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Contributing Factors to Disease Outbreaks

Associated with Untreated Groundwater


by Erika K. Wallender1,2 , Elizabeth C. Ailes2,3 , Jonathan S. Yoder2 , Virginia A. Roberts2 , and
Joan M. Brunkard2,4

Abstract
Disease outbreaks associated with drinking water drawn from untreated groundwater sources represent a substantial proportion
(30.3%) of the 818 drinking water outbreaks reported to CDC’s Waterborne Disease and Outbreak Surveillance System (WBDOSS)
during 1971 to 2008. The objectives of this study were to identify underlying contributing factors, suggest improvements for data
collection during outbreaks, and inform outbreak prevention efforts. Two researchers independently reviewed all qualifying outbreak
reports (1971 to 2008), assigned contributing factors and abstracted additional information (e.g., cases, etiology, and water system
attributes). The 248 outbreaks resulted in at least 23,478 cases of illness, 390 hospitalizations, and 13 deaths. The majority of
outbreaks had an unidentified etiology (n = 135, 54.4%). When identified, the primary etiologies were hepatitis A virus (n = 21,
8.5%), Shigella spp. (n = 20, 8.1%), and Giardia intestinalis (n = 14, 5.7%). Among the 172 (69.4%) outbreaks with contributing
factor data available, the leading contamination sources included human sewage (n = 57, 33.1%), animal contamination (n = 16,
9.3%), and contamination entering via the distribution system (n = 12, 7.0%). Groundwater contamination was most often facilitated
by improper design, maintenance or location of the water source or nearby waste water disposal system (i.e., septic tank; n = 116,
67.4%). Other contributing factors included rapid pathogen transport through hydrogeologic formations (e.g., karst limestone;
n = 45, 26.2%) and preceding heavy rainfall or flooding (n = 36, 20.9%). This analysis underscores the importance of identifying
untreated groundwater system vulnerabilities through frequent inspection and routine maintenance, as recommended by protective
regulations such as Environmental Protection Agency’s (EPA’s) Groundwater Rule, and the need for special consideration of the local
hydrogeology.

Introduction Disease and Outbreak Surveillance System (WBDOSS)


Disease outbreaks5
associated with drinking water during 1971 to 2008, 30.3% (n = 248) were assigned an
from untreated6 groundwater sources remain a public untreated groundwater deficiency (Craun et al. 2010). In
health problem in the United States. Of the 818 drinking addition, although the proportion of drinking water out-
water outbreaks reported to CDC through the Waterborne breaks associated with untreated and improperly treated
surface water sources has decreased significantly over
time, the proportion of untreated groundwater-associated
1
The CDC Experience Applied Epidemiology Fellowship, outbreaks has not changed significantly, indicating that
Scientific Education and Professional Development Program Office, greater prevention efforts are needed (Craun et al. 2010).
Centers for Disease Control and Prevention, Atlanta, GA 30333.
2
Division of Foodborne, Waterborne, and Environmental In the United States, an estimated 114 million people
Diseases, National Center for Emerging and Zoonotic Infectious receive their drinking water from public water systems
Diseases, Centers for Disease Control and Prevention, Atlanta, GA that use a groundwater source, and approximately 20 mil-
30333. lion people drink from public groundwater systems that
3 IHRC, Atlanta, GA 30333.
4
Corresponding author: Centers for Disease Control and have not received any disinfecting treatment (Environ-
Prevention, Mailstop C-09, 1600 Clifton Road NE, Atlanta, GA mental Protection Agency 2009). Furthermore, approxi-
30333; (404) 718-4892; jbrunkard@cdc.gov mately 15.8 million private well systems serving one to
Received March 2013, accepted August 2013. five housing units exist in the United States, the majority
5
A disease outbreak associated with drinking water is the of which are untreated and not subject to regulation by
acute illness, either infectious or from toxic chemical ingestion, of U.S. Environmental Protection Agency (EPA) under the
≥2 individuals which can be epidemiologically linked to drinking
from a contaminated drinking water source. Safe Drinking Water Act (U.S. Congress 1974; U.S. Cen-
6 No disinfection or other treatment prior to consumption. sus Bureau Housing and Household Economic Statistics
Published 2013. This article is a U.S. Government work and is Division 2009).
in the public domain in the USA. Untreated groundwater is considered a safer water
doi: 10.1111/gwat.12121 source than untreated surface water or groundwater

