EPA814-B-96-007
August 1996
Information Collection Rule (ICR)
Reference Manual -
Understanding the ICR
by
Science Applications International Corporation
1710 Goodridge Drive
McLean, VA 22102
Contract No. 68-C5-0050
Work Assignment No. 1-04
Work Assignment Manager
James B. Walasek, P.E.
Technical Support Center
Office of Ground Water and Drinking Water
U.S. Environmental Protection Agency
Cincinnati, OH 45268
Printed on Recycled Paper
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Table of Contents
SECTION 1: INTRODUCTION 1-1
Purpose of the ICR Reference Manual 1-1
What is the ICR? 1-1
Summary Listing of Essential Documents : 1-2
Organization of this Reference Manual 1-3
SECTION 2: UNDERSTANDING THE ICR LANGUAGE 2-1
Preface 2-1
ICR Definitions 2-3
Subsection §141.2 Definitions 2-3
Subsection §141.140 Definitions , 2-3
System Components 2-3
Water Types 2-4
Sample Types 2-5
Miscellaneous 2-5
Outline: ICR §141.141—General Requirements, Applicability, and Schedule for
Information Collection 2-7
Section Summary: ICR §141.141—General Requirements, Applicability, and
Schedule for Information Collection 2-11
(a) General Requirements 2-11
Appendix A of the Regulation 2-12
Example Categorization 2-14
(b) Applicability 2-15
(c) DBP and Related Monitoring 2-17
(d) Microbiological Monitoring 2-18
(e) DBP Precursor Removal Studies (Treatment Studies) 2-18
(f) Effective Dates 2-25
Outline: ICR §141.142—DBP and Related Monitoring 2-41
Section Summary: ICR §141.142—DBP and Related Monitoring 2-43
(a) Monitoring Requirements 2-43
(b) Analytical Methods 2-48
(c) Reporting 2-48
(d) Incorporation by Reference 2-50
Outline: ICR §141.143—Microbial Monitoring 2-69
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Table of Contents
Section Summary: ICR §141.143—Microbial Monitoring 2-71
(a) Monitoring Requirements 2-71
(b) Analytical Methods 2-74
(c) Reporting • 2-76
Outline: ICR §141.144—DBF Precursor Removal Studies (Treatment Studies) .. . 2-81
Section Summary: ICR §141.144—DBF Precursor Removal Studies (Treatment
Studies) • 2-83
(a) TOC, UFCTOX, THM4, and HAAS Applicability Monitoring 2-83
(b) Treatment Study Requirements 2-84
(c) Analytical Methods 2-88
(d) Reporting 2-88
Attachment A: Frequently Asked Questions 2-91
Applicability/Coverage 2"91
Analytical Methods 2"9^
Definitions 2"96
Monitoring 2~97
Precursor Studies 2-101
CompuServe Access 2-104
Water Utility Database System 2-105
Laboratory Approval/PE Studies 2-105
Treatment Train Issues 2-106
SECTION 3: ICR WATER UTILITY DATABASE SYSTEM SUMMARY 3-1
What is the ICR Water Utility Database System? 3-1
Purpose of the ICR Water Utility Database System 3-1
Users' Guide and Data Entry Video 3'1
What Equipment Do You Need? 3~2
ICR DMS E-mail/Hotline 3'2
Where Do You Submit Diskettes? 3'3
SECTION 4: EPA AND AWWA A-TEAM SUPPORT SERVICES 4-1
AWWA A-Team 4'1
ICR Water Utility Database System Training 4-1
ICR Laboratory Software Training 4'2
Safe Drinking Water Hotline 4"2
SECTION 5: SUMMARY OF ADDITIONAL REFERENCES 5-1
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Table of Contents
SECTION 6: ICR TECHNICAL COORDINATOR RESPONSIBILITIES 6-1
General 6-1
Sampling Plan 6-1
Laboratory Analyses . 6-2
Data Reporting 6-2
Time Estimate for ICR Coordinator 6-2
SECTION 7: LABORATORY APPROVAL PROCESS FOR MICROBIOLOGICAL
AND CHEMICAL LABORATORIES 7-1
ICR Laboratory Approval Process 7-1
List of Approved Laboratories 7-1
Laboratory Data System 7-1
ICR Laboratory Manuals 7-1
ICR Laboratory Approval for Chemistry 7-2
ICR Laboratory Approval for Microbiology 7-3
in
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List of Exhibits
1-1: ICR Activities from Promulgation to Start of Sampling 1-4
1-2: Important Dates in the ICR 1-5
2-1: Categorization Worksheet . 2^-27
2-1 a: Example Categorization Worksheet for City A (Treatment Plant Number 1) . 2-29
2-1 b: Example Categorization Worksheet for City A (Treatment Plant Number 2) . 2-30
2-2: PWS Summary Sheet 2-31
2-2a: Example PWS Summary Sheet for City A 2-32
2-3: ICR Treatment Plant Categorization 2-33
2-4: Treatment Plant Categories 2-34
2-5: ICR DBP Applicability Criteria and Monitoring Requirements 2-35
2-6: ICR Microbiological Applicability Criteria and Monitoring Requirements .... 2-36
2-7: ICR Treatment Study Applicability Monitoring and Treatment Study
Requirements '. 2-37
2-8: Joint Studies Requirements for Treatment Plants with a Population
Served <500,000 2-38
2-9: Joint Studies Requirements for Treatment Plants with a Population
Served ;>500,000 2-38
2-10: ICR Monitoring Schedule 2-39
2-11: DBP Requirements by Treatment Plant Category 2-51
2-12: Monthly Monitoring Requirements for Treatment Plants 2-52
2-13: Quarterly Monitoring Requirements for Treatment Plants 2-53
2-14: Additional Quarterly Monitoring for Treatment Plants Using Chloramines ... 2-54
2-15: Additional Quarterly Monitoring for Treatment Plants Using Hypochlorite
Solutions 2-54
2-16: Additional Monthly Monitoring Required of Treatment Plants Using Ozone . 2-55
2-17: Additional Quarterly Monitoring for Treatment Plants Using Ozone 2-55
2-18: Additional Monthly Monitoring for Treatment Plants Using Chlorine
Dioxide 2-56
2-19: Additional Quarterly Monitoring for Treatment Plants Using Chlorine
Dioxide 2-56
2-20: Public Water System Information 2-57
2-21: Plant Influent Information 2-58
2-22: Unit Process Information 2-59
2-23: Additional Process Train Information 2-63
2-24: Finished Water Distribution Information 2-64
2-25: Analytical Methods Approved for Subpart M 2-65
2-26: Typical Conventional Filtration Treatment Schematic 2-66
2-27: ICR Initial Sampling Schematic for Typical Conventional Filtration
Treatment 2-67
2-28: Microbiological Requirements by Treatment Plant Category 2-79
2-29: ICR Initial Sampling Schematic for Typical Conventional Filtration
Treatment 2-80
2-30: Treatment Study Requirements by Treatment Plant Category 2-90
IV
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Acronyms
A-Team ICR Assistance Team
AOC assimilable organic carbon
AWWA American Water Works Association
BDOC Biodegradable organic carbon
CFR Code of Federal Regulations
D/DBP disinfectants and disinfection byproducts
DMS Data Management System
DSE Distribution System Equivalent
DWS Drinking Water Section
EBCT empty bed contact time
EPA U.S. Environmental Protection Agency
ESWTR Enhanced Surface Water Treatment Rule
GAG granular activated carbon
HAAS Haloacetic Acids-five
HAA6 Haloacetic Acids-six
HAN Haloacetonitriles
HK Haloketones
ICR Information Collection Rule
ISP Initial Sampling Plan
L liter
MGD million gallons per day
ug/L micrograms per liter
ml_ milliliter
NA not applicable
NPDWR National Primary Drinking Water Regulations
PE performance evaluation
PC personal computer
PWS public water system
QA quality assurance
QC quality control
RAM random access memory
RBSMT rapid bench-scale membrane test
RSSCT rapid small-scale column test
SDS simulated distribution system
SDWA Safe Drinking Water Act
SEBST single element bench-scale test
THM4 Trihalomethanes-four
TOC total organic carbon
UFCTOX uniform formation conditions total organic halides
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Section 1:
Introduction
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Introduction
Purpose of the ICR Reference Manual
•This document was developed by the U.S. Environmental Protection Agency (EPA) to
provide compliance assistance to public water systems (PWSs) subject to the requirements
of the National Primary Drinking Water Regulation (NPDWR) entitled "Monitoring Require-
ments for Public Drinking Water Supplies: Cryptosporidium, Giardia, Viruses, Disinfection
Byproducts, Water Treatment Plant Data and Other Information Requirements." This
regulation is more commonly referred to as the Information Collection Rule, or ICR.
The ICR Reference Manual describes the intent and requirements of the regulation;
discusses the responsibilities of those affected; describes other available documents,
including the software application developed by EPA for data entry; discusses the issues
related to finding or becoming an approved laboratory under the ICR; summarizes
available technical assistance; and generally facilitates an understanding of the ICR. It
provides the information necessary to meet the requirements under the ICR and directs
the reader to other documents developed by EPA that describe certain components of the
ICR in more detail.
What is the ICR?
The concept for the ICR arose from discussions of the Regulation Negotiating Committee
that convened in 1992 to begin the development of a drinking water regulation to prevent
adverse health effects from disinfectants and disinfection byproducts (D/DBPs). The
committee, consisting of water industry representatives, environmental groups,
environmental health professionals, State regulators, and EPA personnel, stressed the
need for "balance" in reducing disinfection. There must be enough reduction to avoid
harmful health effects, but not so much that it leads to the incresed presence of harmful
microbial contaminants. The committee recommended that EPA collect specific monitoring
and treatment plant design and operating data from PWSs and use these data to develop
subsequent drinking water regulations to control D/DBPs while controlling microbial
contamination in drinking water to protect public health.
The information collected under the ICR will be used for the following purposes:
• To identify source water parameters influencing microbial contamination and DBP
formation
• To refine models for predicting DBP formation
• To inventory treatment processes currently in use
1-1
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Section 1: Introduction
• To support the development of regulations and guidance to limit pathogen and DBP
exposure, in particular the proposed Enhanced Surface Water Treatment Rule
(ESWTR) and Stage 2 of the Disinfection Byproducts Rule.
The data collection effort under the ICR lasts a limited time. In general, large utilities
(typically serving more than 100,000 people) are required to report data monthly for 18
months. Details on which systems are affected by the ICR and on specific monitoring and
reporting requirements are given in Section 2 of this reference manual.
The success of the ICR effort is important to us all—EPA and water utilities strive to deliver
the best quality drinking water to the public. There are several steps involved in the
implementation of the ICR. Exhibit 1-1 presents the components of the ICR (from
promulgation of the rule to transmission of the data to EPA) that are to be undertaken by
EPA, PWSs, and the American Waterworks Association (AWWA). Exhibit 1-2 describes
important milestones for ICR requirements. Many of the dates listed are based on a
prescribed time period for accomplishing specific tasks; therefore, those dates are
deadlines and the tasks can be conducted before those deadlines.
Summary Listing of Essential Documents
You will need the following documents and software package to meet ICR requirements.
The document numbers and information on how to obtain these documents and additional
"rule by reference" manuals (if you have not received them from EPA) are presented in
Section 5 of this reference manual.
• ICR Water Utility Database System Software and Users' Guide. All collected
data must be submitted to EPA on disk using this software. Each utility's
designated ICR contact should have received the software and users' guide along
with the notification letter from EPA.
• An Introduction to the ICR Water Utility Database System. This 1-hour data
entry video describes how to use the ICR Water Utility Database System software.
The video will be mailed to PWS ICR contacts as soon as it becomes available.
• ICR Federal Register Notice. This should have already been sent by EPA with the
Notification Letter. (Note that the ICR incorporates, by reference, five major
supporting documents—the ICR Sampling Manual, the DBP/ICR Analytical Methods
Manual, the ICR Manual for Bench- and Pilot-scale Studies, the ICR Microbial
Laboratory Manual, and Reprints of EPA Methods for Chemical Analyses under the
ICR.}
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Section 1: Introduction
Organization of This Reference Manual
The ICR Reference Manual is organized as follows:
• Section 2 summarizes the ICR language and requirements.
• Section 3 describes the ICR Water Utility Database System software, its function,
how to obtain technical assistance for installing the software, data entry, report
generation, and how to submit electronic data to EPA.
» Section 4 describes the technical assistance available from the AWWA ICR
Assistance Team (A-Team) and the EPA Safe Drinking Water Hotline. The A-Team
will be conducting training in the fall of 1996; additionally the Safe Drinking Water
Hotline can answer general questions and send you documents on request.
• Section 5 lists the manuals available, summarizes their content, and explains how
to obtain them.
• Section 6 describes the responsibilities of the PWS ICR Technical Coordinator.
• Section 7 discusses the issues related to finding or becoming an approved
microbiology or chemistry laboratory and the laboratory reporting software.
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Section 1: Introduction
Exhibit 1-1: ICR Activities from Promulgation to Start of Sampling
EPA Action
PWS ICR
Technical Coordinator Action
AWWA A-Team Action
Mai! Notification Package
6/96
Purpose of package:
» Inform PWS that ICR has been
promulgated
• Inform PWS that EPA assumes
ICR applies to it based on
available information
• Provide applicability data for
review by PWS
• Provide supporting ICR
documentation
Mail Applicability Package
8/96
Purpose of package:
Final determination of
ICR applicability for
PWS and its plants
Provide additional ICR
documentation
Respond to EPA1
(Within 35 calendar days)
> PWS verifies/contests information in
EPA Notification Letter
• Arrange for approved lab for ICR
analyses (based on EPA's approved
lab list)
Develop Initial Sampling Plan (ISP)
i PWS develops and submits ISP
based on Initial Sampling Schematic
prepared by AWWA
«Contact A-Team for assistance with
ISP. Submit to EPA on diskette with
hard copy versions of plant and
system schematics
• Begin TOG monitoring for collection
of treatment study applicability data
Resubmit
Revise and Resubmit ISP
, _Revision_Reguire_d *
Approved
•::;• :: Begirv 18-Month Sampling
Within 1 month of receipt of ISP, review and
address comments from EPA
Send Data to EPA Monthly
(Continue for 18 months)
Develop Initial
Sampling Schematic
•*•:' ' Pjoyiojs ISP
Development and ,
Water Utility Database
System Training
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Section 1: Introduction
Exhibit 1-2: Important Dates in the ICR
Date
January 1, 1994
May 14, 1996
May 31, 1996
July 5, 1996
July 13, 1996
August 14, 1996
September 30, 1996
(approximately)
November 14, 1996
Approximately
February 1997
February 14, 1997
May 14, 1997
May 14, 1997
June 30, 1997 (if
monitoring starts in
February 1997)
October 14, 1997
November 14, 1997
Requirement in Final ICR
Virus monitoring forgiveness — monitor for total coliforms, fecal
coliforms, or E. coli at influent, at least 5 days/week for 6 consecutive
months after January 1, 1994 (p. 24385, col. 2) -
Publication of the Final ICR in the Federal Register (p. 24368, col. 1)
EPA mails Notification Letter to utilities
Approximate deadline for utilities to respond to Notification Letter
(35 calendar days from receipt of Notification Letter)
If a PWS meets the applicability criteria and has not received a Notice
of Applicability by 45 days after publication in the Federal Register, it
must request a Notice of Applicability from EPA not later than 60
days after publication of the final rule in the Federal Register
(p. 24374, col. 2)
Effective date of ICR (p. 24368, col. 1)
A PWS must begin applicability monitoring no later than the last day
of the month following the month that the initial list of approved
laboratories is available (expected mid- August 1996) (Letter from
William Diamond, July 24, 1 996)
... laboratories wanting EPA approval, contact EPA not later than
November 14, 1996 (p. 24384, col. 1)
Begin monitoring for DBPs and microbial parameters in the calendar
month following approval of sampling plans (p. 24374, col. 3)
... submit a letter of intent to use grandfathered treatment studies not
later than February 14, 1997 (p. 24374, col. 2)
... submit a letter of intent to conduct joint treatment studies not later
than May 14, 1997 (p. 24374, col. 1)
... submit a letter of intent to contribute funds as an alternative to
treatment studies not later than May 14, 1997 (p. 24374, col. 2)
... submit monthly data from Tables 1-6 and other information on a
diskette not later than the fourth month following sampling (p. 24384,
col. 1)
... submit results of 12 months of TOC and UFCTOX data not later
than October 14, 1997 (p. 24387, col. 3)
Utilities must submit information for request to avoid treatment
studies not later than November 14, 1997 (p. 24374, col. 1)
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Section 1: Introduction
Date
November 14, 1997
November 14, 1997
November 14, 1997
April 14, 1998
My 14, 1999
Requirement in Final ICR
... submit a combined application to conduct joint treatment not later
thanNovember 14, 1997 (p. 24374, col. 1)
... submit application to contribute funds as an alternative to treatment
studies not later than November 14, 1997 with TOC/UFCTOX data
(p. 24374, col. 2)
... submit a combined application to use grandfathered treatment
studies not later than November 14, 1997 (p. 24374, col. 2)
Begin to conduct precursor removal study no later than April 14, 1998
(p. 24374, col. 3)
... submit study precursor removal study reports no later than July 14,
1999 (p. 24374, col. 3)
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Section 2:
Understanding
the ICR Language
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Understanding the ICR Language
Preface
This section of the ICR Reference Manual, Understanding the ICR Language, helps utilities
understand the ICR and how its requirements apply to them. The section is divided into
the following subsections:
• ICR Definitions
• General Requirements, Applicability, and Schedule for Information Collection
(§141.141)
H DBP and Related Monitoring (§141.142)
• Microbiological Monitoring Requirements for Subpart H Systems (§141.143)
• DBP Precursor Removal Studies or Treatment Studies (§141.144)
• Attachment A: Frequently Asked Questions
[Note: All exhibits referenced in the text are presented at the end of their subsection.]
The ICR Definitions subsection reviews the terms and phrases contained in Subpart M of
Section 141. The definitions (from subsections 141.2 and 141.140) are arranged by
functional group or category (e.g., system components and water types).
The ICR rule outline for each individual section of the rule appears in the beginning of each
relevant subsection summary and provides a reference for the rule language. Section
summaries closely follow the organization of the rule and provide references to paragraphs
in the rule. For example, in the summary for §141.141—General Requirements,
Applicability, and Schedule for Information Collection—the citation [(a)(2)(iv)] refers to the
numbered paragraph in §141.141 of the rule. The exhibits following these summaries
provide additional information (e.g., flowcharts and worksheets) to help the utilities better
understand the ICR.
