of soil over the
entire infiltration surface can be significant. It will reduce the separation distance to the restrictive
horizon and could place the infiltration surface in an unacceptable soil horizon.

For gravel filled trenches, the trench bottom should be left rough and covered with six inches of
clean (i.e., no fines) rock. Distribution pipes should be carefully placed over the rock, leveled, and
bedded in on the sides.

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After the rock and pipes have been placed in the trench, the filter fabric should be placed over the
top of the rock to prevent soil from moving into the rock. The soil backfill should be carefully
crowned to fill the trench cavity at a height to allow for settling. Before leaving the site, the area
around the site should be graded to divert surface runoff from the area. All soil depressions over
the system should be eliminated, and the area should be seeded and mulched. Post construction
activities include accurate documentation of all of the system components and the system
location. Flag off the infiltration area to keep construction and other traffic away.

Construction Practice and Examples

The BMPs provide guidance on siting a system and regulations that apply to system design and
installation.

Charlestown, Rhode Island, subdivision regulations and zoning ordinances establish special
standards for wastewater system siting and installation, including policies for the protection of
sensitive resources. The required environmental analysis within the subdivision regulations
incorporates the consideration of effluent dispersal into the soil and factors related to dispersal
sites, such as soil type, slopes, and proximity to waterbodies and wetlands.

The Kansas Department of Health has developed a comprehensive bulletin that specifies
minimum standards for the design and construction of individual soil-discharging wastewater
systems

New Hampshire created an “Onsite Wastewater Disposal Installation Manual” in 2002. Its purpose
is to help both new and experienced system installers and excavators by providing needed and
helpful information to properly site and install a state-approved system design.

Topics covered in the manual include Installing Systems Consistent with Designer’s Plans,
Understanding Designer’s Intent, Estimating Construction Costs, and Assuring Proper Site
Layout. All installers must be permitted in New Hampshire, and the manual provides useful
information to prepare for the installer’s exam, a necessary step to qualify for an installer’s license.

Management Considerations
All onsite management programs should carefully consider construction and installation elements
to ensure the proper operation of onsite systems. These programs should include permits,
inspections, and installer training requirements.

Construction/Installation Programs Basic Approach

 Construction permit based on code-compliant site evaluations and system design.

 Installation by trained or certified installers.
 Inspection of systems prior to backfilling to confirm that installation complies with design.

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 Intermediate Approach
Pre-construction meeting at site with owner and installer to review construction/installation
issues.
 Certification/licensing requirements for installers.
 Construction oversight for all critical steps (e.g., field verification and staking of system
components, inspections after backfilling, and installation completion).

Advanced Approach
Supplemental training for installers for difficult sites and advanced technologies.
 Verification and database entry of as-built drawings and other installation information
before construction can begin. After determining that the facility design will conform to the
general permit requirements, ADEQ issues a construction authorization, giving the
applicant two years to build the system before the construction authorization expires.
 The Johnson County, Missouri, regulations require a construction permit for new
wastewater systems and major modifications to an existing system. The permit may be
obtained via the Johnson County Community Health Services or Missouri Department of
Natural Resources. The Johnson County Code of Health regulations also require installers
to be licensed by the county.

Inspections
Installation inspections should be conducted by trained and certified personnel at several stages
during the system construction and installation process, if possible. Most state and local
wastewater programs require inspector training and certification to maintain a high and consistent
level of program performance.

The National Sanitation Foundation (NSF) developed a rigorous NSF Inspector Accreditation
Program to test an applicant's knowledge on topics ranging from sewage treatment system design
and operation to inspection procedures, safety, and basic tank capacity and other calculations.
The National Association for Waste Transporters (NAWT) launched a similar but scaled-down
NAWT National Inspector Certification. NAWT maintains a National Directory of Certified
Inspectors.

During the construction process, inspections before and after backfilling can help verify
compliance with approved construction procedures. If there are insufficient management program
resources to conduct these inspections, an approved, independent design professional could be
required to oversee installation and certify that it has been conducted and recorded properly. The
construction process for soil-discharging systems must be flexible to accommodate weather
events, since construction during wet weather may compact soils at the infiltrative surface or
otherwise alter soil structure and should be avoided.

Commonly, the local health department will provide a field inspection prior to backfilling the
system, after which an occupancy permit is issued. For example, in Texas, an authorization to
construct must be granted by the permitting authority before building can begin. This authorization
includes specific instructions on the number and schedule of inspections and at what stages of
construction the inspections are required.

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Inspections State and Local Examples
Oregon requires a system "pre-cover-up" inspection unless waived by the county wastewater
management agent. Some enhanced systems, such as sand filter systems, require inspections
at various stages of construction, and these inspection requirements are specified in the permit.
To initiate the pre-cover-up inspection, the installer must complete the As-Built Drawing and
Materials List form and submit then to the county. This form must be signed by the installer
certifying that it was installed according to specifications.

Marin County, California, requires that the designer of county-approved, enhanced systems also
be responsible for the system installation inspection to assure conformance with approved plans.
The construction inspection by the designer is in addition to the standard county inspection. The
responsible management entity (RME) for Shannon City, Iowa, provides oversight throughout the
construction process either with their own trained and certified personnel or through the USDA
Rural Development staff. Final pre-cover inspection and permitting is performed by the Union
County Sanitarian.

Installer Training and Certification

Several states require certification of individuals who install individual and clustered wastewater
systems. However, certification requirements vary significantly across the country, with some
requiring extensive training and others simply mandating registration.

National Onsite Wastewater Recycling Association (NOWRA) recommends that all wastewater
system service providers, including installers, be certified. The NOWRA Installer Academy
provides skill and technical knowledge training for system technicians.

The National Environmental Health Association, through a cooperative agreement with EPA, has
worked with various groups to develop a national credential to certify installers of individual
wastewater treatment systems. The credential covers all forms of installation and is offered at
both a basic and advanced levels.

The credential is designed to test the knowledge, skills, and abilities needed for the successful
installation of a wastewater treatment system. State and local codes are not covered through this
national credential, and it is meant to enhance, not replace, a state or local regulatory program.
The Consortium of Institutes for Decentralized Wastewater Treatment has also created a series
of training modules that include installation/construction for use in training centers.

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OSSF Operation and Maintenance (O&M) Section
A very important, but often overlooked, component of a wastewater management program is
operation and maintenance (O&M). Effective wastewater management ultimately hinges on the
proper O&M of systems.

There are several different management approaches that can be used to support O&M, from
mandatory inspection programs to permitting and monitoring requirements. In general, operation
and maintenance tasks are tied directly to the system type, the wastewater being treated, and the
receiving environment where effluent is discharged or dispersed.

This overview provides readers with general information about the O&M management
considerations for individual and clustered wastewater treatment systems. Included in this
overview are:

System Operation and Maintenance Requirements

 Individual Wastewater Systems
 Clustered Treatment Systems

Management Considerations
 Education and Outreach
 Training and Certification
 Inspection and Maintenance Requirements
 Maintenance Contracts
 Reporting and Monitoring
 Operating Permits
 Public and Private Management Entities

System Operation and Maintenance Requirements

There are distinct, ongoing O&M requirements associated with the various individual and
clustered wastewater collection and treatment systems and the technologies employed. Most
technologies come with suggested O&M maintenance activities from the manufacturer. These
requirements are crucial to the proper operation and performance of the system.

Individual Wastewater Systems

Individual treatment systems collect, treat, and disperse wastewater from an individual property
and are associated with low-density communities and developments, such as rural residential and
small commercial developments. Individual systems generally consist of one or more treatment
devices (e.g., septic tank, fixed film treatment unit) and a subsurface dispersal system.

The operation and maintenance requirements of an individual system can vary greatly depending
on the type of system. For example, mechanical systems, such as activated sludge-based units,
require servicing three to four times a year, while conventional systems need service or pumping
every three to seven years, depending on occupancy and use.

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Conventional Systems
Conventional “septic” systems are the most widely used wastewater treatment system. These
systems are simple to operate and, when properly designed, constructed, and maintained, do an
excellent job of removing pollutants from wastewater. In most communities, the operation and
maintenance of conventional systems is the responsibility of the homeowner.

Conventional systems require periodic pumping to remove the solids, fats, oils, and grease that
accumulate in the septic tank. When a system is poorly maintained and not pumped out on a
regular basis, sludge (solid material) can build up inside the tank and may ultimately clog the
absorption field, making the system unusable. A system owner should hire an experienced (i.e.,
licensed or certified) service provider to inspect the system at least once a year to determine
pumping needs and to clean, repair, or replace any components as needed (i.e., baffles, tees,
effluent screens). Most conventional system designs now include risers that allow access to
inspect tanks and determine pumping needs.

Enhanced Treatment Systems

Several wastewater alternative technologies have proven to be effective in situations where
conventional systems are not appropriate. These systems fall into three broad categories:

Material Replacement
Technologies that replace one component of the conventional system with a component
manufactured from a different material.

Conventional System Modification

Technologies that enhance or otherwise improve conventional operating or treatment
performance.

Enhanced Wastewater Treatment

Advanced or innovative technologies that provide a higher level of treatment beyond conventional
systems. Generally, these systems have mechanical or moving parts that require periodic
operation and maintenance, inspections, and eventual replacement.

Enhanced wastewater treatment systems are more complex than conventional systems and
require greater oversight to keep all aspects of the treatment process in balance. Some of the
more common enhanced system technologies in use today include:
 Activated Sludge-Based Aerobic Treatment Units
 Denitrification Systems
 Fixed Activate Sludge Treatment
 Recirculating Media Filter
 Sequencing Batch Reactors
 Septic Tank Filters or Screens
 Gravel less Leach fields

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Pressure and Drip Soil Dispersal Systems
There are a number of websites that offer information on enhanced wastewater systems including
the New England Innovative Technology Inventory and the National Sanitation Foundation.
Several states, including Massachusetts, New Hampshire, Oregon, and Arizona also maintain
lists of approved alternative and innovative technology. EPA’s Decentralized Wastewater
Management Web site, technology fact sheets, and various other EPA publications – including
the Onsite Wastewater Treatment Systems Manual - provide extensive information on enhanced
wastewater treatment technologies.

Clustered Treatment Systems

Clustered systems can serve from two to 200 or more homes and/or commercial facilities. Also
known as community systems, clustered systems are a treatment option when individual
wastewater systems or centralized sewer service are not viable options.

Cluster systems have become an attractive option for many locations, especially in areas like
small lakeside communities where a higher level of treatment may be needed. For example,
Minnesota, the “land of 10,000 lakes,” reports that up to 60 percent of the permits processed in
recent years are for structures served by clustered wastewater systems.

The operation and maintenance requirements of cluster systems will vary based on the size of
the system, the wastewater being treated, and the types of technology used. Various technologies
that can be implemented via a cluster system. They range in scale from a communal septic tank
and soil dispersal system serving a dozen homes to a large alternative sewer system connected
to a treatment plant that can treat large wastewater flows with a variety of wastewater treatment
and dispersal/reuse technologies.

Management Considerations
In the past, state and local wastewater management programs rarely specified O&M requirements
for conventional or enhanced wastewater systems. The regulation of system design, construction,
and operation was considered to be satisfactory community oversight. However, as more and
more systems malfunction and threaten waterways and as more systems include higher
maintenance electrical and mechanical components, communities are recognizing the value of
O&M requirements. Many are strengthening programs with a number of tools, including
requirements for homeowner service contracts, routine maintenance inspections, revocable
operating permits, monitoring, and enhanced reporting and data management that support proper
system performance.

Education and Outreach

Public involvement and education is one of the most critical elements in a successful wastewater
management program. Engaging stakeholders builds awareness of wastewater management
issues and needs and can increase support to develop and implement an effective program.
Technical and advisory committees are an effective approach to help review program options and
identify O&M proposals. Thurston County, Washington, created a citizen advisory committee in
2003 to help develop an O&M proposal to address problems associated with malfunctioning
systems.

After public review, the proposal was approved in 2005. The O&M program establishes a more
rigorous maintenance and inspection requirement for all treatment systems within the boundaries
of the watershed protection area through the use of renewable operational certificates. For
systems designated as “high risk,” a dye tracer evaluation is required as a condition of the
operational certificate renewal.
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Ultimately, it is the actions of the homeowner that will determine the success of any O&M program.
Numerous surveys of homeowners have revealed a general lack of knowledge regarding their
wastewater systems. Most state and local programs include an education program to promote
homeowner awareness. Many have developed guides and fact sheets to inform homeowners
about how to maintain and troubleshoot their systems. Some localities, like Jefferson County in
Alabama, mail out reminders to homeowners to have their septic tank checked to see if it is in
need of pumping. Others have developed a more rigorous approach of direct technical and
financial assistance to homeowners. For example, many Washington counties have used the
Washington Water Pollution Control State Revolving Fund’s low-interest loan program to help
residents repair and upgrade malfunctioning systems.

Training and Certification

Communities that require inspections of wastewater systems (construction, operations, and
maintenance) typically also require using only trained or certified inspectors and service providers.
Several states have established certification and licensing programs for inspectors, pumpers,
haulers, and other service providers. In addition, some states and jurisdictions have created
registries for certified providers to encourage the use of trained professionals.

Inspections and Maintenance Requirements

In many communities, local health officials often have no legal authority to monitor systems or
enter private property unless they receive a complaint or have other evidence that there may be
a problem with a system. To prevent widespread problems with systems, some local jurisdictions
have amended their codes to include routine maintenance inspections of individual wastewater
treatment systems. These programs can be administered and regulated by special entities such
as sanitary, sewer, or water districts; by local health agencies; or by other organizations, such as
town governments and homeowners' associations. Enabling legislation must be passed at the
state level to give these organizations the legal authority they need to manage systems. Other
communities and a few states have amended their wastewater codes to require a system
inspection and documentation of a system’s condition when property is sold or transferred.
Arizona began a statewide property transfer inspection program of all individual systems (both
conventional and enhanced systems) in 2006.

Maintenance Inspections
Maintenance inspections are gaining appeal as a management tool to assess the condition of
systems and determine pumping or other O&M needs. In some cases, this is a strictly voluntary
program, while in other cases; communities have elected to mandate pumping based on third
party inspections. Following inspection, the system owner should be notified of any needed
corrections and assigned a deadline to furnish acceptable proof that the corrections have been
made. Acceptable proof is usually a certification by the contractor listing the types and dates of
corrections made and final inspection. Some local agencies have adopted a sewage management
program that requires the annual inspection of systems with newly issued or modified permits and
proof of septic tank pumping for all systems (old and new). Other agencies have designated
certain geographical areas (such as aquifer or shoreline protection zones) as being subject to
annual system inspections and/or routine tank pumping.

Operation and maintenance inspection programs are usually coupled with a mandatory septic
tank pumping program. The local agency notifies the system owner when pumping is due.
Verification of pumping is provided to the regulating agency. Typical pumping requirements vary
from three to five years or more based on the daily sewage flow and individual household
wastewater characteristics.

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Alternative and enhanced wastewater technologies require additional maintenance and/or
ongoing attention. In states and communities where these systems are authorized, performance
inspections are mandated in the state code or in the system’s operating permit.

For enhanced wastewater systems, a long-term maintenance contract is highly recommended

and typically required in state or local regulations, or as a provision of a system’s operating permit.
In addition, the National Sanitation Foundation (NSF) requires that manufacturers seeking
NSF/American National Standards Institute (ANSI) certification of a particular wastewater
technology must include the price of maintenance for the first two years in the product’s price as
a condition of certification. In response, many manufacturers of wastewater systems now offer
maintenance contracts with their products.

Maintenance of Systems
While maintenance contracts are a viable option to better manage enhanced systems, they must
be supplemented with adequate reporting and tracking to monitor their use. Enhanced systems
may also require an increased frequency of inspections to determine if they are performing as
required. In Monroe County, Florida, state law requires enhanced nutrient reduction systems
(nitrogen and phosphorus) to protect the sensitive ecosystem of the Florida Keys.

These systems are performance-based treatment systems and require an annual operating
permit, maintenance contract, and annual inspection from the county health department.
Operation and maintenance information, including tasks and some costs, were developed for the
Wekiva Basin region in Florida in 2004.

A key part of an O&M program is to track the maintenance of systems. The only way to ensure
that maintenance contracts are kept in effect and that systems are monitored when required is for
the management entity or regulatory authority to have a structured reporting program. Service
providers should report maintenance events and any lapses in maintenance contracts to the
management or regulatory authority. This information should be managed in a database to
monitor O&M activities and provide a system of accountability. Advances in technology via Web-
based remote monitoring or telemetry can also allow multiple system operating parameters (e.g.,
pump cycles) to be monitored from remote locations around the clock.

Reporting and Monitoring State and Local Examples

The Barnstable County Department of Health in Rhode Island began to use its system database
in 2005 to track required services (monitoring, inspections) and O&M contract renewal as required
under maintenance contracts. If a component is not inspected on schedule, a notification appears
in the service schedule summary.

Homeowners in Hamilton County, Ohio, contract with manufacturers and local plumbers to
maintain home aeration wastewater treatment systems. Managed by the county, all of the system
locations are recorded using a geographic information system (GIS) tied to a regional GIS that
serves the entire Cincinnati Metropolitan Area. Waterborne diseases are also tracked through this
integrated geographic database. Health officials can review these data by watershed and evaluate
and compare findings.

The Montgomery Township in New Jersey updated its Onsite Wastewater Treatment
Management Database in September of 2004. Invoices, late notices, and license renewal letters
can be automatically generated through the newly added query and programming functionalities.
In addition, the database has the capability of linking the location of wastewater treatment systems
to the municipality’s GIS by parcel data.
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Operating Permits
In some cases, renewable operating permits are used to ensure ongoing maintenance of a
wastewater system. In areas where operating permits are issued to conventional systems, the
permit may specify routine septic tank pumping. Or in the case of Spokane, Washington, new
systems and systems located over the Spokane/Rathdrum Aquifer are tracked and issued a
renewable three-year permit by the health district. Inspection and maintenance is required prior
to permit renewal.

More complex (enhanced) systems, however, often include maintenance inspections,

maintenance contracts, and compliance measures. In the case of a performance-based system,
the operating permit may include specific standards that must be maintained along with
monitoring and reporting requirements. Ohio adopted O&M regulations in 2004 that authorize the
use of operating permits as a legal means to establish O&M requirements and, in some cases,
mandatory service contracts. The regulations include a provision that O&M, in accordance with
the manufacturer’s instructions, shall be met when required as a condition of an operating permit.
The O&M rules also require:

 Increased levels of management related to risk conditions associated with higher sewage
treatment system density, complexity, and reliability and location of systems in areas of
high risk for surface water or groundwater contamination.
 Recording of operating permit conditions, service contract requirements, or other O&M
management information on property deeds as a means to provide notification upon
transfer of property.
 Utilization of private sector professionals or responsible management entities, or
designation of qualified agents to conduct monitoring or other O&M management
responsibilities.
 Inclusion of enhanced O&M management mechanisms such as Web-based reporting,
remote telemetry, and use of publicly and privately available database programs to
support O&M tracking requirements.
 Establishment of a household sewage treatment district.

Renewable Operating Permits for Enhanced Systems

Marin County, California, requires renewable operating permits for enhanced systems. The
permits are the basis for verifying the adequacy of a system’s performance and their renewal is
based on the performance of the system. Failure to undertake any required corrective work may
be cause for non-renewal or revocation of the operating permit.
In Monroe County, Florida, state law specifies enhanced nutrient reduction systems to protect the
coastal ecosystem. These systems have biennial operating permits, and maintenance contracts
and are inspected annually.

Malibu, California, Ordinance 242 adopted in 2001 establishes a renewable operating permit for
new and replacement wastewater treatment systems. Inspections from private registered
inspectors are required on a regular basis. Operating permits for enhanced systems are good for
two years. Permits for conventional systems are good for three years.

Four health districts in the northeastern corner of North Carolina established the Albemarle Septic
Management Entity (ASME) to monitor the subsurface drainage of wastewater treatment systems.
ASME issues operating permits in accordance with state and local rules. In addition to
conventional systems, two inspections of enhanced systems are conducted each year. ASME
has authority to repair a malfunctioning system and bill the owner or place a lien on property for
failure to reimburse ASME.
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Public and Private Management Entities
Enhanced systems and cluster systems can pose greater risks of mechanical and performance
failure than passive conventional systems. Special districts, water/sewer authorities, and public
utilities can be an effective option for managing these systems. Private entities can also be
authorized to own, operate, and/or maintain an individual or cluster system.

Michigan law provides for a number of institutional options for community wastewater
management and the construction of community wastewater treatment systems. For example:

Rural townships can contract for management services from an adjacent community with a
preexisting wastewater management entity.

If the county has a county sewage/water district, then local governments contract directly with the
county for wastewater management services.

Small communities, townships, and villages can contract with a private company to monitor and
maintain individual and community wastewater systems.

Several townships and/or villages can establish a joint authority, such as a sewage district or
management district, to share building and management costs.

At least 12 possible institutional variations for wastewater management entities are authorized in
North Carolina. Minnesota has several wastewater management districts operating, including two
sponsored by local rural electric associations. The utilities subcontract with local installers to
perform the twice-a-year O&M service. These utilities have the ability to bill their wastewater
customers for O&M as part of their electric bill.

Finally, accountability is an important aspect of administering a private or public management

entity. Health departments and state agencies generally retain their authority to approve system
designs and issue permits. The public or private management entity conducts inspections,
provides maintenance, and executes remediation and repair activities.

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OSSF Maintenance
Proper maintenance can add years to an older system. Even well-designed and properly installed
septic systems can fail earlier than expected if previous homeowners did not perform routine
maintenance.

Try to determine how frequently the tank has been pumped from the realty agent or owner. Ask
to see maintenance records. Keep in mind the necessary pumping frequency depends on the size
of the household and the size of the tank. For example, a four-bedroom home with a 1,250 gallon
tank should be pumped approximately every 2.6 years. Modern conveniences such as garbage
disposals, hot tubs, or whirlpools will increase the necessary pumping frequency.

Permit
Generally, a permit must be obtained before starting construction or repair work. However, certain
residential properties may be exempt from state permitting requirements. When authority is based
on a local ordinance, regulation can be more restrictive than the state standard; check with your
local authority. In most counties, the local health department issues OWTS construction permits.
In the other counties the authority is another agency, such as a sewer district, building department,
or planning and zoning department.

Several factors should be considered when choosing the type of onsite system for a site including:
soil/site limitations, available space, operation and maintenance (O & M) requirements, initial
costs as well as O & M costs, landscape disturbance, and the owners' preferences and ability to
manage the system.

Of these considerations, often the most limiting is the soil resource or site and space limitations.
When the soil and site are suited to a lagoon or to a septic tank and conventional soil absorption
system, any registered OWTS installer can assist with the permitting and can install a basic onsite
system. When site limitations or other factors lead to an advanced OWTS, the installer must be
registered as an advanced OWTS installer.

Basic Onsite Wastewater Treatment Systems and Components

Building sewers and other sewer lines: watertight pipes, which carry waste by gravity from a
building to the onsite system or carry effluent by gravity from sewage tanks to other system
components.

Septic Tanks
A watertight, covered container designed and constructed to receive the discharge of sewage
from a building sewer. Its function is to separate solids from liquid, digest organic matter, store
liquids through a period of detention and allow the clarified liquids to discharge to other
components of an onsite system. Solids are stored and periodically need to be pumped out and
hauled to a point for further treatment.

Septic/Sewage Tank Removal

Unused sewage tanks need to be properly abandoned to prevent them from becoming a safety
hazard.

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Aerobic Treatment Units (ATUs)
A mechanical onsite treatment unit that provides secondary wastewater treatment by mixing air
(oxygen) and aerobic and facultative microbes with the wastewater in a sewage tank. In Missouri,
the minimum construction standards require that ATUs comply with NSF Standard 40.

Gravity Effluent Distribution Devices

Divide and/or transport the liquid effluent from a septic tank or ATU to absorption trenches for
dispersal into the soil. These devices include distribution boxes, drop boxes, and step-downs.

Gravity Laterals
A system of trenches excavated along ground contours used to distribute effluent by gravity flow
from a septic tank or ATU and apply the effluent to the soil infiltrative surface. Generally, 18-inch
deep trenches are used; however, with approval trenches can be up to 30 inches deep.

Gravity lateral systems include:

 4-inch perforated distribution pipe in trenches filled with gravel or tire chips;
 chamber systems (an open bottom structure, which forms an underground effluent storage
cavity over the soil's infiltrative surface);
 large diameter gravel-less pipe (a filter wrapped corrugated plastic pipe); and
 12-inch expanded polystyrene (EPS) bundles (a 4-inch corrugated plastic distribution pipe
enclosed in a bundle of EPS)

Shallow Placed Gravity Laterals

Lateral trenches with the trench bottom 12 to 18 inches deep in natural soil with suitable soil fill
material properly installed to provide adequate cover over the system.

Dosed Gravity Systems

Use siphons or pumps to dose into a gravity distribution device or through a pressure manifold
into the ends of gravity lateral trenches. Pressure manifolds can be used to more equally divide
effluent between gravity lateral trenches or to proportion effluent to unequal length trenches;
however, effluent is still moved along the length of a trench by gravity.

Lagoons (wastewater stabilization ponds)

Sealed earthen basins, which use natural unaided biological processes to treat wastewater.

Advanced Onsite Wastewater Treatment Systems and components include:

Sand filters
A packed-bed filter of sand or other granular materials used to provide advanced secondary
treatment of septic tank effluent. Sand/media filters consist of a lined (e.g., impervious PVC liner
on sand bedding) excavation or structure filled with uniform washed sand that is placed over an
under-drain system. The wastewater is dosed onto the surface of the sand through a distribution
network and allowed to percolate through the sand to the under-drain system, which collects the
filter effluent for further processing or discharge.

Other Media Bio-filters

Packed-bed filters using other more porous materials, (e.g., peat, textile, or foam) to provide
advanced secondary treatment of septic tank effluent.

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Constructed Wetlands
An OWTS that incorporates an aquatic treatment system consisting of one or more lined basins
which may be filled with a medium and where wastewater undergoes some combination of
physical, chemical, and/or biological treatment and evapotranspiration.

Sand Mounds
An above ground treatment system that incorporates at least 12 inches of clean sand above the
original soil surface and disperses the treated wastewater into the original soil.

Low-pressure Distribution Systems

An OWTS in which pressurized small diameter distribution lines are used for equal distribution of
effluent within the final treatment and dispersal component. These systems include low-pressure
pipe (LPP) distribution systems, as described in the Missouri Minimum Construction Standards,
and other systems such as an otherwise conventional system with a pressurized distribution
network.

Drip Irrigation Systems

A subsurface soil dispersal system that distributes treated wastewater through drip irrigations
lines.

Modified Shallow Placed Gravity Lateral Trenches

Six to 12 inches deep in natural soil and other engineered distribution systems using fill soil
material.

Suitable Soil
Suitable soil is an effective treatment medium for sewage tank effluent because it contains a
complex biological community. One tablespoon of soil can contain over one million microscopic
organisms, including bacteria, protozoa, fungi, molds, and other creatures. The bacteria and other
microorganisms in the soil treat the wastewater and purify it before it reaches groundwater. But
the wastewater must pass through the soil slowly enough to provide adequate contact time with
microorganisms. To provide adequate time for treatment of septic tank effluent, it is necessary to
have at least three feet of aerated or unsaturated soil and limit the loading of effluent.

Microorganisms in soil treat wastewater physically, chemically, and biologically before it reaches
the groundwater, preventing pollution and public health hazards. Under some soil conditions,
subsurface absorption systems may not accept the wastewater or may fail to properly treat the
wastewater unless special modifications to system design are made. Public health is a major
concern because domestic wastewaters contain many substances that are undesirable and
potentially harmful, such as pathogenic bacteria, infectious viruses, organic matter, toxic
chemicals, pharmaceutical drugs (e.g. endocrine disruptors), and excess nutrients.

Soil microorganisms need the same basic conditions as humans do to live and grow: a place to
live, food to eat, water, oxygen to breathe, suitable temperatures, and time to grow. Soil
microorganisms attach themselves to soil particles using microbial slimes and use the oxygen
and water that are present in the soil pores.

To protect the public as well as the environment, wastewater must be treated in a safe and
effective manner. The first component in an individual sewage treatment system is usually a septic
tank, which removes some organic material and total suspended solids (TSS). TSS and organic
material removal is very important because it prevents excessive clogging of the soil infiltrative
surface.
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Suitably-textured Soil
Suitably-textured soil must be deep enough to allow adequate filtration and treatment of the
effluent before it is released into the natural environment. Usually this release is into groundwater.
It has been determined that three feet of aerated soil will provide sufficient treatment of septic
tank effluent. Therefore, a three-foot separation distance is required from the bottom of the
dispersal media to a limiting soil condition such as groundwater or bedrock. This three-foot
treatment zone provides sufficient detention time for final bacteria breakdown and sufficient
distance for the filtration that is essential for the safe treatment of effluent BOD.

Impacts of Effluent on Groundwater

Groundwater represents the largest volume of fresh water on earth. Only three percent of the
earth’s fresh water resides in streams, lakes, and other surface water bodies. The other 97
percent is beneath the surface, flowing toward points of discharge such as streams, lakes,
springs, and wetlands. Groundwater becomes surface water at these discharge points. Effective
waste treatment is essential to protecting our water supplies. Approximately 25 percent of
households in North America utilize groundwater for consumption and other domestic uses.
These same homes employ septic systems as their means for wastewater treatment (US EPA,
2008).

As water percolates through the soil, it is purified and in most cases requires no further treatment
before being consumed. However, when the soil is overloaded with a treatable contaminant, or
when the contaminant cannot be treated by the soil, the quality of the underlying groundwater
may change significantly.

When a septic system fails to effectively treat and disperse effluent, it can become a source of
pollution. This type of failure can occur in three different ways. The first way is when effluent ponds
on the soil surface, causing a wet seepy area. The second obvious way that septic system can
fail is to have effluent backing up into the dwelling. It is also important to prevent a third, and less
obvious, type of failure, which is contamination of the ground or surface waters.

Pollution of groundwater (with nitrogen, pathogens, bacteria, chemicals, etc.) is very difficult to
clean up, since the only access to the water table is through wells, trenches (if the water table is
high enough), or natural discharge points such as springs. An incident of groundwater pollution
often becomes a problem that persists for many years.

Soil Treatment Processes

The soil treatment and dispersal zone provides for the final treatment and dispersal of septic tank
effluent. To varying degrees, the soil treatment and dispersal zone treats the wastewater by acting
as a filter, exchanger, or absorber by providing a surface area on which many chemical and
biochemical processes occur. The combination of these processes, acting on the effluent as it
passes through the soil, and purifies the water.

Biomat
As septic tank effluent flows into a soil treatment trench, it moves vertically through the distribution
media to the biomat where treatment begins. The biomat is a biological layer formed by anaerobic
bacteria, which secrete a sticky substance and anchor themselves to the soil, rock particles, or
other available surfaces. The biomat develops first along the trench bottom, where effluent begins
to pond. The biomat develops along the soil-media contact surfaces on the trench’s sidewalls.
When fully developed, the gray-to-black sticky biomat layer is about one inch thick.

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Flow through a biomat is considerably slower than flow through natural soil, allowing unsaturated
conditions to exist in the soil beneath the soil treatment trench. Unsaturated flow increases the
travel time of effluent through the soil, ensuring that it has sufficient time to contact the surfaces
of soil particles and microorganisms.

A properly functioning gravity-fed system will have wastewater ponded in the distribution media
while the soil a few inches outside of and below the distribution media will be unsaturated.
Unsaturated soil has pores containing both air and water so aerobic microorganisms living in the
soil can effectively treat the wastewater as it travels through the soil system.

In unsaturated soil under a biomat, water movement is restricted. In order for the wastewater to
move through the soil, it must be pulled or wicked through the fine pores by capillary action.

Sewage Treatment Utilizing Soil

A developed biomat reaches equilibrium over time, remaining at about the same thickness and
the same permeability if effluent quality is maintained. For this equilibrium to be maintained, the
biomat and the effluent ponded within the trench must be in anaerobic conditions, the organic
materials in the wastewater feed the anaerobic microorganisms, which grow and multiply,
increasing the thickness and decreasing the permeability of the biomat. On the soil side of the
biomat beneath the drainfield, oxygen is present so that conditions are allowing aerobic soil
bacteria to feed on and continuously break down the biomat. These two processes occur at about
the same rate so that the thickness and permeability of the biomat remain in equilibrium.

If the quality of the effluent leaving the septic tank decreases because of failure to regularly pump
out the septic tank, more food will be present for the anaerobic bacteria, which will cause an
increase in the thickness of the biomat and decrease its permeability (Siegrist, 1987). If seasonally
saturated conditions occur in the soil outside the trench, aerobic conditions will no longer exist,
which will prevent aerobic bacteria from breaking down the biomat. Under these conditions the
biomat will thicken, reducing its permeability and the effectiveness of effluent entering the soil.

Site Evaluations
Site evaluations are a key driver of treatment system design. The success of any soil-discharging
wastewater treatment system depends on the appropriate match between wastewater
flow/strength, the treatment system design, and the site that receives effluent from the system.
Site-specific observations and characterization by a qualified, experienced professional is
essential to understanding local site conditions and ensuring the proper operation of individual
and clustered wastewater systems.

Ensure Compliance with Regulations

Nearly every state and most local, county, and city governments have developed written
requirements governing the type of sites that can be permitted for subsurface effluent discharges
from individual and clustered wastewater systems. Regulatory compliance parameters include
maximum slope angles acceptable for system components, appropriate soil types and depth,
minimum depth-to-groundwater (or bedrock) requirements, and mandatory setback distances
between system components and property lines, structures, and water bodies, among others. Site
evaluators should be familiar with the regulatory requirements for soil-discharging individual and
clustered systems and the procedures for accommodating variances to those requirements, in
terms of both the legal process for issuing variances and the system adaptations needed to
ensure the desired treatment performance.

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In most states, individual system regulations are promulgated by the public health agency.
Requirements for clustered systems (e.g., those discharging more than 1,000 gallons per day)
are sometimes under the purview of the state water resources agency. Large-capacity septic
systems (i.e., those with the capacity to serve 20 or more people per day) are regulated by EPA
and the states through the Underground Injection Control Program of the Safe Drinking Water
Act.

Assure System Performance

Wastewater systems depend on the soil for 1) final treatment of effluent from the tank or unit
process components, and 2) dispersal of the effluent to the soil. As noted in the resource guide
on system design, the desired final quality of the effluent depends on the constructed/installed
treatment train and the pollutant removal capabilities of the soil.

The soil component of the system receives, stores, and treats incoming effluent. The subsurface
“ponding” and slow release of effluent to the soil through the biomat facilitates treatment via
chemical, physical, and biological processes such as aerobic nitrification of ammonia, adsorption
of potential pollutants (e.g., phosphorus), filtration of solids, and decomposition of organic
constituents. Predicting the pollutant removal and overall treatment efficacy of the soil component
of the system requires a fairly comprehensive understanding of how these processes work, how
they are enhanced or impeded, and how the upstream processes in the treatment train can be
adjusted or adapted to ensure that the soil can handle the flow and pollutant load delivered.

Protect Public Health and Water Resources

Individual and clustered wastewater systems can malfunction due to soil or site-related causes.
These malfunctions can threaten public health or water resources by
 Causing sewage backups in homes or basements.
 Ponding poorly treated sewage in yards or landscaped areas.
 Contaminating surface waters with nutrients or bacteria.
 Polluting groundwater wells with bacteria or nitrate

The site evaluation procedures summarized below are designed to identify site characteristics
that might contribute to elevated health or environmental risks to ensure that they can be
addressed in the selection, configuration, sizing, or operation of the treatment system.

The preliminary review is performed prior to any fieldwork. It is based on information available
from the owner and local agencies and on general resource information. The objectives of the
preliminary review are to identify potential effluent infiltration sites, identify potential treatment
system design boundaries (e.g., groundwater table, property line, etc.), assess the ability of the
soil to provide final treatment, and develop a conceptual plan for supplying the level of treatment
required prior to soil discharge. Preliminary screening of sites is an important aspect of the site
evaluator’s role.

More than one receiving environment might be feasible and available for use. In addition, the
desktop review might suggest that treatment be provided via clustered, rather than individual,
facilities.

Focusing the effort on the most promising receiving environment and the most efficient and
effective treatment works allows the evaluator to reasonably and methodically eliminate the least
suitable sites early in the site evaluation process. For example, basic knowledge of the local
climate might eliminate evaporation or evapotranspiration as a potential receiving environment
immediately.
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Also, the applicable local codes often prohibit direct or indirect discharges to surface waters (i.e.,
requiring an NPDES permit) from small systems. Knowledge of local conditions and regulations
is essential during the screening process. Resource materials and information to be reviewed
may include, but are not limited to, the following:

Property information should include owner contact information, site legal description or address,
plat map or boundary survey, description of existing site improvements (e.g., existing onsite
wastewater systems, underground tanks, utility lines), previous and proposed uses, surrounding
land use and zoning, and other available and relevant data.

Detailed soil surveys are available online from the Natural Resources Conservation Service
(NRCS). Detailed soil surveys provide soil profile descriptions, identify soil limitations, estimate
saturated soil conductivities and permeability values, describe typical landscape position and soil
formation factors, and provide various other soil-related information. Soil survey data should be
supplemented with detailed soil sampling at the site. The NRCS publication Field Book for
Describing and Sampling Soils is an excellent manual for use in site evaluation.

Quadrangle maps provide general topographic information about a site and surrounding
landscape. These maps are developed and maintained by the U.S. Geological Survey (USGS)
and provide nationwide coverage typically at a scale of 1 inch = 2000 feet, with either a 10- or 20-
foot contour interval. At this scale, the maps provide information related to land use, public
improvements (e.g., roadways), USGS benchmarks, landscape position and slope, vegetated
areas, wetlands, surface drainage patterns, and watersheds.

Aerial photographs are available from several popular online mapping sites (e.g., Google, Yahoo,
MapQuest, etc.), many of which are free. Resolution varies across the nation. Some rural areas
do not have fine resolution coverage. If available, aerial photographs can provide information
regarding past and existing land use, drainage and vegetation patterns, surface water resources,
and approximate location of property boundaries. Aerial photographs may be available from a
variety of other sources, such as county or regional planning offices, property valuation, and
agricultural agencies.

Geology and basin maps are especially useful for providing general information regarding bedrock
formations and depths, groundwater aquifers and depths, flow direction and velocities, ambient
water quality, surface water quality, stream flow, and seasonal fluctuations. If available, these
maps can be obtained from USGS.

Water resource and health agency information, such as permit and other files for nearby treatment
systems, can provide valuable information regarding local system designs, applications, and
performance. Interviews with agency permitting, planning, and field staff can often provide
valuable information on regional, local, and even site-specific conditions, such as water quality
data, septic system complaints, and future plans for provision of clustered or centralized treatment
services.

Local installers and service providers can provide information on other sites in the vicinity, existing
technology performance, and general knowledge of soils and other factors that inform both the
site evaluation and the selection of appropriate treatment system components.

Climate data, such as temperature, precipitation, and pan evaporation rates can be obtained from
the National Oceanic and Atmospheric Administration. This information is necessary if
evapotranspiration systems are being considered.
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The evaluator must realize, however, that the data from the nearest weather station might not
accurately represent the climate at the site being evaluated.

After the visual assessment of surface conditions are assessed, the site evaluation proceeds to
an investigation of subsurface conditions, especially soil conditions and groundwater
characteristics.

Soils are one of the most important factors to consider during the field investigation, because soil-
discharging systems depend on the soil matrix for a significant portion of effluent treatment. Soil
properties will affect the type of treatment system selected, the design loading rate, and the size
of the dispersal field.

Groundwater proximity and movement is also important in considering effluent residence time in
unsaturated soil and the movement of pollutants that enter the water table.

Field Investigation Parameters

Soil Profile
A soil profile evaluation typically includes an analysis of soil texture, color, structure, consistence,
and layers within the area of the proposed dispersal field. Soil borings and pits are used to assess
soil properties and identify any limiting or restrictive conditions such as rock layers, poor drainage,
high water table, or saturated conditions.

An ideal soil profile for a dispersal field is at least four feet of well-drained, aerated soil above any
limiting conditions such as bedrock, hardpan, or a water table. When soil limitations exist,
adjustments to the upstream treatment train may be needed to reduce biochemical oxygen
demand, total suspended solids, bacteria levels, nutrients, or other pollutants.

Adjustments could involve reducing pollutant inputs at the source (e.g., better plate and pot
scraping prior to dishwashing in restaurant kitchens, adding grease trap tanks, etc.), applying the
effluent at lower soil loading rates, or inserting a fixed film or suspended growth treatment unit
between the septic tank and drainfield.

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Sampling OSSF Soils
Percolation Tests. Local health departments have long used percolation or “perc” tests, to
determine the loading rate and size of the soil dispersal area, despite some significant
shortcomings. A percolation test consists of digging one or more holes in the soil of the proposed
dispersal field to a specified depth, presoaking the holes by maintaining a high water level in the
holes, then completing the test by filling the holes to a specific level and timing and measuring
the water level drop as the water percolates into the surrounding soil. There are various empirical
formulae for determining the required size of a drainfield based on the size of facility, the
percolation test results, and other parameters.

Many states and communities have written this test into their onsite ordinances, statutes, or
building codes. Maryland and a number of other states also require the use of percolation tests
and site evaluations for repairs to existing septic systems that are malfunctioning.

A percolation test, however, has limitations. The test does not reveal limiting conditions in the soil
profile and can provide false readings during dry conditions, leading to an inappropriately high
loading rate. States and communities once relied solely on these tests to determine effluent
application rates. However, the limitations of the test have caused many state and local agencies
to either eliminate this test altogether or to require additional tests that must be conducted during
a site evaluation to determine limiting site conditions and to estimate allowable hydraulic loading
rates.

Site Evaluation Reports

Site evaluation reports provide essential information for treatment system selection, design,
sizing, and siting. Many states and communities, such as Harris County, Texas, have developed
forms to assist in the collection of site evaluation data. North Carolina’s soil evaluation form details
soil morphology and other soil profile factors. In Oregon, a site evaluation application form must
include a tax lot map, a detailed drawing of the proposed development, and directions to the
property. Oregon’s requirement for soil test pits are provided with the site evaluation information
packet and is used by the regulatory agency to generate a site evaluation report that typically
specifies the approved area, the type and size of the system required, and any other
requirements.

Some communities have created their own databases to assist in the site evaluation process.
Fairfax County, Virginia, mapped its soils and uses its database to verify site evaluation
assessments of new proposed systems. If the soil evaluation data is consistent with the county’s
database and the proposed design meets requirements, a construction permit is granted. If the
site evaluation is inconsistent with the soil information collected by the county, further investigation
will be required from the applicant. The Georgetown Divide Public Utility District in California has
conducted detailed site evaluations for 965 lots using 4,000 test hole samples examined by a soil
scientist. Every lot had a designated home site for a three-bedroom home, an effluent dispersal
site, a replacement area, and a specified system type. In addition to using this information for
designing wastewater treatment systems, the information is used to show trends and other factors
that could impact system design.

The Wastewater Information System Tool (TWIST) prepared by EPA provides a typical listing of
data collected during the site evaluation process. EPA developed TWIST as a comprehensive
inventory and management information system via a Microsoft Access format. TWIST
accommodates a wide variety of queries, list reports, and mapping applications.

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The system software and training/user information are available from the EPA Decentralized
Wastewater Management Web site for free download.

Site Limitations and Special Considerations

In some cases, soil profile or other limitations create challenges for individual and clustered
wastewater treatment. Most of these limitations are natural or induced restrictions to soil water
and air movement, which limit the depth and duration of unsaturated soil conditions. Identifying
these limiting conditions is a critical step in the site evaluation process. Some of the major
limitations of concern are:

 High water tables, with saturated soil conditions present near the soil surface.
 Restricted soil depth above dense, slowly permeable substratum materials, including
unfractured bedrock and dense glacial till.
 Restricted soil depth above dense, slowly permeable subsurface soil layers, including
fragipans, compacted soil, and heavy clay materials.
 Other layers with inadequate permeability.
 Poor drainage conditions or flooding.
 Excessively steep slopes.
 Presence of excessive amounts of rock in the soil.
 Fractured bedrock at shallow depths.
 Sandy soils with excessive permeability.
 Sand and gravel layers below finer textured soil materials.

If a site does not demonstrate acceptable permeability or has other limiting factors that preclude
the use of conventional treatment systems, some states and communities will allow the landowner
to consult with an engineer to design an alternative or advanced system that can overcome a
site’s restrictive soil and site limitations.

Fixed Film and Suspended Growth Advanced Treatment Systems

Fixed film and suspended growth advanced treatment systems provide an effluent of higher
quality than conventional septic tank discharges. Higher levels of treatment allow marginal soils
to more easily absorb and treat wastewater. However, these systems require more attention to
design requirements, material selection, and construction detail.

Regular operation and maintenance attention for these systems is critical to maintaining
performance and ensuring system operation over the long term. The site evaluator needs to
understand and analyze all of these critical factors when recommending an alternative or
advanced treatment system.

Several additional site evaluation factors may also need to be considered when planning large
wastewater treatment systems or clustered facilities. EPA defines a large capacity septic system
as a system that has the capacity to serve 20 or more people per day. Clustered wastewater
systems, as discussed in the Cluster Wastewater Systems Planning Handbook, can serve a small
to large number of connections (two to hundreds of structures).

Smaller cluster systems serving a few structures can be gravity flow facilities that resemble
individual systems, while larger cluster systems serving hundreds of structures are often highly
mechanized with extensive collection piping, and tend to resemble centralized systems. Regular,
permanent operation and maintenance of these systems is required by regulatory authorities.

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As with conventional systems, sites proposed for soil-discharging cluster systems must be
evaluated for water table elevations, shallow aquifers, land slope, soil texture, and permeability.
There are also a number of other factors that can have a long-term impact on the operation and
use of a large system.

For example, road and sewer development needs to be coordinated with system siting and
construction. The location of the sewage treatment site needs to fit with the overall physical plan
of the development. Areas reserved for future development need to be clearly identified, and the
proposed wastewater treatment needs to fit with existing plans for open space and buffers around
a development.

Soil Absorption Systems

In large cluster or soil absorption systems where increased quantities of wastewater will be
dispersed, other factors must also be evaluated, such as the potential for groundwater mounding.
These systems may experience artificial groundwater mounding under the drainfield due to the
large wastewater contribution, restrictive soil layers, and other hydrogeologic conditions. Both the
Hantush Method and MODFLOW are acceptable groundwater flow models that can be used to
characterize more complicated sites.

Methodologies to evaluate site conditions and system design influences on the potential for
groundwater mounding and lateral spreading can also be found in Guidance for Evaluation of
Potential Groundwater Mounding Associated with Cluster and High-Density Wastewater Soil
Absorption Systems.

Some states specify additional evaluations based on the risk posed. For example, the Idaho
Department of Environmental Quality requires nutrient and pathogen evaluations for all large soil
absorption systems (defined as systems with wastewater generation rates exceeding 2,500
gallons per day) located in nitrate priority areas or in areas of “sensitive resource” aquifers (e.g.
the Spokane Valley-Rathdrum Prairie aquifer).

The nutrient/pathogen evaluation refers to a set of activities that includes the compilation of
existing information, collection of site-specific information, and the completion of predictive
contaminant fate and transport modeling for groundwater.

Site Evaluator Qualifications

Conducting a site evaluation requires trained professionals. Training and certification
requirements, however, differ from state to state. Most local wastewater management programs
require site evaluations be performed by trained sanitarians.

Many also allow a soil scientist to perform site evaluations. In Idaho, a licensed installer or local
health district may perform site evaluations. Ohio rules require a site and soil evaluator be capable
of properly conducting site and soil investigations and accurately recording required information.
Demonstration of competency may include, but is not limited to, certification as a professional soil
scientist by the Association of Ohio Pedologists.

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Utah has established three levels of certification:
Level I - Soil Evaluation and Percolation Testing

Level II - Design, Inspection, and Maintenance of Conventional Underground Systems

Level III - Design, Inspection, and Maintenance of Alternative Wastewater Systems

In Massachusetts, the Department of Environmental Quality developed a week-long course for

professional site evaluators. The state certifies evaluators and requires that all site assessments
be performed by state-certified evaluators. Nebraska initiated a certification program in 2004 to
certify site evaluators and other professionals who perform work on soil-discharging wastewater
treatment systems. Maine issues two-year renewable licenses to site evaluators. A licensed site
evaluator in Maine is required to evaluate site conditions and match soil conditions to a hydraulic
loading rate set by state code.
In Montana, the cooperative extension service and state universities both offer site evaluation
courses periodically, however training is optional. In Florida, county environmental health
personnel are required to be trained and state-certified in order to perform site evaluations.

Training for soil profile evaluation for wastewater treatment is offered through a number of state
and national onsite training centers. Soil scientists with the USDA, Natural Resources
Conservation Service, can also offer assistance with soil evaluations for specific sites.

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OSSF Residuals (Septage) Section

Residuals are normally produced as a result of wastewater treatment. The term “septage” is
commonly used to describe the liquids and solids that are pumped from a septic tank, port-a-
potty, cesspool, or other locality. EPA regulates the management of septage to ensure that this
material is treated, used, and/or disposed of in an environmentally sound manner.

Septic tanks with soil absorption systems are the most commonly used individual wastewater
treatment system in rural and suburban areas. Untreated household waste flows into the tank
where the solids separate from the liquid. Light solids, such as soap suds and fat, float to the top
and form a scum layer. The liquid waste goes into the drainfield, while the heavier solids settle to
the bottom of the tank where the organic matter is partially decomposed by anaerobic bacteria.
Some non-decomposed solids remain, forming a sludge layer that eventually must be pumped
out. A septic tank will usually retain 60 to 70 percent of incoming solids, oil, and grease.

Because it is concentrated, the strength of septage is generally fifty to several hundred times
greater than municipal wastewater. The physical characteristics of septage vary depending upon
the septic tank size, design, and pumping frequency; user habits; climatic conditions; water supply
characteristics, and the use of garbage disposals, household chemicals, and water softeners. It
is important that samples of septage be collected and tested to determine local characteristics,
since they can affect the proper management of these materials.

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In its Septage Treatment and Disposal Fact Sheet (EPA 832-F-99-068; September, 1999),
EPA describes septage as:
Highly variable and organic, with significant levels of grease, grit, hair, and debris. The liquids and
solids pumped from a septic tank or cesspool have an offensive odor and appearance, a tendency
to foam upon agitation, and a resistance to settling and dewatering. Septage is also a host for
many disease-causing viruses, bacteria, and parasites.

The volume of residuals generated by a wastewater system will vary based on the treatment
method. A general method to determine septage generation appears below. Some advanced
treatment units, such as activated sludge-based aerobic treatment unit (ATU) systems, can
significantly increase the volume of residuals generated. In contrast, filtration technologies are
often used to minimize the generation of residuals.

General Method to Determine Septage Generation

volume pumped 1 x residences served / frequency of pumping 2 = annual volume

1 - Typical default values for septage are 1,000 gallons (septic tank volume) per pumping
2 - Frequency default value is every five years.

Note: Some advanced treatment units will significantly increase the volume of residuals
generated. If pumping occurs on an as-needed basis, residuals management (receiving) facilities
will need a significantly larger short-term capacity for processing. The method of residuals
processing may also require some additional evaluation of septage characteristics.

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Federal Septage Rules
In 1993, EPA issued regulations that address septage use and disposal practices as part of
Chapter 40 of the Code of Federal Regulations. 40 CFR part 503 regulates domestic septage as
a part of the requirements controlling the use and disposal of sewage sludge.

The rule defines “domestic septage” as liquid and solid material removed from a septic tank,
cesspool, portable toilet, Type III marine sanitation device, or similar treatment works that receive
only domestic sewage. The 503 regulation includes minimum requirements for land application of
domestic septage applied to non-public contact sites such as agricultural fields, forestland, and
mine reclamation areas.

40 CFR Part 257 governs the management of grease trap wastes and other types of residuals
resulting from the treatment of non-domestic sewage by individual and clustered commercial and
industrial treatment systems.

40 CFR Part 258 governs the disposal of septage, sewage sludge, and other residuals into
municipal solid waste landfills.

The Federal 503 Rule

Requires domestic septage pumpers to meet four basic requirements:

 Meet (and certify) applicable pathogen and vector attraction reduction requirements.
 Follow specific management practices.
 Ensure that septage is from domestic sources only.
 Keep records on land application sites, rates, etc.

Most states build upon the federal 40 CFR part 503 regulation as the minimum requirements for
managing septage, although states may and often do impose more stringent requirements. In
some cases, municipalities have established local regulations for septage handling, treatment,
and disposal in addition to the federal and state regulations.

For example, Minnesota has developed a model local ordinance for Land Application of Septage
at Non-Public Contact Sites. The ordinance builds upon the federal 503 rule for land application.
It provides pumpers with detailed information on site suitability, separation distances to features
such as surface waters and wells, and detailed site management requirements.

Disposal Options
Septage can be processed through land application, at wastewater treatment plants, or at
processing facilities specifically designed to treat septage. The following section describes these
alternatives:

Land Application
Domestic septage contains nutrients that can condition the soil and decrease reliance on chemical
fertilizers for agriculture production. Typically, the best land application sites are located in
isolated or remote areas. Both tilling the soil and adding lime to septage may benefit crop
production. Adjusting septage pH can also reduce or eliminate odors and disease-causing
organisms before land application.

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Subsurface Application
Subsurface application, or surface application with subsequent incorporation, are the preferred
methods for land application of septage since they minimize odors, reduce vector attraction,
minimize ammonia volatilization losses, conserve nitrogen, minimize contact with rain, and reduce
potential water contamination. State regulations for land application of septage often require pre-
approval from the regulating agency through permits and/or licenses, soil tests, and site
management plans.

A storage or transfer tank may be needed when land application sites are inaccessible due to
weather conditions or if pre-application treatment of the septage is required. Some states require
septage to be disinfected before application.

Pretreatment
Pretreatment, such as screening and grit removal, may also be necessary prior to discharge into
a tank or lagoon. Enclosed holding tanks or lined lagoons in isolated areas are preferred
temporary storage facilities. Additional information can be found in EPA’s design manuals for land
application (EPA/625/R-95/001) and surface disposal (EPA/625/R-95/002), and its “Guide to
Septage Treatment and Disposal” (EPA/625/R-94/002). One of the major concerns regarding land
application is odor and pathogen problems. Pretreatment and stabilization can reduce minimize
odors. The simplest and most economical method is to add lime or other alkali to raise the pH to
12 for a minimum of 30 minutes.

Other septage stabilization options include aerobic digestion, anaerobic digestion, and
composting. Relative to alkaline stabilization, these options have higher operating costs and
require more skilled operating personnel. A number of states require septage be stabilized before
it is applied to the land. Michigan law includes a requirement to screen all septage prior to land
application and bans septage waste application on frozen soil.

Surface disposal of septage is another alternative outlined under the federal rules. This includes
disposal in holding lagoons, trenches, and sanitary landfills. Some states, however, have more
restrictive rules concerning burial. For example, Georgia does not allow burial of septage in
trenches or lagoons.

Publicly owned treatment works (POTWs)

Septage can also be handled and processed at wastewater treatment plants. This process usually
employs a septage receiving station, which pretreats the septage by screening and other unit
processes. Some of these facilities separate the liquid from the solids, which are then processed
by the POTW. The allowable amount of septage handled by a POTW is a function of the type and
size of the treatment plant, capacity of the plant, and characteristics of the septage.

Smaller POTWs must be cognizant of how the higher-strength septage will affect overall
wastewater organic loads and should control the feed rate.

Pretreatment may be required to prevent problems in the treatment system. EPA has developed
a guidance manual for the Control of Waste Hauled to Publicly Owned Treatment Works (EPA-
832-B-98-003; September, 1999) for smaller POTWs on how to develop and implement hauled
waste controls. Larger systems can more easily handle septage without process upset. POTWs
should track each septage load to identify any potential for a system upset.

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Independent Septage Treatment Facility (ISTF)
When suitable land is unavailable and wastewater treatment facilities are too distant or do not
have adequate capacity, independent septage treatment plants may be an option. ISTFs vary
from stabilization lagoons to treatment plants that use aerobic digestion, anaerobic digestion,
composting, and other biological and chemical treatment processes.

One of the advantages of an ISTF over a conventional POTW is that unlimited amounts of grease
trap wastes can be processed. However, in recent years, a growing number of POTWs (e.g., East
Bay Municipal Utilities District in California and West Lafayette, Indiana) have modified their
operations to accommodate the processing of fats, oils, and grease; food wastes; and other
organic residuals, while increasing the biogas production from their sewage sludge anaerobic
digesters for use in generating onsite power or conversion to biofuels.

Advantages and Disadvantage of Various Treatment Methods Selecting the appropriate septage
treatment approach depends on several factors including:

 Capacity of approved treatment facilities

 State and local regulatory requirements
 Land availability and site conditions
 Costs (fuel, labor, and dispersal costs)

Management Considerations
The safe, practical, and acceptable practices for the use or disposal of septage should be a key
goal of any wastewater management program. Septage management plans must be developed
within the context of state, local, and federal rules and the nature of residuals produced. The
general state of septage management can be summed up by the following statement from a
survey conducted by California:

A 2002 survey of local onsite wastewater programs in California revealed that less than half of
the jurisdictions tracked the total volume of septage handled. Most did not have information on
the number of pumper vehicles and companies operating within their jurisdiction. Of the 81
septage facilities identified, several were no longer receiving septage or were closed. Based on
these findings, the California Wastewater Training and Research Center recommended the
development of a comprehensive septage management plan to continually assess septage
capacity needs and design strategies.

To manage septage there are a number of questions that must first be asked to develop an
appropriated septage handling and treatment program including:

 What are the current residuals handling practices?

 How much septage is being generated now, and how much will be generated when all
planned new development and treatment facilities are in place?
 Where are pumpers currently discharging their trucks?
 What is the capacity of each of those sites versus the needed capacity?
 Can we secure any needed capacity or performance improvement without a major
municipal investment?
 Can we secure agreements with receiving facilities to handle the ultimate volume of
residuals generated at the design condition?
 Do the existing septage receiving facilities comply with the 40 CFR part 503 requirements
and part 257 guidance?

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  How can the management program provide support (e.g., public education and
involvement, service provider training, financing for system upgrades) to overcome any
barriers?
 What should fees be to assure a sustainable receiving, treatment, and use or disposal
program?
 Ultimately, each state must adopt its own unique approach based on its needs and
regulatory authorities.

Septage Management state and Local Examples

Ohio provides low-interest loans to communities for the installation of septage receiving facilities.
The intent of the Ohio program is to establish a grid of POTWs with septage receiving capabilities.

Yarmouth/Dennis, Massachusetts, financed an independent septage treatment facility with

advanced processing and liquid-stream soil dispersal to avoid an excessively high-cost sewer.
Both Wisconsin and New Hampshire incorporate septage planning into municipal wastewater
planning requirements.

The Town of Pittsfield, Maine, conducted a septage pilot study in 2003-2004. The process used
pretreatment, including manual screening of the raw septage; conditioning raw septage with lime;
blending in ferric chloride and polymer; trapping the gross solids in a dewatering container; and
treating only the liquid filtrate in the existing aerated lagoon facility. The Pittsfield Water Pollution
Control Federation (WPCF) processed more than 1.3 million gallons of raw septage during the
pilot study, with the best plant performance observed when filtrate total phosphorous was less
than 2 mg/l. Results of the pilot study were favorable for developing a long-term expansion of
Pittsfield’s septage receiving facility.

A proper management program should have an inventory of individual and clustered wastewater
systems within their area. These inventories are typically kept current through periodic reporting
of septage removal by system owners, service providers, or both. The management facility that
accepts residuals is responsibility for compliance with the part 503 recordkeeping requirements.
Facilities must keep records and produce them on demand for authorized regulators.

Most states require the haulers to keep records for a minimum of five years and use manifests to
track septage. A local government may also require haulers to obtain permits to operate within its
jurisdiction. Permits may cover septic tank pumping, treatment at a sewage treatment plant, land
application, or treatment at an independent septage treatment facility.

Michigan’s septage volume pump record and land application of domestic septage forms are an
example of information collected by state reporting requirements.

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Capacity Development State and Local Examples
Virginia requires the board of health to develop and revise, as necessary, a five-year plan for the
handling and disposal of sewage from individual treatment systems. The code also requires the
board to report to the governor and the general assembly every five years on the status of
individual treatment systems in Virginia and the progress in implementing its long-range plan.

Legislation to support septage disposal and management in Wisconsin was enacted in 2006. The
law requires a municipality planning for a treatment facility upgrade that will result in a capacity
increase of 20 percent or more to evaluate the need to include septage receiving facilities and
additional treatment capacity specifically for septage. Municipalities are also encouraged to
include an assessment of septage needs even if the project provides less than a 20 percent
increase. Zero-percent loans from the Clean Water Loan fund are available for qualifying
proposals even if the capacity upgrade is not greater than 20 percent.

The general concept of the new legislation is to increase awareness of septage disposal needs
and to promote the provision of adequate facilities for receiving septage and to encourage
capacity for its treatment unless adequate alternative treatment or disposition options are
available. An incentive to address septage needs is created by providing the zero-percent Clean
Water Fund loan for septage receiving facilities and the portion of the treatment capacity
necessary to treat the septage component.

In 2006, the New Hampshire Legislature authorized additional funds under the State Aid Grant
(SAG) Program. The SAG Plus funds allow municipalities to be reimbursed by the state an
additional ten percent of the eligible costs resulting from the acquisition and construction of
septage treatment facilities, which result in increased septage handling and/or treatment capacity
to meet the septage disposal needs for that municipality. The grant increases by two percent for
each additional town for which the host community formally agrees (through written agreement)
to meet their septage disposal needs. The grant amount is not to exceed 50 percent of eligible
costs contribution.

Operation and Maintenance

The need to pump septage from small wastewater systems cannot be overstated. Without proper
operation and maintenance, soil absorption systems will malfunction and can potentially impair
water quality or cause sewage surfacing and threats to public health. In most cases, the
homeowner is responsible for maintenance of their treatment system.

Some communities, however, have strengthened their wastewater programs by conducting

periodic inspections of individual treatment systems and maintaining pumping records to better
monitor when pumping is needed. In these communities, the system owner is required to have
his or her tank pumped by a locally approved hauler within a given time period and provide
documentation that the tank was pumped in accordance with local requirements.

Another approach is for a responsible management entity to assume complete responsibility for
inspecting, pumping, and disposing of septage. In all cases, the management program goal
should be to pump, transport, treat, and use or dispose of the residuals in a manner that has the
least impact on the system owners, the community, and the environment.

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Training, Certification, and Licensing
The National Association of Wastewater Transporters conducts a comprehensive training and
certification program for pumpers and haulers. Several states have also established training
centers to promote proper handling and disposal of septage. For example, Wisconsin requires all
septage operators to pass an exam in order to become a certified septage operator.

Several management programs also provide system owners with access to a list of certified
service providers to promote proper septage management. North Carolina requires training and
certification for land application operators and has similar requirements for pumpers. The state
also provides a listing of certified land application operators.

State and Local Examples

Septage operators in Wisconsin are required to pass an exam to be certified. Two levels of
certification are available for septage servicing and land application. State rules require continuing
education credits to maintain an active certification.

Ohio rules that took effect on January 1, 2007, require that sewage treatment system installers,
service providers, and septage haulers that register with a local health district to perform work
required under this chapter take a state examination. The Ohio Department of Health is the state
agency responsible for the implementation (http://www.ohioonsite.org/).

Public Education
Wastewater management programs require that community residents be informed about pumping
and proper disposal of septage. Programs must reinforce O&M requirements and proper septage
handling and disposal procedures, especially targeting the pumpers and haulers. Citizen
feedback and input loops should be incorporated into the management program to maintain
program support.

The York County Authority in Pennsylvania publishes newspaper notices informing residents
about proper septage system pumping and use of licensed haulers. The authority also created a
biosolids learning station, and presentations on the topic are available to school and civic groups
at no cost.

Most states with licensing and certification requirements provide listings of approved septic
pumpers and haulers. For example, Oklahoma provides a Web-based data-base of licensed
pumpers and haulers.

Inspections and Compliance

Numerous states inspect septage pumping businesses. Inspections typically consist of reviewing
40 CFR part 503 requirements with pumpers, including record keeping, liming practices, and site
management.

Oklahoma has developed a Septage Hauling and Pumping Inspection form to conduct inspections
of septage operations and investigate complaints. Minnesota conducts a compliance inspection
for all new disposal sites. Washington requires annual biosolids reports be filed each year for
septage management activities to verify vector and pathogen controls and provide soil, septage,
and water quality monitoring data.

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Onsite References and Credits
U.S. Environmental Protection Agency. Feb. 2002. Onsite Wastewater Treatment Systems
Manual. EPA-625-R-00-008.

Ohio State University. Soil and Site Evaluation for Onsite Wastewater Treatment. Bulletin 905.
EPA-625-R-00-008.

Paul Trotta, P.E., Ph.D., Justin Ramsey, P.E., Chad Cooper, Northern Arizona University

David Lindbo, Ph.D. NC State University. September 2004. University Curriculum Development
for Decentralized Wastewater Management - Site Evaluation Module Text.

http://onsite.tennessee.edu/University%20Site%20and%20Soil%20Evaluation.pdf

University of Nebraska –Lincoln Extension. Sept. 2006. Residential Onsite Wastewater

Treatment: Site Evaluation.

S.A. Holden, M.H. Stolt, G.W. Loomis, and A.J. Gold. Seasonal Variation in Nitrogen Leaching
from Shallow-Narrow Drainfields. Abstract retrieved from the World Wide Web January 3, 2007.
http://asae.frymulti.com/abstract.asp?aid=15802&t=1

U.S. Environmental Protection Agency. Sept. 1999. The Class V Underground Injection Control
Study. EPA/816-R-99-014e. Volume 5, Large-Capacity Septic Systems. Retrieved from the
World Wide Web January 3, 2007. http://www.epa.gov/ogwdw/uic/class5/classv_study.html

Poeter, Thyne, McCray, and Siegrist. Jan. 2005. Colorado School of Mines Golden, Colorado
Guidance for Evaluation of Potential Groundwater Mounding Associated with Cluster and High-
Density Wastewater Soil Absorption Systems.

http://www.ndwrcdp.org/userfiles/WUHT0245_Electronic.pdf#search=%22Guidance%20for%20
Evaluation%20of%20Potential%20Groundwater%20Mounding %20Associated% 20with%
20Cluster%20and%20HighDensity%20

Wastewater%20Soil%20Absorption%20Systems%20%22

Wallace and Grubbs in Proceedings of 13th Annual NOWRA Conference. July 2003.
Hydrogeological Evaluations for Larger Cluster and High Density Wastewater Soil Absorption
Systems. Retrieved from the World Wide Web January 3, 2007.
http://www.ndwrcdp.org/userfiles/CSM-HYDRO_1_PROG_SUMM_1ST_Q_03.pdf

Tyler, EJ, 2001. Hydraulic Wastewater Loading Rates to Soil.

Anderson, J. and D. Gustafson, University of Minnesota Extension Service, 1998. Residential

Cluster Development: Alternative Wastewater Treatment Systems.

http://www.extension.umn.edu/distribution/naturalresources/components/7059-02.html

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American Society for Testing and Materials, 1996. Standard Practice for Subsurface Site
Characterization of Test Pits. ASTM Practice D5921-96, Not available online. To purchase see
http://www.astm.org/cgi-bin/SoftCart.exe/
DATABASE.CART/REDLINE_PAGES/D5921.htm?E+mystore E-Handbook for Managing
Individual and Clustered (Decentralized) Wastewater Treatment Systems 11

Credits:
PIPELINE, a quarterly publication of the National Small Flows Clearinghouse, for providing
information used in this guide.

Onsite Sewage Treatment Program, University of Minnesota. 2011. Manual for Septic System
Professionals in Minnesota, 2nd Ed. St. Paul, MN.

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Wastewater Collection Rules and Regulations
Chapter 2

Rule to Protect Communities from Overflowing Sewers

The Environmental Protection Agency (EPA) has clarified and expanded permit requirements
under the Clean Water Act for 19,000 municipal sanitary sewer collection systems in order to
reduce sanitary sewer overflows.

The requirements will help communities improve some of our Nation’s most valuable
infrastructure –our wastewater collection systems–by requiring facilities to develop and implement
new capacity, management, operation, and maintenance programs and public notification
programs.

The 19,000 systems covered by this rule include 4,800 municipal satellite collection systems
which will be directly regulated under the Clean Water Act for the first time. These requirements
will result in fewer sewer overflows, leading to healthier communities, fewer beach closures, and
fish and shellfish that are safer to eat.

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Various damage from undesirable materials in the sewer system. Bottom, heavy grease
from not being regularly pumped. Photograph credit John Bougham.

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Clean Water Act (Rule) Summary
33 U.S.C. s/s 1251 et seq. (1977)

The Clean Water Act is a 1977 amendment to the Federal Water Pollution Control Act of 1972,
which set the basic structure for regulating discharges of pollutants to waters of the United States.

The law gave EPA the authority to set effluent standards on an industry basis (technology-based)
and continued the requirements to set water quality standards for all contaminants in surface
waters. The CWA makes it unlawful for any person to discharge any pollutant from a point source
into navigable waters unless a permit (NPDES) is obtained under the Act.

The 1977 amendments focused on toxic pollutants. In 1987, the CWA was reauthorized and again
focused on toxic substances, authorized citizen suit provisions, and funded sewage treatment
plants (POTW's) under the Construction Grants Program.

The CWA provides for the delegation by the EPA of many permitting, administrative, and
enforcement aspects of the law to state governments. In states with the authority to implement
CWA programs, the EPA still retains oversight responsibilities.

In 1972, Congress enacted the first comprehensive national clean water legislation in response
to growing public concern for serious and widespread water pollution. The Clean Water Act is the
primary federal law that protects our nation’s waters, including lakes, rivers, aquifers, and coastal
areas. Lake Erie was dying. The Potomac River was clogged with blue-green algae blooms that
were a nuisance and a threat to public health. Many of the nation's rivers were little more than
open sewers and sewage frequently washed up on shore. Fish kills were a common sight.
Wetlands were disappearing at a rapid rate. Today, the quality of our waters has improved
dramatically as a result of a cooperative effort by federal, state, tribal and local governments to
implement the pollution control programs established in 1972 by the Clean Water Act.

The Clean Water Act's primary objective is to restore and maintain the integrity of the nation's
waters. This objective translates into two fundamental national goals:
 eliminate the discharge of pollutants into the nation's waters, and
 achieve water quality levels that are fishable and swimmable.