886 Vol. 52, No. 6–Groundwater–November-December 2014 (pages 886–897) NGWA.org


under the direct influence of surface water (GWUDI)7 Disease outbreaks were defined as acute illness,
because infiltration through the porous overburden may caused by infectious pathogens or chemicals (i.e.,
attenuate contaminants and also allow for naturally following short-term exposure to naturally occurring
occurring soil bacteria to degrade pathogenic organisms or manufactured chemicals or toxins),8 affecting two
or other pathogens (Schmoll et al. 2006). However, or more persons epidemiologically linked to drink-
geologic and environmental conditions as well as land ing water from an untreated groundwater source. Two
use can lead to groundwater contamination. Previous researchers independently abstracted information from all
studies have documented several examples of groundwater outbreak reports. Data sources included biannual MMWR
contamination leading to disease outbreaks, including: Surveillance Summaries, and when available, WBDOSS
damage to a well structure, such as a cracked casing report forms, supplemental documents, and publications
(Dworkin et al. 1996); close proximity to a contaminant describing the outbreak. Abstracted information included:
source, such as a poorly constructed septic system or number of cases,9 hospitalizations, and deaths; type of
surface water source (Beller et al. 1997; Olsen et al. water source (well or spring) and water system (commu-
2002); contamination by animal feces or manure piles nity, noncommunity, or private10 ; Environmental Protec-
(Clark et al. 2003); and highly vulnerable hydrogeologic tion Agency 2009); outbreak etiology; use and type of any
formations (O’Reilly et al. 2007; Borchardt et al. 2011). routine or outbreak-related environmental testing; result-
For our review, we call risk factors for groundwater source ing remediation recommendations and efforts taken after
contamination “contributing factors.” the outbreak; and contributing factors.
A better understanding of the diverse circumstances Contributing factors were developed based on the
leading to groundwater contamination and disease out- WBDOSS reporting form (first created in 1975, with six
breaks is essential to inform prevention efforts, guide subsequent revisions from 1975 to 2003),11 supplemen-
updates and revisions to WBDOSS, and suggest evidence- tal information from states, literature review, and expert
based improvements for data collection during outbreaks. opinion from CDC and EPA. Contributing factors were
To expand our current understanding, we analyzed the defined as the structural weaknesses, environmental char-
contributing factors to all drinking water outbreaks associ- acteristics, or events that facilitated contamination of the
ated with untreated groundwater sources reported to CDC untreated groundwater source. To accommodate the wide
through WBDOSS during 1971 to 2008. variety of data sources available for each outbreak, a level
of evidence (documented or suspected ), was assigned to
each contributing factor. Documented contributing factors
Methods were those factors identified by the state or reporting juris-
diction as responsible for the outbreak. Suspected con-
To be classified as untreated groundwater, source
tributing factors were those that were not designated by
water treatment methods (e.g., chlorination, filtration)
states or jurisdictions, but for which the reviewers found
were not in place at the time of the outbreak. A drink-
evidence for the contributing factor in the outbreak report
ing water outbreak assigned an untreated groundwater
or supporting documentation.
deficiency was defined as an outbreak “occurring due
In addition to analyzing the contributing factors inde-
to contamination of drinking water before it enters the
pendently, we sought to categorize outbreaks according
distribution system, in a water system where untreated
to mutually exclusive categories to further elucidate the
groundwater is intended for drinking” (Craun et al. 2010).
sources or pathways of contamination that resulted in the
This review only included outbreaks with an untreated
outbreaks. We developed six “source of contamination”
groundwater deficiency; outbreaks that occurred in sys-
categories: human sewage, animal activities or manure,
tems that used untreated groundwater as their source,
but that had previously been assigned deficiencies result-
ing solely from other components of the system (e.g., 8
Health effects (e.g., cancer) associated with long-term
the distribution system, premise plumbing) were excluded exposure to chemicals in water are not included in WBDOSS.
9
(Craun et al. 2010). However, if an outbreak had an When available, an ‘‘estimated case count’’ was used as
the number of cases. Investigators usually calculated the estimate
untreated groundwater deficiency and another deficiency by applying the attack rate to the at-risk population. When not
(e.g., a distribution system deficiency), it was included in available, the ‘‘actual case count’’ was defined as the sum of
the analysis. laboratory confirmed cases and probable cases reported by the
state.
10
Community systems are publicly or privately owned water
7 GWUDI water sources are ‘‘any water beneath the surface systems with at least 15 service connections or use by the same
of the ground with: (1) significant occurrence of insects or 25 persons for the entire year. Noncommunity systems are also
other macroorganisms, algae, organic debris, or large-diameter publicly or privately owned water systems that serve at least 15
pathogens such as Giardia intestinalis or Cryptosporidium; or (2b) service connections or 25 people either transiently or for less than
significant and relatively rapid shifts in water characteristics 365 days per year. Private water systems are those that serve less
such as turbidity, temperature, conductivity, or pH which than 15 service connections or 25 people and are not regulated by
closely correlate to climatological or surface water conditions.’’ the federal government.
11
The specific criteria used to satisfy the above criteria are To view different versions of the WBDOSS reporting form,
determined by the state (Environmental Protection Agency http://www.cdc.gov/healthywater/statistics/wbdoss/nors/forms_
2011). archive.html

NGWA.org E.K. Wallender et al. Groundwater 52, no. 6: 886–897 887


distribution system, surface water influence (GWUDI),
multiple sources, and other sources of contamination
(either single or multiple). We stratified the sources of
contamination by the remaining contributing factors (e.g.,
design or maintenance of source water or septic systems,
preceding heavy rainfall or flooding, vulnerable hydroge-
ology, distribution system issues, or other less common
contributing factors).
Several outbreaks had previously been assigned more
than one deficiency (e.g., both an untreated groundwa-
ter deficiency and another deficiency; Craun et al. 2010). Figure 1. Number of untreated groundwater outbreaks by
The majority of outbreaks with multiple deficiencies had state—United States, 1971 to 2008 (n = 247a )b . a One multi-
an untreated groundwater deficiency and a distribution state outbreak involving 10 states is not shown here and
system deficiency. We therefore reviewed all untreated involved a private spring water source and bottled water.
b These numbers are largely dependent on reporting and
groundwater outbreaks for distribution system deficien-
surveillance activities in individual states, and do not
cies or distribution system contributing factors. For an necessarily indicate the true incidence of waterborne disease
outbreak to be assigned both a distribution system and an outbreaks in a given state.
untreated groundwater deficiency, the outbreak report had
to document that contamination of the untreated ground-
water source occurred either following contaminant entry were reported in all years except 1997 and 2005. The
via the distribution system (e.g., cross-contamination with outbreaks resulted in at least 23,478 cases of illness, 390
a waste water system or backflow) or that the untreated hospitalizations, and 13 deaths (Table 1). The majority
groundwater source was contaminated concurrently with of outbreaks (n = 135, 54.4%) and cases (n = 13,848,
the distribution system. In these cases, both the distribu- 59.0%) had an unidentified etiology. Bacteria were
tion system and contamination of an untreated groundwa- the most frequently-reported etiology (n = 50, 20.2%),
ter source were linked to cases of illness. followed by viruses (n = 32, 12.9%), parasites (n = 18,
®
Data were entered into a Microsoft Access database 7.3%), and chemicals (n = 8, 3.2%; Table 1).
and analyzed using Statistical Analysis Systems software
®
(SAS ; SAS Institute Inc. 2008; Microsoft Office 2010). Water System, Location, and Source
Descriptive statistics such as chi-square tests were used The majority of outbreaks and cases were associated
to assess differences in frequencies of variables. Where with public water systems, specifically noncommunity
counts were less than five in any cell, we used a Monte water systems. Although private water systems accounted
Carlo simulation of Fisher’s exact test to assess differ- for close to 25% of outbreaks, they contributed less than
ences between proportions (Agresti et al. 1979). In order 5% of all cases. Camps, cabins or recreational areas (non-
to examine whether there was any trend in the proportion community systems) were the most frequently identified
of untreated groundwater outbreaks reported from 1971 outbreak settings (n = 68, 27.4; Figure 3). Wells were
to 2008, we used the Cochran-Armitage test for trend. the water source for most outbreaks (n = 213, 85.9%);
followed by springs in 31 (12.5%) outbreaks, and com-
bined well and spring systems in four (1.6%) outbreaks.
Results Most (n = 132, 53.2%) outbreaks occurred in the summer
months (June, July, and August) and a large proportion
Outbreaks Associated with Untreated Groundwater (n = 92/132, 69.7%) of this summer increase was due to
Among the 818 drinking water outbreaks reported outbreaks in noncommunity water systems (Figure 4).
to CDC during 1971 to 2008, 248 (30.3%) were
assigned an untreated groundwater deficiency. Data were Water Testing
abstracted from the following sources: biannual MMWR Microbiological water testing was conducted in at
Surveillance Summaries (n = 248, 100%), WBDOSS least 184 (74.2%) outbreaks. Of these 184 outbreaks,
report forms (n = 147, 59.3%), supplemental documents total coliform testing was reported most frequently
(n = 152, 61.3%), and outbreak-specific publications (n = 143, 77.7%), followed by fecal coliform testing
(n = 28, 11.3%). An MMWR Surveillance Summary (n = 92, 50.0%), testing for outbreak etiology in the water
report was the only data source for 35 outbreaks (14.1%). source (n = 38, 20.7%), and testing for the presence of
Escherichia coli (n = 29, 15.8%; Table 2).
Outbreak Characteristics Microscopic particulate analysis (MPA) testing,
The 248 untreated groundwater outbreaks were which is recommended by EPA for detecting GWUDI
reported from 44 states (Figure 1). The annual pro- sources, was reported for only three (1.2%) outbreaks,
portion of waterborne disease outbreaks with untreated all of which occurred after 2000 (Table 2). Dye testing,
groundwater deficiencies reported to WBDOSS did which detects connections between a contamination
not change significantly during 1971 to 2008 (Figure source and the source water, was used to help identify
2; p-value > 0.05); untreated groundwater outbreaks contributing factors in 23 (9.3%) outbreaks. In total, 14