This section attempts to describe the requirements of the ICR in simple terms. However,
if a discrepancy should arise between this reference manual and the requirements
described in the Federal Register of May 14,1996, the requirements as stated in the
Federal Register prevail.
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Section 2: Understanding the ICR Language ICR Definitions
ICR Definitions
The following definitions are defined in the ICR rule published in the Federal Register on
May 14, 1996. The definitions are described in the same manner as in the ICR rule with
the addition of examples provided for clarification.
SUBSECTION 141.2 DEFINITIONS
SUBPART H SYSTEMS: PWSs using surface water, or ground water under the direct
influence of surface water, as a source are defined as Subpart H systems. Such
systems are subject to the requirements of Subpart H of Part 141, also known as the
Surface Water Treatment Rule (SWTR).
SUBSECTION 141.140 DEFINITIONS
The following definitions apply only to the requirements of Subpart M (i.e., Information
Collection Requirements for PWSs) of this part:
System Components
Intake: A physical location where the PWS takes water from a water resource.
Thereafter, the water is under the control of the PWS. For surface water resources, the
intake is a structure located in a river, lake, reservoir, or other surface water body. A
surface water intake is before any treatment. A ground water intake generally is the
location of a well screen in an aquifer. A purchased finished water intake generally is
considered to be a water meter between a wholesale and retail system.
Unit Process: A component of a treatment process train that serves a particular treatment
purpose for which design and operating information are requested in Table 6c of
§141.142 of this subpart (shown in this reference guide as Exhibit 2-22). Examples
of unit processes include coagulation, sedimentation, and filtration.
Process Train: A number of unit processes connected (e.g., sedimentation and filtration)
in series starting from the treatment plant influent and ending with finished water. A
particular unit process may be in more than one process train. An example of a
process train would be the unit processes comprising conventional treatment (i.e., rapid
mix, flocculation, sedimentation,, and filtration).
Treatment Plant: A treatment plant consists of one or more process trains that share the
same influent water. Treated water from the process trains are combined before entry
to the distribution system (or before wholesale to another PWS). Under the ICR, a
facility that adds a disinfectant or oxidant to water prior to the distribution system is
considered a treatment plant. (Facilities that disinfect ground water and facilities that
disinfect purchased finished water are considered treatment plants).
A treatment plant might have several complex process trains, operate with processes
built many years apart, and have parallel flow systems with different treatment
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ICR Definitions Section 2: Understanding the ICR Language
processes. Components not considered part of the treatment plant include raw water
collection and storage facilities, distribution systems, and components that are not
under the control of the PWS.
Treatment System: All treatment plants operated by one treatment system, or PWS. A
treatment system can consist of one or several treatment plants with one or multiple
intakes (including surface and ground water intakes).
Entry Point to Distribution System: A location in a treatment plant after one or more
finished water sample points but before the beginning of the distribution system. A
sample collected at this point is usually a blend from more than one treatment plant.
Distribution System: The PWS components of water distribution piping, storage, and
booster disinfection under the control of that PWS located after the point where the
finished water sample is taken.
Water Types
Water Resource: A body of water before it passes through an intake structure (e.g.,
upstream in the case of a river). Examples of water resources are rivers, lakes, and
aquifers. For a PWS that purchases finished water, the water resource is the
wholesale PWS that supplies the purchased finished water; generally, water resources
are not under the direct control of a PWS.
Treatment Plant Influent: The water that represents the water quality "challenge" to a
particular plant. A sample of treatment plant influent for a PWS that treats untreated
water is taken at a location at the upstream end of a treatment plant where waters from
all intakes are blended before any treatment or chemical addition. For treatment plants
that have multiple intakes and add chemicals at the intake, the sample of treatment
plant influent will be a flow proportional composite of intake samples collected before
chemical addition and before pretreatment. If the intakes are expected to have the
same source-water quality, one representative intake sample may be taken. A sample
of treatment plant influent for a PWS that treats purchased finished water is taken at
a location just before the purchased finished water is treated.
Finished Water: Treated water that does not undergo further treatment by a treatment
plant other than maintenance of a disinfection residual. A sample of finished water is
a sample representing the final product water from a particular treatment plant. The
sample of finished water will be collected at a point after which all treatment processes
for a particular treatment plant are complete (including the clean/veil and final point of
chlorination) and before the distribution system begins.
Total Finished Water: The flow volume/time—for example, million gallons per day
(MGD)—of finished water obtained from all treatment plants operated by a PWS; it
includes finished water purchased from other PWSs.
Purchased Finished Water: Finished water purchased by one PWS from another PWS.
A sample of purchased finished water will be collected before additional disinfectant is
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Section 2; Understanding the ICR Language /Cfi Oeft'rH'ftons
added to the purchased finished water. For the purpose of Subpart M, a PWS will
collect a sample of purchased finished water only if the purchasing PWS redisinfects.
Sample Types
Haloacetic Acids-Five (HAAS): The concentration, in micrograms per liter (pg/L)
rounded to two significant figures, of the following five haloacetic acids—mono-, di-,
and trichloroacetic acid; mono- and dibromoacetic acid.
Haloacetic Acids-Six (HAA6): The concentration, in ug/L rounded to two significant
figures, of the following six haloacetic acids—mono-, di-, and trichloroacetic acid; mono-
and dibromoacetic acid; and bromochloroacetic acid.
Haloacetonitriles (HAN): The concentration, in pg/L rounded to two significant figures,
of the following haloacetonitriles—dichloro-, trichloro-, bromochloro-, and dibromo-
acetonitrile.
Haloketones (HK): The concentration, in ug/L rounded to two significant figures, of the
following haloketones—1,1 -dichloropropanone and 1,1,1 -trichloropropanone.
Distribution System Equivalent (DSE) Sample: A sample collected from the distribution
system for comparison with the simulated distribution system (SDS) sample. The DSE
sample will be selected using the following criteria: (1) no additional disinfectant is
added between the treatment plant and the site where the DSE sample is collected,
(2) approximate detention time of water is available, and (3) there is no blending with
finished water from other treatment plants.
Trihalomethanes-Four (THM4): The concentration, in ug/L rounded to two significant
figures, of the following trihalomethanes—chloroform, bromodichloromethane, dibromo-
chloromethane, and bromoform.
SDS Sample: A finished water sample incubated at the same temperature and detention
time of a DSE sample collected from the distribution system. Analytical results of the
SDS sample will be compared with the DSE sample to determine how well the SDS
sample predicts actual distribution system results.
Miscellaneous
Notice of Applicability: A notice sent via certified mail by EPA to a PWS as notification
that EPA believes, based on available information, that the PWS must comply with
some or all requirements of Subpart M. The PWS is required to reply to this notice by
providing information specified in the notice by the date specified in the notice.
Watershed Control Practice: The protection of a water resource from microbiological
contamination before the water enters an intake through measures such as, but not
limited to, a watershed control program approved under §141.71 (b)(2) of the ICR.
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Section 2: Understanding the ICR Language §141.141
Outline: ICR §141.141—General Requirements,
Applicability, and Schedule for Information
Collection
ICR FR Page and Column
(Reference Manual Page)
(a) General Requirements : , 24369, col. 1 (2-11)
(1) Purpose/Fulfillment of Requirements
(2) Basis of Applicability Determinations
(3) Multiple Wells from Same Aquifer Considered Single Treatment Plant
(i) Sampling
(ii) Table 6 for each sampled well
(4) GWUDI (classified by the State) as SW Sources
Appendix A 24369, col. 2 (2-12)
Purpose
Period of Applicability Determination
Applicability Determination
Data from Operational Records
Calculated Values
Treatment Plant Categorization
(b) Applicability 24371, col. 1 (2-14)
(1) Treatment Plant Categorization
(2) Subsequent Monitoring Applicability
(c) Disinfection Byproduct and Related Monitoring 24372, col. 1 (2-17)
(d) Microbiological Monitoring 24372, col. 3 (2-17)
(e) Disinfection Byproduct Precursor Removal Studies
(Treatment Studies) 24372, col. 1 (2-18)
(1) PWS Applicability for Treatment Studies 24372, col. 1 (2-19)
Exception for treatment plants according to (e)(3)
Exception for treatment plants according to (e)(4)
Exception for treatment plants according to (e)(5)
(iv) Exception for treatment plants according to (e)(6)
(v) Exception for treatment plants operated by PWS using
the same water resource as set forth in (e)(4)
(2) Treatment Study Applicability Monitoring 24372, col. 2 (2-19)
(i) TOC monitoring
(ii) THM4 and HAAS monitoring
(Hi) Total organic halides formed under the uniform formation conditions
(UFCTOX) monitoring
(3) Criteria Under Which No Treatment Study Is Required . . 24372, col. 3 (2-20)
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§141.141 Section 2: Understanding the ICR Language
(i) At treatment plants using chlorine as both primary and residual
disinfectant with annual average (of four quarterly averages) levels of
<40 mg/L for THM4 and <30 mg/L for HAAS respectively
(ii) At treatment plants using SW with a TOC level <4.0 mg/L in the
treatment plant influent
(Hi) At treatment plants using GW (not GWUDI) with TOC level <;2.0 mg/L
in finished water
(iv) At treatment plants already using full scale GAG or membrane
technology
(4) Criteria Under Which Joint Treatment Studies Are
Allowed 24373, col. 1 (2-21)
(i) PWSs using common water resources with similar treatment trains
(A) River resources
d) Intakes within 20 miles of each other and TOC at each
influent within 10% of mean TOC for all influents
(2) Intakes at least 20 river miles apart, but no farther than 200
river miles and mean water resource UFCTOX is within 10%
of mean UFCTOX for all influents
(B) Lake/reservoir resources
(C) GW resources not under the direct influence of SW
(ii) Joint study requirements
(5) Alternative to Conducting Treatment Study 24373, col. 3 (2-22)
(i) Contribution of funds to cooperative research effort
(ii) Contribution due date
(6) Criteria for Acceptable Grandfathered Studies 24373, col. 3 (2-22)
(i) Analytical methods and analytical and quality control procedures used
(ii) Protocol used
(7) Provision of Information for Obtaining Approval of Criteria
Applicability 24374, col. 1 (2-23)
(i) Approval of request to avoid treatment studies
(ii) Approval of request to conduct joint studies
(A) Proof of common source designation
(B) Demonstration of similar treatment trains
(C) Proof that PWSs are in same size category
(D) TOC results from first 6 months of monitoring
(E) Description of studies to be conducted
(F) Additional supporting data
(iii) Approval of request for alternative to treatment studies
(iv) Approval of request to use grandfathered studies
(f) Effective Dates 24374, col. 2 (2-25)
(1) Notice of Applicability
(2) Simultaneous Start for PWSs Required to Comply with §141.142
(Disinfection Byproducts and Related Monitoring) and §141.143
(Microbiological Monitoring)
(3) Disinfection Byproduct and Related Monitoring
(4) Microbiological Monitoring
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Section 2: Understanding the ICR Language §141.141
(5) DBF Precursor Removal Studies
(i) TOG, UFCTOX, THM4, and HAAS monitoring
(ii) Dates
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Section 2: Understanding the ICR Language
Section Summary: ICR §141.141 — General
Requirements, Applicability, and Schedule for
Information Collection
The purpose of the ICR is to establish specific data collection requirements for PWSs. The
final ICR was published in the Federal Register on May 14, 1996. This notice finalizes
requirements for the monitoring of microbial contaminants and DBFs by "large" PWSs (i.e.,
>1 00,000 people served). It also requires large PWSs to provide operating data, describe
their treatment plant design, and conduct either bench- or pilot-scale testing of advanced
treatment techniques.
This section of the rule, General Requirements and Schedule for Information Collection,
explains the general requirements of the ICR; the applicability to DBP, microbiological, and
DBP Precursor Removal Study requirements; and the effective dates for monitoring. To
facilitate the understanding of the rule, much of its information is presented in tabular form.
In addition, there are several technical manuals that efficiently communicate the detailed
requirements of the ICR to those who are responsible for implementing the regulations.
These technical manuals are referenced throughout this rule summary and in Section 5:
Summary of Additional References.
Categorization worksheets (Exhibits 2-1 and 2-2) were developed for this section to let
users capture system data by treatment plant. These data were used to determine the ICR
applicability for each treatment plant in a system using the flow chart in Exhibit 2-3 or the
table in Exhibit 2-4. Use of the categorization worksheets is described under the
applicability portion of this section. Please use the categorization worksheets (one per
treatment plant) and flowchart as you work through this section.
The remainder of this subsection provides a summary of ICR §141.141, General
Requirements and Schedule for Information Collection. All referenced exhibits are
presented at the end of this subsection.
(a) GENERAL REQUIREMENTS
The ICR was developed to collect both microbial and DBP occurrence, exposure, and
treatment data from large PWSs for a specified time period. PWSs may discontinue ICR-
related monitoring once all of their requirements have been fulfilled. [(a)(1)] A PWS's ICR
applicability can be determined by following the steps detailed in Appendix A of the
regulation, which are summarized later in this subsection. [(a)(2)]
For applicability purposes, there are several conditions where PWSs with multiple intakes
using ground water are considered a single treatment plant. PWSs meeting either of the
following conditions are considered to have a single treatment plant and must monitor
accordingly:
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§141.141 Section 2: Understanding the ICR Language
• PWSs that draw from multiple wells in the same aquifer and have no central
treatment plant.
» PWSs that draw water from multiple wells in multiple aquifers that are treated in the
same treatment plant. [(a)(3)]
In these cases, sampling should be conducted at the well with the largest flow and at the
same well each month. [(a)(3)(i)]
For the purpose of determining ICR requirements, ground water sources under the direct
influence of surface water, as classified by the State no later than May 14, 1996, are to be
considered surface water sources. [(a)(4)]
APPENDIX A OF THE REGULATION
Appendix A of the ICR describes how to determine whether the ICR requirements are
applicable to individual PWSs. This determination should be made by PWSs in response
to EPA's Notification Letter distributed in June 1996 to all PWSs EPA believes are required
to provide data under the ICR. PWSs then have 35 days to respond to EPA regarding
applicability. By the time this reference manual is made available to PWSs, the
applicability determination will most likely have been made. Nevertheless, the process and
calculations for applicability are given in this summary.
To account for both retail and wholesale populations served by treated water produced by
a PWS, and to determine specific monitoring requirements for each treatment plant
operated by the PWS, a PWS must calculate the population served by its entire system
and each of its treatment plants. Under the ICR, a treatment plant includes any site where
a disinfectant or oxidant is added to the water prior to the water entering the distribution
system (e.g., a chlorinator at a well).
Appendix A of the ICR is to be used by PWSs to characterize their treatment plants
according to the relative flow provided and population served by its water resources. The
ICR is complex and assigning treatment plant categories (i.e., A,B,C,D,E,F, and G)
facilitates understanding of the applicability to the various ICR requirements. A PWS that
serves no retail population (i.e., wholesale only) is required to use an EPA-derived equation
to calculate the wholesale population equivalent served to determine the applicability for
the treatment plants within the PWS.
The two worksheets in Exhibits 2-1 and 2-2 were developed to help utilities determine
treatment plant category assignments. The categorization worksheet in Exhibit 2-1 may
be used to calculate the treatment plant population information necessary for determining
the ICR category assignment for each treatment plant in a PWS. The PWS summary
sheet in Exhibit 2-2 provides a place to capture all the information for the PWS and each
of the treatment plants. Once this information is determined, the treatment plant category
determination flowchart in Exhibit 2-3 or the table in Exhibit 2-4 can be used to determine
the ICR category assignments.
The three basic steps in determining applicability follow:
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Section 2: Understanding the ICR Language §141.141
• Step 1: Collection of necessary operational data, including:
PR, the retail population served
FN, the amount of treated water purchased from other PWSs but not further
treated, in MGD
Fw, the amount of finished water sold to other PWSs, in MGD
Fs#, the amount of surface water treated at plant #, in MGD
FG#, the amount of ground water treated at plant #, in MGD
FP#, the amount of treated water purchased from another PWS that ]s further
treated prior to the entry point to the distribution system, in MGD.
• Step 2: Calculation of population equivalents per water resource type
In general, the treated flow values, F, are converted into population equivalents, P,
using a conversion factor, K, by the following equation:
P = F/K
K, the PWS-specific per capita finished water usage rate, is determined according
to the following equation:
K = (FCT + FN - FW)/PR
To calculate K, the finished water produced in all of the PWS's treatment plants
(FCT) must be determined. FCT is determined by summing the combined flows for
each treatment plant operated by the PWS, as follows:
FCT = L Fc#, where Fc# = Fs# + FG# + FP#
• Step 3: Categorization of each treatment plant.
• PWSs may use Exhibits 2-3 and 2-4 to determine which of the seven possible ICR
categories (A through G) and subsequent requirements apply to each of their
treatment plants, after the following population equivalents have been determined:
• Ps#, the treatment plant surface water population served
• PG#, the treatment plant ground water population served
• Pc#, the treatment plant combined population served
• PCT, the PWS combined population served.
If a PWS sells all of its finished water and has no retail population (PR) the PWS is to
determine its population served as follows:
0.95
PWS population served = 7,700 (PWS's average treated flow in MGD)
Note: This equation was developed from hundreds of data points from the relationship
between flow and population served.
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§141.141 . Section 2: Understanding the ICR Language
At this point, each treatment plant's population served can be calculated according to the
equation:
Treatment plant population served = PWS population served x treatment plant flow
PWS average treated flow
Use Exhibits 2-1 through 2-4 and the above descriptions to determine the treatment plant
category for each treatment plant in your PWS.
Applicability is to be determined from PWS population records calculated as annual
averages of the 12 calendar months of 1995. Flow values are monthly or annual averages
expressed in MGD. If a treatment system or plant was not in operation for a month or
more in 1995 because of a natural disaster or construction/maintenance, applicability
determinations are to be based on those months in 1995 when the system or plant was
operational plus the months from 1994 that are representative of the inoperable ones from
1995. If a treatment system or plant was inoperable as a result of a seasonal reduction in
demand for finished water, then those months are to be included in the calculation of
annual population averages as zeros. If the treatment system or plant's total operational
lifetime was less than 12 months by December 1995 (e.g., a new plant) or if the PWS
purchases all of its water from other PWSs and does not further treat its water, compliance
with the ICR is not required.