The Clean Water Act focuses on improving the quality of the nation’s waters. It provides a
comprehensive framework of standards, technical tools and financial assistance to address the
many causes of pollution and poor water quality, including municipal and industrial wastewater
discharges, polluted runoff from urban and rural areas, and habitat destruction.

For example, the Clean Water Act requires major industries to meet performance standards to
ensure pollution control; charges states and tribes with setting specific water quality criteria
appropriate for their waters and developing pollution control programs to meet them, provides
funding to states and communities to help them meet their clean water infrastructure needs;
protects valuable wetlands and other aquatic habitats through a permitting process that ensures
development and other activities are conducted in an environmentally sound manner. After 25
years, the Act continues to provide a clear path for clean water, and a solid foundation for an
effective national water program.

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In 1972
Only a third of the nation's waters were safe for fishing and swimming. Wetlands losses were
estimated at about 460,000 acres annually.
Agricultural runoff resulted in the erosion of 2.25 billion tons of soil and the deposit of large
amounts of phosphorus and nitrogen into many waters. Sewage treatment plants served only 85
million people.

Today
Two-thirds of the nation's waters are safe for fishing and swimming. The rate of annual wetlands
losses is estimated at about 70,000-90,000 acres according to recent studies. The amount of soil
lost due to agricultural runoff has been cut by one billion tons annually, and phosphorus and
nitrogen levels in water sources are down. Modern wastewater treatment facilities serve 173
million people.

The Future
All Americans will enjoy clean water that is safe for fishing and swimming. We will achieve a net
gain of wetlands by preventing additional losses and restoring hundreds of thousands of acres of
wetlands. Soil erosion and runoff of phosphorus and nitrogen into watersheds will be minimized,
helping to sustain the nation's farming economy and aquatic systems. The nation's waters will be
free of effects of sewage discharges.

Here is a large sewer main pipe with damage caused by Hydrogen Sulfide gas; once
H2S touches water, it creates Sulfuric Acid or H2SO4 which destroys the inside of
concrete pipes.

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CMOM - "Capacity, Management, Operation and Maintenance"

Proper function of sanitary sewer systems is vital to protect public health, property, and waterways
in the surrounding area. Most utilities have a management, operation, and maintenance (MOM)
plan to ensure their system is in working order.

However, more than 40,000 sanitary sewage overflows SSOs occur every year, causing huge
monetary losses, damage to fish/shellfish beds, polluting groundwater, and decreased
tourism. Sanitary sewage overflows (SSOs) release raw sewage from the collection system
before it can reach a treatment facility. Sewage may flow out of manholes, into businesses and
homes, and eventually ends up in local waterways.

Many factors are involved in SSOs. Many municipalities started constructing sewer systems over
100 years ago. Some of these have not been adequately maintained, improved, or repaired over
the last century. Cities have used a wide variety of building materials, designs, and installation
techniques, which aren’t durable enough to withstand heavy, continuous use. Problems can be
especially bad where an older system is attached to a new system or an older system has fallen
into disrepair.

The Management, Operation and Maintenance (MOM) Programs Project is a pilot enforcement
approach developed by EPA Region 4 to bring municipal sewer systems into full compliance with
the Clean Water Act by eliminating sanitary sewer overflows (SSOs) from municipal sewer
systems. A SSO is a release of untreated wastewater before the flow reaches a treatment plant.
SSOs pose a significant threat to public health and water quality.

Treatment Balance and the Effects of Undesirable Solids

For any wastewater treatment plant to operate properly, the operator has to maintain a skillfully
balanced mixture of microorganisms which contact and digest the organics in the wastewater,
and bacteria then grows on this media to treat the wastewater. When a plant is properly
maintained these bacteria or bugs eat the dissolved organics in the water, thus removing BOD,
Ammonia, Nitrates, and Phosphorus. All of these constituents must be treated and removed from
the water. When this is accomplished you achieve a low turbidity and clean decantible water which
is then filtered and chlorinated to kill all the remaining bacteria. This incredible process leaves
extremely clean and reusable water that can be injected back into the ground, sent to ponds or
used for irrigation.

Certain compounds and undesirable solids, like grease and grass clippings, can disturb this
delicate balance and necessary process at the wastewater treatment facility. There are
compounds and mixtures that should never be introduced into a sanitary sewer system. These
destructive compounds include but are not limited to: cleaning solvents, grease (both household
and commercial), oils (both household and commercial), pesticides, herbicides, antifreeze and
other automotive products.

The solids include but are not limited to: plastics, rubber goods, grass clippings, metal products
such as aluminum foil, beer or soda cans, wood products, glass, paper products such as
disposable diapers and sanitary napkins. Items such as these disturb or even kill the delicate
balance of microorganisms and bacteria that are needed to treat the wastewater. These will also
clog the sanitary sewer causing backups and sewer overflows. First, we will examine the damage
to equipment and we will finish with resolution methods.

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Costly Maintenance
These harmful sewer damaging compounds and solids can also cause equipment damage and
create costly and unnecessary repairs, as well as frequent and costly maintenance. Repairs
include but are not limited to: SBR Motive Pumps--these should last at least 5 years but are failing
after only 2 or 3 years because of material that was placed in the sewer system. In a recent 2007
study, the cost of repairing these pumps was around $30,000.00. The replacement of the influent
grinder or, “Muffin Monster” after only 3 years of service was nearly $7,000.00. The cost of
frequent maintenance consists of, but is not limited to: the extensive amounts of damaging solids
that clog lift stations and damage lift station pumps. These costs have almost doubled in today’s
costs.

To properly clean a lift station may cost around $3,0000 -$10,000+ for each time that common
problems occur like grass clippings from a golf course, overflowing grease from improperly
maintained grease traps from a casino, hotel or golf course and improperly maintained grease
and oil interceptors. These costs do not touch the cost of cleaning the sewer mains and
manholes. In most cases, no serious damage will occur to the sewer main or manhole, but the
chance of overflowing sewage or untreated wastewater getting to the street is greatly increased
and does happen in most communities. Most of us know about it and accept it as part of our jobs.
But time and rules have changed. We must work harder and be smarter to stop these problems
before the damage and overflow occurs.

Municipality Self-Assessment
Under the MOM Programs Project, municipalities are encourages to undertake a detailed self-
assessment of their MOM programs. The municipalities submit this self-assessment along with
recommendations for improvements to the MOM programs and/or remedial measures to correct
sewer infrastructure problems.

In consideration for undertaking the self-assessment, the municipality is able to establish its own
reasonable goals and schedules, which could result to significantly reduced penalties related to
SSOs. Where an enforcement action is necessary, the regulator works with the municipality to
identify necessary remedial measures and to establish schedules. The Regulator will likely defer
any penalty decision until after the completion of the necessary improvements.

Project Initiation
In 1998, Region 4 began the MOM Programs Project by identifying priority watersheds and
geographical areas in each of the eight States in the Region. These included areas where SSOs
could cause significant public health concerns, such as beaches, shellfish harvesting areas and
drinking water supplies. In addition, watersheds already listed as impaired by collection system
overflows or bacterial contamination were identified.

Region 4, working with the States, selected a watershed (or geographical area) in each State. All
municipal sewer systems in each watershed were identified and invited to participate in the Project
and to attend a kickoff meeting held at a location in the watershed.

Those municipalities wanting to participate in the MOM Project undertake the self-assessment
using the guidance materials provided and submit the self-assessment to the Region within seven
months of the kickoff. Municipalities that don’t participate are inspected by the Region and/or
State and are subject to traditional enforcement actions, including penalties where appropriate.
Improper management and maintenance cause a majority of avoidable SSOs.

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Leading Causes of SSOs
% of
Problem/Cause Description
SSOs
Blockages may be caused by tree roots or a build-up of sediment and other
materials (i.e., grease, grit, debris). Structural defects and a flat slope can also
Blockages 43%
cause excessive deposits of material. Build-ups can cause pipes to break or
collapse.
Infiltration and inflow occurs when rain or snowmelt enters the ground and
seeps into leaky sanitation sewers, which were not designed to carry rainfall or
Infiltration and
27% drain property. Inflow can also occur when excess waters from roof drains,
Inflow (I/I)
broken pipes and bad connections at sewer service lines infiltrates the sanitary
sewer.
Line/main breaks are a major result of structural failure. Undersized systems do
not have large enough pumps or lines to carry all the sewage generated by the
Structural buildings attached to them. This is especially true for new subdivisions or
12%
Failures commercial areas. SSOs can occur at sewer service connections to houses or
buildings. Some cities estimate that up to 60% of SSOs come from service
lines.
Power Failure 11% Stops pump operation, interrupting sewage flow
Other 7% Scheduling, vandalism

Above, a cracked sewer main, a SSO waiting to happen. Below, a sewer manhole with
a history of overflowing.

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What are Sanitary Sewer Overflows?
Sanitary Sewer Overflows (SSOs) are discharges of raw sewage from municipal sanitary sewer
systems. SSOs can release untreated sewage into basements or out of manholes and onto city
streets, playgrounds, and into streams before it can reach a treatment facility. SSOs are often
caused by blockages and breaks in the sewer lines.

Why do Sewers Overflow?

SSOs occasionally occur in almost every sewer system, even though systems are intended to
collect and contain all the sewage that flows into them. When SSOs happen frequently, it means
something is wrong with the system.

Problems that Can Cause Chronic SSOs Include:

 Infiltration and Inflow (I&I): too much rainfall or snowmelt infiltrating through the ground into
leaky sanitary sewers not designed to hold rainfall or to drain property, and excess water inflowing
through roof drains connected to sewers, broken pipes, and badly connected sewer service lines.
 Undersized Systems: Sewers and pumps are too small to carry sewage from newly-
developed subdivisions or commercial areas.
 Pipe Failures: blocked, broken or cracked pipes, tree roots grow into the sewer, sections of
pipe settle or shift so that pipe joints no longer match, and sediment and other material builds
up causing pipes to break or collapse.
 Equipment Failures: pump failures,
power failures.
 Sewer Service Connections:
discharges occur at sewer service
connections to houses and other
buildings; some cities estimate that as
much as 60% of overflows comes from
the service lines.
 Deteriorating Sewer System:
improper installation, improper
maintenance; widespread problems that
can be expensive to fix develop over
time, some municipalities have found
severe problems necessitating billion-
dollar correction programs, often communities have to curtail new development until problems
are corrected or system capacity is increased.

Why are SSOs a Problem?

The EPA has found that SSOs caused by poor sewer collection system management pose a
substantial health and environmental challenge. The response to this challenge varies
considerably from state to state. Many municipalities have asked for national consistency in the
way permits are considered for wastewater discharges, including SSOs, and in enforcement of
the law prohibiting unpermitted discharges. In response, the EPA has convened representatives
of states, municipalities, health agencies, and environmental advocacy groups to advise the
Agency on how to best meet this challenge.

This SSO Federal Advisory Subcommittee examines the need for national consistency in
permitting and enforcement, effective sewer operation and maintenance principles, public
notification for SSOs with potential health or environmental dangers, and other public policy
issues. The EPA carefully considers the Subcommittee's recommendations for regulatory and
nonregulatory actions to reduce SSOs nationally.
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How Big is the SSO Problem?
The total number of SSOs that occur nationwide each year is not known. In some areas, they
might not be reported or are underreported to the EPA and state environmental agencies. Two
surveys, however, help to define the size of the problem:
 In a 1994 survey of 79 members of the Association of Metropolitan Sewerage Agencies, 65
percent of the respondents reported wet weather SSOs. They reported that between 15 and 35
percent of their sewers were filled above capacity and/or overflowed during wet weather.
However, municipal respondents with SSOs had only limited information about them. Only 60
percent had estimated the annual number. Half of those had estimated the amount of sewerage
discharged, and 17 percent had determined what pollutants were in their overflows.
 A 1981 survey conducted by the National Urban Institute indicated an average of 827 backups
and 143 breaks per 1,000 miles of sewer pipe (about 1,000 miles of sewer pipe are needed to
serve 250,000 people.) per year. Breaks occurred most often in the young, growing cities of the
South and West.

Downstream of a nonfunctional Combined Sewer Overflow (CSO) Control Facility.

Combined Sewer Overflows

Combined sewer systems are sewers that are designed to collect rainwater runoff, domestic
sewage, and industrial wastewater in the same pipe. Most of the time, combined sewer systems
transport all of their wastewater to a sewage treatment plant, where it is treated and then
discharged to a water body. During periods of heavy rainfall or snowmelt, however, the
wastewater volume in a combined sewer system can exceed the capacity of the sewer system or
treatment plant. For this reason, combined sewer systems are designed to overflow occasionally
and discharge excess wastewater directly to nearby streams, rivers, or other water bodies. These
overflows, called combined sewer overflows (CSOs), contain not only storm water but also
untreated human and industrial waste, toxic materials, and debris. They are a major water
pollution concern for the approximately 772 cities in the U.S. that have combined sewer systems.
CSOs may be thought of as a type of "urban wet weather" discharge. This means that, like
sanitary sewer overflows (SSOs) and storm water discharges, they are discharges from a
municipality's wastewater conveyance infrastructure that are caused by precipitation events such
as rainfall or heavy snowmelt. The EPA's CSO Control Policy, published April 19, 1994, is the
national framework for control of CSOs. The Policy provides guidance on how communities with
combined sewer systems can meet Clean Water Act goals in as flexible and cost-effective a
manner as possible. EPA's Report to Congress on implementation of the CSO Control Policy
assesses the progress made by EPA, states, and municipalities in implementing and enforcing
the CSO Control Policy.
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The Elements of a Proper CMOM Program
Utility Specific
The complexity and expense associated with a utility's CMOM or MOM programs is specific to
the size and complexity of the Publicly Owned Treatment Works (POTW) and related
infrastructure. Factors such as population growth rate and soil/groundwater conditions also dictate
the level of investment which should be made.

Purposeful
When MOM programs are present and properly maintained, they support customer service and
protect system assets, public health, and water quality.

Goal-Oriented
Proper MOM programs have goals directed toward their individual purposes. Progress toward
these goals is measurable, and the goals are attainable.

Uses Performance Measures

Performance measures should be established for each MOM program in conjunction with the
program goal. These measures are quantifiable, and used in determining progress to, or beyond,
the program goal.

Periodically Evaluated
An evaluation of the progress toward reaching the goals, or a reassessment of the goals, should
be made periodically and based upon the quantified performance measures.

Available In Writing
The effectiveness of a MOM program quickly breaks down unless it is available in writing.
Personnel turnover and lapses in communication between staff and management can change
otherwise proper MOM programs to improper ones. Written MOM programs are useful only if they
are made readily available to all personnel and clearly documented.

Implemented by Trained Personnel

Appropriate safety, equipment, technical, and program training is essential for implementing MOM
programs properly.

What MOM programs should be audited?

MOM activity at a utility involves its entire wastewater infrastructure. Common utility management
activities and operations and maintenance activities associated with sewer systems and
pretreatment are listed in the Self-Audit Review Document.

If a utility owns treatment works or a pond system, then activities associated with the
management, operation, and maintenance of these facilities should also be included in the audit.
A helpful guide for this part is the NPDES Compliance Inspection Manual. Instruction for obtaining
this manual is provided in a list of references.

What are the elements of a proper Self-Audit?

Initial Assessment
Begin by performing a general assessment of the utility, and prioritizing the order of programs to
be audited. The NPDES Compliance Inspection Manual and Guidance may be useful references
in making this assessment.

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Develop the Audit Plan
Identify the MOM programs present and/or needed at the utility, establish performance
measures, and develop a schedule for auditing the programs.

Conduct the Audit

Evaluate each MOM program against the defined elements of a proper program. This can be
accomplished by reviewing the program's records and resources, conducting a field evaluation,
and comparing the program understanding of both personnel and management.

Identify Deficiencies
Define any programs needed, or improvements to programs needed, and any infrastructure
deficiencies found. Identify any unpermitted discharges which have occurred in the past five
years.

Develop Improvement Plan

Define the utility's plan/schedule to remediate the necessary improvements. This plan should
include any short-term or long-term program improvements, and any short-term or long-term
capital improvements which need addressing.

Prepare the Self-Audit Report

Generate a report of the audit results, including any deficiencies found and the corresponding
improvement plan, which is useful for the utility. This report should be capable of serving the utility
as a reference when conducting any needed remedial measures, and as a reference to compare
current performance with future self-audit results.

Are there federal grants or other compliance assistance resources available to conduct a
Self-Audit?
Currently, there are no funds available for the specific purpose of conducting a MOM Programs
Self-Audit. However, the Office of Wastewater Management offers a number of financial
resources to assist qualified utilities in making improvements to their programs.

Small publicly-owned wastewater treatment plants which discharge less than 5 million gallons per
day are also eligible for the Wastewater Treatment Plant Operator On-Site Assistance Training
Program. The program provides on-site operator training, financial management, troubleshooting,
and other operation and maintenance assistance. A network of operator training personnel, EPA
Regional Office Coordinators and States and State Training Centers work in the field with small
under-served communities to help solve their operation and maintenance problems. There is no
cost incurred by the facility in need of assistance. The only requirement of the program is the
willingness to work with a trainer to correct the facility's problems.

What Health Risks do SSOs present?

Because SSOs contain raw sewage they can carry bacteria, viruses, protozoa (parasitic
organisms), helminths (intestinal worms), and borroughs (inhaled molds and fungi). The diseases
they may cause range in severity from mild gastroenteritis (causing stomach cramps and
diarrhea) to life-threatening ailments such as cholera, dysentery, infectious hepatitis, and severe
gastroenteritis.

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People can be Exposed Through:
 Sewage in drinking water sources.
 Direct contact in areas of high public access such as basements, lawns or streets, or waters
used for recreation. At least one study has estimated a direct relationship between
gastrointestinal illness contracted while swimming and bacteria levels in the water.
 Shellfish harvested from areas contaminated by raw sewage. One study indicates that an
average of nearly 700 cases of illness per year were reported in the 1980s from eating shellfish
contaminated by sewage and other sources. The number of unreported cases is estimated to be
20 times that.
 Some cases of disease contracted through inhalation and skin absorption have also been
documented.

What other Damage can SSOs do?

SSOs also damage property and the environment. When basements flood, the damaged area
must be thoroughly cleaned and disinfected to reduce the risk of disease. Cleanup can be
expensive for homeowners and municipalities. Rugs, curtains, flooring, wallboard panels, and
upholstered furniture usually must be replaced. A key concern with SSOs that enter oceans, bays,
estuaries, rivers, lakes, streams, or brackish waters is their effect on water quality. When bodies
of water cannot be used for drinking water, fishing, or recreation, society experiences an
economic loss. Tourism and waterfront home values may fall. Fishing and shellfish harvesting
may be restricted or halted. SSOs can also close beaches. One 1994 study claims that SSOs
closed beaches across the nation that year for a total of more than 300 days.

How can SSOs be Reduced or Eliminated?

Many avoidable SSOs are caused by inadequate or negligent operation or maintenance,
inadequate system capacity, and improper system design and construction. These SSOs can be
reduced or eliminated by:
 Sewer system cleaning and maintenance
 Reducing infiltration and inflow through system rehabilitation and repairing broken or leaking
service lines.
 Enlarging or upgrading sewer, pump station, or sewage treatment plant capacity and/or
reliability.
 Construction of wet weather storage and treatment facilities to treat excess flows.

Communities also should address SSOs during sewer system master planning and facilities
planning, or while extending the sewer system into previously unsewered areas.
A few SSOs may be unavoidable. Unavoidable SSOs include those occurring from unpreventable
vandalism, some types of blockages, extreme rainstorms, and acts of nature such as earthquakes
or floods.

What Costs are Involved with Reducing or Eliminating SSOs?

Sanitary sewer collection systems are a valuable part of the nation's infrastructure. The EPA
estimates that our nation's sewers are worth a total of more than $1 trillion. The collection system
of a single large municipality is an asset worth billions of dollars and that of a smaller city could
cost many millions to replace. Sewer rehabilitation to reduce or eliminate SSOs can be expensive,
but the cost must be weighed against the value of the collection system asset and the added
costs if this asset is allowed to further deteriorate. Ongoing maintenance and rehabilitation adds
value to the original investment by maintaining the system's capacity and extending its life.

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The costs of rehabilitation and other measures to correct SSOs can vary widely by community
size and sewer system type. Those being equal, however, costs will be highest and ratepayers
will pay more in communities that have not put together regular preventive maintenance or asset
protection programs.

Assistance is available through the Clean Water Act State Revolving Fund for capital projects to
control SSOs. State Revolving Funds in each state and Puerto Rico can help arrange low-interest
loans. For the name of your State Revolving Fund contact, please call the EPA Office of Water
Resource Center, (202) 566-1729.

To reduce sanitary sewer overflows (SSOs), the EPA is proposing to clarify and expand permit
regulations that are already in force under the Clean Water Act. This will affect over 19,000
municipal sanitary sewer systems, including 4800 satellite collection systems that will be
regulated for the first time. It will allow streamlined CMOM requirements for small communities,
and permit them to skip self-audits and annual reports if an SSO hasn’t occurred.
The proposed rule would establish:
 Three standard permit conditions for inclusion in NPDES permits for publicly owned
treatment works (POTWs) and municipal sanitary sewer collection systems
 A framework under the NPDES permit program for regulating municipal satellite collection
systems.

The EPA would like to establish three standard permit conditions that will be included as part of
NPDES permits for publicly owned treatment works (POTWs) and municipal sanitary sewer
collection systems.
The proposed standard permit conditions:
 Address capacity, management, operation, and maintenance requirements for municipal
sanitary sewer collection systems (proposed 40 CFR 122.42(e))
 Prohibit discharges to waters of the United States that occur before the discharge reaches
a (POTW) treatment facility (includes a framework for defense for unavoidable discharges)
(proposed 40 CFR 122.42(f))
 Establish requirements for reporting, public notification, and record keeping for discharges
from municipal sanitary sewer system (proposed 40 CFR 122.42(g)).

These proposed standard permit rules are based on the Clean Water Act, sections 304(i), 308,
and 402(a). The rules were developed from existing permit conditions to specifically address
municipal systems and discharges.

The proposed rules will help cities upgrade wastewater collection systems across the nation,
protecting one of the nation’s most valuable assets. Under these proposed rules, facilities will be
required to implement new programs for:
 Capacity assurance, managing, operating, and maintaining systems (CMOM) - These
programs will help communities provide adequate wastewater collection and treatment
facilities. It will include many standard operation and maintenance activities to ensure
good system performance.
 Public notification – cities and local interests will establish a custom program to notify the
public of overflows according to the risk they pose. The EPA is also proposing that yearly
summaries of SSOs be made public. In addition, this proposal will clarify existing
requirements for keeping records and requirements for reporting to the state.

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More Specifically, CMOM will Require Facilities to:
 Establish general performance standards.
 Have a management program.
 Create an overflow response plan.
 Ensure system evaluations.
 Verify capacity assurance.
 Submit to periodic audits of the CMOM program.
 Notify the public and regulatory agencies of SSOs.

General Performance Standards

A CMOM program will ensure:
 There is enough capacity to handle base and peek flows.
 The use of all reasonable measure to stop SSOs.
 Proper collection, management, operation and maintenance of the system.
 Prompt notification of all parties that may be exposed to an SSO.

Management Programs
Management program documents must include:
 The goals of the CMOM program (may differ depending on the facility.)
 Legal authorities that will help implement CMOM.
 The “chain of command” for implementing CMOM and reporting SSOs.
 Design and performance requirements.
 Measures that will be taken to help implement CMOM.
 Monitoring/performance measures to how effective the CMOM program is.
 Communication plan.

Overflow Response Plan

The overflow response plan should be designed provide a quick response to SSOs. Rapid
response to an SSO can mitigate structural damage, pollution of waterways, and the public
health risk. The plan must include the following:
 SSO response procedures.
 Immediate notification of health officials.
 Public notification.
 Plan made available to the public.
 Distribution to all appropriate personnel.
 Revision and maintenance of the plan by appropriate personnel.

System Evaluation and Capacity Assurance Plan

These two activities work hand-in-hand to detect and address deficiencies and
scheduling. These will provide:
 An evaluation of parts of the collection system that have substandard performance.
 Capacity assurance measures to address substandard performance.
 Explanation of prioritization and scheduling.

Performance measures and indicators are important in evaluating collection system performance
and implementing capacity management, operation and maintenance programs.

Possible performance measures and indicators for sanitary sewer collection systems are shown
below:

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CMOM Audits Potential Performance Indicators

Per capita costs

Input measures
Number of employee hours
Length of pipe maintained
Number of service calls completed
Percentage of length maintained repaired this
Output measures year
Percentage of length maintained needing repair
Length of new sewer constructed
Number of new services connected
Number of stoppages per 100 miles of pipe
Outcomes Average service response time
Number of complaints
Shellfish bed closures
Benthic Organism index
Ecological/Human
Biological diversity index
health/
Beach closures
Resource use
Recreational activities
Commercial activities

CMOM Audits
CMOM will require regular, comprehensive audits, done by each facility. These audits will help
identify non-conformance to CMOM regulations so problems can be addressed quickly. All
findings, proposed corrective actions and upcoming improvements should be documented in the
audit report.

Communication/Notification
If an SSO occurs, sanitary sewer facilities will be required to immediately notify the NPDES permit
authority, appropriate health agencies, state authorities, drinking water suppliers, and, if
necessary, the general public in the risk area. This rule will also require an annual report of all
overflows, including minor SSOs such as building backups. Facilities must post locations of
recurrent SSOs and let the public know that the annual report is available to them. The record
keeping provisions mandate that facilities must maintain records for three years about all
overflows, complaints, work orders on the system, and implementation measures.

According to the EPA, an effective CMOM program would help NPDES permitees to:
 Develop/revise routine preventive maintenance activities that prevent service interruption
and protect capital investments.
 Create an inspection schedule and respond to the inspection results.
 Investigate the causes of SSOs and take corrective measures.
 Respond quickly to SSOs to minimize impacts to human health and the environment.
 Identify and evaluate SSO trends.
 Develop budgets and identify staffing needs.
 Plan for future growth to ensure adequate capacity is available when it’s needed.
 Identify hydraulic (capacity) and physical deficiencies and prioritize responses, including
capital investments.
 Identify and develop appropriate responses to program deficiencies (e.g., lack of legal
authority, inadequate funding, and inadequate preventive maintenance).
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  Keep parts and tools inventories updated and equipment in working order.
 Report and investigate safety incidents and take steps to prevent their recurrence.

Implementation
The EPA estimates that implementing this rule will impose an additional $93.5 to $126.5 million
every year on municipalities (includes planning and permitting costs). A system serving 7,500
people may need to spend an average of $6,000 every year to comply with the rule.

CMOM regulations will be added to the permit when facilities need to have a permit re-
issued. Although a compliance deadline has not been set, the EPA recommends that facilities
begin to implement “SSO Standard Conditions” right after the proposed rule is
published. Considering the time and costs associated with compliance, this may be good advice.

Proposed Deadlines for CMOM Documentation After Permit Issuance

Overflow System
Avg. Summary of Completion of Submission of
Emergency Evaluation and
Daily CMOM Program Audit Program Audit
Response Capacity
Flow program Report Report
Plan Assurance Plan
Initial sub-
>=5 Within 18 basins: 3 yrs.;
Within 1 year Within 18 mos. Within 18 mos.
mgd mos. All sub-basins:
5 yrs.
Initial sub-
>1 but With permit
basins: 3 yrs.;
<5 Within 2 yrs Within 1 yr. Within 2 yrs. renewal
All sub-basins:
mgd application
5 yrs.
With permit
<= 1 Within 3.5
Within 1 yr. Within 3.5 yrs. renewal Within 5 yrs.
mgd yrs.
application

Continuous Training
Procedures for emergency response plans should be understood and practiced by all personnel
in order to ensure safety of the public and the collection system personnel responding.
Procedures should be specific to the type of emergency that could occur. It is important to keep
detailed records of all past emergencies in order to constantly improve response training, as well
as the method and timing of future responses. The ability to deal with emergencies depends on
the knowledge and skill of the responding crews, in addition to availability of equipment. The
crew should be able to rapidly diagnose problems in the field under stress and select the right
equipment needed to correct the problem. If resources are limited, consideration should be given
to contracting other departments or private industries to respond to some emergency situations,
for example, those rare emergencies that would exceed the capacity of staff.

Routine Preventative O&M Activities – Wastewater Collection Lines

Routine preventative operations and maintenance activities for wastewater collection lines shall
be performed by the system’s personnel and outside contractors. A qualified outside contractor
can also be utilized to perform hydraulic cleaning using a jet hydro-vac combination truck and
mechanical cleaning using a rodding machine. Routine operations and maintenance activities
including cleaning and removing roots from small and large diameter lines. The system’s goal
should be a minimum of cleaning between 20-30% of the sewers every year.
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Closed-circuit television (CCTV) is used to assess the condition of the sewers. There are four
types of activities that the system or a CCTV contractor can also perform: 1) inspect new work,
2) inspect condition of older portions of the wastewater collection system, 3) routine inspection of
approximately 10% of the wastewater collection, and 4) problem identification to determine the
cause of selected overflow events. Manhole inspection, manhole coating (to prevent concrete
deterioration) and manhole painting (for roach control) are also routinely performed.

Sewer filled with grass will damage your system, pumps, and upset the wastewater
treatment system. Require your industrial users like golf courses to install grass, grease,
and sand/oil interceptors. Certain compounds and undesirable solids, like grease and
grass clippings, can disturb this delicate balance and necessary process at the
wastewater treatment facility. There are compounds and mixtures that should never be
introduced into a sanitary sewer system. These destructive compounds include but are
not limited to: cleaning solvents, grease (both household and commercial), oils (both
household and commercial), pesticides, herbicides, antifreeze and other automotive
products.

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Minimizing Sanitary Collection System Overflows
Here are suggested methods to prevent overflows from sanitary collection systems. Some may
not work; some are intended for humor only.

1. Regular cleaning of sewer lines.

2. Preventive maintenance cleaning of troublesome sewer mains.
3. Pumps, barriers to keep overflowing liquid out of waterways.
4. First, you need to determine when overflows are occurring. Do they occur during rains?
If so, you may have a serious infiltration or inflow problem that needs to be corrected. If
the overflows occur near creeks, perhaps there is a break in the line that needs to be
repaired or one or more manhole covers taken off.
5. If overflows occur during dry periods, then you may have an overloaded sewer and a
relief line may be the answer.
6. Preventative maintenance of the lines to maximize the capacity is always best. Perhaps
installing water tight lids would help, provided such action would not cause the backup
into a basement.
7. Conduct an I&I survey to see where your flow is coming from and then perhaps perform
a pipe lining or other suitable technique for elimination of this.
8. Use manhole covers to buffer the inflow into the manholes.
9. Install some type of holding tank/pump station as a temporary solution. But eventually
population growth would overcome this.
10. Using pipe bursting equipment or other means, install larger interceptor and/or lateral
lines.
11. Properly design sizing and slope of pipes.
12. Selection of good quality manholes, lids. etc. and good quality, factory tested pipes with
good quality joining systems (while problems with pipe breakage or collapse, infiltration
and/or exfiltration from pipes or joints are obvious, problems can also be caused by later
root intrusion, etc. in poor quality pipe or joints as well.)
13. Well designed and effective pipe/structure/manhole and service penetrations.
14. Effective installation, inspection, and acceptance testing of the pipeline, etc. with
available resources in the construction phase.
15. Go leak hunting in the wet season and patch leaks.
16. Go house to house and get rid of all the sump pump connections.
17. Smoke test in the summer.
18. Feed long chain polymers about 20 minutes upstream of the overflow. If you get the
dosage right, you can increase pipe capacity by about 30%. [untested in field conditions]
19. Bolt the manhole covers shut and store the water in people's basements.
20. Look for areas where "kids take the covers off". My experience is that kids don't often do
this.....surcharged flow does! I have seen sewage flowing out of the top of a manhole
such that the lid was suspended 8 inches [20 cm.] above the fountain of sewage and
spinning slowly around.
21. Pull lids in wet raining weather...amazing what the sewers will show you....be prepared
to get very wet and work evening hours...it is well worth it.
22. I agree with the water tight lids. I have seen many sanitary sewers acting as surface
effect storm sewers.
23. Do some flow monitoring....branch approach...to help define areas that may be suspect
in every sewer system.
24. How about dissuading people from putting in stuff that is likely to cause a blockage or
reduction in capacity? Like building materials, grease, large solids etc.

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 25. Better management and control of pumping stations may be important, depending on
your system.

A large rock on top of the lid holding the manhole lid down to prevent sewer overflows is
neither a good idea nor proper SSO prevention planning.

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National Pollutant Discharge Elimination System (NPDES) Permit
Program
The Clean Water Act requires that all point source wastewater dischargers obtain and comply
with an NPDES permit. NPDES permits regulate the discharges from publicly owned wastewater
treatment facilities, other wastewater treatment facilities, industrial facilities, concentrated animal
feeding operations, aquiculture, and other “point source” dischargers.

The NPDES program also regulates wet weather discharges such as stormwater discharges from
industrial activities (e.g. factory stormwater runoff) and municipal stormwater discharges including
urban storm-water runoff, combined sewer overflows, and storm sewer overflows. NPDES permits
are developed to ensure that such discharges to receiving waters are protective of human health
and the environment. They establish specific discharge limits, monitoring, and reporting
requirements and may also require that dischargers undertake measures to reduce or eliminate
pollution to receiving waters. Violations of permit conditions are enforceable under the Clean
Water Act. The EPA uses a variety of techniques to monitor permittee compliance status,
including on-site inspections and review of data submitted by permittees. NPDES permits are
issued for a term of five years (or less).

State NPDES Programs

The Clean Water Act provides that states may be authorized to operate their own NPDES
programs, provided such programs meet minimum federal requirements. As of February 1998,
42 states and the United States Virgin Islands have authorized NPDES programs. Indian nations
can also be authorized to operate an NPDES program, More than 200,000 sources are regulated
by NPDES permits nationwide, NPDES Watershed Permitting a NPDES Watershed Strategy has
been developed to ensure that the NPDES Program protects watersheds as effectively as
possible. Chief among the NPDES program’s responsibilities is the effective implementation of
EPA’s wet-weather strategies, including stormwater management and the control of combined
sewer and sanitary sewer overflows.

Stormwater Management
Stormwater discharges from many sources are largely uncontrolled. For this reason, the mandate
of the Stormwater Program is particularly challenging. Amendments to the Clean Water Act
established a two-phased approach to address stormwater discharges. Phase 1, currently being
implemented, requires permits for separate storm water systems serving large and medium-sized
communities (those with over 100,000 inhabitants), and for stormwater discharges associated
with industrial and construction activity involving at least five acres. To address the large number
of industrial dischargers of stormwater—for populations over 100,000--EPA has developed a
strategy with a tiered framework to control administrative burden while emphasizing reduction in
risk to human health and ecosystems. Phase 2 will address remaining stormwater discharges.
This new regulatory approach would require permits for municipalities in urban areas with
populations under 100,000, and smaller construction sites.

Combined Sewer Overflows (CSOS)

A combined sewer overflow is a discharge from a sewer system that is designed to carry sanitary
wastewater and stormwater in the same pipe to a sewage treatment plant. In periods of rainfall or
snowmelt, a combined sewer system can discharge excess wastewater directly to rivers, lakes,
and estuaries, causing health and environmental hazards because treatment plants cannot
handle the extra flow.

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Coal Mining
Abandoned coal mines cause many of the greatest impairments to water quality throughout the
Appalachian region of the United States. The EPA, the Office of Surface Mining (OSM), the
Interstate Mining Compact Commission (IMCC) and concerned states have combined their efforts
to develop a proposed comprehensive watershed restoration program to help improve water
quality in the areas where abandoned mines are located. These efforts are designed to clean up
rivers and streams polluted by coal mine drainage, as well as continuing to work with all affected
stakeholders. The program includes, among other things, efforts to provide incentives for
remaining abandoned sites, use of best management practices (BMPs) to achieve limitations on
various chemicals, and an increased focus on a cumulative watershed approach that relies upon
total maximum daily loads (TMDLs) to achieve compliance with water quality standards (WQS).

Whole Effluent Toxicity (WET)

WET is the total toxic effect of an effluent measured by a biological toxicity test. A WET test
captures the effect of all toxicants on exposed test organisms without requiring the identification
of specific toxicants. WET replicates to the greatest extent possible the actual environmental
exposure of aquatic life to effluent toxicants. WET tests use the same essential procedures as
those used to generate water quality criteria.

WET is used in NPDES permits in two fundamental ways:

 to regulate the toxicity of a discharge
 to generate data on the toxicity of a discharge
NPDES permit limits for WET typically are expressed either as a concentration of effluent in clean
water that must not result in an unacceptable WET test endpoint (such as lethality of more than
half of the test organisms) or a number of toxic units (such as 3 TU) which corresponds to an
effluent concentration.

WET Limits
WET limits are typically calculated to ensure that state water quality criteria for toxicity (numeric
or narrative) are attained and maintained. Alternatively, WET monitoring requirements instead of
WET limits are often included in NPDES to generate toxicity data for use in making future
decisions about whether WET needs to be controlled at a particular discharge point.

Pretreatment
The National Pretreatment Program is a cooperative effort of federal, state, and local regulatory
environmental agencies established to protect water quality. The program is designed to reduce
the level of pollutants discharged by industry and other non-domestic wastewater sources into
municipal sewer systems, and thereby, reduce the amount of pollutants released into the
environment through wastewater. The objective of the program is to protect the Publicly Owned
Treatment Works (POTW) from pollutants that may interfere with plant operation, prevent
untreated pollutants from being introduced into the POTW, and to improve opportunities for the
POTW to reuse wastewater and biosolids that are generated. The General Pretreatment
Regulations require POTWS that meet certain requirements to develop local pretreatment
programs to control industrial discharges into their municipal sewer systems. These programs
must be approved by either EPA or the state acting as the pretreatment Approval Authority. More
than 1,500 POTWs have developed Approved Pretreatment Programs. EPA has also developed
national categorical pretreatment standards that apply numeric pollutant limits to industrial users
in specific industrial categories. The General Pretreatment Regulations include reporting and
other requirements necessary to implement these categorical standards.

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Types of Regulated Pollutants
CONVENTIONAL POLLUTANTS are contained in the sanitary wastes of households,
businesses, and industries. These pollutants include human wastes, ground-up food from sink
disposals, and laundry and bath waters. Conventional pollutants include:

PATHOGENS are organisms which cause disease in humans.

TOXIC POLLUTANTS are a group of more than 100 pollutants that have been found to be harmful
to animal or plant life by certain pathways of exposure. They are primarily grouped into organics
(including pesticides, solvents, polychlorinated biphenyls (PCBS), and dioxins) and metals
(including lead, silver, mercury, copper, chromium, zinc, nickel, and cadmium).

NONCONVENTIONAL POLLUTANTS are any additional substances that are not conventional
or toxic that may require regulation. These include nutrients such as nitrogen and phosphorus.

A Pretreatment Inspector sampling an SIU Interceptor.

A great job promotion for any Collection System’s Operator.

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Pretreatment Roles and Responsibilities
EPA Headquarters
< Oversees program implementation at all levels.
< Develops and modifies regulations for the program.
< Develops policies to clarify and further define the program.
< Develops technical guidance for program implementation.
< Initiates enforcement actions as appropriate.

Regions
< Fulfill Approval Authority responsibilities for States without a State pretreatment
program.
< Oversee State program implementation.
< Initiate enforcement actions as appropriate.

Approval Authorities (EPA Regions and delegated States)

< Notify POTWs of their responsibilities.
< Review and approve requests for POTW pretreatment program approval or
modification.
< Review requests for site-specific modifications to categorical pretreatment
standards.
< Oversee POTW program implementation.
< Provide technical guidance to POTWs.
< Initiate enforcement actions, against noncompliant POTWs or industries.

Control Authorities (POTWs, States, or EPA Regions)

< Develop, implement, and maintain approved pretreatment program.
< Evaluate compliance of regulated IUs.
< Initiate enforcement action against industries as appropriate.
< Submit reports to Approval Authorities.
< Develop local limits (or demonstrate why they are not needed).
< Develop and implement enforcement response plan.

Industrial Users
< Comply with applicable pretreatment standards and reporting requirements.

Parshall Flume with a Stilling Well and Ultrasonic probe. This device is commonly
found on the Customer’s side of the system; used for measuring the flow and a
common site for gathering samples. Here is a quick fix, use a reflective traffic cone
to hold your ultrasonic probe if you do not have the correct stand.

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What Types of Businesses are Subject to Pretreatment Regulations?
Pretreatment regulations apply to a variety of businesses
discharging wastewater from industrial and commercial
processes.

Certain types of industries with the potential to discharge

pollutants are regulated through an industrial discharge
permit system. Industries are considered Significant
Industrial Users and therefore require a discharge permit
if the user:
 Is subject to Environmental Protection Agency's
Categorical Pretreatment Standards. Categorical
users receive increased scrutiny due to their potential to pollute. Examples of categorical
users are metal finishers and pharmaceutical manufacturers.
 Is discharging an average of 25,000 gallons per day or more of process wastewater.
 Has the potential to adversely affect the wastewater utility.

Industry-Specific Guides
Aluminum, Copper, And Nonferrous Metals Forming And Metal Powders

Pretreatment Standards: A Guidance Manual

Guidance Manual For Battery Manufacturing Pretreatment Standards

Guidance Manual for Electroplating and Metal Finishing Pretreatment Standard

Guidance Manual For Iron And Steel Manufacturing Pretreatment Standards

Guidance Manual for Leather Tanning and Finishing Pretreatment Standards

Guidance Manual for Pulp, Paper, Paperboard and Builders’ Paper

Board Mills Pretreatment Standards

Pretreatment Standards
The National Pretreatment Program identifies specific requirements that apply to all IUs,
additional requirements that apply to all SIUs, and certain requirements that only apply to CIUs.

The objectives of the National Pretreatment Program are achieved by applying and enforcing
three types of discharge standards:
< prohibited discharge standards
< categorical standards
< local limits.

See TLC’s Pretreatment 101, a 3 CEU correspondence course for more

information.

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Prohibited Discharge Standards
All IUs, whether or not subject to any other National, State, or local pretreatment requirements,
are subject to the general and specific prohibitions identified in 40 CFR §§403.5(a) and (b),
respectively. General prohibitions forbid the discharge of any pollutant(s) to a POTW that cause
pass through or interference. Specific prohibitions forbid eight categories of pollutant discharges
as follows:
(1) discharges containing pollutants which create a fire or explosion hazard in the POTW,
including but not limited to, wastestreams with a closed cup flashpoint of less than 140°F (60°C)
using the test methods specified in 40 CFR §261.21;
(2) discharges containing pollutants causing corrosive structural damage to the POTW, but in no
case discharges with a pH lower than 5.0, unless the POTW is specifically designed to
accommodate such discharges;
(3) discharges containing pollutants in amounts causing obstruction to the flow in the POTW
resulting in interference;
(4) discharges of any pollutants released at a flow rate and/or concentration which will cause
interference with the POTW;
(5) discharges of heat in amounts which will inhibit biological activity in the POTW resulting in
interference, but in no case heat in such quantities that the temperature at the POTW treatment
plant exceeds 40°C (104°F) unless the Approval Authority, upon request of the POTW, approves
alternative temperature limits;
(6) discharges of petroleum oil, non-biodegradable cutting oil, or products of mineral oil origin in
amounts that will cause interference or pass through;
(7) discharges which result in the presence of toxic gases, vapors, or fumes within the POTW in
a quantity that may cause acute worker health and safety problems; and
(8) discharges of trucked or hauled pollutants, except at discharge points designated by the
POTW.

Compliance with the general and specific prohibitions is mandatory for all IUs, although a facility
may have an affirmative defense in any action brought against it alleging a violation of the general
prohibitions or of certain specific prohibitions [(3), (4), (5), (6) and (7) above] where the IU can
demonstrate it did not have reason to know that its discharge, alone or in conjunction with a
discharge or discharges from other sources, would cause pass through or interference, and the
IU was in compliance with a technically-based local limit developed to prevent pass through or
interference.

These prohibited discharge standards are intended to provide general protection for POTWs.
However, their lack of specific pollutant limitations creates the need for additional controls, namely
categorical pretreatment standards and local limits.

Interference and Pass Through

Pass through - A discharge which exits the POTW into waters of the US in quantities or
concentrations which, alone or in conjunction with a discharge or discharges from other sources,
is a cause of a violation of any requirement of the POTW’s NPDES permit (including an increase
in the magnitude or duration of a violation.)

Interference - A discharge which, alone or in conjunction with a discharge or discharges from

other sources, both (1) inhibits or disrupts the POTW, its treatment processes or operations, or
its sludge processes, use or disposal; and (2) therefore is a cause of a violation of any requirement
of the POTW’s NPDES permit or of the prevention of sewage sludge use or disposal.

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Categorical Standards
Categorical pretreatment standards (i.e., categorical standards) are national, uniform, technology-
based standards that apply to discharges to POTWs from specific industrial categories (i.e.,
indirect dischargers) and limit the discharge of specific pollutants. Categorical pretreatment
standards for both existing and new sources (PSES and PSNS, respectively) are promulgated by
the EPA pursuant to Section 307(b) and (c) of the CWA.

Limitations developed for indirect discharges are designed to prevent the discharge of pollutants
that could pass through, interfere with, or otherwise be incompatible with POTW operations.
Effluent limitations guidelines (ELGs), developed in conjunction with categorical standards, limit
the discharge from facilities directly to waters of the U.S. (i.e., direct dischargers) and do not apply
to indirect dischargers.

ELGs include Best Practicable Control Technology Currently Available (BPT), Best Conventional
Pollutant Control Technology (BCT), and Best Available Technology Economically Achievable
(BAT) limitations and New Source Performance Standards (NSPS). ELGs (i.e., BPT, BCT, BAT,
and NSPS) do not apply to indirect dischargers. The significant difference between categorical
standards and effluent limitations guidelines is that categorical standards account for any pollutant
removal that may be afforded through treatment at the POTW while effluent limitations guidelines
do not. Industries identified as major sources of toxic pollutants are typically targeted for effluent
guideline and categorical standard development.

If limits are deemed necessary, the EPA investigates affected IUs and gathers information
regarding process operations, treatment and management practices accounting for differences in
facility size and age, equipment age, and wastewater characteristics. Sub categorization within
an industrial category is evaluated based on variability in processes employed, raw materials
used, types of items produced, and characteristics of wastes generated. Availability and cost of
control technologies, non-water quality environmental impacts, available pollution prevention
measures, and economic impacts are then identified prior to the EPA’s presentation of findings in
proposed development documents and publishing a notice of the proposed regulations in the
Federal Register. Based on public comments on the proposed rule, the EPA promulgates (i.e.,
publishes) the standards.

Normal wastewater sampling or pretreatment equipment found in a regulated industry.

pH, ORP and Temperature measuring equipment.

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Wastewater Collection System
Chapter 3

The sewer cleaning truck (above) is 38 feet long and 9 feet wide. The attached tank has a capacity
of 1500 gallons and can hold 10 cubic yards of debris. The truck is equipped with a high pressure
cleaning head that can move 800 feet down a sanitary line at 2500 PSI.

Out of sight, out of mind—that's your sanitary sewer collection system. Until there comes that
inevitable emergency call due to a stoppage, then you have upset residents with sewage backed
up in their toilets. A very economical and quick method of determining if a new sewer line is
straight and unobstructed is called “Lamping” and can be done with a mirror and a bright source
of light, for example a headlight at night or sunlight.

Video inspection coupled with a good cleaning program can be a highly effective maintenance
tool. By cleaning and root sawing your lines, restrictions caused by debris, roots and grease
buildup can be prevented—thus drastically reducing the number of emergency backups and
surcharge calls. Sewage collection systems that have video inspection closed circuit television
(CCTV) and cleaning programs, report drastic reductions in the number of emergency calls
because the system was cleaned and potential trouble spots were located prior to problems
occurring.

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Top photograph, new manhole. Bottom, a repaired sewer main after being damaged by
the water distribution department using a backhoe without locates.

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Understanding Gravity Sanitary Sewers
A Sanitary Sewer has Two Main Functions:
 To convey the designed peak discharge.
 Transport solids so that the deposits are kept at a minimum.

Sanitary sewers are designed to transport the wastewater by utilizing the potential energy
provided by the natural elevation of the earth resulting in a downstream flow. This energy,
if not designed properly, can cause losses due to free falls, turbulent junctions, and sharp
bends. Sewer systems are designed to maintain proper flow velocities with minimum head
loss. However, higher elevations in the system may find it necessary to dissipate excess
potential energy.

Design flows are based on the quantity of wastewater to be transported. Flow is

determined largely by population served, density of population, and water consumption.
Sanitary sewers should be designed for peak flow of population. Stormwater inflow is
highly discouraged and should be designed separate from the sanitary system.

Gravity-flow sanitary sewers are usually designed to follow the topography of the land and
to flow full or nearly full at peak rates of flow and partly full at lesser flows. Most of the time
the flow surface is exposed to the atmosphere within the sewer and it functions as an open
channel. At extreme peak flows the wastewater will surcharge back into the manholes.
This surcharge produces low pressure in the sewer system.

In order to design a sewer system, many factors are considered. The purpose of this topic
is to aid in the understanding of flow velocities and design depths of flow. The ultimate
goal for our industry is to protect the health of the customers we serve. This is achieved
by prevention of sewer manhole overflows.

Sewer System Capacity Evaluation - Testing and Inspection

The collection system owner or operator should have a program in place to periodically
evaluate the capacity of the sewer system in both wet and dry weather flows and ensure
the capacity is maintained as it was designed. The capacity evaluation program builds
upon ongoing activities and the everyday preventive maintenance that takes place in a
system. The capacity evaluation begins with an inventory and characterization of the
system components. The inventory should include the following basic information about
the system:
• Population served
• Total system size (feet or miles)
• Inventory of pipe length, size, material and age, and interior and exterior condition as
available
• Inventory of appurtenances such as bypasses, siphons, diversions, pump stations,
tide or flood gates and manholes, etc., including size or capacity, material and age,
and condition as available
• Force main locations, length, size and materials, and condition as available
• Pipe slopes and inverts
• Location of house laterals - both upper and lower

The system then undergoes general inspection which serves to continuously update and
add to the inventory information.
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Capacity Limitations
The next step in the capacity evaluation is to identify the location of wet weather related
SSOs, surcharged lines, basement backups, and any other areas of known capacity
limitations. These areas warrant further investigation in the form of flow and rainfall
monitoring and inspection procedures to identify and quantify the problem. The reviewer
should ensure that the capacity evaluation includes an estimate of peak flows
experienced in the system, an estimate of the capacity of key system components, and
identification of the major sources of I/I that contribute to hydraulic overloading events.

The capacity evaluation should also make use of a hydraulic model. This model will
help identify areas where there is a need to alleviate capacity limitations.

Short and long-term alternatives to address hydraulic deficiencies should be identified,

prioritized, and scheduled for implementation. A sewer inspection is an important part of
a sewer system capacity evaluation and determining your options or alternatives.

Flow Monitoring
Fundamental information about the collection system is obtained by flow monitoring. Flow
monitoring provides information on dry weather flows as well as areas of the collection
system potentially affected by I/I. Flow measurement may also be performed for billing
purposes, to assess the need for new sewers in a certain area, or to calibrate a model.

There are three techniques commonly used for monitoring flow rates:
(1) permanent and long-term,
(2) temporary, and
(3) instantaneous.

Permanent installations are done at key points in the collection system such as the
discharge point of a satellite collection system, pump stations, and key junctions.
Temporary monitoring consists of flow meters typically installed for 30-90 days.
Instantaneous flow metering is performed by collection system personnel, one reading is
taken and then the measuring device is removed.

The collection system owner or operator should have a flow monitoring plan that describes
their flow monitoring strategy, or should at least be able to provide the following
information:
• Purpose of the flow monitoring
• Location of all flow meters
• Type of flow meters
• Flow meter inspection and calibration frequency

Flow Monitoring Plan

A flow monitoring plan should provide for routine inspection, service, and calibration
checks (as opposed to actual calibration). In some cases, the data is calibrated rather than
the flow meter. Checks should include taking independent water levels (and ideally
velocity readings), cleaning accumulated debris and silt from the flow meter area,
downloading data (sometimes only once per month), and checking the desiccant and
battery state. Records of each inspection should be maintained.

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 Flow Measurements
Flow measurements performed for the purpose of quantifying I/I are typically separated
into three components: base flow, infiltration, and inflow. Base flow is generally taken to
mean the wastewater generated without any I/I component. Infiltration is the seepage of
groundwater into pipes or manholes through defects such as cracks, broken joints, etc.
Inflow is the water which enters the sewer through direct connections such as roof
leaders, direct connections from storm drains or yard, area, and foundation drains, the
holes in and around the rim of manhole covers, etc. Many collection system owners or
operators add a third classification: rainfall induced infiltration (RII). RII is stormwater that
enters the collection system through defects that lie so close to the ground surface that
they are easily reached. Although not from piped sources, RII tends to act more like inflow
than infiltration.

In addition to the use of flow meters, which may be expensive for a small owner or
operator, other methods of inspecting flows may be employed, such as visually monitoring
manholes during low-flow periods to determine areas with excessive I/I. For a very small
system, this technique may be an effective and low-cost means of identifying problem
areas in the system which require further investigation.

Inside a new manhole, the Invert is the inside bottom of the pipe. The Invert is used to
determine the depth which is used to determine the Rise or Slope of the pipe.

The formula for figuring the slope is: rise divided by run.

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Flow Capacity
Most sewers are designed with the capacity to flow half full for less than 15 inches in diameter;
larger sewers are designed to flow at three-fourths flow. The velocity is based on calculated peak
flow, which is commonly considered to be twice the average daily flow. Accepted standards
dictate that the minimum design velocity should not be less than 0.60 m/sec (2 fps) or generally
greater than 3.5 m/sec (10 fps) at peak flow. A velocity in excess of 3.5 m/sec (10 fps) can be
tolerated with proper consideration of pipe material, abrasive characteristics of the wastewater,
turbulence, and thrust at changes of direction. The minimum velocity is necessary to prevent the
deposition of solids.

Examples of various sewer flow measuring devices.

The Use of a Dye at the Manhole to Determine the Velocity is Done as Follows:

1. Insert dye upstream and begin timing until the dye is first seen at the downstream
manhole (t1); and
2. Total the travel time, and the insertion time from the time the dye is no longer seen at the
downstream manhole (t2).

Once this is complete, add (t1 + t2) then divide it by 2. This will give you the total average time
for the dye. In order to calculate the velocity the travel time is divided by the distance between
manholes (note that the time needs to be converted to seconds):

Distance, ft
Velocity, ft/sec =
Average time, sec
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There are devices available to measure flow measurements; they all are based on the principle
of the cross-sectional area of the flow in a sewer line. This is done by using the table below.
Once this has been determined, then the following equations can be used:

Q, cubic feet of flow = Area, sq ft multiplied by Velocity, ft/sec

d/D Factor d/D Factor d/D Factor d/D Factor

0.01 0.0013 0.16 0.0811 0.31 0.2074 0.46 0.3527
0.02 0.0037 0.17 0.0885 0.32 0.2167 0.47 0.3627
0.03 0.0069 0.18 0.0961 0.33 0.2260 0.48 0.3727
0.04 0.0105 0.19 0.1039 0.34 0.2355 0.49 0.3827
0.05 0.0174 0.20 0.1118 0.35 0.2350 0.50 0.3927
0.06 0.0192 0.21 0.1199 0.36 0.2545 0.51 0.4027
0.07 0.0242 0.22 0.1281 0.37 0.2642 0.52 0.4127
0.08 0.0294 0.23 0.1365 0.38 0.2739 0.53 0.4227
0.09 0.0350 0.24 0.1449 0.39 0.2836 0.54 0.4327
0.10 0.0409 0.25 0.1535 0.40 0.2934 0.55 0.4426
0.11 0.0470 0.26 0.1623 0.41 0.3032 0.56 0.4526
0.12 0.0534 0.27 0.1711 0.42 0.3130 0.57 0.4625
0.13 0.0600 0.28 0.1800 0.43 0.3229 0.58 0.4724
0.14 0.0668 0.29 0.1890 0.44 0.3328 0.59 0.4822
0.15 0.0739 0.30 0.1982 0.45 0.3428 0.60 0.4920

This table works as follows:

To determine the cross-sectional flow for a 12 inch sewer main with a flow depth of 5 inches you
would first:

d or depth 5 inches divided by D or diameter 12 inches equals 0.42 d/D. using the table above
find the correct factor for 0.42 d/D.

The factor equals 0.3130, now calculate the cross-sectional area using the following formula:

(Factor)(Diameter, in)2
Pipe Cross-sectional Area, sq ft=
144 sq in/sq ft

(0.3130)(12 in) 2

144 sq in/sq/ft

= 0.0313 sq ft

Once the Velocity and the cross-sectional area have been determined, the calculation for flow
rate is used. This formula is as followed:

Q, cubic feet per second = (Area, sq ft) (Velocity, ft/sec)

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Once this calculation is made, cubic feet can be converted to gallons by multiplying it by 7.48
gal/cubic feet and seconds can be converted to minutes, hours or days by multiplying the
gallons with the time.

The complexity and expense associated with a utility's CMOM or MOM programs is
specific to the size and complexity of the Publicly Owned Treatment Works (POTW) and
related infrastructure. Factors such as population growth rate and soil/groundwater
conditions also dictate the level of investment which should be made.

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Sewer Cleaning
The purpose of sewer cleaning is to remove accumulated material from the sewer. Cleaning
helps to prevent blockages and is also used to prepare the sewer for inspections. Stoppages
in gravity sewers are usually caused by a structural defect, poor design, poor construction, an
accumulation of material in the pipe (especially grease), or root intrusion. Protruding traps
(lateral sewer connections incorrectly installed so that they protrude into the main sewer) may
catch debris, which then causes a further buildup of solids that eventually block the sewer.

Results of Various Flow Velocities

Velocity Result
2.0 ft/sec...............................Very little material buildup in pipe.
1.4-2.0 ft/sec.........................Heavier grit (sand and gravel) begin to accumulate.
1.0-1.4 ft/sec.........................Inorganic grit and solids accumulate.
Below 1.0 ft/sec....................Significant amounts of organic and inorganic solids accumulate.
1.0 to 1.4 feet per second, grit and solids can accumulate leading to a potential blockage.

Sewer Cleaning Methods

There are three major methods of sewer cleaning: hydraulic, mechanical, and chemical.

Hydraulic cleaning (also referred to as flushing) refers to any application of water to clean the
pipe. Mechanical cleaning uses physical devices to scrape, cut, or pull material from the sewer.

Chemical cleaning can facilitate the control of odors, grease buildup, root growth, corrosion, and
insect and rodent infestation.

Sewer Cleaning Records

The backbone of an effective sewer cleaning program is accurate recordkeeping. Accurate
recordkeeping provides the collection system owner or operator with information on the areas
cleaned. Typical information includes:
• Date, time, and location of stoppage or routine cleaning activity
• Method of cleaning used
• Identity of cleaning crew
• Cause of stoppage
• Further actions necessary and/or initiated
• Weather conditions

The owner or operator should be able to identify problem collection system areas, preferably on
a map. Potential problem areas identified should include those due to grease or industrial
discharges, hydraulic bottlenecks in the collection system, areas of poor design (e.g., insufficiently
sloped sewers), areas prone to root intrusion, sags, and displacements. The connection between
problem areas in the collection system and the preventive maintenance cleaning schedule should
be clear.

The owner or operator should also be able to identify the number of stoppages experienced per
mile of sewer pipe. If the system is experiencing a steady increase in stoppages, the reviewer
should try to determine the cause (i.e., lack of preventive maintenance funding, deterioration of
the sewers due to age, an increase in grease producing activities, etc.).

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Parts and Equipment Inventory
An inventory of spare parts, equipment, and supplies should be maintained by the collection
system owner or operator. The inventory should be based on the equipment manufacturer’s
recommendations, supplemented by historical experience with maintenance and equipment
problems. Without such an inventory, the collection system may experience long down times or
periods of inefficient operation in the event of a breakdown or malfunction. Files should be
maintained on all pieces of equipment and major tools. The owner or operator should have a
system to assure that each crew member has adequate and correct tools for the job.

The owner or operator should maintain a yard where equipment, supplies, and spare parts are
maintained and personnel are dispatched. Very large systems may maintain more than one yard.
In this case, the reviewer should perform a visual survey at the main yard. In small to medium
size systems, collection system operations may share the yard with the department of public
works, water department, or other municipal agencies. In this case, the reviewer should determine
what percentage is being allotted for collection system items. The most important features of the
yard are convenience and accessibility.

The reviewer should observe a random sampling of inspection and maintenance crew vehicles
for equipment as described above. A review of the equipment and manufacturer’s manuals aids
will determine what spare parts should be maintained.

The owner or operator should then consider the frequency of usage of the part, how critical the
part is, and finally, how difficult the part is to obtain when determining how many of the part to
keep in stock. Spare parts should be kept in a clean,
well-protected stock room.

Owner or Operator - Point to Note

The owner or operator should have a procedure for
determining which spare parts are critical for the
proper operation of the collection system. Similar to
equipment and tools management, a tracking
system should be in place, including Guide for
Evaluating CMOM Programs at Sanitary Sewer
Collection Systems procedures on logging out
materials, and when maintenance personnel must
use them.

The owner or operator should be able to produce

the spare parts inventory and clearly identify those
parts deemed critical. The reviewer should
evaluate the inventory and selected items in the
stockroom to determine whether the specified
numbers of these parts are being maintained.

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 Photographs courtesy of Propipe.

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 Photographs courtesy of Propipe.
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Infiltration and Inflow
What is Infiltration/Inflow (I/I)?
Infiltration occurs when groundwater enters the sewer system through cracks, holes, faulty
connections, or other openings. Inflow occurs when surface water such as storm water enters the
sewer system through roof downspout connections, holes in manhole covers, illegal plumbing
connections, or other defects.

The sanitary sewer collection system and treatment plants have a maximum flow capacity of
wastewater that can be handled. I/I, which is essentially clean water, takes up this capacity and
can result in sewer overflows into streets and waterways, sewer backups in homes, and
unnecessary costs for treatment of this water. It can even lead to unnecessary expansion of the
treatment plants to handle the extra capacity. These costs get
passed on to the consumer.

I&I (Infiltration and Inflow)

 Infiltration is water (typically groundwater) entering the
sewer underground through cracks or openings in joints.
 Inflow is water (typically stormwater or surface runoff)
that enters the sewer from grates or unsealed manholes
exposed to the surface.

Determining I/I
Flow monitoring and flow modeling provide measurements and data used to determine
estimates of I/I. Flow meters are placed at varying locations throughout the sewer collection
system to take measurements and identify general I/I source areas. Measurements taken
before and after a precipitation event indicate the extent that I/I is increasing total flow. Both
infiltration and inflow increase with precipitation. Infiltration increases when groundwater rises
from precipitation, and inflow is mainly stormwater and rainwater. Rainfall monitoring is also
performed to correlate this data.

Identifying sources of I/I

A Sewer System Evaluation Survey (SSES) involves inspection of the sewer system using
several methods to identify sources of I/I:
ꞏ Visual inspection - accessible pipes, gutter and plumbing connections, and manholes are
visually inspected for faults.
ꞏ Smoke testing – smoke is pumped into sewer pipes. Its reappearance aboveground
indicates points of I/I. These points can be on public property such as along street cracks or
around manholes, or on private property such as along house foundations or in yards where
sewer pipes lay underground.
ꞏ TV inspection – camera equipment is used to do internal pipe inspections. The City will
usually have one 2-3 person crew that can perform TV inspection on over 20 miles of sewer
pipe per year.
ꞏ Dye testing – Dye is used at suspected I/I sources. The source is confirmed if the dye
appears in the sewer system.

Sources of I/I are also sometimes identified when sewer backups or overflows bring
attention to that part of the system. The purpose of the SSES is to reduce these incidences
by finding sources before they cause a problem.

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Repairing I/I Sources
Repair techniques include manhole wall spraying, trenchless sewer pipe relining, manhole
frame and lid replacement, and disconnecting illegal plumbing, drains, and roof downspouts.

Efficient Identification of Excessive I/I

The owner or operator should have in place a
program for the efficient identification of excessive
I/I. The program should look at the wastewater
treatment plant, pump stations, permanent meter
flows, and rainfall data to characterize peaking
factors for the whole system and major drainage
basins. The reviewer should evaluate the program,
including procedures and records associated with
the flow monitoring plan. Temporary meters should
be used on a “roving” basis to identify areas with
high wet weather flows. Areas with high wet
weather flows should then be subject to inspection
and rehabilitation activities.

Sewer System Testing

Sewer system testing techniques are often used to identify leaks which allow unwanted
infiltration into the sewer system and determine the location of illicit connections and other
sources of stormwater inflow. Two commonly implemented techniques include smoke testing
and dyed water testing. Regardless of the program(s) implemented by the owner or operator,
the reviewer should evaluate any procedures and records that have been established for
these programs. The reviewer should also evaluate any public relations program and assess
how the owner or operator communicates with the public during these tests (i.e., when there
is a possibility of smoke entering a home or building).

Smoke testing and dye testing are relatively inexpensive and quick methods of detecting
sources of inflow in sewer systems, such as down spouts, or driveway and yard drains, and
works best for detecting cross connections and point source inflow leaks. Smoke testing is
not typically used on a routine basis, but rather when evidence of excessive I/I already exists.
With each end of the sewer of interest plugged, smoke is introduced into the test section.
Sources of inflow can then be identified when smoke escapes through them.

Areas Usually Smoke Tested

• Drainage paths
• Ponding areas
• Cellars
• Roof leaders
• Yard and area drains
• Fountain drains
• Faulty service connections
• Abandoned building sewers
If the collection system owner or operator implements a regular program of smoke testing,
the program should include a public notification procedure. The owner or operator should
also have procedures to define:
• How line segments are isolated.
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• The maximum amount of line to be smoked at one time.
• The weather conditions in which smoke testing is conducted (i.e., no rain or snow, little
wind and daylight only)

The results of positive smoke tests should be documented with carefully labeled
photographs. Building inspections are sometimes conducted as part of a smoke testing
program and, in some cases, may be the only way to find illegal connections. If properly
connected to the sanitary sewer system, smoke should exit the vent stacks of the
surrounding properties. If traces of the smoke or its odor enter the building, it is an
indication that gases from the sewer system may also be entering. Building inspections
can be labor intensive and require advanced preparation and communication with the
public.

Dye Testing
Dyed water testing may be used to establish the connection of a fixture or appurtenance
to the sewer. It is often used to confirm smoke testing or to test fixtures that did not smoke.
As is the case with smoke testing, it is not used on a routine basis, but rather in areas that
have displayed high wet weather flows. Dyed water testing can be used to identify
structurally damaged manholes that might create potential I/I problems. This is
accomplished by flooding the area close to the suspected manholes with dyed water and
checking for entry of dyed water at the frame-chimney area, cone or corbel, and walls of
the manhole.

Sewer System Inspection

Visual inspection of manholes and pipelines are the first line of defense in the identification
of existing or potential problem areas. Visual inspections should take place on both a
scheduled basis and as part of any preventive or corrective maintenance activity. Visual
inspections provide additional information concerning the accuracy of system mapping,
the presence and degree of I/I problems, and the physical state-of-repair of the system.
By observing the manhole directly and the incoming and outgoing lines with a mirror, it is
possible to determine structural condition, the presence of roots, condition of joints, depth
of debris in the line, and depth of flow.

The reviewer should examine the records of visual inspections to ensure that the
following information is recorded:
• Manhole identification number and location.
• Cracks or breaks in the manhole or pipe (inspection sheets and/or logs should record
details on defects.)
• Accumulations of grease, debris, or grit
• Wastewater flow characteristics (e.g., flowing freely or backed up.)
• Inflow - Infiltration (presence of clear water in or flowing through the manhole.)
• Presence of corrosion.
• Offsets or misalignments.
• Condition of the frame.
• Evidence of surcharge.
• Atmospheric hazard measurements (especially hydrogen sulfide.)
• If repair is necessary, a notation as to whether a work order has been issued.

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Manholes
Manholes should undergo routine inspection typically every one to five years. There should
be a baseline for manhole inspections (e.g., once every two years) with problematic manholes
being inspected more frequently. The reviewer should conduct visual observation at a small
but representative number of manholes for the items listed above.

There are various pipeline inspection techniques, the most common include: lamping, camera
inspection, sonar, and CCTV. These will be explained further in the following sections.

Sewer System Inspection Techniques

Sewer inspection is an important component of any maintenance program. There are a
number of inspection techniques that may be employed to inspect a sewer system. The
reviewer should determine if an inspection program includes frequency and schedule of
inspections and procedures to record the results. Sewer system cleaning should always be
considered before inspection is performed in order to provide adequate clearance and
inspection results. Additionally, a reviewer should evaluate records maintained for inspection
activities, including whether information is maintained on standardized logs, and should
include:
• Location and identification of line being inspected.
• Pipe size and type.
• Name of personnel performing inspection.
• Distance inspected.
• Cleanliness of the line.
• Condition of the manhole with pipe defects identified by footage from the starting manhole.
• Results of inspection, including estimates of I/I.

Camera Inspection
Lamping involves lowering a still camera into a manhole. The camera is lined up with the
centerline of the junction of the manhole frame and sewer. A picture is the taken down the
pipe with a strobe-like flash. A disadvantage of this technique is that only the first 10-12 feet
of the pipe can be inspected upstream and downstream of the access point. Additionally, it
has limited use in small diameter sewers. The benefits of this technique include not requiring
confined space entry and little equipment and set-up time is required.

Camera inspection is more comprehensive than lamping in that more of the sewer can be
viewed. A still camera is mounted on a floatable raft and released into a pipe. The camera
takes pictures with a strobe-like flash as it floats through the sewer pipe. This technique is
often employed in larger lines where access points are far apart. Similar to lamping, portions
of the pipe may still be missed using this technique. Obviously, there also must be flow in the
pipe for the raft to float. This technique also does not fully capture the invert of the pipe and
its condition.

Sonar is a newer technology deployed similarly to CCTV cameras, and described in more
detail below. The sonar emits a pulse which bounces off the walls of the sewer. The time it
takes for this pulse to bounce back provides data and an image of the interior of the pipe,
including its structural condition. A benefit of this technique is that it can be used in flooded or
inaccessible sections of the sewer. The drawback is that the technique requires heavy and
expensive equipment.

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Sewer scanner and evaluation is an experimental technology where a 360 degree scanner
produces a full digital photograph of the interior of the pipe. This technique is similar to sonar
in that a more complete image of a pipe can be made than with CCTV, but not all types of
sewer defects may be identified as readily (i.e., infiltration, corrosion).