888 E.K. Wallender et al. Groundwater 52, no. 6: 886–897 NGWA.org


16 60%

Percent of All Drinking Water - Associated


Number of Untreated Ground Water
14

Outbreaks Reported to WBDOSSb


50%
12
40%
10

Outbreaksa
8 30%

6
20%
4
10%
2

0 0%
1971
1973
1975
1977
1979
1981
1983
1985
1987
1989
1991
1993
1995
1997
1999
2001
2003
2005
2007
Year

Figure 2. Untreated groundwater outbreaks by year—United States, 1971 to 2008 (n = 248). a Displayed as histogram.
b
Displayed as black line, P for trend >0.05.

Table 1
Etiologies of Untreated Groundwater Outbreaks—United States 1971 to 2008 (n = 248)

Etiology No. Outbreaks (%) No. Cases (%) No. Hospitalizations (%) No. Deaths (%)

Bacteria 50 (20.2%) 5,102 (21.7%) 289 (74.1%) 2 (15.4%)


Shigella 20 (8.1%) 1,620 (6.9%) 228 (58.4%) 0
Campylobacter 13 (5.2%) 308 (1.3%) 8 (2.1%) 0
Salmonella 8 (3.2%) 101 (0.4%) 11 (2.8%) 0
Escherichia coli 5 (2.0%) 174 (0.7%) 27 (6.9%) 0
Yersinia 1 (0.4%) 2 (0.0%) 0 0
Providencia 1 (0.4%) 55 (0.2%) 0 0
Multiple bacteria1 2 (0.8%) 2,842 (12.1%) 15 (3.8%) 2 (15.4%)
Viruses 32 (12.9%) 2,190 (9.3%) 25 (6.4%) 0
Hepatitis A virus 21 (8.5%) 574 (2.4%) 22 (5.6%) 0
Norovirus 11 (4.4%) 1,616 (6.9%) 3 (0.8%) 0
Parasites 18 (7.3%) 387 (1.6%) 6 (1.5%) 2 (15.4%)
Giardia intestinalis 14 (5.6%) 240 (1.0%) 1 (0.3%) 0
Entamoeba histolytica 1 (0.4%) 4 (0.0%) 1 (0.3%) 0
Naegleria fowleri 1 (0.4%) 2 (0.0%) 2 (0.5%) 2 (15.4%)
Multiple parasites2 2 (0.8%) 141 (0.6%) 2 (0.5%) 0
Chemicals3 8 (3.2%) 121 (0.5%) 2 (0.5%) 0
Multiple etiologies4 5 (2.0%) 1,830 (7.8%) 28 (7.2%) 0
Unidentified etiology 135 (54.4%) 13,848 (59.0%) 40 (10.3%) 9 (69.2%)
Total 248 23,478 390 13

1 Multiple bacteria indicates more than one genus of bacteria isolated from stool samples (i.e., Campylobacter jejuni and Plesiomonas shigelloides; E. coli O157:H7
and Campylobacter jejuni ).
2 Multiple parasites indicates more than one genus of parasite isolated from stool samples (i.e., Cryptosporidium parvum and Giardia intestinalis).
3 Arsenic, nitrate, phenol, and trichlorethylene.
4 Multiple etiologies is defined as more than one class of etiology isolated from stool samples (i.e., Campylobacter jejuni , Entamoeba spp and Giardia spp;
Campylobacter jejuni , norovirus, and Giardia intestinalis; Campylobacter jejuni and norovirus; Campylobacter jejuni , Salmonella spp, and norovirus; hepatitis A
virus and an unidentified agent).