EXAMPLE CATEGORIZATION
The purpose of this example is to illustrate the determination of PWS treatment plant
categorizations using the worksheets provided in Exhibits 2-1 and 2-2. Handwritten
examples were completed in this example to reflect how a system would prepare these
worksheets.
In this example, City A has two treatment plants with surface, ground, and purchased water
sources, and a distribution system. The first treatment plant, called Namel, has a 3 MGD
surface water source and a 7 MGD ground water source that are blended and treated in
a 10 MGD treatment plant. The second treatment plant, called Name2, is a 15 MGD plant
and has a 10 MGD ground water source and treats 5 MGD of purchased untreated water.
City A buys an additional 2 MGD of finished water from another PWS. The PWS for City
A also wholesales 5 MGD to another city. The retail population served by City A is
250,000.
The categorization process involves completing the worksheets in Exhibits 2-1 and 2-2
for the two treatment plants and the PWS. Completed categorization worksheets are
provided in Exhibits 2-1 a and 2-1 b for the two treatment plants and in Exhibit 2-2a for the
summary of the PWS. In Exhibits 2-1 a and 2-1 b, the first part involves determining the
retail population, purchased and wholesale flows, and the combined flow for the system.
Note that information in this part is shared between the two worksheets. In part 2, the
conversion factor is calculated, which has the same value for all treatment plants in the
PWS. Under part 3, the treatment plant populations are calculated based on the
conversion factor. These populations are transposed to the summary sheet (Exhibit 2-2a).
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Section 2: Understanding the ICR Language
The treatment plant category can be determined using the flow chart in Exhibit 2-3 which
is based on the criteria in Exhibit 2-4.
(b) APPLICABILITY
The seven treatment plant categories derived using Appendix A of the ICR (i.e., categories
A through G) are shown in Exhibit 2-4. Brief descriptions of these seven treatment plant
categories and their applicability to the various ICR monitoring requirements follow:
Category A
• Qualifying Criteria
• PWS has a combined population served of ;> 100,000;
• Treatment plant has a combined population served of ^100,000; and
• Treatment plant has a surface water population served of ^1 .
• Applicable Requirements
• DBP and related monitoring per §141 .142;
• Microbiological monitoring per §141. 143;
• Treatment study applicability monitoring per §141 .144; and
• Bench- or pilot-scale treatment studies per §141.144 (pilot-scale required for
treatment plants with a population served ^500,000).
Category B
• Qualifying Criteria
• PWS has a combined population served of > 100,000;
• Treatment plant has a combined population served of ;> 100, 000; and
• Treatment plant has a surface water population served of zero.
• Applicable Requirements
• DBP and related monitoring per §141 .142;
• Treatment study applicability monitoring per §141 .144; and
• Bench- or pilot-scale treatment studies per §141 .144 (pilot-scale required for
treatment plants with a population served >500,000).
Category C
• Qualifying Criteria
• PWS has a combined population served of ;> 100, 000;
• Treatment plant has a combined population served of <1 00,000;
• Treatment plant is the PWS's largest
• Treatment plant has a surface water population served of ;> 1 .
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§141.141 Section 2: Understanding the ICR Language
• Applicable Requirements
• DBP and related monitoring per §141.142;
• Microbiological monitoring per §141.143 ;
• Treatment study applicability monitoring per §141.144;
• Bench- or pilot-scale treatment studies per §141.144.
Category D
• Qualifying Criteria
• PWS has a combined population served of ^ 100,000;
• Treatment plant has a combined population served of <100,000;
• Treatment plant is the PWS's largest; and
• Treatment plant has a surface water population served of zero.
• Applicable Requirements
• DBP and related monitoring per §141.142;
• Treatment study applicability monitoring per §141.144; and
• Bench- or pilot-scale treatment studies per §141.144.
Category E
» Qualifying Criteria
• PWS has a combined population served of ;> 100,000;
• Treatment plant has a combined population served of <100,000;
• Treatment plant is not the PWS's largest; and
• Treatment plant has a surface water population served of ^1.
• Applicable Requirements
• DBP and related monitoring per §141.142; and
• Microbiological monitoring per §141.143.
Category F
» Qualifying Criteria
PWS has a combined population served of £ 100,000;
Treatment plant has a combined population served of <100,000;
Treatment plant is not the PWS's largest;
Treatment plant has a surface water population served of zero; and
Treatment plant has ground water population served of <100,000.
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Section2: Understanding'theICRLanguage §t4t.t41
• Applicable Requirements
• DBP and related monitoring per §141.142.
Category G
• Qualifying Criteria
• PWS has a combined population served between 50,000 and 99,999;
• PWS has a ground water population served of >50,000; and
• Treatment plant is the PWS's largest ground water plant.
• Applicable Requirements
• Treatment study applicability monitoring per §141.144; and
• Bench- or pilot-scale treatment studies per §141.144.
(c) DBP AND RELATED MONITORING
Under the ICR, utilities will monitor for a number of categories of parameters related to
disinfection byproducts. One category is organic and inorganic materials that occur in
water entering water treatment plants, because these materials react with disinfectants to
form byproducts. A second category is the amount of disinfectant that remains after
treatment and that is available to react with the organic materials to form byproducts. A
third category is the byproducts themselves. These byproducts vary depending on the
disinfectant being used. These data will provide information on the relationship between
the amount and type of organic material in the water, the amount of disinfectant used, and
the degree of byproduct formation.
PWSs affected by this requirement must conduct monthly monitoring for DBPs, DBP
precursors, and other chemical parameters at each treatment plant and in the distribution
systems. These PWSs are also required to characterize treatment processes (e.g.,
sedimentation and filtration) in the treatment plant on a monthly basis for 18 months.
PWSs receiving all of their water from a supplier and not further disinfecting that water at
the entrance to the distribution system are not required to conduct any monitoring under
this rule.
Treatment plants in categories A, B, C, D, E, and F (discussed previously) are subject to
the DBP and related monitoring requirements specified in §141.142, as presented in
Exhibit 2-5 and below:
• Category A, B, C, D, and E treatment plants are to monitor for 18 consecutive
months, even if a treatment plant was not used for one or more calendar months.
If the treatment plant is not being used, only treatment plant influent monitoring
needs to be conducted.
• Category F treatment plants are also to monitor for 18 consecutive months unless
a treatment plant was not used for one or more calendar months.
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§141.141 Section 2: Understanding the ICR Language
The section summary for §141.142 presents detailed information about DBF requirements.
For the months when a treatment plant is not operational, the monthly report required
under §141.142(c) must still be submitted, but should indicate zero flow.
(d) MICROBIOLOGICAL MONITORING
Under the ICR, utilities will monitor for representative bacteria, viruses, and protozoa over
an 18-month period. These data are needed to develop national occurrence estimates of
the presence and levels of microbial contamination in water entering water treatment
plants. Microbiological monitoring requirements for surface water plants include monitoring
for disease-causing microorganisms, such as Cryptosporidium and Giardia, and total
culturable viruses.
Treatment plants in categories A, C, and E must conduct microbiological monitoring once
a month as specified in §141.143 and summarized in Exhibit 2-6. Treatment plants are
required to conduct 18 consecutive months of monitoring, even if the plant is not used
every month.
PWSs must conduct finished water monitoring at any treatment plant where 10 or more
Giardia cysts, 10 or more Cryptosporidium oocysts, or one or more total culturable viruses
(per liter of water) are detected during the first 12 months of monitoring. The PWS must
analyze finished water samples for the same organisms as those sampled in source water
until 18 months of source water microbial monitoring are completed. Consult the section
summary for §141.143 in this reference manual for detailed information about micro-
biological monitoring requirements.
To be eligible for reduced monitoring, a PWS must notify EPA in its response to the EPA
Notice of Applicability of its plans to conduct reduced monitoring, which is available under
the following provisions:
» A PWS may avoid the requirement to conduct finished water monitoring of
Cryptosporidium and Giardia by complying instead with alternative monitoring
requirements, including particle counting at several locations within the treatment
plant (see §141.143(a)(2)(iii) for details).
• A PWS may avoid virus monitoring if the PWS has monitored for total conforms,
fecal coliforms, or E. coli in the treatment plant influent for at least 5 days a week
for a consecutive 6-month period beginning after January 1, 1994 and if 90 percent
of all samples taken contain no more than 100 total coliforms/100 milliliters (ml_),
20 fecal coliforms/100 mL, or 20 E. co//7100 mL (see §141.143(a)(2)(iv) for details).
(e) DBF PRECURSOR REMOVAL STUDIES (TREATMENT STUDIES)
Under the ICR, some utilities will be required to perform bench- or pilot-scale studies on
one of two types of treatment: granular activated carbon (GAG) or membrane processes.
These studies will be used to judge the effectiveness of these technologies in reducing the
levels of byproduct formation and the associated cost.
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Section 2: Understanding the ICR Language _ §T4t.l4t
In general, treatment study applicability monitoring requires monitoring for total organic
carbon (TOC) for 12 consecutive months. To determine which treatment plants will be
required to conduct bench and/or pilot-scale testing, PWSs are required to conduct
treatment study applicability monitoring according to the following requirements:
• PWSs must monitor for TOC in the influent of each treatment plant that treats
surface water and serves a population of 100,000 people or more.
• For treatment plants serving a population of 1 00,000 people or more and using only
ground water as the source, TOC monitoring must be conducted on finished water.
• For PWSs that serve at least 1 00,000 people but have no individual treatment plant
serving 1 00,000 or more, TOC monitoring must be conducted at the treatment plant
serving the largest population. PWSs serving at least 50,000 people but less than
1 00,000 (with at least 50,000 served by ground water) are required to monitor
finished water TOC at the treatment plant serving the largest population.
• A PWS operating multiple treatment plants using a common source is required to
conduct only one treatment study for those treatment plants.
Exhibit 2-7 summarizes the treatment plant applicability monitoring and treatment study
requirements. Refer to the §141.144 Section Summary for detailed information about
treatment study requirements.
(1 ) PWS Applicability for Treatment Studies
At each treatment plant in categories A, B, C, D, and G, a PWS must conduct treatment
study applicability monitoring as discussed in (2) Treatment Study Applicability Monitoring
of the ICR and in the appropriate treatment studies per §141.144, except for treatment
plants that meet any of the following criteria:
• Satisfy the "no treatment study" required criteria under (e)(3) of this section.
• Meet the common water resource criteria for conducting joint treatment studies
under (e)(4) of this section. [(e)(1)(ii)]
• Meet the common water resource criteria in paragraph (e)(5) of this subsection and
contribute funds toward research in lieu of conducting a treatment study (the
"buyout" option). [(e)(1)(iii)]
» Have previously conducted a treatment study that satisfies the conditions in
"grandfathered studies" under (e)(6) of this section. [(e)(1)(iv)]
(2) Treatment Study Applicability Monitoring
» TOC. Treatment plants in categories A, B, C, D, and G must monitor TOC monthly
for 12 months. Treatment plants using surface water (i.e., A and C) must monitor
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§141.141 _ Section 2: Understanding the ICR Language
treatment plant influent and those using ground water (i.e., B, D, and G) must
monitor finished water. [(e)(2)(i)]
• THM4 and HAAS. Only treatment plants that want to avoid conducting treatment
studies based on their use of chlorine as the primary and residual disinfectant and
their annual average level of THM4 <40 ug/L and HAAS <30 ug/L need to conduct
THM4 and HAAS treatment study applicability monitoring. Annual average levels
of THM4 and HAAS are determined by averaging the four distribution system
sample averages collected under the quarterly DBF monitoring requirements of
" UFCTOX. Total organic halides formed under the uniform formation conditions
(UFCTOX) monitoring is only required of treatment plants seeking (1) to qualify for
a joint treatment study on the basis of having river intakes between 20 and 200
miles apart with a mean water resource UFCTOX within 10 percent of the mean
UFCTOX of all the treatment plant influents (based on UFCTOX analytical results
of the same 12 months for all participating treatment plants) or (2) to qualify for the
contributing funds alternative to conducting a treatment study, which requires a
common water resource designation as determined in Joint Treatment Studies
under (e)(4) of this section. [(e)(2)(iii)]
(3) No Treatment Study Required
If any of the following conditions are true of a treatment plant, then the PWS does not need
to perform a treatment study at that particular treatment plant, as long as the required
information has been submitted to EPA no later than November 14, 1997 (18 months after
the publication of the final rule):
« Plants Can Avoid Treatment Studies on the Basis of TOC. Treatment plants
using surface water with a treatment plant influent TOC annual average of less than
or equal to 4.0 mg/L, determined by averaging the initial 12 monthly TOC samples
obtained through DBP monitoring. [(e)(3)(ii)] Treatment plants using only ground
water (not under the direct influence of surface water) that has a finished water TOC
annual average of less than or equal to 2.0 mg/L, determined by averaging the initial
12 monthly TOC samples attained through DBP monitoring. [(e)(3)(iii)]
• Plants Can Avoid Treatment Studies on the Basis of THM4 and HAAS.
Treatment plants using chlorine as both the primary and residual disinfectant with
levels of <40 ug/L. for THM and <30 ug/L for HAAS. THM4 and HAAS levels are to
be determined as annual averages of four quarterly averages, which are the
arithmetic average of the four distribution samples collected under DBP monitoring
requirements. [(e)(3)(i)]
» Plants Can Avoid Treatment Studies If They Use Full-Scale Membrane or GAC.
Treatment plants that already use full-scale GAC or membrane technology and are
capable of achieving precursor removal. Achieving precursor removal requires the
following:
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5ecf/on 2: Understanding the ICR Language §141.141
• For GAG technology, an empty bed contact time (EBCT) of greater than or equal
to 15 minutes with a time between carbon reactivation or replacement of not
more than 9 months (if these criteria are not met but effective DBF precursor
removal can be demonstrated, PWSs may still apply to avoid treatment studies)
• For membrane technology, nanofiltration or reverse osmosis membranes.
The PWS must conduct monitoring and submit full-scale plant data as required by
§141.142 DBP monitoring (the GAG or membrane process must be included in the
sampled process train). [(e)(3)(iv)]
(4) Joint Treatment Studies
PWSs that use common water resources and similar treatment trains (e.g., both are
conventional filtration treatment plants or both are softening plants) may conduct joint
treatment studies with other PWSs.
To qualify as using a common water resource, the mean TOG or UFCTOX value for each
of the treatment plants involved must be within ±10 percent of the average of all the
treatment plants (TOG or UFCTOX values are to be calculated using the monthly treatment
plant influent data for surface water resources or finished water data for ground water
resources collected during the 12 months of applicability monitoring) and the following
requirements for that type of water resource must be met: [(e)(4)(i)]
• For river sources, either:
• The intakes are within 20 river miles of each other and TOG at each treatment
plant influent is within ±10 percent of the mean TOG for all the treatment plant
influents. [(e)(4)(i)(A)(1)]
OR
• The intakes are greater than or equal to 20, but less than 200, river miles apart
and the mean water resource UFCTOX is within ±10 percent of the mean
UFCTOX for all treatment plant influents, based on UFCTOX analytical results
of the same 12 months for all participating treatment plants. [(e)(4)(i)(A)(2)]
• For lake/reservoir intakes, the same lake or reservoir must serve all cooperating
treatment plants and TOC at each treatment plant influent is within 10 percent of the
mean TOC for all the treatment plant influents. [(e)(4)(i)(B)]
• For ground water not under the direct influence of surface water, the treatment
plants must have intakes from a single aquifer and finished water TOC at each
treatment plant within 10 percent of the mean finished water TOC for all the
treatment plants. [(e)(4)(i)(C)]
The types and number of studies to be conducted are contingent on the size of the
treatment plant and the number of participating treatment plants (see Exhibits 2-8 and
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§141.141 Section 2: Understanding the ICR Language
2-9). Treatment plants are split into two size categories—those with populations served
of <500,000 and those with populations served of ^500,000; joint studies can be
conducted only among treatment plants in the same category. No more than three
treatment plants that each have a population served of 2:500,000 can join together to
conduct treatment studies; no more than six treatment plants serving populations of
<500,000 can form a cooperative. [(e)(4)(ii)]
(5) Alternative to Treatment Studies
In lieu of conducting treatment studies, a PWS may opt to contribute funds to a Disinfection
Byproducts/Microbial Research Fund (termed the buyout option). This fund will be a
cooperative research effort. Buyout options may be used by treatment plants if they meet
both the following criteria:
» They use a common water resource
* A treatment study is being conducted by another PWS or cooperative operating on
the common source.
A treatment plant serving 500,000 persons or more cannot buy out unless a plant within
the cooperative, serving 500,000 persons or more, is conducting a pilot-scale study on the
common source. A treatment plant serving less than 500,000 persons can buy out if either
a bench-scale or a pilot-scale study is being conducted on the common source. An
approved grandfathered study can be used as justification for contributing to the
cooperative research effort.
Funds will be contributed to the Disinfection Byproducts/Microbial Research Fund, and will
be administered by the AWWA Research Foundation under the direction of an
independent research council. The funds will be used to research disinfectants, disinfec-
tion byproducts, and enhanced surface water treatment issues. The contribution is
$300,000 for treatment plants serving ^500,000 people and $100,000 for those serving
<500,000. [(e)(5)(i)] Funds are to be sent to the address provided in the approval letter
no later than 90 days after EPA grants the waiver.
PWSs must submit an application (and show that they meet the previously mentioned
buyout option criteria) to EPA at the following address:
ICR Precursor Removal Studies Coordinator
EPA - Technical Support Center
26 W. Martin Luther King Drive
Cincinnati, OH 45268.
(6) Grandfathered Studies
If a PWS has already conducted precursor removal studies using activated carbon or
membrane technology (nanofiltration or reverse osmosis), the PWS may use the results
of those studies to fulfill ICR treatment study requirements, if both the following criteria are
met:
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Section 2: Understanding the ICR Language . §141.141
• The analytical methods specified in Table 7 of §141.142(b)(1) and the analytical and
quality control procedures described in DBP/ICR Analytical Methods Manual (EPA
814-B-94-002) were used. [(e)(6)(i)]
• A protocol similar to that specified in the reference guide titled ICR Bench- and Pilot-
scale Treatment Study Guidance Manual (EPA 814-B-96-003) was followed and the
requested data provided. [(e)(6)(ii)]
(7) Obtaining Approval of Criteria Applicability
PWSs interested in avoiding treatment study requirements under any of the following four
provisions must submit an application containing the specified information to EPA at the
following address:
ICR Precursor Removal Studies Coordinator
EPA - Technical Support Center
26 W. Martin Luther King Drive
Cincinnati, OH 45268.