Closed Circuit Television (CCTV) Inspections

Closed Circuit Television (CCTV) inspections are a helpful tool for early detection of potential
problems. This technique involves a closed-circuit camera with a light which is self-propelled
or pulled down the pipe. As it moves it records the interior of the pipe. CCTV inspections may
be done on a routine basis as part of the preventive maintenance program, as well as part of
an investigation into the cause of I/I. CCTV, however, eliminates the hazards associated with
confined space entry. The output is displayed on a monitor and videotaped. A benefit of CCTV
inspection is that a permanent visual record is captured for subsequent reviews.

Sewer System Rehabilitation

The collection system owner or operator should have a sewer rehabilitation program. The
objective of sewer rehabilitation is to maintain the overall viability of a collection system. This
is done in three ways: (1) ensuring its structural integrity; (2) limiting the loss of conveyance
and wastewater treatment capacity due to excessive I/I; and (3) limiting the potential for
groundwater contamination by controlling exfiltration from the pipe network. The rehabilitation
program should build on information obtained as a result of all forms of maintenance and
observations made as part of the capacity evaluation and asset inventory to assure the
continued ability of the system to provide sales and service at the least cost. The reviewer
should try to gain a sense of how rehabilitation is prioritized. Priorities may be stated in the
written program or may be determined through interviews with system personnel.

There are many rehabilitation methods; the choice of methods depends on pipe size, type,
location, dimensional changes, sewer flow, material deposition, surface conditions, severity
of I/I, and other physical factors. Non-structural repairs typically involve the sealing of leaking
joints in otherwise sound pipe.

Structural repairs involve either the replacement of all or a portion of a sewer line, or the
lining of the sewer. These repairs can be carried out by excavating, usually for repairs limited
to one or two pipe segments (these are known as point repairs) or by trenchless technologies
(in which repair is carried out via existing manholes or a limited number of access
excavations).

The rehabilitation program should identify the methods that have been used in the past, their
success rating, and methods to be used in the future. A reviewer who wants further guidance
on methods of rehabilitation may consult the owner’s or operator’s policies regarding service
lateral rehabilitation, since service laterals can constitute a serious source of I/I. Manholes
should not be neglected in the rehabilitation program.

Manhole covers can allow significant inflow to enter the system because they are often
located in the path of surface runoff. Manholes themselves can also be a significant source
of infiltration from cracks in the barrel of the manhole. The owner or operator should be able
to produce documentation on the location and methods used for sewer rehabilitation. The
reviewer should compare the rehabilitation accomplished with that recommended by the
capacity evaluation program.

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Tree Roots vs. Sanitary Sewer Lines

Root Growth in Pipes

Roots require oxygen to grow, they do not grow in pipes that are
full of water or where high ground water conditions prevail. Roots
thrive in the warm, moist, nutrient rich atmosphere above the
water surface inside sanitary sewers. The flow of warm water
inside the sanitary sewer service pipe causes water vapor to
escape to the cold soil surrounding the pipe. Tree roots are
attracted to the water vapor leaving the pipe and they follow the
vapor trail to the source of the moisture, which are usually cracks
or loose joints in the sewer pipe. Upon reaching the crack or pipe
joint, tree roots will penetrate the opening to reach the nutrients and moisture inside the pipe.
This phenomenon continues in winter even though trees appear to be dormant.

Problems Caused by Roots Inside Sewers

Once inside the pipe, roots will continue to grow, and if not disturbed, they will completely fill the
pipe with multiple hair-like root masses at each point of entry. The root mass inside the pipe
becomes matted with grease, tissue paper, and other debris discharged from the residence or
business. Homeowners will notice the first signs of a slow flowing drainage system by hearing
gurgling noises from toilet bowls and observing wet areas around floor drains after completing the
laundry. A complete blockage will occur if no remedial action is taken to remove the
roots/blockage. As roots continue to grow, they expand and exert considerable pressure at the
crack or joint where they entered the pipe. The force exerted by the root growth will break the
pipe and may result in total collapse of the pipe. Severe root intrusion and pipes that are
structurally damaged will require replacement.

Tree Roots in Sewer

Tree roots growing inside sewer pipes are generally the most expensive sewer maintenance item
experienced by City residents. Roots from trees growing on private property and on parkways
throughout the City are responsible for many of the sanitary sewer service backups and damaged
sewer pipes.

Homeowners should be aware of the location of their sewer service and refrain from planting
certain types of trees and hedges near the sewer lines. The replacement cost of a sanitary sewer
service line as a result of damage from tree roots may be very expensive.

Pipes Susceptible to Root Damage

Some pipe material is more resistant to root intrusion than others. Clay tile pipe that was
commonly installed by developers and private contractors until the late 1980's is easily penetrated
and damaged by tree roots. Concrete pipe and PVC pipe may also allow root intrusions, but to a
lesser extent than clay tile pipe. PVC pipe is more resistant to root intrusion because it usually
has fewer joints. The tightly fitting PVC joints are less likely to leak as a result of settlement of
backfill around the pipe.

Root Spread
During drought conditions and in winter, tree roots travel long distances in search of moisture.
As a general rule, tree roots will extend up to 2.5 times the height of the tree, and some species
of trees may have roots extending five to seven times the height of the tree.

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Root Growth Control
The common method of removing roots from sanitary sewer service pipes involves the use of
augers, root saws, and high pressure flushers. These tools are useful in releasing blockages in
an emergency, however, cutting and tearing of roots encourages new growth. The effect is the
same as pruning a hedge to promote faster, thicker, and stronger regrowth. Roots removed by
auguring are normally just a small fraction of the roots inside the pipe. To augment the cutting
and auguring methods, there are products available commercially that will kill the roots inside the
pipe without harming the tree. The use of products such as copper sulfate and sodium hydroxide
are not recommended because of negative environmental impacts on the downstream receiving
water. Also, these products may kill the roots but they do not inhibit regrowth.

The more modern method used throughout Canada and the United States for controlling root
growth involves the use of an herbicide mixed with water and a foaming agent. The foam mixture
is pumped into the sewer pipe to kill any roots that come into contact with the mixture. New root
growth will be inhibited from three to five years after the treatment, according to the
manufacturers.

FlexKid is an accessory for Ripper tools designed to clear roots and other blockages from sewer
pipes. The unit readily passes through pipes and around or over typical obstructions like offset
joints, hand taps and debris. Available for pipes 18 inches and larger, it features durable cable
and easy attachment to the rear of any root-cutting motor. It is designed for quick setup and quick
size changes in field. No underground (in-manhole) assembly is required, and no manhole
modification is necessary.

The Knocker is a chain cleaner designed to use in conjunction with The Ripper. The Ripper
positions The Knocker's chain-knocking action in the center of the pipe and keeps the chain from
hanging up on offsets and hand-taps. The Ripper follows up by removing loose debris - leaving
pipes cleaner than any other sewer cleaning tool - period.

Courtesy of DML, LLC

419 Colford Avenue
West Chicago, Il 60185
Phone (630) 293-3653
rootripper@ameritech.net

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Smoking out Sewer Leaks
An overview of smoke testing, an important part of successful I & I studies.
By Paul Tashian, Superior Signal Company, Inc.

Used extensively for over 40 years, smoke testing has proven to be a vital ingredient of
successful inflow and infiltration (I&I) studies. It is as important now as it has ever been,
as growing municipalities increase demands on aging, often deteriorating collection
systems. In addition, programs such as the EPA’s new CMOM (capacity, management,
operations, and maintenance) emphasize a focus on proactive, preventive maintenance
practices. Smoke testing is an effective method of documenting sources of inflow and
should be part of any CMOM program.

Just as a doctor would require the aid of

several instruments to evaluate the status
of one’s health, various test methods
should be used in performing a complete
sanitary sewer evaluation survey (SSES).
In addition to smoke testing, these could
include dyed water testing, manhole
inspection, TV inspection, flow monitoring,
and more. Specializing in sanitary sewer
evaluation surveys, Wade & Associates of
Lawrence Kansas states a reduction of 30
to 50% in peak flows can be expected as a
result of implementing these types of
programs.

Smoke testing is a relatively simple process, which consists of blowing smoke mixed with
larger volumes of air into the sanitary sewer line, usually induced through the manhole.
The smoke travels the path of least resistance and quickly shows up at sites that allow
surface water inflow. Smoke will identify broken manholes, illegal connections (including
roof drains, sump pumps, yard drains and more), uncapped lines, and will even shows
cracked mains and laterals providing there is a passageway for the smoke to travel to the
surface.

Although video inspection and other techniques are certainly important components of an
I&I survey, research has shown that approximately 65% of all extraneous stormwater
inflow enters the system from somewhere other than the main line (see private sector
diagram). Smoke testing is an excellent method of inspecting both the mainlines, laterals
and more. Smoke travels throughout the system, identifying problems in all connected
lines, even sections of line that were not known to exist, or thought to be independent or
unconnected. Best results are obtained during dry weather, which allows smoke better
opportunity to travel to the surface.

Necessary Equipment
Blowers; Most engineering specifications for smoke testing identify the use of a blower
able to provide 1750 cfm (cubic feet of air per minute), however in today’s world it seems
to be the mindset that bigger is better. New smoke blowers on the market can deliver over
3000 cfm, but is this really needed? Once the manhole area is filled, the smoke only
needs to travel sections of generally 8 or 10-inch pipe.
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Moving the air very quickly is useless if the blower does not have the static pressure to
push that air/smoke through the lines. If you’ve used high CFM blowers and found that
smoke frequently backs up to the surface, this may be your problem.

Blowers
There are two types of blowers available for smoke testing sewers: squirrel cage and direct
drive propeller. In general, squirrel cage blowers are usually larger in size, but can provide
more static pressure in relation to CFM. The output of the squirrel cage type is usually
adjustable by alternating pulleys and belts to meet the demands of the job. Propeller style
blowers are usually more compact and generally offer approx. 3,200 CFM. Other than
reducing the engine throttle, the output is not adjustable since the fan blade is attached
directly to the engine shaft. If purchasing a smoke blower you should ask the manufacturer
if the CFM and static pressure output they are quoting is the specification of the propeller
itself (uninstalled/free air), or if it is the actual performance when installed in the blower
assembly. These two numbers can vary significantly.

Smoke Types; There are two types of

smoke currently offered for smoke
testing sewers, classic smoke candles
and smoke fluids.

Smoke candles were first used for

testing sewers when the process
began its popularity back in 1961, and
continue to be the most widely used.
They are used by simply placing a
smoke candle on the fresh air intake
side of the blower. Once ignited, the
exiting smoke is drawn in with the
fresh air and blown down into the
manhole and throughout the system. Smoke candles are available in various sizes that
can be used singularly or in combination to meet any need. This type of smoke is
formed by a chemical reaction, creating a smoke which contains a high content of
atmospheric moisture. It is very visible even at low concentrations, and extremely
effective at finding leaks.

Another available source of smoke is a smoke fluid system. Although they have just
recently been more aggressively marketed, smoke fluids became available for sewer
testing shortly after smoke candles, some 30 years ago. They can certainly be used
effectively, but it is important to understand how they work. This system involves injecting
a smoke fluid (usually a petroleum based product) into the hot exhaust stream of the
engine where it is heated within the muffler (or heating chamber) and exhausted into the
air intake side of the blower. One gallon of smoke fluid is generally less expensive than
one dozen smoke candles, however smoke fluids do not consistently provide the same
quality of smoke. When using smoke fluid, it is important to understand that as fluid is
injected into the heating chamber (or muffler) it immediately begins to cool the unit. The
heating chamber will eventually reach a point where it is not hot enough to completely
convert all the fluid to smoke, thus creating thin/wet smoke. This can actually happen
quickly, depending on the rate of fluid flow. If the smoke has become thin it can be
especially difficult to see at greater distances.
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Blocking off sections of line is usually a good idea with any type of smoke, but becomes
almost a necessity when using smoke fluid. Some manufactures have taken steps to
address this issue, and now offer better flow control, fluid distribution, and most importantly
insulated heating chambers to help maintain necessary temperatures.

Safety; Maybe one of the more talked about, yet least understood aspects of smoke
testing is the use and safety of these products. As manufacturers have become more
competitive, some marketing programs and advertisements have implied danger in the
use of competitive types of smoke products. Laboratory reports, scientific studies, and
even Material Safety Data Sheets can be quite confusing to most of us who are not trained
or qualified to make scientific judgments on this data. Having this information delivered to
us in the form of advertising can be dangerous, as most of us tend to believe what we
read.

An author of an associated industry publication once stated… “Do not use smoke bombs,
as they give off a toxic gas”. Although the author quotes no scientific literature to support
this statement, competitive propaganda has made such implications. It is interesting to
note that the same exact statement could be made for smoke fluids. Smoke from fluid is
created in the exhaust system of the engine, which contains carbon monoxide. Is carbon
monoxide not a toxic gas?

Other statements that have been made include warnings to wear a respirator while smoke
testing. While certain manufacturers have issued this warning about competitive products,
they do not qualify the statement, nor do they mention the fact that the same thing could
be said of their own product. The fact is that a respirator should be worn whenever a
person would be exposed to ANY substance in quantities that exceeded OSHA limits. The
bottom line on safety is that it is important to use common sense. All smokes, candles,
and fluids can be used safely and effectively when used as directed. When planning to
smoke test, it is important to develop a proactive public notice program. Ads in local
papers, door hangers, mailers, as well as door to door inquiries are recommended. It is
helpful to educate the public as to why the test is being performed and the positive benefits
to the community. In addition, it should instruct residents on what to do and who to call if
smoke should enter their homes. It is also important to notify local police and fire
departments daily, as to where and when smoke testing will be taking place. Reducing
stormwater inflow into collection systems means reduced chances of overflows, less
emergency maintenance and less money spent on treatment. If these are goals of your
organization, consider smoke testing as a fairly easy, inexpensive, and effective way of
achieving your objectives.

Paul Tashian is employed by Superior Signal Company Inc., a manufacturer of all

types of smoke testing equipment, and a major contributor to the original
development of smoke testing practices. Paul can be reached at (732) 251-0800,
or ptashian@superiorsignal.com. Also, thanks to Wade & Associates (a company
specializing in sanitary sewer evaluation surveys) for offering reference material,
and providing artwork and photographs used in this article. For information on
Wade’s services call (785) 841-1774, or visit www.wadeinc.com.

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More on Manholes
When designing a wastewater system, the design engineer begins by first determining the
types and quantities of sewage to be handled. This is accomplished through a careful
study of the area to be served. The design engineer bases his design on the average daily
use of water per person in the area to be served. A typical value is 100 gallons per person
per day. But, the use of water is not constant.

Use is greater in the summer than in

the winter and greater during the
morning and evening than it is in the
middle of the day or at night.
Therefore, the average daily flow
(based on the average utilization) is
multiplied by a peak flow factor to
obtain the design flow.

Typical peak flow factors range from

4 to 6 for small areas down to 1.5 to
2.5 for larger areas. An allowance for
unavoidable infiltration of surface and
subsurface water into the lines is sometimes added to the peak flow to obtain the design
flow. A typical infiltration allowance is 500 gallons per inch of pipe diameter per mile of
sewer per day. From the types of sewage and the estimated design flow, the engineer
can then tentatively select the types, sizes, slopes, and distances below grade of the
piping to be used for the system.

Upon acceptance of the preliminary designs, final design may begin. During this phase,
adjustments to the preliminary design should be made as necessary, based upon
additional surveys, soil analysis, or other design factors. The final designs should include
a general map of the area that shows the locations of all sewer lines and structures.

They also should include detailed plans and profiles of the sewers showing ground
elevations, pipe sizes and slopes, and the locations of any appurtenances and structures,
such as manholes and lift stations.

Construction plans and details are also included

for those appurtenances and structures.

Newly finished Manhole and Laterals.

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Lead and Oakum Joint, Compression Joint and No-Hub Joints— These types of joints
are used to connect cast-iron soil pipes (CISP) and fittings. In lead and oakum joints,
oakum (made of hemp impregnated with bituminous compound and loosely twisted or
spun into a rope or yarn) is packed into the hub completely around the joint, and melted
lead is poured over it.

In compression joints, an assembly tool is used to force the spigot end of the pipe or fitting
into the lubricated gasket inside the hub. A no-hub joint uses a gasket on the end of one
pipe and a stainless steel shield and clamp assembly on the end of the other pipe.

Mortar or Bituminous Joints — This type of joint is common to vitrified clay and concrete
pipes and fittings. Mortar joints may be made of grout (a mixture of cement, sand, and
water).

The use of SPEED SEAL JOINTS (rubber rings) in joining vitrified clay pipe has become
widespread. Speed seal joints eliminate the use of oakum and mortar joints for sewer
mains. This type of seal is made a part of the vitrified pipe joint when manufactured. It is
made of polyvinyl chloride and is called a plastisol joint connection

Smoke Testing is accomplished by forcing a non-toxic smoke into the sewer system
and looking for locations where it is improperly exiting.

These locations are considered illegal connections in that they allow stormwater directly
or indirectly to enter the sanitary sewer system.

Typical illegal connections found are roof drains tied directly into the system, abandoned
customer sewer lines that were not properly capped, as well as an occasional broken
sewer line.
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 Raising the Ring, jackhammer, install the crown, patch the street.

Looking down inside the manhole.

Camel or Vactor Truck.

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The sewer vacuum truck utilizes both a high pressure stream of water and a vacuum
system to clean and remove built up debris from sewer lines. These versatile vehicles are
also used to clean lift station wet wells, stormwater catch basins, and to perform
excavations to locate broken water or sewer lines. It reduces repair times and costs by
over 50%.

Various Jetter or hydraulic cleaning attachments.

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A remotely controlled TV camera on the left is utilized by crews to identify and video tape
problem areas within the system. By using this equipment, operators can determine what
the cause of the problem is, what materials will be needed for repair, and where the
problem area is. Repairs can be made quickly without digging up large areas to find and
correct a problem, as was done in the past. There are many reasons for inspecting sewer
lines with a closed circuit television (CCTV). All of the following are valid reasons; locating
sources of inflow and infiltration, locating buried manholes, and locating illegal sewer taps
such as industrial or storm drains.

The Televising Van should be equipped with two cameras, one color camera for televising
main sanitary lines and one color or black & white camera for televising house services
(connection from the main sanitary line to a house).

Root intrusion

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Let’s see what is going on here. See the ladder on top photograph. See the
collection crew under the steel plate and no shoring or trench protection. It looks
like the plate is falling in. Another death trap for the uneducated collection worker.

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Low Pressure System Description and Operation
Vacuum Sewers
Wastewater from one or more homes flows by gravity to a holding tank known as the valve
pit. When the wastewater level reaches a certain level, sensors within the holding tank
open a vacuum valve that allows the contents of the tank to be sucked into the network of
collection piping. There are no manholes with a vacuum system; instead, access can be
obtained at each valve pit. The vacuum or draw within the system is created at a vacuum
station. Vacuum stations are small buildings that house a large storage tank and a system
of vacuum pumps.

Vacuum sewer systems are limited to an extent by elevation changes of the land. Rolling
terrain with small elevation changes can be accommodated, yet steep terrain would
require the addition of lift stations like those used for conventional sewer systems. It is
generally recommended that there be at least 75 properties per pump station for the use
of a vacuum sewer system to be cost effective.

This minimum property requirement tends to make vacuum sewers most conducive for
small communities with a relatively high density of properties per acre. The maintenance
and operation of this system requires a full-time system operator with the necessary
training. This can make the operation and maintenance costs of vacuum sewers exceed
those of other systems.

Applications
Vacuum collection and transportation systems can provide significant capital and ongoing
operating cost advantages over conventional gravity systems, particularly in flat terrain,
high water table, or hard rock areas. Vacuum sewer systems are installed at shallow
depths, significantly reducing excavation, shoring and restoration requirements, and
minimizing the disruption to the community. The alignment of vacuum mains is extremely
flexible, without the need for manholes at changes in grade or direction.

Vacuum sewer mains can skip over and around other services or obstacles and can be
used to achieve uphill flow. Turbulent velocities of 5 to 6m/sec are developed as the
sewage and air passes through the interface valve. This disintegrates solids and reduces
the risks of sewer blockages in a correctly designed and constructed vacuum system.

No electricity is required at the interface valve, enabling the system to be installed in

virtually any location. Fractures in gravity systems may go undetected for a long time. A
leak in a vacuum main will raise an alarm within minutes of the break. The mains have to
be repaired for sewage transport to continue, ensuring up to date maintenance and
eliminating deterioration and infiltration.

Due to the shallow depth of the installation, additional connections can be quickly and
simply made by a small construction crew, thus reducing the disruption and restoration
work normally required for conventional gravity sewers. Vacuum collection and transport
systems have many applications in industry for collecting all forms of liquid waste,
including toxic and radioactive fluids. Collection pipes may be installed above ground,
overhead or in utility ducts.

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The versatility of the vacuum sewer system can be employed in a variety of locations and
situations, such as:
 Rural community sewerage schemes.
 Industrial redevelopments.
 Camping and caravan sites.
 New residential and industrial developments.
 Existing towns (especially where narrow streets or congested service corridors
occur).
 Diversion of small sea outfalls.
 Hospital effluent collection.
 Airports/Shopping centers.
 Railway services.
 Replacement of failed gravity systems.
 Petrol-chemical industry.
 Food processing plants.
 Roof drainage.
 Retrofitting factories for the management of
segregated wastestreams.
 Collection of toxic and radioactive waste.
 Condensate collection systems.
 Factory sewerage.
 Leachate from landfills.
 Spillage around tank farms.
 Collecting used oil and fluids.
 River and lakeside communities.
 Quayside redevelopments.
 Arctic communities.

Vacuum Interface Valves

There is an interface between the vacuum within the vacuum mains and maintains the
atmospheric pressure within the vacuum interface chamber. When sewage is entering the
system from a source and the sewage level in the chamber rises, it pressurizes air in the
2.5-inch or 63mm sensor line. This air pressure is transmitted by a hose to the
controller/sensor unit, which opens the valve and the wastewater is rapidly drawn into the
vacuum main. Ale suction of the sewer creates a vortex in the sump and air is drawn into
the sewer with the sewage.

As the valve opens, a pneumatic timer in the controller/sensor unit starts a pre-set time
cycle. The timer holds the valve open for sufficient time to draw all the sewage out of the
sump and allows a designated amount of air to enter the system. The interface valve is
capable of serving at least four equivalent tenements, and multiple valve chambers may
be installed to serve higher flow rates. No electricity is required at the valve chamber. The
vacuum valve is automatically operated by the pressure generated with the rising sewage
level and the pneumatic timer, and actuated by the vacuum in the sewer.

Differential air pressure is the driving force in vacuum sewer systems. The vacuum sewer
lines are under a vacuum of 16"-20" Hg (-0.5 to -0.7 bar) created by vacuum pumps
located at the vacuum station. The pressure differential between the atmospheric pressure
and the vacuum in the sewer lines of 7 to 10 psi (0.5 - 0.7 bar) provides the energy required

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to open the vacuum interface valves and to transport the sewage. Sewage flows by gravity
from homes into a collection sump.

When 10 gallons (40 liters) accumulates in the sump, the vacuum interface valve located
above the sump automatically opens and differential air pressure propels the sewage
through the valve and into the vacuum main. Sewage flows through the vacuum lines and
into the collection tank at the vacuum station. Sewage pumps transfer the sewage from
the collection tank to the wastewater treatment facility or nearby gravity manhole. There
are no electrical connections required at the home. Power is necessary only at the
vacuum station.

Valve Pit Package

The Valve Pit Package connects the homes to the vacuum sewer system. Raw sewage
flows by gravity from up to four homes into a sealed fiberglass sump. Located above the
sewage sump and surrounded by a fiberglass valve pit is a 3" (90 mm) vacuum interface
valve, which is pneumatically controlled and operated. Vacuum from the sewer line opens
the valve and outside air from a breather pipe closes it.

Sewage level sensing is remarkably simple. As the sewage level rises, air trapped in the
empty 2" (50 mm) diameter sensor pipe pushes on a diaphragm in the valve's
controller/sensor unit, signaling the valve to open. When ten gallons of sewage
accumulates in the sump the valve automatically opens. The differential air pressure
propels the sewage at velocities of 15-18 feet per second (4.5 - 5.5 m/s), disintegrating
solids while being transported to the vacuum station. The valve stays open for four to six
seconds during this cycle. Atmospheric air used for transport enters through the 4" (100
mm) screened air intake on the gravity line. There are no odors at this air inlet due to the
small volumes of sewage (10 gallons - 40 liters) and short detention times in the sump.
The valve is 3" and designed for handling nominal 3" (75 mm) solids. Homes connected
to vacuum sewers don't require any special plumbing fixtures. Typically one valve pit
package serves two homes. Install the valve pit package in the street, if desired. With the
optional traffic cast iron cover the valve pit package has a water loading rating.

Vacuum Lines
Vacuum sewer lines are installed in narrow trenches in a saw tooth profile for grade and
uphill transport. Vacuum lines follow grade for downhill transport. Vacuum lines are slightly
sloped (0.2%) towards the collection station. Unlike gravity sewers that must be laid at a
minimum slope to obtain a 2 ft./sec. (0.6 m/s) scouring velocity, vacuum has a flatter slope
since a high scouring velocity is a feature of vacuum sewage transport.

Line Sizes
The vacuum service line from the valve to the main in the street is 3" diameter (90 mm).
The vacuum mains are 4", 6", 8" and 10" diameter (110 mm to 250 mm) schedule 40 or
SDR 21 gasketed PVC pipe. PE pipe can also be used. In general, a potential vacuum
loss is associated with every lift. This limits the length of each vacuum line to about 2 to 3
miles (3 to 5 km) in flat terrain. Elevation changes can extend or reduce this range. Longer
distances are possible depending on local topography.

Vacuum Station
The vacuum station is similar in function to a lift station in a gravity sewer system.

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Sewage pumps transfer the sewage from the collection tank, through a force main, to the
treatment plant. Unlike a lift station, the vacuum station has two vacuum pumps that create
vacuum in the sewer lines and an enclosed collection tank.

Vacuum Pumps
The vacuum pumps maintain the system vacuum in the 16" to 20" mercury vacuum (-0.5
to -0.7 bar) operating range. Vacuum pumps typically run 2 to 3 hours each per day (4 to
6 hours total) and don't need to run continuously since the vacuum interface valves are
normally closed. As sewage enters the system, driven by air at atmospheric pressure, the
system vacuum will slowly decrease from 20" to 16" Hg. The vacuum pumps are sized to
increase the system vacuum from 16" to 20" Hg in three minutes or less.

Typical vacuum pump sizes are 10, 15, and 25 horsepower (7.5, 11 and 18.6 kw). Busch
rotary vane vacuum pumps are standard. The two non-clog sewage pumps are each sized
for peak flow. The collection tank is steel or fiberglass and is sized according to flow, with
typical sizes ranging from 1,000 to 4,000 gallons (3.8 to 15 cubic meters). The incoming
vacuum lines connect individually to the collection tank, effectively dividing the system into
zones. A stand-by generator keeps the vacuum sewer system in operation during
extended power outages. An automatic telephone dialer alerts the operator to alarm
conditions.

Review
Pressure Sewers
Instead of relying on gravity, pressure sewers utilize the force supplied by pumps, which
deliver the wastewater to the system from each property. Since pressure sewers do not
rely on gravity, the system’s network of piping can be laid in very shallow trenches that
follow the contour of the land.

There are two kinds of pressure sewer systems, based upon the type of pump used to
provide the pressure. Systems that use a septic tank/effluent pump combination are
referred to as STEP pressure sewers. Like the small diameter gravity system, STEP
pressure sewers utilize septic tanks to settle out the solids; this allows for the use of piping
that is extremely narrow in diameter. The effluent pump delivers the wastewater to the
sewer pipes and provides the necessary pressure to move it through the system. The
other type of pressure sewer uses a grinder pump.

Wastewater from each property goes to a tank containing a pump with grinder blades that
shred the solids into tiny particles. Both solids and liquids are then pumped into the sewer
system. Because the effluent contains a mixture of solids as well as liquids, the diameter
of the pipes must be slightly larger. However, grinder pumps eliminate the need to
periodically pump the septic tanks for all the properties connected to the system.

Both the STEP and grinder systems are installed with high water alarms. Because of the
addition of the pumps, pressure sewers tend to require more operation and maintenance
than small diameter gravity sewers. Operators can usually be hired on a part time basis,
as long as someone is on call at all times. Operators will need training on both the
plumbing and electrical aspects of the system.

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Sewer Line Mapping
The importance of maintaining accurate, current maps of the collection system cannot be
overstated. Efficient collection system maintenance and repairs are unlikely if mapping is
not adequate. Collection system maps should clearly indicate the information that
personnel need to carry out their assignments. The collection system maps should contain
information on the following:
• Main, trunk and interceptor sewers
• Building/house laterals
• Manholes
• Cleanouts
• Force mains
• Pump stations
• Service area boundaries
• Other landmarks (roads, water bodies,
etc.)

Collection system maps should have a

numbering system which uniquely
identifies all manholes and sewer
cleanouts. The system should be
simple and easy to understand.
Manholes and sewer cleanouts should
have permanently assigned numbers
and never be renumbered. Maps should also indicate the property served and reference
its cleanout.

Sewer line maps should indicate the diameter, the length between the centers of
manholes, and the slope or direction of flow. The dimensions of easements and property
lines should be included on the maps. Other information that should be included on maps
are access and overflow points, a scale, and a north arrow. All maps should have the date
the map was drafted and the date of the last revision. Although optional, maps often
include materials of pipe construction. Maps may come in different sizes and scales to be
used for different purposes. Detailed local maps may be used by maintenance or repair
crews to perform the duties. However, these detailed local maps should be keyed to one
overall map that shows the entire system.

Geographic Information System (GIS)

GIS technology has made the mapping and map updating process considerably more
efficient. GIS is a computerized mapping program capable of combining mapping with
detailed information about the physical structures within the collection system. If a GIS
program is being used by the owner or operator, the reviewer should ask if the program is
capable of accepting information from the owner or operator’s management program.

Specific procedures should be established for correction of errors and updating maps and
drawings. Field personnel should be properly trained to recognize discrepancies between
field conditions and map data and record changes necessary to correct the existing
mapping system. Reviewers should check to see that maps and plans are available to the
personnel in the office and to field personnel or contractors involved in all engineering
endeavors.
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 Key Design Characteristics
• Line locations, grades, depths, and capacities
• Maximum manhole spacing and size
• Minimum pipe size
• Pumping Station dimensions and capacities
• Drop manholes
• Flow velocities and calculations (peak flow and low-flow)
• Accessibility features
• Other technical specifications (e.g., materials, equipment)

New Sewer Construction

The owner or operator should maintain strict control over the introduction of flows into the system
from new construction. New construction may be public (i.e., an expansion of the collection
system) or private (i.e., a developer constructing sewers for a new development). Quality sanitary
sewer designs keep costs and problems associated with operations, maintenance, and
construction to a minimum. Design flaws are difficult to correct once construction is complete. The
reviewer should be aware that this has historically not been adequately addressed in some
collection systems. The owner or operator should have standards for new construction,
procedures for reviewing designs and protocols for inspection, start-up, testing, and approval of
new construction. The procedures should provide documentation of all activities, especially
inspection.

Reviewers should examine construction inspection records and be able to answer the following:

• Does the volume of records seem reasonable given system size?

• Do records reflect that the public works inspectors are complying with procedures?

The state or other regulatory authority may also maintain standards for new construction. The
standards held by the owner or operator should be at least as stringent. Start-up and testing
should be in accordance with the manufacturers’ recommendations where applicable, and with
recognized industry practices. Each step of the review, start-up, testing, and approval procedures
should be documented.

The owner or operator approval procedure should reflect future ease of maintenance concerns.
After construction is complete, a procedure for construction testing and inspection should be
used. Construction supervision should be provided by qualified personnel such as a registered
professional engineer.

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Collection Systems O&M Section Review
Sewer Cleaning and Inspection
As sewer system networks age, the risk of deterioration, blockages, and collapses becomes a
major concern. As a result, municipalities worldwide are taking proactive measures to improve
performance levels of their sewer systems.

Cleaning and inspecting sewer lines are essential to maintaining a properly functioning system;
these activities further a community’s reinvestment into its wastewater infrastructure.

Inspection Techniques
Inspection programs are required to determine current sewer conditions and to aid in planning a
maintenance strategy. Ideally, sewer line inspections need to take place during low flow
conditions. If the flow conditions can potentially overtop the camera, then the inspection should
be performed during low flow times between midnight and 5 AM, or the sewer lines can be
temporarily plugged to reduce the flow.

Most sewer lines are inspected using one or more of the following techniques:
• Closed-circuit television (CCTV).
• Cameras.
• Visual inspection.
• Lamping inspection.

Television (TV) inspections are the most frequently used most cost efficient in the long term, and
most effective method to inspect the internal condition of a sewer. CCTV inspections are
recommended for sewer lines with diameters of 0.1-1.2 m (4 - 48 inches.) The CCTV camera
must be assembled to keep the lens as close as possible to the center of the pipe. In larger
sewers, the camera and lights are attached to a raft, which is floated through the sewer from one
manhole to the next. To see details of the sewer walls, the camera and lights swivel both vertically
and horizontally.

In smaller sewers, the cable and camera are attached to a sled, to which a parachute or droge is
attached and floated from one manhole to the next. Documentation of inspections is very critical
to a successful operation and maintenance (O&M) program. CCTV inspections produce a video
record of the inspection that can be used for future reference. In larger sewers where the surface
access points are more than 300 m (1000 linear feet) apart, camera inspections are commonly
performed. This technique involves a raft-mounted film camera and strobe light. This method
requires less power than the CCTV, so the power cable is smaller and more manageable.
Inspections using a camera are documented on Polaroid or digital still (computer jpeg)
photographs that are referenced in a log book according to date, time, and location.

Visual inspections are vital in fully understanding the condition of a sewer system. Visual
inspections of manholes and pipelines are comprised of surface and internal inspections.
Operators should pay specific attention to sunken areas in the groundcover above a sewer line
and areas with ponding water. In addition, inspectors should thoroughly check the physical
conditions of stream crossings, the conditions of manhole frames and covers or any exposed
brickwork, and the visibility of manholes and other structures. For large sewer lines, a walk-
through or internal inspection is recommended. This inspection requires the operator to enter a
manhole, the channel, and the pipeline, and assess the condition of the manhole frame, cover,
and chimney, and the sewer walls above the flow line.

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When entering a manhole or sewer line, it is very important to observe the latest Occupational
Safety and Health Administration confined space regulations. If entering the manhole is not
feasible, mirrors can be used. Mirrors are usually placed at two adjacent manholes to reflect the
interior of the sewer line. Lamping inspections are commonly used in low priority pipes, which
tend to be pipes that are less than 20 years old.

Lamping is also commonly used on sewer projects where funds are extremely limited. In the
lamping technique, a camera is inserted and lowered into a maintenance hole and then positioned
at the center of the junction of a manhole frame and the sewer. Visual images of the pipe interior
are then recorded with the camera. Several specialized inspection techniques have been recently
developed worldwide. This includes: Light-line based and sonar-based equipment that measures
the internal cross-sectional profile of sewer systems.

Sonar technology could be very useful in inspecting depressed sewers (inverted siphons), where
the pipe is continually full of water under pressure. Melbourne Water and CSIRO Division of
Manufacturing Technology have introduced a new technology called PIRAT, which consists of an
in-pipe vehicle with a laser scanner. This instrument is capable of making a quantitative and
automatic assessment of sewer conditions. The geometric data that is gathered is then used to
recognize, identify, and rate defects found in the sewer lines.

Cleaning Techniques
To maintain its proper function, a sewer system needs a cleaning schedule. There are several
traditional cleaning techniques used to clear blockages and to act as preventative maintenance
tools. When cleaning sewer lines, local communities need to be aware of EPA regulations on solid
and hazardous waste as defined in 40 CFR 261. In order to comply with state guidelines on testing
and disposal of hazardous waste, check with the local authorities.

Hydraulic cleaning developments have also been emerging on the international frontier. France
and Germany have developed several innovative flushing systems using a ‘dam break’ concept.
France has developed a flushing system called the Hydrass. The design of the Hydrass consists
of a gate that pivots on a hinge to a near horizontal position. As the gate opens and releases a
flow, a flush wave is generated that subsequently washes out any deposited sediments. Germany
has also developed a similar system called GNA Hydroself®. This is a flushing system that
requires no electricity, no maintenance and no fresh water. The Hydroself® consists of a
hydraulically-operated gate and a concrete wall section constructed to store the flush water. This
system can be installed into a large diameter sewer.

There appears to be no limit on the flushing length, as more flush water may be stored without
incurring any additional construction or operating costs. Another example of such a technology is
seen in the Brussels Sewer System. A wagon with a flushing vane physically moves along the
sewer and disturbs the sediments so that they are transported with the sewer flow.

Although all of these methods have proven effective in maintaining sewer systems, the ideal
method of reducing and controlling the materials found in sewer lines is education and pollution
prevention. The public needs to be informed that common household substances such as grease
and oil need to be disposed in the garbage in closed containers, and not into the sewer lines. This
approach will not only minimize a homeowner’s plumbing problems, but will also help keep the
sewer lines clear.

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Technology Uses and Applications
Mechanical
Rodding
• Uses an engine and a drive unit with continuous rods or sectional rods.
• As blades rotate they break up grease deposits, cut roots, and loosen debris.
• Rodders also help thread the cables used for TV inspections and bucket machines.
• Most effective in lines up to 12 inches in diameter.

Bucket Machine
• Cylindrical device, closed on one end with 2 opposing hinged jaws at the other.
• Jaws open and scrape off the material and deposit it in the bucket.
• Partially removes large deposits of silt, sand, gravel, and some types of solid waste.

Hydraulic
Balling
• A threaded rubber cleaning ball that spins and scrubs the pipe interior as flow increases in
the sewer line.
• Removes deposits of settled inorganic material and grease build-up.
• Most effective in sewers ranging in size from 5-24 inches.

Flushing
• Introduces a heavy flow of water into the line at a manhole.
• Removes floatables and some sand and grit.
• Most effective when used in combination with other mechanical operations, such as rodding or
bucket machine cleaning.

Jetting
• Directs high velocities of water against pipe walls.
• Removes debris and grease build-up, clears blockages, and cuts roots within small diameter
pipes.
• Efficient for routine cleaning of small diameter, low flow sewers.

Technology Applications
Scooter
• Round, rubber-rimmed, hinged metal shield that is mounted on a steel framework on small
wheels. The shield works as a plug to build a head of water.
• Scours the inner walls of the pipe lines.
• Effective in removing heavy debris and cleaning grease from line.

Kites, Bags, and Poly Pigs

• Similar in function to the ball.
• Rigid rims on bag and kite induce a scouring action.
• Effective in moving accumulations of decayed debris and grease downstream.

Silt Traps
• Collect sediments at convenient locations.
• Must be emptied on a regular basis as part of the maintenance program.

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Grease Traps and Sand/Oil Interceptors
• The ultimate solution to grease build-up is to trap and remove it.
• These devices are required by some uniform building codes and/or sewer-use ordinances.
Typically sand/oil interceptors are required for automotive business discharge.
• Need to be thoroughly cleaned to function properly.
• Cleaning frequency varies from twice a month to once every 6 months, depending on the amount
of grease in the discharge.
• Need to educate restaurant and automobile businesses about the need to maintain these traps.

Chemicals
Before using these chemicals review the Material Safety Data Sheets (MSDS) and consult the
local authorities on the proper use of chemicals as per local ordinance and the proper disposal of
the chemicals used in the operation. If assistance or guidance is needed regarding the application
of certain chemicals, contact the U.S. EPA or state water pollution control agency.

• Used to control roots, grease, odors (H2S gas), concrete corrosion, rodents and insects.
• Root Control - longer lasting effects than power rodder (approximately 2-5 years).
• H2S gas - some common chemicals used are chlorine (Cl2), hydrogen peroxide (H2O2), pure
oxygen (O2), air, lime (Ca(OH2)), sodium hydroxide (NaOH), and iron salts.
• Grease and soap problems - some common chemicals used are bioacids, digester, enzymes,
bacteria cultures, catalysts, caustics, hydroxides, and neutralizers.
Source: Information provided by Arbour and Kerri, 1997 and Sharon, 1989.

Most cities that take advantage of this are able to determine that as the maintenance frequency
increased, there was an increase in system performance. Garland recommended 70 inspections
and maintenance activities for every 30 cleanings. Inspections are considered more important
because they help define and prevent future problems.

A study performed by the American Society of Civil Engineers reports that the most important
maintenance activities are cleaning and CCTV inspections. A maintenance plan attempts to
develop a strategy and priority for maintaining pipes based on several of the following factors:
• Problems- frequency and location; 80 percent of problems occur in 25 percent of the system
(Hardin and Messer, 1997).
• Age- older systems have a greater risk of deterioration than newly constructed sewers.
• Construction material- pipes constructed of materials that are susceptible to corrosion have a
greater potential of deterioration and potential collapse. Non-reinforced concrete pipes, brick
pipes, and asbestos cement pipes are examples of pipes susceptible to corrosion.
• Pipe diameter/volume conveyed- pipes that carry larger volumes take precedence over
pipes that carry a smaller volume.
• Location- pipes located on shallow slopes or in flood prone areas have a higher priority.
• Force main vs. gravity-force mains have a higher priority than gravity, size for size,
due to the complexity of the cleaning and repairs.
• Subsurface conditions- depth to groundwater, depth to bedrock, soil properties (classification,
strength, porosity, compressibility, frost susceptibility, erodibility, and pH).
• Corrosion potential- Hydrogen Sulfide (H2S) is responsible for corroding sewers, structures, and
equipment used in wastewater collection systems. The interior conditions of the pipes need to be
monitored and treatment needs to be implemented to prevent the growth of slime bacteria and
the production of H2S gases.

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Advantages and Disadvantages
The primary benefit of implementing a sewer maintenance program is the reduction of SSOs,
basement backups, and other releases of wastewater from the collection system due to
substandard sewer conditions. Improper handling of instruments and chemicals used in
inspecting and maintaining sewer lines may cause environmental harm.

Examples include:
• Improperly disposing of collected materials and chemicals from cleaning operations.
• Improperly handling chemical powdered dyes.
• Inadequately maintaining inspection devices.

Visual Inspection
In smaller sewers, the scope of problems detected is minimal because the only portion of the
sewer that can be seen in detail in near the manhole. Therefore, any definitive information on
cracks or other structural problems is unlikely. However, this method does provide information
needed to make decisions on rehabilitation.

Camera Inspection
When performing a camera inspection in a large diameter sewer, the inspection crew is essentially
taking photographs haphazardly, and as a result, the photographs tend to be less comprehensive.

Closed Circuit Television (CCTV)

This method requires late night inspection and as a result the TV operators are vulnerable to
lapses in concentration. CCTV inspections are also expensive and time consuming. The video
camera does not fit into the pipe and during the inspection it remains only in the maintenance
hole.

Lamping Inspection
As a result, only the first 10 feet of the pipe can be viewed or inspected using this method.
Source: Water Pollution Control Federation, 1989. Some instruments have a tendency to become
coated with petroleum based residues and if not handled properly they can become a fire hazard.

The following case study provide additional case study data for sewer cleaning methods.

Fairfax County, Virginia

The Fairfax County Sanitary Sewer System comprises over 3000 miles of sewer lines. As is the
case with its sewer rehabilitation program, the county’s sewer maintenance program also focuses
on inspection and cleaning of sanitary sewers, especially in older areas of the system.
Reorganization and streamlining of the sewer maintenance program, coupled with a renewed
emphasis on increasing productivity, has resulted in very significant reductions in sewer backups
and overflows during the past few years.

1998, there were a total of 49 such incidents including 25 sewer backups and 24 sewer overflows.
The sewer maintenance program consists of visual inspections, scheduled sewer cleanings
based on maintenance history, unscheduled sewer cleanings as determined by visual or closed
circuit television inspections, and follow-up practices to determine the cause of backups and
overflows.

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Visual inspections are carried out by using a mirror attached to a pole; however, use of portable
cameras has been recently introduced to enhance the effectiveness of visual inspections. Older
areas of the sewer system are inspected every two years; whereas, the inspection of relatively
new areas may be completed in 3 to 4 years. Cleaning is an important part of pipe maintenance.
Sewer line cleaning is prioritized based on the age of the pipe and the frequency of the problems
within it. Many cities use rodding and pressurized cleaning methods to maintain the pipes.

Bucket machines are rarely used because cleaning by this method tends to be time consuming.
Many cities use mechanical, rather than chemical, methods to remove grease and roots.
Introducing chemicals into the cleaning program may require hiring an expert crew, adopting a
new program, and instituting a detention time to ensure the chemicals’ effectiveness.

Sewer Cleaning Method Limitation

Balling, Jetting, Scooter: In general, these methods are only successful when necessary water
pressure or head is maintained without flooding basements or houses at low elevations.

Jetting - The main limitation of this technique is that cautions need to be used in areas with
basement fixtures and in steep-grade hill areas.

Balling - Balling cannot be used effectively in pipes with bad offset joints or protruding service
connections because the ball can become distorted.

Scooter - When cleaning larger lines, the manholes need to be designed to a larger size in order
to receive and retrieve the equipment. Otherwise, the scooter needs to be assembled in the
manhole. Caution also needs to be used in areas with basement fixtures and in steep-grade hill
areas.

Bucket Machine - This device has been known to damage sewers. The bucket machine cannot
be used when the line is completely plugged because this prevents the cable from being threaded
from one manhole to the next. Set-up of this equipment is time-consuming.

Flushing - This method is not very effective in removing heavy solids. Flushing does not remedy
this problem because it only achieves temporary movement of debris from one section to another
in the system.

High Velocity Cleaner - The efficiency and effectiveness of removing debris by this method
decreases as the cross-sectional areas of the pipe increase. Backups into residences have been
known to occur when this method has been used by inexperienced operators. Even experienced
operators require extra time to clear pipes of roots and grease.

Kite or Bag - When using this method, use caution in locations with basement fixtures and steep-
grade hill areas.

Rodding - Continuous rods are harder to retrieve and repair if broken and they are not useful in
lines with a diameter of greater than 300 mm (0.984 feet) because the rods have a tendency to
coil and bend. This device also does not effectively remove sand or grit, but may only loosen the
material to be flushed out at a later time. Source: U.S. EPA, 1993.

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Limitations of Sewer Cleaning Methods
• Sewer Cleaning and Stoppage Section- this section responds to customer complaints, pinpoints
problems within the lines, and clears all blockages.
• TV Section- this section locates defects and building sewer connections (also referred to as
taps) within the system.
• Preventive Maintenance Section- this section cleans and inspects the lines and also provides
for Quality Assurance and Quality Control (QA/QC).

Most of collection inspections use CCTV system. However, a large percent of the lines in the
worst and oldest sections of the system are inspected visually. Visual inspections are also used
in the most recently installed lines and manholes. The collection system will normally utilize a
variety of cleaning methods including jetting, high velocity cleaning, rodding, bucket machining,
and using stop trucks (sectional rods with an attached motor).

As part of a preventive maintenance approach, most collection system operators also have been
using combination trucks with both flush and vacuum systems. To control roots, most collection
system operators uses a vapor rooter eradication system which can ensure that no roots return
to the line for up to five years. The cleaning and inspection crews will usually consist of two
members to operate each of the combination trucks and TV trucks.

In recent years, new methodologies and accelerated programs have been developed to take
advantage of the information obtained from sewer line maintenance operations. Such programs
incorporate information gathered from various maintenance activities with basic sewer
evaluations to create a system that can remedy and prevent future malfunctions and failures more
effectively and efficiently.

Some cities have attempted to establish a program that would optimize existing maintenance
activities to reduce customer complaints, sanitary sewer overflows, time and money spent on
sewer blockages, and other reactive maintenance activities. Their plan is based on maintenance
frequencies, system performance, and maintenance costs over a period of time. This plan was
developed using Geographical Information System (GIS) and historical data to show areas of
complaints, back-ups, and general maintenance information for the area.

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Grease (FOG) Chapter 4

A grease interceptor commonly used in a commercial food service operations.

Most stoppages in the sewer are caused by grease. It is best to have a strong ordinance that
prevents restaurants from dumping grease into the system; also a process of back charging the
restaurants that do clog the sewers as payment for cleaning.

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Grease
If left unmanaged, grease can cause interference in wastewater collection, transmission, and
treatment systems. Blockages due to grease build-up are a common cause of sanitary sewer
overflows, and grease accumulation at treatment facilities can lead to pass-through of
contaminants. Proactive municipal governments have a grease ordinance which provides them
legal authority to require that grease generators have devices to catch the grease before it enters
the public wastewater system. These devices are often referred to as "grease traps."

Grease build-up inside a sewer causing interference with flow.

Proactive municipal governments also have in place an inspection and enforcement program to
ensure grease generators clean the traps on an appropriate schedule and in a proper manner.
Failure to do so incurs a penalty levied by the municipality, so there is incentive to correct
problems before they result in sanitary sewer overflows, interference, or pass-through. Proactive
municipalities often have public education programs to ensure non-commercial contributions of
grease to the wastewater system are minimized.

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Cooking Grease
Did you know that cooking grease is one of the major causes of residential sewer main clogs
resulting in sewer spills?

Cooking grease coats pipelines much like fatty foods clog human arteries. The grease clings to
the insides of the pipe, eventually causing blockage and potential sewer spills. By following a few
simple steps, you can help prevent costly sewer spills in the future.

 All cooking oil (this includes salad oil, frying oil and bacon fat) should be poured into an
old milk carton, frozen juice container, or other non-recyclable package, and disposed of
in the garbage.
 Dishes and pots that are coated with greasy leftovers, should be wiped clean with a
disposable towel prior to washing or placing in the dishwasher.
 Instead of placing fat trimmings from meat down the garbage disposal, place them in a
trash can.

Grease Trap
The trap prevents excess grease from getting into the sewer system from existing plumbing lines
within facilities. Traps are small and are usually installed inside a facility. Generally, they range in
size from 20 gallons per minute (gpm) to 50 gpm.

In-floor Grease trap being removed and replaced with a grease interceptor.

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Grease Interceptors
High-volume or new establishments use grease interceptors which are larger than the traps and
are installed underground, outside of a facility. Grease is actually "intercepted" in these concrete
or fiberglass tanks before it reaches the sewer main. Grease interceptors should be accessible
by three manhole covers, and a sample box. Interceptors and traps cause the flow of water to
slow down, allowing the grease to naturally float to the top of the tank for easy removal.

New fiberglass three compartment grease interceptor. You will need to fill the interceptor with water
before connecting it to the sewer main.

Plan Checks and Inspections

All plans for new commercial food establishments (including new construction remodels and
retrofits) should receive a plan review from the POTW. This review assures that appropriate
grease-removal equipment is installed during construction.

Grease Blockages
Shortly after sewer-spills caused by grease are reported or discovered, POTW inspectors or
Collection Inspectors investigate facilities within the immediate area. A determination needs to be
made as to which commercial facilities contributed to the blockage, and more in-depth inspections
are conducted at those facilities. Where appropriate, additional requirements and/or procedures
are put into place. When requirements are made for additional grease-removal equipment, the
facility is given a due date to comply. A Notice of Violation (NOV), with an administrative fee, is
issued once a facility has passed its final due date. Administrative hearings, permit revocation,
and ultimately, termination of sewer service may occur for those facilities that remain out of
compliance.

Regular Grease Inspection

Regular inspection and maintenance is essential to the proper operation of a grease removal
device. The local ordinance should require a minimum cleaning frequency of once every six
months. However, that frequency will increase depending on the capacity of the device, the
amount of grease in the wastewater, and the degree to which the facility has contributed to
blockages in the past.

Regular cleaning at the appropriate interval is necessary to maintain the rated efficiency of the
device. Equipment that is not regularly maintained puts the food service facility at risk of violating
the sewer use ordinance, and this may not be known until an overflow and violation have occurred.

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Most POTWs suggest businesses start with quarterly cleanings and should be done when 75
percent of the retention capacity of the unit is 75 percent full of accumulated grease. A large
measuring stick and/or a clear piece of conduit may be used to determine the depth of the grease
accumulation. You should require that restaurants contract with a licensed grease hauler to
remove it from the customer’s premises for appropriate disposal.

Choosing a Grease Hauler

When you speak to a restaurant owner, inform them that while selecting a grease hauler, be
aware that services and prices can vary. Minimum services should include:
• Complete pumping and cleaning of the interceptor and sample box, rather than just skimming
the grease layer.
• Deodorizing and thorough cleaning of affected areas, as necessary.
• Disposal/reclamation at an approved location.
• Notes concerning the condition of the interceptor
• Complete pumping and cleaning record.

The restaurant owner and grease hauler should agree on an adequate cleaning frequency to
avoid blockage of the line. Waste grease from a kitchen is recyclable for use in making soap,
animal feed, etc. Grease from a grease trap or interceptor may not be reused in this way. For
recyclable grease, some POTWs recommend that all facilities have waste grease containers with
tight fitting lids that are either secondarily contained or kept in a bermed area to protect floor drains
and storm drain inlets from spills.

Keeping up-to-date Records

Careful record keeping is one of the best ways to ensure that the grease removal device is being
cleaned and maintained on a regular basis. City codes and ordnances require records be
maintained for a minimum of three to five years.

Other Types of Devices

A grease trap may be approved in lieu of an interceptor for full service food service facilities only
in very limited circumstances when space is not available. Grease traps may also be approved
by the Industrial Pretreatment Program for facilities such as delicatessens and small bakeries that
produce small quantities of oil, grease, or fat. Refer to the International Plumbing Code for
requirements related to grease traps such as installation of flow-control devices, flow rates, and
other structural requirements.

Please Note: Flow restrictors are required for grease traps because they increase retention time
and efficiency. Automatic grease skimming devices collect small volumes of water and remove
grease into a side container at preset times each day. Usually, special approval from the Industrial
Pretreatment Staff or the POTW is required to install one of these devices in lieu of a grease
interceptor.

Magic Grease Eating “Bugs” and Bacterial Additives

Manufacturers of bacterial additives claim that their products remove grease and enhance the
performance of grease traps and interceptors. Such additives cannot be substituted for a grease
removal device, cleaning, regular inspection and maintenance. If a customer decides to use an
additive, they need to make sure the product you select is not an emulsifier, which simply keeps
grease in suspension temporarily and allows it to flow to the sewer system.

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Obtaining Necessary Permits - Fixture Unit Loading Calculation
• Building departments prefer in-ground installations that drain by gravity to the sanitary sewer.
Avoid pumps and other mechanical devices in your connection to the sewer if possible.
• The interceptor or grease trap needs to be properly sized (fixture unit loading) in accordance
with the International Plumbing Code, IAPMO, or local ordinance.

Chain Cutter
This tool is attached to the flush truck.
When water pressure is applied, the 3
chains at the head spin at tremendous
speeds. These spinning chains will cut
roots, grease build-up, and even a
protruding tap.

This is a sewer line (right) that has a large

amount of grease buildup that will be cut
out. Grease gets into the sewer line by
pouring grease left over from cooking,
down the kitchen sink.

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Underground grease interceptors are commonly used in commercial kitchens to collect fats, oils
and greases (FOG) before they enter a wastewater disposal system. Regulations are increasingly
mandating their use as an important step in improving municipal wastewater treatment plant
efficiency. Their use is also important in removing FOG from the waste stream of an onsite
wastewater system. This picture Show how the inflow waste inters the interceptor and how the
influent separates. FOG will float to the top while the heavier solids sink to the bottom. It is
important that the Interceptors are sized correctly. The most efficient way to deal with the solids
and collected FOG is to have them pumped out as needed. This will keep the FOG from entering
the sewer and keep odors under control.

Oil water separators are devices used to remove small amounts of oil and other petroleum
products from industrial wastewater and/or storm water systems. Oil/water separators are large
capacity underground cement vaults installed between a drain and the connecting sewer pipe.
Other brands, PSI for example, market steel single wall, double wall, and UL listed fiberglass
jacketed secondary containment construction models.

How they work as shown in the picture, the oily wastewater influent enters the inlet of the
separator. Water turbulence is stabilized by the first baffle and solids are settled and accumulated
as sludge in the bottom of the separator. As the wastewater flows to the second chamber located
at the center of the separator, oil droplets rise to the top of the water and are prevented from
exiting by a second baffle. Thus, solid sludge heavier than water can be collected and oil droplets
lighter than water can be accumulated on top of the wastewater and routed to a holding chamber
or tank.

Gravity oil/water separators are not designed to separate other products such as solvents,
detergents, or metals. Misuse of these systems can upset treatment plants, cause discharge
permit violations, increase sludge disposal costs and/or eliminate beneficial reuse of wastewater
or sludge.

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Some varieties of flumes are used in measuring water flow of a larger channel. When used to
measure the flow of water in open channels, a flume is defined as a specially shaped, fixed
hydraulic structure that under free-flow conditions forces flow to accelerate in such a manner
that the flow rate through the flume can be characterized by a level-to-flow relationship as
applied to a single head (level) measurement within the flume. Acceleration is accomplished
through a convergence of the sidewalls, a change in floor elevation, or a combination of the two.
Flow measurement flumes typically consist of a converging section, a throat section, and a
diverging section. Not all sections, however, need to be present. In the case of the Cutthroat
flume, the converging section directly joins the diverging section, resulting in a throat section of
no length (hence the term "Cutthroat"). Other flumes omit the diverging section (Montana and
HS / H / HL -flumes). Flumes offer distinct advantages over sharp-crested weirs:
 For the same control width, the head loss for a flume is about one-fourth of that needed
to operate a sharp-crested weir
 The velocity of approach is part of the calibration equations for flumes
 Unauthorized altering of the dimensions of constructed flumes is difficult (and therefore
unlikely)
 Most flume styles readily allow for the passage of sedimentation and floating debris –
reducing the time and effort associated with maintaining a flume installation
Styles of flow measurement flumes include: Cutthroat, HS / H / HL-type, Khafagi, Montana,
RBC, Palmer-Bowlus, Parshall, Trapezoidal, and Venturi Flume.

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Pumps and Lift Stations
Chapter 5

Lift Station: A facility in a sewer system consisting of a receiving chamber, pumping equipment,
and associated drive and control devices which collect and lift wastewater to a higher elevation
when the continuance of the sewer at reasonable slopes would involve excessive trench depths;
or that collects and raises wastewater through the use of force mains from areas too low to drain
into available sewers. There should not be an odor coming from a Lift Station.

Pumping Station: A relatively large sewage pumping installation designed not only to lift sewage
to a higher elevation, but also to convey it through force mains to gravity flow points located
relatively long distances from the pumping station.

Pumps at a temporary sewer manhole by-pass.

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Common Hydraulic Terms

Head
The height of a column or body of fluid above a given point expressed in linear units. Head is
often used to indicate gauge pressure. Pressure is equal to the height times the density of the
liquid.

Head, Friction
The head required to overcome the friction at the interior surface of a conductor and between fluid
particles in motion. It varies with flow, size, type, and conditions of conductors and fittings, and
the fluid characteristics.

Head, static
The height of a column or body of fluid above a given point.

Hydraulics
Engineering science pertaining to liquid pressure and flow.

Hydrokinetics
Engineering science pertaining to the energy of liquid flow and pressure.

Pascal's Law
A pressure applied to a confined fluid at rest is transmitted with equal intensity throughout the
fluid.

Pressure
The application of continuous force by one body upon another that it is touching; compression.
Force per unit area, usually expressed in pounds per square inch (Pascal or bar).

Pressure, Absolute
The pressure above zone absolute, i.e. the sum of atmospheric and gauge pressure. In vacuum
related work it is usually expressed in millimeters of mercury. (mmHg).

Pressure, Atmospheric
Pressure exerted by the atmosphere at any specific location. (Sea level pressure is approximately
14.7 pounds per square inch absolute, 1 bar = 14.5psi.)

Pressure, Gauge
Pressure differential above or below ambient atmospheric pressure.

Pressure, Static
The pressure in a fluid at rest.

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Collection Systems, Lift Station Summary
Wastewater lift stations are facilities designed to move wastewater from lower to higher elevation
through pipes. Key elements of lift stations include a wastewater receiving well (wet-well), often
equipped with a screen or grinding to remove coarse materials; pumps and piping with associated
valves; motors; a power supply system; an equipment control and alarm system; and an odor
control system and ventilation system.

Lift station equipment and systems are often installed in an enclosed structure. They can be
constructed on-site (custom-designed) or prefabricated. Lift station capacities range from 20
gallons per minute to more than 100,000 gallons per minute. Pre-fabricated lift stations generally
have capacities of up to 10,000 gallons per minute.

Centrifugal pumps are commonly used in lift stations. A trapped air column, or bubbler system,
that senses pressure and level is commonly used for pump station control. Other control
alternatives include electrodes placed at cut-off levels, floats, mechanical clutches, and floating
mercury switches. A more sophisticated control operation involves the use of variable speed
drives. Lift stations are typically provided with equipment for easy pump removal. Floor access
hatches or openings above the pump room and an overhead monorail beam, bridge crane, or
portable hoist are commonly used.

The two most common types of lift stations are the dry-pit or dry-well and submersible lift stations.
In dry-well lift stations, pumps and valves are housed in a pump room (dry pit or dry-well), that is
easily accessible. The wet-well is a separate chamber attached or located adjacent to the dry-
well (pump room) structure.

Submersible lift stations do not have a separate pump room; the lift station header piping,
associated valves, and flow meters are located in a separate dry vault at grade for easy access.
Submersible lift stations include sealed pumps that operate submerged in the wet-well. These are
removed to the surface periodically and reinstalled using guide rails and a hoist. A key advantage
of dry-well lift stations is that they allow easy access for routine visual inspection and
maintenance. In general, they are easier to repair than submersible pumps. An advantage of
submersible lift stations is that they typically cost less than dry-well stations and operate without
frequent pump maintenance.

Submersible lift stations do not usually include large aboveground structures and tend to blend in
with their surrounding environment in residential areas. They require less space and are easier
and less expensive to construct for wastewater flow capacities of 10,000gallons per minute or
less.

Applicability
Lift stations are used to move wastewater from lower to higher elevation, particularly where the
elevation of the source is not sufficient for gravity flow and/or when the use of gravity conveyance
will result in excessive excavation depths and high sewer construction costs.

Current Status
Lift stations are widely used in wastewater conveyance systems. Dry-well lift stations have been
used in the industry for many years. However, the current industry-wide trend is to replace drywell
lift stations of small and medium size (typically less than 6,350 gallons per minute with
submersible lift stations mainly because of lower costs, a smaller footprint, and simplified
operation and maintenance.

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Variable speed pumping is often used to optimize pump performance and minimize power use.
Several types of variable-speed pumping equipment are available, including variable voltage and
frequency drives, eddy current couplings, and mechanical variable-speed drives.

Variable-speed pumping can reduce the size and cost of the wetwell and allows the pumps to
operate at maximum efficiency under a variety of flow conditions. Because variable-speed
pumping allows lift station discharge to match inflow, only nominal wet-well storage volume is
required and the well water level is maintained at a near constant elevation. Variable-speed
pumping may allow a given flow range to be achieved with fewer pumps than a constant-speed
alternative.

Variable-speed stations also minimize the number of pump starts and stops, reducing mechanical
wear. Although there is significant energy saving potential for stations with large friction losses, it
may not justify the additional capital costs unless the cost of power is relatively high. Variable
speed equipment also requires more room within the lift station and may produce more noise and
heat than constant speed pumps.

Lift stations are complex facilities with many auxiliary systems. Therefore, they are less reliable
than gravity wastewater conveyance. However, lift station reliability can be significantly improved
by providing stand-by equipment (pumps and controls) and emergency power supply systems. In
addition, lift station reliability is improved by using non-clog pumps suitable for the particular
wastewater quality and by applying emergency alarm and automatic control systems.

Advantages
Lift stations are used to reduce the capital cost of sewer system construction. When gravity
sewers are installed in trenches deeper than 10 feet, the cost of sewer line installation increases
significantly because of the more complex and costly excavation equipment and trench shoring
techniques required. The size of the gravity sewer lines is dependent on the minimum pipe slope
and flow. Pumping wastewater can convey the same flow using smaller pipeline size at shallower
depth, and thereby, reducing pipeline costs.

Disadvantages
Compared to sewer lines where gravity drives wastewater flow, lift stations require a source of
electric power. If the power supply is interrupted, flow conveyance is discontinued and can result
in flooding upstream of the lift station, It can also interrupt the normal operation of the downstream
wastewater conveyance and treatment facilities. This limitation is typically addressed by providing
an emergency power supply.

Key disadvantages of lift stations include the high cost to construct and maintain and the potential
for odors and noise. Lift stations also require a significant amount of power, are sometimes
expensive to upgrade, and may create public concerns and negative public reaction. The low cost
of gravity wastewater conveyance and the higher costs of building, operating, and maintaining lift
stations means that wastewater pumping should be avoided, if possible and technically feasible.

Wastewater pumping can be eliminated or reduced by selecting alternative sewer routes or

extending a gravity sewer using direction drilling or other state-of-the-art deep excavation
methods. If such alternatives are viable, a cost benefit analysis can determine if a lift station is
the most viable choice.

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Design Criteria
Cost effective lift stations are designed to: (1) match pump capacity, type, and configuration with
wastewater quantity and quality; (2) provide reliable and uninterruptible operation; (3) allow for
easy operation and maintenance of the installed equipment; (4) accommodate future capacity
expansion; (5) avoid septic conditions and excessive release of odors in the collection system
and at the lift station; (6) minimize environmental and landscape impacts on the surrounding
residential and commercial developments; and (7) avoid flooding of the lift station and the
surrounding areas.

Wet-well
Wet-well design depends on the type of lift station configuration (submersible or dry-well) and the
type of pump controls (constant or variable speed). Wet-wells are typically designed large enough
to prevent rapid pump cycling but small enough to prevent a long detention time and associated
odor release.

Wet-well maximum detention time in constant speed pumps is typically 20 to 30 minutes. Use of
variable frequency drives for pump speed control allows wet-well detention time reduction to 5 to
15 minutes. The minimum recommended wet-well bottom slope is to 2:1 to allow self-cleaning
and minimum deposit of debris. Effective volume of the wet-well may include sewer pipelines,
especially when variable speed drives are used. Wet-wells should always hold some level of
sewage to minimize odor release. Bar screens or grinders are often installed in or upstream of
the wet-well to minimize pump clogging problems.

Wastewater Pump Introduction

The number of wastewater pumps and associated capacity should be selected to provide head
capacity characteristics that correspond as nearly as possible to wastewater quantity fluctuations.
This can be accomplished by preparing pump/pipeline system head-capacity curves showing all
conditions of head (elevation of a free surface of water) and capacity under which the pumps will
be required to operate.

The number of pumps to be installed in a lift station depends on the station capacity, the range of
flow and the regulations. In small stations, with maximum inflows of less than 700 gallons per
minute), two pumps are customarily installed, with each unit able to meet the maximum influent
rate. For larger lift stations, the size and number of pumps should be selected so that the range
of influent flow rates can be met without starting and stopping pumps too frequently and without
excessive wet-well storage.

Depending on the system, the pumps are designed to run at a reduced rate. The pumps may also
alternate to equalize wear and tear. Additional pumps may provide intermediate capacities better
matched to typical daily flows. An alternative option is to provide flow flexibility with variable speed
pumps.

For pump stations with high head-losses, the single pump flow approach is usually the most
suitable. Parallel pumping is not as effective for such stations because two pumps operating
together yield only slightly higher flows than one pump. If the peak flow is to be achieved with
multiple pumps in parallel, the lift station must be equipped with at least three pumps: two duty
pumps that together provide peak flow and one standby pump for emergency backup.

Parallel peak pumping is typically used in large lift stations with relatively flat system head curves.
Such curves allow multiple pumps to deliver substantially more flow than a single pump. The use
of multiple pumps in parallel provides more flexibility.

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Several types of centrifugal pumps are used in wastewater lift stations. In the straight-flow
centrifugal pumps, wastewater does not change direction as it passes through the pumps and
into the discharge pipe. These pumps are well suited for low-flow/high head conditions.

In angle-flow pumps, wastewater enters the impeller axially and passes through the volute casing
at 90 degrees to its original direction. This type of pump is appropriate for pumping against low or
moderate heads. Mixed flow pumps are most viable for pumping large quantities of wastewater
at low head. In these pumps, the outside diameter of the impeller is less than an ordinary
centrifugal pump, increasing flow volume.

Ventilation
Ventilation and heating are required if the lift station includes an area routinely entered by
personnel. Ventilation is particularly important to prevent the collection of toxic and/or explosive
gases. According to the Nation Fire Protection Association (NFPA) Section 820, all continuous
ventilation systems should be fitted with flow detection devices connected to alarm systems to
indicate ventilation system failure. Dry-well ventilation codes typically require six continuous air
changes per hour or 30 intermittent air changes per hour. Wet-wells typically require 12
continuous air changes per hour or 60 intermittent air changes per hour. Motor control center
(MCC) rooms should have a ventilation system adequate to provide six air changes per hour and
should be air conditioned to between 13 and 32 degrees Celsius (55 to 90 degrees F). If the
control room is combined with an MCC room, the temperature should not exceed 30 degrees C
or 85 degrees F. All other spaces should be designed for 12 air changes per hour. The minimum
temperature should be 13 degrees C (55 degrees F) whenever chemicals are stored or used.

Odor Control
Odor control is frequently required for lift stations. A relatively simple and widely used odor control
alternative is minimizing wet-well turbulence. More effective options include collection of odors
generated at the lift station and treating them in scrubbers or biofilters or the addition of odor
control chemicals to the sewer upstream of the lift station. Chemicals typically used for odor
control include chlorine, hydrogen peroxide, metal salts (ferric chloride and ferrous sulfate)
oxygen, air, and potassium permanganate. Chemicals should be closely monitored to avoid
affecting downstream treatment processes, such as extended aeration.

Power Supply
The reliability of power for the pump motor drives is a basic design consideration. Commonly used
methods of emergency power supply include electric power feed from two independent power
distribution lines; an on-site standby generator; an adequate portable generator with quick
connection; a stand-by engine driven pump; ready access to a suitable portable pumping unit and
appropriate connections; and availability of an adequate holding facility for wastewater storage
upstream of the lift station.

Performance
The overall performance of a lift station depends on the performance of the pumps. All pumps
have four common performance characteristics: capacity, head, power, and overall efficiency.
Capacity (flow rate) is the quantity of liquid pumped per unit of time, typically measured as gallons
per minute (gpm) or million gallons per day (mgd).