(60.9%) of these dye tests demonstrated a connection identified: 413 (89.8%) contributing factors were docu-
from a source of contamination to water used for mented and 47 (10.2%) were suspected. One hundred
drinking. Thirty-two (12.9%) outbreaks reported results thirty-one (76.2%) outbreaks had more than one contribut-
from historic compliance water sampling. ing factor, with a median of two contributing factors per
outbreak (range: 1 to 9).
Contributing Factors Improper design, maintenance or location of the water
Among the 172 (69.4%) outbreaks with available source or septic system (n = 116/172, 67.4%) was the
contributing factor data, 460 contributing factors were most frequently described contributing factor to outbreaks

NGWA.org E.K. Wallender et al. Groundwater 52, no. 6: 886–897 889


Unknown the most frequently identified type of geologic formation
(n=7, 2.8%)
(n = 15/45, 33.3%; Table 3).
Othera
GWUDI was found to be a contributing factor in
Hotel, Motel, (n=26, 10.5%) Camp, Cabin, 18 (10.5%) of the 172 outbreaks. Only three (16.7%)
Lodge, Inn, or or of the outbreaks with GWUDI contributing factors were
Resort Recreational
(n=23, 9.3%) Area reclassified from groundwater to GWUDI based on state
(n=68, 27.4%) or local regulations; however, GWUDI was suspected by
Restaurant or outbreak investigators or reviewers in an additional 15
Cafeteria (83.3%) outbreaks. Wells were the source water in 15
(n=31, 12.5%) Private
Residence (83.3%) GWUDI-associated outbreaks; springs were the
Community or (n=53, 21.4%) source in two (11.1%) outbreaks; and a well and spring
Municipality were the source in one (5.6%) outbreak.
(n=40, 16.1%)
If an untreated groundwater source was contaminated
by a pathogen entering from the distribution system (e.g.,
cross-connection with wastewater disposal or backflow) or
Figure 3. Setting of exposure for untreated groundwater contamination of the groundwater source and distribution
outbreaks—United States, 1971 to 2008 (n = 248). a Other
system occurred concurrently, the outbreak was assigned
settings included childcare daycare center, church or other
place of worship, a club requiring membership, factory a distribution system deficiency. Seven (2.8%) outbreaks
or industrial facility, golf course, hall or meeting facility, were assigned both an untreated groundwater and a
indoor place of work office, amusement park, school, distribution system deficiency. In addition, 25 (10.1%)
college or university, school, college or university and a outbreaks did not meet the distribution system deficiency
church or other place of worship, sports complex, store, criteria,12 but had at least one distribution system
park and community municipal, church or other place of
worship and individual residence, restaurant or cafeteria contributing factor (Table 3).
and camp, cabin or recreational area and tourist attraction,
and temporary event or festival fair. Sources of Contamination
Using the source of contamination framework, human
sewage was the single contamination source for 57
(33.1%) outbreaks, followed by animal contamination
(n = 16, 9.3%), the distribution system (n = 12, 7.0%) and
surface water influence (n = 8, 4.7%; Table 4). Twenty-
six (15.1%) outbreaks resulted from multiple sources of
contamination and 53 (30.8%) outbreaks did not fall
within a major source of contamination category.
When outbreak etiology was examined by source
of contamination, the proportion of outbreaks with an
unidentified etiology ranged from 31.3% (n = 5) for
outbreaks associated with animal contamination to 68.4%
(n = 13) for outbreaks with multiple other sources of
contamination (Table 5). Bacteria were implicated in
half (n = 8, 50.0%) of all outbreaks resulting from
animal contamination, the highest proportion across all
sources of contamination. Viruses were implicated in 15
(26.3%) outbreaks involving sewage contamination and
underground seepage of sewage comprised the majority
(n = 12, 80%) of these sewage-associated viral outbreaks.
Figure 4. Untreated groundwater outbreaks by month and Most (n = 4, 80.0%) of the five outbreaks with mixed
water system type—United States, 1971 to 2008 (n = 247a ). etiologies were associated with sewage contamination
a
Month unavailable for one outbreak that occurred in an (Table 5).
individual system. b Includes community and individual;
noncommunity and individual; and noncommunity and
bottled.
Remediation Efforts
Information about remediation efforts and recom-
mendations to improve the quality of drinking water
(Table 3). Human sewage, an original WBDOSS con-
tributing factor, was the second most commonly identi- 12 For an outbreak to be classified as a distribution system

fied contributing factor (n = 73, 42.4%), with underground deficiency, evidence must be present that the distribution system
seepage of sewage most likely to contribute to the human led directly to cases of illness during the outbreak as assessed
by the review committee. When the evidence implicating the
sewage-associated outbreaks (n = 44/73, 60.3%). Vulner- distribution system did not reach the level necessary for deficiency
able hydrogeologic formations (e.g., karst) contributed classification, but was still indicated by investigators as involved, a
to 45 (26.2%) outbreaks; limestone hydrogeology was distribution system contributing factor was assigned.

890 E.K. Wallender et al. Groundwater 52, no. 6: 886–897 NGWA.org


Table 2
Environmental Testing Reported for Untreated Groundwater Outbreaks, by Water System Type—United
States 1971 to 2008 (n = 248)

Public Water Private Water Mixed Water


Systems Systems Systems Total
Reporting Positive Reporting Positive Reporting Positive Reporting Positive
Test (%)1 Test (%)2 Test (%)1 Test (%)2 Test (%)1 Test (%)2 Test (%)1 Test (%)2