On the Basis of the No Study Required Provisions
The PWS must submit information supporting the criterion in No Treatment Study Required
under (e)(3) of this section, including any pilot or full-scale data showing effective precursor
removal. Applications are to be submitted by November 14, 1997. If a PWS that initially
intended to conduct joint treatment studies, to comply with the alternative to treatment
studies, or to submit a grandfathered study decides to avoid a treatment study under any
of the no study required provisions, then that PWS must notify any other PWSs that were
associated with the previously submitted application. [(e)(7)(i)]
On the Basis of the Joint Treatment Study Provisions
By May 14,1997 (i.e., 12 months after publication of the final rule), the PWS must submit
a "letter of intent" to EPA signed by all participating PWSs to conduct joint treatment
studies. The purpose of the letter of intent is to provide early notification to EPA of the
interest of the participating PWSs and to allow EPA to begin reviewing the supporting
information. All participating PWSs should understand that the letter of intent is not
binding; if the results of 12 months of TOC or THM4 and HAAS monitoring at a plant
indicate that it can avoid conducting studies based on one of the exclusions, that plant
does not need to participate in a joint treatment study. Also, if the results of 12 months of
TOC or UFCTOX monitoring do not support the common source designation, the systems
will not be allowed to conduct joint studies.
The letter of intent must include the following information for each plant to be included:
• Proof of a common water resource designation [(e)(7)(ii)(A)]
• Demonstration of similar treatment trains [(e)(7)(ii)(B)]
2-23
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§141.141 _ _ Section 2: Understanding the ICR Language
• Proof of same size category [(e)(7)(ii)(C)]
« Treatment plant influent TOC, finished water TOC, or UFCTOX results from the first
6 months of monitoring [(e)(7)(ii)(D)]
• Description of type of studies to be conducted [(e)(7)(ii)(E)]
• Any additional supporting data. [(e)(7)(ii)(F)]
A combined application for joint studies approval, including 12 months of treatment plant
influent TOC, finished water TOC, or UFCTOX monitoring results from each treatment
plant, is to be submitted to EPA by all participating PWSs by November 14, 1997 (i.e., 18
months after publication of the final rule). [(e)(7)(ii)] EPA will review this application and
notify the plant cooperative whether the joint study is approved or disapproved.
On the Basis of the Alternative Fund Contribution Provision
If a PWS believes that it qualifies to "buy out" of the treatment study requirement, it must
submit a letter of intent to contribute funds to the Disinfection Byproducts/Microbial
Research Fund no later than May 14, 1997 (i.e., 12 months after the publication of the final
rule). The letter must identify the other treatment plants using the same water resource
that will be conducting treatment studies.
Each treatment plant must submit an application for alternative approval that includes 12
months of treatment plant influent TOC, finished water TOC, or UFCTOX monitoring
results by November 14, 1997 (i.e., 18 months after the publication of the final rule). It is
possible, however, that the PWS may not be able to qualify for the buyout option and may
be required to conduct treatment studies if there are no other appropriately sized treatment
plants using the same water resource that are planning to conduct treatment studies.
Approval cannot be final until EPA has confirmed that a treatment study is being conducted
by another plant on the common source. EPA will notify the PWS if it can avoid the study
by contributing funds to the Disinfection Byproducts/Microbial Research Fund. Information
will be provided in the notification of approval on the mechanism for contributing funds to
the research fund. The PWS must make the contribution no later than 90 days after
notification by EPA that the buyout application is approved.
On the Basis of the Grandfathered Study Provision
If a PWS is interested in qualifying for the "grandfathered study" provision, the following
information is to be submitted to EPA by February 14, 1997 (i.e., 9 months after the
publication of the final rule):
• A description of the study
• The equipment used
• The experimental protocol
» The analytical methods
2-24
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Section 2: Understanding the ICR Language §141.141
• The quality assurance plan
• Any reports resulting from the study.
By November 14, 1997 (i.e., 18 months after the publication of the final rule), the PWS
must submit the study data specified in ICR Manual for Bench- and Pilot-scale Treatment
Studies (EPA 814-B-96-003). An approved grandfathered treatment study can be used
for avoidance under the alternative fund contribution provision, summarized on page 2-22.
To apply an approved grandfathered study to the joint treatment studies provisions, the
study must satisfy the joint treatment studies criteria summarized on page 2-21 and the
PWS that conducted the study must submit written concurrence.
(f) EFFECTIVE DATES
Notification
In June 1996, EPA notified PWSs that it believed were subject to the ICR rule. Upon
receipt of a Notice of Applicability letter from EPA, a PWS had 35 calendar days to inform
EPA of what ICR requirements apply to each treatment plant within the system. If a PWS
meets ICR applicability criteria (as specified in Appendix A of the final rule and in this
section summary) but did not receive a Notice of Applicability from EPA by June 28, 1996,
that PWS should have contacted EPA at the following address by July 13, 1996: [(f)(1)]
ICR Utilities Coordinator
EPA - Technical Support Center
26 W. Martin Luther King Drive
Cincinnati, OH 45628.
PWSs that have not received a Notice of Applicability from EPA and/or have not responded
to EPA by July 13, 1996, should do so immediately.
PWSs that are required to conduct DBP and microbiological monitoring must begin
monitoring for both in the same month and submit their DBP and microbiological sampling
plans at the same time. [(f)(2)]
Sampling Plans
PWSs must submit initial sampling plans to EPA for review and approval no later than 8
weeks after receiving the final applicability letter from EPA in August 1996. The initial
sampling plan must be developed by the utility for each treatment plant affected by the ICR
and will include the plant design parameters for each unit process in each process train for
each treatment plant, the location of each sampling point, and the analytical parameters
to be monitored at each sampling point. The ICR Water Utility Database System and
Users' Guide contains data entry worksheets that will aid in the collection and entry of the
plant design parameters. The data entry software will be used to develop the plan, and a
video (An Introduction to the ICR Water Utility Database System, EPA 814-V-96-004) is
available to introduce utility personnel to the software. Training courses will also be offered
by AWWA in September and October of 1996 to provide "hands-on" instruction in the use
of the software. Additional help on the use of the software will also be available from the
2-25
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§141.141 Section 2: Understanding the ICR Language
AWWA A-Team and through the ICR Data Management System Hotline (see Section 4).
The initial sample plan must be submitted to EPA on diskette using the data entry software.
The PWS must begin monitoring the month after EPA notifies the PWS that the plan has
been approved. In general, PWSs must conform with ICR requirements for the following
dates (see also Exhibit 2-10):
» DBF and Related Monitoring
• Start: Month following approval of sampling plan
• Continue: 18 consecutive months
» Microbiological Monitoring
• Start: Month following approval of sampling plan
• Continue: 18 consecutive months
« Treatment Study Applicability Monitoring
• Start: Prior to September 30,1996 (see July 24, 1996 William Diamond
Letter)
• Continue: 12 consecutive months for TOG and UFCTOX
4 consecutive quarters for THM4 and HAAS
• Treatment Studies
• Start: Prior to April 14, 1998
• End: July 14, 1999.
2-26
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Section 2: Understanding the ICR Language
§141.141
Exhibit 2-1: Categorization Worksheet
Treatment Plant Name
Reference Number
Instructions Use a separate worksheet for each treatment plant. This worksheet is to be used
to calculate the treatment plant population information necessary for determining a
treatment plant's ICR category. Assign each treatment plant a reference number
and insert this number where there are underscores below. Add the population
information from Step 3 to the accompanying PWS Summary Sheet. Use the PWS
Summary Sheet in conjunction with Exhibit 2-4 to determine each treatment plant's
ICR categories.
1. Gather the following information from
operational records:
This TP
Each TP PWS
F '= F + F + F P =
C# S# G# P# R
If others, list below Fw =
3. Convert flow data to population, using P=
P =
s
P =
G
PP_
C_
= P + P + P
S_ G_ P_
2. Calculate the PWS-specific
conversion factor, K:
K = FCT + FN - F,
W
Note: If P = o, see reverse side
R
Key:
General
F = flow value (millions of gallons per day)
P = population value (# of people)
TP = treatment plant
PWS = public water system
Variables with 1 subscript
PR = retail population
FN = purchased finished water DBS treated
Fw = wholesale flow
Variables with 2 subscripts
1st indicates source type
S = surface water P :
G = ground water C =
purchased
combined
• ground water
2nd indicates either TP number (#) or Total (T)
2-27
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§141.141
Section 2: Understanding the ICR Language
Exhibit 2-1: Categorization Workshop (continued)
If a PWS sells all its finished water, the population served is calculated as follows:
PWS population served = 7,700 (PWSs average treated flow in MOD)
V0.95
TP population served
- PWS population served x TP flow
PWS average treated flow
2-28
-------
Section 2: Understanding the ICR Language
§141.141
Exhibit 2-1 a: Example Categorization Worksheet for City A
(Treatment Plant Number 1)
1
Treatment Plant Name
Reference Number
Instructions Use a separate worksheet for each treatment plant. This worksheet is to be used
to calculate the treatment plant population information necessary for determining a
treatment plant's ICR category. Assign each treatment plant a reference number
and insert this number where there are underscores below. Add the population
information from Step 3 to the accompanying PWS Summary Sheet. Use the PWS
Summary Sheet in conjunction with Exhibit 2-4 to determine each treatment plant's
ICR categories.
1. Gather the following information from
operational records:
Each TP
PWS
3. Convert flow data to population, using P=
2. Calculate the PWS-specific
conversion factor, K:
K = FCT + FN - F
Note: If P = 0, see reverse side
R
Key:
General
F = flow value (millions of gallons per day)
P = population value (# of people)
TP s treatment plant
PWS a public water system
Varlables-WlthJ-Subscrlpt
Pn
FN
Fw
= retail population
= purchased finished water not treated
- wholesale flow
Variables with 2 subscripts
1 st indicates source type
S = surface water
G = ground water
P = purchased
C = combined
2nd indicates either TP number (#) or Total (T)
2-29
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§141.141
Section 2: Understanding the ICR Language
Exhibit 2-1 b: Example Categorization Worksheet for City A
(Treatment Plant Number 2)
Treatment Plant Name
Reference Number
Instructions Use a separate worksheet for each treatment plant. This worksheet is to be used
-"— to ca|CU|ate the treatment plant population information necessary for determining a
treatment plant's ICR category. Assign each treatment plant a reference number
and insert this number where there are underscores below. Add the population
information from Step 3 to the accompanying PWS Summary Sheet. Use the PWS
Summary Sheet in conjunction with Exhibit 2-4 to determine each treatment plant s
ICR categories.
1. Gather the following information from
operational records:
This TP
Each TP
PWS
3. Convert flow data to population, using P= K
= 0 =
2. Calculate the PWS-specific
conversion factor, K:
K = F
CT
FN - F
w
a P^S
Note: If P = 0, see reverse side
R
Key:
General
F = flow value (millions of gallons per day)
P = population value (# of people)
TP = treatment plant
PWS = public water system
VgriahlPs with 1 subscript
Pn
R;
Fw
= retail population
= purchased finished water oal treated
= wholesale flow
Variables with 2 subscripts
1st indicates source type
S = surface water P = purchased
G = ground water C = combined
2nd indicates either TP number (#) or Total (T)
2-30
-------
Section 2: Understanding the ICH Language
§141.141
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2-31
-------
§141.141
Section 2: Understanding the ICR Language
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2-32
-------
Section 2: Understanding the ICR Language
§141.141
o
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-------
§141.141
Section 2: Understanding the ICR Language
Exhibit 2-4: Treatment Plant Categories
(Adapted from ICR §141.141 Table 1)
Treatment
Plant
Category
A
B
C
D
E
F
G
PWS Criteria
Combined
Population
Served, PCT
i 100,000
2: 100,000
i100,000
s 100,000
2:100,000
i1 00,000
50,000-99,999
(2:50,000 served
by ground water)
Treatment Plant Criteria ; >
Combined
Population
Served, PC,
;> 100,000
;> 100,000
<1 00,000 and
largest in PWS
<1 00,000 and
largest in PWS
<1 00,000 and not
largest in PWS
<1 00,000 and not
largest in PWS
N/A
Surface Water
Population
, Served, Ps#
2:1
0
^1
0
*1
0
N/A
Ground Water
Population
Served, PG# ^
N/A
N/A
N/A
<1 00,000
N/A
<1 00,000
largest
treatment plant
Key: N/A = not applicable
PWS = public water system
2-34
-------
Section 2; Understanding the ICR Language
Exhibit 2-5: ICR DBF Applicability Criteria and Monitoring Requirements
(Adapted from ICR §141. 141 Table 2)
A
B
C
D
E
F
G
§141. 142 Tables 1-62
§141. 142 Tables 1-62
§141. 142 Tables 1-62
§141. 142 Tables 1-62
§141. 142 Tables 1-62
§141. 142 Tables 1-62
N/A
1. As determined by Appendix A §141.141 (a).
2. Table 2 is required only for treatment plants using chloramines. Table 3 is required only for treatment
plants using hypochlorite solution. Tables 4a and 4b are required only for treatment plants using
ozone. Tables 5a and 5b are required only for treatment plants using chlorine dioxide.
Key: N/A = not applicable
2-35
-------
§141.141
Section 2: Understanding the ICR Language
2.
Exhibit 2-6: ICR Microbiological Applicability Criteria
and Monitoring Requirements
(Adapted from ICR §141.141 Tables 2 and 3)
Treatment Plant Category
A
B
C
D
E
F
G
Microbiological Monitoring Requirements
Treatment plant influent and finished water1 for:
• total cultivable viruses2
• total conforms
• fecal coliforms or E. coli
• Giardia3 and Cryptosporidiunf
N/A
Treatment plant influent and finished water1 for:
• total culturable viruses2
• total coliforms
• fecal coliforms or E. coli
• Giardia3 and Cryptosporidiunf
N/A
Treatment plant influent and finished water1 for:
• total culturable viruses2
• total coliforms
• fecal coliforms or E. coli
• Giardia3 and Cryptosporidiunf
N/A
N/A
Only required for PWSs that during the first 12 months of monitoring detect ;>10 Giardia cysts,
Cryptosporidium oocysts, or ;>1 total culturable virus in 1 L of water; or calculates the numerical value of
the Giardia or Cryptosporidium concentration to be s 1 ,000/1 00 L or the virus concentration is ;> 1 00/1 00
L; or no pathogens are detected in the sample, but the numerical value of the detection limit for Giardia
or Cryptosporidium is calculated to be z 1,000/1 00 L or for viruses is z 100/1 00 L. See §141.143 for
details.
PWS may avoid virus monitoring if the PWS has monitored total coliforms, fecal coliforms, or E. coli in
treatment plant influent for at least 5 days a week for any 6-month period beginning after January 1 , 1 994;
and 90 percent of all samples taken in that period contained ^100 total coliforms/100 ml_, 20 fecal
coliforms/1 00 ml_, or 20 £ co//71 00 mL.
3. A PWS may avoid finished water monitoring requirements for Giardia and Cryptosporidium if the PWS
notifies EPA that it will comply with the alternative requirements described in §141.143(a)(2)(iii). The
PWS must still conduct finished water quality monitoring for all other microorganisms except that Giardia
and Cryptosporidium monitoring in the finished water is not required.
N/A = not applicable
2-36
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Section 2: Understanding the ICH Language
§t4t.f4f
Exhibit 2-7: 1CR Treatment Study Applicability Monitoring
and Treatment Study Requirements
(Adapted from ICR §141.141 Table 2)
Treatment
Plant^
^Category -
A
B
C
D
E
F
G
,„ „ ", "* Requirements^ «* \ v
\ • 500,000, pilot-
scale required)
Bench- or Pilot-scale
Bench- or Pilot-scale
N/A
N/A
Bench- or Pilot-scale
- , •<. : ,
Treatment P?ant
^Exemption Criteria- '-.
^™ ^ n ^
• Uses chlorine as both the
primary and residual
disinfectant with levels
<40,ug/L for THM4 and
sSO^g/L for HAAS
-OR-
• Uses surface water with a
treatment plant influent
TOC level <4.0 mg/L
-OR-
• Uses ground water with
finished water TOC level
<;2.0 mg/L
-OR-
• Already using full -scale
GAC or membrane
technology capable of
achieving precursor
removal
1. THM4 and HAAS monitoring only required for PWSs intending to avoid treatment studies according
to §141.144(e)(3)(i); UFCTOX monitoring only required for some PWSs intending to qualify for a
common source designation.
Key: N/A = not applicable
HAAS = mono-, di-, and trichloroacetic acid and mono- and dibromoacetic acid
TOC = total organic carbon
THM4 = chloroform, bromodichloromethane, dibromochloromethane, and bromoform
UFCTOX = total organic halides formed under the uniform formation conditions
Pc# = treatment plant total population served
2-37
-------
§141.141
Section 2: Understanding the ICR Language
Exhibit 2-8: Joint Studies Requirements for Treatment Plants
with a Population Served <500,000
(Adapted from table in ICR §141.141(e)(4)(ii))
1. GAG or membrane
2. GAC and/or membrane
Exhibit 2-9: Joint Studies Requirements for Treatment Plants
with a Population Served 5:500,000
(Adapted from table in ICR §141.141 (e)(4)(ii))
1. GAC or membrane
2. GAC and/or membrane
Number of Plants
Two
Three
Four
Five
Six
Minimum Number of Studies .,|o i be Conducted
Pilot
11
11
22
22
22
Bench
.