Head is the energy supplied to the wastewater per unit weight, typically expressed as feet of
water. Power is the energy consumed by a pump per unit time, typically measured as kilowatt-
hours. Overall efficiency is the ratio of useful hydraulic work performed to actual work input.
Efficiency reflects the pump relative power losses and is usually measured as a percentage of
applied power.
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Operation and Maintenance
Lift station operation is usually automated and does not require continuous on-site operator
presence. However, frequent inspections are recommended to ensure normal functioning and to
identify potential problems. Lift station inspection typically includes observation of pumps, motors
and drives for unusual noise, vibration, heating and leakage, check of pump suction and discharge
lines for valving arrangement and leakage, check of control panel switches for proper position,
monitoring of discharge pump rates and pump speed, and monitoring of the pump suction and
discharge pressure.

Weekly inspections are typically conducted, although the frequency really depends on the size of
the lift station. If a lift station is equipped with grinder bar screens to remove coarse materials from
the wastewater, these materials are collected in containers and disposed of to a sanitary landfill
site as needed. If the lift station has a scrubber system for odor control, chemicals are supplied
and replenished typically every three months. If chemicals are added for odor control ahead of
the lift station, the chemical feed stations should be inspected weekly and chemicals replenished
as needed.

The most labor-intensive task for lift stations is routine preventive maintenance. A well-planned
maintenance program for lift station pumps prevents unnecessary equipment wear and downtime.
Lift station operators must maintain an inventory of critical spare parts. The number of spare parts
in the inventory depends on the critical needs of the unit, the rate at which the part normally fails,
and the availability of the part. The operator should tabulate each pumping element in the system
and its recommended spare parts. This information is typically available from the operation and
maintenance manuals provided with the lift station.

Operating Costs
Lift station costs depend on many factors, including
(1) wastewater quality, quantity, and projections;
(2) zoning and land use planning of the area where the lift station will be located;
(3) alternatives for standby power sources;
(4) operation and maintenance needs and support;
(5) soil properties and underground conditions;
(6) required lift to the receiving (discharge) sewer line;
(7) the severity of impact of accidental sewage spill upon the local area; and
(8) the need for an odor control system.

These site and system specific factors must be examined and incorporated in preparing a lift
station cost estimate.

Construction Costs
The most important factors influencing cost are the design lift station capacity and the installed
pump power. Another cost factor is the lift station complexity. Factors which classify a lift station
as complex include two or more of the following:
(1) extent of excavation;
(2) congested site and/or restricted access;
(3) rock excavation;
(4) extensive dewatering requirements, such as cofferdams;
(5) site conflicts, including modification or removal of existing facilities;
(6) special foundations, including piling;
(7) dual power supply and on-site switch stations and emergency power generator; and
(8) high pumping heads (design heads in excess of 200 ft).
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Mechanical, electrical, and control equipment delivered to a pumping station construction site
typically account for 15 to 30 percent of total construction costs. Lift station construction has a
significant economy-of-scale. Typically, if the capacity of a lift station is increased 100 percent,
the construction cost would increase only 50 to 55 percent. An important consideration is that two
identical lift stations will cost 25 to 30 percent more than a single station of the same combined
capacity. Usually, complex lift stations cost two to three times more than more simple lift stations
with no construction complications.

Operation and Maintenance Costs

Lift station operation and maintenance costs include power, labor, maintenance, and chemicals
(if used for odor control). Usually, the costs for solids disposal are minimal, but are included if the
lift station is equipped with bar screens to remove coarse materials from the wastewater.
Typically, power costs account for 85 to 95 percent of the total operation and maintenance costs
and are directly proportional to the unit cost of power and the actual power used by the lift station
pumps. Labor costs average 1 to 2 percent of total costs. Annual maintenance costs vary,
depending on the complexity of the equipment and instrumentation.

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Hydraulic Principles Section
Definition: Hydraulics is a branch of engineering concerned mainly with moving liquids. The
term is applied commonly to the study of the mechanical properties of water, other liquids, and
even gases when the effects of compressibility are small. Hydraulics can be divided into two
areas, hydrostatics and hydrokinetics.

Hydraulics: The Engineering science pertaining to liquid pressure and flow.

The word hydraulics is based on the Greek word for water, and originally covered the study of
the physical behavior of water at rest and in motion. Use has broadened its meaning to include
the behavior of all liquids, although it is primarily concerned with the motion of liquids.
Hydraulics includes the manner in which liquids act in
tanks and pipes, deals with their properties, and
explores ways to take advantage of these properties.

Hydrostatics, the consideration of liquids at rest,

involves problems of buoyancy and flotation, pressure
on dams and submerged devices, and hydraulic
presses. The relative incompressibility of liquids is
one of its basic principles.

Hydrodynamics, the study of liquids in motion, is

concerned with such matters as friction and
turbulence generated in pipes by flowing liquids, the
flow of water over weirs and through nozzles, and the
use of hydraulic pressure in machinery.

Hydrostatics
Hydrostatics is about the pressures exerted by a fluid
at rest. Any fluid is meant, not just water. Research
and careful study on water yields many useful results
of its own, however, such as forces on dams,
buoyancy and hydraulic actuation, and is well worth
studying for such practical reasons.

Hydrostatics is an excellent example of deductive mathematical physics, one that can be

understood easily and completely from a very few fundamentals, and in which the predictions
agree closely with experiment.

There are few better illustrations of the use of the integral calculus, as well as the principles of
ordinary statics, available to the student. A great deal can be done with only elementary
mathematics. Properly adapted, the material can be used from the earliest introduction of school
science, giving an excellent example of a quantitative science with many possibilities for hands-
on experiences.

The definition of a fluid deserves careful consideration. Although time is not a factor in
hydrostatics, it enters in the approach to hydrostatic equilibrium. It is usually stated that a fluid is
a substance that cannot resist a shearing stress, so that pressures are normal to confining
surfaces. Geology has now shown us clearly that there are substances which can resist shearing
forces over short time intervals, and appear to be typical solids, but which flow like liquids over
long time intervals. Such materials include wax and pitch, ice, and even rock.

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A ball of pitch, which can be shattered by a hammer, will spread out and flow in months. Ice, a
typical solid, will flow in a period of years, as shown in glaciers, and rock will flow over hundreds
of years, as in convection in the mantle of the earth.

Shear earthquake waves, with periods of seconds, propagate deep in the earth, though the rock
there can flow like a liquid when considered over centuries. The rate of shearing may not be
strictly proportional to the stress, but exists even with low stress.

Viscosity may be the physical property that varies over the largest numerical range, competing
with electrical resistivity. There are several familiar topics in hydrostatics which often appears in
expositions of introductory science, and which are also of historical interest and can enliven their
presentation. Let’s start our study with the principles of our atmosphere.

Atmospheric Pressure
The atmosphere is the entire mass of air that surrounds the earth. While it extends upward for
about 500 miles, the section of primary interest is the portion that rests on the earth’s surface
and extends upward for about 7 1/2 miles. This layer is called the troposphere.

If a column of air 1-inch square extending all the way to the "top" of the atmosphere could be
weighed, this column of air would weigh approximately 14.7 pounds at sea level. Thus,
atmospheric pressure at sea level is approximately 14.7 psi.

As one ascends, the atmospheric pressure decreases by approximately 1.0 psi for every 2,343
feet. However, below sea level, in excavations and depressions, atmospheric pressure increases.
Pressures under water differ from those under air only because the weight of the water must be
added to the pressure of the air.

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Atmospheric pressure can be measured by any of several methods. The common laboratory
method uses the mercury column barometer. The height of the mercury column serves as an
indicator of atmospheric pressure. At sea level and at a temperature of 0° Celsius (C), the height
of the mercury column is approximately 30 inches, or 76 centimeters. This represents a pressure
of approximately 14.7 psi. The 30-inch column is used as a reference standard.

Another device used to measure atmospheric pressure is the aneroid barometer. The aneroid
barometer uses the change in shape of an evacuated metal cell to measure variations in
atmospheric pressure. The thin metal of the aneroid cell moves in or out with the variation of
pressure on its external surface. This movement is transmitted through a system of levers to a
pointer, which indicates the pressure.

The atmospheric pressure does not vary uniformly with altitude. It changes very rapidly.
Atmospheric pressure is defined as the force per unit area exerted against a surface by the weight
of the air above that surface.

In the diagram, the pressure at point "X" increases as the weight of the air above it increases. The
same can be said about decreasing pressure, where the pressure at point "X" decreases if the
weight of the air above it also decreases.

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Barometric Loop
The barometric loop consists of a continuous section of supply
piping that abruptly rises to a height of approximately 35 feet
and then returns back down to the originating level. It is a loop
in the piping system that effectively protects against
backsiphonage. It may not be used to protect against back-
pressure.

Its operation, in the protection against backsiphonage, is

based upon the principle that a water column, at sea level
pressure, will not rise above 33.9 feet. In general, barometric
loops are locally fabricated, and are 35 feet high.

Pressure may be referred to using an absolute scale, pounds

per square inch absolute (psia), or gauge scale, (psiag).
Absolute pressure and gauge pressure are related.

Absolute pressure is equal to gauge pressure plus the

atmospheric pressure. At sea level, the atmospheric
pressure is 14.7 psai.

Absolute pressure is the total pressure. Gauge pressure is

simply the pressure read on the gauge.

If there is no pressure on the gauge other than atmospheric, the gauge will read zero. Then the
absolute pressure would be equal to 14.7 psi, which is the atmospheric pressure.

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Pressure
By a fluid, we have a material in mind like water or air, two very common and important fluids.
Water is incompressible, while air is very compressible, but both are fluids. Water has a definite
volume; air does not. Water and air have low viscosity; that is, layers of them slide very easily on
one another, and they quickly assume their permanent shapes when disturbed by rapid flows.
Other fluids, such as molasses, may have high viscosity and take a long time to come to
equilibrium, but they are no less fluids. The coefficient of viscosity is the ratio of the shearing force
to the velocity gradient. Hydrostatics deals with permanent, time-independent states of fluids, so
viscosity does not appear, except as discussed in the Introduction.

A fluid, therefore, is a substance that cannot exert any permanent forces tangential to a boundary.
Any force that it exerts on a boundary must be normal to the boundary. Such a force is proportional
to the area on which it is exerted, and is called a pressure. We can imagine any surface in a fluid
as dividing the fluid into parts pressing on each other, as if it were a thin material membrane, and
so think of the pressure at any point in the fluid, not just at the boundaries.

In order for any small element of the fluid to be in equilibrium, the pressure must be the same in
all directions (or the element would move in the direction of least pressure), and if no other forces
are acting on the body of the fluid, the pressure must be the same at all neighboring points.

Therefore, in this case the pressure will be the same throughout the fluid, and the same in any
direction at a point (Pascal's Principle). Pressure is expressed in units of force per unit area such
as dyne/cm2, N/cm2 (pascal), pounds/in2 (psi) or pounds/ft2 (psf). The axiom that if a certain
volume of fluid were somehow made solid, the equilibrium of forces would not be disturbed, is
useful in reasoning about forces in fluids.

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On earth, fluids are also subject to the force of gravity, which acts vertically downward, and has
a magnitude γ = ρg per unit volume, where g is the acceleration of gravity, approximately 981
cm/s2 or 32.15 ft/s2, ρ is the density, the mass per unit volume, expressed in g/cm3, kg/m3, or
slug/ft3, and γ is the specific weight, measured in lb/in3, or lb/ft3 (pcf). Gravitation is an example of
a body force that disturbs the equality of pressure in a fluid. The presence of the gravitational
body force causes the pressure to increase with depth, according to the equation dp = ρg dh, in
order to support the water above. We call this relation the barometric equation, for when this
equation is integrated, we find the variation of pressure with height or depth. If the fluid is
incompressible, the equation can be integrated at once, and the pressure as a function of depth
h is p = ρgh + p0.

The density of water is about 1 g/cm3, or its specific weight

is 62.4 pcf. We may ask what depth of water gives the
normal sea-level atmospheric pressure of 14.7 psi, or 2117
psf.

This is simply 2117 / 62.4 = 33.9 ft of water. This is the

maximum height to which water can be raised by a suction
pump, or, more correctly, can be supported by atmospheric
pressure. Professor James Thomson (brother of William
Thomson, Lord Kelvin) illustrated the equality of pressure
by a "curtain-ring" analogy shown in the diagram. A section
of the toroid was identified, imagined to be solidified, and
its equilibrium was analyzed.

The forces exerted on the curved surfaces have no

component along the normal to a plane section, so the
pressures at any two points of a plane must be equal, since
the fluid represented by the curtain ring was in equilibrium.

The diagram illustrates the equality of pressures in

orthogonal directions. This can be extended to any direction whatever, so Pascal's Principle is
established. This demonstration is similar to the usual one using a triangular prism and
considering the forces on the end and lateral faces separately.

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Free Surface Perpendicular to Gravity
When gravity acts, the liquid assumes a free surface perpendicular to gravity, which can be proved
by Thomson's method. A straight cylinder of unit cross-sectional area (assumed only for ease in
the arithmetic) can be used to find the increase of pressure with depth. Indeed, we see that p2 =
p1 + ρgh. The upper surface of the cylinder can be placed at the free surface if desired. The
pressure is now the same in any direction at a point, but is greater at points that lie deeper. From
this same figure, it is easy to prove Archimedes’ Principle that the buoyant force is equal to the
weight of the displaced fluid, and passes through the center of mass of this displaced fluid.

Geometric Arguments
Ingenious geometric arguments can be used to
substitute for easier, but less transparent arguments
using calculus. For example, the force acting on one
side of an inclined plane surface whose projection is
AB can be found as in the diagram above. O is the
point at which the prolonged projection intersects the
free surface.

The line AC' perpendicular to the plane is made equal

to the depth AC of point A, and line BD' is similarly
drawn equal to BD. The line OD' also passes through
C', by proportionality of triangles OAC' and OAD'.

Therefore, the thrust F on the plane is the weight of a

prism of fluid of cross-section AC'D'B, passing
through its centroid normal to plane AB. Note that the
thrust is equal to the density times the area times the
depth of the center of the area; its line of action does
not pass through the center, but below it, at the
center of thrust. The same result can be obtained with
calculus by summing the pressures and the
moments, of course.

Atmospheric Pressure and its Effects

Suppose a vertical pipe is stood in a pool of water, and
a vacuum pump applied to the upper end. Before we start the pump, the water levels outside and
inside the pipe are equal, and the pressures on the surfaces are also equal and are equal to the
atmospheric pressure.

Now start the pump. When it has sucked all the air out above the water, the pressure on the
surface of the water inside the pipe is zero, and the pressure at the level of the water on the
outside of the pipe is still the atmospheric pressure.

Of course, there is the vapor pressure of the water to worry about if you want to be precise, but
we neglect this complication in making our point. We require a column of water 33.9 ft high inside
the pipe, with a vacuum above it, to balance the atmospheric pressure. Now do the same thing
with liquid mercury, whose density at 0 °C is 13.5951 times that of water. The height of the column
is 2.494 ft, 29.92 in, or 760.0 mm.

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Standard Atmospheric Pressure
This definition of the standard atmospheric pressure was established by Regnault in the mid-19th
century. In Britain, 30 in Hg (inches of mercury) had been used previously.

As a practical matter, it is convenient to measure pressure differences by measuring the height

of liquid columns, a practice known as manometry. The barometer is a familiar example of this,
and atmospheric pressures are traditionally given in terms of the length of a mercury column. To
make a barometer, the barometric tube, closed at one end, is filled with mercury and then inverted
and placed in a mercury reservoir. Corrections must be made for temperature, because the
density of mercury depends on the temperature, and the brass scale expands, for capillarity if the
tube is less than about 1 cm in diameter, and even slightly for altitude, since the value of g changes
with altitude.

The vapor pressure of mercury is only 0.001201 mmHg at 20°C, so a correction from this source
is negligible. For the usual case of a mercury column (α = 0.000181792 per °C) and a brass scale
(&alpha = 0.0000184 per °C) the temperature correction is -2.74 mm at 760 mm and 20°C. Before
reading the barometer scale, the mercury reservoir is raised or lowered until the surface of the
mercury just touches a reference point, which is mirrored in the surface so it is easy to determine
the proper position.

An aneroid barometer uses a partially evacuated chamber of thin metal that expands and
contracts according to the external pressure. This movement is communicated to a needle that
revolves in a dial. The materials and construction are arranged to give a low temperature
coefficient. The instrument must be calibrated before use, and is usually arranged to read directly
in elevations.

An aneroid barometer is much easier to use in field observations, such as in reconnaissance

surveys. In a particular case, it would be read at the start of the day at the base camp, at various
points in the vicinity, and then finally at the starting point, to determine the change in pressure
with time. The height differences can be calculated from h = 60,360 log(P/p) [1 + (T + t - 64)/986)
feet, where P and p are in the same units, and T, t are in °F.

An absolute pressure is referring to a vacuum, while a gauge pressure is referring to the

atmospheric pressure at the moment. A negative gauge pressure is a (partial) vacuum. When a
vacuum is stated to be so many inches, this means the pressure below the atmospheric pressure
of about 30 in. A vacuum of 25 inches is the same thing as an absolute pressure of 5 inches (of
mercury).

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Vacuum
The term vacuum indicates that the absolute pressure
is less than the atmospheric pressure and that the
gauge pressure is negative. A complete or total
vacuum would mean a pressure of 0 psia or –14.7 psig.
Since it is impossible to produce a total vacuum, the
term vacuum, as used in this document, will mean all
degrees of partial vacuum. In a partial vacuum, the
pressure would range from slightly less than 14.7 psia
(0 psig) to slightly greater than 0 psia (-14.7 psig).
Backsiphonage results from atmospheric pressure
exerted on a liquid forcing it toward a supply system that
is under a vacuum.

Water Pressure
The weight of a cubic foot of water is 62.4 pounds per square foot. The base can be subdivided
into 144-square inches with each subdivision being subjected to a pressure of 0.433 psig.
Suppose you placed another cubic foot of water on top of the first cubic foot.

The pressure on the top surface of the first cube which was originally atmospheric, or 0 psig,
would now be 0.4333 psig as a result of the additional cubic foot of water. The pressure of the
base of the first cubic foot would be increased by the same amount of 0.866 psig or two times the
original pressure.

Pressures are very frequently stated in terms of the height of a fluid. If it is the same fluid whose
pressure is being given, it is usually called "head," and the factor connecting the head and the
pressure is the weight density ρg. In the
English engineer's system, weight density
is in pounds per cubic inch or cubic foot. A
head of 10 ft is equivalent to a pressure of
624 psf, or 4.33 psi. It can also be
considered an energy availability of ft-lb
per lb. Water with a pressure head of 10 ft
can furnish the same energy as an equal
amount of water raised by 10 ft. Water
flowing in a pipe is subject to head loss
because of friction.

Take a jar and a basin of water. Fill the jar

with water and invert it under the water in
the basin. Now raise the jar as far as you
can without allowing its mouth to come
above the water surface. It is always a little
surprising to see that the jar does not
empty itself, but the water remains with no
visible means of support. By blowing
through a straw, one can put air into the
jar, and as much water leaves as air
enters.

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In fact, this is a famous method of collecting insoluble gases in the chemical laboratory, or for
supplying hummingbird feeders. It is good to remind oneself of exactly the balance of forces
involved.

Another application of pressure is the siphon. The name is Greek for the tube that was used for
drawing wine from a cask. This is a tube filled with fluid connecting two containers of fluid, normally
rising higher than the water levels in the two containers, at least to pass over their rims. In the
diagram, the two water levels are the same, so there will be no flow. When a siphon goes below
the free water levels, it is called an inverted siphon. If the levels in the two basins are not equal,
fluid flows from the basin with the higher level into the one with the lower level, until the levels are
equal.

A siphon can be made by filling the tube, closing the ends, and then putting the ends under the
surface on both sides. Alternatively, the tube can be placed in one fluid and filled by sucking on
it. When it is full, the other end is put in place. The analysis of the siphon is easy, and should be
obvious. The pressure rises or falls as described by the barometric equation through the siphon
tube.

There is obviously a maximum height for the siphon which is the same as the limit of the suction
pump, about 34 feet. Inverted siphons are sometimes used in pipelines to cross valleys.
Differences in elevation are usually too great to use regular siphons to cross hills, so the fluids
must be pressurized by pumps so the pressure does not fall to zero at the crests.

Liquids at Rest
In studying fluids at rest, we are concerned with the transmission of force and the factors which
affect the forces in liquids. Additionally, pressure in and on liquids and factors affecting pressure
are of great importance.

Pressure and Force

Pressure is the force that pushes water through pipes. Water pressure determines the flow of
water from the tap. If pressure is not sufficient then the flow can reduce to a trickle and it will take
a long time to fill a kettle or a cistern. The terms force and pressure are used extensively in the
study of fluid power. It is essential that we distinguish between the terms.

Force means a total push or pull. It is the push or pull exerted against the total area of a particular
surface and is expressed in pounds or grams. Pressure means the amount of push or pull (force)
applied to each unit area of the surface and is expressed in pounds per square inch (lb/in2) or
grams per square centimeter (gm/cm2). Pressure maybe exerted in one direction, in several
directions, or in all directions.

Computing Force, Pressure, and Area

A formula is used in computing force, pressure, and area in
fluid power systems. In this formula, P refers to pressure, F
indicates force, and A represents area. Force equals pressure
times area. Thus, the formula is written

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General Pumping Fundamentals

Here are the important points to consider about suction piping when the liquid being pumped is
below the level of the pump:

 First, suction lift is when the level of water to be pumped is below the centerline of the
pump. Sometimes suction lift is also referred to as ‘negative suction head’.
 The ability of the pump to lift water is the result of a partial vacuum created at the center
of the pump.
 This works similar to sucking soda from a straw. As you gently suck on a straw, you are
creating a vacuum or a pressure differential. Less pressure is exerted on the liquid inside
the straw, so that the greater pressure is exerted on the liquid around the outside of the
straw, causing the liquid in the straw to move up. By sucking on the straw, this allows
atmospheric pressure to move the liquid.
 Look at the diagram illustrated as “1”. The foot valve is located at the end of the suction
pipe of a pump. It opens to allow water to enter the suction side, but closes to prevent
water from passing back out of the bottom end.
 The suction side of pipe should be one diameter larger than the pump inlet. The required
eccentric reducer should be turned so that the top is flat and the bottom tapered.

Notice in illustration “2” that the liquid is above the level of the pump. Sometimes this is referred
to as ‘flooded suction’ or ‘suction head’ situations.

Points to Note are:

If an elbow and bell are used, they should be at least one pipe diameter from the tank bottom
and side. This type of suction piping must have a gate valve which can be used to prevent the
reverse flow when the pump has to be removed. In the illustrations you can see in both cases
the discharge head is from the centerline of the pump to the level of the discharge water. The
total head is the difference between the two liquid levels.

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Pump Definitions (Larger Glossary in the rear of this manual)
Fluid: Any substance that can be pumped such as oil, water, refrigerant, or even air.

Gasket: Flat material that is compressed between two flanges to from a seal.

Gland follower: A bushing used to compress the packing in the stuffing box and to control leakoff.

Gland sealing line: A line that directs sealing fluid to the stuffing box.

Horizontal pumps: Pumps in which the Center line of the shaft is horizontal.

Impeller: The part of the pump that increases the speed of the fluid being handled.

Inboard: The end of the pump closest to the motor.

Inter-stage diaphragm: A barrier that separates stages of a multi-stage pump.

Key: A rectangular piece of metal that prevents the impeller from rotating on the shaft.

Keyway: The area on the shaft that accepts the key.

Kinetic energy: Energy associated with motion.

Lantern ring: A metal ring located between rings of packing that distributes gland sealing fluid.

Leak-off: Fluid that leaks from the stuffing box.

Mechanical seal: A mechanical device that seals the pump stuffing box.

Mixed flow pump: A pump that uses both axial-flow and radial-flow components in one
impeller.

Multi-stage pumps: Pumps with more than one impeller.

Outboard: The end of the pump farthest from the motor.

Packing: Soft, pliable material that seals the stuffing box.

Positive displacement pumps: Pumps that move fluids by physically displacing the fluid inside
the pump.

Radial bearings: Bearings that prevent shaft movement in any direction outward from the cen-
ter line of the pump.

Radial flow: Flow at 90° to the center line of the shaft.

Retaining nut: A nut that keeps the parts in place.

Rotor: The rotating parts, usually including the impeller, shaft, bearing housings, and all other
parts included between the bearing housing and the impeller.

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Score: To cause lines, grooves or scratches.

Shaft: A cylindrical bar that transmits power from the driver to the pump impeller.

Shaft sleeve: A replaceable tubular covering on the shaft.

Shroud: The metal covering over the vanes of an impeller.

Slop drain: The drain from the area that collects leak-off from the stuffing box.

Slurry: A thick, viscous fluid, usually containing small particles.

Stages: Impellers in a multi-stage pump.

Stethoscope: A metal device that can amplify and pinpoint pump sounds.

Strainer: A device that retains solid pieces while letting liquids through.

Stuffing box: The area of the pump where the shaft penetrates the casing.

Suction: The place where fluid enters the pump.

Suction eye: The place where fluid enters the pump impeller.

Throat bushing: A bushing at the bottom of the stuffing box that prevents packing from being
pushed out of the stuffing box into the suction eye of the impeller.

Thrust: Force, usually along the center line of the pump.

Thrust bearings: Bearings that prevent shaft movement back and forth in the same direction as
the center line of the shaft.

Troubleshooting: Locating a problem.

Vanes: The parts of the impeller that push and increase the speed of the fluid in the pump.

Vertical pumps: Pumps in which the center line of the shaft runs vertically.

Volute: The part of the pump that changes the speed of the fluid into pressure.

Wearing rings: Replaceable rings on the impeller or the casing that wear as the pump oper-
ates.
.

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Basic Pump Operation
Pumps are used to move or raise fluids. They are not only very useful, but are excellent examples
of hydrostatics. Pumps are of two general types, hydrostatic or positive displacement pumps, and
pumps depending on dynamic forces, such as centrifugal pumps. Here we will only consider
positive displacement pumps, which can be understood purely by hydrostatic considerations.
They have a piston (or equivalent) moving in a closely-fitting cylinder, and forces are exerted on
the fluid by motion of the piston.

We have already seen an important example of this in the hydraulic lever or hydraulic press, which
we have called quasi-static. The simplest pump is the syringe, filled by withdrawing the piston and
emptied by pressing it back in, as its port is immersed in the fluid or removed from it.

More complicated pumps have valves allowing them to work repetitively. These are usually check
valves that open to allow passage in one direction, and close automatically to prevent reverse
flow. There are many kinds of valves, and they are usually the most trouble-prone and
complicated part of a pump. The force pump has two check valves in the cylinder, one for supply
and the other for delivery. The supply valve opens when the cylinder volume increases, the
delivery valve when the cylinder volume decreases.

The lift pump has a supply valve and a valve in the piston that allows the liquid to pass around it
when the volume of the cylinder is reduced. The delivery in this case is from the upper part of the
cylinder which the piston does not enter.

Diaphragm pumps are force pumps in which the oscillating diaphragm takes the place of the
piston. The diaphragm may be moved mechanically, or by the pressure of the fluid on one side of
the diaphragm.

Some positive displacement pumps are shown below. The force and lift pumps are typically used
for water. The force pump has two valves in the cylinder, while the lift pump has a one valve in
the cylinder and one in the piston. The maximum lift, or "suction," is determined by the
atmospheric pressure, and either cylinder must be within this height of the free surface.

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The force pump, however, can give an arbitrarily large pressure to the discharged fluid, as in the
case of a diesel engine injector. A nozzle can be used to convert the pressure to velocity, to
produce a jet, as for firefighting. Fire fighting force pumps usually have two cylinders feeding one
receiver alternately. The air space in the receiver helps to make the water pressure uniform.

The three pumps on the right are typically used for air, but would be equally applicable to liquids.
The Roots blower has no valves, their place taken by the sliding contact between the rotors and
the housing. The Roots blower can either exhaust a receiver or provide air under moderate
pressure, in large volumes. The bellows is a very old device, requiring no accurate machining.
The single valve is in one or both sides of the expandable chamber. Another valve can be placed
at the nozzle if required. The valve can be a piece of soft leather held close to holes in the
chamber. The bicycle pump uses the valve on the valve stem of the tire or inner tube to hold
pressure in the tire. The piston, which is attached to the discharge tube, has a flexible seal that
seals when the cylinder is moved to compress the air, but allows air to pass when the movement
is reversed.

Diaphragm and vane pumps are not shown, but they act the same way by varying the volume of
a chamber, and directing the flow with check valves.

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Types of Pumps
The family of pumps comprises a large number of types based on application and capabilities.
The two major groups of pumps are dynamic and positive displacement.

Dynamic Pumps (Centrifugal Pump)

Centrifugal pumps are classified into three general categories:

Radial flow—a centrifugal pump in which the pressure is developed wholly by centrifugal force.
Mixed flow—a centrifugal pump in which the pressure is developed partly by centrifugal force
and partly by the lift of the vanes of the impeller on the liquid.
Axial flow—a centrifugal pump in which the pressure is developed by the propelling or lifting
action of the vanes of the impeller on the liquid.

Positive Displacement Pumps

A Positive Displacement Pump has an expanding cavity on the suction side of the pump and a
decreasing cavity on the discharge side. Liquid is allowed to flow into the pump as the cavity on
the suction side expands and the liquid is forced out of the discharge as the cavity collapses.
This principle applies to all types of Positive Displacement Pumps whether the pump is a rotary
lobe, gear within a gear, piston, diaphragm, screw, progressing cavity, etc.

A Positive Displacement Pump, unlike a Centrifugal Pump, will produce the same flow at a
given RPM no matter what the discharge pressure is. A Positive Displacement Pump cannot be
operated against a closed valve on the discharge side of the pump, i.e. it does not have a shut-
off head like a Centrifugal Pump does. If a Positive Displacement Pump is allowed to operate
against a closed discharge valve it will continue to produce flow which will increase the pressure
in the discharge line until either the line bursts or the pump is severely damaged or both.

Types of Positive Displacement Pumps

Single Rotor Multiple Rotor

Vane Gear

Piston Lobe

Flexible Member Circumferential Piston

Single Screw Multiple Screw

There are many types of positive displacement pumps. We will look at:
 Plunger pumps
 Diaphragm pumps
 Progressing cavity pumps, and
 Screw pumps

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Single Rotator
Component Description

Vane The vane(s) may be blades, buckets, rollers, or slippers that cooperate
with a dam to draw fluid into and out of the pump chamber.

Piston Fluid is drawn in and out of the pump chamber by a piston(s) reciprocating
within a cylinder(s) and operating port valves.

Flexible Member Pumping and sealing depends on the elasticity of a flexible member(s) that
may be a tube, vane, or a liner.

Single Screw Fluid is carried between rotor screw threads as they mesh with internal
threads on the stator.

Multiple Rotator
Component Description

Gear Fluid is carried between gear teeth and is expelled by the meshing of the
gears that cooperate to provide continuous sealing between the pump inlet
and outlet.

Lobe Fluid is carried between rotor lobes that cooperate to provide continuous
sealing between the pump inlet and outlet.

Circumferential piston Fluid is carried in spaces between piston surfaces not requiring contacts
between rotor surfaces.

Multiple Screw Fluid is carried between rotor screw threads as they mesh.

In the same way, the progressing cavity and the screw are two other types of mechanical action
that can be used to provide movement of the liquid through the pump.

Plunger Pump
The plunger pump is a positive displacement pump that uses a plunger or piston to force liquid
from the suction side to the discharge side of the pump. It is used for heavy sludge. The movement
of the plunger or piston inside the pump creates pressure inside the pump, so you have to be
careful that this kind of pump is never operated against any closed discharge valve.

All discharge valves must be open before the pump is started, to prevent any fast build-up of
pressure that could damage the pump.

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Diaphragm Pumps
In this type of pump, a diaphragm provides the mechanical action used to force liquid from the
suction to the discharge side of the pump. The advantage the diaphragm has over the plunger is
that the diaphragm pump does not come in contact with moving metal. This can be important
when pumping abrasive or corrosive materials.

There are three main types of diaphragm pumps available:

1. Diaphragm sludge pump
2. Chemical metering or proportional pump
3. Air-powered double-diaphragm pump

Pump Categories
Let's cover the essentials first. The key to the whole operation is, of course, the pump. And
regardless of what type it is (reciprocating piston, centrifugal, turbine or jet-ejector, for either
shallow or deep well applications), its purpose is to move water and generate the delivery force
we call pressure. Sometimes — with centrifugal pumps in particular — pressure is not referred to
in pounds per square inch but rather as the equivalent in elevation, called head. No matter; head
in feet divided by 2.31 equals pressure, so it's simple enough to establish a common figure.

Pumps may be classified on the basis of the application they serve. All pumps may be divided
into two major categories: (1) dynamic, in which energy is continuously added to increase the fluid
velocities within the machine, and (2) displacement, in which the energy is periodically added by
application of force.

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More on Understanding the Water Pump
The water pump commonly found in our systems is centrifugal pumps. These pumps work by
spinning water around in a circle inside a cylindrical pump housing. The pump makes the water
spin by pushing it with an impeller. The blades of this impeller project outward from an axle like
the arms of a turnstile and, as the impeller spins, the water spins with it. As the water spins, the
pressure near the outer edge of the pump housing becomes much higher than near the center of
the impeller.

There are many ways to understand this rise in pressure, and here are two:

First, you can view the water between the impeller blades as an object traveling in a circle. Objects
do not naturally travel in a circle--they need an inward force to cause them to accelerate inward
as they spin. Without such an inward force, an object will travel in a straight line and will not
complete the circle. In a centrifugal pump, that inward force is provided by high-pressure water
near the outer edge of the pump housing. The water at the edge of the pump pushes inward on
the water between the impeller blades and makes it possible for that water to travel in a circle.
The water pressure at the edge of the turning impeller rises until it is able to keep water circling
with the impeller blades.

You can also view the water as an incompressible fluid, one that obeys Bernoulli's equation in the
appropriate contexts. As water drifts outward between the impeller blades of the pump, it must
move faster and faster because its circular path is getting larger and larger. The impeller blades
cause the water to move faster and faster. By the time the water has reached the outer edge of
the impeller, it is moving quite fast. However, when the water leaves the impeller and arrives at
the outer edge of the cylindrical pump housing, it slows down.

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Types of Water Pumps
The most common type of water pumps used for municipal and domestic water supplies
is variable displacement pumps. A variable displacement pump will produce at different rates
relative to the amount of pressure or lift the pump is working against. Centrifugal pumps are
variable displacement pumps that are by far used the most. The water production well industry
almost exclusively uses Turbine pumps, which are a type of centrifugal pump.

The turbine pump utilizes impellers enclosed in single or multiple bowls or stages to lift water by
centrifugal force. The impellers may be of either a semi-open or closed type. Impellers are
rotated by the pump motor, which provides the horsepower needed to overcome the pumping
head. A more thorough discussion of how these and other pumps work is presented later in this
section. The size and number of stages, horsepower of the motor and pumping head are the key
components related to the pump’s lifting capacity.

Vertical turbine pumps are commonly used in groundwater wells. These pumps are driven by a
shaft rotated by a motor on the surface. The shaft turns the impellers within the pump housing
while the water moves up the column.

This type of pumping system is also called a line-shaft turbine. The rotating shaft in a line shaft
turbine is actually housed within the column pipe that delivers the water to the surface. The size
of the column, impeller, and bowls are selected based on the desired pumping rate and lift
requirements.

Column pipe sections can be threaded or coupled together while the drive shaft is coupled and
suspended within the column by spider bearings. The spider bearings provide both a seal at
the column pipe joints and keep the shaft aligned within the column. The water passing through
the column pipe serves as the lubricant for the bearings. Some vertical turbines are lubricated by
oil rather than water. These pumps are essentially the same as water lubricated units; only the
drive shaft is enclosed within an oil tube.

Food grade oil is supplied to the tube through a gravity feed system during operation. The oil
tube is suspended within the column by spider flanges, while the line shaft is supported within
the oil tube by brass or redwood bearings. A continuous supply of oil lubricates the drive shaft
as it proceeds downward through the oil tube.

A small hole located at the top of the pump bow unit allows excess oil to enter the well. This
results in the formation of an oil film on the water surface within oil-lubricated wells. Careful
operation of oil lubricated turbines is needed to ensure that the pumping levels do not drop enough
to allow oil to enter the pump. Both water and oil lubricated turbine pump units can be driven by
electric or fuel powered motors. Most installations use an electric motor that is connected to the
drive shaft by a keyway and nut. However, where electricity is not readily available, fuel powered
engines may be connected to the drive shaft by a right angle drive gear. Also, both oil and water
lubricated systems will have a strainer attached to the intake to prevent sediment from entering
the pump.

When the line shaft turbine is turned off, water will flow back down the column, turning the
impellers in a reverse direction. A pump and shaft can easily be broken if the motor were to turn
on during this process. This is why a time delay or ratchet assembly is often installed on these
motors to either prevent the motor from turning on before reverse rotation stops or simply not
allow it to reverse at all.

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There are three main types of diaphragm pumps:
In the first type, the diaphragm is sealed with one side in the fluid to be pumped, and the other in
air or hydraulic fluid. The diaphragm is flexed, causing the volume of the pump chamber to
increase and decrease. A pair of non-return check valves prevents reverse flow of the fluid. As
described above, the second type of diaphragm pump works with volumetric positive
displacement, but differs in that the prime mover of the diaphragm is neither oil nor air; but is
electro-mechanical, working through a crank or geared motor drive. This method flexes the
diaphragm through simple mechanical action, and one side of the diaphragm is open to air. The
third type of diaphragm pump has one or more unsealed diaphragms with the fluid to be pumped
on both sides. The diaphragm(s) again are flexed, causing the volume to change.

When the volume of a chamber of either type of pump is increased (the diaphragm moving up),
the pressure decreases, and fluid is drawn into the chamber. When the chamber pressure later
increases from decreased volume (the diaphragm moving down), the fluid previously drawn in is
forced out. Finally, the diaphragm moving up once again draws fluid into the chamber, completing
the cycle. This action is similar to that of the cylinder in an internal combustion engine.

Cavitation
Cavitation is defined as the phenomenon of formation of vapor bubbles of a flowing liquid in a
region where the pressure of the liquid falls below its vapor pressure. Cavitation is usually divided
into two classes of behavior: inertial (or transient) cavitation and non-inertial cavitation. Inertial
cavitation is the process where a void or bubble in a liquid rapidly collapses, producing a shock
wave. Such cavitation often occurs in pumps, propellers, impellers, and in the vascular tissues of
plants. Non-inertial cavitation is the process in which a bubble in a fluid is forced to oscillate in
size or shape due to some form of energy input, such as an acoustic field. Such cavitation is often
employed in ultrasonic cleaning baths and can also be observed in pumps, propellers etc.

Cavitation is, in many cases, an undesirable occurrence. In devices such as propellers and
pumps, cavitation causes a great deal of noise, damage to components, vibrations, and a loss of
efficiency. When the cavitation bubbles collapse, they force liquid energy into very small volumes,
thereby creating spots of high temperature and emitting shock waves, the latter of which are a
source of noise. The noise created by cavitation is a particular problem for military submarines,
as it increases the chances of being detected by passive sonar. Although the collapse of a cavity
is a relatively low-energy event, highly localized collapses can erode metals, such as steel, over
time. The pitting caused by the collapse of cavities produces great wear on components and can
dramatically shorten a propeller's or pump's lifetime.

After a surface is initially affected by cavitation, it tends to erode at an accelerating pace. The
cavitation pits increase the turbulence of the fluid flow and create crevasses that act as nucleation
sites for additional cavitation bubbles. The pits also increase the component's surface area and
leave behind residual stresses. This makes the surface more prone to stress corrosion.

Impeller
An impeller is a rotating component of a centrifugal pump, usually made of iron, steel, aluminum
or plastic, which transfers energy from the motor that drives the pump to the fluid being pumped
by accelerating the fluid outwards from the center of rotation. The velocity achieved by the impeller
transfers into pressure when the outward movement of the fluid is confined by the pump casing.
Impellers are usually short cylinders with an open inlet (called an eye) to accept incoming fluid,
vanes to push the fluid radically, and a splined center to accept a driveshaft.

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Progressing Cavity Pump

In this type of pump, components referred to as a rotor and an elastic stator provide the
mechanical action used to force liquid from the suction side to the discharge side of the pump. As
the rotor turns within the stator, cavities are formed which progress from the suction to the
discharge end of the pump, conveying the pumped material. The continuous seal between the
rotor and the stator helices keeps the fluid moving steadily at a fixed flow rate proportional to the
pump's rotational speed. Progressing cavity pumps are used to pump material very high in solids
content. The progressive cavity pump must never be run dry, because the friction between the
rotor and stator will quickly damage the pump.

More on the Progressive Cavity Pump

A progressive cavity pump is also known as a progressing cavity pump, eccentric screw pump or
even just cavity pump and, as is common in engineering generally, these pumps can often be
referred to by using a generalized trademark. Hence names can vary from industry to industry
and even regionally; examples include: Mono pump, Moyno pump, Mohno pump and Nemo
pump.

This type of pump transfers fluid by means of the progress, through the pump, of a sequence of
small, fixed shape, discrete cavities, as its rotor is turned. This leads to the volumetric flow rate
being proportional to the rotation rate (bi-directionally) and to low levels of shearing being applied
to the pumped fluid. Hence, these pumps have application in fluid metering and pumping of
viscous or shear sensitive materials. It should be noted that the cavities taper down toward their
ends and overlap with their neighbors, so that, in general, no flow pulsing is caused by the arrival
of cavities at the outlet, other than that caused by compression of the fluid or pump components.

The principle of this pumping technique is frequently misunderstood; often it is believed to occur
due to a dynamic effect caused by drag, or friction against the moving teeth of the screw rotor.
However, in reality it is due to sealed cavities, like a piston pump, and so has similar operational
characteristics, such as being able to pump at extremely low rates, even to high pressure,
revealing the effect to be purely positive displacement.

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The mechanical layout that causes the cavities to, uniquely, be of fixed dimensions as they move
through the pump, is hard to visualize (its essentially 3D nature renders diagrams quite ineffective
for explanation), but it is accomplished by the preservation in shape of the gap formed between
a helical shaft and a two start, twice the wavelength and double the diameter, helical hole, as the
shaft is "rolled" around the inside surface of the hole. The motion of the rotor being the same as
the smaller gears of a planetary gears system. This form of motion gives rise to the curves called
Hypocycloids.

In order to produce a seal between cavities, the rotor requires a circular cross-section and the
stator an oval one. The rotor so takes a form similar to a corkscrew, and this, combined with the
off-center rotary motion, leads to the name; eccentric screw pump.

Different rotor shapes and rotor/stator pitch ratios exist, but are specialized in that they don't
generally allow complete sealing, so reducing low speed pressure and flow rate linearity, but
improving actual flow rates, for a given pump size, and/or the pumps solids handling ability.

At a high enough pressure the sliding seals between cavities will leak some fluid rather than
pumping it, so when pumping against high pressures a longer pump with more cavities is more
effective, since each seal has only to deal with the pressure difference between adjacent cavities.
Pumps with between two and a dozen or so cavities exist.
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In operation, progressive cavity pumps are fundamentally fixed flow rate pumps, like piston pumps
and peristaltic pumps, and this type of pump needs a fundamentally different understanding to
the types of pumps to which people are more commonly first introduced, namely ones that can
be thought of as generating a pressure. This can lead to the mistaken assumption that all pumps
can have their flow rates adjusted by using a valve attached to their outlet, but with this type of
pump this assumption is a problem, since such a valve will have practically no effect on the flow
rate and completely closing it will involve very high, probably damaging, pressures being
generated. In order to prevent this, pumps are often fitted with cut-off pressure switches, burst
disks (deliberately weak and easily replaced points), or a bypass pipe that allows a variable
amount a fluid to return to the inlet. With a bypass fitted, a fixed flow rate pump is effectively
converted to a fixed pressure one.

At the points where the rotor touches the stator, the surfaces are generally traveling transversely,
so small areas of sliding contact occur, these areas need to be lubricated by the fluid being
pumped (Hydrodynamic lubrication), this can mean that more torque is required for starting, and
if allowed to operate without fluid, called 'run dry', rapid deterioration of the stator can result.

While progressive cavity pumps offer long life and reliable service transporting thick or lumpy
fluids, abrasive fluids will significantly shorten the life of the stator. However, slurries (particulates
in a medium) can be pumped reliably, as long as the medium is viscous enough to maintain a
lubrication layer around the particles and so provide protection to the stator.

Specific designs involve the rotor of the pump being made of a steel, coated in a smooth hard
surface, normally chromium, with the body (the stator) made of a molded elastomer inside a metal
tube body. The Elastomer core of the stator forms the required complex cavities. The rotor is held
against the inside surface of the stator by angled link arms, bearings (which have to be within the
fluid) allowing it to roll around the inner surface (un-driven). Elastomer is used for the stator to
simplify the creation of the complex internal shape, created by means of casting, and also
improves the quality and longevity of the seals by progressively swelling due to absorption of
water and/or other common constituents of pumped fluids. Elastomer/pumped fluid compatibility
will thus need to be taken into account.

Two common designs of stator are the "Equal-walled" and the "Unequal walled". The latter, having
greater elastomer wall thickness at the peaks, allows larger-sized solids to pass through because
of its increased ability to distort under pressure.

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Key Pump Words
NPSH: Net positive suction head - related to how much suction lift a pump can achieve by
creating a partial vacuum. Atmospheric pressure then pushes liquid into the pump. A method of
calculating if the pump will work or not.

S.G.: Specific gravity. Weight of liquid in comparison to water at approx. 20 deg c (SG = 1).

Specific Speed: A number which is the function of pump flow, head, efficiency etc. Not used in
day to day pump selection, but very useful, as pumps with similar specific speed will have
similar shaped curves, similar efficiency / NPSH / solids handling characteristics.

Vapor Pressure: If the vapor pressure of a liquid is greater than the surrounding air pressure,
the liquid will boil.

Viscosity: A measure of a liquid's resistance to flow. i.e.: how thick it is. The viscosity
determines the type of pump used, the speed it can run at, and with gear pumps, the internal
clearances required.

Friction Loss: The amount of pressure / head required to 'force' liquid through pipe and
fittings.

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Screw or Auger Pump
The Archimedes' screw, Archimedean screw, or screwpump is a machine historically used for
transferring water from a low-lying body of water into irrigation ditches. It was one of several
inventions and discoveries traditionally attributed to Archimedes in the 3rd century BC.

The machine consists of a screw inside a hollow pipe. Some attribute its invention to Archimedes
in the 3rd century BC, while others attribute it to Nebuchadnezzar II in the 7th century BC. A screw
can be thought of as an inclined plane (another simple machine) wrapped around a cylinder.

The screw is turned (usually by a windmill or by manual labor). As the bottom end of the tube
turns, it scoops up a volume of water. This amount of water will slide up in the spiral tube as the
shaft is turned, until it finally pours out from the top of the tube and feeds the irrigation system.

The contact surface between the screw and the pipe does not need to be perfectly water-tight
because of the relatively large amount of water being scooped at each turn with respect to the
angular speed of the screw. Also, water leaking from the top section of the screw leaks into the
previous one and so on, so a sort of equilibrium is achieved while using the machine, thus
preventing a decrease in efficiency.

The "screw" does not necessarily need to turn inside the casing, but can be allowed to turn with
it in one piece. A screw could be sealed with pitch or some other adhesive to its casing, or, cast
as a single piece in bronze, as some researchers have postulated as being the devices used to
irrigate Nebuchadnezzar II's Hanging Gardens of Babylon. Depictions of Greek and Roman water
screws show the screws being powered by a human treading on the outer casing to turn the entire
apparatus as one piece, which would require that the casing be rigidly attached to the screw.

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In this type of pump, a large screw provides the mechanical action to move the liquid from the
suction side to the discharge side of the pump. Here are some typical characteristics of screw
pumps:

 Most screw pumps rotate in the 30 to 60 rpm range, although some screw pumps are
faster.
 The slope of the screw is normally either 30° or 38°.

The maximum lift for the larger diameter pumps is about 30 feet. The smaller diameter pumps
have lower lift capabilities.

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Pump Casing
There are many variations of centrifugal pumps. The most common type is an end suction pump.
Another type of pump used is the split case. There are many variations of split case, such as;
two-stage, single suction, and double suction. Most of these pumps are horizontal.

There are variations of vertical centrifugal pumps. The line shaft turbine is really a multistage
centrifugal pump.

Impeller
In most centrifugal pumps, the impeller looks like a number of cupped vanes on blades mounted
on a disc or shaft. Notice in the picture below how the vanes of the impeller force the water into
the outlet of the pipe.

The shape of the vanes of the impeller is important. As the water is being thrown out of the pump,
this means you can run centrifugal pumps with the discharged valve closed for a SHORT period
of time. Remember the motor sends energy along the shaft, and if the water is in the volute too
long it will heat up and create steam. Not good!

Impellers are designed in various ways. We will look at:

 Closed impellers
 Semi-open impellers
 Opened impellers, and
 Recessed impellers

The impellers all cause a flow from the eye of the impeller to the outside of the impeller. These
impellers cause what is called radial flow, and they can be referred to as radial flow impellers.

The critical distance of the impeller and how it is installed in the casing will determine if it is high
volume / low pressure or the type of liquid that could be pumped.

Axial flow impellers look like a propeller and create a flow that is parallel to the shaft.

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Here is where Bernoulli's equation figures in. As the water slows down and its kinetic energy
decreases, that water's pressure's potential energy increases (to conserve energy). Thus, the
slowing is accompanied by a pressure rise. That is why the water pressure at the outer edge of
the pump housing is higher than the water pressure near the center of the impeller. When water
is actively flowing through the pump, arriving
through a hole near the center of the
impeller and leaving through a hole near the
outer edge of the pump housing, the
pressure rise between center and edge of
the pump is not as large.

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Centrifugal Pump
By definition, a centrifugal pump is a machine. More specifically, it is a machine that imparts
energy to a fluid. This energy infusion can cause a liquid to flow, rise to a higher level, or both.

The centrifugal pump is an extremely simple machine. It is a member of a family known as rotary
machines and consists of two basic parts: 1) the rotary element or impeller and 2) the stationary
element or casing (volute). The figure at the bottom of the page is a cross section of a centrifugal
pump and shows the two basic parts.

In operation, a centrifugal pump “slings” liquid out of the impeller via centrifugal force. One fact
that must always be remembered: A pump does not create pressure, it only provides flow.
Pressure is just an indication of the amount of resistance to flow.

Centrifugal pumps may be classified in several ways. For example, they may be either SINGLE
STAGE or MULTI-STAGE. A single-stage pump has only one impeller. A multi-stage pump has
two or more impellers housed together in one casing.

As a rule, each impeller acts separately, discharging to the suction of the next stage impeller. This
arrangement is called series staging. Centrifugal pumps are also classified as HORIZONTAL or
VERTICAL, depending upon the position of the pump shaft.

The impellers used on centrifugal pumps may be classified as SINGLE SUCTION or DOUBLE
SUCTION. The single-suction impeller allows liquid to enter the eye from one side only. The
double-suction impeller allows liquid to enter the eye from two directions.

Impellers are also classified as CLOSED or OPEN. Closed impellers have side walls that extend
from the eye to the outer edge of the vane tips.

Open impellers do not have these side walls. Some small pumps with single-suction impellers
have only a casing wearing ring and no impeller ring. In this type of pump, the casing wearing ring
is fitted into the end plate.
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Recirculation lines are installed on some centrifugal pumps to prevent the pumps from
overheating and becoming vapor bound, in case the discharge is entirely shut off or the flow of
fluid is stopped for extended periods.

Seal piping is installed to cool the shaft and the packing, to lubricate the packing, and to seal the
rotating joint between the shaft and the packing against air leakage. A lantern ring spacer is
inserted between the rings of the packing in the stuffing box. Seal piping leads the liquid from the
discharge side of the pump to the annular space formed by the lantern ring. The web of the ring
is perforated so that the water can flow in either direction along the shaft (between the shaft and
the packing).

Water flinger rings are fitted on the shaft between the packing gland and the pump bearing
housing. These flingers prevent water in the stuffing box from flowing along the shaft and entering
the bearing housing.

We will look at the components of the centrifugal pump.

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As the impeller rotates, it sucks the liquid into the center of the pump and throws it out under
pressure through the outlet. The casing that houses the impeller is referred to as the volute, the
impeller fits on the shaft inside. The volute has an inlet and outlet that carries the water as
shown below.

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NPSH - Net Positive Suction Head
If you accept that a pump creates a partial vacuum and atmospheric pressure forces water into
the suction of the pump, then you will find NPSH a simple concept.

NPSH (a) is the Net Positive Suction Head Available, which is calculated as follows:

NPSH (a) = p + s - v - f

Where:
'p'= atmospheric pressure,
's'= static suction (If liquid is below pump, it is shown as a negative value)
'v'= liquid vapor pressure
'f'= friction loss

NPSH (a) must exceed NPSH(r) to allow pump operation without cavitation. (It is advisable to
allow approximately 1 meter difference for most installations.) The other important fact to
remember is that water will boil at much less than 100 deg CO if the pressure acting on it is less
than its vapor pressure, i.e. water at 95 deg C is just hot water at sea level, but at 1500m above
sea level it is boiling water and vapor.

The vapor pressure of water at 95 deg C is 84.53 kPa, there was enough atmospheric pressure
at sea level to contain the vapor, but once the atmospheric pressure dropped at the higher
elevation, the vapor was able to escape. This is why vapor pressure is always considered in
NPSH calculations when temperatures exceed 30 to 40 deg C.

NPSH(r) is the Net Positive Suction Head Required by the pump, which is read from the pump
performance curve. (Think of NPSH(r) as friction loss caused by the entry to the pump suction.)

Affinity Laws
The Centrifugal Pump is a very capable and flexible machine. Because of this it is unnecessary
to design a separate pump for each job. The performance of a centrifugal pump can be varied by
changing the impeller diameter or its rotational speed. Either change produces approximately the
same results. Reducing impeller diameter is probably the most common change and is usually
the most economical. The speed can be altered by changing pulley diameters or by changing the
speed of the driver. In some cases both speed and impeller diameter are changed to obtain the
desired results.

When the driven speed or impeller diameter of a centrifugal pump changes, operation of the
pump changes in accordance with three fundamental laws. These laws are known as the "Laws
of Affinity". They state that:
1) Capacity varies directly as the change in speed
2) Head varies as the square of the change in speed
3) Brake horsepower varies as the cube of the change in speed
If, for example, the pump speed were doubled:
1) Capacity will double
2) Head will increase by a factor of 4 (2 to the second power)
3) Brake horsepower will increase by a factor of 8 (2 to the third power)

These principles apply regardless of the direction (up or down) of the speed or change in
diameter.

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Consider the following example. A pump operating at 1750 RPM, delivers 210 GPM at 75' TDH,
and requires 5.2 brake horsepower. What will happen if the speed is increased to 2000 RPM?
First we find the speed ratio.

Speed Ratio = 2000/1750 = 1.14

From the laws of Affinity:
1) Capacity varies directly or:
1.14 X 210 GPM = 240 GPM
2) Head varies as the square or:

1.14 X 1.14 X 75 = 97.5' TDH

3) BHP varies as the cube or:

1.14 X 1.14 X 1.14 X 5.2 = 7.72 BHP

Theoretically the efficiency is the same for both conditions. By calculating several points a new
curve can be drawn.

Whether it be a speed change or change in impeller diameter, the Laws of Affinity give results
that are approximate. The discrepancy between the calculated values and the actual values
obtained in test are due to hydraulic efficiency changes that result from the modification. The
Laws of Affinity give reasonably close results when the changes are not more than 50% of the
original speed or 15% of the original diameter.

Suction conditions are some of the most important factors affecting centrifugal pump operation.
If they are ignored during the design or installation stages of an application, they will probably
come back to haunt you.

Suction Lift
A pump cannot pull or "suck" a liquid up its suction pipe because liquids do not exhibit tensile
strength. Therefore, they cannot transmit tension or be pulled. When a pump creates a suction, it
is simply reducing local pressure by creating a partial vacuum. Atmospheric or some other
external pressure acting on the surface of the liquid pushes the liquid up the suction pipe into the
pump.

Atmospheric pressure at sea level is called absolute pressure (PSIA) because it is a measurement
using absolute zero (a perfect vacuum) as a base. If pressure is measured using atmospheric
pressure as a base it is called gauge pressure (PSIG or simply PSI).

Atmospheric pressure, as measured at sea level, is 14.7 PSIA. In feet of head it is:
Head = PSI X 2.31 / Specific Gravity

For Water it is:

Head = 14.7 X 2.31 / 1.0 = 34 Ft

Thus, 34 feet is the theoretical maximum suction lift for a pump pumping cold water at sea level.
No pump can attain a suction lift of 34 ft; however, well designed ones can reach 25 ft quite easily.

You will note, from the equation above, that specific gravity can have a major effect on suction
lift. For example, the theoretical maximum lift for brine (Specific Gravity = 1.2) at sea level is 28
ft.. The realistic maximum is around 20ft. Remember to always factor in specific gravity if the liquid
being pumped is anything but clear, cold (68 degrees F) water.

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In addition to pump design and suction piping, there are two physical properties of the liquid being
pumped that affect suction lift.

1) Maximum suction lift is dependent upon the pressure applied to the surface of the liquid at the
suction source. Maximum suction lift decreases as pressure decreases.
2) 2) Maximum suction lift is dependent upon the vapor pressure of the liquid being pumped. The
vapor pressure of a liquid is the pressure necessary to keep the liquid from vaporizing (boiling) at
a given temperature. Vapor pressure increases as liquid temperature increases. Maximum
suction lift decreases as vapor pressure rises.

It follows then, that the maximum suction lift of a centrifugal pump varies inversely with altitude.
Conversely, maximum suction lift will increase as the external pressure on its source increases
(for example: a closed pressure vessel).

Cavitation - Two Main Causes:

A. NPSH (r) EXCEEDS NPSH (a)
Due to low pressure the water vaporizes (boils), and higher pressure implodes into the vapor
bubbles as they pass through the pump, causing reduced performance and potentially major
damage.
B. Suction or discharge recirculation. The pump is designed for a certain flow range, if there is
not enough or too much flow going through the pump, the resulting turbulence and vortexes can
reduce performance and damage the pump.

Affinity Laws - Centrifugal Pumps

If the speed or impeller diameter of a pump changes, we can calculate the resulting
performance change using:

Affinity laws
a. The flow changes proportionally to speed
i.e.: double the speed / double the flow
b. The pressure changes by the square of the difference
i.e.: double the speed / multiply the pressure by 4
c. The power changes by the cube of the difference
i.e.: double the speed / multiply the power by 8

Notes:
1. These laws apply to operating points at the same efficiency.
2. Variations in impeller diameter greater than 10% are hard to predict due to the change in
relationship between the impeller and the casing. For rough calculations you can adjust a duty
point or performance curve to suit a different speed. NPSH (r) is affected by speed / impeller
diameter change = DANGER!

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Pump Performance and Curves
Let’s looks at the big picture. Before you make that purchase of the pump and motor you need
to know the basics such as:

 Total dynamic head, the travel distance

 Capacity, how much water you need to provide
 Efficiency, help determine the impeller size
 HP, how many squirrels you need
 RPM, how fast the squirrels run

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Motor and Pump Calculations
The centrifugal pump pumps the difference between the suction and the discharge heads.
There are three kinds of discharge head:
 Static head. The height we are pumping to, or the height to the discharge piping
outlet that is filling the tank from the top. Note: that if you are filling the tank from
the bottom, the static head will be constantly changing.
 Pressure head. If we are pumping to a pressurized vessel (like a boiler) we must
convert the pressure units (psi. or Kg.) to head units (feet or meters).
 System or dynamic head. Caused by friction in the pipes, fittings, and system
components. We get this number by making the calculations from published
charts.

Suction head is measured the same way.

 If the liquid level is above the pump center line, that level is a positive suction head.
If the pump is lifting a liquid level from below its center line, it is a negative suction
head.
 If the pump is pumping liquid from a pressurized vessel, you must convert this
pressure to a positive suction head. A vacuum in the tank would be converted to a
negative suction head.
 Friction in the pipes, fittings, and associated hardware is a negative suction head.
 Negative suction heads are added to the pump discharge head, positive suctions
heads are subtracted from the pump discharge head.

Total Dynamic Head (TDH) is the total height that a fluid is to be pumped, taking into
account friction losses in the pipe.

TDH = Static Lift + Static Height + Friction Loss

where:
Static Lift is the height the water will rise before arriving at the pump (also known as the
'suction head').

Static Height is the maximum height reached by the pipe after the pump (also known as
the 'discharge head').

Friction Loss is the head equivalent to the energy losses due to viscose drag of fluid
flowing in the pipe (both on the suction and discharge sides of the pump). It is calculated
via a formula or a chart, taking into account the pipe diameter and roughness and the
fluid flow rate, density, and viscosity.

Motor hp Brake hp Water hp

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Horsepower

Work involves the operation of force over a specific distance. The rate of doing work is
called power.
The rate in which a horse could work was determined to be about 550 ft-lbs/sec or
33,000 ft-lbs/min.

1 hp = 33,000 ft-lbs/min

Motor Horsepower (mhp)

1 hp = 746 watts or .746 Kilowatts

MHP refers to the horsepower supplied in the form of electrical current. The efficiency of
most motors range from 80-95%. (Manufactures will list efficiency %)

Brake Horsepower (bhp)

Water hp
Brake hp = ---------------
Pump Efficiency

BHP refers to the horsepower supplied to the pump from the motor. As the power moves
through the pump, additional horsepower is lost, resulting from slippage and friction of
the shaft and other factors.

Water Horsepower

(flow gpm)(total hd)

Water hp = ---------------------------
3960
Water horsepower refers to the actual horse power available to pump the water.

Horsepower and Specific Gravity

The specific gravity of a liquid is an indication of its density or weight compared to water.
The difference is specific gravity, include it when calculating ft-lbs/min pumping
requirements.

(ft) (lbs/min) (sp.gr.)

------------------------- = whp
33,000 ft-lbs/min/hp

MHP and Kilowatt requirements

1 hp = 0.746 kW or (hp) (746 watts/hp)

------------------------
1000 watts/kW

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Well Calculations
1. Well drawdown

Drawdown ft = Pumping water level, ft - Static water level, ft

2. Well yield
Flow, gallons
Well yield, gpm = -----------------------
Duration of test, min

3. Specific yield

Well yield, gpm

Specific yield, gpm/ft = ---------------------
Drawdown, ft

4. Deep well turbine pump calculations.

Discharge head, ft = (pressure measured) ( 2.31 ft/psi)

Field head, ft = pumping water + discharge head, ft

Bowl head, ft = field head + column friction

1 psi = 2.31 feet of head

1 foot of head = .433 psi

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Example 1

A centrifugal pump is located at an elevation of 722 ft. This pump is used to move water
from reservoir A to reservoir B. The water level in reservoir A is 742 ft and the water level
in reservoir B is 927 ft. Based on these conditions answer the following questions:

1. If the pump is not running and pressure gauges are installed on the suction
and discharge lines, what pressures would the gauges read?

Suction side:

Discharge side:

2. How can you tell if this is a suction head condition?

3. Calculate the following head measurements:

SSH:

SDH:

TSH:

4. Convert the pressure gauge readings to feet:

6 psi:

48 psi:

110 psi:

5. Calculate the following head in feet to psi:

20 ft:

205 ft:

185 ft:

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Motor Section
We will now refer to the motor, coupling, and bearings. The power source of the pump is
usually an electric motor. The motor is connected by a coupling to the pump shaft. The
purpose of the bearings is to hold the shaft firmly in place, yet allow it to rotate. The bearing
house supports the bearings and provides a reservoir for the lubricant. An impeller is
connected to the shaft. The pump assembly can be a vertical or horizontal set-up; the
components for both are basically the same.

Motors
The purpose of this discussion on pump motors is to identify and describe the main types
of motors, starters, enclosures, and motor controls, as well as to provide you with some
basic maintenance and troubleshooting information. Although pumps could be driven by
diesel or gasoline engines, pumps driven by electric motors are commonly used in our
industry.

There are two general categories of electric motors:

 D-C motors, or direct current
 A-C motors, or alternating current
You can expect most motors at facilities to be A-C type.

D-C Motors
The important characteristic of the D-C motor is that its
speed will vary with the amount of current used. There
are many different kinds of D-C motors, depending on
how they are wound and their speed/torque
characteristics.

A-C Motors
There are a number of different types of alternating current motors such as Synchronous,
Induction, wound rotor, and squirrel cage. The synchronous type of A-C motor requires
complex control equipment, since they use a combination of A-C and D-C. This also
means that the synchronous type of A-C motor is used in large horsepower sizes, usually
above 250 HP. The induction type motor uses only alternating current. The squirrel cage
motor provides a relatively constant speed and the wound rotor type could be used as a
variable speed motor.

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Define the Following Terms:

Voltage:

EMF:

Power:

Current:

Resistance:

Conductor:

Phase:

Single Phase:

Three Phase:

Hertz:

Motor Starters
All electric motors, except very small ones such as
chemical feed pumps, are equipped with starters, either full
voltage or reduced voltage. This is because motors draw a
much higher current when they are starting and gaining
speed. The purpose of the reduced voltage starter is to
prevent the load from coming on until the amperage is low
enough. How do you think keeping the discharge valve
closed on a centrifugal pump could reduce the startup load?

Motor Enclosures
Depending on the application, motors may need special
protection. Some motors are referred to as open motors.
They allow air to pass through to remove heat generated when current passes through
the windings. Other motors use specific enclosures for special environments or safety
protection.

Can you think of any locations within your facility that requires special enclosures?
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Two Types of Totally Enclosed Motors Commonly Used are:
 TENV, or totally enclosed non-ventilated motor
 TEFC, or totally enclosed fan cooled motor

Totally enclosed motors include dust-proof, water-proof and explosion-proof motors. An

explosion proof enclosure must be provided on any motor where dangerous gases might
accumulate.

Motor Controls
All pump motors are provided with some method of control, typically a combination of
manual and automatic. Manual pump controls can be located at the central control panel
at the pump or at the suction or discharge points of the liquid being pumped.

There are a number of ways in which automatic control of a pump motor can be regulated:
 Pressure and vacuum
sensors
 Preset time intervals
 Flow sensors
 Level sensors

Two typical level sensors are

the float sensor and the bubble
regulator. The float sensor is
pear-shaped and hangs in the
wet well. As the height
increases, the float tilts, and the
mercury in the glass tube flows
toward the end of the tube that
has two wires attached to it.
When the mercury covers the
wires, it closes the circuit.

A low pressure air supply is allowed to escape from a bubbler pipe in the wet well. The
back-pressure on the air supply will vary with the liquid level over the pipe. Sensitive air
pressure switches will detect this change and use this information to control pump
operation.

Motor Maintenance
Motors should be kept clean, free of moisture, and
lubricated properly. Dirt, dust, and grime will plug
the ventilating spaces and can actually form an
insulating layer over the metal surface of the motor.

What condition would occur if the ventilation

becomes blocked?

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Moisture
Moisture harms the insulation on the windings to the point where they may no longer
provide the required insulation for the voltage applied to the motor. In addition, moisture
on windings tend to absorb acid and alkali fumes, causing damage to both insulation and
metals. To reduce problems caused by moisture, the most suitable motor enclosure for
the existing environment will normally be used. It is recommended to run stand by motors
to dry up any condensation which accumulates in the motor.

Motor Lubrication
Friction will cause wear in all moving parts, and lubrication is needed to reduce this friction.
It is very important that all your manufacturer's recommended lubrication procedures are
strictly followed. You have to be careful not to add too much grease or oil, as this could
cause more friction and generate heat.

To grease the motor bearings, this is the usual approach:

1. Remove the protective plugs and caps from the grease inlet and relief holes.
2. Pump grease in until fresh starts coming from the relief hole.
If fresh grease does not come out of the relief hole, this could mean that the grease has
been pumped into the motor windings. The motor must then be taken apart and cleaned
by a qualified service representative.

To change the oil in an oil lubricated motor, this is the usual approach:

1. Remove all plugs and let the oil drain.

2. Check for metal shearing.
3. Replace the oil drain.
4. Add new oil until it is up to the oil level plug.
5. Replace the oil level and filter plug.
Never mix oils, since the additives of different oils when combined can cause breakdown
of the oil.

Finger is shown pointing to a Lantern Ring. This old school method of sealing a pump is
still out there. Notice the packing on both sides of the ring. The packing joints need to be
staggered and the purpose of this device is to allow air to the Stuffing Box.

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Slip Ring
The slip ring or wound rotor motor is an induction machine where the rotor comprises a
set of coils that are terminated in slip rings to which external impedances can be
connected. The stator is the same as is used with a standard squirrel cage motor. By
changing the impedance connected to the rotor circuit, the speed/current and
speed/torque curves can be altered.

The slip ring motor is used primarily to start a high inertia load or a load that requires a
very high starting torque across the full speed range. By correctly selecting the resistors
used in the secondary resistance or slip ring starter, the motor is able to produce maximum
torque at a relatively low current from zero speed to full speed. A secondary use of the
slip ring motor is to provide a means of speed control.

Because the torque curve of the motor is effectively modified by the resistance connected
to the rotor circuit, the speed of the motor can be altered. Increasing the value of resistance
on the rotor circuit will move the speed of maximum torque down. If the resistance
connected to the rotor is increased beyond the point where the maximum torque occurs
at zero speed, the torque will be further reduced. When used with a load that has a torque
curve that increases with speed, the motor will operate at the speed where the torque
developed by the motor is equal to the load torque. Reducing the load will cause the motor
to speed up, and increasing the load will cause the motor to slow down until the load and
motor torque are equal. Operated in this manner, the slip losses are dissipated in the
secondary resistors and can be very significant. The speed regulation is also very poor.

Stepper Motors
Closely related in design to three-phase AC synchronous motors are stepper motors,
where an internal rotor containing permanent magnets or a large iron core with salient
poles is controlled by a set of external magnets that are switched electronically. A stepper
motor may also be thought of as a cross between a DC electric motor and a solenoid. As
each coil is energized in turn, the rotor aligns itself with the magnetic field produced by the
energized field winding. Unlike a synchronous motor, in its application, the motor may not
rotate continuously; instead, it "steps" from one position to the next as field windings are
energized and de-energized in sequence. Depending on the sequence, the rotor may turn
forwards or backwards.

Simple stepper motor drivers entirely energize or entirely de-energize the field windings,
leading the rotor to "cog" to a limited number of positions; more sophisticated drivers can
proportionally control the power to the field windings, allowing the rotors to position
between the cog points and thereby rotate extremely smoothly. Computer controlled
stepper motors are one of the most versatile forms of positioning systems, particularly
when part of a digital servo-controlled system.