Test conducted 133 (71.9%) 128 (96.2%) 48 (80.0%) 47 (97.9%) 3 (100%) 3 (100%) 184 (74.2%) 178 (96.7%)
Total coliform 109 (58.9%) 103 (94.5%) 33 (55.0%) 31 (93.9%) 1 (33.3%) 1 (100%) 143 (57.7%) 135 (94.4%)
Fecal coliform 70 (37.8%) 61 (87.1%) 22 (36.7%) 16 (72.7%) 0 (0%) n/a 92 (37.1%) 77 (83.7%)
Outbreak etiology3 20 (10.8%) 11 (55.0%) 15 (25.0%) 12 (80.0%) 3 (100%) 3 (100%) 38 (15.3%) 26 (68.4%)
Escherichia coli 20 (10.8%) 19 (95.0%) 7 (11.7%) 7 (100%) 2 (66.7%) 2 (100%) 29 (11.7%) 28 (96.6%)
Cryptosporidium or 5 (2.7%) 1 (20.0%) 1 (1.7%) 1 (100%) 1 (33.3%) 1 (100%) 7 (2.8%) 3 (42.9%)
Giardia
Microscopic 1 (0.5%) 1 (100%) 1 (1.7%) 1 (100%) 1 (33.3%) 0 (0.0%) 3 (1.2%) 2 (66.7%)
particulate analysis
testing
Surface water 2 (1.1%) 2 (100%) 1 (1.7%) 1 (100%) 0 (0%) n/a 3 (1.2%) 3 (100%)
organism testing
Other4 26 (14.1%) 25 (96.2%) 10 (16.7%) 8 (80.0%) 1 (33.3%) 1 (100%) 37 (14.9%) 34 (91.9%)
No test reported 52 (28.1%) 12 (20.0%) 0 (0%) 64 (25.8%)
Total outbreaks 185 60 47 3 3 248

1 Percentages were calculated based on the number of outbreaks with the testing type listed. Since multiple test types can be reported for a single outbreak, the
percentages listed sum to greater than 100%.
2 Percent of test type with positive results.
3 E. coli O157:H7, Hepatitis A, Campylobacter jejuni , Campylobacter spp., Norovirus, Shigella sonnei , Shigella spp., Salmonella typhi , arsenic, Giardia intestinalis,
Naegleria fowleri , nitrate, phenol, Salmonella Bareilly, Salmonella typhi , Salmonella I,4,[5],12:i:-, trichloroethylene.
4 Other tests results reported (e.g., fecal streptococci, nitrates, Salmonella spp., Enterococcus faecium, Aeromonas hydrophila).

after the outbreak were available for 127 (51.2%) out- untreated groundwater-associated outbreak prevention
breaks (data not shown). Among these 127 outbreaks, efforts.
initiation of continuous water source treatment (n = 45,
35.4%), construction of a new water source (n = 36, Water Source and Septic System Location
28.3%), and decommissioning the water source (n = 31, Siting of the untreated groundwater source and/or
24.4%) were the most commonly recommended inter- septic system was a leading contributing factor identified
ventions. Other measures undertaken or recommended in our review. Location-related contributing factors
in response to outbreaks included repairing the water resulted from both violations of minimum setback
source construction (n = 18, 14.2%), repairing or replac- distance regulations and water source location in poorly
ing sewer/septic systems (n = 12, 9.4%), superchlorina- protected areas subject to flooding or septic drainage.
tion or well decontamination (n = 12, 9.4%), connection Minimum setback distances vary by local jurisdiction
to a municipal water supply (n = 10, 7.9) or permanent (Environmental Protection Agency 2002), however, 50 to
closure of the establishment supplied by the water source 100 feet of separation is usually required (Placer County
(n = 10, 7.9%). Division of Environmental Health 2004; New Hampshire
Department of Environmental Services 2011; Tillamook
County Oregon 2011). Unfortunately, multiple outbreaks
Discussion described sewage sources located as close as 10 to 30 feet
During 1971 to 2008, untreated groundwater- from the water source. For example, an outbreak occurred
associated outbreaks comprised 30% of all drinking at an Alaskan restaurant where a wood-lined septic pit
water outbreaks reported to CDC and represented a was placed just 15 feet from the well (Beller et al. 1997).
substantial health burden (∼23,500 reported cases of Siting issues included a spring located directly down
illness). Our review identified the design, maintenance gradient from a surface water body (Olsen et al. 2002),
and/or location of the source water or nearby septic a well located in a depression allowing surface water to
systems as the leading contributors to groundwater enter via the well casing, a spring located downhill from
contamination (67%), followed by human sewage (42%), newly constructed septic systems, a well near flood-prone
and vulnerable hydrogeologic pathways (26%). Distri- cattle pastures, and a shallow well in close proximity to
bution systems were implicated in 19% of outbreaks, a hog husbandry operation.
highlighting the vulnerability of untreated groundwater However, outbreaks also occurred in otherwise
systems to distribution system issues. The key contribut- legally sited and protected water systems. For example,
ing factor findings present several targets to improve during an outbreak at a newly opened restaurant, dye

NGWA.org E.K. Wallender et al. Groundwater 52, no. 6: 886–897 891


Table 3
Contributing Factors for Untreated Groundwater Outbreaks—United States 1971 to 2008 (n = 1721)

No. Outbreaks No. Cases


Contributing Factor n (%)2 Median (Range) Total

Untreated groundwater contributing factors 169 (98.3%) 34 (2–2, 823) 19,149


Source water or septic system construction or location 116 (67.4%) 33.5 (2–2, 823) 14,363
Source water design and maintenance or location 83 (48.3%) 27 (2–1.450) 7,587
Source water design and maintenance 39 (22.7%) 33 (2–1, 450) 4,808
Source water location 26 (15.1%) 19 (2–230) 1,241
Other source water issue3 27 (15.7%) 18 (4–750) 1,955
Septic system design and maintenance or location 40 (23.3%) 39 (2–1, 450) 4,953
Septic system design and maintenance 30 (17.4%) 39 (4–1, 450) 4,065
Septic system location 5 (2.9%) 55 (12–220) 401
Other septic system issue3 8 (4.7%) 43 (2–384) 778
Source or septic location4 34 (19.8%) 33 (4–2, 823) 6,955
Sewage poisoning 73 (42.4%) 39 (4–2, 823) 11,444
Underground seepage of sewage 44 (25.6%) 45.5 (4–2, 823) 9,164
Overflow of sewage 13 (7.6%) 39 (11–89) 566
Other sewage poisoning4 16 (9.3%) 38.5 (5–390) 1,714
Vulnerable hydrogeology 45 (26.2%) 39 (5–2, 823) 8,821
Flooding, heavy rains 36 (20.9%) 39.5 (2–2, 823) 6,617
Contamination from wild or domestic animals5 26 (15.1%) 11 (2–1, 450) 3,081
Groundwater Under the Direct Influence of Surface Water (GWUDI) 18 (10.5%) 54 (2–1, 450) 2,572
Shallow well 16 (9.3%) 42.5 (2–2, 823) 4,284
High water table 6 (3.5%) 50.5 (5–350) 561
Other 34 (19.8%) 37.5 (2–2, 823) 6,330
Distribution system contributing factors 32 (18.6%) 39.5 (2–1, 450) 4,305
Cross-connection with nonpotable water 23 (13.4%) 43 (7–1, 450) 3,418
Contamination of storage facility 7 (4.1%) 40 (4–615) 886
Contamination of water mains during construction or repair 4 (2.3%) 26 (2–91) 145
Contamination in building/home 1 (0.6%) 2 (2–2) 2
Other 2 (1.2%) 24.5 (15–34) 49
No. of outbreaks with contributing factors 172