11
11
22
Total
1
2
2
3
4
Number of Plants
Two
Three
Minimum Number of Studies to be Conducted
Pilot
11
22
Bench
. 22
Total '
3
2
2-38
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Section 2: Understanding the ICR Language
Exhibit 2-10: ICR Monitoring Schedule
' V, *"*
"Monitoringf Typev
DBF and Related
Microbiological
Treatment Study
Applicability
Treatment Studies
. * -o^ff ' ",
^ < Begin Mofiitorinfjt'
Month following
approval of sampling plan
Month following
approval of sampling plan
Prior to September 30, 19961
Prior to April 14, 1998
>? >*> *.•< -; • ~-
"^ ' ^Tlme^Peridcl " 1 "",
1 8 consecutive months
1 8 consecutive months
1 2 consecutive months for
TOC and UFCTOX
4 consecutive quarters for
THM4 and HAA5
Results to be delivered to
EPA by July 14, 1999
„ Rule Location
*, -Reference^
§141.1 41 (f)(3)
§141.141(f)(4)
§141.1 41 (f)(5)(i)
§141.1 41 (f)(5)(ii)
1. Modified in July 24,1996 letter from William Diamond, USEPA.
Key: DBP = disinfection byproduct
FR = Federal Register
HAAS = mono-, di-, and trichloroacetic acid and mono- and dibromoacetic acid
THM4 = chloroform, bromodichloromethane, dibromochloromethane, and bromoform
UFCTOX = total organic halides formed under the uniform formation conditions
2-39
-------
-------
Section 2: Understanding the ICR Language
§141.142
Outline: ICR §141.142—DBF and Related
Monitoring
ICR FR Page and Column
(Reference Manual Page)
(a) Monitoring Requirements 24374, col. 3 (2-43)
(1) Treatment Plant Requirements for PWSs specified in
§141.141 (b) 24375, col. 1 (2-44)
(i) Finished water sampling points
(ii) Treatment plant influent sampling points
• Monthly Monitoring Requirements for Treatment Plants
• Quarterly Monitoring Requirements for Treatment Plants
(2) Additional Requirements for PWSs Using
Chloramines 24376, col. 1 (2-45)
• Additional Quarterly Monitoring for Treatment Plants Using
Chloramines
(3) Additional Requirements for PWSs Using Hypochlorite
Solutions 24376, col. 1 (2-45)
• Additional Quarterly Monitoring for Treatment Plants Using
Hypochlorite Solutions
(4) Additional Requirements for PWSs Using Ozone 24376, col. 1 (2-45)
• Additional Monthly Monitoring for Treatment Plants Using Ozone
• Additional Quarterly Monitoring for Treatment Plants Using Ozone
(5) Additional Requirements for PWSs Using Chlorine
Dioxide 24377, col. 1 (2-46)
• Additional Monthly Monitoring for Treatment Plants Using Chlorine
Dioxide
• Additional Quarterly Monitoring for Treatment Plants Using
Chlorine Dioxide
(6) Additional Requirements 24377, col. 1 (2-47)
Public Water System Information
Plant Influent Information
Unit Process Information
Additional Process Train Information
Finished Water Distribution Information
(i) Flow at time of sampling (MGD)
(ii) T10 (min)
(iii) Chemicals in use at time of sampling
(iv) Short circuiting factor (optional)
(v) T50 (min) (optional)
(b) Analytical Methods
(1) Analytical Methods Approved for Monitoring Rule
(2) ICR Laboratory Approval
24383, col. 1 (2-48)
2-41
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§141.142 Section 2: Understanding the ICR Language
(c) Reporting 24384, col. 1 (2-48)
(1) Reporting Requirements
(2) Additional Requirements (Sampling Plans)
(3) Address for Report Submission
(4) Retention of Data
(d) Incorporation By Reference 24384, col. 2 (2-50)
(1) "Standard Methods for the Examination of Water and Wastewater"
(2) "Guidance Manual for Compliance with the Filtration and Disinfection
Requirements for Public Water Systems using Surface Water Sources"
2-42
-------
Section2: Understanding the ICR Language : §74T.?42
Section Summary: ICR §141.142—DBP and
Related Monitoring
In general, PWSs that serve ^100,000 people are required to conduct monitoring for DBFs
and other treatment parameters. PWSs affected by this requirement must conduct
monthly monitoring for DBFs, DBP precursors, and other chemical parameters at each
treatment plant and in the distribution system for 18 months, concurrently with microbial
monitoring. These PWSs will also be required to characterize treatment processes in the
treatment plant on a monthly basis for the same period. Exhibit 2-5 presents the monthly
monitoring requirements for DBPs, DBP precursors, and other chemical parameters by
treatment plant category.
PWSs that receive all of their water from a supplier and do not further disinfect that water
before distribution are not required to conduct any monitoring under this rule. PWSs that
use disinfectants other than free chlorine (chloramines, hypochlorite solution, ozone, or
chlorine dioxide) are required to conduct additional analyses for parameters associated
with those disinfectants.
The DBP and Related Monitoring section (§141.142) of the ICR describes the monitoring
requirements, analytical methods, and reporting responsibilities for systems conducting
DBP and related monitoring. Applicability for DBP and related monitoring is presented in
Section Summary: ICR §141.141-General Requirements, Applicability, and Schedule for
Information Collection (see Section 2). The flowchart in Exhibit 2-11 has been provided
to aid in determining each utility's DBP and related monitoring requirements.
(a) MONITORING REQUIREMENTS
All samples must be collected according to the procedures in the EPA's ICR Sampling
Manual (EPA 814-B-96-001, April 1996). The manual does not cover specific sampling
procedures for the chemical parameters because these procedures have been used by the
water systems for some time and they should be familiar to them.
In some instances, a PWS may be required to sample twice at the same location and time
because of overlapping monitoring requirements. If a PWS has a plant configuration that
results in two required sampling points at the same location and time, these sampling
points should be considered a single sampling location and duplicate analyses are not
required.
PWSs that receive all of their water from a supplier (wholesaler) and do not perform further
disinfection of that water before the distribution system are not required to conduct any
monitoring under this rule. A PWS that uses purchased finished water must determine
whether any monitoring of treatment plant influent is required due to prior treatment of the
water (e.g., chorine, choramines, hypochlorite, or chlorine dioxide).
2-43
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§141.142 Section 2: Understanding the ICR Language
(1) MONTHLY AND QUARTERLY MONITORING REQUIREMENTS FOR TREATMENT PLANTS
Exhibits 2-12 and 2-13 present monthly and quarterly monitoring requirements for
treatment plants; the requirements apply to treatment plants required to sample under
§141.141 (b). The exhibits present frequency of testing (i.e., monthly and quarterly),
sampling points for monitoring, and required parameters. A complete set of samples
(depicted in Exhibits 2-12 and 2-13) is required for each affected plant. Samples will be
collected according to a sampling plan approved by EPA. Special considerations for
finished water samples include the following:
• A sample of finished water represents the final product water from a particular
treatment plant. The sample of finished water must be collected at a point after all
treatment processes for the treatment plant are complete (including the clean/veil
and final points of chlorination) and before the distribution system.
» A PWS must collect a sample of purchased finished water only if the PWS
redisinfects the purchased finished water. A PWS that purchases finished water
from another PWS must collect a sample before any additional disinfectant is added
to the purchased finished water.
An intake (influent) sample should be collected after the intake but before blending with
waters from other intakes and before addition of chemicals or any treatment. There are
several special considerations for intake water samples:
• For systems with single intakes, samples are to be taken after the intake, before
addition of chemicals or any treatment.
• For systems with multiple intakes without treatment or chemicals added, samples
are to be taken after the intakes prior to where the waters are blended.
» For treatment plants that have multiple intakes and add chemicals at the intakes,
the sample of treatment plant influent must be a flow proportional composite of
intake samples collected after the intakes before chemical addition and before
pretreatment. However, if the intakes are expected to have the same source-water
quality, one representative intake sample may be taken.
» If a disinfectant is added at or before the intake (e.g., for zebra mussel control), the
sample must be taken in the vicinity of the intake so that the sample is not
contaminated by the disinfectant.
• A sample of treatment plant influent for a PWS that treats purchased finished water
is taken at a location just before the purchased finished water is treated by the
receiving utility.
The ICR Sampling Manual (EPA 814-B-96-001, April 1996), illustrates some of the special
situations.
2-44
-------
Section 2; Understanding the ICH Language §141.142
(2) ADDITIONAL QUARTERLY MONITORING REQUIREMENTS FOR TREATMENT PLANTS
USING CHLORAMINES
PWSs are required to conduct additional quarterly monitoring for treatment plants that use
chloramines for treatment or for maintenance of a disinfection residual. Exhibit 2-14
presents the additional quarterly monitoring requirements for treatment plants using
chloramines. Specifically, these plants must monitor for cyanogen chloride at three
sampling points: (1) treatment plant influent for purchased finished water, (2) finished
water (plant effluent), and (3) distribution system sample point representing the maximum
residence time in the distribution system relative to the treatment plant, [(a)(2)]
PWSs must submit their cyanogen chloride samples to EPA (Cincinnati) for analysis
according to the procedures in the EPA's ICR Sampling Manual (EPA 814-B-96-001, April
1996). Before collecting cyanogen chloride samples, PWSs must contact EPA to schedule
analyses of these samples. EPA will not analyze any samples that have not been
scheduled. For sample scheduling, the address for EPA is:
ICR Sample Coordinator
EPA - Technical Support Center
ATTN: Room 188
26 W. Martin Luther King Drive
Cincinnati, OH 45268
Fax#: (513)569-7191.
(3) ADDITIONAL QUARTERLY MONITORING REQUIREMENTS FOR TREATMENT PLANTS
USING HYPOCHLORITE SOLUTIONS
PWSs are required to conduct additional quarterly monitoring for treatment plants that use
hypochlorite solutions for treatment or for maintenance of a disinfection residual. Exhibit
2-15 presents the additional quarterly monitoring requirements for treatment plants using
hypochlorite solutions. Specifically, these plants must monitor for chlorate at these three
sampling points: (1) treatment plant influent, (2) treatment plant influent for purchased
finished water, and (3) finished water (plant effluent). [(a)(3)]
In addition, these PWSs will have to analyze the hypochlorite stock solution for four water
quality parameters (i.e., pH, temperature, free residual chlorine, and chlorate). The
hypochlorite stock solution to be sampled is the one that is used at the treatment plant to
feed chlorine into the process stream at the time of sampling (i.e., not solutions used at
booster stations in the distribution system). If more than one hypochlorite stock solution
is used in a treatment plant, then a composite sample of all stock solutions must be
collected.
(4) ADDITIONAL MONTHLY AND QUARTERLY MONITORING REQUIREMENTS FOR
TREATMENT PLANTS USING OZONE
PWSs are required to conduct additional monthly and quarterly monitoring for treatment
plants that use ozone for treatment. Exhibit 2-16 presents the additional monthly
monitoring requirements for treatment plants using ozone. Specifically, these plants must
2-45
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§141.142 Section 2: Understanding the ICR Language
monitor for bromide, bromate, ammonia, and ozone residual. Exhibit 2-17 presents the
additional quarterly monitoring requirements for treatment plants using ozone and includes
aldehydes, assimilable organic carbon (AOC), and biodegradable organic carbon (BDOC).
AOC and BDOC are optional analyses (some PWSs collect these data for other purposes
and may want to submit these data for analysis with the ICR data). [(a)(4)]
PWSs must collect most of their bromate samples in duplicate—the PWS will analyze one
aliquot and EPA the other (using a low-level bromate method). PWSs are to send bromate
and aldehydes samples to EPA for analysis according to the procedures in EPA's ICR
Sampling Manual (EPA 814-B-96-001, April 1996). Before collecting bromate and
aldehydes samples, the PWS must contact EPA to schedule analyses of these samples.
EPA will not analyze any samples that have not been scheduled. For samle
scheduling, the address for EPA is:
ICR Sample Coordinator
EPA - Technical Support Center
ATTN: Room 188
26 W. Martin Luther King Drive
Cincinnati, OH 45268
Fax#: (513)569-7191.
(5) ADDITIONAL MONTHLY AND QUARTERLY MONITORING REQUIREMENTS FOR
TREATMENT PLANTS USING CHLORINE DIOXIDE
PWSs are required to conduct additional quarterly monitoring for treatment plants that use
chlorine dioxide for treatment or for maintenance of a disinfection residual. Exhibit 2-18
presents the additional monthly monitoring requirements for treatment plants using chlorine
dioxide; they must monitor for chlorine dioxide residual, chlorite, chlorate, pH, bromate, and
temperature at various sampling locations. Exhibit 2-19 presents the additional quarterly
monitoring requirements for treatment plants using chlorine dioxide, including chlorate and
aldehydes and, as optional analyses, AOC and BDOC (some PWSs may want to submit
these optional data to provide an additional perspective in the analysis of the ICR data).
As described above, PWSs must collect most of their bromate samples in duplicate—one
aliquot for the PWS to analyze and the other aliquot for submission to EPA for "low level"
bromate analysis. PWSs must send bromate and aldehydes samples to EPA for analysis
according to the procedures in the EPA's ICR Sampling Manual (EPA 814-B-96-001, April
1996). Before the collection of bromate and aldehydes samples, the PWS must contact
EPA to schedule analysis of these samples. EPA will not analyze any samples that
have not been scheduled. For sample scheduling, the address for EPA is:
ICR Sample Coordinator
EPA - Technical Support Center
ATTN: Room 188
26 W. Martin Luther King Drive
Cincinnati, OH 45268
Fax#: (513)569-7191.
2-46
-------
Section 2: Understanding the ICR Language _ §141.142
(6) ADDITIONAL REQUIREMENTS
PWSs are also required to report the applicable information in Exhibits 2-20 to 2-24 (which
correspond to ICR §141.142 Tables 6a-6e). Each exhibit contains requirements for
permanent, monthly, and/or design data. A list of the five exhibits follows:
• Exhibit 2-20: Public Water System Information. Includes information on the
PWSs, treatment plants, and process trains (corresponds to ICR §141 .142 Table
6a).
• Exhibit 2-21: Plant Influent Information. Includes information on water
resources, intakes, and plant influent (corresponds to ICR §141.142 Table 6b).
• Exhibit 2-22: Unit Process Information. Includes information on various unit
process characteristics (corresponds to ICR §141 .142 Table 6c).
In addition to the information in Exhibit 2-22, PWSs are required to report the
following for each unit process:
• Flow at Time of Sampling (MGD). [(a)(6)(i)]
• T1q (minutes). PWSs will determine T10(i.e., time of 10% of tracer to have
appeared in effluent) from tracer studies in the clean/veil of all treatments plants
required to monitor for 18 months under §141.141(c)(2). For unit processes
other than a clean/veil, PWSs will estimate T10 or use an interpolation of tracer
study T10 using multiple flows for each unit process in which a disinfectant
residual exists. [(a)(6)(ii)]
• Chemicals in Use at the Time of Sampling. PWSs will report the chemical
dose at the time of sampling and the chemical formula (i.e., name, chemical
dose, and measurement formula). PWSs will provide the chemical formula to
determine the correct amount of the chemical compound being added.
PWSs may report the following information for each unit process:
• Short Circuiting Factor. The short circuiting factor is an assumed value for the
ratio of T10 to nominal contact time (i.e., tank volume divided by flow). [(a)(6)(iv)]
• T50 (minutes). T50 (i.e., time of 50% of tracer to have appeared in effluent)
should be reported only if based on a tracer study. [(a)(6)(v)j
T10 and T50 tracer studies must be conducted as specified in the Guidance Manual
for Compliance with the Filtration and Disinfection Requirements for Public Water
Systems Using Surface Water Sources (available from AWWA).
2-47
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§141.142 Section 2: Understanding the ICR Language
• Exhibit 2-23: Additional Unit Process Train Information. Includes additional
information on various unit process characteristics (corresponds to ICR §141.142
Table 6d).
• Exhibit 2-24: Finished Water Distribution Information. Includes information on
the entry point, wholesale data, and the distribution system (corresponds to ICR
§141.142 Table 6e).
(b) ANALYTICAL METHODS
The quality of the data generated during the monitoring period was one of the major issues
discussed during development of the ICR. The data must meet specific accuracy and
precision targets to achieve the objectives of the ICR. Because many laboratories will
generate the data, strict data quality controls are essential. Maintaining data comparability
between laboratories is necessary to use the data successfully in sophisticated
correlational analyses to predict DBF formation as a function of water quality conditions.
Therefore, strict controls on the collection and analysis of the data must be defined to
ensure usuable data. EPA will assist the drinking water industry in identifying qualified ICR
"approved" laboratories that can perform the analyses required under the ICR accurately
and reliably.
PWS and contract laboratories are required to use the analytical methods identified in
Exhibit 2-25 (corresponds to ICR §141.142, Table 7) when conducting analyses under this
section of the ICR. This exhibit presents, by analyte, the required methodology-40 Code
of Federal Regulations (CFR) Reference, EPA Method, or Standard Method. [(b)(1)]
Analyses must be conducted by laboratories with EPA approval to perform sample analysis
for compliance with this rule. See Section 7 of this reference manual for a description of
the ICR laboratory approval process.
(c) REPORTING
(1) FORMAT
The utility will enter monthly sampling results into the ICR Water Utility Database System
as they are received from the laboratories and reviewed by utility personnel. The data will
be submitted to EPA when all the monthly sampling results for a particular sampling period
have been received, reviewed, and entered into the database system (which could take
several months, especially for virus results). The utility will submit the data to EPA
(electronically) in a monthly report of the analytical results of all samples collected for the
sampling period (including quarterly samples collected in that month) and all relevant plant
operational data. These data will be submitted to EPA on diskette no later than the fourth
month following the month in which the samples were collected.
The report will include the information from Exhibits 2-20 through 2-24, as well as the
following information: [(c)(1)]
2-48
-------
Section 2: Understanding the ICR Language §141.142
Public Water Supply Identification Number (PWSID)
ICR plant identification number
Sample date
Analysis date
Laboratory identification numbers
Analytical methods used
Sample identification numbers
Quality assurance code
Internal standards
Surrogate standards
Preserved sample pH, if appropriate.
For detailed information, please refer to the EPA guidance document on the data entry of
systems information, ICR Water Utility Database System Users'Guide (EPA 814-B-96-004,
April 1996).
(2) ADDITIONAL REQUIREMENTS (SAMPLING PLANS)
PWSs must submit for EPA approval a sampling plan for each treatment plant Qualifying
for DBP and related monitoring requirements as specified in §141.141 (b)(2). PWSs
required to comply with ICR requirements must submit initial sampling plans to EPA for
review and approval no later than 8 weeks after receiving the final applicability letter from
EPA. The utility must develop an initial sampling plan for each treatment plant affected by
the ICR that includes the plant design parameters for each unit process in each process
train for each treatment plant, the location of each sampling point, and the analytical
parameters to be monitored at each sampling point.
EPA's ICR Water Utility Database System and Users' Guide contains data entry
worksheets that will aid in the collection and entry of the plant design parameters. The
data entry software will be used to develop the plan. A video will be provided by EPA to
introduce utility personnel to the software. Training courses will be offered by AWWA in
September and October 1996 to provide "hands-on" instruction in the use of the software.