Stepper motors can be rotated to a specific angle with ease, and hence stepper motors
are used in pre-gigabyte era computer disk drives, where the precision they offered was
adequate for the correct positioning of the read/write head of a hard disk drive. As drive
density increased, the precision limitations of stepper motors made them obsolete for hard
drives, thus newer hard disk drives use read/write head control systems based on voice
coils.

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Linear Motors
A linear motor is essentially an electric motor that has been "unrolled" so that, instead of
producing a torque (rotation), it produces a linear force along its length by setting up a
traveling electromagnetic field. Linear motors are most commonly induction motors or
stepper motors. You can find a linear motor in a maglev (Transrapid) train, where the train
"flies" over the ground, and in many roller-coasters where the rapid motion of the motorless
railcar is controlled by the rail.

Doubly-fed Electric Motor

Doubly-fed electric motors have two independent multiphase windings that actively
participate in the energy conversion process with at least one of the winding sets
electronically controlled for variable speed operation. Two is the most active multiphase
winding sets possible without duplicating singly-fed or doubly-fed categories in the same
package. As a result, doubly-fed electric motors are machines with an effective constant
torque speed range that is twice synchronous speed for a given frequency of excitation.
This is twice the constant torque speed range as singly-fed electric machines, which have
only one active winding set.

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Coupling Section
The pump coupling serves two main purposes:

 It couples or joins the two shafts together to transfer the rotation from motor to
impeller.

 It compensates for small amounts of misalignment between the pump and the
motor.

Remember that any coupling is a device in motion. If you have a 4-inch diameter coupling
rotating at 1800 rpm, its outer surface is traveling about 20 mph. With that in mind, can
you think of safety considerations?

There are three commonly used types of couplings: Rigid, Flexible and V-belts.

Rigid Coupling
Rigid couplings are most commonly used on vertically mounted pumps. The rigid coupling
is usually specially keyed or constructed for joining the coupling to the motor shaft and the
pump shaft. There are two types of rigid couplings: the flanged coupling, and the split
coupling.

Flexible Coupling. The flexible coupling provides the ability to compensate for small shaft
misalignments. Shafts should be aligned as close as possible, regardless. The greater the
misalignment, the shorter the life of the coupling. Bearing wear and life are also affected
by misalignment.

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Alignment of Flexible and Rigid Couplings
Both flexible and rigid couplings must be carefully aligned before they are connected.
Misalignment will cause excessive heat and vibration, as well as bearing wear. Usually,
the noise from the coupling will warn you of shaft misalignment problems.

Three types of shaft alignment problems are shown in the pictures below:

ANGULAR MISALIGNMENT ANGULAR AND PARALLEL PARALLEL MISALIGNMENT

Different couplings will require different alignment procedures. We will look at the
general procedures for aligning shafts.

1. Place the coupling on each shaft.

2. Arrange the units so they appear to be aligned. (Place shims under the legs of
one of the units to raise it.)
3. Check the run-out, or difference between the driver and driven unit, by rotating
the shafts by hand.
4. Turn both units so that the maximum run-out is on top.

Now you can check the units for both parallel and angular alignment. Many techniques
are used, such as: straight edge, needle deflection (dial indicators), calipers, tapered
wedges, and Laser alignment.

V-Belt Drive Couplings

V-belt drives connect the pump to the motor. A pulley is mounted on the pump and motor
shaft. One or more belts are used to connect the two pulleys. Sometimes a separately
mounted third pulley is used. This idler pulley is located off centerline between the two
pulleys, just enough to allow tensioning of the belts by moving the idler pulley. An
advantage of driving a pump with belts is that various speed ratios can be achieved
between the motor and the pump.

Shaft Bearings
There are three types of bearings commonly used: ball bearings, roller bearings, and
sleeve bearings. Regardless of the particular type of bearings used within a system--
whether it is ball bearings, a sleeve bearing, or a roller bearing--the bearings are designed
to carry the loads imposed on the shaft.

Bearings must be lubricated. Without proper lubrication, bearings will overheat and seize.
Proper lubrication means using the correct type and the correct amount of lubrication.
Similar to motor bearings, shaft bearings can be lubricated either by oil or by grease.

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Packing Seals
Should packing have leakage?

How can we prevent the water from leaking along the shaft?
A special seal is used to prevent liquid leaking out along the shaft. There are two types
of seals commonly used:

 Packing seal
 Mechanical seal

Leakage
During pump operation, a certain amount of
leakage around the shafts and casings
normally takes place.

This leakage must be controlled for two

reasons: (1) to prevent excessive fluid loss
from the pump, and (2) to prevent air from
entering the area where the pump suction
pressure is below atmospheric pressure.

The amount of leakage that can occur without limiting pump efficiency determines the type
of shaft sealing selected. Shaft sealing systems are found in every pump. They can vary
from simple packing to complicated sealing systems.

Packing is the most common and oldest method of sealing. Leakage is checked by the
compression of packing rings that causes the rings to deform and seal around the pump
shaft and casing. The packing is lubricated by liquid moving through a lantern ring in the
center of the packing. The sealing slows down the rate of leakage. It does not stop it
completely, since a certain amount of leakage is necessary during operation. Mechanical
seals are rapidly replacing conventional packing on centrifugal pumps.

Some of the reasons for the use of mechanical seals are as follows:
1. Leaking causes bearing failure by contaminating the oil with water. This is a
major problem in engine-mounted water pumps.

2. Properly installed mechanical seals eliminate leakoff on idle (vertical) pumps. This
design prevents the leak (water) from bypassing the water flinger and entering the lower
bearings.

Leakoff causes two types of seal leakage:

a. Water contamination of the engine lubrication oil.
b. Loss of treated fresh water that causes scale buildup in the cooling system.

Centrifugal pumps are versatile and have many uses. This type of pump is commonly
used to pump all types of water and wastewater flows, including thin sludge.
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Lantern Rings
Lantern rings are used to supply clean water along the shaft. This helps to prevent grit
and air from reaching the area. Another component is the slinger ring. The slinger ring is
an important part of the pump because it is used to protect the bearings. Other materials
can be used to prevent this burier.

Mechanical Seals
Mechanical seals are commonly used to reduce leakage
around the pump shaft. There are many types of mechanical
seals. The photograph below illustrates the basic
components of a mechanical seal. Similar to the packing
seal, clean water is fed at a pressure greater than that of the
liquid being pumped. There is little or no leakage through the
mechanical seal. The wearing surface must be kept
extremely clean. Even fingerprints on the wearing surface
can introduce enough dirt to cause problems.

What care should be taken when storing mechanical seals?

Mechanical Seals

Wear Rings
Not all pumps have wear rings. However, when they are included, they are usually
replaceable. Wear rings can be located on the suctions side and head side of the volute.
Wear rings could be made of the same metal but of different alloys. The wear ring on the
head side is usually a harder alloy.

It’s called a “WEAR RING” and what would be the purpose?

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Mechanical Seals
Mechanical seals are rapidly replacing conventional packing as the means of controlling
leakage on rotary and positive-displacement pumps. Mechanical seals eliminate the
problem of excessive stuffing box leakage, which causes failure of pump and motor
bearings and motor windings.

Mechanical seals are ideal for pumps that operate in closed systems (such as fuel service
and air-conditioning, chilled-water, and various cooling systems). They not only conserve
the fluid being pumped, but also improve system operation.

The type of material used for the seal faces will depend upon the service of the pump.
Most water service pumps use a carbon material for one of the seal faces and ceramic
(tungsten carbide) for the other. When the seals wear out, they are simply replaced.

You should replace a mechanical seal whenever the seal is removed from the shaft for
any reason, or whenever leakage causes undesirable effects on equipment or surrounding
spaces. Do not touch a new seal on the sealing face because body acid and grease or
dirt will cause the seal to pit prematurely and leak.

Mechanical shaft seals are positioned on the shaft by stub or step sleeves. Mechanical
shaft seals must not be positioned by setscrews. Shaft sleeves are chamfered (beveled)
on the outboard ends for easy mechanical seal mounting. Mechanical shaft seals serve to
ensure that position liquid pressure is supplied to the seal faces under all conditions of
operation. They also ensure adequate circulation of the liquid at the seal faces to minimize
the deposit of foreign matter on the seal parts.

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Maintenance of Centrifugal Pumps
When properly installed, maintained and operated, centrifugal pumps
are usually trouble-free. Some of the most common corrective
maintenance actions that you may be required to perform are discussed
in the following sections.

Repacking - Lubrication of the pump packing is extremely important.

The quickest way to wear out the packing is to forget to open the water
piping to the seals or stuffing boxes. If the packing is allowed to dry
out, it will score the shaft. When operating a centrifugal pump, be sure
there is always a slight trickle of water coming out of the stuffing box or
seal. How often the packing in a centrifugal pump should be renewed
depends on several factors, such as the type of pump, condition of the
shaft sleeve, and hours in use.

To ensure the longest possible service from pump packing, make certain the shaft or
sleeve is smooth when the packing is removed from a gland. Rapid wear of the packing
will be caused by roughness of the shaft sleeve (or shaft where no sleeve is installed). If
the shaft is rough, it should be sent to the machine shop for a finishing cut to smooth the
surface. If it is very rough, or has deep ridges in it, it will have to be renewed. It is
absolutely necessary to use the correct packing. When replacing packing, be sure the
packing fits uniformly around the stuffing box. If you have to flatten the packing with a
hammer to make it fit, YOU ARE NOT USING THE RIGHT SIZE. Pack the box loosely,
and set up the packing gland lightly. Allow a liberal leak-off for stuffing boxes that
operate above atmospheric pressure.

Next, start the pump. Let it operate for about 30 minutes before you adjust the packing
gland for the desired amount of leak-off. This gives the packing time to run-in and swell.
You may then begin to adjust the packing gland. Tighten the adjusting nuts one flat at a
time. Wait about 30 minutes between adjustments. Be sure to tighten the same amount
on both adjusting nuts. If you pull up the packing gland unevenly (or cocked), it will cause
the packing to overheat and score the shaft sleeves. Once you have the desired leak-off,
check it regularly to make certain that sufficient flow is maintained.

Mechanical Seals
Mechanical seals are rapidly replacing conventional packing as the means of
controlling leakage on rotary and positive-displacement pumps. Mechanical
seals eliminate the problem of excessive stuffing box leakage, which causes
failure of pump and motor bearings and motor windings. Mechanical seals are
ideal for pumps that operate in closed systems (such as fuel service and air-
conditioning, chilled-water, and various cooling systems). They not only
conserve the fluid being pumped, but also improve system operation. The type
of material used for the seal faces will depend upon the service of the pump.
Most water service pumps use a carbon material for one of the seal faces and ceramic
(tungsten carbide) for the other. When the seals wear out, they are simply replaced. You
should replace a mechanical seal whenever the seal is removed from the shaft for any
reason, or whenever leakage causes undesirable effects on equipment or surrounding
spaces. Do not touch a new seal on the sealing face because body acid and grease or
dirt will cause the seal to pit prematurely and leak.
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Pumping and Lift Station Chapter Highlights
Pump Stations
Proper operation, maintenance, and repair of pump stations typically requires special
electrical, hydraulic, and mechanical knowledge. Pump station failure may damage
equipment, the environment, or endanger public health. Variation in equipment types,
pump station configuration, and geographical factors determine pump station design
and O&M requirements.

The reviewer should verify that the O&M manual contains procedures in writing for the
following:

• Are pumps rotated manually or automatically? If manually, how frequently?

• Are wet well operating levels set to limit pump starts and stops?

• Is there a procedure for manipulating pump operations (manually or automatically) during

wet weather to increase in-line storage of wet weather flows?

• Is flow monitoring provided? How is the collected data used?

• Does the pump station have capacity-related overflows? Maintenance related overflows?
Is overflow monitoring provided?

• Is there a history of power outages? Is there a source of emergency power? If the

emergency power source is a generator, is it regularly exercised under load?

Operation and Maintenance (O&M) Activities

Proactive O&M initiatives are critical to effective prevention of SSOs. Nationwide,
improved O&M activities such as implementation of hot spot cleaning programs, routine
pipeline cleaning, and video inspections to find structural deficiencies have dramatically
reduced the frequency and severity of SSOs in many cities. Your system should conduct
various types of proactive O&M activities throughout their service area.

Suggested goals of your system’s wastewater collection system maintenance programs

should be as follows:

 Maintain wastewater collection system flow capacity.

 Reduce the frequency and duration of overflow events.
 Optimize the use of resources.
 Optimize the life cycle of system components.
 Maintain accurate maintenance records.

Your section of the CMOM Plan shall include descriptions of maintenance facilities,
mapping and data management, routine O&M activities, system repairs, and training.

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Maintenance Program
Every collection system owner or operator should have a well-planned, systematic,
and comprehensive maintenance program.

The goals of a maintenance program should include:

• Prevention of overflows.
• Maximization of service and system reliability at minimum cost.
• Assurance of infrastructure sustainability (i.e., ensure all components reach their service
life).

There should then be procedures which describe the maintenance approach for various
systems. In addition, there should be detailed instructions for the maintenance and repair
of individual facilities. These instructions should provide a level of detail such that any
qualified collection system personnel or repair technician could perform the repair or
maintenance activity.

Maintenance may be planned or unplanned. There are essentially two types of planned
maintenance; predictive and preventive. Predictive maintenance is a method that tries to
look for early warning signs of equipment failure such that emergency maintenance is
avoided.

Preventive maintenance consists of scheduled maintenance activities performed on a

regular basis. There are two types of unplanned maintenance, corrective and emergency.
Corrective maintenance consists of scheduled repairs to problems identified under
planned or predictive maintenance. Emergency maintenance is activities (typically repairs)
performed in response to a serious equipment or line failure where action must be taken
immediately. The goal of every owner or operator should be to reduce corrective and
emergency maintenance through the use of planned and predictive maintenance. The
reviewer should evaluate the progress of the owner or operator in achieving that goal.

The goals of the reviewer in assessment of the maintenance program are:

• Identify SSOs caused by inadequate maintenance.
• Determine maintenance trends (i.e., frequent emergency maintenance performed as
opposed to predictive maintenance.)
• Identify sustainability issues (i.e., inadequate maintenance to allow system components
to reach service life and/or many components nearing or at service life.)

Pump Station Inspection

Pump stations should be subject to inspection and preventive maintenance on a regular
schedule. The frequency of inspection may vary from once a week, for a reliable pump
station equipped with a telemetry system, to continuous staffing at a large pump station.

The basic inspection should include verification that alarm systems are operating properly,
wet well levels are properly set, all indicator lights and voltage readings are within
acceptable limits, suction and discharge pressures are within normal limits, that the pumps
are running without excessive heat or vibration and have the required amount of
lubrication, and that the emergency generator is ready if needed. Less frequent
inspections may include such items as vibration analysis and internal inspection of pump
components.

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Pump Station Checklist
Observations and tasks performed should be recorded in a log book or on a checklist at
the pump station. It is important to note how this data returns to the central maintenance
data management system. At the time of the inspection, collection system personnel may
perform minor repairs if necessary. If non-emergency repairs are required that are beyond
the staff’s training, it will probably be necessary to prepare a work order which routes a
request though the proper channels to initiate the repair action. During the review the
reviewer should check a random number of work orders to see how they move through
the system. The reviewer should note whether repairs are being carried out promptly. In
pump stations, for critical equipment (pumps, drives, power equipment, and control
equipment), there should not be much backlog, unless the staff is waiting for parts.

During the review, the reviewer should also make on-site observations of representative
pump stations. The reviewer should plan at least half an hour to look at the simplest two-
pump prefabricated station, and one to two hours to look at a larger station. In large
systems, drive time between stations may be significant. The reviewer should strive to see
a range of pump station sizes and types (i.e., the largest, smallest, most remote, and any
that review of work orders has indicated might be problematic).

Overall, the pump station should be clean, in good structural condition, secure and exhibit
minimal odor. The reviewer should note the settings of the pumps (i.e., which are
operating, which are on stand-by, and which are not operating and why). The operating
pumps should be observed for noise, heat, and excessive vibration. The settings in the
wet well should be noted (as indicated on the controls, as direct observation of the wet
well by the reviewer is not recommended) and the presence of any flashing alarm lights.

Atmospheric Hazards
The reviewer is reminded of the atmospheric hazards in a pump station (make sure
ventilation has been running prior to arrival) and to avoid confined space entry. If the pump
station has an overflow its outlet should be observed, if possible, for signs of any recent
overflows such as floatable materials or toilet paper. The reviewer should check the log
book and/or checklist kept at the pump station to ensure that records are current and all
maintenance activities have been performed. Below is a listing of items that indicate
inadequate maintenance:
• Overall poor housekeeping and cleanliness.
• Excessive grease accumulation in wet well.
• Excessive corrosion on railings, ladders, and other metal components.
• Sagging, worn, improperly sized, or inadequate belts.
• Excessive equipment out of service for repair or any equipment for which repair has
not been ordered (i.e., a work order issued.)
• Pumps running with excessive heat, vibration, or noise.
• Peeling paint and/or dirty equipment (the care given to equipment’s outer surfaces
often, but not always, mirrors internal condition.)
• Check valves not closing when pumps shut off.
• Inoperative instrumentation, alarms, and recording equipment.
• “Jury-rigged” repairs (i.e., “temporary” repairs using inappropriate materials.)
• Leakage from pumps, piping, or valves (some types of pump seals are designed to
“leak” seal water.)
• Inadequate lighting or ineffective/inoperative ventilation equipment.

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Routine Preventative O&M Activities – Wastewater Lift Stations and Force Mains
Perform Regular Preventative Maintenance
The wastewater collections service technicians should perform regular preventative
maintenance on the various components at the lift stations. An outside contractor may
also be used to clean each lift station twice a year.

Most wastewater lift station and force main operations are typically remotely monitored
and controlled through a telemetry or WIFI system that sends signals to the system’s
operation center. In the event of a malfunction, all of the lift stations should have
redundant pump and pump monitoring systems, and all should have emergency backup
power generation.

System Repairs
Deficiencies in the sewer system which require repair shall be noted during cleaning and
video inspections or are discovered through investigation of customer complaints.
A Supervisor should arrange for all repairs; small repairs are often completed by the
system’s crews and larger repairs may be completed by a qualified outside contractor.

Deficiencies in lift stations and force mains requiring repair should be noted by the
wastewater collections technicians during their routine visits, by alarms or through
customer complaints. The Supervisor should make arrangements for all lift station and
force main repairs.

Maintenance Budgeting
The cost of a maintenance program is a significant part of the annual operating budget.
The collection system owner or operator should track all maintenance costs incurred
throughout the year, both by internal staff and contractors, to ensure that the budget is
based on representative costs from past years. Budgets should be developed from past
cost records which usually are categorized according to preventive maintenance,
corrective maintenance, and projected and actual major repair requirements. Annual
costs should be compared to the budget periodically to control maintenance
expenditures.

The reviewer should evaluate the maintenance budget, keeping in mind the system’s
characteristics, such as age. Costs for emergency repairs should be a relatively small
percentage of the budget--five to ten percent would not be considered excessive. The
establishment of an “emergency reserve” may also be included as part of the
maintenance budget. This is especially useful where full replacement is not funded. The
budget should also be considered in light of maintenance work order backlog.

Planned and Unplanned Maintenance

A planned maintenance program is a systematic approach to performing maintenance
activities so that equipment failure is avoided. Planned maintenance is composed of
predictive and preventive maintenance. In the end, a good planned maintenance program
should reduce material, capital repair, and replacement costs, improve personnel
utilization and morale, reduce SSOs, and sustain public confidence.

Examples of predictive maintenance includes monitoring equipment for early warning

signs of impending failure, such as excess vibration, heat, dirty oil, and leakage.
Assessment and inspection activities can be classified as predictive maintenance.
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Vibration and lubrication analyses, thermography, and ultrasonics are among the more
common predictive maintenance tools.

Predictive maintenance also takes into account historical information about the system as
all systems will deteriorate over time. A predictive maintenance program strives to identify
potential problem areas and uncover trends that could affect equipment performance.

Predictive maintenance offers an early warning. It allows collection system personnel to

detect early signs of increasing rates of wear and therefore failure, and thus shift a
“corrective” task into a “planned” task. To be truly effectively predictive, however,
maintenance should not spur personnel into doing the work too soon and wasting useful
life and value of the equipment in question.

The reviewer should inquire as to whether tools such as vibration and lubrication analysis,
thermography, or ultrasonics are used, and obtain information on the extent of the
programs.

The basis of a good predictive maintenance program is recordkeeping. Only with accurate
recordkeeping can baseline conditions be established, problem areas identified, and a
proactive approach taken to repairs and replacement.

Effective preventive maintenance minimizes system costs and environmental impacts by

reducing breakdowns and thus the need for corrective or emergency maintenance;
improves reliability by minimizing the time equipment is out of service; increases the useful
life of equipment, thus avoiding costly premature replacement; and avoids potential
noncompliance situations.

An Effective Preventive Maintenance Program Includes:

• Trained personnel.
• Scheduling based on system specific knowledge.
• Detailed instructions related to the maintenance of various pieces of equipment.
• A system for recordkeeping.
• System knowledge in the form of maps, historical knowledge and records. An
effective preventive maintenance program builds on the inspection activities and
predictive maintenance described above, and includes a well thought-out schedule
for these activities.

The basis of the schedule for mechanical equipment maintenance (i.e., pump station
components) should be the manufacturers’ recommended activities and frequencies. This
schedule may then be augmented by the knowledge and experience of collection system
personnel to reflect the site-specific requirements.

The schedule for sewer line cleaning, inspection, root removal, and repair activities should
be based on periodic inspection data. In most systems, uniform frequencies for sewer line
cleaning, inspection, and root removal are not necessary and inefficient. In many systems,
a relatively small percentage of the pipe generates most of the problems.

Efficient use of inspection data allows the owner or operator to implement a schedule in
the most constructive manner. In rare cases it may be appropriate to reduce maintenance
frequency for a particular piece of equipment.
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Lubrication
Lubrication is probably one of the most important maintenance activities for mechanical
systems, such as pumps and motors. Frequencies of lubrication, choice of lubricant and
lubrication procedure are all important factors in this activity. These items should closely
follow manufacturer instructions, but may be modified to fit site-specific conditions and
particular equipment applications. An example of a scheduling code and maintenance
schedule for a pump is shown below:

Guide for Evaluating CMOM Programs at Sanitary Sewer Collection Systems

Rotary Pump Maintenance Schedule
Frequency Maintenance Required
D Check packing gland assembly
D Check discharge pressure
S Inspect and lubricate bearings
A Flush bearings and replace lubricant

D = Daily A = Annually S = Semiannually

Typically, there is a maintenance card or record for each piece of equipment within the
collection system. These records should contain maintenance recommendations, schedule,
and instructions on conducting the specific maintenance activity. The records should include
documentation regarding any maintenance activities conducted to date and other
observations related to that piece of equipment or system. Maintenance records are generally
kept where maintenance personnel have easy access to them. The reviewer should examine
the full series of periodic work orders (i.e. weekly, monthly, semiannually, and annually) for a
selection of system components (e.g., a few pump stations, several line segments).

The reviewer should then compare the recommended maintenance frequency to that which
is actually performed. He or she should also look at the backlog of work; not focusing solely
on the number of backlogged work orders, but on what that number represents in time. A very
large system can have a hundred orders backlogged and only be one week behind. In a
computerized system, a listing of all open work orders is usually very simple for collection
system personnel to generate. The owner or operator should be able to explain their system
for prioritizing work orders.

The reviewer needs to clearly understand the following:

• How the maintenance data management system works
• How work orders are generated and distributed
• How field crews use the work orders
• How data from the field is collected and returned
• How and on whose authority work orders are closed out

The reviewer should check to see if data entry is timely and up to date.

Unplanned Maintenance
Unplanned maintenance is that which takes place in response to equipment breakdowns or
emergencies. Unplanned maintenance may be corrective or emergency maintenance.
Corrective maintenance could occur as a result of preventive or predictive maintenance
activities which identified a problem situation.

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A work order should be issued so that the request for corrective maintenance is directed to
the proper personnel. An example of non-emergency corrective maintenance could be a
broken belt on a belt driven pump. The worn belt was not detected and replaced through
preventive maintenance and therefore the pump is out of service until corrective
maintenance can be performed. Although the pump station may function with one pump out
of service, should another pump fail, the situation may become critical during peak flow
periods.

If the information can be easily generated the reviewer should select a sampling of work orders
and compare them to the corrective maintenance database to determine if repairs are being
made in a timely manner. Reviewers should note the current backlog of corrective
maintenance work orders. A corrective maintenance backlog of two weeks or less would
indicate an owner or operator in control of corrective maintenance. The owner or operator
should be able to explain corrective maintenance work orders that have not been completed
within six months.

Corrective Maintenance
Corrective maintenance takes resources away from predictive and preventive maintenance.
When corrective maintenance becomes a predominant activity, personnel may not be able to
perform planned maintenance, thus leading to more corrective maintenance and emergency
situations. Emergency maintenance occurs when a piece of equipment or system fails,
creating a threat to public health, the environment, or associated equipment. This type of
maintenance involves repairs on short notice, of malfunctioning equipment or sewers. A
broken force main, totally non-functional pump station and street cave-ins are all examples of
emergency situations.

Types of Portable Emergency Equipment

• Bypass pumps
• Portable generator
• Air compressor, trailer-mounted
• Manhole lifters and gas testing equipment
• Sewer rodder and/or flushing machine
• Portable lights and hand tools
• Chemical spray units (for insects and rodent control)
• Truck (1-ton) and trailers
• Vacuum truck
• Repair equipment for excavation (backhoe, shoring equipment, concrete mixers, gasoline
operated saws, traffic control equipment, etc.)
• Confined space entry gear

Emergency Crews
Emergency crews should be geared to a 24-hour-a-day, year-round operation. Most large
systems have staffed 24-hour crews; many small systems have an “on-call” system. The
owner or operator should be able to produce written procedures which spell out the type of
action to take in a particular type of emergency and the equipment and personnel
requirements necessary to carry out the action. The crews should have copies of these
procedures and be familiar with them. Equipment must be located in an easily accessible area
and be ready to move in a short period of time. Vehicles and equipment must be ready to
perform, under extreme climatic conditions if necessary.

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 The emergency crew may need materials such as piping, pipe fittings, bedding materials, and
concrete. The owner or operator should have supplies on hand to allow for two point (i.e.
segment, fitting, or appurtenance) repairs of any part of its system. The reviewer should note
the presence of supplies during the review of the yard where equipment and spare parts are
maintained and personnel are dispatched.

The best method of controlling hydrogen sulfide is to eliminate its habitat or growth area
by keeping sewers cleaner, this will harbor fewer slime bacteria.

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Hydrogen Sulfide
Chapter 6

The corrosive effects of Sulfuric acid are created by Hydrogen Sulfide gas.

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Hydrogen Sulfide Gas
This section provides answers to basic questions about hydrogen sulfide gas. It will explain what
hydrogen sulfide gas is, where it is found, how it can affect your health, and what you can do to
prevent or reduce exposure to it. Hydrogen sulfide gas is also known as “sewer gas” because it
is often produced by the decay of waste material. Hydrogen sulfide gas has a strong odor at low
levels. At higher levels, your nose can become overwhelmed by the gas and you cannot smell it.
At these higher levels, hydrogen sulfide gas can make you sick and even kill you.

Hydrogen Sulfide Gas

If you wait for a warning, it may be too late
Hydrogen sulfide is a powerful and deadly gas which smells like rotten eggs at low concentrations
and has a sweet smell at high concentrations. But workers should not rely on the smell as a
warning. At high concentrations H2S may overcome one's sense of smell. The result could be
instant death. Long exposure to low concentrations will also deaden the sense of smell.

What it is
H2S is explosive - it will ignite and explode when subjected to a spark or an ordinary flame - in
any concentration from 4% to 44% of the air. It is also soluble in water and oil, so it may flow for
a considerable distance from its origin before escaping above ground or in an entirely unexpected
place. Because the vapor (gas) is heavier than air, it may travel for a long way until ignited and
then flash back towards the source. Hydrogen sulfide is found in large amounts in the wastewater
collection system.

H2S Sources
H2S is easily found widely in our industry and a good manager will warn operators of its dangers
or of their exposure. It is formed by the decomposition of organic materials, so it is found in sewers
and cesspools. One thing about this gas, it may kill you later in life with asthma or COPD.

Health Effects of H2S Acute Exposure

Most importantly, H2S will kill you. The extent of acute poisoning danger depends on the concentration of
H2S in the atmosphere. The extent of acute poisoning danger depends on the concentration of H2S
in the atmosphere. When you breathe in H2S, it goes directly through your lungs and into your
bloodstream. To protect itself, your body "oxidizes" (breaks down) the H2S as rapidly as possible
into a harmless compound. If you breathe in so much H2S that your body can't oxidize all of it, the
H2S builds up in the blood and you become poisoned. The nervous centers in your brain which
control breathing are paralyzed. Your lungs stop working and you asphyxiate--just as though
someone had come up and put their hands around your neck and strangled you. A worker can be
overcome by H2S and lose consciousness in a few seconds. If he is luckily rescued in time and is
given artificial respiration within a few minutes, the worker may recover. Either artificial mouth-to-
mouth or an oxygen supply system of resuscitation will work if it is done in time, because, with an
adequate source of oxygen and no further H2S intake, the body will quickly break down the H2S
still in the blood.

This is acute poisoning. It can occur with no warning at all, since even the sense of smell may be
overcome, and it can be fatal within a few seconds. Although acute poisoning is deadly if it is not
caught in time, when caught and treated it is reversible; this is why rescue attempts with proper
safety equipment are so important. Recent evidence has shown irreversible brain damage from
acute high doses.

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Chronic Effects
H2S can also cause a wide range of sub-acute and chronic effects. At very low concentrations of
10-100 ppm, headache, dizziness, nausea and vomiting may develop, together with irritation of
the eyes and respiratory tract (the lungs and trachea and bronchi, or air pipes from the nose and
mouth to the lungs). The eyes become red, sore, inflamed, and sensitive to light. Respiratory
system effects include cough, pain in the nose and throat, and painful breathing.

If exposure at low levels continues, the worker may develop a state of chronic poisoning. In
addition to eye and respiratory tract irritation, there will be a slowed pulse rate, fatigue, insomnia,
digestive disturbances, and cold sweats. More dangerous, if exposure at the level of 100 ppm
(which results in eye and respiratory tract irritation and drowsiness after 15 minutes) lasts for
several hours, it may result in death within the next 48 hours. Symptoms of chronic exposures at
low levels are conjunctivitis (eye infections), headache, and attack of dizziness, diarrhea, and loss
of weight. Chronic hydrogen sulfide intoxication is marked by headaches, eye disorders, chronic
bronchitis, and a grey-green line on the gums. Reports of nervous system disorders including
paralysis, meningitis, and neurological problems have been reported, but not confirmed. A study
of workers and community residents of a Wastewater Treatment facility forum complained of
headaches, nausea, vomiting, depression, personality changes, nosebleeds and breathing
difficulties. When compared to a non-exposed group of people, the exposed people showed
abnormalities of color discrimination, hand-eye coordination, balance, and mood disturbances. In
rats, exposure to hydrogen sulfide has caused teratogenic effects.

How much is Safe?

The OSHA Permissible Exposure Limit (PEL) for a ceiling concentration is 20 ppm hydrogen
sulfide, a level which may not ever be exceeded. The acceptable maximum peak, for 10
minutes only, once during an 8 hour day if there is no other measurable exposure, is 50 ppm.

There is no time-weighted average because H2S is so

fast-acting that no fluctuations above 20 ppm are safe;
only one peak per day is allowed. This level is too high
and recent recommendations are that it be lowered to
10 ppm. You should remember, however, that H2S is an
invisible gas, floating freely and unpredictably, and a
reading even below a 10 ppm Permissible Exposure
Limit (PEL) may not guarantee your safety. There are
no particular medical exams for exposure to H2S.

Work Practices and Emergency Procedures

Whenever you enter a confined space such as a tank,
make sure that you follow strict work practices, including a permit system. Make sure that the
Confined Space Entry Standard 1910.146 is followed, that the air is continually monitored for the
presence of H2S, and that an attendant be stationed outside a confined space. Both of you should
wear supplied air and lifelines and rescue equipment must be immediately available.

 If you work with H2S make sure that...

Your employer has trained you in the hazards of H2S.
Your employer has appropriate rescue equipment onsite.

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Hazard Information Bulletin
Following are excerpts from a Hazard Bulletin issued by OSHA after a fatality due to H2S
exposure.

Fundamentally, employers and employees must be alert to the fact that working with a "closed
system" does not always ensure safety. Operations involving the opening of valves or pumps on
otherwise closed systems, or working on such equipment that is not isolated or locked out, are
particular sources of danger. When a normally closed system is opened, the potential exists for
releasing hazardous chemicals into the workers' breathing zones in unknown concentrations.

Respiratory Protection -- Respirators must

be provided by the employer when effective
engineering controls are not feasible, or
while they are being instituted, when such
equipment is necessary to protect the health
of the worker. The employer must provide
respirators that are applicable for the
purpose intended. Written procedures must
be developed for the safe use of respirators
during the performance of operations
presenting a potential exposure to
hazardous chemicals. Under circumstances
where individuals may be exposed to an
unknown concentration of hydrogen sulfide
or some other hazardous chemical, back-up
personnel with appropriate respirators and
emergency equipment must be present.

You must be careful around sewer mains and always be careful of Hydrogen Sulfide
and Carbon Monoxide gases. Never try to enter a confined space to rescue a downed
employee unless you have been trained in rescue procedures and have called 911 first.

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Hydrogen Sulfide Highlights
Hydrogen sulfide or H2S problems are very common in the collection and wastewater system.
There are many chemicals used to help or treat this problem. Salts of zinc, lime, hydrogen
peroxide, chlorine and magnesium hydroxide are used in the treatment of hydrogen sulfide
problems.

Hydrogen sulfide production in collection systems can cause a number of problems, including the
following: Corrosion of the pipes and manholes, creation of hazardous atmospheres and foul
odors.

The best method of controlling hydrogen sulfide is to eliminate its habitat or growth area by
keeping sewers cleaner, this will harbor fewer slime bacteria.

Statements regarding the reduction of hydrogen sulfide: Salts of zinc and iron may precipitate
sulfides, lime treatments can also kill bacteria that produces hydrogen sulfide, but this creates a
sludge disposal problem. Chlorination is effective at reducing the bacteria which produce
hydrogen sulfide.

Hydrogen sulfide conditions occur in the sewer system because of the lack of oxygen.

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Safety Chapter 6

Competent Person
One who is capable of identifying existing and predictable hazards in the surroundings or
working conditions which are unsanitary, hazardous, or dangerous to employees. They
have authorization to take prompt corrective measures to eliminate hazards.

The Competent Person also is trained and knowledgeable about soil analysis and the use
of protective systems.

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Scenario. A fixed ladder drops deep inside a permit required or type II confined
space. One man goes inside and passes out from hazardous fumes. A second
man goes in and dies within seconds trying to help his buddy. A third man goes in
to save the others and dies on the spot. Only the first man survives, that is if you
can say that being brain dead is surviving. Never try to rescue your buddies unless
you are trained and have proper equipment. Never! Call 911 first. This scenario
actually happened inside a sewer system. Don’t be the next victim.
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A Confined Space Entry Program
Should Include the Following:

 Written confined space entry procedures

 Evaluation to determine whether entry is necessary
 Issuance of a confined space entry permit
 Evaluation of the confined space by a qualified person
 Testing and monitoring the air quality in the confined space to ensure:
 Oxygen level is at least 19.5%
 Flammable range is less than 10% of the LFL (lower flammable limit)
 Training of workers and supervisors in the selection and use of:
o safe entry procedures
o respiratory protection
o lifelines and retrieval systems
o protective clothing
 Training of employees in safe work procedures in and around confined spaces
 Training of employees in confined space rescue procedures
 Conducting safety meetings to discuss confined space safety
 Availability and use of proper ventilation equipment
 Monitoring the air quality while workers are in the confined space.

Recommendation #2: Employers should identify the types of confined spaces within their
jurisdiction and develop and implement confined space entry and rescue programs.

Discussion: Employers may be required to enter confined spaces to perform either non-
emergency tasks or emergency rescue.

Therefore, employers should identify the types of confined spaces within their jurisdiction
and develop and implement confined space entry and rescue programs that include written
emergency rescue guidelines and procedures for entering confined spaces. A confined
space program, as outlined in NIOSH Publications 80-106 and 87-113, should be
implemented. At a minimum, the following should be addressed:

1. Is entry necessary? Can the task be accomplished from the outside? For example,
measures that eliminate the need for employees to enter confined spaces should be
carefully evaluated and implemented if at all possible before considering human entry into
confined spaces to perform non-emergency tasks.

2. If entry is to be made, has the air quality in the confined space been tested for safety
based on the following:
 oxygen supply at least 19.5%
 flammable range for all explosive gases less than 10% of the lower flammable limit
 absence of toxic air contaminants?

3. Is ventilation equipment available and/or used?

4. Is appropriate rescue equipment available?

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5. Are supervisors being continuously trained in the selection and use of appropriate rescue
equipment such as:
 SCBA's
 lifelines
 human hoist systems offering mechanical advantage
 protective clothing
 ventilation systems

6. Are employees being properly trained in confined space entry procedures?

7.Are confined space safe work practices discussed in safety meetings?

8. Are employees trained in confined space rescue procedures?

9. Is the air quality monitored when the ventilation equipment is operating?

The American National Standards Institute (ANSI) Standard Z117.1-1989 (Safety

Requirements for Confined Spaces), 3.2 and 3.2.1 state, "Hazards shall be identified for
each confined space. The hazard identification process shall include, ... the past and
current uses of the confined space which may adversely affect the atmosphere of the
confined space; ... The hazard identification process should consider items such as ... the
operation of gasoline engine powered equipment in or around the confined space."

D-Ring on the rear of the harness is necessary for the entrant to be retrieved from
the confined space.

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Confined Spaces are
-large enough to allow entry of any body part, and Smart Safety Rules
-limited or restricted entry or exit, and
-not designed for continuous employee occupancy Know what you are getting
Permit Required Confined Spaces are confined spaces that into.
have any of the following Know how to get out in an
-potential hazardous atmosphere emergency.
-material inside that may engulf or trap you Know the hazards & how they
-internal design that could trap or asphyxiate you are controlled.
-any other serious safety or health hazard Only authorized & trained
personnel may enter a
Entry Permits are required before you enter any Confined Space or act as an
“Permit Required Confined Space” attendant.
No smoking in Confined
Hazards include Space or near entrance or exit
 Fire & Explosion area.
 Engulfment Attendant must be present at
 Asphyxiation all times.
 Entrapment Constant visual or voice
 Slips & Falls communication must be
maintained between the
 Electric Shock
attendant and entrants.
 Noise & Vibration
No bottom or side entry will be
 Chemical Exposure
made, or work conducted
 Toxic Atmospheres below the level any hanging
 Thermal / Chemical Burns material or material which
Engineering Controls could cause engulfment.
 Ventilation
Air and oxygen monitoring is
 Locked Access
required before entering a
 Lighting
Permit-Required Confined
Administrative Controls Space.
 Controlled Access
Ventilation & oxygen
 Hazard Assessments
monitoring is required when
 Entry Permits & Procedures
welding is performed.
 Signs & Lockout Tagout
 Training

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Confined Space Entry Program

Purpose
The Confined Space Entry Program is provided to protect authorized employees that
will enter confined spaces and may be exposed to hazardous atmospheres, engulfment
in materials, conditions which may trap or asphyxiate due to converging or sloping walls,
or contains any other safety or health hazards.
Reference: OSHA-Permit-Required Confined Spaces (29 CFR 1910.146).

Scope
You are required to recognize the dangers and hazards associated with confined
spaces, and this program is designed to assist you in the safety of and compliance with
the OSHA standards associated with such.

Most communities will utilize the Fire Department for all rescues and additional
assistance dealing with confined spaces, understanding that most Fire Department
operations utilize additional in house SOG's/SOP’s pertaining to such operations.

Definitions
Confined space:
Is large enough or so configured that an employee can bodily enter and perform
work.
Has limited or restricted means for entry or exit (i.e. tanks, vessels, silos, storage
bins, hoppers, vaults, and pits are spaces that may have limited means of entry).
Is not designed for continuous employee occupancy.
Permit required confined space (permit space), is a confined space that has one or
more of the following characteristics:
1. Contains or has a potential to contain a
hazardous atmosphere.
2. Contains a material that has the
potential for engulfing an entrant.
3. Has an internal configuration such that
an entrant could be trapped or
asphyxiated by inwardly covering walls or
by a floor which slopes downward and
tapers to a smaller cross-section.
4. Contains any other recognized serious
safety or health hazard.
Each Permit-Required Confined Space will be marked

"Confined Space - Entry Permit Required".

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Confined Space Hazards
Fatalities and injuries constantly occur among construction workers who, during the course
of their jobs, are required to enter confined spaces. In some circumstances, these workers
are exposed to multiple hazards, any of which may cause bodily injury, illness, or death.

Newspaper and magazine articles abound with stories of workers injured and killed from a
variety of atmospheric factors and physical agents. Throughout the construction jobsite,
contractors and workers encounter both inherent and induced hazards within confined
workspaces.

Inherent Hazards
Inherent hazards, such as electrical, thermal, chemical, mechanical, etc., are associated
with specific types of equipment and the interactions among them.

Examples include high voltage (shock or corona discharge and the resulting burns),
radiation generated by equipment, defective design, omission of protective features (no
provision for grounding non-current-carrying conductive parts), high or low temperatures,
high noise levels, and high-pressure vessels and lines (rupturing with resultant release of
fragments, fluids, gases, etc.).

Inherent hazards usually cannot be eliminated without degrading the system or equipment,
or without making them inoperative. Therefore, emphasis must be placed on hazard control
methods.

Induced Hazards
Induced hazards arise, and are induced from, a multitude of incorrect decisions and actions
that occur during the actual construction process. Some examples are: omission of
protective features, physical arrangements that may cause unintentional worker contact
with electrical energy sources, oxygen-deficient atmospheres created at the bottom of pits
or shafts, lack of safety factors in structural strength, and flammable atmospheres.

Typical Examples of Confined Workspaces

Following are typical examples of confined workspaces in
construction which contain both inherent and induced
hazards.

Vaults
A variety of vaults are found on the construction jobsite.
On various occasions, workers must enter these vaults to
perform a number of functions.

The restricted nature of vaults and their frequently below-

grade location can create an assortment of safety and
health problems.

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Oxygen-Deficient Atmosphere
One of the major problems confronting construction workers while working in vaults is the
ever-present possibility of an oxygen-deficient atmosphere.

Explosive or Toxic Gases, Vapors, or Fumes

While working in an electrical vault, workers may be exposed to the build-up of explosive
gases such as those used for heating (propane). Welding and soldering produce toxic
fumes which are confined in the limited atmosphere.

Electrical Shock
Electrical shock is often encountered from power tools, line cords, etc. In many instances,
such electrical shock results from the fact that the contractor has not provided an approved
grounding system or the protection afforded by ground-fault circuit interrupters or low-
voltage systems.

Purging
In some instances, purging agents such as nitrogen and argon may enter the vault from
areas adjacent to it. These agents may displace the oxygen in the vault to the extent that it
will asphyxiate workers almost immediately.

Materials Falling In and On

A hazard normally considered a problem associated with confined spaces is material or
equipment which may fall into the vault or onto workers as they enter and leave the vault.

Vibration could cause the materials on top of the vault to roll off and strike workers. If the
manhole covers were removed, or if they were not installed in the first place, materials could
fall into the vault, causing injury to the workers inside.

Condenser Pits
A common confined space found in the construction of nuclear power plants is the
condenser pit. Because of their large size, they are often overlooked as potentially
hazardous confined spaces.

These below-grade areas create large containment areas for the accumulation of toxic
fumes, gases, and so forth, or for the creation of oxygen-deficient atmospheres when
purging with argon, Freon, and other inert gases.

Other hazards will be created by workers above dropping equipment, tools, and materials
into the pit.

Manholes
Throughout the construction site, manholes are commonplace. As means of entry into and
exit from vaults, tanks, pits, and so forth, manholes perform a necessary function. However,
these confined spaces may present serious hazards which could cause injuries and
fatalities.

A variety of hazards are associated with manholes. To begin with, the manhole could be a
dangerous trap into which the worker could fall. Often covers are removed and not replaced,
or else they are not provided in the first place.

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Pipe Assemblies
One of the most frequently unrecognized types of confined spaces encountered throughout
the construction site is the pipe assembly. Piping of sixteen to thirty-six inches in diameter
is commonly used for a variety of purposes.

For any number of reasons, workers will enter the pipe. Once inside, they are faced with
potential oxygen-deficient atmospheres, often caused by purging with argon or another inert
gas. Welding fumes generated by the worker in the pipe, or by other workers operating
outside the pipe at either end, subject the worker to toxic atmospheres.

The generally restricted dimensions of the pipe provide little room for the workers to move
about and gain any degree of comfort while performing their tasks. Once inside the pipe,
communication is extremely difficult. In situations where the pipe bends, communication
and extrication become even more difficult. Electrical shock is another problem to which the
worker is exposed.

Ungrounded tools and equipment or inadequate line cords are some of the causes. As well,
heat within the pipe run may cause the worker to suffer heat prostration.

Ventilation Ducts
Ventilation ducts, like pipe runs, are very common at the construction site. These sheet
metal enclosures create a complex network which moves heated and cooled air and
exhaust fumes to desired locations in the plant.

Ventilation ducts may require that workers enter them to cut out access holes, install
essential parts of the duct, etc. Depending on where these ducts are located, oxygen
deficiency could exist. They usually possess many bends, which create difficult entry and
exit and which also make it difficult for workers inside the duct to communicate with those
outside it. Electrical shock hazards and heat stress are other problems associated with work
inside ventilation ducts.

Tanks
Tanks are another type of confined workspace commonly found in construction. They are
used for a variety of purposes, including the storage of water, chemicals, etc.

Tanks require entry for cleaning and repairs. Ventilation is always a problem. Oxygen-
deficient atmospheres, along with toxic and explosive atmospheres created by the
substances stored in the tanks, present hazards to workers. Heat, another problem in tanks,
may cause heat prostration, particularly on a hot day.

Since electrical line cords are often taken into the tank, the hazard of electrical shock is
always present. The nature of the tank's structure often dictates that workers must climb
ladders to reach high places on the walls of the tank.

Sumps
Sumps are commonplace. They are used as collection places for water and other liquids.
Workers entering sumps may encounter an oxygen-deficient atmosphere.

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Also, because of the wet nature of the sump, electrical shock hazards are present when
power tools are used inside. Sumps are often poorly illuminated. Inadequate lighting may
create an accident situation.

Containment Cavities
These large below-grade areas are characterized by little or no air movement. Ventilation
is always a problem. In addition, the possibility of oxygen deficiency exists. As well, welding
and other gases may easily collect in these areas, creating toxic atmospheres. As these
structures near completion, more confined spaces will exist as rooms are built off the
existing structure.

Electrical Transformers
Electrical transformers are located on the jobsite. They often contain a nitrogen purge or
dry air. Before they are opened, they must be well vented by having air pumped in. Workers,
particularly electricians and power plant operators, will enter these transformers through
hatches on top for various work-related reasons. Testing for oxygen deficiency and for toxic
atmospheres is mandatory.

Heat Sinks
These larger pit areas hold cooling water
in the event that there is a problem with
the pumps located at the water supply to
the plant--normally a river or lake--which
would prevent cooling water from
reaching the reactor core.

When in the pits, workers are exposed to

welding fumes and electrical hazards,
particularly because water accumulates in
the bottom of the sink.

Generally, it is difficult to communicate

with workers in the heat sink, because the
rebar in the walls of the structure deaden
radio signals.

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Unusual Conditions
Confined Space within a Confined Space
By the very nature of construction, situations are created which illustrate one of the most
hazardous confined spaces of all--a confined space within a confined space.

This situation appears as tanks within pits, pipe assemblies or vessels within pits, etc. In
this situation, not only do the potential hazards associated with the outer confined space
require testing, monitoring, and control, but those of the inner space also require similar
procedures.

Often, only the outer space is evaluated. When workers enter the inner space, they are
faced with potentially hazardous conditions. A good example of a confined space within a
confined space is a vessel with a nitrogen purge inside a filtering water access pit. Workers
entering the pit and/or the vessel should do so only after both spaces have been evaluated
and proper control measures established.

Hazards in One Space Entering another Space

During an examination of confined spaces in
construction, one often encounters situations which
are not always easy to evaluate or control. For
instance, a room or area which classifies as a
confined space may be relatively safe for work.

However, access passages from other areas

outside or adjacent to the room could, at some
point, allow the transfer of hazardous agents into
the "safe" one. One such instance would be a pipe
coming through a wall into a containment room.

Welding fumes and other toxic materials generated

in one room may easily travel through the pipe into
another area, causing it to change from a safe to
an unsafe workplace. A serious problem with a
situation such as this is that workers working in the
"safe" area are not aware of the hazards leaking
into their area. Thus, they are not prepared to take
action to avoid or control it.

Session Conclusion
In this discussion, we have defined inherent and
induced hazards in confined spaces. We have
examined typical confined spaces on construction sites and we have described
representative hazards within these confined spaces.

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Examples of “Permit Required Confined Spaces.” Make sure you comply with these
Confined Space rules or face civil and/or criminal charges. Several states have criminally
charged Supervisors and Attendants for the actions of the employees in a Confined
Space/Permit Required Confined Space. Don’t risk death or the chance of going to jail
in order to speed up your job!

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Permitted Confined Space Entry Program
Definition of Confined Spaces Requiring an Entry Permit
Confined space:
 Is large enough or so configured that an employee can bodily enter and perform work.
 Has limited or restricted means for entry or exit (i.e. tanks, vessels, silos, storage bins,
hoppers, vaults, and pits are spaces that may have limited means of entry).
 Is not designed for continuous employee occupancy.

Purpose
The Permit Required Space (PRCS) Program is provided to protect authorized employees
that will enter confined spaces and may be exposed to hazardous atmospheres, engulfment
in materials, conditions which may trap or asphyxiate due to converging or sloping walls, or
contains any other safety or health hazards.

Many workplaces contain confined spaces not designed for human occupancy which due
to their configuration hinder employee activities including entry, work and exit. Asphyxiation
is the leading cause of death in confined spaces.

Subpart P applies to all open excavations in the earth's surface.

 All trenches are excavations.
 All excavations are not trenches.

Permit Required Confined Space Entry General Rules

During all confined space entries, the following safety rules must be strictly
enforced:
1. Only authorized and trained employees may enter a confined space or act as safety
watchmen/attendants.

2. No smoking is permitted in a confined space or near entrance/exit area.

3. During confined space entries, a watchmen or attendant must be present at all times.

4. Constant visual or voice communication will be maintained between the safety watchmen
and employees entering a confined space.

5. No bottom or side entry will be made or work conducted below the level any hanging
material or material which could cause engulfment.

6. Air and oxygen monitoring is required before entering any permit-required confined
space. Oxygen levels in a confined space must be between 19.5 and 23.5 percent. Levels
above or below will require the use of an SCBA or other approved air supplied respirator.
Additional ventilation and oxygen level monitoring is required when welding is performed.
The monitoring will check oxygen levels, explosive gas levels and carbon monoxide levels.
Entry will not be permitted if explosive gas is detected above one-half the Lower Explosive
Limit (LEL).

7. To prevent injuries to others, all openings to confined spaces will be protected by a

barricade when covers are removed.
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Appendix A to §1910.146
Permit-Required Confined Space Decision Flow Chart

Note: Appendices A through F serve to provide information and non-mandatory guidelines

to assist employers and employees in complying with the appropriate requirements of this
section.

[58 FR 4549, Jan. 14, 1993; 58 FR 34846, June 29, 1993; 63 FR 66039, Dec. 1,
1998]
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Confined Space Entry Permit Example
Date & Time Issued Date & time Expires
Space I.D. Supervisor
Equipment Affected Task
Standby Team
Time (am - pm)
Pre-Entry
Atmospheric
Checks

Oxygen
Explosive ( % LEL)
Toxic (PPM)
Testers Signature
Pre-entry Fluid System Isolation Yes No
Pumps /lines blinded, blocked, disconnected
Ventilation Source Established
Mechanical Forced Air
Natural Ventilation
Post Ventilation Pre-Entry Atmospheric Checks
Time
Oxygen (%)
Explosive ( % LEL
Toxic (PPM)
Tester Signature
Communication Procedures Established per specific Confined Space SOP
Rescue Procedures established per specific Confined Space SOP

Training Verification - for the following persons & space to be YES NO

entered
All persons entering Confined Space
All persons acting as Supervisor for the Entry
All persons assigned backup positions
All persons assigned to monitor access and interior activities
All persons assigned to emergency rescue team
Equipment on Scene YES NO NA YES NO NA
Gas Monitor Life Line
Safety Harness Hoisting
Equipment
Fall Arrest Gear Powered
Comm Eq.
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 SCBAs Air Line
Respirators
Protective Clothing Elect Gear
Properly Rated
Periodic Atmospheric Checks
Time (am - pm)
Oxygen
Explosive ( % LEL)
Toxic (PPM)
Testers Signature

A review of the work authorized by this permit and the information contained on
this Entry Permit. Written instructions and safety procedures have been received
and are understood. Entry cannot be approved if any squares are marked in the
"No" column.
This permit is not valid unless all appropriate items are completed.
Permit Prepared By: (Supervisor) _______________________________
Approved By: (Unit Supervisor) _________________________________
This permit to be kept at job site.
Return job site copy to Safety Office following job completion.

Copies: Safety Office, Unit Supervisor, Job site

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Confined Space Duties & Responsibilities

Examples of assignments
Employees
 Follow program requirements.
 Report any previously un-identified hazards
associated with confined spaces.
 Do not enter any confined spaces that have not
been evaluated for safety concerns.

Management
 Provide annual Confined Space training to all
employees that may need confined space training.
 Ensure confined space assessments have been
conducted.
 Annually review this program and all Entry
Permits.

Rescue or Training Department

 Ensure proper training for entry & rescue teams.
 Provide proper equipment for entry & rescue
teams.
 Ensure all permit required confined spaces are
posted.
 Evaluate rescue teams and service to ensure they
are adequately trained and prepared.
 Ensure rescue team at access during entry into spaces with Immediately Dangerous
to Life or Health (IDLH) atmospheres.
 Provide annual confined space awareness training to all employees
that may need confined space awareness training.

Entry Supervisor
Entry supervisors are responsible for the overall permit space entry and
must coordinate all entry procedures, tests, permits, equipment and
other relevant activities.

The following entry supervisor duties are required:

Know the hazards that may be faced during entry, including information
on the mode, signs or symptoms, and consequences of the exposure.

Verify by checking that the appropriate entries have been made on the permit, all tests
specified by the permit have been conducted, and that all procedures and equipment
specified by the permit are in place before endorsing the permit and allowing entry to
begin.

Terminate the entry and cancel the permit when the entry is complete or there is a need
for terminating the permit.

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Verify that rescue services are available and that the means for summoning them are
operable.

Remove unauthorized persons who enter or attempt to enter the space during entry
operations.

Determine whenever responsibility for a permit space entry operation is transferred and
at intervals dictated by the hazards and operations performed within the space that entry
operations remain consistent with the permit terms and that acceptable entry conditions
are maintained.

Entry Attendants
At least one attendant is required outside the permit space into which entry is authorized
for the duration of the entry operation. Responsibilities include:
 To know the hazards that may be faced during entry, including information on the
mode, signs or symptoms, and consequences of the exposure
 To be aware of possible behavioral effects of hazard exposure on entrants
 To continuously maintain an accurate count of entrants in the permit space and
ensures a means to accurately identify authorized entrants
 To remain outside the permit space during entry operations until relieved by another
attendant (once properly relieved, they may participate in other permit space activities,
including rescue if they are properly trained and equipped).
 To communicate with entrants as necessary to monitor entrant status and alert
entrants of the need to evacuate.
 To monitor activities inside and outside the space to determine if it is safe for
entrants to remain in the space; orders the entrants to immediately evacuate if: the
attendant detects a prohibited condition, detects entrant behavioral effects of hazard
exposure, detects a situation outside the space that could endanger the entrants; or if
the attendant cannot effectively and safely perform all the attendant duties.
 To summon rescue and other emergency services as soon as the attendant
determines the entrants need assistance to escape the permit space hazards.
 To perform non-entry rescues as specified by that rescue procedure and entry
supervisor and not to perform duties that might interfere with the attendants' primary
duty to monitor and protect the entrants.

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Entering a Confined Space

This space requires an

emergency retrieval system,
continuous air monitoring,
and safety watch or two-way
communication for safe
entry.

Donning the personal

protective equipment (PPE)
necessary for confined space
entry.

The full-body harness

provides fully adjustable leg
and shoulder straps for
worker comfort and proper fit.

Stamped steel sliding back

D-ring and subpelvic strap
provide optimum force
distribution.

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 Example of a "D-Ring" and
fall protection harness used
when entering a confined
space. The D-Ring provides
a compatible anchor point for
connecting devices such as
lanyards or retractable
lifelines. The shock
absorbing lanyard provides a
deceleration distance during
a fall to reduce fall arrest
forces for extra protection
against injury.

Tripod-retrieval assembly in
use for an entry into one of
the many confined spaces.

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 Checking the cable tension
and inertial locking
mechanism of the retrieval
assembly.

Correct use of this device

prevents free-falls greater
than 2 feet.

The entrant descends into

the space as the attendant
critiques the operation.

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 Dramatic rescue simulation
using the tripod-retrieval
system.

The entrant is now safely out

of the space and is ready to
return to his many other
projects after this simulated
exercise.

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Duties of the Person Authorizing or in Charge of the Entry
The person who authorizes or is in charge of the permit entry confined space must
comply with the following:

1. Make certain that all pre-entry requirements as outlined on the permit have been
completed before any worker is allowed to enter the confined space.
2. Make certain that any required pre-entry conditions are present.
3. If an in-plant/facility rescue team is to be used in the event of an emergency, make
sure they would be available. If your Employer does not maintain an in-plant rescue team,
dial 911 on any telephone for the Rescue Squad.
4. Make sure that any communication equipment which would be used to summon either
the in-plant rescue team or other emergency assistance is operating correctly.
5. Terminate the entry upon becoming aware of a condition or set of conditions whose
hazard potential exceeds the limits authorized by the entry permit.

If the person who would otherwise issue an entry permit is in charge of the entry and present
during the entire entry, then a written permit is not required if that person uses a checklist
as provided in the section on "Permits".

This person may also serve as the attendant at the site.

Special Considerations During A Permit Required Entry

Certain work being performed in a permit entry confined space could cause the atmosphere
in the space to change. Examples of this are welding, drilling, or sludge removal. In these
situations, air monitoring of the confined space should be conducted on a continuous basis
throughout the time of the entry.

If the workers leave the confined space for any significant period of time, such as for a lunch
or other break, the atmosphere of the confined space must be retested before the workers
reenter the confined space.

Unauthorized Persons
Take the following actions when unauthorized persons approach or enter a permit
space while entry is under way:
1. Warn the unauthorized persons that they must stay away from the permit space,
2. Advise unauthorized persons that they must exit immediately if they have entered
the space, and
3. Inform the authorized entrants and the entry supervisor if unauthorized persons
have entered the permit space.

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Entrants
All entrants must be authorized by the entry supervisor to enter permit spaces, have
received the required training, have used the proper
equipment, and observed the entry procedures and permit
requirements.

The following entrant duties are required:

Know the hazards that may be faced during entry,
including information on the mode, signs or symptoms,
and consequences of the exposure;

Properly use the equipment required for safe entry;

Communicate with the attendant as necessary to enable
the attendant to monitor the status of the entrants and to
enable the attendant to alert the entrants of the need to
evacuate the space if necessary;

Alert the attendant whenever; the entrant recognizes any

warning signs or symptoms of exposure to a dangerous
situation, or any prohibited condition is detected; and

Exit the permit space as quickly as possible whenever the attendant or entry supervisor
gives an order to evacuate the permit space, the entrant recognizes any warning signs
or symptoms of exposure to a dangerous situation, the entrant detects a prohibited
condition, or an evacuation alarm is activated.

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Hazards
 Explosive / Flammable Atmospheres
 Toxic Atmospheres
 Engulfment
 Asphyxiation
 Entrapment
 Slips & falls
 Chemical Exposure
 Electric Shock
 Thermal / Chemical Burns
 Noise & Vibration

Hazard Control
Engineering Controls
 Locked entry points
 Temporary ventilation
 Temporary Lighting

Administrative Controls
 Signs
 Employee training
 Entry procedures
 Atmospheric Monitoring
 Rescue procedures
 Use of prescribed Personal Protective Equipment

Entry Standard Operating Procedures

This program outlines:
 Hazards
 Hazard Control & Abatement
 Acceptable Entry Conditions
 Means of Entry
 Entry Equipment Required
 Emergency Procedures

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Here is a small clip-on style multi-purpose gas meter. Tie a string to lower the meter
in the confined space to get a gas reading before entering.

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 Permit Required Confined Space Entry General Rules
During all confined space entries, the following safety rules must be strictly
enforced:
1. Only authorized and trained employees may enter a confined space or act as safety
watchman/attendant.
2. No smoking is permitted in a confined space or near entrance/exit area.
3. During confined space entries, a watchman must be present at all times.
4. Constant visual or voice communication will be maintained between the safety
watchman/attendant and employees entering a confined space.
5. No bottom or side entry will be made or work conducted below the level of any
hanging material or material which could cause engulfment.
6. Air and oxygen monitoring is required before entering any permit-required confined
space. Oxygen levels in a confined space must be between 19.5 and 23.5 percent.
Levels above or below will require the use of an SCBA or other approved air supplied
respirator. Additional ventilation and oxygen level monitoring is required when welding
is performed.
The monitoring will check oxygen levels, explosive gas levels and carbon monoxide
levels. Entry will not be permitted if explosive gas is detected above one-half the Lower
Explosive Limit (LEL), or 10% of a specific gas explosive limit.
7. To prevent injuries to others, all openings to confined spaces will be protected by a
barricade when covers are removed.

Confined Space Entry Procedures

Each employee who enters or is involved in the entry must:
1. Understand the procedures for confined space entry
2. Know the Hazards of the specific space
3. Review the specific procedures for each entry
4. Understand how to use entry and rescue equipment

Confined Space Entry Permits

Confined Space Entry Permits must be completed before any
employee enters a permit-required confined space. The permit must
be completed and signed by an authorized member of management
before entry.

Permits will expire before the completion of the shift or if any pre-entry conditions
change.

Permits will be maintained on file for 12 months.

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 Contractor Entry
All work by non-company employees that involves the entry into confined spaces
will follow the procedures of this program. The information of this program and
specific hazards of the confined spaces to be entered will be provided to contractor
management prior to commencing entry or work.

Important Rescue Service Questions

What is the availability of the rescue service?

Is it unavailable at certain times of the day or in certain situations?

What is the likelihood that key personnel of the rescue service might be unavailable at
times?

If the rescue service becomes unavailable while an entry is underway, does it have the
capability of notifying the employer so that the employer can instruct the attendant to abort
the entry immediately?

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Confined Space Training
Training for Confined Space Entry includes:
1. Duties of entry supervisor, entrant and attendants
2. Confined space entry permits
3. Hazards of confined spaces
4. Use of air monitoring equipment
5. First aid and CPR training
6. Emergency action & rescue procedures
7. Confined space entry & rescue equipment
8. Rescue training, including entry and removal from representative spaces

Confined Space Training and Education

OSHA's General Industry Regulation, §1910.146 Permit-required confined spaces,
contains requirements for practices and procedures to protect employees in general
industry from the hazards of entry into permit-required confined spaces. This regulation
does not apply to construction.

OSHA's Construction Safety and Health Regulations Part 1926 do not contain a permit-
required confined space regulation. Subpart C, §1926.21 Safety training and education
specifies training for personnel who are required to enter confined spaces and defines a
"confined or enclosed space." These requirements are shown below.

§1926.21 Safety training and education. (Partial)

(b)(6)(i) All employees required to enter into confined or enclosed spaces shall be instructed
as to the nature of the hazards involved, the necessary precautions to be taken, and in the
use of protective and emergency equipment required. The employer shall comply with any
specific regulations that apply to work in dangerous or potentially dangerous areas.

(ii) For purposes of paragraph (b)(6)(i) of this section, "confined or enclosed space"
means any space having a limited means of egress, which is subject to the accumulation
of toxic or flammable contaminants or has an oxygen deficient atmosphere. Confined or
enclosed spaces include, but are not limited to, storage tanks, process vessels, bins,
boilers, ventilation or exhaust ducts, sewers, underground utility vaults, tunnels pipelines,
and open top spaces more than 4 feet in depth such as pits, tubs, vaults, and vessels.

OSHA's Construction Regulations also contain requirements dealing with confined space
hazards in underground construction (Subpart S), underground electric transmission and
distribution work (§1926.956), excavations (Subpart P), and welding and cutting (Subpart
J).

Further guidance may be obtained from American National Standard ANSI Z117.1-1989,
Safety Requirements for Confined Spaces. This standard provides minimum safety
requirements to be followed while entering, exiting and working in confined spaces at
normal atmospheric pressure. This standard does not pertain to underground mining,
tunneling, caisson work or other similar tasks that have established national consensus
standards.

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Your Employer is Responsible for Certain Training Requirements.
These are as follows:

1. GENERAL As an employer, your employer must ensure that all workers who must enter
a permit entry confined space in the course of their work are informed of appropriate
procedures and controls for entry into such spaces. These workers must be made aware of
the fact that an unauthorized entry could be fatal, and that their senses are unable to detect
and evaluate the severity of atmospheric hazards.

2. TRAINING FOR AUTHORIZED ENTRANTS Your employer must ensure that all
authorized entrants know the emergency action plan and have received training covering
the following subjects prior to entering any permit entry confined space:

a. Hazard Recognition: Each worker must understand the nature of the hazard before
entering and the need to perform appropriate testing to determine if it is safe to enter.

b. Use of Personal Protective Equipment: Each employee must be taught the proper use
of all personal protective equipment required for entry or rescue, and the proper use of
protective barriers and shields.

c. Self-Rescue: Each worker must be trained to get out of the confined space as rapidly as
possible without help whenever an order to evacuate is given by the attendant, whenever
an automatic evacuation alarm is activated, or whenever workers recognize the warning
signs of exposure to substances that could be found in the confined space. They must also
be made aware of the toxic effects or symptoms of exposure to hazardous materials he
could encounter in the confined space. This includes anything that could be absorbed
through the skin or which could be carried through the skin by any solvents that are used.
They must be trained to relay an alarm to the attendant and to attempt self- rescue
immediately upon becoming aware of these effects.

d. Special Work Practices or Procedures: Each worker must be trained in any

modifications of normal work practices that are necessary for permit entry confined space
work.

3. TRAINING FOR PERSONS AUTHORIZING OR IN CHARGE OF ENTRY In addition to

other requirements already covered, the person authorizing or in charge of entry shall be
trained to recognize the effects of exposure to hazards that could be in the confined space.
They must also carry out all duties that the permit assigns to them.

Rescue practice training. This picture is

showing a sand bag being utilized as a
dummy.

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4. TRAINING FOR ATTENDANT Any worker functioning as an attendant at a permit entry
confined space must be trained in the company's emergency action plan, the duties of the
attendant, and in;

a. Proper use of the communications equipment furnished for communicating with

authorized workers entering the confined space or for summoning emergency or rescue
services.

b. Authorized procedures for summoning rescue or other emergency services.

c. Recognition of the unusual actions of a worker which could indicate that they could be
experiencing a toxic reaction to contaminants that could be present in the space.

d. Any training for rescuers, if the attendant will function as a rescuer also.

e. Any training for workers who enter the confined space, if the permit specifies that the
duty of the attendant will rotate among the workers authorized to enter the confined
space.

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CONFINED SPACE AUTHORIZED ENTRANT’S LOG EXAMPLE

CONFINED SPACE: DATE:

TIME:

ENTRANT’S NAME (PRINT) TIME IN TIME OUT

ENTRY Attendant:

ENTRY Supervisor Review:

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Other Hazards
Flammable Atmospheres
A flammable atmosphere generally arises from enriched oxygen atmospheres,
vaporization of flammable liquids, byproducts of work, chemical reactions, concentrations
of combustible dusts, and desorption of chemical from inner surfaces of the confined space.
An atmosphere becomes flammable when the ratio of oxygen to combustible material in
the air is neither too rich nor too lean for combustion to occur. Combustible gases or vapors
will accumulate when there is inadequate ventilation in areas such as a confined space.

Flammable gases such as acetylene, butane, propane, hydrogen, methane, natural or

manufactured gases or vapors from liquid hydrocarbons can be trapped in confined
spaces, and since many gases are heavier than air, they will seek lower levels as in pits,
sewers, and various types of storage tanks and vessels. In a closed top tank, it should also
be noted that lighter than air gases may rise and develop a flammable concentration if
trapped above the opening.

The byproducts of work procedures can generate flammable or explosive conditions within
a confined space. Specific kinds of work such as spray painting can result in the release of
explosive gases or vapors. Welding in a confined space is a major cause of explosions in
areas that contain combustible gas.

Chemical reactions forming flammable atmospheres occur when surfaces are initially
exposed to the atmosphere, or when chemicals combine to form flammable gases. This
condition arises when dilute sulfuric acid reacts with iron to form hydrogen or when calcium
carbide makes contact with water to form acetylene.

Other examples of spontaneous chemical reactions that may produce explosions from
small amounts of unstable compounds are acetylene-metal compounds, peroxides, and
nitrates. In a dry state, these compounds have the potential to explode upon percussion or
exposure to increased temperature.

Another class of chemical reactions that form flammable atmospheres arise from deposits
of pyrophoric substances (carbon, ferrous oxide, ferrous sulfate, iron, etc.) that can be
found in tanks used by the chemical and petroleum industry. These tanks containing
flammable deposits will spontaneously ignite upon exposure to air.

Combustible dust concentrations are usually found during the process of loading,
unloading, and conveying grain products, nitrated fertilizers, finely ground chemical
products, and any other combustible material.

High charges of static electricity, which rapidly accumulate during periods of relatively low
humidity (below 50%) can cause certain substances to accumulate electrostatic charges
of sufficient energy to produce sparks and ignite a flammable atmosphere.

These sparks may also cause explosions when the right air or oxygen to dust or gas mixture
is present.