1 Contributing factors were not available for 76 outbreaks.


2 Percentages were calculated based on the number of outbreaks with at least one contributing factor available. Since multiple contributing factors can be reported
for a single outbreak, the percentages listed sum to greater than 100%.
3 Source water or septic system implicated as contributing factor, however, specific location or construction issue was not specified.
4 Sewage was implicated but route of contamination (above ground or underground) was unclear.
5 Domestic animals were associated with 15 (57.7%) outbreaks, wild animals for six (23.1%) and domestic and wild animals for one (3.8%); four (15.4%) outbreaks
did not specify the animal type. Specific animals included: cattle (n = 10, 38.5%), chickens (n = 3, 11.5%), rodents (n = 2, 7.7%), beavers (n = 2, 7.7%), pigs (n = 1,
3.8%), goats (n = 1, 3.8%), deer and elk (n = 1, 3.8%), and horses (n = 1, 3.8%).

testing revealed rapid transport of septic system effluent in outbreak prevention (Environmental Protection Agency
through karst hydrogeologic formations into the aquifer 2008).
supplying the well, leading to norovirus contamination
(Borchardt et al. 2011). Importantly, the well and sep- Water Source and Septic System Design and
tic systems complied with minimum setback distances Maintenance
and dug test pits predating the water source showed Water source or nearby septic system design and
sandy loam top soil that is favorable for septic sys- maintenance failures were identified as contributors
tem siting (Borchardt et al. 2011). In this review, more to 35% of untreated groundwater-associated outbreaks.
than 25% of outbreak reports mentioned the potential Some of these outbreaks occurred in systems built prior to
contribution of vulnerable hydrogeologic pathways to regulation development, and included system components
groundwater contamination. At locations with vulnera- such as well pits, hand dug shallow wells, or pit priv-
ble hydrogeology, adherence to traditional minimum set- ies. For example, one outbreak in Alaska resulted from
back distance and siting regulations may be insufficient to sewage entering the drinking water source after a clogged
prevent outbreaks associated with untreated groundwater sewage drainage pipe flooded a well pit and submerged
sources. Evaluating local hydrogeology prior to establish- the wellhead (Centers for Disease Control and Prevention
ing a groundwater source using hydrogeologic sensitiv- 1972). Construction and maintenance issues have been
ity assessments (HSA), and routine water source testing relevant contributing factors for outbreaks during all peri-
throughout the life of the water source are important tools ods of WBDOSS reporting. Water systems and nearby

892 E.K. Wallender et al. Groundwater 52, no. 6: 886–897 NGWA.org


Table 4
Sources of Contamination by Contributing Factors, Untreated Groundwater Outbreaks—United States,
1971 to 2008 (n = 1721)

Surface Single Multiple


Human Distribution Water Multiple Other Other
Contributing Sewage Animal System (GWUDI) Sources Contributing Contributing
Factor n (%)2 n (%)2 n (%)2 n (%)2 n (%)2 Factor n (%)2 Factors n (%)2

Location or 44 (77.2%) 12 (75.0%) 6 (50.0%) 5 (62.5%) 20 (76.9%) 13 (38.2%) 16 (84.2%)


construction of
septic system or
source water
Construction 28 (49.1%) 4 (25.0%) 5 (41.7%) 2 (25.0%) 8 (30.7%) 2 (5.9%) 12 (63.2%)
Location 30 (52.6%) 9 (56.3%) 1 (8.3%) 2 (25.0%) 10 (38.5%) 2 (5.9%) 8 (42.1%)
Other 12 (21.1%) 1 (6.3%) 1 (8.3%) 1 (12.5%) 5 (19.2%) 9 (26.5%) 3 (15.8%)
Vulnerable 25 (43.9%) 0 (0%) 2 (16.7%) 3 (37.5%) 7 (26.9%) 6 (17.7%) 2 (10.5%)
hydrogeology
Flooding, heavy rains 12 (21.1) 2 (12.5%) 2 (16.7%) 3 (37.5%) 6 (23.1%) 4 (11.8%) 7 (36.8%)
Other3 14 (24.6%) 4 (25.0%) 1 (8.3%) 3 (37.5%) 10 (38.5%) 11 (32.4%) 8 (42.1%)
No other contributing 3 (5.3%) 2 (12.5%) 3 (25.0%) 0 (0%) 3 (11.5%) 0 (0%) 0 (0%)
factors
Total 57 16 12 8 26 34 19

1 Contributing factors were not available for 76 outbreaks.


2 Percentages were calculated based on the number of outbreaks with at least one contributing factor available. Since multiple contributing factors can be reported
for a single outbreak, the percentages listed sum to greater than 100%.
3 Other untreated groundwater contributing factors include: shallow well, high water table, and other.