Additional help on the use of the software will be available from the AWWA A-Team and
through the ICR Data Management System Hotline (see Section 4 of this reference
manual).
The sampling plan must be submitted to EPA on diskette using the data entry software.
Once EPA notifies the PWS that the plan has been approved, the PWS must begin
monitoring the following month.
Specifically, the plan must indicate:
» Sampling point locations
» Monitoring to be conducted at each point
• Process treatment train information.
Exhibit 2-26 presents an example of a typical treatment plant schematic and Exhibit 2-27
presents an Initial Sampling Schematic (ISS). The AWWA A-Team will develop ISSs for
2-49
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§141.142 Section 2: Understanding the ICR Language
each treatment plant in all PWSs. ISSs will be mailed to utilities by the middle of August
1996. The ISSs will be used to develop initial sampling plans (ISPs) in the Water Utility
Database System. The initial sampling plan, along with the ISS, is to be submitted to EPA
no later than 8 weeks after the PWS receives a Notice of ICR Final Applicability
Determination as required by §141.143(c)(3)(ii).
(3) REPORTING ADDRESS
All data reports required by this section are to be submitted to EPA at the following
address:
USEPA (ICR4600)
ICR Data Center
Room 1111 East Tower
401 M Street, SW
Washington, DC 20460.
(4) RETENTION OF DATA
PWSs are required to keep all data for at least 3 years following data submission to EPA.
(d) INCORPORATION BY REFERENCE
The documents listed below are incorporated by reference as approved by the Director of
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. These
manuals will be sent to affected PWSs; they also can be requested through the Safe
Drinking Water Hotline or reviewed at the following location:
USEPA
Drinking Water Docket (4101)
401 M Street, SW
Washington, DC 20460.
• Standard Methods for the Examination of Water and Wastewater, 19th ed., 1995.
[(d)(1)] Available from:
American Public Health Association
1015 15th Street, NW
Washington, DC 20005.
" Guidance Manual for Compliance with the Filtration and Disinfection Requirements
for Public Water Systems Using Surface Water Sources, Appendices C and O,
1991.[(d)(2)] Available from:
American Water Works Association
6666 W. Quincy Avenue
Denver, CO 80235.
2-50
-------
Section 2: Understanding the ICR Language
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2-53
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§141.142
Section 2: Understanding the ICR Language
Exhibit 2-14: Additional Quarterly Monitoring for Treatment Plants
Using Chloramines
(Adapted from ICR §141.142 Table 2)
-. _• ••' --'•"•' ' '-" " ' '-'.'
Sampling Point
Treatment plant influent for purchased finished water1
Finished water sample point (plant effluent)
Distribution system sample point representing a maximum residence
time in distribution system relative to the treatment plant
fcyanogen Chloride2
•
•
•
1. Applicable only when wholesale water provider is using chloramines.
2. EPA shall provide all analytical results to the PWS. The PWS shall report all results in its monthly report.
Exhibit 2-15: Additional Quarterly Monitoring for Treatment Plants
Using Hypochlorite Solutions
(Adapted from ICR §141.142 Table 3)
Sampling Point
Treatment plant influent for nonfinished water
Treatment plant influent for purchased finished water
(only if wholesaler uses hypochlorite solutions)
Hypochlorite stock solution
Finished water sample point (plant effluent)
Chlorate
•
•
•
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PH
•
Temp.
•
Free
Residual
Chlorine
•
2-54
-------
Section 2: Understanding the ICR Language
§141.142
Exhibit 2-16: Additional Monthly Monitoring Required of Treatment Plants
Using Ozone
(Adapted from ICR §141.142 Table 4a)
\ f "*'h \ ^Sampli'ig Poiv& W. -fc,
!V. %. ¥;; % & -; •% & Ifc: J&- •'<%£&
Ozone contactor influent
Each ozone contact chamber effluent1
Ozone contactor effluent
Finished water sample point (plant
effluent)
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1. Each ozone contactor can be subdivided into its contact chambers. Measure ozone residual until <0.05 mg/L is measured in two
consecutive chambers.
2. EPA shall provide all analytical results to the PWS. The PWS shall report all results in its monthly report.
3. PWSs are not required to analyze a bromate sample at this location. However, PWSs are still required to submit a sample to EPA
for analysis.
Exhibit 2-17: Additional Quarterly Monitoring for Treatment Plants
Using Ozone
(Adapted from ICR §141.142 Table 4b)
\ •_ " <; " ^SamtJling-Ppjnt ";-' - ''"-U
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Ozone contactor effluent
Finished water sample point (plant effluent)
r Aldehydes1 ""
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•
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1. EPA shall measure the following aldehydes: formaldehyde, acetaldehyde, propanal, butanal, pentanal, glyoxal, and methyl glyoxal.
EPA may analyze for other aldehydes. EPA shall provide all analytical results to the PWS. The PWS shall report all results in
its monthly report.
2. Analysis and submission of data for both assimilable organic carbon (AOC) and biodegradeable organic carbon (BDOC) are
optional. Analytical methods for AOC and BDOC are listed in the DBP/ICR Analytical Methods Manual, EPA 814-B-94-002, which
is available from the National Clearinghouse for Environmental Publications and information, 11029 Kenwood Road Cincinnati
OH 45242.
2-55
-------
§141.142
Section 2: Understanding the ICR Language
Exhibit 2-18: Additional Monthly Monitoring for Treatment Plants
Using Chlorine Dioxide
(Adapted from ICR §141.142 Table 5a)
Sampling Point
Treatment plant influent for purchased
finished water1
Before first chlorine dioxide application
Before application of ferrous salts, sulfur
reducing agents, or GAG
Finished water sample point
(plant effluent)
Three distribution system sampling
points4
Chlorine
Dioxide
Residual
•
•
•
•
Chlorite
•
•
•
•
Chlorate
•
•
•
•
•
pH
•
•
Bromate2
•3
•
Temp.
•
1. Applicable only when wholesaler water provider is using chlorine dioxide.
2 EPA shall provide all analytical results to the PWS. The PWS shall report all results in its monthly report.
3, PWSs are not required to analyze a bromate sample at this location. However, PWSs are still required to submit a sample to EPA
4. One near first customer, one In middle of distribution system, and one representative of maximum residence time in the distribution
system.
Exhibit 2-19: Additional Quarterly Monitoring for Treatment Plants
Using Chlorine Dioxide
(Adapted from ICR §141.142 Table 5b)
Sampling Point
Before first chlorine dioxide application
Before first point of downstream chlorine/chloramine
application after chlorine dioxide addition
Finished water sample point
(plant effluent)
Aldehydes1
•
•
•
AOC/BDOC
(optional)2
•
•
•
1 EPA shall measure the following aldehydes: formaldehyde, acetaldehyde, propanal, butanal, pentanal, glyoxal, and methyl
glyoxal. EPA may analyze for other aldehydes. EPA shall provide all analytical results to the PWS. The PWS shall report all
2 Analysis and^'ubmtesfon of data for both assimilable organic carbon (AOC) and biodegradeable organic carbon (BDOC) are
optional Analytical methods for AOC and BDOC are listed in the DBP/ICR Analytical Methods Manual, EPA 814-B-94-002, which
Is available from the National Clearinghouse for Environmental Publications and Information, 11029 Kenwood Road, Cincinnati,
OH 45242.
2-56
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Section 2: Understanding the ICFt Language
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Section 2: Understanding the ICR Language
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§141.142
Section 2: Understanding the ICR Language
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Section 2: Understanding the ICR Language
§141.142
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2-61
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§141.142
Section 2: Understanding the ICR Language
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§141.142
Section 2: Understanding the ICR Language
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Section 2: Understanding the ICR Language
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2-65
-------
§141.142
Section 2: Understanding the ICR Language
Exhibit 2-26: Typical Conventional Filtration Treatment Schematic
Source Water
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2-66
-------
Section 2: Understanding the ICR Language
§141.142
Exhibit 2-27: ICR mil
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Quarterly Sampling Anytown Water Authority
Anytown, OH
PWSIDNo. OH1234567
Plant Name: Anytown
* T«vr WTP
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ICR Plant ID No. 101
•• Tox Treatment Type: conv
Design Flow: 100 mgd
LEGEND
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2-67
-------
-------
Section 2: Understanding the ICR Language §141.143
Outline: ICR §141.143—Microbial Monitoring
Requirements
ICR FR Page and Column
(Reference Manual Page)
(a) Monitoring Requirements 24384, col. 2 (2-71)
(1) Parameters 24384, col. 2 (2-71)
(2) Monitoring Locations 24384, col. 3 (2-71)
(i) Treatment plant influent
(A) Sample prior to treatment
(B) Treatment plants that have multiple intakes and add chemicals at
intake
(ii) Finished water
(iii) Alternative monitoring requirements
(A) Particle counting in treatment plant influent
(1) Grab sampling
(2) Continuous particle counting
(3) Particle count size ranges
(B) Sampling and particle counting for Giardia and Cryptosporidium
(iv) Avoiding virus requirements
(A) Total culturable virus monitoring
(B) Coliform monitoring reports
(C) 6-month coliform results
(b) Analytical Methods 24385, col. 3 (2-74)
(1) Methods to be Used 24385, col. 3 (2-74)
(i) Fecal coliforms
(ii) Total coliforms
(iii) E. coli
(iv) Giardia and Cryptosporidium
(v) Total culturable viruses
(2) Laboratories 24386, col. 1 (2-73)
(3) Archiving of Virus Sample 24386, col. 1 (2-73)
(i) Treatment plant influent and finished water - after virus detection in
finished water
(ii) Treatment plant influent and finished water - after virus detection in any
previous source water sample
(iii) Sample transmission to EPA
(iv) Transmission details
2-69
-------
§141.143 _ Section 2: Understanding the ICR Language
(c) Reporting ........................................ 24386, col. 1 (2-76)
(1 ) Format
(2) PWSs Complying with Alternative Monitoring Requirements
(i) PWSs using alternative specified in (a)(2)(iii)
(ii) PWSs not required to monitor for total culturable viruses under
(3) Additional Requirements (Sampling Plans) ........... 24386, col. 2 (2-77)
(4) Address for Report Submission ____ .... ............ 24386, col. 2 (2-77)
(5) Data Retention ................................ 24386, col. 2 (2-78)
2-70
-------
Section 2: Understanding the ICR Language §T4T.T43
Section Summary: ICR §141.143—Microbial
Monitoring Requirements
In general, PWSs that serve > 100,000 people and use surface water or ground water
under the direct influence (GWUDI) of surface water (i.e., Subpart H systems) are required
to conduct source water microbial monitoring. Microbial monitoring of water leaving the
treatment plant is required only li Giardia or Cryptosporidium concentrations exceed 10/L
or the total culturable virus concentration exceeds 1/L in the source water during the first
12 months of monitoring. Source water monitoring will be monthly for 18 consecutive
months and will be concurrent with DBP monitoring. Total coliform and fecal coliform or
E. coll will be monitored to assess how well they predict the presence and levels of
microbial contamination. EPA has included provisions for applying to avoid source water
virus monitoring and reduced finished water Cryptosporidium and Giardia monitoring.
Microbial monitoring requirements include monitoring for disease-causing microorganisms,
including Cryptosporidium and Giardia, total culturable viruses, and indicator organisms.
This section of the ICR describes microbial monitoring requirements for Subpart H
systems, including the samples, monitoring locations, analytical methods, and reporting
requirements. Subpart H systems are those utilities using surface water or ground water
under the direct influence of surface water as a source. Applicability for microbiological
monitoring is presented in the section summary for §141.141—General Requirements,
Applicability, and Schedule for Information Collection (see also Exhibit 2-6). The flowchart
in Exhibit 2-28 is provided to help determine each utility's microbial monitoring
requirements.
(a) MONITORING REQUIREMENTS
(1) PARAMETERS
Under the ICR, densities of the following parameters shall be determined from each
sample collected at each treatment plant required to conduct 18 months of microbiological
monitoring:
Total coliforms
Fecal coliforms or Escherichia coll
Giardia
Cryptosporidium
Total culturable viruses.
Before monitoring starts, a PWS must arrange to have samples analyzed by an EPA-
approved laboratory (see Section 7).
(2) MONITORING LOCATIONS
Exhibit 2-29 presents a typical sampling schematic with specific reference to sampling
locations relevant to microbial monitoring.
2-71
-------
§141.143 Section 2: Understanding the ICR Language
(i) Treatment Plant Influent
Affected PWSs are to sample the treatment plant influent once a month for 18 months
(Exhibit 2-6). The treatment plant influent sample is to be collected upstream of the
treatment plant, at a point where waters from all intakes have been blended but no
treatment has begun. If it is not possible to sample the treatment plant influent because
of the plant configuration, the PWS is to physically sample the water resource with the
poorest microbiological quality before pretreatment or chemical addition. If that is not
possible, the water resource with the highest flow is to be sampled.
Treatment plants with multiple intakes without treatment or chemicals added before
blending can collect one complete set of samples at the upstream (head) end of the
treatment plant where waters from all intakes are blended before any treatment or
chemical addition. If the intakes are expected to have the same source-water quality,
however, one representative intake sample may be taken.
For treatment plants that have multiple intakes and add chemicals at or near the intake
(e.g., for zebra mussel control), a flow proportional composite sample (complete set of ICR
samples) before chemical addition or pretreatment must be collected. The sample must
be taken in the vicinity of the intake in such a manner that the sample is not contaminated
by the disinfectant. If the intakes are expected to have the same source-water quality,
however, one representative sample may be taken.
(ii) Finished Water
A finished water sample is to be collected at each treatment plant when, during the first 12
months of monitoring, microbiological concentrations in the source water exceed certain
levels:
• In general, 10 or more Giardia cysts, 10 or more Cryptosporidium oocysts, or 1 or
more total culturable viruses are detected in 1 L of source water.
• Specifically, the numerical value of the Giardia or Cryptosporidium concentration is
calculated to be s 1,000/100 L or the virus concentration is ^ 100/100 L in the source
water.
• However, if no pathogens are detected in the source water sample, but the
numerical value of the detection limit for Giardia or Cryptosporidium is calculated
to be ^1,000/100 L (or ;> 100/100 L for viruses), finished water monitoring must be
conducted.
For each finished water sample, densities of all five of the microbiological parameters
identified previously are to be determined. Finished water samples are to be collected after
all treatment processes are complete and before the distribution system begins. Finished
water monitoring is to begin the month after the PWS becomes aware of the qualifying
condition and to continue until the 18 months of treatment plant influent monitoring are
completed.
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Section 2: Understanding the ICR Language _ __ _ §T4t.t43
(Hi) Alternative Monitoring Requirements for Giardia and Cryptosooridium
PWSs may comply with either of the alternative monitoring requirements described below
instead of conducting finished water monitoring for Giardia and Cryptosporidium. The
PWS must notify EPA of its intention to perform an alternate requirement in the sampling
plan submitted in accordance with the microbiological reporting requirement. It is important
to note that finished water monitoring still must be conducted for all other microbiological
parameters. A description of each alternative follows:
• Measure particle counts in treatment plant influent, filter influent, and filter effluent
using either grab or continuous particle counting. Particle counting is to be
conducted on the same treatment train that is sampled for DBP and related
monitoring. Samples are to be collected monthly during the whole 18-month
monitoring period using the procedures specified in the ICR Sampling Manual (EPA
814-B-96-001 , April 1996). [(a)(2)(iii)(A)] The 12 samples (for grab sampling) or the
instrument readings (for continuous particle counting) are to be collected over a
24-hour period or the duration of the filter run, whichever is shorter.
[(a)(2)(iii)(A)(l)&(2)] The mean value of the 12 samples collected is to be reported
for each of the following size categories: 3-5 urn, 5-7 urn, 7-10 Mm, and 10-15 urn.
For at least 4 consecutive months, conduct both Giardia and Cryptosporidium
sampling and particle counting. The minimum sample volume is 100 L for
treatment plant influent and 1 ,000 L for treated water. Samples are to be collected
at the treatment plant influent, filter influent, and filter effluent. Results obtained
from monitoring the treatment plant influent may be used to fulfill this requirement
as long as the conditions from both this paragraph and (a)(2)(i) are satisfied.
(iv) Avoiding Virus Requirements
Treatment plants that, meet both of the following conditions can be exempted from
subsequent virus monitoring requirements:
• Total coliforms, fecal coliforms, or E. coli have been monitored in the treatment
plant influent for at least 5 days a week for any 6-month period beginning after
January 1, 1994; AND
• Ninety percent of all samples taken in that period contained <100 total coliforms/
1 00 ml_, 20 fecal coliforms/1 00 mL, or 20 E. coliH 00 ml_.
This exemption, however, does not apply to treatment plants that are required to (see
Finished Water above) conduct finished water monitoring; such systems must conduct
both finished water and treatment plant influent monitoring of total culturable viruses for
the entire 18-month monitoring period. [(a)(2)(iv)(A)]
Coliform data collected under §141.71(a)(1), Source Water Quality Conditions, may be
used to satisfy these virus monitoring exemption conditions, providing separate monitoring
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§141.143 _ Section 2: Understanding the ICR Language
reports are submitted for §141.71(a)(1) and for this section's reporting requirements.
If the 6 months of coliform data are not submitted to EPA with the PWS's response to the
Notice of Applicability, the PWS is to begin virus monitoring. If a PWS begins virus
monitoring and then provides EPA with the coliform data, subsequent virus monitoring for
that treatment plant can then be avoided. [(a)(2)(iv)(C)j
(b) ANALYTICAL METHODS
A major issue during the implementation of the ICR is the quality of the data generated
during the monitoring period. The data must be both accurate and precise to meet the ICR
objectives. It is inherently difficult to ensure data quality considering that the data are to
be generated by many laboratories. Maintaining data comparability between laboratories
will be necessary to use the data for sophisticated correlational analyses. EPA will assist
the drinking water industry in identifying qualified (i.e., approved) laboratories for
performing the analyses required by the ICR.
PWSs are required to use the EPA-approved analytical methods for pathogens and
indicator organisms. Additional information on sample collection is available in the ICR
Sampling Manual, which is referenced in the rule along with other manuals. The microbial
sampling procedures, however, are new to many of the systems and are described in detail
in a video and companion guide titled ICR: Protozoa and Enteric Virus Sample Collection
Procedures (EPA 814-V-95-001). (See Section 5 of this reference manual.)