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Toxic Atmospheres
The substances to be regarded as toxic in a confined space can cover the entire spectrum
of gases, vapors, and finely-divided airborne dust in industry. The sources of toxic
atmospheres encountered may arise from the following:
1. The manufacturing process (for example, in producing polyvinyl chloride, hydrogen
chloride is used as well as vinyl chloride monomer, which is carcinogenic).
2. The product stored [removing decomposed organic material from a tank can liberate
toxic substances, such as hydrogen sulfide (H2S)].
3. The operation performed in the confined space (for example, welding or brazing with
metals capable of producing toxic fumes).

During loading, unloading, formulation, and production, mechanical and/or human error
may also produce toxic gases which are not part of the planned operation.

Carbon monoxide (CO) is a hazardous gas that may build up in a confined space. This
odorless, colorless gas that has approximately the same density as air is formed from
incomplete combustion of organic materials such as wood, coal, gas, oil, and gasoline; it
can be formed from microbial decomposition of organic matter in sewers, silos, and
fermentation tanks.

CO is an insidious toxic gas because of its poor warning properties. Early stages of CO
intoxication are nausea and headache. CO may be fatal at as little as 1000 ppm or 10% in
air, and is considered dangerous at 200 ppm or 2%, because it forms Carboxyhemoglobin
in the blood, which prevents the distribution of oxygen in the body.

CO is a relatively abundant colorless, odorless gas. Therefore, any untested atmosphere

must be suspect. It must also be noted that a safe reading on a combustible gas indicator
does not ensure that CO is not present. CO must be tested for specifically.

The formation of CO may result from chemical reactions or work activities, therefore
fatalities due to CO poisoning are not confined to any particular industry. There have been
fatal accidents in sewage treatment plants due to decomposition products and lack of
ventilation in confined spaces.

Another area where CO results as a product of decomposition is in the formation of silo

gas in grain storage elevators. In another area, the paint industry, varnish is manufactured
by introducing the various ingredients into a kettle, and heating them in an inert
atmosphere, usually town gas, which is a mixture of carbon dioxide and nitrogen.

In welding operations, oxides of nitrogen and ozone are gases of major toxicologic
importance, and incomplete oxidation may occur and carbon monoxide can form as a
byproduct. Another poor work practice, which has led to fatalities, is the recirculation of
diesel exhaust emissions. Increased CO levels can be prevented by strict control of the
ventilation and the use of catalytic converters.

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Procedures for Atmospheric Testing. - 1910.146 App B
OSHA Requirement

SubPart Title: General Environmental Controls

Atmospheric testing is required for two distinct purposes:

evaluation of the hazards of the permit space and verification that acceptable entry
conditions for entry into that space exist.

(1) Evaluation testing. The atmosphere of a confined space should be analyzed using
equipment of sufficient sensitivity and specificity to identify and evaluate any hazardous
atmospheres that may exist or arise, so that appropriate permit entry procedures can be
developed and acceptable entry conditions stipulated for that space.

Evaluation and interpretation of these data, and development of the entry procedure, should
be done by, or reviewed by, a technically qualified professional (e.g., OSHA consultation
service, or certified industrial hygienist, registered safety engineer, certified safety
professional, certified marine chemist, etc.) based on evaluation of all serious hazards.

(2) Verification testing. The atmosphere of a permit space which may contain a hazardous
atmosphere should be tested for residues of all contaminants identified by evaluation testing
using permit specified equipment to determine that residual concentrations at the time of
testing and entry are within the range of acceptable entry conditions. Results of testing (i.e.,
actual concentration, etc.) should be recorded on the permit in the space provided adjacent
to the stipulated acceptable entry condition.

(3) Duration of testing. Measurement of values for each atmospheric parameter should be
made for at least the minimum response time of the test instrument specified by the
manufacturer.

(4) Testing stratified atmospheres. When monitoring for entries involving a descent into
atmospheres that may be stratified, the atmospheric envelope should be tested a distance
of approximately 4 feet (1.22 m) in the direction of travel and to each side. If a sampling
probe is used, the entrant's rate of progress should be slowed to accommodate the
sampling speed and detector response.

(5) Order of testing. A test for oxygen is performed first because most combustible gas
meters are oxygen dependent and will not provide reliable readings in an oxygen deficient
atmosphere.

Combustible gases are tested for next because the threat of fire or explosion is both more
immediate and more life threatening, in most cases, than exposure to toxic gases and
vapors. If tests for toxic gases and vapors are necessary, they are performed last.

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Atmospheric Testing Policy Example
Before entry, it is necessary to test the atmosphere in the confined space for oxygen levels,
flammability, and/or any contaminants that have a potential to be present in that confined
space. This testing must be done by a qualified person using equipment which has been
approved for use in such areas.

The testing equipment itself should be checked to make sure it is working properly before
using it. Follow the manufacturer's recommended procedures.

Testing of the confined spaces should be conducted throughout the entire portion of the
space that workers will occupy during the entry. This testing shall be done without the use
of ventilation systems.

Where the entry is vertical into the confined space, it is recommended that remote probes
be used to measure the atmosphere at various levels. This is necessary because some
gases and vapors are lighter or heavier than air and can accumulate at different levels in
the confined space. Test outside the confined space to make sure the surrounding air is not
contaminated.

Atmospheric conditions are considered unacceptable if oxygen levels are less than 19.5%
or greater than 23.5%. Regulations define the following unacceptable levels of other
hazards monitored:

1. A flammable gas, vapor or mist greater than 10% of its lower flammable limit
(LFL). LFL means the minimum concentration of the flammable material which
will ignite if an ignition source is present.

2. An airborne combustible dust at a concentration that obscures vision at a

distance of five feet or less.

3. An atmospheric concentration of a substance greater than the allowed limit in

the Material Safety Data Sheet for that substance.

If test results conclude that the atmospheric condition of the confined space is
unacceptable, entry is prohibited until such conditions are brought into acceptable limits.
This may be done by purging, cleaning and/or ventilating the space.

Purging refers to the method by which gases, vapors, or other airborne impurities are
displaced from a confined space.

The confined space may also be made non-flammable, non-explosive or otherwise

chemically non-reactive by displacing or diluting the original atmosphere with steam or gas
that is non-reactive with respect to that space, a process referred to as "inerting".

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Irritant (Corrosive) Atmospheres

Irritant or corrosive atmospheres can be divided into primary and secondary groups.
The primary irritants exert no systemic toxic effects (effects on the entire body).
Examples of primary irritants are chlorine, ozone, hydrochloric acid, hydrofluoric acid,
sulfuric acid, nitrogen dioxide, ammonia, and sulfur dioxide. A secondary irritant is one
that may produce systemic toxic effects in addition to surface irritation. Examples of
secondary irritants include benzene, carbon tetrachloride, ethyl chloride,
trichloroethane, trichloroethylene, and chloropropene.
Irritant gases vary widely among all areas of industrial activity. They can be found in
plastics plants, chemical plants, the petroleum industry, tanneries, refrigeration
industries, paint manufacturing, and mining operations.
Prolonged exposure at irritant or corrosive concentrations in a confined space may
produce little or no evidence of irritation. This may result in a general weakening of the
defense reflexes from changes in sensitivity. The danger in this situation is that the
worker is usually not aware of any increase in his/her exposure to toxic substances.
Asphyxiating Atmospheres
The normal atmosphere is composed approximately of 20.9% oxygen and 78.1%
nitrogen, and 1% argon with small amounts of various other gases. Reduction of oxygen
in a confined space may be the result of either consumption or displacement. The
consumption of oxygen takes place during combustion of flammable substances, as in
welding, heating, cutting, and brazing. A more subtle consumption of oxygen occurs
during bacterial action, as in the fermentation process. Oxygen may also be consumed
during chemical reactions as in the formation of rust on the exposed surface of the
confined space (iron oxide). The number of people working in a confined space and the
amount of their physical activity will also influence the oxygen consumption rate.

A second factor in oxygen deficiency is displacement by another gas. Examples of

gases that are used to displace air, and therefore reduce the oxygen level are helium,
argon, and nitrogen. Carbon dioxide may also be used to displace air and can occur
naturally in sewers, storage bins, wells, tunnels, wine vats, and grain elevators. Aside
from the natural development of these gases, or their use in the chemical process,
certain gases are also used as inerting agents to displace flammable substances and
retard pyrophoric reactions.
Gases such as nitrogen, argon, helium, and carbon dioxide, are frequently referred to
as non-toxic inert gases but have claimed many lives. The use of nitrogen to inert a
confined space has claimed more lives than carbon dioxide. The total displacement of
oxygen by nitrogen will cause immediate collapse and death.
Carbon Dioxide
Carbon dioxide and argon, with specific gravities greater than air, may lie in a tank or
manhole for hours or days after opening. Since these gases are colorless and odorless,
they pose an immediate hazard to health unless appropriate oxygen measurements and
ventilation are adequately carried out.

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Oxygen Deprivation
Oxygen deprivation is one form of asphyxiation. While it is desirable to maintain the
atmospheric oxygen level at 21% by volume, the body can tolerate deviation from this
ideal. When the oxygen level falls to 17%, the first sign of hypoxia is deterioration to
night vision, which is not noticeable until a normal oxygen concentration is restored.
Physiologic effects are increased breathing volume and accelerated heartbeat.

Between 14-16% physiologic effects are increased breathing volume, accelerated

heartbeat, very poor muscular coordination, rapid fatigue, and intermittent respiration.
Between 6-10% the effects are nausea, vomiting, inability to perform, and
unconsciousness. Less than 6%, the effects are spasmodic breathing, convulsive
movements, and death in minutes.

Mechanical Hazards
If activation of electrical or mechanical equipment would cause injury, each piece of
equipment should be manually isolated to prevent inadvertent activation before workers
enter or while they work in a confined space. The interplay of hazards associated with
a confined space, such as the potential of flammable vapors or gases being present,
and the build-up of static charge due to mechanical cleaning, such as abrasive blasting,
all influence the precautions which must be taken.

To prevent vapor leaks, flashbacks, and other hazards, workers should completely
isolate the space. To completely isolate a confined space, the closing of valves is not
sufficient. All pipes must be physically disconnected or isolation blanks bolted in place.
Other special precautions must be taken in cases where flammable liquids or vapors
may re-contaminate the confined space.

The pipes blanked or disconnected should be inspected and tested for leakage to check
the effectiveness of the procedure. Other areas of concern are steam valves, pressure
lines, and chemical transfer pipes. A less apparent hazard is the space referred to as a
void, such as double walled vessels, which must be given special consideration in
blanking off and inerting.

Thermal Effects
Four factors influence the interchange of heat between people and their environment.
They are: (1) air temperature, (2) air velocity, (3) moisture contained in the air, and (4)
radiant heat. Because of the nature and design of most confined spaces, moisture
content and radiant heat are difficult to control. As the body temperature rises
progressively, workers will continue to function until the body temperature reaches
approximately 102oF.

When this body temperature is exceeded, the workers are less efficient, and are prone
to heat exhaustion, heat cramps, or heat stroke. In a cold environment, certain
physiologic mechanisms come into play, which tend to limit heat loss and increase heat
production.

The most severe strain in cold conditions is chilling of the extremities so that activity is
restricted. Special precautions must be taken in cold environments to prevent frostbite,
trench foot, and general hypothermia.

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Respiratory Protection Section
General
In the Respiratory Protection program, hazard assessment and selection of proper respiratory
PPE is conducted in the same manner as for other types of PPE. In the control of those
occupational diseases caused by breathing air contaminated with harmful dusts, fogs, fumes,
mists, gases, smokes, sprays, or vapors, the primary objective shall be to prevent atmospheric
contamination.

This shall be accomplished as far as feasible by accepted engineering control measures (for
example, enclosure or confinement of the operation, general and local ventilation, and
substitution of less toxic materials). When effective engineering controls are not feasible, or
while they are being instituted, appropriate respirators shall be used.
References: OSHA Standards Respiratory Protection (29 CFR 1910.134)

Why Respirators Are Needed

Respirators protect against the inhalation of dangerous substances (vapors, fumes, dust,
gases). They can also provide a separate air supply in a very hazardous situation.
Some of the health hazards that respirators prevent include
• Lung damage
• Respiratory diseases
• Cancer and other illnesses.

Respiratory Protection Responsibilities

The employer is responsible for:
• Providing training in the use and care of respirators.
• Ensuring that equipment is adequate, sanitary, and reliable.
• Allowing employees to leave area if ill, for breaks, and to obtain parts.
• Fit testing.
• Providing annual medical evaluations.
• Providing a powered air-purifying respirator (PAPR) if an employee cannot wear a tight-
fitting respirator.

The employee is responsible for:

• Properly using respirators.
• Maintaining respirator properly.
• Reporting malfunctions.
• Reporting medical changes.

Selection of Respiratory Protection

When choosing the correct respiratory
protection for your work environment, it is
important to consider:
• Identification of the substance or substances for which respiratory protection is
necessary
• A substance's material safety data sheet (MSDS) (it will state which type of respirator
is most effective for the substance)
• Activities of the workers
• Hazards of each substance and its properties
• Maximum levels of air contamination expected
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• Probability of oxygen deficiency
• Period of time workers will need to use the respiratory protection devices
• Capabilities and physical limitations of the device used

Types of Respirators The following is a description of different types of respirators.

Commonly Used Respirators (Air Purifying)
 Disposable Dust masks are worn over the nose and mouth to protect the respiratory
system from certain nuisance dusts, mists, etc. They can only provide protection
against particular contaminants as specified by the manufacturer (e.g., general dust,
fiberglass, etc.). These dust masks cannot be fit tested, and are generally single use.
They are not generally recognized as proper respiratory protection and may not be
worn if a potential for overexposure exists. They are not included in most companies’
Respiratory Protection Programs.
 Half-Face Respirators with interchangeable filter cartridges can protect the respiratory
system from hazardous dusts, fumes, mists, etc. They can only provide protection
against certain contaminants up to limited concentrations specified by the manufacturer
for the particular cartridge type used (e.g., toluene, acetone). These generally operate
under negative pressure within the respirator which is created by the wearer's breathing
through the filter cartridges. As the protection is only gained if there is a proper seal of
the respirator face piece, this type requires fit testing prior to respirator assignment and
a fit check prior to each use.
 Full-Face Respirators operate under the same principle and requirements as the half-
face type, however, they offer a better facepiece fit and also protect the wearer's eyes
from particularly irritating gases or vapors.
 Full-face, helmet or hood type powered air purifying respirators (PAPRs) operate
under positive pressure inside the facepiece using a battery operated motor blower
assembly to force air through a filter cartridge into the wearer's breathing zone. Use of
these respirators is also subject to the manufacturers' guidelines.

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Less Commonly Used Types Respirators (Air Supplying)
 Air-Line Respirators supply clean air through a small diameter hose from a
compressor or compressed air cylinders. The wearer must be attached to the hose at
all times, which limits mobility. Use of these respirators is subject to the manufacturers'
guidelines.
 Self-Contained Breathing Apparatus (SCBA) respirators supply clean air from a
compressed air tank carried on the back of the wearer. These types of respirators are
highly mobile and are used primarily for emergency response or rescue work, since
only a limited amount of air can be supplied by a single tank, generally 20-60 minutes.
Units must be thoroughly inspected on a monthly basis and written records must be
kept of all inspections, operator training, etc. Use of these respirators is subject to the
manufacturer's guidelines

Basic Types of Respirators

Air-purifying or filtering respirators. Such respirators are used when there is enough oxygen
(at least 19.5 percent) and contaminants are present below IDLH level. The respirator filters
out or chemically "scrubs" contaminants, usually with a replaceable filter. Use color-coded
filter cartridges or canisters for different types of contaminants. It's important to select the right
filter for the situation.
Air-supplying respirators. These respirators are required when air-purifying respirators
aren't effective. Air-purifying respirators are not sufficient in the following settings:
• When there is not enough oxygen.
• Confined spaces.
• When contaminants cannot be filtered out.
• When contaminants are at or above IDLH level.

Different kinds of air-supplying respirators include

• Those connected by hose to stationary air supply (air line)
• Portable tank self-contained breathing apparatus (SCBA).

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The Importance of Correct Fit
Even a tiny gap between the respirator and the face can allow contaminants to enter.
Respirators should be comfortable and properly fitted. Proper fit includes:
• Secure but not too tight
• No slipping or pinching
• Allowance for head movement and speech
An OSHA-accepted qualitative fit test or quantitative fit test must be performed prior to an
employee using any tight-fitting respirator.

Tight-fitting respirators must be seal checked before each use by using positive- or negative-
pressure check procedures or the manufacturer's instructions.

Respirator Filters/Cartridges
For protection against gases and vapors, the cartridges used for air-purifying respirators must
be either equipped with an end-of-service-life indicator (ESLI), certified by NIOSH for the
contaminant, or a cartridge change schedule has to be established.

For protection against particulates, there are nine classes of filters (three levels of filter
efficiency, each with three categories of resistance to filter efficiency degradation). Levels of
filter efficiency are 95 percent, 99 percent, and 99.97 percent. Categories of resistance to filter
efficiency degradation are labeled N, R, and P.

Protection Factors
The protection factor of a respirator is an expression of performance based on the ratio of two
concentrations: The contaminant concentration outside the respirator to the contaminant
concentration inside the respirator.

Each class of respirator is also given an assigned protection factor (APF). The APF is a
measure of the minimum anticipated level of respiratory protection that a properly functioning
respirator or class of respirators would provide to a percentage of properly fitted and trained
users.

When a contaminant concentration is known, the APF can be used to estimate the
concentration inside a particular type of respirator worn by a user.

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Who Cannot Wear a Respirator?
Respirator fit is essential. Employees must have a medical checkup to make sure they can
wear respirators safely. Generally, respirators cannot be worn when a person:
• Wears glasses or personal protective equipment that interferes with the seal of
the face piece to the face of the user.
• Has facial hair that comes between the sealing surface of the face piece and the
face or interferes with valve function.
• Has a breathing problem, such as asthma.
• Has a heart condition.
• Is heat sensitive.
Sometimes a person's facial features will not permit a good fit. Check with the supervisor or
medical department if the fit is a problem.

Checking for Damage

Before each use, make sure there are no holes, tears, etc., in the respirator. Rubber parts can
wear out and should be checked very carefully every time a respirator is used. Replace worn
and damaged parts when necessary. Make sure air and oxygen cylinders are fully charged.

Staying Prepared for Respirator Use

Respirators are bulky and awkward, so getting used to them takes practice. Possible problems
with wearing respirators may include heat exhaustion or heat stroke. Be alert for symptoms,
use the "buddy system," and wear a lifeline or harness when necessary. Drink plenty of fluids
and take frequent breaks.

Poor maneuverability. Practice with respirators in narrow passages, on ladders, etc., if your
use of respirators may be in these types of conditions.

Using up the air supply. When a SCBA is in use, keep checking the gauges and listening
for alarms; be ready to leave the area immediately if there is a problem.

Panic. Remember the importance of staying calm in a hot, stressful, or awkward situation.

Cleaning Respirators
Respirators should be cleaned and disinfected after every use. Check the respirator for
damage before putting it away; look for holes, cracks, deterioration, dented cartridges, etc. If
any damage is found, it should be reported to a supervisor. Respirators stored for emergency
use must be inspected monthly when not in use, as well as after each use.

Respirators should be stored away from light, heat, cold, chemicals, and dust.

Store respirators in a "normal" (natural, undistorted) position to hold their shape. Do not allow
respirators to get crushed, folded, or twisted.

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OSHA Overview
OSHA requires that supervisors consult with employees and encourage their participation in
the process safety management plan. In fact, managers must have a written plan of action for
employee participation in process safety management. Employee participation is critical
because…
• Employees know a lot about the process which they work upon
• They play key roles in making sure that process operation is conducted safely.

Operating Procedures
Managers must furnish written operating procedures that clearly explain how to perform each
covered process safely. The procedures must be accurate and must be written in language
that people can understand. Avoid technical jargon and, if necessary, supply translations.

Operating procedures must include at least the following:

• Operating steps for initial startup, normal and temporary operations, emergency
shutdown (including when it's called for and who does it), emergency operations,
normal shutdown, and startup after a turnaround or an emergency shutdown
• Operating limits, including what happens if workers don't conform to operating limits
and how to avoid or correct such problems
• Safety and health considerations, such as chemical or other hazards, precautions to
prevent exposure, quality and inventory control for chemicals, and what to do if an
employee is exposed to a hazardous substance
• Safety systems and their functions, including up-to-date operating procedures and safe
work practices.

Contractor Employees
Process safety training and safety programs are also required for contractors who work on-
site. Managers must check out the safety performance and programs of any contractors being
considered for maintenance, repair, turnaround, major renovation, or specialty work on or
around a process covered by the regulation.

When a contractor is hired, the manager must provide the contractor with information on the
hazards of the process the contractor will work on. To further ensure contractor safety,
managers must also
 provide the contractor with information on safe work practices for the process they're
involved with and tell them what to do in an emergency
 keep a log of contractor employees'
injuries or illnesses related to their work
in process areas
 evaluate the contractor's performance to
make sure they're living up to their
safety obligations set by the standard.

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The Contractor has Responsibilities, too
• Document that employees are trained to recognize hazards and to follow safe work
practices on the job
• Make sure that the contractor's employees understand potential job-related hazards,
are trained to work safely, and follow the safety rules of the facility in which they're
working.

Written Respiratory Protection Program

This paragraph requires the employer to develop and implement a written respiratory
protection program with required worksite-specific procedures and elements for required
respirator use. The program must be administered by a suitably trained program
administrator. In addition, certain program elements may be required for voluntary use to
prevent potential hazards associated with the use of the respirator.

The Small Entity Compliance Guide contains criteria for the selection of a program
administrator and a sample program that meets the requirements of this paragraph. Copies
of the Small Entity Compliance Guide will be available on or about April 8, 1998 from the
Occupational Safety and Health Administration's Office of Publications, Room N 3101, 200
Constitution Avenue, NW, Washington, DC, 20210 (202-219-4667).

(c)(1) In any workplace where respirators are necessary to protect the health of the
employee or whenever respirators are required by the employer, the employer shall
establish and implement a written respiratory protection program with worksite-specific
procedures. The program shall be updated as necessary to reflect those changes in
workplace conditions that affect respirator use. The employer shall include in the program
the following provisions of this section, as applicable:

(c)(1)(i) Procedures for selecting respirators for use in the workplace;

(c)(1)(ii) Medical evaluations of employees required to use respirators;

(c)(1)(iii) Fit testing procedures for tight-fitting respirators;

(c)(1)(iv) Procedures for proper use of respirators in routine and reasonably foreseeable
emergency situations;

(c)(1)(v) Procedures and schedules for cleaning, disinfecting, storing, inspecting,

repairing, discarding, and otherwise maintaining respirators;

(c)(1)(vi) Procedures to ensure adequate air quality, quantity, and flow of breathing air for
atmosphere-supplying respirators;

(c)(1)(vii) Training of employees in the respiratory hazards to which they are potentially
exposed during routine and emergency situations;

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Example of RP Employee Responsibilities
All Employees shall follow the requirements of the Respiratory Protection Program.

Management
 Implement the requirements of this program.
 Provide a selection of respirators as required.
 Enforce all provisions of this program.
 Appoint a Specific Designated individual to conduct the respiratory protection program.

Administrative Department
 Review sanitation/storage procedures.
 Ensure respirators are properly stored, inspected and maintained.
 Monitor compliance for
this program.
 Provide training for
affected Employees.
 Review compliance and
ensure monthly inspection
of all respirators.
 Provide respirator fit
testing.

Designated-Occupational
Health Care Provider
 Conducts medical aspects
of program.

Program Administrator
Each Department will designate a program administrator who is qualified by appropriate
training or experience that is commensurate with the complexity of the program to
administer or oversee the respiratory protection program and conduct the required
evaluations of program effectiveness.

Voluntary Use of Respirators is Prohibited

OSHA requires that voluntary use of respirators, when not required by the Employer, must
be controlled as strictly as under required circumstances. To prevent violations of the
Respiratory Protection Standard, Employees are not allowed voluntary use of their own or
Employer supplied respirators of any type.

Exception: Employees whose only use of respirators involves the voluntary use of filtering
(non-sealing) face pieces (dust masks).
See appendix D in the rear.

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Respiratory Protection Program Statement Example
Facility ____________________________________

Policy Statement
A respiratory protection program is hereby established so as to coordinate the use
and maintenance or respiratory protective equipment as determined necessary to:
1. Reduce Personnel exposure to toxic chemical agents, harmful dusts, mist and
fumes and
2. Allow trained personnel to work safely in hazardous environments, such as
welding, oxygen deficient atmospheres, toxic atmospheres, etc.

Designation of Program Administrator

Management has designated
_______________________________________
to be responsible for the respiratory protection program at this facility. He/she
has been delegated authority by Management to make decisions and
implement changes in the respirator program anywhere in this facility.
The following responsibilities apply:
1. Supervision of respirator selection process and procedures
2. Establishment of respiratory protection training sessions
3. Establishment of a continuing program of cleaning and inspections
4. Establishment of medical screening program
5. Establishment of issuing procedures
6. Establishment of periodic inspections
7. Continuing evaluation of all aspects of the respiratory protection program to
assure continued effectiveness
8. Establishment of annual fit tests procedures
Any questions or problems concerning respirators or their use should be directed to
the Program Administrator

__________________________________________ ______________
Facility Manager Date

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Program Evaluation
Evaluations of the workplace are necessary to ensure that the written respiratory protection
program is being properly implemented; this includes consulting with employees to ensure
that they are using the respirators properly. Evaluations shall be conducted as necessary
to ensure that the provisions of the current written program are being effectively
implemented and that it continues to be effective.

Program evaluation will include discussions with employees required to use respirators to
assess the employees' views on program
effectiveness and to identify any problems.

Any problems that are identified during this

assessment shall be corrected. Factors to be
assessed include, but are not limited to:
 Respirator fit (including the ability to use
the respirator without interfering with
effective workplace performance);
 Appropriate respirator selection for the
hazards to which the employee is
exposed;
 Proper respirator use under the workplace
conditions the employee encounters; and
 Proper respirator maintenance.

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Excavation and Trenching Section
OSHA SUBPART P - 29 CFR 1926.650-652
COMPETENT PERSON TRAINING

PREFACE

Anyone who has done excavation work will tell you that once the first bucket of dirt is out of
the ground, you never know what surprises await. Tales of unmarked utilities, unexpected
rock and other nightmares are common. The greatest variable, however, is the type of
excavation or trenching will be done and how to protect yourself for a cave-in.

The OSHA excavation standard was revised because excavating is the most dangerous of
all construction operations. More workers are killed or seriously injured in and around
excavations than in any other construction work. The second reason that OSHA revised the
existing standard was to clarify the requirements. The revised standard makes the standard
easier to understand. The new standard uses performance criteria where ever possible.
This added flexibly provides employers with options when classifying soil and when
selecting methods to protect the employee from cave-ins.

Although the standard

has been clarified and
employers have options
when meeting some of
the requirements,
employers must realize
that the employee must
be protected at all times.

Some employers have a

mindset of not needing
this training until they are
caught by OSHA, which
is equivalent to buying
car insurance only after a
car collision.

Excavation decisions will

have to be made right from the planning stages through completion of the work. Some
sections of the standard require that documentation be kept. TLC will provide a sample of
this type of documentation. In some situations professional engineers will be required to
plan or design the excavation and/or method of protecting the worker (such as when an
excavation exceeds 20 feet in depth).

The purpose of this session is to provide you with information about the OSHA excavation
standard. This program is not designed or intended to provide participants with all the
information, rules, regulations, and methods that they may need to know to perform all
excavation work safety. Every plan involving excavation must be studied carefully to
determine the specific hazards for each job.

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 Supporting Utilities is mandatory.

Major OSHA Violation. Do not operate equipment in unprotected trenches. This

guy is trying hard to get to Heaven before his time is up.
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Excavation Facts

Every year in the United States:

 100 to 500 people are killed in an excavation cave-in.
 1000 to 5000 employees are seriously injured.

The average worker that is killed by a cave-in is a 20 to 30 year old male who has had little
or no training at all. Most deaths occur in trenches 5 feet to 15 feet in depth.

Cave-ins cause deaths and injuries

by:
 Suffocation
 Crushing
 Loss of circulation
 Falling objects

One cubic foot (12" x 12" x 12") can weigh

between 90 and 140 pounds. Therefore,
one cubic yard (3' x 3' x 3') weights as
much as a backhoe (approximately 3000
pounds).

Subpart P applies to all open

excavations in the earth's surface.
 All trenches are excavations.
 All excavations are not trenches.

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Notice that employees are wearing hard hats but no ladders are present. Spoil
piles are too close to the hole. Almost looks like they over did the shores for the
photograph but forgot all ladder.

Notice the ladder is partially properly tied down. Three rungs out and tied but not
staked.
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Competent Person
Competent person means one who is capable of identifying existing hazards in the
surroundings or working conditions which are unsanitary, hazardous, or dangerous to
employees and has authorization to take prompt corrective measures to eliminate them.

In order to be a "Competent Person" for the purpose of this standard, one must have
specific training in and be knowledgeable about soils analysis, the use of protective systems
and the requirements of 29 CFR Part 1926.650-652 Subpart P.

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Competent Person Duties

 Performs daily inspections of the protective equipment, trench conditions, safety

equipment and adjacent areas.
 Inspections shall be made prior to the start of work and as needed throughout the
shift.
 Inspections shall be made after every rainstorm or other hazard occurrence.
 Knowledge of emergency contact methods, telephone or radio dispatch.
 Removes employees and all other personnel from hazardous conditions and
makes all changes necessary to ensure their safety.
 Insures all employees have proper protective equipment, hard-hats, reflective
vests, steel-toed boots, harnesses, eye protection, hearing protection and drinking
water.
 Categorize soil conditions and conduct visual and manual tests.
 Determine the appropriate protection system to be used.
 Maintain on-site records of inspections and protective systems used.
 Maintain on-site Hazard Communication program, Material Safety Data Sheets
and a Risk Management Plan, if necessary.
 Maintain current First Aid and CPR certifications. Maintain current Confined
Space certification training.

Scope of Work
1. During excavation work a competent person shall be on the job site at all times when
personnel are working within or around the excavation. This is necessary in order to
monitor soil conditions, equipment and protection systems employed.
2. The estimated locations of utility installations, such as sewer, telephone, fuel, electric,
water lines, or any other underground installation that reasonably may be expected to
be encountered during excavation work, shall be determined prior to opening an
excavation.
3. Adequate precautions shall be taken to protect employees working in excavations,
against the hazards posed by water accumulation.
4. Employees shall be protected from excavated or other materials or equipment that could
pose a hazard by falling or rolling into excavations. Protection shall be provided by
placing and keeping such material or equipment at least two (2') feet from the edge of
excavations.
5. A stairway, ladder, or ramp shall be used as a means of access or egress in trench
excavations that are four (4') feet or more in depth. The ladder(s), stairway(s), or ramp
shall be spaced so that no employee in the trench excavation is more than twenty five
(25') feet from a means of egress. When ladder(s) are employed, the top of the ladder
shall extend a minimum of three (3') feet above the ground and shall be properly
secured.
6. When excavations are exposed to vehicular traffic, each employee shall wear a warning
vest made with reflective material or highly visibility material. All personnel within the
construction area shall wear a hard-hat at all times.
7. Employees shall not be permitted underneath loads handled by lifting or digging
equipment. Employees shall be required to stand away from any vehicle being loaded
or unloaded to avoid being struck by any spillage or falling materials.
8. In excavations where oxygen deficiency or gaseous conditions exist, or could be
reasonably expected to exist, air in the excavation shall be tested.

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9. Where oxygen deficiency (atmospheres containing less than 19.5 percent oxygen)
exists, the area must be continuously ventilated until the oxygen levels are above 19.5
percent.
10. Where a gaseous condition exists, the area shall be ventilated until the flammable gas
concentration is below 20 percent of the lower flammable limit.
11. Whenever oxygen deficiency or gaseous conditions exist or could reasonably exist, the
area shall be monitored continuously to assure that employees are protected.
12. Where the stability of adjoining buildings, walls or other structures are endangered by
excavation operations, support systems such as shoring, bracing, or underpinning shall
be provided to ensure the stability of such structures for the protection of employees.
13. Sidewalks, pavement and appurtenant structures shall not be undermined unless a
support system such as shoring is provided to protect employees from the possible
collapse of such structures.

Always wait for the buried utilities to be marked before excavation begins. Believe
it or not, this crew dug 9 feet deep before the Locator showed up and marked fiber
optics in the same trench. Notice that the employees do not have hard hats, ladders,
or any protective systems. Several major OSHA violations.

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Personnel Protective Systems
Employees in excavations shall be protected from cave-ins by an adequate protective
system, which shall be inspected by a competent person.

The use of protective systems is required for all excavations, in excess of five (5') feet,
except when excavation is within stable rock.

Trench excavation less than five (5') feet in depth may not require the use of protective
systems, unless there is evidence of a potential cave-in. The competent person shall
determine the need for the use of protective systems when such conditions exist.

When sloping, benching or protective systems are required, refer to requirements in CFR
1926.652 (OSHA Construction Standards).

Whenever support systems, shield systems, or other protective systems are being used, a
copy of the manufacturer's specifications, recommendations, and limitations sheet shall be
in written form and maintained at the job site.

This poor soul is probably going to be a short timer here on earth. He is sitting on
the sewer main in a bell shaped hole under a steel plate which cars are driving over.
No protection at all. There was a ladder in the trench but was about 50 feet away.
He wouldn’t make it out of a cave-in unless he had wings.

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Excavation Protection Systems

The three basic protective systems for excavations and trenches are sloping and benching
systems, shoring, and shields. The protective systems shall have the capacity to resist
without failure all loads that are intended or could reasonably be expected to be applied to
or transmitted to the system. Every employee in an excavation shall be protected from cave-
ins by an adequate protective system.

Exceptions to Using Protective System:

 Excavations are made entirely in stable rock.
 Excavations are less than 5 feet deep and declared safe by a competent person.

Sloping and Benching Systems

There are four options for sloping:
 Slope to the angle required by the standard for Type C, which is the most unstable soil
type.
 The table provided in Appendix B of the standard may be used to determine the
maximum allowable angle (after determining the soil type).
 Tabulated data prepared by a registered professional engineer can be utilized.
 A registered professional engineer can design a sloping plan for a specific job.

Sloping and benching systems for excavations five (5) to twenty (20) feet in depth must be
constructed under the instruction of a designated competent person. Sloping and benching
systems for excavations greater than twenty (20) feet must be designed and stamped by a
registered professional engineer. Sloping and benching specifications can be found in
Appendix B of the OSHA Standard (Subpart P).

Shoring Systems
Shoring is another protective system or support system. Shoring utilizes a framework of
vertical members (uprights), horizontal members (whales), and cross braces to support the
sides of the excavation to prevent a cave-in. Metal hydraulic, mechanical or timber shoring
are common examples.

This is my favorite photograph of all. Here are two men in a 30 foot deep trench
without any protection or ladders. They are lucky to have a rope. Please do not
work in this dangerous environment. I know that this may be your only job, but
you may not live long enough to cash your paycheck.

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The different examples of shoring are found in the OSHA Standard under these
appendices:
APPENDIX C - Timber Shoring for Trenches
APPENDIX D - Aluminum Hydraulic Shoring for Trenches
APPENDIX E - Alternatives to Timber Shoring
Shield Systems (Trench Boxes)
Shielding is the third method of providing a safe workplace. Unlike sloping and shoring,
shielding does not prevent a cave-in. Shields are designed to withstand the soil forces
caused by a cave-in and protect the employees inside the structure. Most shields consist of
two flat, parallel metal walls that are held apart by metal cross braces.

Shielding design and construction is not covered in the OSHA Standards. Shields must be
certified in design by a registered professional engineer and must have either a registration
plate on the shield or registration papers from the manufacturer on file at the jobsite office.
ANY REPAIRS OR MODIFICATIONS MUST BE APPROVED BY THE
MANUFACTURER.

Safety Precautions for Shield Systems

 Shields must not have any lateral movement when installed.
 Employees will be protected from cave-ins when entering and exiting the shield
(examples - ladder within the shield or a properly sloped ramp at the end).
 Employees are not
allowed in the shield during
installation, removal, or
during any vertical
movement.
 Shields can be 2 ft.
above the bottom of an
excavation if they are
designed to resist loads at
the full depth and if there are
no indications of caving
under or behind the shield.
 The shield must extend
at least 18 inches above the
point where proper sloping
begins (the height of the
shield must be greater than the depth of the excavation).
 The open end of the shield must be protected from the exposed excavation wall. The
wall must be sloped, shored, or shielded. Engineer designed end plates can be mounted
on the ends of the shield to prevent cave-ins.

Personal Protective Equipment

It is OSHA policy for you to wear a hard hat, safety glasses, and work boots on the jobsite.
Because of the hazards involved with excavations, other personal protective equipment
may be necessary, depending on the potential hazards present (examples-goggles, gloves,
and respiratory equipment).

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Excavation & Trenching Guidelines
This section outlines procedures and guidelines for the protection of employees working in
and around excavations and trenches. This section requires compliance with OSHA
Standards described in Subpart P (CFR 1926.650) for the construction industry.
Safety compliance is mandatory to ensure employee protection when working in or around
excavations.
The competent person(s) must be trained in accordance with the OSHA Excavation
Standard, and all other programs that may apply (examples Hazard Communication,
Confined Space, and Respiratory Protection), and must demonstrate a thorough
understanding and knowledge of the programs and the hazards associated.
All other employees working in and around the excavation must be trained in the recognition
of hazards associated with trenching and excavating.
REFERENCES
 29 CFR 1926.650, Subpart P - Excavations
 Excavation Equipment Manufacturer Safety Procedures

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 Trench Shields and Boxes

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Hazards
One of the reasons OSHA requires a
competent person on-site during
excavation & trenching are the
numerous potential hazardous that may
be encountered or created. Hazards
include:
Electrocution
Gas Explosion
Entrapment
Struck by equipment
Suffocation
Hazard Controls
Before any work is performed and
before any employees enter the excavation, a number of items must be checked and
insured:
 Before any excavation, underground installations must be determined. This can be
accomplished by either contacting the local utility companies or the local "one-call' center
for the area. All underground utility locations must be documented on the proper forms. All
overhead hazards (surface encumbrances) that create a hazard to employees must be
removed or supported to eliminate the hazard.
 If the excavation is to be over 20 feet deep, it must be designed by a registered
professional engineer who is registered in the state where the work will be performed.
 Adequate protective systems will be utilized to protect employees. This can be
accomplished through sloping, shoring, or shielding.
 The worksite must be analyzed in order to design adequate protection systems and
prevent cave-ins. There must also be an excavation safety plan developed to protect
employees.
 Workers must be supplied with, and wear, any personal protective equipment deemed
necessary to assure their protection.
 All spoil piles will be stored a minimum of two (2) feet from the sides of the excavation.
The spoil pile must not block the safe means of egress.
 If a trench or excavation is 4 feet or deeper, stairways, ramps, or ladders will be used
as a safe means of access and egress. For trenches, the employee must not have to travel
any more than 25 feet of lateral travel to reach the stairway, ramp, or ladder.
 No employee will work in an excavation where water is accumulating unless adequate
measures are used to protect the employees.
 A competent person will inspect all excavations and trenches daily, prior to employee
exposure or entry, and after any rainfall, soil change, or any other time needed during the
shift. The competent person must take prompt measures to eliminate any and all hazards.
 Excavations and trenches 4 feet or deeper that have the potential for toxic substances
or hazardous atmospheres will be tested at least daily. If the atmosphere is inadequate,
protective systems will be utilized.
 If work is in or around traffic, employees must be supplied with and wear orange
reflective vests. Signs and barricades must be utilized to ensure the safety of employees,
vehicular traffic, and pedestrians.

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Excavation Safety Plan
An excavation safety plan is required in written form. This plan is to be developed to the
level necessary to insure complete compliance with the OSHA Excavation Safety Standard
and state and local safety standards.
Excavation Safety Plan Factors:
 Utilization of the local one-call system.
 Determination of locations of all underground utilities.
 Consideration of confined space atmosphere potential.
 Proper soil protection systems and personal protective equipment and clothing.
 Determination of soil composition and classification.
 Determination of surface and subsurface water.
 Depth of excavation and length of time it will remain open.
 Proper adherence to all OSHA Standards, this excavation and trenching safety
program, and any other coinciding safety programs.
1. Warning system for mobile equipment, methods to help prevent vehicles and
equipment from falling in the trench can be accomplished by providing:

A. Barricades.

B. Hand or mechanical signals.

C. Stop logs.

D. Grade away from the excavation.

All equipment with an obstructed rear view is required to have a back-up alarm or an
observer when backing {1926.601 (b) (4).}

2. Hazardous atmospheres, you must limit all exposures to hazardous

atmospheres.

A. Oxygen deficient is anything less than 19.5% oxygen. Symptoms will include
dizziness, increased heart rate or may experience a buzzing in the ears.

B. Normal is 21% oxygen.

C. Oxygen enriched atmospheres increase flammability of combustible materials.

D. Carbon monoxide causes oxygen starvation and can be fatal at a concentration of

1% for one minute. This is equal to 10,000 PPM. The Threshold Limit Value (TLV)
is only 50 PPM.

E. If there is a possibility that a hazardous atmosphere exists or could be reasonably

expected to exist, test the atmosphere before the employee enters an excavation.
Some areas of concern include; digging near gas lines, sewers, landfills and near
areas of high traffic.

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F. Provide respirators or ventilation when needed. All personnel must be fit tested
before wearing a respirator and all personnel must be training how to use ventilation.

The use of any respirator by employees will require a written respirator program
form the employer {1926.103).

A. Ventilate trench if flammable gas exceeds 20% of the lower flammable limit.

B. Test the atmosphere often--this will ensure that the trench remains safe.

C. Perform regular maintenance on gas meters. Calibrate and change out filters
regularly.

D. Never enter a hazardous atmosphere to rescue an employee unless you have been
trained in rescue techniques and have proper rescue equipment. More than half the
deaths occur while attempting a rescue.

3. Emergency rescue equipment must be available when a hazardous

atmosphere exists or could be reasonably expected to exist.

A. Respirator must be suitable for the exposure. An air supplied or self-contained

breathing apparatus is preferable

B. Harness and lifeline is required when an employee enters bellbottom piers and other
deep confined spaces. The lifeline must be attended at all times.

Employees entering confined spaces must be trained. {1926.21 (b) (6) I}

Specific requirements for welding in confined spaces {1926.352 (g) and 1926.653 (b)}.

4. Protection from hazards associated with water accumulation is necessary to

prevent cave-ins.

A. Methods for controlling accumulated water vary with each situation.

B. Employees are not permitted to work in trenches were water accumulation exists.

C. Special support system or shield systems may be used to protect employees from
cave-ins.

D. Water removal equipment may be used and must be monitored by a competent

person to prevent water accumulation.

E. Safety harness and lifeline may be used to protect employees.

F. Surface water must be diverted and controlled.

G. Trench must be inspected after rain.

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5. Stability of adjacent structures to protect employees from cave-ins.

A. Support systems such as shoring, bracing, or underpinning must be used to support

structures that may be unstable due to excavation operations.

B. Excavation below the base or footing of a foundation or wall is not permitted unless:

i. Support system is provided to ensure the stability of the structure.

ii. The excavation is in stable rock.
iii. A Registered Professional Engineer approves the operation.

C. Support systems must be provided for sidewalks, pavements and other structures
that may be affected by the excavation operations.

6. Protection of employees from loose rock or soil.

A. Employees must be protected from being struck by materials falling or rolling from
the edge and the face of the trench.

B. Spoils and equipment must be set back at least 2 feet from the edge of the trench
and/or a retaining device must be installed.

7. Fall protection is required for walkways and bridges over trenches. Other fall
protection may also be required.

8. Remotely located excavations shall be backfilled, covered, or barricaded (for

example wells, pits, shafts, etc.)

Inspections must be made:

A. Daily prior to starting work

B. As needed throughout the shift by a competent person.

C. After every rainstorm.

D. After other hazard increasing occurrence (snowstorm, windstorm, thaw,

earthquake, etc.).

E. Inspect the trench for indications of possible cave-ins (fissures, tension cracks,
sloughing, undercutting, water seepage, bulging at the bottom).

F. Inspect adjacent areas (spoil piles, structures).

G. To protective systems and their components (uprights, wales sheeting, shields

hydraulics) before and after use.

H. Check for indications of a hazardous or potentially hazardous atmosphere.

I. Test the atmosphere if a hazard could reasonably be expected to exist.

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Soil Classification and Identification
The OSHA Standards define soil classifications within the Simplified Soil Classification
Systems, which consist of four categories: Stable rock, Type A, Type B, and Type C.
Stability is greatest in stable rock and decreases through Type A and B to Type C, which is
the least stable. Appendix A of the standard provides soil mechanics terms and types of
field tests used to determine soil classifications. Stable rock is defined as natural solid
mineral matter that can be excavated with vertical sides and remain intact while exposed.

Type A soil is defined as:

 Cohesive soils with an unconfined compressive strength of 1.5 tons per square foot
(TSF) or greater.
 Cemented soils like caliche and hardpan are considered Type A.

Soil is NOT Type A if:

 It is fissured.
 The soil is subject to vibration from heavy traffic, pile driving or similar effects.
 The soil has been previously disturbed.
 The material is subject to other factors that would require it to be classified as a less
stable material.
 The exclusions for Type A most generally eliminate it from most construction
situations.

Type B soil is defined as:

 Cohesive soil with an unconfined compressive strength greater than .5 TSF, but less
than 1.5 TSF.
 Granular cohesion-less soil including angular gravel, silt, silt loam, and sandy loam.
 The soil has been previously disturbed except that soil classified as Type C soil.
 Soil that meets the unconfined compressive strength requirements of Type A soil, but
is fissured or subject to vibration.
 Dry rock that is unstable.

Type C soil is defined as:

 Cohesive soil with an
unconfined compressive
strength of .5 TSF or less.
 Granular soils including gravel,
sand and loamy sand.
 Submerged soil or soil from
which water is freely seeping.
 Submerged rock that is not
stable.

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Soil Test & Identification
The competent person will classify the soil type in accordance with the definitions in
Appendix A based on at least one visual and one manual analysis. These tests should be
run on freshly excavated samples from the excavation and are designed to determine
stability based on a number of criteria: the cohesiveness, the presence of fissures, the
presence and amount of water, the unconfined compressive strength, and the duration of
exposure, undermining, and the presence of layering, prior excavation and vibration.
The cohesion tests are based on methods to determine the presence of clay. Clay, silt, and
sand are size classifications, with clay being the smallest sized particles, silt intermediate
and sand the largest.
Clay minerals exhibit good cohesion and plasticity (can be molded). Sand exhibits no
elasticity and virtually no cohesion unless surface wetting is present. The degree of
cohesiveness and plasticity depend on the amounts of all three types and water.
When examining the soil, three questions must be asked: Is the sample granular or
cohesive? Is it fissured or non-fissured? What is the unconfined compressive strength
measured in TSF?
The competent person will perform several tests of the excavation to obtain consistent,
supporting data along its depth and length. The soil is subject to change several times within
the scope of an excavation and the moisture content will vary with weather and job
conditions. The competent person must also determine the level of protection based on
what conditions exist at the time of the test, and allow for changing conditions.

Ribbon Soil Test

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Sloping
MAXIMUM ALLOWABLE SLOPES

SOIL TYPE SLOPE (H:V) ANGLE( º )

Stable Rock Vertical 90º

Type A 3/4 : 1 53º

Type B 1:1 45º

Type C 1/2 : 1 34º

MAXIMUM ALLOWABLE SLOPE means the steepest incline of an excavation face that is
acceptable for the most favorable site conditions as protection against cave-ins and is
expressed as the ratio of horizontal distance to vertical rise (H:V).

The tables and configurations within Appendix B may be used to a maximum depth of twenty
(20') feet deep. Jobs more than twenty (20') feet in depth require the design of a sloping
plan by a registered professional engineer (RPE). If configurations are used for depths less
than 20 feet other than those found in Appendix B, they must also be designed by a
registered professional engineer.

Shielding
The third method of providing a safe workplace in excavations is shielding. Shielding is
different from shoring and sloping in that it does not prevent cave-ins. Instead, it protects
the workers in the event of a cave-in.
Its function is therefore somewhat
similar to that of a bomb shelter.
Shields are simply devices that, when
placed in an excavation, have sufficient
structural strength to support the force
of a cave-in should one occur. Shields
take a number of different shapes and
sizes. Most shields consist of two flat,
parallel metal walls which are held apart
by metal cross braces which are placed
at the ends of the "Box" to allow for the
installation of pipe within its interior
dimensions.

These boxes are used to greatest effect in what is known as "cut and cover" operations
where a contractor excavates just enough trench to install the shield, then sets a joint of
pipe, then excavates further, then pulls the shield forward to install another joint while the
first is being backfilled. This method is extremely cost effective in that it is fast, safe,
requires minimum excavation and minimum open trench. It has become the preferred
method of laying pipe in most instances.

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While original shields were quite large, smaller shields have gained in popularity with
public works maintenance crews and contractors working in shallow excavations because
of their ease of use. Recently, round shields, made of corrugated metal have appeared.
The sizes, shapes and possibilities for the applications of shields are endless. If they are
to be used, however, several points must be borne in mind.

1. Shield construction is not covered by the standard. Users must rely on

manufacturers' requirements. For this reason, it is critical that you know your
supplier. Reputable manufacturers supply boxes designed by registered
professional engineers, and the standard requires that they are certified for their
applications. Do not make the mistake of having the neighborhood welder fabricate
one. A user must know that their shield is appropriate for the situation.

2. Bent cross braces are not braces, they are hinges. Any bent of deformed structural
member must be repaired or replaced according to the manufactures' guidelines.

3. The manufacturer must approve any modification to the shields.

4. Shields must be installed so as to prevent lateral movement in the event of a cave-

in.

5. Shields may ride two feet above the bottom of an excavation, provided they are
calculated to support the full depth of the excavation and there is no caving under
or behind the shield.

6. Workers must enter and leave the shield in a protected manner, such as by ladder
within the shield or a properly sloped ramp at the end.

7. Workers may not remain in the shield during its installation, removal or during
vertical movement.

8. Do not forget about the open

end of the shield if it exposes
a wall of the excavation. The
wall should be sloped,
shored or shielded off to
prevent a cave-in from the
end.

9. If the excavation is deeper

than the shield is tall,
attached shields of the
correct specifications may be
used or the excavation may
be sloped back to maximum
allowable angle from a point
18 inches below the top of
the shield.

Complete Rule and further instructions are located in TLC’s Competent Person Course.

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Inspections
Daily inspection of excavations, the adjacent areas and protective systems shall be made
by the competent person for evidence of a situation that could result in a cave-in,
indications of failure of protective systems, hazardous atmospheres or other hazardous
conditions.
 All inspections shall be conducted by the competent person prior to the start of work
and as needed throughout the shift.
 Inspections will be made after every rainstorm or any other increasing hazard.
 All documented inspections will be kept on file in the jobsite safety files and forwarded
to the Safety Director weekly.
 A copy of the Daily Excavation Inspection form is located at the end of this program.
The competent person(s) must be trained in accordance with the OSHA Excavation
Standard, and all other programs that may apply (examples Hazard Communication,
Confined Space, and Respiratory Protection), and must demonstrate a thorough
understanding and knowledge of the programs and the hazards associated. All other
employees working in and around the excavation must be trained in the recognition of
hazards associated with trenching and excavating.

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Two unsafe excavation examples: Top, notice the man in a 6 foot deep trench with no
ladder or shoring, and the placement of spoil. Bottom photograph, utilities are marked
after the excavation has begun, no hard hats, no ladders, no protective system,
incorrect spoil placement.

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 DAILY EXCAVATION CHECKLIST

Client Date
Project Name Approx. Temp.
Project Location Approx. Wind Dir.
Job Number Safety Rep
Excavation Depth & Width Soil Classification
Protective System Used
Activities In Excavation
Competent Person

Excavation > 4 feet deep? ___Yes ___No

NOTE: Trenches over 4 feet in depth are considered excavations. Any items marked
NO on this form MUST be remediated prior to any employees entering the
excavation.

YES NO N/A DESCRIPTION

GENERAL
Employees protected from cave-ins & loose rock/soil that could roll into the
excavation
Spoils, materials & equipment set back at least 2 feet from the edge of the
excavation.
Engineering designs for sheeting &/or manufacturer's data on trench box
capabilities on site
Adequate signs posted and barricades provided
Training (toolbox meeting) conducted w/ employees prior to entering
excavation
UTILITIES
Utility company contacted & given 24 hours notice &/or utilities already located
& marked
Overhead lines located, noted and reviewed with the operator
Utility locations reviewed with the operator, & precautions taken to ensure
contact does not occur
Utilities crossing the excavation supported, and protected from falling materials
Underground installations protected, supported or removed when
excavation is open
WET CONDITIONS
Precautions taken to protect employees from water accumulation (continuous
dewatering)
Surface water or runoff diverted /controlled to prevent accumulation in the
excavation
Inspection made after every rainstorm or other hazard increasing occurrence

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 HAZARDOUS ATMOSPHERES
Air in the excavation tested for oxygen deficiency, combustibles, other
contaminants
Ventilation used in atmospheres that are oxygen rich/deficient &/or
contains hazardous substances
Ventilation provided to keep LEL below 10 %
Emergency equipment available where hazardous atmospheres could or
do exist
Safety harness and lifeline used
Supplied air necessary (if yes, contact safety department)
ENTRY & EXIT
Exit (i.e. ladder, sloped wall) no further than 25 feet from ANY employee
Ladders secured and extend 3 feet above the edge of the trench
Wood ramps constructed of uniform material thickness, cleated together @ the
bottom
Employees protected from cave-ins when entering or exiting the excavation

Explain how you have secured the site and made it safe to work inside (if possible)

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One-call Center or Bluestakes
You are required to locate or call for proper buried utility locations before you dig or
excavate. You will usually need a 48-hour notice before you excavate. Please check with
your local one-call system.

Red spray marks means - Electricity, Yellow marks-Gas, Blue marks-Water

Orange spray marks means - Telephone & Fiber Optics

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One Call Program
According to federal safety statistics, damage from unauthorized digging is the major cause
of natural gas pipeline failures. To prevent excavation damage to all utilities, including
pipelines, all 50 states have instituted "One Call" Programs. The programs provide
telephone numbers for excavation contractors to call before excavation begins.

The one-call operator will notify a pipeline company of any planned excavation in the vicinity
of its pipeline so that the company can flag the location of the pipeline and assign personnel
to be present during excavation, if necessary.

In a related effort, a joint government-industry team has developed a public education

program entitled "Dig Safely". The team involved representatives from the U.S. Department
of Transportation, gas and liquid pipeline companies, distribution companies, excavators,
the insurance industry, one-call systems and the telecommunications industry. This
campaign provides information to the general public concerning underground utilities and
the danger of unknowingly digging into buried lines and cables.

The program has posters, brochures, and other printed materials available for use by
interested organizations. For more information, contact www.digsafely.com.

Telephone Cables, nasty to dig around. It’s almost as bad as electric lines.

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One-Call Center, Underground Utilities
One Call Centers were established as a one-call notification system by underground facility
owners to assist excavators with statutory requirements to notify underground facility
owners prior to excavation. This damage prevention service is provided free of charge to
any individual or company planning to excavate. By participating in the program and getting
underground facilities located, you can:

 Comply with Federal Law

 Avoid Injuries

 Prevent costly damages and interruptions of facility services

 Save time and money

 Avoid hazards

 Eliminate construction delays

Color Codes for marking underground utility lines.

Red------------- Electric Power

Yellow --------- Gas-Oil- Product Lines
Orange-------- Communication, Cable television
Blue------------ Water systems, slurry pipelines
Green---------- Sanitary sewer system
Pink------------ Temporary survey markings

Example of a One-Call Center’s Rules

Excavations: determining location of underground facilities; providing information;
excavator marking; on-site representative; validity period of markings.

A. A person shall not make or begin any excavation in any public street, alley, right-of-
way dedicated to the public use or utility easement or on any express or implied
private property utility easement without first determining whether underground
facilities will be encountered, and if so where they are located from each and every
public utility, municipal corporation or other person having the right to bury such
underground facilities within the public street, alley, right-of-way or utility easement
and taking measures for control of the facilities in a careful and prudent manner.

B. Every public utility, municipal corporation or other person having the right to bury
underground facilities shall file with the corporation commission the job title, address
and telephone number of the person or persons from whom the necessary
information may be obtained. Such person or persons shall be readily available
during established business hours. The information on file shall also include the
name, address and telephone number of each one-call notification center to which
the owner of the facility belongs. Upon receipt of inquiry or notice from the
excavator, the owner of the facility shall respond as promptly as practical, but in no
event later than two days, by marking such facility with stakes, paint or in some

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 customary manner. No person shall begin excavating before the location and
marking are complete or the excavator is notified that marking is unnecessary.

C. On a timely request by the owner of a facility, the excavator shall mark the
boundaries of the location requested to be excavated in accordance with a color
code designated by the commission or by applicable custom or standard in the
industry. A request under this subsection for excavator marking does not alter any
other requirement of this section.

D. In performing the marking required by subsection B of this section, the owner of an

underground facility installed after December 31, 1988 in a public street, alley or
right-of–way dedicated to public use, but not including any express or implied private
property utility easement, shall locate the facility by referring to installation records
of the facility and utilizing one of the following methods:

1. Vertical line or facility markers.

2. Locator strip or locator wire.
3. Signs or permanent markers.
4. Electronic or magnetic location or tracing techniques.
5. Electronic or magnetic sensors or markers.
6. Metal sensors or sensing techniques.
7. Sonar techniques.
8. Underground electrical or radio transmitters.
9. Manual location techniques, including pot-holing.
10. Surface extensions of underground facilities.
11. Any other surface or subsurface location technique at least as accurate as the other
marking methods in this subsection not prohibited by the commission or by federal
or state law.

E. For an underground facility other than one installed after December 31, 1988, in a
public street, alley or right-of-way dedicated to public use, in performing the marking
required by subsection B of this section, the owner may refer to installation or other
records relating to the facility to assist in locating the facility and shall locate the
facility utilizing one of the methods listed under subsection D of this section.

If an underground facility owner is unable to complete the location and marking within the
time period provided by subsection B of this section, the facility owner shall satisfy the
requirements of this section by proving prompt notice of these facts to the excavator.

Assigning one or more representatives to be present on the excavation site at all pertinent
times as requested by the excavator to provide facility location services until the facilities
have been located and marked.

The underground facility owner shall bear all of its costs associated with assigning
representatives. If representatives are assigned under this subsection, the excavator is not
responsible or liable for damage or repair of the owner’s underground facility while acting
under the direction of an assigned representative of the owner, unless the damage or need
for repair was caused by the excavator’s negligence.

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Natural Gas Safety
That familiar blue flame that plays such an important role in our lives should, like other
sources of energy, be treated with respect. Following a few simple guidelines can help
ensure that you can safely enjoy all the benefits natural gas has to offer.

Natural gas is colorless and invisible. When it burns it should appear as a clear, blue flame.
Because natural gas has no odor, a special chemical called mercaptan is added to make it
easy to detect gas leaks from pipes or appliances. This odor is commonly described as a
rotten-egg smell.

Natural gas is clean-burning. When burned completely, it produces only water vapor and
carbon dioxide, just as you do when you breathe. Natural gas is such a safe and dependable
fuel that it's easy to take for granted. But please, never take safety for granted. As with any
source of energy, you should follow certain safety measures when using natural gas.

When it's taken from the ground, natural gas is tasteless, colorless and odorless. To make
it easier to detect, a harmless but strong-smelling odorant is added, Ethyl Mercaptan. If you
ever smell this "rotten egg-like" odor, it may mean there is a gas leak.

WHAT TO DO IF YOU SMELL GAS:

 Do not smoke. Do not use lighters or matches.
 Do not turn on/off any switches or appliances.
 Our personnel are available 24 hours a day to respond to any emergency call.

Carbon Monoxide
Carbon monoxide is produced when burning any fuel incompletely, such as charcoal,
gasoline or wood. Carbon monoxide is highly poisonous and it has no odor, taste or color.
If natural gas equipment is not maintained, adjusted and operated properly, it could produce
carbon monoxide.

Your natural gas appliances should produce a clear, steady blue flame. If your gas
appliances exhibit an unusual behavior or produce a yellowish-color flame, that may be a
warning sign that your appliance is producing carbon monoxide.

A licensed professional should inspect appliances annually to insure safe operation. An

inspection will accomplish the following:
 Make sure the appliance is installed properly and that it is in good working
condition.
 Ensure that there is enough fresh air circulating for the fuel to burn properly.
 Check that vents are in good condition and are not blocked with debris.

Other helpful tips:

 The area surrounding your gas appliances should be clear from clutter or trash.
 Carbon monoxide detectors may be helpful in your home or business. But
remember, a carbon monoxide detector should never be substituted for using
equipment safely - which includes having your heating and cooking equipment
inspected once a year by a trained professional.

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OSHA's General Industry Regulation, §1910.146 Permit-required confined spaces,
contains requirements for practices and procedures to protect employees in general
industry from the hazards of entry into permit-required confined spaces. This
regulation does not apply to construction.

OSHA's Construction Safety and Health Regulations Part 1926 do not contain a
permit-required confined space regulation. Subpart C, §1926.21 Safety training
and education specifies training for personnel who are required to enter confined
spaces and defines a "confined or enclosed space."

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Lockout - Tagout Training Section
(LOTO) Lockout and Tagout

Purpose
Control of Hazardous energy is the purpose of the Lockout- Tagout Policy. This policy
establishes the requirements for isolation of both kinetic and potential electrical, chemical,
thermal, hydraulic and pneumatic and gravitational energy prior to equipment repair,
adjustment or removal. The Lockout -Tagout Electrical Safety Policy is part of your overall
safety program. If you do not understand this policy, it’s your responsibly to ask your
supervisor to have this policy explained to you.
Reference: OSHA Standard 29 CFR 1910. 147, the control of hazardous energy.

Definitions
Authorized (Qualified) Employees are the only ones certified to lock and tag-out
equipment or machinery. Whether an employee is considered to be qualified will depend
upon various circumstances in the workplace. It is
likely for an individual to be considered "qualified"
with regard to certain equipment in the workplace, but
"unqualified" as to other equipment.

An employee who is undergoing on-the-job training

and in the course of such training, has demonstrated
an ability to perform duties safely at his or her level of
training and who is under the direct supervision of a
qualified person, is considered to be "qualified" for
the performance of those duties.

Affected Employees are those employees who

operate machinery or equipment upon which lockout
or tagging out is required under this program. Training of these individuals will be less
stringent in that it will include the purpose and use of the lockout procedures.

Other Employees are identified as those that do not fall into the authorized, affected or
qualified employee category. Essentially, it will include all other employees. These
employees will be provided instruction in what the program is and not to touch any machine
or equipment when they see that it has been locked or tagged out.

Training
Authorized Employees Training Example
All maintenance employees and Department Supervisors will be trained
to use the Lock and Tagout Procedures. The training will be conducted by
the Supervisor or Safety Coordinator at time of initial hire. Retraining shall
be held at least annually. The training will consist of the following:
 Review of General Procedures.
 Review of Specific Procedures for machinery, equipment and
processes.
 Location and use of Specific Procedures.
 Procedures when questions arise.

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Affected Employee Training
 Only trained and authorized
employees will repair,
replace or adjust machinery,
equipment or processes.
 Affected employees may not
remove Locks, locking
devices or tags from
machinery, equipment or
circuits.
 Purpose and use of the
lockout procedures.

Other Employee Training

 Only trained and authorized
employees will repair, replace or adjust machinery or Equipment.
 Other employees may not remove Locks, locking devices or tags from machinery,
equipment or circuits.

Preparation for Lock and Tagout Procedures Example

A Lockout - Tagout survey will be conducted to locate and identify all energy sources to
verify which switches or valves supply energy to machinery and equipment. Dual or
redundant controls will need to be removed.

A Tagout Schedule will be developed for each piece of equipment and machinery. This
schedule describes the energy sources, location of disconnects, type of disconnect, special
hazards and special safety procedures. The schedule will be reviewed each time to ensure
employees properly lock and tag out equipment and machinery.

If a Tagout Schedule does not exist for a particular piece of equipment, machinery and
process, one must be developed prior to conducting a Lockout - Tagout. As repairs and/or
renovations of existing electrical systems are made, standardized controls will be used. It
is your departmental supervisor's responsibility to ensure that a schedule is made.

Routine Maintenance & Machine Adjustments

Lock and Tag out procedures are not required if equipment must be operating for proper
adjustment. This rare exception may be used only by trained and authorized employees
when specific procedures have been developed to safely avoid hazards with proper training.
All consideration shall be made to prevent the need for an employee to break the plane of
a normally guarded area of the equipment by use of tools and other devices.

Standard Operating Procedure (SOP): General Lock and Tag out Procedures
Before working on, repairing, adjusting or replacing machinery and equipment, the following
procedures will be utilized to place the machinery and equipment in a neutral or zero
mechanical state.

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Preparation for Shutdown Example
Before authorized or affected employees turn off a machine or piece of equipment, the
authorized employee will have knowledge of the type and magnitude of the energy, the
hazards of the energy to be controlled, and the means to control the energy. Notify all
affected employees that the machinery, equipment or process will be out of service.

Machine or Equipment Shutdown.

The machine or equipment will be turned off or shut down using the specific procedures for
that specific machine. An orderly shutdown will be utilized to avoid any additional or
increased hazards to employees as a result of equipment de-energization.

If the machinery, equipment or process is in operation, follow normal stopping procedures

(depress stop button, open toggle switch, etc.). Move switch or panel arms to "Off" or "Open"
positions and close all valves or other energy isolating devices so that the energy source(s)
is disconnected or isolated from the machinery or equipment.

Machine or Equipment Isolation.

All energy control devices that are needed to control the energy to the machine or
equipment will be physically located and operated in such a manner as to isolate the
machine or equipment from the energy source.

Lockout or Tagout Device Application.

Lockout or tagout devices will be affixed to energy isolating devices by authorized
employees. Lockout devices will be affixed in a manner that will hold the energy isolating
devices from the "safe" or "off" position.

Where tagout devices are used, they will be affixed in such a manner that will clearly state
that the operation or the movement of energy isolating devices from the "safe" or "off"
positions is prohibited.

The tagout devices will be attached to the same point a lock would be attached. If the tag
cannot be affixed at that point, the tag will be located as close as possible to the device in
a position that will be immediately obvious to anyone attempting to operate the device.
Lock and tag out all energy devices by use of hasps, chains and valve covers with assigned
individual locks.

Stored Energy
Following the application of the lockout or tagout devices to the energy isolating devices, all
potential or residual energy will be relieved, disconnected, restrained, and otherwise
rendered safe.

Where the re-accumulation of stored energy to a hazardous energy level is possible,

verification of isolation will be continued until the maintenance or servicing is complete.

Release stored energy (capacitors, springs, elevated members, rotating fly wheels, and
hydraulic/air/gas/steam systems) must be relieved or restrained by grounding,
repositioning, blocking and/or bleeding the system.

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Verification of Isolation
Prior to starting work on machines or equipment that have been locked or tagged out, the
authorized employees will verify that isolation or de-energization of the machine or
equipment have been accomplished.

After assuring that no employee will be placed in danger, test all lock and tag outs by
following the normal start up procedures (depress start button, etc.).
Caution: After Test, place controls in neutral position.

Extended Lockout - Tagout

Should the shift change before the machinery or equipment can be restored to service, the
lock and tag out must remain. If the task is reassigned to the next shift, those employees
must lock and tag out before the previous shift may remove their lock and tag.

SOP: Release from LOCKOUT/TAGOUT Example

Before lockout or tagout devices are removed and the energy restored to the machine or
equipment, the following actions will be taken:
1. The work area will be thoroughly inspected to ensure that nonessential items have
been removed and that machine or equipment components are operational.
2. The work area will be checked to ensure that all employees have been safely
positioned or removed. Before the lockout or tagout devices are removed, the
affected employees will be notified that the lockout or tagout devices are being
removed.
3. Each lockout or tagout device will be removed from each energy-isolating device
by the employee who applied the device.

SOP: LOTO Procedure for Electrical Plug-Type Equipment Example

This procedure covers all Electrical Plug-Type Equipment such as battery chargers, some
product pumps, office equipment, powered hand tools, powered bench tools, lathes, fans,
etc.

When working on, repairing, or adjusting the above equipment, the following procedures
must be utilized to prevent accidental or sudden startup:
1. Unplug electrical equipment from wall socket or in-line socket.
2. Attach "Do Not Operate" Tag and Plug Box & Lock on end of power cord.
An exception is granted to not lock & tag the plug if the cord & plug remain in the
exclusive control of the Employee working on, adjusting or inspecting the equipment.
3. Test equipment to assure power source has been removed by depressing the
"Start" or “On" Switch.
4. Perform required operations.
5. Replace all guards removed.
6. Remove Lock & Plug Box and Tag.
7. Inspect power cord and socket before plugging equipment into power source. Any
defects must be repaired before placing the equipment back in service.

NOTE: Occasionally used equipment may be unplugged from power source when not in
use.

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SOP: LOTO Procedures Involving More Than One Employee
In the preceding SOPs, if more than one employee is assigned to a task requiring a lock
and tag out, each must place his/her own lock and tag on the energy isolating device(s).

SOP: Management Removal of Lock and Tag Out

Only the employee that locks and tags out machinery, equipment or processes may remove
his/her lock and tag. However, the employee should leave the facility before removing
his/her lock and tag, and the supervisor may remove the lock and tag. The supervisor must
be assured that all tools have been removed, all guards have been replaced and all
employees are free from any hazard before the lock and tag are removed and the
machinery, equipment or process are returned to service. Notification of the employee who
placed the lock is required prior to lock removal.

Contractors
Contractors working on our property and equipment must use this Lockout-Tagout
procedure while servicing or maintaining equipment, machinery or processes.

Lockout - Tag out Safety Equipment

The employer will provide all Lockout-Tagout safety equipment and training to any
employee that may need or work with electricity or powered equipment. Your supervisor
will be able to provide any assistance or equipment.

Notice the chain for locking the wheel valve.

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Ladder Safety Section
Purpose
Ladders present unique opportunities for unsafe acts and unsafe conditions. Employees
who use ladders must be trained in proper selection, inspection, use and storage. Improper
use of ladders has caused a large percentage of accidents in the workplace. Use caution
on ladders.

OSHA reference: (29 CFR 1910.25, 1910.26, and 1910.27).

Ladder Hazards
Falls from ladders can result in broken bones and death. Ladder safety is a lifesaving
program at our company.