infrastructure (e.g., septic systems, distribution lines, or example, standing water from a vacant house’s poorly
irrigation systems) may be used for decades and must be designed distribution system (e.g., blind-ended pipes)
maintained to prevent outbreaks. In one Washington out- was backsiphoned into a well, leading to an outbreak of
break, contaminated water accumulated around a wellhead chronic diarrhea among 72 restaurant patrons, including
following damage to a nearby irrigation system which nine who required hospitalization (Parsonnet et al. 1989).
utilized treated wastewater. The wastewater entered the Finding such a large proportion of outbreaks with distri-
water source via the well’s rusted casing, sickening 134 bution system contributing factors or deficiencies suggests
people with Giardia or Cryptosporidium and hospitalizing that testing for distribution system vulnerabilities, such as
one person (Dworkin et al. 1996). cross-connections, may be necessary to fully understand
Properly constructed and maintained water sources the source of groundwater contamination. Additionally,
are also at risk for contamination from nearby septic sys- for untreated groundwater outbreaks with a distribution
tems that have construction or maintenance issues. Septic system contributing factor, remediation efforts focused
system insufficiencies observed in this review included: on water treatment alone may be insufficient to prevent
sewage line breaks, overflows of septic tank sewage illness. Chlorine resistant pathogens such as enteric
(commonly facilitated by rainfall or flooding), illegal viruses and Cryptosporidium spp., entering via the
construction of septic systems, neglected septic system distribution system may not be fully inactivated by free
maintenance, and inadequately sized septic tanks for the chlorine residuals as high as 0.5 mg/L in the presence of
number of users. A 2006 norovirus outbreak in Wyoming cultured organisms or 0.7 mg/L in the presence of raw
was caused by contamination from a poorly maintained sewage (Payment 1999).
septic tank (constructed in the 1950s) that lacked a
properly constructed leach field (Van Houten et al. 2007). Groundwater Under the Direct Influence of Surface
Overall, the diverse and unique array of construction Water
scenarios identified in our review suggests that thorough Although GWUDI was only indicated in 18 out-
environmental assessment of source water and surround- breaks, hydraulic connections between surface and
ing areas, including nearby septic systems and leach groundwater sources likely contributed to a larger
fields, must occur routinely throughout the lifespan of number of outbreaks. The strict definition of GWUDI
water and septic systems in order to identify construction used for this review, requiring a “high risk” MPA test or
and maintenance issues before an outbreak occurs. evidence that the contamination source was a permanent
or semi-permanent body of surface water, may be one
Distribution System Issues of the reasons for the low number of outbreaks with
Nineteen percent of outbreaks in our review had a GWUDI contributing factor classification. Methods
distribution system deficiencies or contributing factors, for determining GWUDI differ by state (Washington
principally cross-connections or backsiphonage. For State Department of Health 2003; Chaudhary et al. 2009;

NGWA.org E.K. Wallender et al. Groundwater 52, no. 6: 886–897 893


894
Table 5
Sources of Contamination by Outbreak Etiology, Untreated Groundwater Outbreaks—United States, 1971 to 2008 (n = 172)

Single Other Multiple Other


Human Distribution Surface Water Multiple Contributing Contributing
Sewage Animal System (GWUDI) Sources Factor Factors Total1
n (%) n (%) n (%) n (%) n (%) n (%) n (%) n (%)

Bacteria 13 (22.8%) 8 (50.0%) 1 (8.3%) 1 (12.5%) 8 (50.0%) 7 (20.6%) 2 (10.5%) 40 (23.3%)


Campylobacter 2 (3.5%) 4 (25.0%) 0 (0%) 0 (0%) 3 (11.5%) 2 (5.9%) 0 (0%) 11 (6.4%)
Escherichia coli 0 (0%) 3 (18.8%) 0 (0%) 0 (0%) 1 (3.8%) 1 (2.9%) 0 (0%) 5 (2.9%)
Providencia 1 (1.8%) 0 (0%) 0 (0%) 0 (0%) 0 (0%) 0 (0%) 0 (0%) 1 (0.6%)
Salmonella 3 (5.3%) 1 (6.3%) 0 (0%) 0 (0%) 1 (3.8%) 2 (5.9%) 1 (5.3%) 8 (4.7%)
Shigella 6 (10.5%) 0 (0%) 1 (8.3%) 1 (12.5%) 3 (11.5%) 2 (5.9%) 1 (5.3%) 14 (8.1%)
Mixed bacteria2 1 (1.8%) 0 (0%) 0 (0%) 0 (0%) 0 (0%) 0 (0%) 0 (0%) 1 (0.6%)
Viruses 15 (26.3%) 0 (0%) 1 (8.3%) 1 (12.5%) 0 (0%) 1 (2.9%) 3 (15.8%) 21 (12.2%)
Hepatitis A 10 (17.5%) 0 (0%) 1 (8.3%) 0 (0%) 0 (0%) 1 (2.9%) 1 (5.3%) 13 (7.6%)

E.K. Wallender et al. Groundwater 52, no. 6: 886–897


Norovirus 5 (8.8%) 0 (0%) 0 (0%) 1 (12.5%) 0 (0%) 0 (0%) 2 (10.5%) 8 (4.7%)
Parasites 3 (5.3%) 2 (12.5%) 3 (25.0%) 1 (12.5%) 3 (11.5%) 2 (5.9%) 0 (0%) 14 (8.1%)
Giardia intestinalis 3 (5.3%) 1 (6.3%) 2 (16.7%) 1 (12.5%) 2 (7.7%) 2 (5.9%) 0 (0%) 11 (6.4%)
Naegleria fowleri 0 (0%) 0 (0%) 1 (8.3%) 0 (0%) 0 (0%) 0 (0%) 0 (0%) 1 (0.6%)
Mixed parasites3 0 (0%) 1 (6.3%) 0 (0%) 0 (0%) 1 (3.8%) 0 (0%) 0 (0%) 2 (1.2%)
Chemicals 0 (0%) 1 (6.3%) 0 (0%) 0 (0%) 0 (0%) 4 (11.8%) 1 (5.3%) 6 (3.5%)
Multiple etiologies4 4 (7.0%) 0 (0%) 0 (0%) 0 (0%) 1 (3.8%) 0 (0%) 0 (0%) 5 (2.9%)
Unidentified 22 (38.6%) 5 (31.3%) 7 (58.3%) 5 (62.5%) 14 (53.8%) 20 (58.8%) 13 (68.4%) 86 (50.0%)
Total 57 16 12 8 26 34 19 172

1 Differs from Table 1 because this table is restricted to outbreaks with contributing factor information available.
2 Includes one outbreak of E. coli and Campylobacter jejuni .
3 Includes two outbreak of Cryptosporidium parvum and Giardia intestinalis.
4 Multiple etiologies is defined as more than one class of etiology (i.e., bacteria and virus, bacteria, virus and parasite); includes one outbreak of Campylobacter jejuni , Entamoeba spp and Giardia spp; one outbreak of Campylobacter jejuni ,
norovirus and Giardia intestinalis; one outbreak of norovirus G1, Campylobacter jejuni and norovirus G2; one outbreak of Norovirus GI, Campylobacter and Salmonella; and one outbreak of an unidentified agent and Hepatitis A.