(1) METHODS To BE USED FOR MICROBIOLOGICAL MONITORING
• Fecal Coliforms. Use the methods specified in §141.74(a)(1). Note that when
paired source water and finished water samples are collected, only the EC Medium
fecal coliform procedure (Standard Method 9221 E) can be used. The time between
sample collection and analysis is not to exceed 8 hours. Samples are to be chilled,
shipped, and stored, if not processed immediately, at a temperature of <10°C.
Those that arrive frozen or at a temperature of >1 0°C will not be analyzed. [(b)(1 )(i)]
• Total Conforms. Use the method specified in §141 .74(a)(2). The time between
sample collection and analysis is not to exceed 8 hours. Samples are to be chilled,
shipped, and stored, if not processed immediately, at a temperature of <10°C.
Again, those that arrive frozen or at a temperature of >10°C will not be analyzed.
Kb)(1 )(!!)]
• E. Coll Use the methods specified in §141. 21 (f)(6)(i)-(iii) plus the density. PWSs
using the EC+MUG and ONPG-MUG tests are to use either a 5- or 10-tube 10-mL
configuration with serial dilutions of the original sample as needed and report the
Most Probable Number (MPN). A commercial multi-test system may be used for
enumeration if the following procedures are followed:
• Use M-Endo medium for the initial isolation of the organisms
• Pick every colony on the plate with the appearance of a total coliform
• Streak every colony for purification before subjecting it to a multi-test system.
2-74
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Section 2: Understanding the ICR Language _ §T4r.T43
The time between sample collection and analysis is not to exceed 8 hours. Samples
are to be chilled, shipped, and stored, if not processed immediately, at a temperature
of <1 0°C. Those that arrive frozen or at a temperature of >1 0°C will not be analyzed.
• Giardia and Cryptosporidium. Use the ICR Protozoan Method, described in the
ICR Microbial Laboratory Manual (EPA 600/R-95-178, April 1996) and in Protozoa
Video and Companion Guide: ICR Protozoan Method for Detecting Giardia Cysts
and CtvDtosporidium Oocysts in Water by a Fluorescent Antibody Procedure (EPA
814-V-95-003). The minimum sample volume is 100 L for treatment plant influent
and 1 ,000 L for partially treated or finished water. [(b)(1 )(iv)]
» Total Culturable Viruses. Use the Virus Monitoring Protocol described in the ICR
Microbial Laboratory Manual (EPA 600/R-95-178, April 1996) and in Virus Video
and Companion Guide: Virus Monitoring Protocol for the Information Collection
Rule (EPA 81 4-V-95-002). [(b)(1 )(v)]
(2) LABORATORIES
PWSs must use EPA-approved laboratories to analyze for Giardia, Cryptosporidium, and
total culturable viruses. Laboratory approval criteria for Giardia, Cryptosporidium, and total
culturable viruses can be found in the ICR Microbial Laboratory Manual (EPA 600/R-95-
178, April 1996).
For the analysis of total coliforms, fecal coliforms, and E. coli, PWSs must use laboratories
certified for microbiology analyses by either EPA or a State under the EPA or State
drinking water program. For information on the laboratory approval process, see Section
7 of this reference manual.
(3) SAMPLES To BE ARCHIVED
PWSs are to send properly prepared samples of treatment plant influent and finished water
to the ICR Virus Archiving Coordinator according to the procedures specified in Chapter
VIII of the ICR Microbial Laboratory Manual (EPA 600-R-95-178, April 1996) for every
month after either of the following conditions occur:
• The PWS becomes aware that viruses were detected in any previous sample of
finished water. [(b)(3)(i)]
• The PWS learns that a density of ^10 viruses/L was detected in any previous
treatment plant influent water sample, regardless of whether viruses were detected
in the finished water. [(b)(3)(ii)]
PWSs may arrange to have virus samples shipped directly to EPA by its virus laboratory
for samples that are to be archived. [(b)(3)(iii)]
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§141.143 Section 2: Understanding the ICR Language
(c) REPORTING
(1) FORMAT
Monthly sampling results will be entered by the utility into the ICR Water Utility Database
System as they are received from the laboratories and reviewed by utility personnel. Data
are not to be transferred to EPA until all of the monthly sampling results for a particular
sampling period have been received, reviewed, and entered into the database system.
This could take several months, especially in the case of the virus results. When all of the
sampling results have been received and entered, the utility will submit a monthly report
(diskette) to EPA that indicates the analytical results of all samples collected for the
sampling period (including quarterly samples collected in that month), and all of the
relevant plant operational data. These data must be submitted to EPA on diskette no later
than the fourth month following the month in which the samples were collected.
PWSs, using an EPA-specified computer readable format to report data and information
collected under the ICR, are required to submit a monthly report on the analytical results
of all samples collected, including:
Public Water Supply Identification (PWSID) Number
ICR plant identification number
Sample date
Analysis date
Laboratory identification numbers
Analytical methods used
Sample identification numbers
Analytical batch numbers
Quality assurance code
Processing batch numbers, if appropriate.
This report is to be submitted on diskette with the DBP and other PWS data no later than
the fourth month following sampling.
(2) REQUIREMENTS FOR PWSs COMPLYING WITH ALTERNATIVE MONITORING OR
AVOIDING VIRUS MONITORING PROVISIONS
PWSs complying with the alternative to Giardia and Cryptosporidium monitoring
requirements (particle counting) summarized on page 2-73 must report the mean value for
each size category of the 12 particle-counting values collected over the sampling period.
Those systems conducting the 4 months of Giardia and Cryptosporidium sampling (also
described on page 2-73) must report the densities of Giardia and Cryptosporidium at each
measured site. This information must be submitted to EPA by the fourth month following
sampling. [(c)(2)(i)]
PWSs avoiding virus monitoring requirements under the provisions discussed on page
2-73 must report the dates and results of all total coliform, fecal coliform, or E. coli
monitoring used to determine that additional virus monitoring is not necessary. The PWS
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Section 2: Understanding the ICR Language §141.143
is to submit a report detailing all the data collected during the 6-month period and how this
data was used to calculate compliance. [(c)(2)(ii)]
(3) ADDITIONAL REQUIREMENTS (SAMPLING PLANS)
Using EPA-provided software, PWSs are required to submit a sampling plan for each
treatment plant conducting monitoring to EPA for approval. PWSs required to comply with
ICR requirements must submit sampling plans to EPA for review and approval no later than
8 weeks after receiving the final applicability letter from EPA. The initial sampling plan
must be developed by the utility for each treatment plant affected by the ICR and will
include the plant design parameters for each unit process in each process train for each
treatment plant, the location of each sampling point, and the analytical parameters to be
monitored at each sampling point.
EPA's ICR Water Utility Database System Users' Guide contains data entry worksheets
that will aid in the collection and entry of the plant design parameters. The data entry
software will be used to develop the plan. A video will be provided by EPA to each PWS
to introduce utility personnel to the software. Training courses will also be offered by
AWWA in September and October of 1996 to provide "hands-on" instruction in the use of
the software. Additional help on the use of the software will be available from the AWWA
A-Team and through the ICR Data Management System Hotline (see Section 4 of this
reference manual).
The sample plan must be submitted to EPA on diskette using the data entry software. The
initial sampling plan must indicate sampling point locations and the monitoring to be
conducted at each point. Once EPA notifies the PWS that the plan has been approved,
the PWS must begin monitoring the following month.
Exhibit 2-29 presents an Initial Sampling Schematic (ISS) based on the typical treatment
plant schematic in Exhibit 2-26 in §141.142. The AWWA A-Team will develop ISSs for
each treatment plant in all affected PWSs. ISSs will be mailed to utilities by the middle of
August 1996. The ISSs will be used to develop initial sampling plans (ISPs) in the Water
Utility Database System. The initial sampling plan, along with the ISS, is to be submitted
to EPA no later than 8 weeks after the PWS receives a Notice of ICR Final Applicability
Determination required by §141.143(c)(3)(ii).
(4) REPORTING ADDRESS
All data reports required by this section are to be submitted to EPA at the following
address:
USEPA (ICR4600)
ICR Data Center
1111 East Tower
401 M Street, SW
Washington, DC 20460.
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§141.143 Section 2: Understanding the ICR Language
(5) DATA RETENTION
PWSs are required to keep all data for at least 3 years following data submission to EPA.
2-78
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Section 2: Understanding the ICR Language
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2-79
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§141.143
Section 2: Understanding the ICR Language
Exhibit 2-29: ICR Initial Samp
for Typical Conventional Filtrs
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-------
Section 2: Understanding the ICR Language : §141.144
Outline: SCR §141.144—DBP Precursor Removal
Studies (Treatment Studies)
ICR FR Page and Column
(Reference Manual Page)
(a) TOC, UFCTOX, THM4, and HAAS Applicability Monitoring . 24386, col. 2 (2-83)
(b) Treatment Study Requirements 24386, col. 3 (2-84)
(1) Bench-scale Tests 24386, col. 3 (2-85)
(i) GAC bench-scale testing
(ii) Membrane bench-scale testing
(2) Pilot-scale Tests 24387, col. 2 (2-86)
(i) GAC pilot-scale testing
(A) Procedural, monitoring, and reporting requirements
(B) EBCT tests
(C) Pilot test run lengths
(ii) Membrane pilot-scale testing
(A) Procedural, monitoring, and reporting requirements
(B) Membrane test system design
(C) Pilot test run lengths
(3) Simulated Distribution System Conditions . 24387, col. 3 (2-87)
(c) Analytical Methods 24387, col. 3 (2-88)
(d) Reporting 24387, col. 3 (2-88)
(1) TOC, UFCTOX, THM4, and HAAS Reporting
(2) Treatment Study Reporting Requirements
(3) Address for Report Submission
2-81
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Section 2: Understanding the ICR Language §141144
Section Summary: ICR §141.144—DBF
Precursor Removal Studies (Treatment Studies)
In general, PWSs that serve ;> 100,000 people are required to conduct treatment study
applicability monitoring and treatment studies (unless certain criteria are met) at treatment
plants serving at least 100,000 people (or at the largest treatment plant in the PWS if no
individual plant serves 100,000). PWSs that serve between 50,000 and 100,000, with at
least 50,000 people served by ground water, are also required to conduct treatment study
applicability monitoring and treatment studies (unless certain criteria are met) at the largest
treatment plant in the PWS. PWSs must conduct treatment study applicability monitoring
(i.e., TOG) for 12 months at specified locations to determine at which treatment plants they
must conduct treatment studies. Bench- or pilot-scale studies will determine the
effectiveness of granular activated carbon (GAG) or membranes in reducing the levels of
DBP precursors and must be designed to yield representative performance data and to
allow the development of treatment cost estimates for different levels of DBP control. EPA
will provide technical manuals on the study protocbls (e.g., ICR Manual for Bench- and
Pilot-scale Studies, EPA 814-B-96-003). EPA has included provisions for avoiding studies,
conducting joint studies with other PWSs, using previous studies ("grandfathering"), and
contributing to a research fund (i.e., buyout option) in lieu of conducting studies.
This section of the ICR describes the requirements, analytical methods, and reporting
responsibilities for systems conducting treatment study applicability monitoring and DBP
precursor removal studies. Applicability for treatment studies is presented in the section
summary for §141.141—General Requirements, Applicability, and Schedule for Information
Collection (see also Exhibit 2-7). The flowchart in Exhibit 2-30 has been provided to aid
in determining each utility's treatment study requirements.
(a) TOC, UFCTOX, THM4, AND HAAS APPLICABILITY MONITORING
Treatment study applicability monitoring is conducted to determine whether the treatment
plant precursor levels are low enough to avoid the treatment study requirement and
whether two or more treatment plants qualify for a common source designation.
If the 18-month DBP monitoring overlaps the treatment study applicability monitoring, the
same results can be used for both monitoring requirements. However, the time periods
must overlap. PWSs required to conduct treatment study applicability monitoring are to
monitor for the following:
• TOC. Treatment plants using surface water and ground water under the direct
influence of surface water must monitor treatment plant influent, and those using
ground water must monitor finished water, for TOC monthly for 12 months.
Treatment plants using ground water must monitor finished water for TOC monthly
for 12 months. TOC analysis must be conducted by a laboratory approved by EPA
as described in the DBP section of the rule. Treatment plants using surface water
are excused from conducting treatment studies if they do not exceed an annual
average TOC of 4.0 mg/L in the treatment plant influent, based on the 12 monthly
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§141.144 Section 2: Understanding the ICR Language
TOG samples. Treatment plants using only ground water are excused from
conducting treatment studies if they do not exceed an annual average TOG of 2.0
mg/L in the finished water, based on 12 monthly TOG samples.
• UFCTOX. Total organic halides formed under the uniform formation conditions
(UFCTOX) monitoring is only required of treatment plants seeking to: (1) qualify for
a joint treatment study on the basis of having river intakes between 20 and 199
miles apart with a mean water resource UFCTOX within 10 percent of the mean
UFCTOX of all the treatment plant influents (based on UFCTOX analytical results
of the same 12 months for all participating treatment plants); or (2) qualify for the
contributing funds alternative (i.e., the "buyout option") to conducting a treatment
study, which requires a common water resource designation.
• THM4 and HAAS. Only treatment plants seeking to avoid conducting treatment
studies on the basis that they use chlorine as the primary and residual disinfectant
and have annual average levels of THM4 <40 pg/L and HAAS <30 ug/L need to
conduct THM4 and HAAS treatment study applicability monitoring. Quarterly
averages are the arithmetic averages of the four distribution system samples (i.e.,
one sample point representative of the maximum residence time for the treatment
plant and three sample locations representative of the average residence time in the
distribution system for the treatment plant).
(b) TREATMENT STUDY REQUIREMENTS
Treatment studies consist of bench and/or pilot-scale systems for one or two candidate
technologies for the reduction of DBF precursors. Candidate technologies include GAG
and membrane processes, specifically nanofiltration and reverse osmosis. The purpose
of requiring treatment studies is to:
• Gather representative performance data.
• Enable the development of national treatment cost estimates for different levels of
organic DBF control.
The treatment studies must be designed to yield representative performance data and to
allow the development of treatment cost estimates for different levels of organic DBF
control. To simulate the most likely treatment scenario, treatment studies will need to be
performed with the effluent from the treatment processes that are already in place to
remove DBF precursors and TOG.
The treatment objective of the studies is to achieve annual averages of disinfection
byproducts <40 ug/L for THM4 and <30 ug/L for HAAS. Again, treatment studies should
be performed with the effluent from in-place treatment processes that remove DBF
precursors and TOG. The test water for both bench- and pilot-scale tests is to be obtained
before the point where oxidants or disinfectants are added (to minimize the formation of
DBFs). Bench- and pilot-scale treatment processes representing the full-scale treatment
process are required before the GAG or membrane process if the use of oxidants or
disinfectants precedes any full-scale treatment process that removes DBFs. Sound
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Section 2: Understanding the ICR Language §r4T.T44
judgment is expected in the selection of treatment processes and sampling points. For
further details on treatment study requirements and applicability, consult the ICR Manual
for Bench- and Pilot-scale Treatment Studies (EPA 814-B-96-003, April 1996).
(1) BENCH-SCALE TESTS
Bench-scale tests are continuous flow tests using rapid small-scale column tests (RSSCTs)
for GAG and either flat-sheet or single-element bench test apparatus for membranes. EPA
has provided utilities flexibility to select a bench-scale protocol appropriate for its
circumstance.
Water used in bench-scale tests must be representative of water that would be applied to
the advanced treatment full-scale technology.
For further details on both approaches, consult the ICR Manual for Bench- and Pilot-scale
Treatment Studies (EPA 814-B-96-003, April 1996).
(i) GAC Bench-scale Tests
GAG bench-scale testing should include information on the experimental conditions and
results necessary to adequately determine the scaled-up breakthrough curves under the
conditions of two RSSCTs. Using the RSSCT, two empty bed contact times (EBCTs) will
be tested: 10 and 20 minutes. RSSCTs should be conducted quarterly over 1 year to
determine seasonal variation, resulting in four RSSCTs at each EBCT tested. If seasonal
variation is not significant, the PWS may conduct the four runs at 10 and 20 minute EBCTs
to investigate other parameters in the manual.
If the first quarter RSSCTs result in effluent TOG reaching 70 percent of the average
influent TOC within 20 and 30 full-scale equivalent days on the 10- and 20-minute EBCT
tests, respectively, the last three quarterly tests should be conducted using the membrane
bench-scale testing with only one membrane (see Membrane Bench Scale Testing on the
next page for a description).
The RSSCT testing should run until one of the following conditions is met:
• The effluent TOC concentration is z70 percent of the average influent TOC
concentration (the average influent TOC is the running average of the influent TOC
at the time of effluent sampling)
• The effluent TOC reaches a "plateau" at >50 percent of the influent TOC (the
effluent concentration does not increase over a 2-month full-scale equivalent time
period by >10 percent of the average influent TOC concentration)
• An RSSCT operation time is equivalent to 1 year of full-scale operation.
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§141.144 Section 2: Understanding the ICR Language
(ii) Membrane Bench-scale Testing
Membrane bench-scale testing should include information on the experimental conditions
and results necessary to determine the water quality produced by the membrane treatment
and a preliminary estimate of productivity. The following two options exist:
• Quarterly Studies. Investigate at least two different membrane types (e.g., rapid
bench-scale membrane test or RBSMT and single element bench-scale test or
SEBST) with nominal molecular weight cutoffs of less than 1,000 Daltons (i.e., a
unit of mass). Conduct tests quarterly over 1 year to evaluate seasonal variation,
resulting in a total of eight bench-scale tests. If seasonal variation is not significant,
the PWS may conduct the four runs on two membranes at any time. Some
variables that a PWS may wish to investigate include pretreatment, additional
membrane types, and operating parameters such as flux and recovery.
• Year-long Study. Conduct a long-term, single element study with one type of
membrane using the SEBST procedure described in the ICR Manual for Bench-
and Pilot-scale Treatment Studies (EPA 814-B-96-003, April 1996).
Three options for bench-scale membrane testing are provided to allow some flexibility in
meeting the ICR requirements. The RBSMT can be run offsite and offers a great deal of
operational flexibility; a simple element test may provide better data but must be conducted
onsite and would require long-term operator attention and a continuous supply of treated,
unchiorinated feed water. The long-term SEBST study provides the most flux data, but
only for one membrane type. Regardless of the approach selected, the membranes
investigated must be evaluated with respect to productivity and permeate quality, including
precursor removal as assessed under SDS conditions.