Hazards include:
 Ladders with missing or broken parts.
 Using a ladder with too low a weight rating.
 Using a ladder that is too short for the intended
purpose.
 Using metal ladders near electrical wires.
 Using ladders as a working platform.
 Objects falling from ladders.

Ladder Inspection
Inspect ladders before each use.
 All rungs and steps are free of oil, grease, dirt,
etc.
 All fittings are tight.
 Spreaders or other locking devices are in place.
 Non-skid safety feet are in place.
 No structural defects, all support braces intact.
Do not use broken ladders. Most ladders cannot be repaired to manufacturer specifications.
Throw away all broken ladders.

Ladder Storage
Store ladders on sturdy hooks in areas where they cannot be damaged. Store to prevent
warping or sagging. Do not hang anything on ladders that are in a stored condition.

Ladder Ratings & Limits

Ladder weight ratings
 I-A 300 pounds (heavy duty)
 I 250 pounds (heavy duty)
 II 225 pounds (medium duty)
 III 200 pounds (light duty).

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Limits on ladder length.
 A stepladder should be no more than 20 feet high.
 A one-section ladder should be no more than 30 feet.
 An extension ladder can go to 60 feet, but the sections must overlap.

Ladder Setup
The following procedure must be followed to prevent ladder accidents:
 Place ladder on a clean, slip-free level surface.
 Extend the ladder to have about 4 feet above the top support or work area.
 Anchor the top and bottom of the ladder.
 Place the ladder base 1/4 the height of the ladder from the wall when using an
extension ladder.
 Never allow more than one person on a ladder.
 Use carriers and tool belts to carry objects up a ladder.
 Do not lean out from the ladder in any direction.
 If you have a fear of heights - don't climb a ladder.
 Do not allow others to work under a ladder in use.

Ladder Maintenance
 Keep ladders clean.
 Never replace broken parts unless provided by the original manufacturer.
 Do not attempt to repair broken side rails.

We finally have a ladder in an excavation, but no protective system in place or

hard hat.

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SAFETY SECTION GLOSSARY
Barricades: Visible warning barriers that keep vehicles and pedestrians from entering a
construction site.

Braces : Devices that hold or fasten two or more parts together or in place. Braces are
diagonal or horizontal. They may be made of wood or metal.

Bracing System: A system of braces which applies pressure against trench walls to
stabilize them. A bracing system is part of a trench shoring system used to prevent trench
walls from collapsing.

Benching: A method of cutting back the sides of a trench into horizontal steps to prevent
cave-ins.

Bulge: An outward swelling in the soil of a trench; may be a warning sign of trench
failure.

Buried Structures: Manholes, junction boxes or catch basins beneath the ground or any
other installations that may be encountered during trenching.

Clay: Fine-grained natural soil that is plastic when moist and hard and brittle when dry.
Clay is made up of particles smaller than .0002 millimeters.

Clumps: Heavy lumps or thick groupings of soil.

Cohesion: The relative ability to clump together, the force holding two like substances
together.

Cohesive: When a soil has grains that hold together and clump well.

Competent Person: One who is capable of identifying existing, and predictable hazards
in the surroundings, or working conditions which are unsanitary, hazardous or dangerous
to employees. They have the authorization to take prompt corrective measures to eliminate
hazards. The Competent Person is trained and knowledgeable about soil analysis and the
use of protective systems.

Confined Space: Has limited or restricted means of entry or exit, is large enough for an
employee to enter and perform assigned work, and is not designed for continuous
occupancy by the employee. These spaces may include, but are not limited to,
underground vaults, tanks, storage bins, pits, and diked areas, vessels, and silos.

Diversion Ditches: A ditch cut around the work site to keep water from entering the
trench.

Drainage System: Pumps, pipe or channel used to drain off rain or groundwater from
inside the trench.

Excavation: Any man-made cut, cavity trench or depression in an earth surface, formed
by earth removal.

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Fissure: A long narrow opening or crack in the rock or soil. Fissures are often a sign of
trench wall failure.

Grain: Particles that once were large rocks, but have been broken down through time and
the effects of weathering. The size of the grain of a soil determines the stability and
cohesiveness of a soil. The larger the grain is, the more unstable the soil is.

Gravel: A loose mixture of pebbles and rock fragments, which is coarser than sand.

Hardpan: A layer of hard subsoil or clay that does not allow water in. Hardpan is classified
as a Type A soil.

Heaving: The swelling of a soil.

Jacks: Jacks are braces or supports within a shoring system. They are placed against
beams to resist the pressure of the earth.

Loamy Sand: Soil composed of a mixture of sand, clay and silt, with more sand grains
than clay or silt. It is classified as a Type C soil.

Manufacturer's Tabulated Data: Tables and charts approved by a registered professional

engineer and used to design and construct a protective system.

Permit Required Confined Space: Meets the definition of a confined space and has one
or more of these characteristics: (1) contains or has potential to contain a hazardous
atmosphere, (2) contains a material that has the potential for engulfing an entrant, (3) has
an internal configuration that might cause an entrant to be trapped or asphyxiated by
inwardly converging walls or by a floor that slopes downward and tapers to a smaller cross
section, and/or (4) contains any other recognized serious safety or health hazards.

Personal Protective Equipment: Safety goggles and glasses, reflective clothing, work
gloves, hard hat, safety shoes, rubber boots, earplugs or protectors, face shield and face
mask or respirator.

Registered Professional Engineer: A person who is registered as a professional

engineer in the state where the work is to be performed.

Sand: A type C soil with small, loose grains of disintegrated rock.

Sandy Loam: Granular soil with enough silt and clay to make it slightly cohesive

Saturation: The process of a soil being filled to capacity with moisture.

Shear: A phenomenon which happens when a trench wall is subjected to stress. Fissured
cracks widen until a portion of the trench wall breaks off and slides into the trench.

Sheeting: Durable sheets of metal or wood, which are held firmly against a trench wall to
prevent it from caving-in. Sheeting is a component of a trench shoring system.

Shielding: A device which provides adequate protection from falling or collapsing earth
loads. The trench box is a common form of shielding.

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Shoring: Main method of stabilizing and supporting a trench wall to prevent cave-ins. It
consists of uprights, stingers and braces.

Silt: A soil which contains fine particles and is very smooth.

Silty Clay: A plastic soil that will appear rough or broken when rubbed over the thumb
and finger.

Sloping: The process of cutting back the sides of a trench to avoid a cave-in.

Sloughing: When loose soil begins to run in from the lower part of the wall into the
excavation. It is the first step to a wall collapse.

Soil Type: A system of classifying soils and rock deposits. Soil must be classified by a
qualified person as: Stable rock, Type-A, Type-B, Type-C.

Spall: When a soil begins to crack or flake due to pressure, or from moisture from within
the trench.

Spoil Pile/Spoilage: Rock waste, banks and dumps from the excavation.

Supports: Part of a shoring system which helps to bear the weight of braces and other
parts of the shoring system.

Trench Box: A prefabricated moveable box usually constructed of metal plates welded to
a heavy steel frame. The box is moved along as work progresses. It is able to withstand
the forces imposed on it by a cave-in and thereby protects trench workers.

Type-A Soil: The most stable and cohesive type of soil while working at a trench site.
Examples are clay, silty clay and hardpan.

Type-B Soil: Type-B soil is next to the most stable soil. Silt, silt loam, sandy loam, medium
clay and unstable rock would be good examples of Type-B soils.

Type-C Soil: The least stable type of soil. Examples of Type-C soils are gravel, loamy
sand, soft clay, submerged silt and heavy unstable rock.

Unconfined Compressive Strength: Through a variety of tests, a soil’s strength is found.

The unconfined compressive strength is the soil’s measure of bearing capacity and shearing
resistance. Measured as the amount of weight per square foot needed to collapse a soil
sample.

Uprights: Vertical members of a trench shoring system placed in context with the earth.
These members usually are not placed in direct contact with one another.

Vibration: When a soil or excavation site trembles and shakes rapidly due to forces such
as loud noises or heavy equipment or traffic.

Voids: Voids are empty spaces between particles of rocks.

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Wales: Wales are parts of a shoring system. They are positioned horizontally and help to
brace vertical beams and supports. Wales can be fastened to studs with nails, clips or
brackets.

Wall Stability: The relative strength and capacity of walls of a trench.

Provide at least one attendant outside the permit space into which entry is
authorized for the duration of entry operations;

NOTE: Attendants may be assigned to monitor more than one permit space
provided the duties described in paragraph (i) of this section can be effectively
performed for each permit space that is monitored. Likewise, attendants may be
stationed at any location outside the permit space to be monitored as long as the
duties described in paragraph (i) of this section can be effectively performed for
each permit space that is monitored.

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Confined Space Information Summary
A. The National Institute of Occupational Safety and Health (NIOSH) defines Confined
Space as "any space which, by design, has limited openings for entry and exit;
unfavorable natural ventilation which could contain or produce dangerous air
contaminants, and which is not intended for continuous employee occupancy.”

B. The Occupational Safety and Health Administration (OSHA) in 1926.21 "Safety training
and education" paragraph 5, sub-paragraph ii, defines Confined Space as "any space
having a limited means of egress, which is subject to the accumulation of toxic or flammable
contaminants or has an oxygen deficient atmosphere. Confined or enclosed spaces include,
but are not limited to, storage tanks, process vessels, bins, boilers, ventilation or exhaust
ducts, sewers, underground utility vaults, tunnels, pipelines, and open top spaces more than
4 feet deep such as pits, tubs, vaults, and vessels." OSHA 1926 is the construction industry
standard.

C. OSHA 1910.146(a) (23), the general industry standard, defines Confined Space Entry
as "A permit-required confined space (permit space) means an enclosed space which:
1. Is large enough and so configured that an employee can bodily enter and perform
assigned work.
2. Has limited or restricted means for entry or exit, (some examples are tanks, vessels,
silos, storage bins, hoppers, vaults, pits and diked areas);
3. Is not designed for continuous human occupancy, and has one or more of the following
characteristics:

a. Contains or has a known potential to contain a hazardous atmosphere;

b. Contains a material with the potential for engulfment of the entrant;
c. Has an internal configuration such that an entrant could be trapped or asphyxiated by
inwardly converging walls or a floor which slopes downward and tapers to a smaller cross-
section;
d. Contains any other recognized “safety or health hazard."

D. The exact number of workers killed and injured each year in confined-space accidents
is unknown. The NIOSH criteria document on confined spaces lists a study that reviewed
20,000 accident reports filed over a three-year period.
Analysis of those reports showed that 234 deaths and 193 injuries were linked to 276
confined-space incidents. An OSHA report summarizing an in-house review of inspection
case files showed that 173 fatalities resulted from 122 confined-space accidents.

E. Employees assigned to work in confined spaces are not the only people at risk. A NIOSH
study conducted in 1986 suggests that more than half of those killed in confined spaces
were rescuers. In some cases, as many as four would-be rescuers were killed in a single
accident.

F. The practices and procedures which your Employer follows when doing confined space
entry are designed to protect you from the hazards of entry into and working in this
environment. Never short cut these safe work practices.

G. You should know and remember that work-related accidents in confined spaces usually
result in serious injury or death.

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Notice the ladder safety climbing device in the center of the fixed ladder. Most
people do not like or use this device, we call these people “dead”.

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 OSHA Rule Section

1910.146(d)(5)(vi)
Immediately provide each authorized entrant or that employee's authorized representative with
the results of any testing conducted in accord with paragraph (d) of this section.
NOTE: Atmospheric testing conducted in accordance with Appendix B to section 1910.146 would
be considered as satisfying the requirements of this paragraph. For permit space operations in
sewers, atmospheric testing conducted in accordance with Appendix B, as supplemented by
Appendix E to section 1910.146, would be considered as satisfying the requirements of this
paragraph.

1910.146(d)(6)
Provide at least one attendant outside the permit space into which entry is authorized for the
duration of entry operations;
NOTE: Attendants may be assigned to monitor more than one permit space provided the duties
described in paragraph (i) of this section can be effectively performed for each permit space that
is monitored. Likewise, attendants may be stationed at any location outside the permit space to
be monitored as long as the duties described in paragraph (i) of this section can be effectively
performed for each permit space that is monitored.

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Always assist others on the crew. No laughing, well, not when people are looking.
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Regulations (Standards - 29 CFR)
Permit-required confined spaces - 1910.146
1910.146(a)
Scope and application. This section contains requirements for practices and procedures to protect employees in general
industry from the hazards of entry into permit-required confined spaces. This section does not apply to agriculture, to
construction, or to shipyard employment (Parts 1928, 1926, and 1915 of this chapter, respectively).

1910.146(b)
Definitions.
"Acceptable entry conditions" means the conditions that must exist in a permit space to allow entry and to ensure that
employees involved with a permit-required confined space entry can safely enter into and work within the space.
"Attendant" means an individual stationed outside one or more permit spaces who monitors the authorized entrants and who
performs all attendant's duties assigned in the employer's permit space program.
"Authorized entrant" means an employee who is authorized by the employer to enter a permit space.
"Blanking or blinding" means the absolute closure of a pipe, line, or duct by the fastening of a solid plate (such as a
spectacle blind or a skillet blind) that completely covers the bore and that is capable of withstanding the maximum pressure
of the pipe, line, or duct with no leakage beyond the plate.
"Confined space" means a space that:
(1) Is large enough and so configured that an employee can bodily enter and perform assigned work; and
(2) Has limited or restricted means for entry or exit (for example, tanks, vessels, silos, storage bins, hoppers, vaults, and pits
are spaces that may have limited means of entry.); and
(3) Is not designed for continuous employee occupancy.
"Double block and bleed" means the closure of a line, duct, or pipe by closing and locking or tagging two in-line valves and
by opening and locking or tagging a drain or vent valve in the line between the two closed valves.
"Emergency" means any occurrence (including any failure of hazard control or monitoring equipment) or event internal or
external to the permit space that could endanger entrants.
"Engulfment" means the surrounding and effective capture of a person by a liquid or finely divided (flowable) solid
substance that can be aspirated to cause death by filling or plugging the respiratory system or that can exert enough force on
the body to cause death by strangulation, constriction, or crushing.
"Entry" means the action by which a person passes through an opening into a permit-required confined space. Entry includes
ensuing work activities in that space and is considered to have occurred as soon as any part of the entrant's body breaks the
plane of an opening into the space.
"Entry permit (permit)" means the written or printed document that is provided by the employer to allow and control entry
into a permit space and that contains the information specified in paragraph (f) of this section.
"Entry supervisor" means the person (such as the employer, foreman, or crew chief) responsible for determining if
acceptable entry conditions are present at a permit space where entry is planned, for authorizing entry and overseeing entry
operations, and for terminating entry as required by this section.
NOTE: An entry supervisor also may serve as an attendant or as an authorized entrant, as long as that person is trained and
equipped as required by this section for each role he or she fills. Also, the duties of entry supervisor may be passed from one
individual to another during the course of an entry operation.
"Hazardous atmosphere" means an atmosphere that may expose employees to the risk of death, incapacitation, impairment
of ability to self-rescue (that is, escape unaided from a permit space), injury, or acute illness from one or more of the
following causes:
(1) Flammable gas, vapor, or mist in excess of 10 percent of its lower flammable limit (LFL);
(2) Airborne combustible dust at a concentration that meets or exceeds its LFL;
NOTE: This concentration may be approximated as a condition in which the dust obscures vision at a distance of 5 feet
(1.52 m) or less.
(3) Atmospheric oxygen concentration below 19.5 percent or above 23.5 percent;
(4) Atmospheric concentration of any substance for which a dose or a permissible exposure limit is published in Subpart G,
Occupational Health and Environmental Control, or in Subpart Z, Toxic and Hazardous Substances, of this Part and which
could result in employee exposure in excess of its dose or permissible exposure limit;
NOTE: An atmospheric concentration of any substance that is not capable of causing death, incapacitation, impairment of
ability to self-rescue, injury, or acute illness due to its health effects is not covered by this provision.
(5) Any other atmospheric condition that is immediately dangerous to life or health.
NOTE: For air contaminants for which OSHA has not determined a dose or permissible exposure limit, other sources of
information, such as Material Safety Data Sheets that comply with the Hazard Communication Standard, section 1910.1200
of this Part, published information, and internal documents can provide guidance in establishing acceptable atmospheric
conditions.
"Hot work permit" means the employer's written authorization to perform operations (for example, riveting, welding,
cutting, burning, and heating) capable of providing a source of ignition.
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"Immediately dangerous to life or health (IDLH)" means any condition that poses an immediate or delayed threat to life or
that would cause irreversible adverse health effects or that would interfere with an individual's ability to escape unaided
from a permit space.
NOTE: Some materials -- hydrogen fluoride gas and cadmium vapor, for example -- may produce immediate transient
effects that, even if severe, may pass without medical attention, but are followed by sudden, possibly fatal collapse 12-72
hours after exposure. The victim "feels normal" from recovery from transient effects until collapse. Such materials in
hazardous quantities are considered to be "immediately" dangerous to life or health.
"Inerting" means the displacement of the atmosphere in a permit space by a noncombustible gas (such as nitrogen) to such
an extent that the resulting atmosphere is noncombustible.
NOTE: This procedure produces an IDLH oxygen-deficient atmosphere.
"Isolation" means the process by which a permit space is removed from service and completely protected against the release
of energy and material into the space by such means as: blanking or blinding; misaligning or removing sections of lines,
pipes, or ducts; a double block and bleed system; lockout or tagout of all sources of energy; or blocking or disconnecting all
mechanical linkages.
"Line breaking" means the intentional opening of a pipe, line, or duct that is or has been carrying flammable, corrosive, or
toxic material, an inert gas, or any fluid at a volume, pressure, or temperature capable of causing injury.
"Non-permit confined space" means a confined space that does not contain or, with respect to atmospheric hazards, have the
potential to contain any hazard capable of causing death or serious physical harm.
"Oxygen deficient atmosphere" means an atmosphere containing less than 19.5 percent oxygen by volume.
"Oxygen enriched atmosphere" means an atmosphere containing more than 23.5 percent oxygen by volume.
"Permit-required confined space (permit space)" means a confined space that has one or more of the following
characteristics:
(1) Contains or has a potential to contain a hazardous atmosphere;
(2) Contains a material that has the potential for engulfing an entrant;
(3) Has an internal configuration such that an entrant could be trapped or asphyxiated by inwardly converging walls or by a
floor which slopes downward and tapers to a smaller cross-section; or
(4) Contains any other recognized serious safety or health hazard.
"Permit-required confined space program (permit space program)" means the employer's overall program for controlling,
and, where appropriate, for protecting employees from, permit space hazards and for regulating employee entry into permit
spaces.
"Permit system" means the employer's written procedure for preparing and issuing permits for entry and for returning the
permit space to service following termination of entry.
"Prohibited condition" means any condition in a permit space that is not allowed by the permit during the period when entry
is authorized.
"Rescue service" means the personnel designated to rescue employees from permit spaces.
"Retrieval system" means the equipment (including a retrieval line, chest or full-body harness, wristlets, if appropriate, and a
lifting device or anchor) used for non-entry rescue of persons from permit spaces.
"Testing" means the process by which the hazards that may confront entrants of a permit space are identified and evaluated.
Testing includes specifying the tests that are to be performed in the permit space.
NOTE: Testing enables employers both to devise and implement adequate control measures for the protection of authorized
entrants and to determine if acceptable entry conditions are present immediately prior to, and during, entry.

1910.146(c)
General requirements.
1910.146(c)(1)
The employer shall evaluate the workplace to determine if any spaces are permit-required confined spaces.
NOTE: Proper application of the decision flow chart in Appendix A to section 1910.146 would facilitate compliance with
this requirement.
1910.146(c)(2)
If the workplace contains permit spaces, the employer shall inform exposed employees, by posting danger signs or by any
other equally effective means, of the existence and location of and the danger posed by the permit spaces.
NOTE: A sign reading DANGER -- PERMIT-REQUIRED CONFINED SPACE, DO NOT ENTER or using other
similar language would satisfy the requirement for a sign.
..1910.146(c)(3)
1910.146(c)(3)
If the employer decides that its employees will not enter permit spaces, the employer shall take effective measures to prevent
its employees from entering the permit spaces and shall comply with paragraphs (c)(1), (c)(2), (c)(6), and (c)(8) of this
section.
1910.146(c)(4)
If the employer decides that its employees will enter permit spaces, the employer shall develop and implement a written
permit space program that complies with this section. The written program shall be available for inspection by employees
and their authorized representatives.

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1910.146(c)(5)
An employer may use the alternate procedures specified in paragraph (c)(5)(ii) of this section for entering a permit space
under the conditions set forth in paragraph (c)(5)(i) of this section.
1910.146(c)(5)(i)
An employer whose employees enter a permit space need not comply with paragraphs (d) through (f) and (h) through (k) of
this section, provided that:
1910.146(c)(5)(i)(A)
The employer can demonstrate that the only hazard posed by the permit space is an actual or potential hazardous
atmosphere;

1910.146(c)(5)(i)(B)
The employer can demonstrate that continuous forced air ventilation alone is sufficient to maintain that permit space safe for
entry;
..1910.146(c)(5)(i)(C)

1910.146(c)(5)(i)(C)
The employer develops monitoring and inspection data that supports the demonstrations required by paragraphs (c)(5)(i)(A)
and (c)(5)(i)(B) of this section;
1910.146(c)(5)(i)(D)
If an initial entry of the permit space is necessary to obtain the data required by paragraph (c)(5)(i)(C) of this section, the
entry is performed in compliance with paragraphs (d) through (k) of this section;
1910.146(c)(5)(i)(E)
The determinations and supporting data required by paragraphs (c)(5)(i)(A), (c)(5)(i)(B), and (c)(5)(i)(C) of this section are
documented by the employer and are made available to each employee who enters the permit space under the terms of
paragraph (c)(5) of this section or to that employee's authorized representative; and
1910.146(c)(5)(i)(F)
Entry into the permit space under the terms of paragraph (c)(5)(i) of this section is performed in accordance with the
requirements of paragraph (c)(5)(ii) of this section.
NOTE: See paragraph (c)(7) of this section for reclassification of a permit space after all hazards within the space have been
eliminated.
1910.146(c)(5)(ii)
The following requirements apply to entry into permit spaces that meet the conditions set forth in paragraph (c)(5)(i) of this
section.
1910.146(c)(5)(ii)(A)
Any conditions making it unsafe to remove an entrance cover shall be eliminated before the cover is removed.
..1910.146(c)(5)(ii)(B)
1910.146(c)(5)(ii)(B)
When entrance covers are removed, the opening shall be promptly guarded by a railing, temporary cover, or other temporary
barrier that will prevent an accidental fall through the opening and that will protect each employee working in the space
from foreign objects entering the space.
1910.146(c)(5)(ii)(C)
Before an employee enters the space, the internal atmosphere shall be tested, with a calibrated direct-reading instrument, for
oxygen content, for flammable gases and vapors, and for potential toxic air contaminants, in that order. Any employee who
enters the space, or that employee's authorized representative, shall be provided an opportunity to observe the pre-entry
testing required by this paragraph.
1910.146(c)(5)(ii)(C)(1)
Oxygen content,
1910.146(c)(5)(ii)(C)(2)
Flammable gases and vapors, and
1910.146(c)(5)(ii)(C)(3)
Potential toxic air contaminants.
1910.146(c)(5)(ii)(D)
There may be no hazardous atmosphere within the space whenever any employee is inside the space.
1910.146(c)(5)(ii)(E)
Continuous forced air ventilation shall be used, as follows:
1910.146(c)(5)(ii)(E)(1)
An employee may not enter the space until the forced air ventilation has eliminated any hazardous atmosphere;

1910.146(c)(5)(ii)(E)(2)
The forced air ventilation shall be so directed as to ventilate the immediate areas where an employee is or will be present
within the space and shall continue until all employees have left the space;
1910.146(c)(5)(ii)(E)(3)
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The air supply for the forced air ventilation shall be from a clean source and may not increase the hazards in the space.
..1910.146(c)(5)(ii)(F)

1910.146(c)(5)(ii)(F)
The atmosphere within the space shall be periodically tested as necessary to ensure that the continuous forced air ventilation
is preventing the accumulation of a hazardous atmosphere. Any employee who enters the space, or that employee's
authorized representative, shall be provided with an opportunity to observe the periodic testing required by this paragraph.
1910.146(c)(5)(ii)(G)
If a hazardous atmosphere is detected during entry:
1910.146(c)(5)(ii)(G)(1)
Each employee shall leave the space immediately;
1910.146(c)(5)(ii)(G)(2)
The space shall be evaluated to determine how the hazardous atmosphere developed; and
1910.146(c)(5)(ii)(G)(3)
Measures shall be implemented to protect employees from the hazardous atmosphere before any subsequent entry takes
place.
1910.146(c)(5)(ii)(H)
The employer shall verify that the space is safe for entry and that the pre-entry measures required by paragraph (c)(5)(ii) of
this section have been taken, through a written certification that contains the date, the location of the space, and the signature
of the person providing the certification. The certification shall be made before entry and shall be made available to each
employee entering the space or to that employee's authorized representative .
1910.146(c)(6)
When there are changes in the use or configuration of a non-permit confined space that might increase the hazards to
entrants, the employer shall reevaluate that space and, if necessary, reclassify it as a permit-required confined space.
..1910.146(c)(7)
1910.146(c)(7)
A space classified by the employer as a permit-required confined space may be reclassified as a non-permit confined space
under the following procedures:
1910.146(c)(7)(i)
If the permit space poses no actual or potential atmospheric hazards and if all hazards within the space are eliminated
without entry into the space, the permit space may be reclassified as a non-permit confined space for as long as the non-
atmospheric hazards remain eliminated.
1910.146(c)(7)(ii)
If it is necessary to enter the permit space to eliminate hazards, such entry shall be performed under paragraphs (d) through
(k) of this section. If testing and inspection during that entry demonstrate that the hazards within the permit space have been
eliminated, the permit space may be reclassified as a non-permit confined space for as long as the hazards remain
eliminated.
NOTE: Control of atmospheric hazards through forced air ventilation does not constitute elimination of the hazards.
Paragraph (c)(5) covers permit space entry where the employer can demonstrate that forced air ventilation alone will control
all hazards in the space.
1910.146(c)(7)(iii)
The employer shall document the basis for determining that all hazards in a permit space have been eliminated, through a
certification that contains the date, the location of the space, and the signature of the person making the determination. The
certification shall be made available to each employee entering the space or to that employee's authorized representative.
..1910.146(c)(7)(iv)
1910.146(c)(7)(iv)
If hazards arise within a permit space that has been declassified to a non-permit space under paragraph (c)(7) of this section,
each employee in the space shall exit the space. The employer shall then reevaluate the space and determine whether it must
be reclassified as a permit space, in accordance with other applicable provisions of this section.
1910.146(c)(8)
When an employer (host employer) arranges to have employees of another employer (contractor) perform work that
involves permit space entry, the host employer shall:
1910.146(c)(8)(i)
Inform the contractor that the workplace contains permit spaces and that permit space entry is allowed only through
compliance with a permit space program meeting the requirements of this section;
1910.146(c)(8)(ii)
Apprise the contractor of the elements, including the hazards identified and the host employer's experience with the space,
that make the space in question a permit space;
1910.146(c)(8)(iii)

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Apprise the contractor of any precautions or procedures that the host employer has implemented for the protection of
employees in or near permit spaces where contractor personnel will be working;
1910.146(c)(8)(iv)
Coordinate entry operations with the contractor, when both host employer personnel and contractor personnel will be
working in or near permit spaces, as required by paragraph (d)(11) of this section; and
..1910.146(c)(8)(v)
1910.146(c)(8)(v)
Debrief the contractor at the conclusion of the entry operations regarding the permit space program followed and regarding
any hazards confronted or created in permit spaces during entry operations.
1910.146(c)(9)
In addition to complying with the permit space requirements that apply to all employers, each contractor who is retained to
perform permit space entry operations shall:
1910.146(c)(9)(i)
Obtain any available information regarding permit space hazards and entry operations from the host employer;
1910.146(c)(9)(ii)
Coordinate entry operations with the host employer, when both host employer personnel and contractor personnel will be
working in or near permit spaces, as required by paragraph (d)(11) of this section; and
1910.146(c)(9)(iii)
Inform the host employer of the permit space program that the contractor will follow and of any hazards confronted or
created in permit spaces, either through a debriefing or during the entry operation.
1910.146(d)
Permit-required confined space program (permit space program). Under the permit space program required by paragraph
(c)(4) of this section, the employer shall:
1910.146(d)(1)
Implement the measures necessary to prevent unauthorized entry;
..1910.146(d)(2)
1910.146(d)(2)
Identify and evaluate the hazards of permit spaces before employees enter them;
1910.146(d)(3)
Develop and implement the means, procedures, and practices necessary for safe permit space entry operations, including,
but not limited to, the following:
1910.146(d)(3)(i)
Specifying acceptable entry conditions;
1910.146(d)(3)(ii)
Providing each authorized entrant or that employee's authorized representative with the opportunity to observe any
monitoring or testing of permit spaces;
1910.146(d)(3)(iii)
Isolating the permit space;
1910.146(d)(3)(iv)
Purging, inerting, flushing, or ventilating the permit space as necessary to eliminate or control atmospheric hazards;
1910.146(d)(3)(v)
Providing pedestrian, vehicle, or other barriers as necessary to protect entrants from external hazards; and
1910.146(d)(3)(vi)
Verifying that conditions in the permit space are acceptable for entry throughout the duration of an authorized entry.
1910.146(d)(4)
Provide the following equipment (specified in paragraphs (d)(4)(i) through (d)(4)(ix) of this section) at no cost to
employees, maintain that equipment properly, and ensure that employees use that equipment properly:
..1910.146(d)(4)(i)
1910.146(d)(4)(i)
Testing and monitoring equipment needed to comply with paragraph (d)(5) of this section;
1910.146(d)(4)(ii)
Ventilating equipment needed to obtain acceptable entry conditions;
1910.146(d)(4)(iii)
Communications equipment necessary for compliance with paragraphs (h)(3) and (i)(5) of this section;
1910.146(d)(4)(iv)
Personal protective equipment insofar as feasible engineering and work practice controls do not adequately protect
employees;
1910.146(d)(4)(v)
Lighting equipment needed to enable employees to see well enough to work safely and to exit the space quickly in an
emergency;
1910.146(d)(4)(vi)
Barriers and shields as required by paragraph (d)(3)(iv) of this section;

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1910.146(d)(4)(vii)
Equipment, such as ladders, needed for safe ingress and egress by authorized entrants;
1910.146(d)(4)(viii)
Rescue and emergency equipment needed to comply with paragraph (d)(9) of this section, except to the extent that the
equipment is provided by rescue services; and
1910.146(d)(4)(ix)
Any other equipment necessary for safe entry into and rescue from permit spaces.
..1910.146(d)(5)

1910.146(d)(5)
Evaluate permit space conditions as follows when entry operations are conducted:
1910.146(d)(5)(i)
Test conditions in the permit space to determine if acceptable entry conditions exist before entry is authorized to begin,
except that, if isolation of the space is infeasible because the space is large or is part of a continuous system (such as a
sewer), pre-entry testing shall be performed to the extent feasible before entry is authorized and, if entry is authorized, entry
conditions shall be continuously monitored in the areas where authorized entrants are working;
1910.146(d)(5)(ii)
Test or monitor the permit space as necessary to determine if acceptable entry conditions are being maintained during the
course of entry operations; and
1910.146(d)(5)(iii)
When testing for atmospheric hazards, test first for oxygen, then for combustible gases and vapors, and then for toxic gases
and vapors.
1910.146(d)(5)(iv)
Provide each authorized entrant or that employee's authorized representative an opportunity to observe the pre-entry and any
subsequent testing or monitoring of permit spaces;
1910.146(d)(5)(v)
Reevaluate the permit space in the presence of any authorized entrant or that employee's authorized representative who
requests that the employer conduct such reevaluation because the entrant or representative has reason to believe that the
evaluation of that space may not have been adequate;

1910.146(d)(5)(vi)
Immediately provide each authorized entrant or that employee's authorized representative with the results of any testing
conducted in accord with paragraph (d) of this section.
NOTE: Atmospheric testing conducted in accordance with Appendix B to section 1910.146 would be considered as
satisfying the requirements of this paragraph. For permit space operations in sewers, atmospheric testing conducted in
accordance with Appendix B, as supplemented by Appendix E to section 1910.146, would be considered as satisfying the
requirements of this paragraph.
1910.146(d)(6)
Provide at least one attendant outside the permit space into which entry is authorized for the duration of entry operations;
NOTE: Attendants may be assigned to monitor more than one permit space provided the duties described in paragraph (i) of
this section can be effectively performed for each permit space that is monitored. Likewise, attendants may be stationed at
any location outside the permit space to be monitored as long as the duties described in paragraph (i) of this section can be
effectively performed for each permit space that is monitored.
..1910.146(d)(7)
1910.146(d)(7)
If multiple spaces are to be monitored by a single attendant, include in the permit program the means and procedures to
enable the attendant to respond to an emergency affecting one or more of the permit spaces being monitored without
distraction from the attendant's responsibilities under paragraph (i) of this section;
1910.146(d)(8)
Designate the persons who are to have active roles (as, for example, authorized entrants, attendants, entry supervisors, or
persons who test or monitor the atmosphere in a permit space) in entry operations, identify the duties of each such employee,
and provide each such employee with the training required by paragraph (g) of this section;
1910.146(d)(9)
Develop and implement procedures for summoning rescue and emergency services, for rescuing entrants from permit
spaces, for providing necessary emergency services to rescued employees, and for preventing unauthorized personnel from
attempting a rescue;
1910.146(d)(10)
Develop and implement a system for the preparation, issuance, use, and cancellation of entry permits as required by this
section;
1910.146(d)(11)

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Develop and implement procedures to coordinate entry operations when employees of more than one employer are working
simultaneously as authorized entrants in a permit space, so that employees of one employer do not endanger the employees
of any other employer;
..1910.146(d)(12)
1910.146(d)(12)
Develop and implement procedures (such as closing off a permit space and canceling the permit) necessary for concluding
the entry after entry operations have been completed;
1910.146(d)(13)
Review entry operations when the employer has reason to believe that the measures taken under the permit space program
may not protect employees and revise the program to correct deficiencies found to exist before subsequent entries are
authorized; and
NOTE: Examples of circumstances requiring the review of the permit space program are: any unauthorized entry of a permit
space, the detection of a permit space hazard not covered by the permit, the detection of a condition prohibited by the
permit, the occurrence of an injury or near-miss during entry, a change in the use or configuration of a permit space, and
employee complaints about the effectiveness of the program.
1910.146(d)(14)
Review the permit space program, using the canceled permits retained under paragraph (e)(6) of this section within 1 year
after each entry and revise the program as necessary, to ensure that employees participating in entry operations are protected
from permit space hazards.
NOTE: Employers may perform a single annual review covering all entries performed during a 12-month period. If no entry
is performed during a 12-month period, no review is necessary.
Appendix C to section 1910.146 presents examples of permit space programs that are considered to comply with the
requirements of paragraph (d) of this section.
1910.146(e)
Permit system.
1910.146(e)(1)
Before entry is authorized, the employer shall document the completion of measures required by paragraph (d)(3) of this
section by preparing an entry permit.
NOTE: Appendix D to section 1910.146 presents examples of permits whose elements are considered to comply with the
requirements of this section.
1910.146(e)(2)
Before entry begins, the entry supervisor identified on the permit shall sign the entry permit to authorize entry.
1910.146(e)(3)
The completed permit shall be made available at the time of entry to all authorized entrants or their authorized
representatives, by posting it at the entry portal or by any other equally effective means, so that the entrants can confirm that
pre-entry preparations have been completed.
..1910.146(e)(4)
1910.146(e)(4)
The duration of the permit may not exceed the time required to complete the assigned task or job identified on the permit in
accordance with paragraph (f)(2) of this section.
1910.146(e)(5)
The entry supervisor shall terminate entry and cancel the entry permit when:
1910.146(e)(5)(i)
The entry operations covered by the entry permit have been completed; or
1910.146(e)(5)(ii)
A condition that is not allowed under the entry permit arises in or near the permit space.
1910.146(e)(6)
The employer shall retain each canceled entry permit for at least 1 year to facilitate the review of the permit-required
confined space program required by paragraph (d)(14) of this section. Any problems encountered during an entry operation
shall be noted on the pertinent permit so that appropriate revisions to the permit space program can be made.
1910.146(f)
Entry permit. The entry permit that documents compliance with this section and authorizes entry to a permit space shall
identify:
1910.146(f)(1)
The permit space to be entered;
1910.146(f)(2)
The purpose of the entry;
..1910.146(f)(3)
1910.146(f)(3)
The date and the authorized duration of the entry permit;
1910.146(f)(4)

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The authorized entrants within the permit space, by name or by such other means (for example, through the use of rosters or
tracking systems) as will enable the attendant to determine quickly and accurately, for the duration of the permit, which
authorized entrants are inside the permit space;
NOTE: This requirement may be met by inserting a reference on the entry permit as to the means used, such as a roster or
tracking system, to keep track of the authorized entrants within the permit space.
1910.146(f)(5)
The personnel, by name, currently serving as attendants;
1910.146(f)(6)
The individual, by name, currently serving as entry supervisor, with a space for the signature or initials of the entry
supervisor who originally authorized entry;
1910.146(f)(7)
The hazards of the permit space to be entered;
1910.146(f)(8)
The measures used to isolate the permit space and to eliminate or control permit space hazards before entry;
NOTE: Those measures can include the lockout or tagging of equipment and procedures for purging, inerting, ventilating,
and flushing permit spaces.
1910.146(f)(9)
The acceptable entry conditions;
1910.146(f)(10)
The results of initial and periodic tests performed under paragraph (d)(5) of this section, accompanied by the names or
initials of the testers and by an indication of when the tests were performed;
..1910.146(f)(11)
1910.146(f)(11)
The rescue and emergency services that can be summoned and the means (such as the equipment to use and the numbers to
call) for summoning those services;
1910.146(f)(12)
The communication procedures used by authorized entrants and attendants to maintain contact during the entry;
1910.146(f)(13)
Equipment, such as personal protective equipment, testing equipment, communications equipment, alarm systems, and
rescue equipment, to be provided for compliance with this section;
1910.146(f)(14)
Any other information whose inclusion is necessary, given the circumstances of the particular confined space, in order to
ensure employee safety; and (15) Any additional permits, such as for hot work, that have been issued to authorize work in
the permit space.
1910.146(g)
Training.
1910.146(g)(1)
The employer shall provide training so that all employees whose work is regulated by this section acquire the understanding,
knowledge, and skills necessary for the safe performance of the duties assigned under this section.

1910.146(g)(2)
Training shall be provided to each affected employee:
1910.146(g)(2)(i)
Before the employee is first assigned duties under this section;
..1910.146(g)(2)(ii)
1910.146(g)(2)(ii)
Before there is a change in assigned duties;
1910.146(g)(2)(iii)
Whenever there is a change in permit space operations that presents a hazard about which an employee has not previously
been trained;
1910.146(g)(2)(iv)
Whenever the employer has reason to believe either that there are deviations from the permit space entry procedures
required by paragraph (d)(3) of this section or that there are inadequacies in the employee's knowledge or use of these
procedures.
1910.146(g)(3)
The training shall establish employee proficiency in the duties required by this section and shall introduce new or revised
procedures, as necessary, for compliance with this section.
1910.146(g)(4)
The employer shall certify that the training required by paragraphs (g)(1) through (g)(3) of this section has been
accomplished. The certification shall contain each employee's name, the signatures or initials of the trainers, and the dates of
training. The certification shall be available for inspection by employees and their authorized representatives.
1910.146(h)
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Duties of authorized entrants. The employer shall ensure that all authorized entrants:
..1910.146(h)(1)
1910.146(h)(1)
Know the hazards that may be faced during entry, including information on the mode, signs or symptoms, and consequences
of the exposure;
1910.146(h)(2)
Properly use equipment as required by paragraph (d)(4) of this section;
1910.146(h)(3)
Communicate with the attendant as necessary to enable the attendant to monitor entrant status and to enable the attendant to
alert entrants of the need to evacuate the space as required by paragraph (i)(6) of this section;
1910.146(h)(4)
Alert the attendant whenever:
1910.146(h)(4)(i)
The entrant recognizes any warning sign or symptom of exposure to a dangerous situation, or
1910.146(h)(4)(ii)
The entrant detects a prohibited condition; and
1910.146(h)(5)
Exit from the permit space as quickly as possible whenever:
1910.146(h)(5)(i)
An order to evacuate is given by the attendant or the entry supervisor,
1910.146(h)(5)(ii)
The entrant recognizes any warning sign or symptom of exposure to a dangerous situation,
..1910.146(h)(5)(iii)
1910.146(h)(5)(iii)
The entrant detects a prohibited condition, or
1910.146(h)(5)(iv)
An evacuation alarm is activated.

1910.146(i)
Duties of attendants. The employer shall ensure that each attendant:
1910.146(i)(1)
Knows the hazards that may be faced during entry, including information on the mode, signs or symptoms, and
consequences of the exposure;
1910.146(i)(2)
Is aware of possible behavioral effects of hazard exposure in authorized entrants;
1910.146(i)(3)
Continuously maintains an accurate count of authorized entrants in the permit space and ensures that the means used to
identify authorized entrants under paragraph (f)(4) of this section accurately identifies who is in the permit space;
1910.146(i)(4)
Remains outside the permit space during entry operations until relieved by another attendant;
NOTE: When the employer's permit entry program allows attendant entry for rescue, attendants may enter a permit space to
attempt a rescue if they have been trained and equipped for rescue operations as required by paragraph (k)(1) of this section
and if they have been relieved as required by paragraph (i)(4) of this section.
1910.146(i)(5)
Communicates with authorized entrants as necessary to monitor entrant status and to alert entrants of the need to evacuate
the space under paragraph (i)(6) of this section;
..1910.146(i)(6)
1910.146(i)(6)
Monitors activities inside and outside the space to determine if it is safe for entrants to remain in the space and orders the
authorized entrants to evacuate the permit space immediately under any of the following conditions;
1910.146(i)(6)(i)
If the attendant detects a prohibited condition;
1910.146(i)(6)(ii)
If the attendant detects the behavioral effects of hazard exposure in an authorized entrant;
1910.146(i)(6)(iii)
If the attendant detects a situation outside the space that could endanger the authorized entrants; or
1910.146(i)(6)(iv)
If the attendant cannot effectively and safely perform all the duties required under paragraph (i) of this section;
1910.146(i)(7)
Summon rescue and other emergency services as soon as the attendant determines that authorized entrants may need
assistance to escape from permit space hazards;
1910.146(i)(8)
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Takes the following actions when unauthorized persons approach or enter a permit space while entry is underway:
1910.146(i)(8)(i)
Warn the unauthorized persons that they must stay away from the permit space;
..1910.146(i)(8)(ii)
1910.146(i)(8)(ii)
Advise the unauthorized persons that they must exit immediately if they have entered the permit space; and
1910.146(i)(8)(iii)
Inform the authorized entrants and the entry supervisor if unauthorized persons have entered the permit space;
1910.146(i)(9)
Performs non-entry rescues as specified by the employer's rescue procedure; and

1910.146(i)(10)
Performs no duties that might interfere with the attendant's primary duty to monitor and protect the authorized entrants.
1910.146(j)
Duties of entry supervisors. The employer shall ensure that each entry supervisor:
1910.146(j)(1)
Knows the hazards that may be faced during entry, including information on the mode, signs or symptoms, and
consequences of the exposure;
1910.146(j)(2)
Verifies, by checking that the appropriate entries have been made on the permit, that all tests specified by the permit have
been conducted and that all procedures and equipment specified by the permit are in place before endorsing the permit and
allowing entry to begin;
..1910.146(j)(3)
1910.146(j)(3)
Terminates the entry and cancels the permit as required by paragraph (e)(5) of this section;
1910.146(j)(4)
Verifies that rescue services are available and that the means for summoning them are operable;
1910.146(j)(5)
Removes unauthorized individuals who enter or who attempt to enter the permit space during entry operations; and
1910.146(j)(6)
Determines, whenever responsibility for a permit space entry operation is transferred and at intervals dictated by the hazards
and operations performed within the space that entry operations remain consistent with terms of the entry permit and that
acceptable entry conditions are maintained.
1910.146(k)
Rescue and emergency services.
1910.146(k)(1)
An employer who designates rescue and emergency services, pursuant to paragraph (d)(9) of this section, shall:
1910.146(k)(1)(i)
Evaluate a prospective rescuer's ability to respond to a rescue summons in a timely manner, considering the hazard(s)
identified;

Note to paragraph (k)(l)(i): What will be considered timely will vary according to the specific hazards involved in each
entry. For example, §1910.134, Respiratory Protection, requires that employers provide a standby person or persons capable
of immediate action to rescue employee(s) wearing respiratory protection while in work areas defined as IDLH atmospheres.
..1910.146(k)(1)(ii)
1910.146(k)(1)(ii)
Evaluate a prospective rescue service's ability, in terms of proficiency with rescue-related tasks and equipment, to function
appropriately while rescuing entrants from the particular permit space or types of permit spaces identified;
1910.146(k)(1)(iii)
Select a rescue team or service from those evaluated that:
1910.146(k)(1)(iii)(A)
Has the capability to reach the victim(s) within a time frame that is appropriate for the permit space hazard(s) identified;
1910.146(k)(1)(iii)(B)
Is equipped for and proficient in performing the needed rescue services;
1910.146(k)(1)(iv)
Inform each rescue team or service of the hazards they may confront when called on to perform rescue at the site; and
1910.146(k)(1)(v)
Provide the rescue team or service selected with access to all permit spaces from which rescue may be necessary so that the
rescue service can develop appropriate rescue plans and practice rescue operations.
Note to paragraph (k)(1): Non-mandatory Appendix F contains examples of criteria which employers can use in evaluating
prospective rescuers as required by paragraph (k)(l) of this section.
1910.146(k)(2)
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An employer whose employees have been designated to provide permit space rescue and emergency services shall take the
following measures:
1910.146(k)(2)(i)
Provide affected employees with the personal protective equipment (PPE) needed to conduct permit space rescues safely and
train affected employees so they are proficient in the use of that PPE, at no cost to those employees;
1910.146(k)(2)(ii)
Train affected employees to perform assigned rescue duties. The employer must ensure that such employees successfully
complete the training required to establish proficiency as an authorized entrant, as provided by paragraphs (g) and (h) of this
section;
1910.146(k)(2)(iii)
Train affected employees in basic first-aid and cardiopulmonary resuscitation (CPR). The employer shall ensure that at least
one member of the rescue team or service holding a current certification in first aid and CPR is available; and
1910.146(k)(2)(iv)
Ensure that affected employees practice making permit space rescues at least once every 12 months, by means of simulated
rescue operations in which they remove dummies, manikins, or actual persons from the actual permit spaces or from
representative permit spaces. Representative permit spaces shall, with respect to opening size, configuration, and
accessibility, simulate the types of permit spaces from which rescue is to be performed.
..1910.146(k)(3)
1910.146(k)(3)
To facilitate non-entry rescue, retrieval systems or methods shall be used whenever an authorized entrant enters a permit
space, unless the retrieval equipment would increase the overall risk of entry or would not contribute to the rescue of the
entrant. Retrieval systems shall meet the following requirements.
1910.146(k)(3)(i)
Each authorized entrant shall use a chest or full body harness, with a retrieval line attached at the center of the entrant's back
near shoulder level, above the entrant's head, or at another point which the employer can establish presents a profile small
enough for the successful removal of the entrant. Wristlets may be used in lieu of the chest or full body harness if the
employer can demonstrate that the use of a chest or full body harness is infeasible or creates a greater hazard and that the use
of wristlets is the safest and most effective alternative.
1910.146(k)(3)(ii)
The other end of the retrieval line shall be attached to a mechanical device or fixed point outside the permit space in such a
manner that rescue can begin as soon as the rescuer becomes aware that rescue is necessary. A mechanical device shall be
available to retrieve personnel from vertical type permit spaces more than 5 feet (1.52 m) deep
1910.146(k)(4)
If an injured entrant is exposed to a substance for which a Material Safety Data Sheet (MSDS) or other similar written
information is required to be kept at the worksite, that MSDS or written information shall be made available to the medical
facility treating the exposed entrant.
..1910.146(l)

Employee participation.
1910.146(l)(1)
Employers shall consult with affected employees and their authorized representatives on the development and
implementation of all aspects of the permit space program required by paragraph (c) of this section.
1910.146(l)(2)
Employers shall make available to affected employees and their authorized representatives all information required to be
developed by this section.
[58 FR 4549, Jan. 14, 1993; 58 FR 34845, June 29, 1993; 59 FR 26115, May 19, 1994; 63 FR 66038, Dec. 1, 1998]

Other Related Rules

1926.21(b)(6)
1926.21(b)(6)(i)
All employees required to enter into confined or enclosed spaces shall be instructed as to the nature of the hazards involved,
the necessary precautions to be taken, and in the use of protective and emergency equipment required. The employer shall
comply with any specific regulations that apply to work in dangerous or potentially dangerous areas.
1926.21(b)(6)(ii)
For purposes of paragraph (b)(6)(i) of this section, "confined or enclosed space" means any space having a limited means of
egress, which is subject to the accumulation of toxic or flammable contaminants or has an oxygen deficient atmosphere.
Confined or enclosed spaces include, but are not limited to, storage tanks, process vessels, bins, boilers, ventilation or
exhaust ducts, sewers, underground utility vaults, tunnels, pipelines, and open top spaces more than 4 feet in depth such as
pits, tubs, vaults, and vessels.

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Entry Procedures. If there are no non-atmospheric hazards present and if the pre-
entry tests show there is no dangerous air contamination and/or oxygen deficiency
within the space and there is no reason to believe that any is likely to develop, entry
into and work within may proceed. Continuous testing of the atmosphere in the
immediate vicinity of the workers within the space shall be accomplished. The workers
will immediately leave the permit space when any of the gas-monitor alarm set points
are reached as defined. Workers will not return to the area until a SUPERVISOR who
has completed the gas detector training has used a direct reading gas detector to
evaluate the situation and has determined that it is safe to enter.

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29 CFR 1910.146 App C
Examples of Permit-required Confined Space Programs
Example 1.
Workplace. Sewer entry.
Potential hazards. The employees could be exposed to the following:
Engulfment.
Presence of toxic gases. Equal to or more than 10 ppm hydrogen sulfide measured as an 8-hour time-weighted average. If
the presence of other toxic contaminants is suspected, specific monitoring programs will be developed.
Presence of explosive/flammable gases. Equal to or greater than 10% of the lower flammable limit (LFL).
Oxygen Deficiency. A concentration of oxygen in the atmosphere equal to or less than 19.5% by volume.

A. ENTRY WITHOUT PERMIT/ATTENDANT

Certification. Confined spaces may be entered without the need for a written permit or attendant provided that the space can
be maintained in a safe condition for entry by mechanical ventilation alone, as provided in 1910.146(c)(5). All spaces shall
be considered permit-required confined spaces until the pre-entry procedures demonstrate otherwise. Any employee required
or permitted to pre-check or enter an enclosed/confined space shall have successfully completed, as a minimum, the training
as required by the following sections of these procedures. A written copy of operating and rescue procedures as required by
these procedures shall be at the work site for the duration of the job. The Confined Space Pre-Entry Check List must be
completed by the LEAD WORKER before entry into a confined space. This list verifies completion of items listed below.
This check list shall be kept at the job site for duration of the job. If circumstances dictate an interruption in the work, the
permit space must be re-evaluated and a new check list must be completed.
Control of atmospheric and engulfment hazards.
Pumps and Lines. All pumps and lines which may reasonably cause contaminants to flow into the space shall be
disconnected, blinded and locked out, or effectively isolated by other means to prevent development of dangerous air
contamination or engulfment. Not all laterals to sewers or storm drains require blocking. However, where experience or
knowledge of industrial use indicates there is a reasonable potential for contamination of air or engulfment into an occupied
sewer, then all affected laterals shall be blocked. If blocking and/or isolation requires entry into the space the provisions for
entry into a permit-required confined space must be implemented.
Surveillance. The surrounding area shall be surveyed to avoid hazards such as drifting vapors from the tanks, piping, or
sewers.

Testing. The atmosphere within the space will be tested to determine whether dangerous air contamination and/or oxygen
deficiency exists. Detector tubes, alarm only gas monitors and explosion meters are examples of monitoring equipment that
may be used to test permit space atmospheres. Testing shall be performed by the LEAD WORKER who has successfully
completed the Gas Detector training for the monitor he will use.
The minimum parameters to be monitored are oxygen deficiency, LFL, and hydrogen sulfide concentration. A written
record of the pre-entry test results shall be made and kept at the work site for the duration of the job. The supervisor will
certify in writing, based upon the results of the pre-entry testing, that all hazards have been eliminated. Affected employees
shall be able to review the testing results. The most hazardous conditions shall govern when work is being performed in two
adjoining, connecting spaces.
Entry Procedures. If there are no non-atmospheric hazards present and if the pre-entry tests show there is no dangerous air
contamination and/or oxygen deficiency within the space and there is no reason to believe that any is likely to develop, entry
into and work within may proceed. Continuous testing of the atmosphere in the immediate vicinity of the workers within the
space shall be accomplished. The workers will immediately leave the permit space when any of the gas monitor alarm set
points are reached as defined. Workers will not return to the area until a SUPERVISOR who has completed the gas detector
training has used a direct reading gas detector to evaluate the situation and has determined that it is safe to enter.
Rescue. Arrangements for rescue services are not required where there is no attendant. See the rescue portion of section B.,
below, for instructions regarding rescue planning where an entry permit is required.

B. ENTRY PERMIT REQUIRED

Permits. Confined Space Entry Permit. All spaces shall be considered permit-required confined spaces until the pre-entry
procedures demonstrate otherwise. Any employee required or permitted to pre-check or enter a permit-required confined
space shall have successfully completed, as a minimum, the training as required by the following sections of these
procedures. A written copy of operating and rescue procedures as required by these procedures shall be at the work site for
the duration of the job. The Confined Space Entry Permit must be completed before approval can be given to enter a permit-
required confined space. This permit verifies completion of items listed below. This permit shall be kept at the job site for
the duration of the job. If circumstances cause an interruption in the work or a change in the alarm conditions for which
entry was approved, a new Confined Space Entry Permit must be completed.
Control of atmospheric and engulfment hazards.
Surveillance. The surrounding area shall be surveyed to avoid hazards such as drifting vapors from tanks, piping or sewers.

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Testing. The confined space atmosphere shall be tested to determine whether dangerous air contamination and/or oxygen
deficiency exists. A direct reading gas monitor shall be used. Testing shall be performed by the SUPERVISOR who has
successfully completed the gas detector training for the monitor he will use. The minimum parameters to be monitored are
oxygen deficiency, LFL and hydrogen sulfide concentration. A written record of the pre-entry test results shall be made and
kept at the work site for the duration of the job. Affected employees shall be able to review the testing results. The most
hazardous conditions shall govern when work is being performed in two adjoining, connected spaces.
Space Ventilation. Mechanical ventilation systems, where applicable, shall be set at 100% outside air. Where possible, open
additional manholes to increase air circulation. Use portable blowers to augment natural circulation if needed. After a
suitable ventilating period, repeat the testing. Entry may not begin until testing has demonstrated that the hazardous
atmosphere has been eliminated.

Entry Procedures. The following procedure shall be observed under any of the following conditions: 1.) Testing
demonstrates the existence of dangerous or deficient conditions and additional ventilation cannot reduce concentrations to
safe levels; 2.) The atmosphere tests as safe but unsafe conditions can reasonably be expected to develop; 3.) It is not
feasible to provide for ready exit from spaces equipped with automatic fire suppression systems and it is not practical or safe
to deactivate such systems; or 4.) An emergency exists and it is not feasible to wait for pre-entry procedures to take effect.
All personnel must be trained. A self-contained breathing apparatus shall be worn by any person entering the space. At least
one worker shall stand by the outside of the space ready to give assistance in case of emergency. The standby worker shall
have a self-contained breathing apparatus available for immediate use. There shall be at least one additional worker within
sight or call of the standby worker. Continuous powered communications shall be maintained between the worker within the
confined space and standby personnel.

If at any time there is any questionable action or non-movement by the worker inside, a verbal check will be made. If there
is no response, the worker will be moved immediately. Exception: If the worker is disabled due to falling or impact, he/she
shall not be removed from the confined space unless there is immediate danger to his/her life. Local fire department rescue
personnel shall be notified immediately. The standby worker may only enter the confined space in case of an emergency
(wearing the self-contained breathing apparatus) and only after being relieved by another worker. Safety belt or harness with
attached lifeline shall be used by all workers entering the space with the free end of the line secured outside the entry
opening. The standby worker shall attempt to remove a disabled worker via his lifeline before entering the space.
When practical, these spaces shall be entered through side openings -- those within 3 1/2 feet (1.07 m) of the bottom. When
entry must be through a top opening, the safety belt shall be of the harness type that suspends a person upright and a hoisting
device or similar apparatus shall be available for lifting workers out of the space.
In any situation where their use may endanger the worker, use of a hoisting device or safety belt and attached lifeline may be
discontinued.

When dangerous air contamination is attributable to flammable and/or explosive substances, lighting and electrical
equipment shall be Class 1, Division 1 rated per National Electrical Code and no ignition sources shall be introduced into
the area.

Continuous gas monitoring shall be performed during all confined space operations. If alarm conditions change adversely,
entry personnel shall exit the confined space and a new confined space permit issued.
Rescue. Call the fire department services for rescue. Where immediate hazards to injured personnel are present, workers at
the site shall implement emergency procedures to fit the situation.

Example 2.
Workplace. Meat and poultry rendering plants.
Cookers and dryers are either batch or continuous in their operation. Multiple batch cookers are operated in parallel. When
one unit of a multiple set is shut down for repairs, means are available to isolate that unit from the others which remain in
operation.
Cookers and dryers are horizontal, cylindrical vessels equipped with a center, rotating shaft and agitator paddles or discs.
If the inner shell is jacketed, it is usually heated with steam at pressures up to 150 psig (1034.25 kPa). The rotating shaft
assembly of the continuous cooker or dryer is also steam heated.
Potential Hazards. The recognized hazards associated with cookers and dryers are the risk that employees could be:
1. Struck or caught by rotating agitator;
2. Engulfed in raw material or hot, recycled fat;
3. Burned by steam from leaks into the cooker/dryer steam jacket or the condenser duct system if steam valves are not
properly closed and locked out;
4. Burned by contact with hot metal surfaces, such as the agitator shaft assembly, or inner shell of the cooker/dryer;
5. Heat stress caused by warm atmosphere inside cooker/dryer;
6. Slipping and falling on grease in the cooker/dryer;
7. Electrically shocked by faulty equipment taken into the cooker/dryer;
8. Burned or overcome by fire or products of combustion; or

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9. Overcome by fumes generated by welding or cutting done on grease covered surfaces.
Permits. The supervisor in this case is always present at the cooker/dryer or other permit entry confined space when entry is
made. The supervisor must follow the pre-entry isolation procedures described in the entry permit in preparing for entry, and
ensure that the protective clothing, ventilating equipment and any other equipment required by the permit are at the entry
site.
Control of hazards. Mechanical. Lock out main power switch to agitator motor at main power panel. Affix tag to the lock to
inform others that a permit entry confined space entry is in progress.
Engulfment. Close all valves in the raw material blow line. Secure each valve in its closed position using chain and lock.
Attach a tag to the valve and chain warning that a permit entry confined space entry is in progress. The same procedure shall
be used for securing the fat recycle valve.

Burns and heat stress. Close steam supply valves to jacket and secure with chains and tags. Insert solid blank at flange in
cooker vent line to condenser manifold duct system. Vent cooker/dryer by opening access door at discharge end and top
center door to allow natural ventilation throughout the entry. If faster cooling is needed, use a portable ventilation fan to
increase ventilation. Cooling water may be circulated through the jacket to reduce both outer and inner surface temperatures
of cooker/dryers faster. Check air and inner surface temperatures in cooker/dryer to assure they are within acceptable limits
before entering, or use proper protective clothing.
Fire and fume hazards. Careful site preparation, such as cleaning the area within 4 inches (10.16 cm) of all welding or torch
cutting operations, and proper ventilation are the preferred controls. All welding and cutting operations shall be done in
accordance with the requirements of 29 CFR Part 1910, Subpart Q, OSHA's welding standard. Proper ventilation may be
achieved by local exhaust ventilation, or the use of portable ventilation fans, or a combination of the two practices.
Electrical shock. Electrical equipment used in cooker/dryers shall be in serviceable condition.
Slips and falls. Remove residual grease before entering cooker/dryer.
Attendant. The supervisor shall be the attendant for employees entering cooker/dryers.
Permit. The permit shall specify how isolation shall be done and any other preparations needed before making entry. This is
especially important in parallel arrangements of cooker/dryers so that the entire operation need not be shut down to allow
safe entry into one unit.
Rescue. When necessary, the attendant shall call the fire department as previously arranged.
Example 3.
Workplace. Workplaces where tank cars, trucks, and trailers, dry bulk tanks and trailers, railroad tank cars, and similar
portable tanks are fabricated or serviced.
A. During fabrication. These tanks and dry-bulk carriers are entered repeatedly throughout the fabrication process. These
products are not configured identically, but the manufacturing processes by which they are made are very similar.
Sources of hazards. In addition to the mechanical hazards arising from the risks that an entrant would be injured due to
contact with components of the tank or the tools being used, there is also the risk that a worker could be injured by breathing
fumes from welding materials or mists or vapors from materials used to coat the tank interior. In addition, many of these
vapors and mists are flammable, so the failure to properly ventilate a tank could lead to a fire or explosion.

Control of hazards.
Welding. Local exhaust ventilation shall be used to remove welding fumes once the tank or carrier is completed to the point
that workers may enter and exit only through a manhole. (Follow the requirements of 29 CFR 1910, Subpart Q, OSHA's
welding standard, at all times.) Welding gas tanks may never be brought into a tank or carrier that is a permit entry confined
space.
Application of interior coatings/linings. Atmospheric hazards shall be controlled by forced air ventilation sufficient to keep
the atmospheric concentration of flammable materials below 10% of the lower flammable limit (LFL) (or lower explosive
limit (LEL), whichever term is used locally). The appropriate respirators are provided and shall be used in addition to
providing forced ventilation if the forced ventilation does not maintain acceptable respiratory conditions.
Permits. Because of the repetitive nature of the entries in these operations, an "Area Entry Permit" will be issued for a 1
month period to cover those production areas where tanks are fabricated to the point that entry and exit are made using
manholes.
Authorization. Only the area supervisor may authorize an employee to enter a tank within the permit area. The area
supervisor must determine that conditions in the tank trailer, dry bulk trailer or truck, etc. meet permit requirements before
authorizing entry.
Attendant. The area supervisor shall designate an employee to maintain communication by employer specified means with
employees working in tanks to ensure their safety. The attendant may not enter any permit entry confined space to rescue an
entrant or for any other reason, unless authorized by the rescue procedure and, even then, only after calling the rescue team
and being relieved by an attendant or another worker.

Communications and observation. Communications between attendant and entrant(s) shall be maintained throughout entry.
Methods of communication that may be specified by the permit include voice, voice powered radio, tapping or rapping
codes on tank walls, signaling tugs on a rope, and the attendant's observation that work activities such as chipping, grinding,

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welding, spraying, etc., which require deliberate operator control continue normally. These activities often generate so much
noise that the necessary hearing protection makes communication by voice difficult.

Rescue procedures. Acceptable rescue procedures include entry by a team of employee-rescuers, use of public emergency
services, and procedures for breaching the tank. The area permit specifies which procedures are available, but the area
supervisor makes the final decision based on circumstances. (Certain injuries may make it necessary to breach the tank to
remove a person rather than risk additional injury by removal through an existing manhole. However, the supervisor must
ensure that no breaching procedure used for rescue would violate terms of the entry permit. For instance, if the tank must be
breached by cutting with a torch, the tank surfaces to be cut must be free of volatile or combustible coatings within 4 inches
(10.16 cm) of the cutting line and the atmosphere within the tank must be below the LFL.

Retrieval line and harnesses. The retrieval lines and harnesses generally required under this standard are usually impractical
for use in tanks because the internal configuration of the tanks and their interior baffles and other structures would prevent
rescuers from hauling out injured entrants. However, unless the rescue procedure calls for breaching the tank for rescue, the
rescue team shall be trained in the use of retrieval lines and harnesses for removing injured employees through manholes.

B. Repair or service of "used" tanks and bulk trailers.

Sources of hazards. In addition to facing the potential hazards encountered in fabrication or manufacturing, tanks or trailers
which have been in service may contain residues of dangerous materials, whether left over from the transportation of
hazardous cargoes or generated by chemical or bacterial action on residues of non-hazardous cargoes.

Control of atmospheric hazards. A "used" tank shall be brought into areas where tank entry is authorized only after the tank
has been emptied, cleansed (without employee entry) of any residues, and purged of any potential atmospheric hazards.
Welding. In addition to tank cleaning for control of atmospheric hazards, coating and surface materials shall be removed 4
inches (10.16 cm) or more from any surface area where welding or other torch work will be done and care taken that the
atmosphere within the tank remains well below the LFL. (Follow the requirements of 29 CFR 1910, Subpart Q, OSHA's
welding standard, at all times.)

Permits. An entry permit valid for up to 1 year shall be issued prior to authorization of entry into used tank trailers, dry bulk
trailers or trucks. In addition to the pre-entry cleaning requirement, this permit shall require the employee safeguards
specified for new tank fabrication or construction permit areas.
Authorization. Only the area supervisor may authorize an employee to enter a tank trailer, dry bulk trailer or truck within the
permit area. The area supervisor must determine that the entry permit requirements have been met before authorizing entry.
[58 FR 4549, Jan. 14, 1993; 58 FR 34846, June 29, 1993]

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Confined Space Pre-Entry Check List - 1910.146 App D

Appendix D to §1910.146 -- Sample Permits

Appendix D-1

Confined Space Entry Permit

Date and Time Issued: _______________ Date and Time Expires: ________
Job site/Space I.D.: ________________ Job Supervisor:________________
Equipment to be worked on: __________ Work to be performed: _________

Stand-by personnel: __________________ ________________ _____________

1. Atmospheric Checks: Time ________

Oxygen ________%
Explosive ________% L.F.L.
Toxic ________PPM

2. Tester's signature: _____________________________

3. Source isolation (No Entry): N/A Yes No

Pumps or lines blinded, () () ()
disconnected, or blocked () () ()

4. Ventilation Modification: N/A Yes No

Mechanical () () ()
Natural Ventilation only ( ) ( ) ( )

5. Atmospheric check after

isolation and Ventilation:
Oxygen __________% > 19.5 %
Explosive _______% L.F.L < 10 %
Toxic ___________PPM < 10 PPM H(2)S
Time ____________
Testers signature: _____________________________

6. Communication procedures: ________________________________________

_____________________________________________________________________

7. Rescue procedures: _______________________________________________

_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________

8. Entry, standby, and back up persons: Yes No

Successfully completed required training?
Is it current? () ()

9. Equipment: N/A Yes No

Direct reading gas monitor - tested () () ()
Safety harnesses and lifelines
for entry and standby persons () () ()
Hoisting equipment () () ()
Powered communications () () ()
SCBA's for entry and standby
persons () () ()
Protective Clothing () () ()
All electric equipment listed
Class I, Division I, Group D
and Non-sparking tools () () ()

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10. Periodic atmospheric tests:
Oxygen ____% Time ____ Oxygen ____% Time ____
Oxygen ____% Time ____ Oxygen ____% Time ____
Explosive ____% Time ____ Explosive ____% Time ____
Explosive ____% Time ____ Explosive ____% Time ____
Toxic ____% Time ____ Toxic ____% Time ____
Toxic ____% Time ____ Toxic ____% Time ____

We have reviewed the work authorized by this permit and the information contained here-in. Written instructions and safety
procedures have been received and are understood. Entry cannot be approved if any squares are marked in the "No" column.
This permit is not valid unless all appropriate items are completed.

Permit Prepared By: (Supervisor)________________________________________

Approved By: (Unit Supervisor)__________________________________________

Reviewed By (Cs Operations Personnel) :

_________________________________ ____________________________________
(printed name) (signature)

This permit to be kept at job site. Return job site copy to Safety
Office following job completion.

Copies: White Original (Safety Office)

Yellow (Unit Supervisor)
Hard(Job site)

Appendix D - 2

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ENTRY PERMIT
PERMIT VALID FOR 8 HOURS ONLY. ALL COPIES OF PERMIT WILL REMAIN AT JOB SITE UNTIL JOB IS
COMPLETED

DATE: - - SITE LOCATION and DESCRIPTION ______________________________

PURPOSE OF ENTRY ______________________________________________________

SUPERVISOR(S) in charge of crews Type of Crew Phone #

_______________________________________________________________________
_______________________________________________________________________

COMMUNICATION PROCEDURES ______________________________________________

RESCUE PROCEDURES (PHONE NUMBERS AT BOTTOM) ___________________________

_______________________________________________________________________
* BOLD DENOTES MINIMUM REQUIREMENTS TO BE COMPLETED AND REVIEWED
PRIOR TO ENTRY*

REQUIREMENTS COMPLETED DATE TIME

Lock Out/De-energize/Try-out ____ ____
Line(s) Broken-Capped-Blanked ____ ____
Purge-Flush and Vent ____ ____
Ventilation ____ ____
Secure Area (Post and Flag) ____ ____
Breathing Apparatus ____ ____
Resuscitator - Inhalator ____ ____
Standby Safety Personnel ____ ____
Full Body Harness w/"D" ring ____ ____
Emergency Escape Retrieval Equip ____ ____
Lifelines ____ ____
Fire Extinguishers ____ ____
Lighting (Explosive Proof) ____ ____
Protective Clothing ____ ____
Respirator(s) (Air Purifying) ____ ____
Burning and Welding Permit ____ ____
Note: Items that do not apply enter N/A in the blank.

**RECORD CONTINUOUS MONITORING RESULTS EVERY 2 HOURS

CONTINUOUS MONITORING** Permissible _________________________________
TEST(S) TO BE TAKEN Entry Level
PERCENT OF OXYGEN 19.5% to 23.5% ___ ___ ___ ___ ___ ___ ___ ___
LOWER FLAMMABLE LIMIT Under 10% ___ ___ ___ ___ ___ ___ ___ ___
CARBON MONOXIDE +35 PPM ___ ___ ___ ___ ___ ___ ___ ___
Aromatic Hydrocarbon + 1 PPM * 5PPM ___ ___ ___ ___ ___ ___ ___ ___
Hydrogen Cyanide (Skin) * 4PPM ___ ___ ___ ___ ___ ___ ___ ___
Hydrogen Sulfide +10 PPM *15PPM ___ ___ ___ ___ ___ ___ ___ ___
Sulfur Dioxide + 2 PPM * 5PPM ___ ___ ___ ___ ___ ___ ___ ___
Ammonia *35PPM ___ ___ ___ ___ ___ ___ ___ ___
* Short-term exposure limit: Employee can work in the area up to 15
minutes.
+ 8 hr. Time Weighted Avg.: Employee can work in area 8 hrs (longer
with appropriate respiratory protection).