NGWA.org
Oregon Department of Health 2009), and although the factors, we were limited by a small sample size and most
EPA developed MPA testing to aid in identifying GWUDI of the GWUDI outbreaks had an unidentified etiology.
(Vasconcelos and Harris 1992), a negative MPA test Understanding the typical etiologies associated with
alone is insufficient to rule out a hydraulic connection sources of contamination may help future investigators
with surface water. MPA testing measures the number of identify and address outbreak contributing factors.
surface water organisms found within a single groundwa-
ter sample, and based on the presence of these organisms Limitations
rates the water source as low, intermediate or at high This review is subject to several limitations. First,
risk of surface water contamination (Vasconcelos and WBDOSS is a passive surveillance system and due to
Harris 1992). MPA tests are limited in their utility due to possible under-reporting across states and years, may
their inability to capture changes in water quality over not have provided a complete or representative report of
time or adjust for the baseline risk of the system such as groundwater-associated outbreaks in the United States for
local hydrogeology. Further, since they rely on source the time period assessed in this review (Brunkard et al.
water testing alone, they cannot be used to help plan for 2011). The wide range of outbreaks reported by individual
safe well placement (Chin and Qi 2000). For example, states during 1971 to 2008, from 0 to 42 outbreaks, likely
in a large New Hampshire Giardia intestinalis outbreak, indicates that some states have better capacity to detect,
the untreated groundwater source’s close proximity to a investigate and report outbreaks associated with untreated
river, a violation of New Hampshire’s setback distance groundwater. Second, the review process was complicated
regulations, and presence of some surface water organ- by changes in outbreak detection methodologies and in
isms on testing, caused investigators to suspect GWUDI CDC’s surveillance system over time. From 1971 to
(Daly et al. 2010). Despite their strong suspicion, MPA 2003, the WBDOSS reporting form underwent six major
testing after the outbreak’s detection indicated only a revisions with changes in both contributing factor types
“moderate” risk for surface water influence (Daly et al. and terminology. Thirdly, the data sources used to identify
2010). In such cases where water testing yields variable contributing factors varied in detail and quality, from peer-
results and remediation decisions are needed to prevent reviewed publications to short progress updates from field
illness, we suggest fully implementing EPA guidance by investigators. This affected our confidence in some of
integrating an area’s hydrogeologic mapping, the water the contributing factor designations, limited the amount
system’s design and construction, and employing serial of data available for review and abstraction, and made
microbial testing to rigorously identify GWUDI water it difficult to determine a primary contributing factor
sources (Environmental Protection Agency 2006). for an outbreak. We also suspect that investigators were
more likely to report the positive results of environmental
Sources of Contamination and Etiology or dye testing and may not have always reported
More than 54% of outbreaks and nearly 60% of negative results. Finally, we had limited power to detect
cases in our review had an unidentified etiology, with statistically significant differences among the sources of
the highest unidentified proportions weighted toward the contamination or the impact of regulatory changes and
earliest outbreaks. It is likely that improved diagnostic improvements due to the small number of outbreaks,
technology and identification of new pathogens as well especially when examined by contributing factors and
as adoption of methods by labs between 1971 and 2008 etiologies.
has led to improvement in etiology identification over
time. For example, norovirus was first identified in stool Recommendations
in 1972 (Kapikian et al. 1972) and though norovirus On the basis of the findings of this review, we suggest
likely caused outbreaks since WBDOSS began, the first several recommendations for preventing untreated ground-
drinking water-associated outbreak caused by norovirus water outbreaks. The predominance of design, mainte-
was not reported until 1978 (Centers for Disease Control nance and location contributing factors, and of outbreaks
and Prevention 1980). with multiple contributing factors, highlight the impor-
Our review found that outbreaks associated with tant role of thorough and frequent sanitary surveys in
sewage contamination sources, particularly underground the identification and correction of groundwater con-
seepage of sewage, were more likely to have a viral tamination pathways. For public water systems using
etiology. Human norovirus can cause illness for at least untreated groundwater, EPA’s Groundwater Rule, to be
61 days following water source contamination and the fully enacted in 2014, will require sanitary surveys and
virus can be detected in groundwater samples by reverse additional water testing triggered by the positive results
transcription-quantitative PCR for up to 3 years after of routine water testing under the Total Coliform Rule
initial contamination (Seitz et al. 2011). Bacteria were (Environmental Protection Agency 2006). Our review
more likely to be implicated in outbreaks associated with also detected the contribution of vulnerable hydrogeo-
animal contamination. For example, in one Minnesota logic formations in outbreak-associated groundwater con-
outbreak, Campylobacter jejuni was isolated from both tamination. Although not required by the Groundwater
the case-patients and cattle housed near the well. Although Rule, HSAs are a necessary tool for identifying untreated
we hypothesized that parasites would be more likely iden- groundwater sources at ongoing risk for contamination
tified in outbreaks associated with GWUDI contributing and for guiding the remediation efforts if an outbreak

NGWA.org E.K. Wallender et al. Groundwater 52, no. 6: 886–897 895


occurs. Importantly, private water systems will remain Acknowledgments
unregulated at the federal level, and will rely on local The authors gratefully acknowledge the contributions
or state environmental health efforts and owner aware- of the epidemiologists, laboratorians, and environmental
ness and action (Environmental Protection Agency 2011). health personnel at the local, state, and territorial levels,
Of note, 24% of outbreaks occurred in private water sys- without whom this study would not have been possible.
tems. Reliable local and state funding for investigation We also thank Dr. Philip Berger from EPA for his insights
and reporting of disease outbreaks, water source regu- into untreated groundwater systems and hydrogeology.
lation enforcement, and community education about the
risks of drinking untreated groundwater is essential for
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