REMARKS:_____________________________________________________________

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GAS TESTER NAME INSTRUMENT(S) MODEL SERIAL &/OR
& CHECK # USED &/OR TYPE UNIT #
________________ _______________ ___________ ____________
________________ _______________ ___________ ____________

SAFETY STANDBY PERSON IS REQUIRED FOR ALL CONFINED SPACE WORK

SAFETY STANDBY CHECK # CONFINED CONFINED
PERSON(S) SPACE CHECK # SPACE CHECK #
ENTRANT(S) ENTRANT(S)
______________ _______ __________ _______ __________ _______
______________ _______ __________ _______ __________ _______

SUPERVISOR AUTHORIZING - ALL CONDITIONS SATISFIED____________________

DEPARTMENT/PHONE ___________________________

AMBULANCE 2800 FIRE 2900 Safety 4901 Gas Coordinator 4529/5387

[58 FR 4549, Jan. 14, 1993; 58 FR 34846, June 29, 1993]

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Regulations (Standards - 29 CFR)
Sewer System Entry. - 1910.146 App E
Sewer entry differs in three vital respects from other permit entries; first, there rarely exists any way to completely
isolate the space (a section of a continuous system) to be entered; second, because isolation is not complete,
the atmosphere may suddenly and unpredictably become lethally hazardous (toxic, flammable or explosive) from
causes beyond the control of the entrant or employer, and third, experienced sewer workers are especially
knowledgeable in entry and work in their permit spaces because of their frequent entries. Unlike other
employments where permit space entry is a rare and exceptional event, sewer workers' usual work environment
is a permit space.

(1) Adherence to procedure. The employer should designate as entrants only employees who are thoroughly
trained in the employer's sewer entry procedures and who demonstrate that they follow these entry procedures
exactly as prescribed when performing sewer entries.

(2) Atmospheric monitoring. Entrants should be trained in the use of, and be equipped with, atmospheric
monitoring equipment which sounds an audible alarm, in addition to its visual readout, whenever one of the
following conditions are encountered: Oxygen concentration less than 19.5 percent; flammable gas or vapor at
10 percent or more of the lower flammable limit (LFL); or hydrogen sulfide or carbon monoxide at or above 10
ppm or 35 ppm, respectively, measured as an 8-hour time-weighted average. Atmospheric monitoring equipment
needs to be calibrated according to the manufacturer's instructions. The oxygen sensor/broad range sensor is
best suited for initial use in situations where the actual or potential contaminants have not been identified,
because broad range sensors, unlike substance-specific sensors, enable employers to obtain an overall reading
of the hydrocarbons (flammables) present in the space. However, such sensors only indicate that a hazardous
threshold of a class of chemicals has been exceeded. They do not measure the levels of contamination of
specific substances. Therefore, substance-specific devices, which measure the actual levels of specific
substances, are best suited for use where actual and potential contaminants have been identified. The
measurements obtained with substance-specific devices are of vital importance to the employer when decisions
are made concerning the measures necessary to protect entrants (such as ventilation or personal protective
equipment) and the setting and attainment of appropriate entry conditions. However, the sewer environment may
suddenly and unpredictably change, and the substance-specific devices may not detect the potentially lethal
atmospheric hazards which may enter the sewer environment.
Although OSHA considers the information and guidance provided above to be appropriate and useful in most
sewer entry situations, the Agency emphasizes that each employer must consider the unique circumstances,
including the predictability of the atmosphere, of the sewer permit spaces in the employer's workplace in
preparing for entry. Only the employer can decide, based upon his or her knowledge of, and experience with
permit spaces in sewer systems, what the best type of testing instrument may be for any specific entry operation.
The selected testing instrument should be carried and used by the entrant in sewer line work to monitor the
atmosphere in the entrant's environment, and in advance of the entrant's direction of movement, to warn the
entrant of any deterioration in atmospheric conditions. Where several entrants are working together in the same
immediate location, one instrument, used by the lead entrant, is acceptable.
(3) Surge flow and flooding. Sewer crews should develop and maintain liaison, to the extent possible, with the
local weather bureau and fire and emergency services in their area so that sewer work may be delayed or
interrupted and entrants withdrawn whenever sewer lines might be suddenly flooded by rain or fire suppression
activities, or whenever flammable or other hazardous materials are released into sewers during emergencies by
industrial or transportation accidents.
(4) Special Equipment. Entry into large bore sewers may require the use of special equipment. Such equipment
might include such items as atmosphere monitoring devices with automatic audible alarms, escape self-
contained breathing apparatus (ESCBA) with at least 10 minute air supply (or other NIOSH approved self-
rescuer), and waterproof flashlights, and may also include boats and rafts, radios and rope stand-offs for pulling
around bends and corners as needed.
[58 FR 4549, Jan. 14, 1993; 58 FR 34845, June 29, 1993; 59 FR 26115, May 19, 1994]

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Non-Mandatory Appendix F -- Rescue Team or Rescue Service
Evaluation Criteria - 1910.146 App F
Non-Mandatory Appendix F -- Rescue Team or Rescue Service Evaluation Criteria
(1) This appendix provides guidance to employers in choosing an appropriate rescue service. It contains criteria
that may be used to evaluate the capabilities both of prospective and current rescue teams. Before a rescue
team can be trained or chosen, however, a satisfactory permit program, including an analysis of all permit-
required confined spaces to identify all potential hazards in those spaces, must be completed. OSHA believes
that compliance with all the provisions of §1910.146 will enable employers to conduct permit space operations
without recourse to rescue services in nearly all cases. However, experience indicates that circumstances will
arise where entrants will need to be rescued from permit spaces. It is therefore important for employers to select
rescue services or teams, either on-site or off-site that are equipped and capable of minimizing harm to both
entrants and rescuers if the need arises.
(2) For all rescue teams or services, the employer's evaluation should consist of two components: an initial
evaluation, in which employers decide whether a potential rescue service or team is adequately trained and
equipped to perform permit space rescues of the kind needed at the facility and whether such rescuers can
respond in a timely manner, and a performance evaluation, in which employers measure the performance of the
team or service during an actual or practice rescue. For example, based on the initial evaluation, an employer
may determine that maintaining an on-site rescue team will be more expensive than obtaining the services of an
off-site team, without being significantly more effective, and decide to hire a rescue service. During a
performance evaluation, the employer could decide, after observing the rescue service perform a practice
rescue, that the service's training or preparedness was not adequate to affect a timely or effective rescue at his
or her facility and decide to select another rescue service, or to form an internal rescue team.
A. Initial Evaluation
I. The employer should meet with the prospective rescue service to facilitate the evaluations required by
§1910.146(k)(1)(i) and §1910.146(k)(1)(ii). At a minimum, if an off-site rescue service is being considered, the
employer must contact the service to plan and coordinate the evaluations required by the standard. Merely
posting the service's number or planning to rely on the 911 emergency phone number to obtain these services at
the time of a permit space emergency would not comply with paragraph (k)(1) of the standard.
II. The capabilities required of a rescue service vary with the type of permit spaces from which rescue may be
necessary and the hazards likely to be encountered in those spaces. Answering the questions below will assist
employers in determining whether the rescue service is capable of performing rescues in the permit spaces
present at the employer's workplace.
1. What are the needs of the employer with regard to response time (time for the rescue service to receive
notification, arrive at the scene, and set up and be ready for entry)? For example, if entry is to be made into an
IDLH atmosphere, or into a space that can quickly develop an IDLH atmosphere (if ventilation fails or for other
reasons), the rescue team or service would need to be standing by at the permit space. On the other hand, if the
danger to entrants is restricted to mechanical hazards that would cause injuries (e.g., broken bones, abrasions) a
response time of 10 or 15 minutes might be adequate.
2. How quickly can the rescue team or service get from its location to the permit spaces from which rescue may
be necessary? Relevant factors to consider would include: the location of the rescue team or service relative to
the employer's workplace, the quality of roads and highways to be traveled, potential bottlenecks or traffic
congestion that might be encountered in transit, the reliability of the rescuer's vehicles, and the training and skill
of its drivers.
3. What is the availability of the rescue service? Is it unavailable at certain times of the day or in certain
situations? What is the likelihood that key personnel of the rescue service might be unavailable at times? If the
rescue service becomes unavailable while an entry is underway, does it have the capability of notifying the
employer so that the employer can instruct the attendant to abort the entry immediately?
4. Does the rescue service meet all the requirements of paragraph (k)(2) of the standard? If not, has it developed
a plan that will enable it to meet those requirements in the future? If so, how soon can the plan be implemented?
5. For off-site services, is the service willing to perform rescues at the employer's workplace? (An employer may
not rely on a rescuer who declines, for whatever reason, to provide rescue services.)
6. Is an adequate method for communications between the attendant, employer and prospective rescuer
available so that a rescue request can be transmitted to the rescuer without delay? How soon after notification
can a prospective rescuer dispatch a rescue team to the entry site?
7. For rescues into spaces that may pose significant atmospheric hazards and from which rescue entry, patient
packaging and retrieval cannot be safely accomplished in a relatively short time (15-20 minutes), employers
should consider using airline respirators (with escape bottles) for the rescuers and to supply rescue air to the
patient. If the employer decides to use SCBA, does the prospective rescue service have an ample supply of

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replacement cylinders and procedures for rescuers to enter and exit (or be retrieved) well within the SCBA's air
supply limits?
8. If the space has a vertical entry over 5 feet in depth, can the prospective rescue service properly perform entry
rescues? Does the service have the technical knowledge and equipment to perform rope work or elevated
rescue, if needed?
9. Does the rescue service have the necessary skills in medical evaluation, patient packaging and emergency
response?
10. Does the rescue service have the necessary equipment to perform rescues, or must the equipment be
provided by the employer or another source?
B. Performance Evaluation
Rescue services are required by paragraph (k)(2)(iv) of the standard to practice rescues at least once every 12
months, provided that the team or service has not successfully performed a permit space rescue within that time.
As part of each practice session, the service should perform a critique of the practice rescue, or have another
qualified party perform the critique, so that deficiencies in procedures, equipment, training, or number of
personnel can be identified and corrected. The results of the critique, and the corrections made to respond to the
deficiencies identified, should be given to the employer to enable it to determine whether the rescue service can
quickly be upgraded to meet the employer's rescue needs or whether another service must be selected. The
following questions will assist employers and rescue teams and services evaluate their performance.
1. Have all members of the service been trained as permit space entrants, at a minimum, including training in the
potential hazards of all permit spaces, or of representative permit spaces, from which rescue may be needed?
Can team members recognize the signs, symptoms, and consequences of exposure to any hazardous
atmospheres that may be present in those permit spaces?
2. Is every team member provided with, and properly trained in, the use and need for PPE, such as SCBA or fall
arrest equipment, which may be required to perform permit space rescues in the facility? Is every team member
properly trained to perform his or her functions and make rescues, and to use any rescue equipment, such as
ropes and backboards, that may be needed in a rescue attempt?
3. Are team members trained in the first aid and medical skills needed to treat victims overcome or injured by the
types of hazards that may be encountered in the permit spaces at the facility?
4. Do all team members perform their functions safely and efficiently? Do rescue service personnel focus on their
own safety before considering the safety of the victim?
5. If necessary, can the rescue service properly test the atmosphere to determine if it is IDLH?
6. Can the rescue personnel identify information pertinent to the rescue from entry permits, hot work permits, and
MSDSs?
7. Has the rescue service been informed of any hazards to personnel that may arise from outside the space,
such as those that may be caused by future work near the space?
8. If necessary, can the rescue service properly package and retrieve victims from a permit space that has a
limited size opening (less than 24 inches (60.9 cm) in diameter), limited internal space, or internal obstacles or
hazards?
9. If necessary, can the rescue service safely perform an elevated (high angle) rescue?
10. Does the rescue service have a plan for each of the kinds of permit space rescue operations at the facility? Is
the plan adequate for all types of rescue operations that may be needed at the facility? Teams may practice in
representative spaces, or in spaces that are "worst-case" or most restrictive with respect to internal configuration,
elevation, and portal size. The following characteristics of a practice space should be considered when deciding
whether a space is truly representative of an actual permit space:

(1) Internal configuration.

(a) Open -- there are no obstacles, barriers, or obstructions within the space. One example is a water tank.
(b) Obstructed -- the permit space contains some type of obstruction that a rescuer would need to maneuver
around. An example would be a baffle or mixing blade. Large equipment, such as a ladder or scaffold, brought
into a space for work purposes would be considered an obstruction if the positioning or size of the equipment
would make rescue more difficult.
(2) Elevation.
(a) Elevated -- a permit space where the entrance portal or opening is above grade by 4 feet or more. This type
of space usually requires knowledge of high angle rescue procedures because of the difficulty in packaging and
transporting a patient to the ground from the portal.
(b) Non-elevated -- a permit space with the entrance portal located less than 4 feet above grade. This type of
space will allow the rescue team to transport an injured employee normally.
(3) Portal size.
(a) Restricted -- A portal of 24 inches or less in the least dimension. Portals of this size are too small to allow a
rescuer to simply enter the space while using SCBA. The portal size is also too small to allow normal spinal
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(b) Unrestricted -- A portal of greater than 24 inches in the least dimension. These portals allow relatively free
movement into and out of the permit space.
(4) Space access. (a) Horizontal -- The portal is located on the side of the permit space. Use of retrieval lines
could be difficult. (b) Vertical -- The portal is located on the top of the permit space, so that rescuers must climb
down, or the bottom of the permit space, so that rescuers must climb up to enter the space. Vertical portals may
require knowledge of rope techniques, or special patient packaging to safely retrieve a downed entrant.

The control of hazardous energy (lockout/tagout). - 1910.147

1910.147(a)
Scope, application and purpose -
1910.147(a)(1)
Scope
1910.147(a)(1)(i)
This standard covers the servicing and maintenance of machines and equipment in which the unexpected energization or
startup of the machines or equipment, or release of stored energy could cause injury to employees. This standard establishes
minimum performance requirements for the control of such hazardous energy.
1910.147(a)(1)(ii)
This standard does not cover the following:
1910.147(a)(1)(ii)(A)
Construction, agriculture and maritime employment;
1910.147(a)(1)(ii)(B)
Installations under the exclusive control of electric utilities for the purpose of power generation, transmission and
distribution, including related equipment for communication or metering; and
1910.147(a)(1)(ii)(C)
Exposure to electrical hazards from work on, near, or with conductors or equipment in electric utilization installations,
which is covered by Subpart S of this part; and
..1910.147(a)(1)(ii)(D)

1910.147(a)(1)(ii)(D)
Oil and gas well drilling and servicing.
Application.
1910.147(a)(2)(i)
This standard applies to the control of energy during servicing and/or maintenance of machines and equipment.

1910.147(a)(2)(ii)
Normal production operations are not covered by this standard (See Subpart O of this Part). Servicing and/or maintenance
which takes place during normal production operations is covered by this standard only if:
1910.147(a)(2)(ii)(A)
An employee is required to remove or bypass a guard or other safety device; or
1910.147(a)(2)(ii)(B)
An employee is required to place any part of his or her body into an area on a machine or piece of equipment where work is
actually performed upon the material being processed (point of operation) or where an associated danger zone exists during
a machine operating cycle.
Note: Exception to paragraph (a)(2)(ii): Minor tool changes and adjustments, and other minor servicing activities, which
take place during normal production operations, are not covered by this standard if they are routine, repetitive, and integral
to the use of the equipment for production, provided that the work is performed using alternative measures which provide
effective protection (See Subpart O of this Part).
1910.147(a)(2)(iii)
This standard does not apply to the following:
..1910.147(a)(2)(iii)(A)

1910.147(a)(2)(iii)(A)
Work on cord and plug connected electric equipment for which exposure to the hazards of unexpected energization or
startup of the equipment is controlled by the unplugging of the equipment from the energy source and by the plug being
under the exclusive control of the employee performing the servicing or maintenance.
1910.147(a)(2)(iii)(B)
Hot tap operations involving transmission and distribution systems for substances such as gas, steam, water or petroleum
products when they are performed on pressurized pipelines, provided that the employer demonstrates that-
1910.147(a)(2)(iii)(B)(1)

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continuity of service is essential;
1910.147(a)(2)(iii)(B)(2)
shutdown of the system is impractical; and
1910.147(a)(2)(iii)(B)(3)
documented procedures are followed, and special equipment is used which will provide proven effective protection for
employees.
1910.147(a)(3)

Purpose.
1910.147(a)(3)(i)
This section requires employers to establish a program and utilize procedures for affixing appropriate lockout devices or
tagout devices to energy isolating devices, and to otherwise disable machines or equipment to prevent unexpected
energization, start up or release of stored energy in order to prevent injury to employees.
1910.147(a)(3)(ii)
When other standards in this part require the use of lockout or tagout, they shall be used and supplemented by the procedural
and training requirements of this section.
1910.147(b)
Definitions applicable to this section.
Affected employee. An employee whose job requires him/her to operate or use a machine or equipment on which servicing
or maintenance is being performed under lockout or tagout, or whose job requires him/her to work in an area in which such
servicing or maintenance is being performed.
Authorized employee. A person who locks out or tags out machines or equipment in order to perform servicing or
maintenance on that machine or equipment. An affected employee becomes an authorized employee when that employee's
duties include performing servicing or maintenance covered under this section.
Capable of being locked out. An energy isolating device is capable of being locked out if it has a hasp or other means of
attachment to which, or through which, a lock can be affixed, or it has a locking mechanism built into it. Other energy
isolating devices are capable of being locked out, if lockout can be achieved without the need to dismantle, rebuild, or
replace the energy isolating device or permanently alter its energy control capability.
Energized. Connected to an energy source or containing residual or stored energy.
Energy isolating device. A mechanical device that physically prevents the transmission or release of energy, including but
not limited to the following: A manually operated electrical circuit breaker; a disconnect switch; a manually operated switch
by which the conductors of a circuit can be disconnected from all ungrounded supply conductors, and, in addition, no pole
can be operated independently; a line valve; a block; and any similar device used to block or isolate energy. Push buttons,
selector switches and other control circuit type devices are not energy isolating devices.
Energy source. Any source of electrical, mechanical, hydraulic, pneumatic, chemical, thermal, or other energy.
Hot tap. A procedure used in the repair, maintenance and services activities which involves welding on a piece of
equipment (pipelines, vessels or tanks) under pressure, in order to install connections or appurtenances. it is commonly used
to replace or add sections of pipeline without the interruption of service for air, gas, water, steam, and petrochemical
distribution systems.
Lockout. The placement of a lockout device on an energy isolating device, in accordance with an established procedure,
ensuring that the energy isolating device and the equipment being controlled cannot be operated until the lockout device is
removed.
Lockout device. A device that utilizes a positive means such as a lock, either key or combination type, to hold an energy
isolating device in the safe position and prevent the energizing of a machine or equipment. Included are blank flanges and
bolted slip blinds.
Normal production operations. The utilization of a machine or equipment to perform its intended production function.
Servicing and/or maintenance. Workplace activities such as constructing, installing, setting up, adjusting, inspecting,
modifying, and maintaining and/or servicing machines or equipment. These activities include lubrication, cleaning or
unjamming of machines or equipment and making adjustments or tool changes, where the employee may be exposed to the
unexpected energization or startup of the equipment or release of hazardous energy.
Setting up. Any work performed to prepare a machine or equipment to perform its normal production operation.
Tagout. The placement of a tagout device on an energy isolating device, in accordance with an established procedure, to
indicate that the energy isolating device and the equipment being controlled may not be operated until the tagout device is
removed.
Tagout device. A prominent warning device, such as a tag and a means of attachment, which can be securely fastened to an
energy isolating device in accordance with an established procedure, to indicate that the energy isolating device and the
equipment being controlled may not be operated until the tagout device is removed.
..1910.147(c)

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1910.147(c)
General -
1910.147(c)(1)
Energy control program. The employer shall establish a program consisting of energy control procedures, employee
training and periodic inspections to ensure that before any employee performs any servicing or maintenance on a machine or
equipment where the unexpected energizing, startup or release of stored energy could occur and cause injury, the machine or
equipment shall be isolated from the energy source and rendered inoperative.
1910.147(c)(2)
Lockout/tagout.
1910.147(c)(2)(i)
If an energy isolating device is not capable of being locked out, the employer's energy control program under paragraph
(c)(1) of this section shall utilize a tagout system.

1910.147(c)(2)(ii)
If an energy isolating device is capable of being locked out, the employer's energy control program under paragraph (c)(1) of
this section shall utilize lockout, unless the employer can demonstrate that the utilization of a tagout system will provide full
employee protection as set forth in paragraph (c)(3) of this section.
1910.147(c)(2)(iii)
After January 2, 1990, whenever replacement or major repair, renovation or modification of a machine or equipment is
performed, and whenever new machines or equipment are installed, energy isolating devices for such machine or equipment
shall be designed to accept a lockout device.
1910.147(c)(3)
Full employee protection.
1910.147(c)(3)(i)
When a tagout device is used on an energy isolating device which is capable of being locked out, the tagout device shall be
attached at the same location that the lockout device would have been attached, and the employer shall demonstrate that the
tagout program will provide a level of safety equivalent to that obtained by using a lockout program.
..1910.147(c)(3)(ii)

1910.147(c)(3)(ii)
In demonstrating that a level of safety is achieved in the tagout program which is equivalent to the level of safety obtained
by using a lockout program, the employer shall demonstrate full compliance with all tagout-related provisions of this
standard together with such additional elements as are necessary to provide the equivalent safety available from the use of a
lockout device. Additional means to be considered as part of the demonstration of full employee protection shall include the
implementation of additional safety measures such as the removal of an isolating circuit element, blocking of a controlling
switch, opening of an extra disconnecting device, or the removal of a valve handle to reduce the likelihood of inadvertent
energization.
1910.147(c)(4)

Energy control procedure.

1910.147(c)(4)(i)
Procedures shall be developed, documented and utilized for the control of potentially hazardous energy when employees are
engaged in the activities covered by this section.
Note: Exception: The employer need not document the required procedure for a particular machine or equipment, when all
of the following elements exist: (1) The machine or equipment has no potential for stored or residual energy or
reaccumulation of stored energy after shut down which could endanger employees; (2) the machine or equipment has a
single energy source which can be readily identified and isolated; (3) the isolation and locking out of that energy source will
completely de-energize and deactivate the machine or equipment; (4) the machine or equipment is isolated from that energy
source and locked out during servicing or maintenance; (5) a single lockout device will achieve a locker-out condition; (6)
the lockout device is under the exclusive control of the authorized employee performing the servicing or maintenance; (7)
the servicing or maintenance does not create hazards for other employees; and (8) the employer, in utilizing this exception,
has had no accidents involving the unexpected activation or re-energization of the machine or equipment during servicing or
maintenance.
1910.147(c)(4)(ii)
The procedures shall clearly and specifically outline the scope, purpose, authorization, rules, and techniques to be utilized
for the control of hazardous energy, and the means to enforce compliance including, but not limited to, the following:
1910.147(c)(4)(ii)(A)
A specific statement of the intended use of the procedure;
1910.147(c)(4)(ii)(B)
Specific procedural steps for shutting down, isolating, blocking and securing machines or equipment to control hazardous
energy;

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1910.147(c)(4)(ii)(C)
Specific procedural steps for the placement, removal and transfer of lockout devices or tagout devices and the responsibility
for them; and
..1910.147(c)(4)(ii)(D)

1910.147(c)(4)(ii)(D)
Specific requirements for testing a machine or equipment to determine and verify the effectiveness of lockout devices,
tagout devices, and other energy control measures.
1910.147(c)(5)
Protective materials and hardware.
1910.147(c)(5)(i)
Locks, tags, chains, wedges, key blocks, adapter pins, self-locking fasteners, or other hardware shall be provided by the
employer for isolating, securing or blocking of machines or equipment from energy sources.
1910.147(c)(5)(ii)
Lockout devices and tagout devices shall be singularly identified; shall be the only devices(s) used for controlling energy;
shall not be used for other purposes; and shall meet the following requirements:
1910.147(c)(5)(ii)(A)
Durable.
1910.147(c)(5)(ii)(A)(1)
Lockout and tagout devices shall be capable of withstanding the environment to which they are exposed for the maximum
period of time that exposure is expected.
1910.147(c)(5)(ii)(A)(2)
Tagout devices shall be constructed and printed so that exposure to weather conditions or wet and damp locations will not
cause the tag to deteriorate or the message on the tag to become illegible.
1910.147(c)(5)(ii)(A)(3)
Tags shall not deteriorate when used in corrosive environments such as areas where acid and alkali chemicals are handled
and stored.
..1910.147(c)(5)(ii)(B)

1910.147(c)(5)(ii)(B)
Standardized. Lockout and tagout devices shall be standardized within the facility in at least one of the following criteria:
Color; shape; or size; and additionally, in the case of tagout devices, print and format shall be standardized.
1910.147(c)(5)(ii)(C)
Substantial -
1910.147(c)(5)(ii)(C)(1)

Lockout devices. Lockout devices shall be substantial enough to prevent removal without the use of excessive force or
unusual techniques, such as with the use of bolt cutters or other metal cutting tools.
1910.147(c)(5)(ii)(C)(2)
Tagout devices. Tagout devices, including their means of attachment, shall be substantial enough to prevent inadvertent or
accidental removal. Tagout device attachment means shall be of a non-reusable type, attachable by hand, self-locking, and
non-releasable with a minimum unlocking strength of no less than 50 pounds and having the general design and basic
characteristics of being at least equivalent to a one-piece, all environment-tolerant nylon cable tie.
1910.147(c)(5)(ii)(D)
Identifiable. Lockout devices and tagout devices shall indicate the identity of the employee applying the device(s).
1910.147(c)(5)(iii)
Tagout devices shall warn against hazardous conditions if the machine or equipment is energized and shall include a legend
such as the following: Do Not Start. Do Not Open. Do Not Close. Do Not Energize. Do Not Operate.
..1910.147(c)(6)

1910.147(c)(6)
Periodic inspection.
1910.147(c)(6)(i)
The employer shall conduct a periodic inspection of the energy control procedure at least annually to ensure that the
procedure and the requirements of this standard are being followed.
1910.147(c)(6)(i)(A)
The periodic inspection shall be performed by an authorized employee other than the ones(s) utilizing the energy control
procedure being inspected.
1910.147(c)(6)(i)(B)
The periodic inspection shall be conducted to correct any deviations or inadequacies identified.

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1910.147(c)(6)(i)(C)
Where lockout is used for energy control, the periodic inspection shall include a review, between the inspector and each
authorized employee, of that employee's responsibilities under the energy control procedure being inspected.

1910.147(c)(6)(i)(D)
Where tagout is used for energy control, the periodic inspection shall include a review, between the inspector and each
authorized and affected employee, of that employee's responsibilities under the energy control procedure being inspected,
and the elements set forth in paragraph (c)(7)(ii) of this section.
..1910.147(c)(6)(ii)

1910.147(c)(6)(ii)
The employer shall certify that the periodic inspections have been performed. The certification shall identify the machine or
equipment on which the energy control procedure was being utilized, the date of the inspection, the employees included in
the inspection, and the person performing the inspection.
1910.147(c)(7)

Training and communication.

1910.147(c)(7)(i)
The employer shall provide training to ensure that the purpose and function of the energy control program are understood by
employees and that the knowledge and skills required for the safe application, usage, and removal of the energy controls are
acquired by employees. The training shall include the following:
1910.147(c)(7)(i)(A)
Each authorized employee shall receive training in the recognition of applicable hazardous energy sources, the type and
magnitude of the energy available in the workplace, and the methods and means necessary for energy isolation and control.
1910.147(c)(7)(i)(B)
Each affected employee shall be instructed in the purpose and use of the energy control procedure.
1910.147(c)(7)(i)(C)
All other employees whose work operations are or may be in an area where energy control procedures may be utilized, shall
be instructed about the procedure, and about the prohibition relating to attempts to restart or reenergize machines or
equipment which are locked out or tagged out.
1910.147(c)(7)(ii)
When tagout systems are used, employees shall also be trained in the following limitations of tags:
..1910.147(c)(7)(ii)(A)

1910.147(c)(7)(ii)(A)
Tags are essentially warning devices affixed to energy isolating devices, and do not provide the physical restraint on those
devices that is provided by a lock.
1910.147(c)(7)(ii)(B)
When a tag is attached to an energy isolating means, it is not to be removed without authorization of the authorized person
responsible for it, and it is never to be bypassed, ignored, or otherwise defeated.
1910.147(c)(7)(ii)(C)
Tags must be legible and understandable by all authorized employees, affected employees, and all other employees whose
work operations are or may be in the area, in order to be effective.
1910.147(c)(7)(ii)(D)
Tags and their means of attachment must be made of materials which will withstand the environmental conditions
encountered in the workplace.
1910.147(c)(7)(ii)(E)
Tags may evoke a false sense of security, and their meaning needs to be understood as part of the overall energy control
program.
1910.147(c)(7)(ii)(F)
Tags must be securely attached to energy isolating devices so that they cannot be inadvertently or accidentally detached
during use.
1910.147(c)(7)(iii)
Employee retraining.
..1910.147(c)(7)(iii)(A)

1910.147(c)(7)(iii)(A)
Retraining shall be provided for all authorized and affected employees whenever there is a change in their job assignments, a
change in machines, equipment or processes that present a new hazard, or when there is a change in the energy control
procedures.

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1910.147(c)(7)(iii)(B)
Additional retraining shall also be conducted whenever a periodic inspection under paragraph (c)(6) of this section reveals,
or whenever the employer has reason to believe that there are deviations from or inadequacies in the employee's knowledge
or use of the energy control procedures.
1910.147(c)(7)(iii)(C)
The retraining shall reestablish employee proficiency and introduce new or revised control methods and procedures, as
necessary.
1910.147(c)(7)(iv)
The employer shall certify that employee training has been accomplished and is being kept up to date. The certification shall
contain each employee's name and dates of training.
1910.147(c)(8)
Energy isolation. Lockout or tagout shall be performed only by the authorized employees who are performing the servicing
or maintenance.
1910.147(c)(9)
Notification of employees. Affected employees shall be notified by the employer or authorized employee of the application
and removal of lockout devices or tagout devices. Notification shall be given before the controls are applied, and after they
are removed from the machine or equipment.
..1910.147(d)

1910.147(d)
Application of control. The established procedures for the application of energy control (the lockout or tagout procedures)
shall cover the following elements and actions and shall be done in the following sequence:
1910.147(d)(1)
Preparation for shutdown. Before an authorized or affected employee turns off a machine or equipment, the authorized
employee shall have knowledge of the type and magnitude of the energy, the hazards of the energy to be controlled, and the
method or means to control the energy.
1910.147(d)(2)
Machine or equipment shutdown. The machine or equipment shall be turned off or shut down using the procedures
established for the machine or equipment. An orderly shutdown must be utilized to avoid any additional or increased
hazard(s) to employees as a result of the equipment stoppage.
1910.147(d)(3)
Machine or equipment isolation. All energy isolating devices that are needed to control the energy to the machine or
equipment shall be physically located and operated in such a manner as to isolate the machine or equipment from the energy
source(s).
1910.147(d)(4)
Lockout or tagout device application.
1910.147(d)(4)(i)
Lockout or tagout devices shall be affixed to each energy isolating device by authorized employees.
..1910.147(d)(4)(ii)

1910.147(d)(4)(ii)
Lockout devices, where used, shall be affixed in a manner to that will hold the energy isolating devices in a "safe" or "off"
position.
1910.147(d)(4)(iii)
Tagout devices, where used, shall be affixed in such a manner as will clearly indicate that the operation or movement of
energy isolating devices from the "safe" or "off" position is prohibited.
1910.147(d)(4)(iii)(A)
Where tagout devices are used with energy isolating devices designed with the capability of being locked, the tag attachment
shall be fastened at the same point at which the lock would have been attached.
1910.147(d)(4)(iii)(B)
Where a tag cannot be affixed directly to the energy isolating device, the tag shall be located as close as safely possible to
the device, in a position that will be immediately obvious to anyone attempting to operate the device.
Stored energy.
1910.147(d)(5)(i)
Following the application of lockout or tagout devices to energy isolating devices, all potentially hazardous stored or
residual energy shall be relieved, disconnected, restrained, and otherwise rendered safe.
..1910.147(d)(5)(ii)

1910.147(d)(5)(ii)
If there is a possibility of reaccumulation of stored energy to a hazardous level, verification of isolation shall be continued
until the servicing or maintenance is completed, or until the possibility of such accumulation no longer exists.

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1910.147(d)(6)
Verification of isolation. Prior to starting work on machines or equipment that have been locked out or tagged out, the
authorized employee shall verify that isolation and deenergization of the machine or equipment have been accomplished.
1910.147(e)
Release from lockout or tagout. Before lockout or tagout devices are removed and energy is restored to the machine or
equipment, procedures shall be followed and actions taken by the authorized employee(s) to ensure the following:
1910.147(e)(1)
The machine or equipment. The work area shall be inspected to ensure that nonessential items have been removed and to
ensure that machine or equipment components are operationally intact.
1910.147(e)(2)
Employees.
1910.147(e)(2)(i)
The work area shall be checked to ensure that all employees have been safely positioned or removed.
1910.147(e)(2)(ii)
After lockout or tagout devices have been removed and before a machine or equipment is started, affected employees shall
be notified that the lockout or tagout device(s) have been removed.
1910.147(e)(3)
Lockout or tagout devices removal. Each lockout or tagout device shall be removed from each energy isolating device by
the employee who applied the device. Exception to paragraph (e)(3): When the authorized employee who applied the
lockout or tagout device is not available to remove it, that device may be removed under the direction of the employer,
provided that specific procedures and training for such removal have been developed, documented and incorporated into the
employer's energy control program. The employer shall demonstrate that the specific procedure provides equivalent safety to
the removal of the device by the authorized employee who applied it. The specific procedure shall include at least the
following elements:
1910.147(e)(3)(i)
Verification by the employer that the authorized employee who applied the device is not at the facility:
1910.147(e)(3)(ii)
Making all reasonable efforts to contact the authorized employee to inform him/her that his/her lockout or tagout device has
been removed; and
1910.147(e)(3)(iii)
Ensuring that the authorized employee has this knowledge before he/she resumes work at that facility.
..1910.147(f)

1910.147(f)
Additional requirements.
1910.147(f)(1)
Testing or positioning of machines, equipment or components thereof. In situations in which lockout or tagout devices
must be temporarily removed from the energy isolating device and the machine or equipment energized to test or position
the machine, equipment or component thereof, the following sequence of actions shall be followed:
1910.147(f)(1)(i)
Clear the machine or equipment of tools and materials in accordance with paragraph (e)(1) of this section;
1910.147(f)(1)(ii)
Remove employees from the machine or equipment area in accordance with paragraph (e)(2) of this section;
1910.147(f)(1)(iii)
Remove the lockout or tagout devices as specified in paragraph (e)(3) of this section;
1910.147(f)(1)(iv)
Energize and proceed with testing or positioning;
1910.147(f)(1)(v)
De-energize all systems and reapply energy control measures in accordance with paragraph (d) of this section to continue
the servicing and/or maintenance.
1910.147(f)(2)
Outside personnel (contractors, etc.).
1910.147(f)(2)(i)
Whenever outside servicing personnel are to be engaged in activities covered by the scope and application of this standard,
the on-site employer and the outside employer shall inform each other of their respective lockout or tagout procedures.
..1910.147(f)(2)(ii)

1910.147(f)(2)(ii)
The on-site employer shall ensure that his/her employees understand and comply with the restrictions and prohibitions of the
outside employer's energy control program.

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1910.147(f)(3)
Group lockout or tagout.
1910.147(f)(3)(i)
When servicing and/or maintenance is performed by a crew, craft, department or other group, they shall utilize a procedure
which affords the employees a level of protection equivalent to that provided by the implementation of a personal lockout or
tagout device.
1910.147(f)(3)(ii)
Group lockout or tagout devices shall be used in accordance with the procedures required by paragraph (c)(4) of this section
including, but not necessarily limited to, the following specific requirements:

1910.147(f)(3)(ii)(A)
Primary responsibility is vested in an authorized employee for a set number of employees working under the protection of a
group lockout or tagout device (such as an operations lock);
1910.147(f)(3)(ii)(B)
Provision for the authorized employee to ascertain the exposure status of individual group members with regard to the
lockout or tagout of the machine or equipment and
1910.147(f)(3)(ii)(C)
When more than one crew, craft, department, etc. is involved, assignment of overall job-associated lockout or tagout control
responsibility to an authorized employee designated to coordinate affected work forces and ensure continuity of protection;
and
..1910.147(f)(3)(ii)(D)

1910.147(f)(3)(ii)(D)
Each authorized employee shall affix a personal lockout or tagout device to the group lockout device, group lockbox, or
comparable mechanism when he or she begins work, and shall remove those devices when he or she stops working on the
machine or equipment being serviced or maintained.
1910.147(f)(4)
Shift or personnel changes. Specific procedures shall be utilized during shift or personnel changes to ensure the continuity
of lockout or tagout protection, including provision for the orderly transfer of lockout or tagout device protection between
off-going and oncoming employees, to minimize exposure to hazards from the unexpected energization or start-up of the
machine or equipment, or the release of stored energy.
Note: The following appendix to §1910.147 services as a non-mandatory guideline to assist employers and employees in
complying with the requirements of this section, as well as to provide other helpful information. Nothing in the appendix
adds to or detracts from any of the requirements of this section.
[54 FR 36687, Sept. 1, 1989, as amended at 54 FR 42498, Oct. 17, 1989; 55 FR 38685, 38686, Sept. 20, 1990; 61 FR 5507,
Feb. 13, 1996]

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Typical Minimal Lockout Procedures - 1910.147 App A
General

The following simple lockout procedure is provided to assist employers in developing their procedures so they meet the
requirements of this standard. When the energy isolating devices are not lockable, tagout may be used, provided the
employer complies with the provisions of the standard which require additional training and more rigorous periodic
inspections. When tagout is used and the energy isolating devices are lockable, the employer must provide full employee
protection (see paragraph (c)(3)) and additional training and more rigorous periodic inspections are required. For more
complex systems, more comprehensive procedures may need to be developed, documented, and utilized.
Lockout Procedure

Lockout Procedure for

_____________________________________________________________________

(Name of Company for single procedure or identification of equipment

if multiple procedures are used).

Purpose
This procedure establishes the minimum requirements for the lockout of energy isolating devices whenever maintenance or
servicing is done on machines or equipment. It shall be used to ensure that the machine or equipment is stopped, isolated
from all potentially hazardous energy sources and locked out before employees perform any servicing or maintenance where
the unexpected energization or start-up of the machine or equipment or release of stored energy could cause injury.
Compliance With This Program
All employees are required to comply with the restrictions and limitations imposed upon them during the use of lockout. The
authorized employees are required to perform the lockout in accordance with this procedure. All employees, upon observing
a machine or piece of equipment which is locked out to perform servicing or maintenance shall not attempt to start, energize,
or use that machine or equipment.
_____________________________________________________________________

Type of compliance enforcement to be taken for violation of the above

Sequence of Lockout

(1) Notify all affected employees that servicing or maintenance is required on a machine or equipment and that the machine
or equipment must be shut down and locked out to perform the servicing or maintenance.
___________________________________________________________________

Name(s)/Job Title(s) of affected employees and how to notify.

(2) The authorized employee shall refer to the company procedure to identify the type and magnitude of the energy that the
machine or equipment utilizes, shall understand the hazards of the energy, and shall know the methods to control the energy.
_____________________________________________________________________

Type(s) and magnitude(s) of energy, its hazards and the methods to

control the energy.

(3) If the machine or equipment is operating, shut it down by the normal stopping procedure (depress the stop button, open
switch, close valve, etc.).
_____________________________________________________________________

Type(s) and location(s) of machine or equipment operating controls.

(4) De-activate the energy isolating device(s) so that the machine or equipment is isolated from the energy source(s).
_____________________________________________________________________

Type(s) and location(s) of energy isolating devices.

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(5) Lock out the energy isolating device(s) with assigned individual lock(s).
(6) Stored or residual energy (such as that in capacitors, springs, elevated machine members, rotating flywheels, hydraulic
systems, and air, gas, steam, or water pressure, etc.) must be dissipated or restrained by methods such as grounding,
repositioning, blocking, bleeding down, etc.
_____________________________________________________________________

Type(s) of stored energy - methods to dissipate or restrain.

(7) Ensure that the equipment is disconnected from the energy source(s) by first checking that no personnel are exposed,
then verify the isolation of the equipment by operating the push button or other normal operating control(s) or by testing to
make certain the equipment will not operate.
Caution: Return operating control(s) to neutral or "off" position after verifying the isolation of the equipment.
_____________________________________________________________________

Method of verifying the isolation of the equipment.

(8) The machine or equipment is now locked out.
"Restoring Equipment to Service." When the servicing or maintenance is completed and the machine or equipment is ready
to return to normal operating condition, the following steps shall be taken.
(1) Check the machine or equipment and the immediate area around the machine to ensure that nonessential items have been
removed and that the machine or equipment components are operationally intact.
(2) Check the work area to ensure that all employees have been safely positioned or removed from the area.
(3) Verify that the controls are in neutral.
(4) Remove the lockout devices and reenergize the machine or equipment. Note: The removal of some forms of blocking
may require reenergization of the machine before safe removal.
(5) Notify affected employees that the servicing or maintenance is completed and the machine or equipment is ready for
used.
[54 FR 36687, Sept. 1, 1989 as amended at 54 FR 42498, Oct. 17, 1989; 55 FR 38685, Sept. 20, 1990; 61 FR 5507, Feb. 13,
1996]

Know the hazards that may be faced during entry, including information on the
mode, signs or symptoms, and consequences of the exposure; in this case, it is the
embarrassment of assisting your buddy.

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Math Conversion Factors
1 PSI = 2.31 Feet of Water LENGTH
1 Foot of Water = .433 PSI 12 Inches = 1 Foot
1.13 Feet of Water = 1 Inch of Mercury 3 Feet = 1 Yard
454 Grams = 1 Pound 5,280 Feet = 1 Mile
2.54 CM =Inch
1 Gallon of Water = 8.34 Pounds AREA
1 mg/L = 1 PPM 144 Square Inches = 1 Square Foot
17.1 mg/L = 1 Grain/Gallon 43,560 Square Feet = 1 Acre
1% = 10,000 mg/L VOLUME
694 Gallons per Minute = MGD 1000 Milliliters = 1 Liter
1.55 Cubic Feet per Second = 1 MGD 3.785 Liters = 1 Gallon
60 Seconds = 1 Minute 231 Cubic Inches = 1 Gallon
1440 Minutes = 1 Day 7.48 Gallons = 1 Cubic Foot of Water
.746 kW = 1 Horsepower 62.38 Pounds = 1 Cubic Foot of Water

Dimensions
SQUARE: Area (sq.ft) = Length X Width
Volume (cu.ft.) = Length (ft) X Width (ft) X Height (ft)

CIRCLE: Area (sq.ft) = 3.14 X Radius (ft) X Radius (ft)

CYLINDER: Volume (Cu. ft) = 3.14 X Radius (ft) X Radius (ft) X Depth (ft)

PIPE VOLUME: .785 X Diameter 2 X Length = ? To obtain gallons multiply by 7.48

SPHERE: (3.14) (Diameter)3 Circumference = 3.14 X Diameter

(6)

General Conversions
Flowrate
Multiply —> to get
to get <— Divide
cc/min 1 mL/min
3
cfm (ft /min) 28.31 L/min
3
cfm (ft /min) 1.699 m3/hr
cfh (ft3/hr) 472 mL/min
cfh (ft3/hr) 0.125 GPM
GPH 63.1 mL/min
GPH 0.134 cfh
GPM 0.227 m3/hr
GPM 3.785 L/min
oz/min 29.57 mL/min

POUNDS PER DAY= Concentration or Dose (mg/L) X Flow (MG) X 8.34

AKA Solids Applied Formula = Flow X Dose X 8.34

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PERCENT EFFICIENCY = In – Out X 100
In
0
TEMPERATURE: F = (0C X 9/5) + 32 9/5 =1.8
0
C = (0F - 32) X 5/9 5/9 = .555

CONCENTRATION: Conc. (A) X Volume (A) = Conc. (B) X Volume (B)

FLOW RATE (Q): Q = A X V (Quantity = Area X Velocity)

FLOW RATE (gpm): Flow Rate (gpm) = 2.83 (Diameter, in)2 (Distance, in)
Height, in
% SLOPE = Rise (feet) X 100
Run (feet)

ACTUAL LEAKAGE = Leak Rate (GPD)

Length (mi.) X Diameter (in)

VELOCITY = Distance (ft)

Time (Sec)

N = Manning’s Coefficient of Roughness

R = Hydraulic Radius (ft.)
S = Slope of Sewer (ft/ft.)

HYDRAULIC RADIUS (ft) = Cross Sectional Area of Flow (ft)

Wetted pipe Perimeter (ft)

WATER HORSEPOWER = Flow (gpm) X Head (ft)

3960

BRAKE HORSEPOWER = Flow (gpm) X Head (ft)

3960 X Pump Efficiency

MOTOR HORSEPOWER = Flow (gpm) X Head (ft)

3960 X Pump Eff. X Motor Eff.

MEAN OR AVERAGE = Sum of the Values

Number of Values

TOTAL HEAD (ft) = Suction Lift (ft) X Discharge Head (ft)

SURFACE LOADING RATE = Flow Rate (gpm)

(gal/min/sq.ft) Surface Area (sq. ft)

MIXTURE = (Volume 1, gal) (Strength 1, %) + (Volume 2, gal) (Strength 2,%)

STRENGTH (%) (Volume 1, gal) + (Volume 2, gal)

INJURY FREQUENCY RATE = (Number of Injuries) 1,000,000

Number of hours worked per year

DETENTION TIME (hrs) = Volume of Basin (gals) X 24 hrs

Flow (GPD)

SLOPE = Rise (ft) SLOPE (%) = Rise (ft) X 100

Run (ft) Run (ft)
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POPULATION EQUIVALENT (PE):
1 PE = .17 Pounds of BOD per Day
1 PE = .20 Pounds of Solids per Day
1 PE = 100 Gallons per Day

LEAKAGE (GPD/inch) = Leakage of Water per Day (GPD)

Sewer Diameter (inch)

CHLORINE DEMAND (mg/L) = Chlorine Dose (mg/L) – Chlorine Residual (mg/L)

MANNING FORMULA
Q = Allowable time for decrease in pressure from 3.5 PSI to 2.5 PSI
q = As below

Q = (0.022) (d12L1)/Q q = [ 0.085] [(d12L1)/(d1L1)]

q

Q = 2.0 cfm air loss

 = .0030 cfm air loss per square foot of internal pipe surface
 = Pipe diameter (inches)
L = Pipe Length (feet)

V = 1.486 R 2/3 S 1/2


V = Velocity (ft./sec.)
 = Pipe Roughness
R = Hydraulic Radius (ft)
S= Slope (ft/ft)

HYDRAULIC RADIUS (ft) = Flow Area (ft. 2)

Wetted Perimeter (ft.)

WIDTH OF TRENCH (ft) = Base (ft) + (2 Sides) X Depth (ft 2)

Slope

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 382
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Glossary
Aeration: A method of controlling hydrogen sulfide by chemical treatment which is considered
the least expensive.

Air Gap Installation: The only acceptable method to prevent a cross-connection when filling a
tank truck from a fire hydrant.

Air Gap: This device should be observed when filling a water truck to clean sewers. There
should be an air gap between the discharge line and the top of the water level to prevent a
cross connection.

Ambient Temperature: The surrounding temperature.

Anaerobic: The absence of dissolved molecular oxygen.

CCTV: The main purpose for using a video camera while inspecting a sewer line is that it provides
operators with a picture record, for log entries and of conditions of trouble spots in the lines. During
a CCTV inspection of a sewer line, roots intruding a joint, illegal taps or cracks may be observed.

Centrifugal Pump: Centrifugal pumps are a sub-class of dynamic axisymmetric work-absorbing

turbomachinery. Centrifugal pumps are used to transport fluids by the conversion of rotational
kinetic energy to the hydrodynamic energy of the fluid flow. The rotational energy typically comes
from an engine or electric motor.

Confined Space: The definition of a hazardous atmosphere is an atmosphere that is explosive,

flammable, poisonous, corrosive, oxidizing, irritating, oxygen-deficient, toxic, or otherwise harmful
that may cause death, illness, or injury. Below 19.5%O2 percentage an atmosphere is considered
oxygen deficient. The detailed plan for emergency response to an injury or other emergency within
the confined space should be described in detail in the water system’s Confined Space Entry
Program. Entry into a confined space requires a confined space entry permit. Atmospheric
monitoring in a confined space should be performed continuously from pre-entry to exit. Hot Work
permit type is required when operations may cause a source of ignition to a material or substance,
or create a work induced hazard by ignition within any confined space. A Type 2 confined space
or permit required confined space has the characteristic of containing or has the potential to
contain a hazardous atmosphere.

Ductile iron pipe (DIP): A type of pipe that is recommended when crossing another underground
utility.

Ferric Chloride: (FeCl3) This chemical can be used to remove sulfides by precipitation.

Fire Point: The temperature at which oil vaporizes enough to keep burning.

Gas Chlorine: Discharged when opening the top valve on a one-ton chlorine cylinder.

Gravity Sewer: A sewer systems that conveys sewage via gravity. Components of a gravity
collection system: Main sewers, Manholes, Lateral sewers and Lift stations, but does not contain
not Vacuum interface pumps or Grinder Pumps.

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Grease Removal: Various methods are often implemented to control grease, including
Ordinances, Violations of codes, Inspections and complaints. Some chemicals will remove
grease, but chemicals may be very effective under specific conditions, but may not work in all
conditions. The best method is for the customer to maintain the grease device and for regular
cleaning.

Hazardous Energy: Hazardous energy comes in different forms. Understanding these sources
of hazardous energy is very important in the overall process of controlling it. First is kinetic or
mechanical energy, which comes from moving parts of machines like propellers, blades, moving
chains, and conveyor belts. When not properly controlled, these can lacerate, cut, crush,
amputate, and fracture body parts. Another form of hazardous energy is electrical energy, which
generates electricity and can be stored in batteries and capacitors. Pneumatic and hydraulic
system, springs, gas tanks, and pressure vessels uses potential energy. On the other hand, some
hazards can come from thermal energy. But whatever the source of energy, it all boils down to
one point: it can bring danger and therefore, must be controlled.

Hearing Protection: It is the employer’s responsibility to ensure that you are provided proper
hearing protection. The first step to ensure adequate protection for employees is to ensure that
engineered controls are used on equipment whenever possible and provide hearing protection.

Hydro-brake: A vortex flow regulator.

Hydrogen Sulfide: Hydrogen sulfide is the chemical compound with the formula H 2S. It is a
colorless chalcogen hydride gas with the characteristic foul odor of rotten eggs. It is very
poisonous, corrosive, and flammable. Hydrogen sulfide often produced from the microbial
breakdown of organic matter in the absence of oxygen gas, such as in swamps and sewers; this
process is commonly known as anaerobic digestion which is done by sulfate-reducing
microorganisms.

Hydrogen Sulfide Reduction: Salts of zinc and iron may precipitate sulfides. Lime treatments
can kill bacteria which produce hydrogen sulfide, but create a sludge disposal problem.
Chlorination is effective at reducing the bacteria which produce hydrogen sulfide. Chemical
treatment is not the preferred treatment method for reducing hydrogen sulfide, but regular
cleaning is. A concentration of 0.4 or 40% hydrogen peroxide should be used to control hydrogen
sulfide.

Hypochlorous acid: This species of chlorine is the most germicidal of all chlorine compounds
with the possible exception of chlorine dioxide.

Invert: The invert of a pipe is the inner bottom of the pipe.

Lamping: Using reflected sunlight or artificial light to inspect a sewer between two adjacent
manholes. The light is directed down the pipe from one manhole. If it can be seen from the next
manhole, it indicates that the line is open and straight. The purpose of lamping a new collection
system is to test for obstructions and straightness.

Lift Station: A lift station is a type of pumping station used to move wastewater from a lower
elevation to a higher one. It is typically used to move raw sewage to a treatment facility for
processing. Most failures of a lift station can be avoided by proper preventive maintenance. The
following pieces of equipment would be expected in a dry well: Electric controls, Motors, Pumps
but not float switches
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Lift Station Book: A book or log inside the lift stationcontains all the ID numbers and maps of
the station.

Lift Station Pump: A positive pressure develops when a lift station pump discharges into the
force main. A Swing check valve is used to prevent the discharged wastewater from flowing back
into the wet well when the pump shuts off.

LOTO Lock: See hazardous energy: The definition of an "Energy Isolating Device" is a
mechanical device that physically prevents the transmission or release of energy. Pneumatic,
Chemical, Hydraulic, Kinetic, Electrical, Thermal and Mechanical are all forms of hazardous
energy. The following are listed as a form of hazardous energy under OSHA 29 CFR 1910.147:
Electrical energy in a pump station, Hydraulic pressure in a pipeline, known as static Head,
Mechanical energy in a surge-relief valve, but not magnetic energy in a motor coil.

Magnetic Starters: A magnetic starter is an electromagnetically operated switch which provides

a safe method for starting an electric motor with a large load. Magnetic starters also provide under-
voltage and overload protection and an automatic cutoff in the event of a power failure.

Manhole: A manhole is the top opening to an underground utility vault used to house an access
point for making connections, inspection, valve adjustments or performing maintenance on
underground and buried public utility and other services including water, sewers, telephone,
electricity, storm drains, district heating and gas. The following items are to be examined when
inspecting a manhole: Inside surfaces and joints for cracks or breaks, Elevation of the lid and
noises that indicate infiltration from cracked or broken pipes, not inadequate sewer use
ordinances. If a manhole has been covered due to construction, landscaping, or other activities,
bring the entry up to grade. Upstream and downstream manholes should be inspected prior to
excavating a section of sewer for replacement to determine the volume of flow.

Mechanical seals: A mechanical seal is a device that helps join systems or mechanisms
together by preventing leakage (e.g. in a plumbing system), containing pressure, or excluding
contamination. Most mechanical seals require tap water lubrication.

Megger: A piece of equipment used to aid in testing for insulation resistance in a submersible
pump motor. Megohmmeter is a special type of ohmmeter used to measure the electrical
resistance of insulators. Insulating components, for example cable jackets, must be tested for
their insulation strength at the time of commissioning and as part of maintenance of high voltage
electrical equipment and installations. For this purpose megohmmeters, which can provide high
DC voltages (typically, in ranges from 500 V to 5 kV, some are up to 15 kV) at specified current
capacity, are used. Acceptable insulator resistance values are typically 1 to 10 megohms,
depending on the standards referenced.

Offset Stakes: Are control points and are set from the actual sewer line at 5 ft. - 10 ft.

Ohmmeter: See Megger. A Coil or relay might be tested using an Ohmmeter. Infinity is the most
likely Ohmmeter reading of a circuit or relay that is found to be defective.

Olfactory Fatigue: Olfactory fatigue is the loss of smell. Common with Cl2 and H2S.

Oxygen Deficient: The condition of deficient oxygen is hypoxia, and the condition of no oxygen
is anoxia. Blood cells are aerobic so they need oxygen to survive. If you have below normal
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oxygen levels, you're not providing your blood with its fuel; you're basically starving your blood
cells. Typically, any time your gas meter reads less than 19.5 percent oxygen.

Piezometer: An instrument used to measure the pressure head in a pipe, tank, or soil.

Piston Pump: Concerning the discharge of water from a piston pump, the discharge valve should
always remain open. Relief valve on discharge side of pump is used in order to prevent injuries
or severe damage to piston pumps.

Plug Valve: Can be used to replace a suction side pump valve that is continually clogging.

Pump Closed-Coupled: A close-coupled pump means that there is no coupling between the
motor and pump.

Pump Curve: Used to compare the actual pump efficiency to its expected efficiency.

Pump Problems: A Plugged exhaust port might cause a positive displacement diaphragm pump
to cycle improperly.

Relative Compaction: Refers to the level of compaction obtained compared to the level possible
under ideal conditions.

Rodding: A stick, wand, staff, or the like, of wood, metal, or other material used to clean a sewer
line. It may be advantageous to rod a sewer line from an upstream position if a high head of water
developed at the stoppage. Rodding the line would be the best suited for cutting roots, removing
hardened grease, and for scraping and dislodging certain types of materials found in sewers.

Scouring Velocity: Refers to the flow required to prevent the deposition and buildup of solids.

Sewer Bedding: The proper method for bedding a sewer line is to bed the new section 6 to 12
inches above the top of the pipe.

Sewer Cleaning: Sewer cleaning should be scheduled on a regular cycle: for example, 100
percent of the pipes are cleaned every 1, 3, or 5 years. However, unless the cleaning schedule is
adjusted to take into account the actual conditions in various parts of the collection system
pipelines, routine cleaning can result in over-maintenance of the system. In most collection
systems, some sections do not require frequent cleaning while other sections may require
cleaning on a more frequent basis, such as monthly, if they are susceptible to blockages.
Information from the inspection program should be used to help identify chronic problem areas in
the gravity sewer system and related structures in the wastewater collection system, quantify
defects and problem areas, and develop a preventive maintenance sewer cleaning program
based on actual conditions in a particular wastewater collection system.

Cleaning is either scheduled or unscheduled. Scheduled cleaning is proactive in that cleaning is

done on a preventive basis to remove material prior to a stoppage occurring. Preventive cleaning
activities can be supplemented by additional cleaning on an as-needed basis in cases where
predictive information such as previous history, inspection data, pipe age and material, slope, or
other information indicates a need for more frequent cleaning.

Scheduled cleaning is usually coordinated with planned CCTV since televising requires a clean
pipe for access and visually provides a much better picture of conditions.
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Unscheduled cleaning is usually the result of a reported stoppage and is therefore reactive. When
reactive maintenance is the primary form of maintenance (that is, waiting until a failure occurs
before performing maintenance), it will always result in poor system performance, especially as
the system ages. Normally, this type of cleaning is done on an emergency basis to clear a
stoppage, restore pipe capacity to full flow, and relieve a surcharging situation in the sewer that
has caused a backup into homes and/or an overflow..

Sewer Map: Elevations typically represented on a collection system map by the elevation of the
invert.

Sewer Odor: Primarily is H2S. A major problem with using an odor-masking agent is that they
do not eliminate the source of the odor problem.

Sewer Problem: A few problems that result from the blockage of a sewer system: Overflowing
manholes, septic wastewater, flooded basements and buildings but not increased annual flows.
An air seal will form; causing odor problems that could be expected in a sewer line that enters a
larger sewer line below the water level.

Smoke Testing: A method used to detect any water other than wastewater entering the sewer
system. This water could be coming from roof leaders, cross connections between the wastewater
and stormwater systems, cleanouts, driveway and yard drains, damage to the wastewater system,
loose joints in the wastewater pipes, etc. When smoke testing a line, a non-toxic smoke bombs
should be used.

Thermal overload: The greatest cause of failure in an electric motor. A thermal overload relay
is a small electromechanical device that protects motors from overheating. These relays help to
control the electrical current that goes to the motor to prevent it from overheating.

Time-delay fuse: The recommended type of fuse to use in the circuit leading to the electric
motor.

Trench: Is a type of excavation or depression in the ground that is generally deeper than it is
wide (as opposed to a wider gully, or ditch), and narrow compared with its length (as opposed to
a simple hole).

Trench Safety: If a trench is more than five feet deep the spoil must be placed at least 2 feet
from the trench and only on one side of the trench.12 inches is the minimum compaction height
of backfill when laying piping in Class A or Class B bedding. Subsidence of ground and/or
adjacent structures could possibly happen when groundwater is removed from a construction
site or trench. The maximum depth of the cut below the bottom of a shield when used for earth
excavation: Earth excavation to a depth of 2 ft (0.61 m) below the shield is permitted, but only if
the shield is designed to resist the forces calculated for the full depth of the trench. The
definition of a “trench” excavation is a narrow excavation (in relation to its length) made below
the surface of the ground.

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Collection References
Water Resource Center
U.S. EPA
Mail Code RC-41OO
401 M Street, S.W.
Washington, D.C. 20460
Telephone: (202) 260-7786
Fax: (202) 260-0386
Internet: waterpubs@epamail.epa.gov

National Small Flows Clearinghouse

West Virginia University
Post Office Box 6064
Morgantown, WV 26506
Telephone: (800) 624-8301
Fax: (304) 293-3161
Internet: http://www.nsfc.wvu.edu
National Center for Environmental
Publications and Information (NCEPI)
11029 Kenwood Road
Building #5
Cincinnati, OH 45242
Telephone: (513) 489-8190 or (800) 490-9198

FOR MORE SPECIFIC INFORMATION

ABOUT WASTEWATER PROGRAMS:
Office of Wastewater Management
(OWM)
U.S. EPA
Mail Code 4201
401 M Street, S. W.
Washington, D.C. 20460
Internet: http://www.epa.gov/owm/

FOR GENERAL INFORMATION ABOUT THE U.S. EPA:

EPA Information Resources Center
U.S. EPA
Mail Code 3404
401 M Street, S. W.
Washington, D. C. 20460
Telephone: (202) 260-5922
Fax: (202) 260-6257

References
29 CFR 1926, Subpart P. Excavations.
Construction Safety Association of Ontario. Trenching Safety. 74 Victoria St., Toronto, Ontario,
Canada M5C2A5.

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International Labour Office (ILO). Building Work: A Compendium of Occupational Safety and
Health Practice. International Occupational Safety and Health Information Centre (CIS): ILO,
Geneva, Switzerland.
National Safety Council. Accident Prevention Manual for Industrial Operations, Engineering and
Technology, 9th ed., Chicago, IL: National Safety Council.
National Safety Council. Protecting Worker's Lives: A Safety and Health Guide for Unions.
Chicago, IL: National Safety Council.
National Safety Council. Industrial Data Sheets: I-482, General Excavation, and I-254, Trench
Excavation, Chicago, IL: National Safety Council.
National Utility Contractors Association, Competent Person Manual-1991.
NBS/NIOSH, Development of Draft Construction Safety Standards for Excavations. Volume I,
April 1983. NIOSH 83-103, Pub. No. 84-100-569. Volume II, April 1983. NIOSH 83-2693, Pub.
No. 83-233-353.
Scardino, A.J., Jr. 1993. Hazard Identification and Control--Trench Excavation. Lagrange, TX:
Carlton Press.
National Institute for Occupational Safety and Health, Criteria for a Recommended Standard,
Working in Confined Spaces. DHEW (NIOSH) Publication No. 80-106, December 1979.
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Occupational Exposure to Carbon Monoxide, HSM Publication 73-11000, 1972.
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National Institute for Occupational Safety and Health, A Guide to Safety in Confined Spaces.
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American National Standards Institute, Inc. (ANSI), Safety Requirements for Confined Spaces,
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National Fire Protection Association (NFPA), Fire Department Self-Contained Breathing
Apparatus Program, NFPA 1404, 3-1, 1989.
National Fire Protection Association, (NFPA), Fire Department Occupational Safety and Health
Program, NFPA 1500, 3-1, 1987.

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Course References
Other EPA Fact Sheets can be found at the following web address: ttp://www.epa.gov/

1. ADS Environmental Services, 1998. “Sewer Evaluation Services.” Internet site at

[http://www.adsenv.com/what_we_do services-syeval.html], accessed June, 1998.
2. Arbour, R. and K. Kerri, 1997. Collection Systems: Methods for Evaluating and Improving Performance. Prepared
for the EPA Office of Wastewater Management by the California State University, Sacramento, CA.
3. Black & Veatch, 1998. Optimization of Collection System Maintenance Frequencies and System Performance.
Prepared for the EPA Office of Wastewater Management under a cooperative agreement with American Society of Civil
Engineers.
4. Coe, C.D., K. Fu, and M.G. Wade, 1997. “Sewer Cleaning as a Diagnostic Tool,” In Collection Systems Rehabilitation
and O&M: Solving Today’s Problems and Meeting Tomorrow’s Needs, pp.12:27-12:32.
5. Fairfax County, Virginia, 1998. I. Khan, Director, Line Maintenance Division, Department of Public Works &
Environmental Services, Fairfax County, Virginia, personal communication with
Parsons Engineering Science, Inc.
6. City of Fort Worth, Texas, 1998. C. Hanson, Superintendent, City of Fort Worth, Texas, personal communication
with Parsons Engineering Science.
7. Grande, Novac & Associates, Inc., 1998. “Flushing Device for Retention Tanks and Sewers.” Internet site at
[http://www.gnainc.com/self.html], accessed May 1998.
8. Hagekhalil, A.; J. Carabantes, D. Marske, K.Runzer, and D. Parikh, 1997. “The City of Los Angeles’ Primary Sewer
Condition Assessment Program,” In Collection Systems Rehabilitation and O&M: Solving Today’s Problems and
Meeting Tomorrow’s Needs, pp. 8:27-8:38.
9. Hardin, D. and C. Messer, 1997. “Old Data and New Tools-Maintaining the Sewers That Need It.” Proceedings of
the Water Environment Federation Conference on Collection Systems Rehabilitation and O&M Specialty.
10. KA-TE, 1998. “The KA-TE Cutter.” Internet site at [http://www.nodig.com/ka=te/kt-03.htm], accessed 1998.
11. Kerri, K.D. and J. Brady, 1993. Operation and Maintenance of Wastewater Collection Systems, Volume 1. Prepared
for the EPA Office of Water Program Operations by the California State University, Sacramento, CA.
12. City of Los Angeles, 1998. B. Bergren, Manager, Public Works Sanitation and Wastewater Collections System
Division, City of Los Angeles, personal communication with Parsons Engineering Science Inc.
13. City of Los Angeles, 1998. Wastewater Collection System Operation, Maintenance, and Management.
14. May, J., D. Harding, G. Rames, and R. Nelson, 1996. “Using Maintenance Frequencies To Set, Plan, and Schedule
I/I Control and Maintenance Activities,” In Collection System Symposium: Maintenance Management, pp.483-494.
15. Nelson, R.E., P. Hsiung, and A. Witt, 1998. Optimization of Collection System Maintenance Frequencies and
System Performance. Prepared for the EPA Office of Wastewater Management by the American Society of Civil
Engineers and Black & Veatch.
16. Patrick, R., J. Rompala, A. Symkowski, W. Kingdom, R. Serpente, and N. For more information contact: Municipal
Technology Branch U.S. EPA Mail Code 4204 401 M St., S.W.
Washington, D.C., 20460 Freemn,1997. Benchmarking Wastewater Operations-Collection, Treatment, and Biosolids
Management. Water Environment Research Foundation.
17. Pisano, W. N. Grande, and G. Novac, 1997. “Automated Sewer Flushing Large Diameter Sewers,” In Collection
Systems Rehabilitation and O&M: Solving Today’s Problems and Meeting Tomorrow’s Needs. pp. 12:9-12:20.
18. Price, T.O., 1997. “Investigation of Corrosion, Debris and Deformation in Large Diameter Pipes Using the Sonic
Caliper,” In Collection Systems Rehabilitation and O&M: Solving Today’s Problems and Meeting Tomorrow’s Needs,
pp.14:1-14:7.
19. Reid, S., G. Irwin, G.E. Knott, and D. Singleterry, 1997. “Optimizing Large Diameter Inspections,” In Collection
Systems Rehabilitation and O&M: Solving Today’s Problems and Meeting Tomorrow’s Needs, pp. 8:39-8:48.
20. Sharon, J. D., 1989. Combined Sewer Overflow Pollution Abatement: Manual of Practice No. FD17. Prepared for
the Water Pollution Control Federation by the Task Force on CSO Pollution Abatement.
21. Thomas, D. H. and T.W. Trybus, 1995. Collection Structural Integrity Better Understood Through Visualization
Provided With Desktop Mapping.
22. UEMSI®, 1998.“The Predator®.” Internet site at [http://www.uemsi.com/predator.htm], accessed 1998.
23. Water Environment Research Foundation (WERF), 1997. Benchmarking Wastewater Operations - Collection,
Treatment, and Biosolids Management. Project 96-CTS-5.
24. Casada, Don. Pump Optimization for Changing Needs. Operations Forum. Vol. 9, No. 5, 14-18, May 1998.
25. Cavalieri R.R. and G. L. Devin. Pitfalls in Wet Weather Pumped Facilities Design. In Proceedings of the Water
Environment Federation, 71st Annual Conference, Orlando, Florida, Vol. 2, 719-729, October
1998.
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68th Annual Conference, Miami Beach, Florida, Vol. 3, 187-196, October 1995.
27. Graham B, J., Pinto T.G., and T. Southard. Backyard Pumping Stations – The Low-pressure
Grinder Systems That Call Old Septic Tanks Home. Operations Forum, Vol. 10, No. 5, 25-29, May 1993.

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28. Jackson J. K. Variable Speed Pumping Brings Efficiency to Pump Systems. Operations Forum, Vol. 13, No. 5, 21-
24, May 1996.
28. James M. Montgomery Consulting Engineers, 1988. “Sewerage System Preliminary Cost Estimating Curves.”
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1995.
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Inc., 1994.
35. Russell Edward. Screw-Pump Preservation. Operations Forum, Vol. 9, No. 5, 18-19, May 1992.
For more information contact: Municipal Technology Branch U.S. EPA
36. Sanks R. L., Tchobanoglous G., Newton D., Bosserman, B.E., and Jones, G. M. Pump Station Design, Butterworths,
Boston, 1998.
37. Schneller T. M. Pumping it Up? Practical Means for Evaluating Lift Station Fitness. In Proceedings of the Water
Environment Federation, 68th Annual Conference, Miami Beach, Florida, Vol. 3, 155-166 October
1995.
38. Smith E. C. Don’t Lose the Pump Efficiency Game. Operations Forum, Vol.11, No. 7, 18-21, July 1994.
39. U.S. Environmental Protection Agency. Design Manual. Odor and Corrosion Control in Sanitary Sewerage Systems
and Treatment Plants. EPA/625/1-85/018, October 1985.
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41. Water Environment Federation. Operations and Maintenance of Wastewater Collection Systems. Manual of
Practice No. 7, 1985.
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14-16, October 1994.

Additional Information
California State University, Sacramento
Ken Kerri
6000 J Street
Sacramento, California 95819

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We welcome you to complete the assignment in Microsoft Word. You can easily find the
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