(2) PILOT-SCALE TESTS
Pilot-scale tests should be conducted as continuous flow tests using GAC or membrane
technologies. Testing and reporting requirements for pilot-scale tests can be found in the
ICR Manual for Bench- and Pilot-scale Treatment Studies (EPA 814-B-96-003, April 1996).
(i) GAC Pilot-scale Tests
For GAC pilot-scale tests, the PWS must use the following:
• A GAC of particle size representative of full-scale practice
• A pilot GAC column with a minimum inner diameter of 2.0 inches
• A hydraulic loading rate (volumetric flow rate/column cross-sectional area)
representative of that used in full-scale practice.
EBCTs of 10 and 20 minutes are to be tested at pilot-scale plants and additional EBCTs
can be investigated. Pilot-scale tests should continue until either of the following conditions
is met:
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Section 2: Understanding the ICR Language §141.144
• The effluent TOG concentration is >70 percent of the average influent TOG
concentration (the average influent TOG is the running average of the influent TOG
at the time of effluent sampling) on at least two consecutive TOG sample dates at
least 2 weeks apart
• The effluent TOG concentration reaches a "plateau" at >50 percent of the influent
TOG (ile., the effluent TOG does not increase over a 2-month period by more than
10 percent of the average influent TOG concentration).
If either of these criteria is satisfied for the 20-minute EBCT before 6 months run time, a
second pilot test at each EBCT is to be conducted under the same sampling requirements.
The maximum length for all pilot studies is 1 year. Pilot-scale tests should be designed to
capture seasonal variation. If seasonal variation is not a factor, other variables should be
investigated.
(II) Membrane Pilot-scale Testing
PWSs are to design pilot-scale membrane systems as staged arrays of elements as
specified in the ICR Manual for Bench- and Pilot-scale Treatment Studies (EPA 814-B-96-
003, April 1996). Pilot-scale testing is to run continuously for 1 year, allowing for down-time
for membrane cleaning, maintenance, or other reasons. The pilot-scale run time will be
no less than 6,600 hours, which represents approximately 76 percent of 1 calender year.
Membrane test systems are to be operated at a recovery representative of full-scale
operation, and the following information is to be collected:
• Loss of productivity (fouling)
• Pretreatment conditions
• Cleaning requirements
• Permeate quality.
A pilot system must use standard elements at least 2.5 inches in diameter by 40 inches in
length. This size requirement is for membranes in spiral-wound configurations; standard
hollow-fiber elements can also be used, although hollow-fiber technology is not
recommended for surface waters. The system must consist of at least two stages, with a
minimum of two pressure vessels in the first stage and one pressure vessel in the second
stage (i.e., a 2-1 array). Each pressure vessel must contain at least three membrane
elements.
(3) SIMULATED DISTRIBUTION SYSTEM (SDS) CONDITIONS
Simulated Distribution System (SDS) conditions with chlorine, as described in the ICR
Manual for Bench- and Pilot-scale Treatment Studies (EPA 814-B-96-003, April 1996),
should be used to evaluate chlorine demand and the formation of THM4, HAA6, and TOx!
SDS conditions represent average conditions in the distribution system at that time with
respect to the following factors:
• Holding or incubation time
• Temperature
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§141.144 Section 2: Understanding the ICR Language
• pH
* Free chlorine residual.
When chlorine is not used as the final disinfectant in practice, a chlorine dose should be
set to yield a free chlorine residual of at least 1.0 to 0.5 mg/L after a holding time,
temperature, and pH equal to those representative of the distribution system averages.
(c) ANALYTICAL METHODS
All treatment study applicability monitoring will be conducted using the methods and the
mandatory quality control procedures contained in either of the following:
• DBP/ICR Analytical Methods Manual (EPA 814-B-96-002, April 1996)
• ICR Manual for Bench- and Pilot-scale Treatment Studies (EPA 814-B-96-003, April
1996).
Additionally, the TOG analyses will be conducted by laboratories that have received
approval from EPA to perform TOG analysis for compliance with this rule. It is
recommended that EPA-approved laboratories also analyze the UFCTOX, THM4, and
HAAS samples collected during treatment study applicability monitoring, although approved
laboratories are not required under the ICR for these analyses.
(d) REPORTING
PWSs have to report all data collected under the treatment study applicability monitoring
and treatment study requirements of this section in a report form (i.e., not electronically).
(1) TOC, UFCTOX, THM4, AND HAAS APPLICABILITY MONITORING
The treatment study applicability monitoring must begin no later than September 30, 1996
(see July 24,1996 William Diamond letter). Specifically, monthly sampling of TOC (and
UFCTOX if required for a common source designation) must begin no later than August
14 1996 If distribution system DBP samples are to be used to demonstrate treatment
study applicability, then quarterly sampling of THM4 and HAAS distribution system samples
must begin between August 14 and November 14, 1996 (between 3 and 6 months after
the publication of the final rule).
PWSs are to submit the monthly results for the 12 months of monitoring and the annual
average of those monthly results by October 14,1997 (17 months after publication of the
final rule). This report does not have to be submitted electronically. If results from DBP
monitoring are used to fulfill these requirements, separate reports must be submitted. A
form for reporting applicability data is included in the manual. [(d)(1)]
(2) TREATMENT STUDIES
All data gathered under treatment studies requirements are to be submitted to EPA by July
14, 1999 (38 months after publication of the final rule) in the format specified in the ICR
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§141144
Manual for Bench- and Pilot-scale Treatment Studies. PWSs conducting bench- and pilot-
scale studies are also required to report the information for water resource, full-scale, and
pilot-/bench-scale pretreatment processes that precede the bench/pilot systems. [(d)(2)]
(3) ADDRESS FOR REPORT SUBMISSION
All reports concerned with treatment studies should be submitted to EPA at the followino
address: [(d)(3)]
ICR Precursor Removal Studies Coordinator
EPA - Technical Support Center
26 W. Martin Luther King Drive
Cincinnati, OH 45268.
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Section 2: Understanding the ICR Language
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Section 2: Understanding the ICR Language Attachment A
ATTACHMENT A: Frequently Asked Questions
APPLICABILITY/COVERAGE
PWSs AFFECTED
• Which utilities must comply with the ICR?
In general, utilities that serve more than 100,000 people are subject to all of the ICR
requirements. Utilities using ground water and serving between 50,000 and 100,000
will have to monitor for TOC on a monthly basis. However, the final ICR has detailed
directions on determining the applicability of the ICR to a specific utility. The final ICR
was published in the Federal Register on May 14, 1996. EPA will be sending
Notification Letters early in June to those utilities that appear to be subject to the ICR.
However, if a utility does not receive a Notification Letter and it is required to sample
under the ICR based on the applicability criteria in the rule, it must still monitor.
Utilities in this situation are encouraged to contact EPA-TSD in Cincinnati.
• Our utility uses only ground water which we chlorinate, and we serve only
75,000 people. Do we have to comply with the ICR?
You have to comply with limited TOC monitoring no later than 3 months after the ICR
is published in the Federal Register, which means start monthly TOC monitoring
before September 30, 1996. You are required to monitor for TOC for 12 months in
your finished water to determine if you have to perform a precursor removal study
using GAG or membranes. You should receive a letter from EPA explaining all of this
in June. If you meet the requirements for TOC monitoring and do not hear from EPA
in June, you should contact EPA.
• What happens if my PWS gets a Notice of Applicability for this rule in error?
The PWS will respond to the Notice of Applicability, completing the tables in
Appendix A to §141.141 (a). Once EPA has approved the calculations that indicate
that the PWS does not meet the applicability criteria for the ICR, EPA will notify the
PWS that it is not covered and no further action by the PWS is required.
a What about systems that use a combination of surface water and ground water
(not under the direct influence of surface water) sources?
The PWS must respond to the Notice within the required time by completing
applicability calculations in Appendix A in §141.141 (a). Once EPA has reviewed and
concurred with the calculations, the Agency will notify the PWS with a preliminary
determination of how the ICR applies to,each of the PWS's treatment plants. Proper
sampling procedures and locations will be approved by EPA as part of the Agency's
review and approval of the sampling plans submitted by PWSs prior to commencing
microbial and DBP and related monitoring. PWSs must conduct microbial monitoring
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Attachment A Section 2: Understanding the ICR Language
at each treatment plant that uses surface water as any part of its source. PWSs must
conduct DBF and related monitoring at each treatment plant, no matter the source.
• What if I have multiple wells and no central treatment plant?
The PWS may treat multiple wells drawing from the same aquifer as one treatment
plant and monitor accordingly. [§141.141 (a)(3)]
» When and how will EPA fund surveys of smaller water systems?
Because PWSs serving less than 100,000 people are no longer required to conduct
microbiological monitoring, EPA intends to conduct two sample surveys to collect
microbiological occurrence date at smaller PWSs to determine the correlation with
the data collected at PWSs serving at least 100,000 people. These sample surveys
will be conducted at PWSs using surface water serving (1) 10,000 to 100,000 people
and (2) less than 10,000 people. A secondary purpose of these sample surveys will
be to collect occurrence data for areas where no PWSs will be collecting
microbiological occurrence data because there are no PWSs serving at least 100,000
people that use surface water (e.g., the upper Great Plains and Rocky Mountain
areas). Selected PWSs would agree to sample voluntarily and send samples to an
EPA-approved laboratory; EPA will pay for analyses.
• We operate three water treatment plants at our utility. One of them is a brand
new ozone facility that was started up in July 1995. The other two are
conventional facilities which have been in operation for years. Which plants
have to be sampled for the ICR?
Certainly, the two conventional plants have to be sampled for the ICR. The new
facility is another matter. The final rule states: "Treatment systems or treatment
plants whose total operational lifetime is fewer than 12 calendar months as of
December 1995 are not required to comply with (the ICR)." Therefore, a brand new
plant that was just started up in 1995 does not have to comply with the ICR
monitoring.
• Our utility just last year added ozone to our existing treatment plant. Do we
have to sample that treatment plant under the ICR?
Yes. Just adding a new unit process to an existing facility is very different from a
brand new treatment plant. The modified treatment plant would have to comply with
the ICR monitoring.
• Will EPA require a PWS to modify treatment if ICR results show high levels of
DBFs or microorganisms in the PWS's water?
EPA will not require any PWS to modify its treatment based on ICR analytical-results.
However, if a PWS uses analytical results to meet both ICR and other regulatory
requirements (e.g., TTHMs/THM4), the PWS will be required to meet applicable
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MCLs or treatment techniques. Also, PWSs may want to improve treatment process
operations based on deficiencies identified during the ICR.
EFFECTIVE DATES
• When does the rule become effective?
The rule is effective 35 days after its publication in the Federal Register on May 14,
1996; therefore, the effective date is June 18,1996. The first action that PWSs must
complete is responding to the Notice of Applicability, 35 days after receiving it from
EPA. The Notice is tentatively scheduled to be mailed in June, so responses would
be due in mid-July. The second action that PWSs must begin is treatment study
applicability monitoring, which must begin 3 months after the rule is published in the
Federal Register.
• Why will the ICR no longer be effective after December 31, 2000?
The ICR requires limited monitoring-12 months of treatment study applicability
monitoring, 18 months of DBP and microbiological monitoring and engineering data,
and a year-long treatment study. The schedule in the rule anticipates that these
actions will be completed by July 1999; once all required actions have been
completed, there is no further need for the rule requirements to remain in the Code
of Federal Regulations.
• What if my system finishes its monitoring before December 31, 2000?
Once a PWS has completed all required monitoring and treatment studies and has
submitted all required reports, it is no longer subject to the ICR (§141.141 (a)(1)).
AVAILABILITY
• Is this rule available on the Internet? If so, what is the Internet address?
Yes; http://www.epa.gov/OWOW/OGWDW/icrindex.html is the Internet address for
the ICR.
• How can I get a copy of any studies cited in this rule?
Supporting documents, including references cited in the rule, are available for review
at the EPA Drinking Water Docket (MC 4101), 401 M Street, SW, Washington DC
20460. For access to docket materials call (202) 260-3027 between 9:00 am and
3:30 pm (EST) for an appointment.
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m Does EPA have a list of water systems required to comply with the microbial
monitoring, DBP monitoring, and/or precursor study requirements? If so,
where can I obtain a copy?
Yes, EPA has prepared a list of the public water systems it believes will have to
comply with the ICR. There may be some systems that need to comply that have not
been identified on this list. Information regarding this list, or a copy of the list, may
be obtained by contacting the Safe Drinking Water Hotline at 800-426-4791.
SIGNIFICANCE OF THE ICR
• Will the ICR constitute an unfunded mandate?
"Unfunded mandates" referto Federal requirements that State and local governments
are required to administer. Because States are not required to implement the ICR,
there is no unfunded mandate at the State level. Only if a PWS is publicly owned is
there an unfunded mandate at the local level. EPA will not be providing financial
assistance to PWSs required to monitor under the ICR.
• What are the costs associated with the ICR? Will these costs affect large
systems only or also small/medium-sized ones?
EPA has estimated the costs for typical treatment plants as follows:
• Start-up activities
Surface water plants $12,000
Ground water plants $12,000
Purchased water plants $12,000
• Microbiological monitoring
Surface water plants $39,000
- Ground water plants NA
— Purchased water plants NA
• DBP and related monitoring
- Surface water plants $69,000
- Ground water plants $50,000
- Purchased water plants $50,000
• Data reporting
Surface water plants $18,000
- Ground water plants $5,000
- Purchased water plants $5,000
• Bench- and pilot-scale treatment studies
Surface water plants $271,000
Ground water plants $259,000
- Purchased water plants NA
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Section 2: Understanding the ICR Language Attachment A
Costs will apply to large systems (those serving at least 100,000 people) and ground
water systems serving 50,000-99,999. Costs will vary from site to site based on such
factors as treatment processes, plant complexity and size, and disinfectants used.
ANALYTICAL METHODS
• How are microbial methods available?
Required microbial methods are listed in §141.143(b). Methods are available in
Standard Methods (with several modifications noted in the rule) for total coliform,
fecal coliform, and E. coll and in the ICR Microbial Laboratory Manual tor Crypto-
sporidium, Giardia, and total culturable viruses. The EPA manual is available from
NTIS and is on the Internet. PWSs covered by the rule will be mailed a copy of
EPA's manual at no cost.
• How are chemical methods available?
Required chemical analytical methods are listed in §141.142(b)(1), Table 7. Methods
are available in Standard Methods (with several modifications noted in the rule) or
EPA manuals. EPA manuals are available from NTIS. PWSs covered by the rule will
be mailed copies of EPA's manuals at no cost. For further details consult the DBF/
ICR Analytical Methods Manual (EPA 814-B-96-002).
• I noticed in Table 7 of the Final ICR (Analytical Methods Approved for Subpart
M) that the only EPA method for THMs is 551.2. We run 524.2 for our state
reporting, but it would appear that we can't use this method (unless it is
referenced under the 40 CFR section cited in the table). Have they changed the
40 CFR references from the 1993 book (because the 40 CFR references in Table
7 do not match the analyses in the table)?
The short answer is YES. The CFR references were updated in 1995. Method 524.2
is one of the approved methods for TTHM compliance monitoring according to 40
CFR Section 141.24(e). Approved methods were updated on December 5, 1994,
and the changes appear in the July 1995 version of the CFR.
The ICR references Section 141.24(e) for THM methodology approved for ICR
monitoring purposes. Any THM method listed in that section should be covered by
the drinking water certification program. Labs that are certified under that program
for TTHMs will be approved for ICR monitoring if they submit documentation to verify
the certification. Method 551.1 is also cited in the ICR as an approved method for
THM monitoring, but it is not yet approved for TTHM compliance monitoring and,
therefore, is not covered under State certification programs.
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* Do you mean that if a THM method is specified in 40 CFR Section 141.24(e) that
utilities can use the method for the ICR and their approval will be as a result of
their certification by their primacy agency?
40 CFR Section 141.24(e) says that Methods 502.2, 524.2, and 551 can be used for
TTHM compliance monitoring. Labs that analyze samples for TTHM compliance
monitoring MUST be certified through the State drinking water certification program.
For the ICR, EPA will approve laboratories to analyze samples using the same
method(s) for which they are already certified under the drinking water certification
program. The only thing these labs need to do to receive initial approval is to verify
the certification with the ICR Lab Coordinator. (They can write to the Coordinator for
information—EPA has two very simple forms that need to be filled out. First a
registration form and then a Verification of State Certification/ Approval Form.) After
the ICR 18-month monitoring period starts, they will be subject to all the performance
evaluation (PE) study and QC requirements that are outlined in the DBP/ICR
Analytical Methods Manual.
In other words, yes, initial approval to use Methods 502.2, 524.2, or 551 will be as a
result of having State drinking water certification.
» Then, if they are using a non-CFR approved method (e.g., 551.1), they will have
to get approval from EPA?
Yes! The only method for THMs that is NOT covered in 40 CFR Section 141.24(e)
is Method 551.1.
• Is it only a difference in the way they apply to you? If the method is approved
by the certification agency, they just have to cite that and if it is 551.1, they have
to do something else (like what?).
For Method 551.1, the laboratory will have to pass at least one PE study AND submit
an application that includes method performance data. (Presumably, the same types
of requirements were placed on the labs using Methods 502.2, 524.2, and 551 when
they applied for drinking water certification. EPA is not asking for duplication of what
was done under the certification program.)
DEFINITIONS
• What are HAA5/HAA6? How many haloacetic acids are involved under this rule,
5 or 6?
HAA5 (haloacetic acid-five) is the sum of mono-, di-, and trichloracetic acid and
mono- and dibromoacetic acid. HAA6 (haloacetic acid-six) is the sum of HAA5 plus
bromochloroacetic acid. EPA proposed an MCL for HAA5 as part of the D/DBP Rule
(69 FR 38668, July 29, 1994) and has provisions for avoiding treatment studies
based in part on low levels of HAA5. During the ICR, PWSs must collect occurrence
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data for HAA6 and report levels of individual haloacetic acids. In addition, PWSs
may analyze for and report three additional haloacetic acids: tribromoacectic acid,
dibromochloroacetic acid, and bromodichlorbacetic acid.
MONITORING
GENERAL
• When will the monitoring start?
Detailed monitoring of treatment plants and distribution systems is required to begin
for each utility in the month following the receipt of approval of their initial sampling
plan. Most utilities will have to begin monitoring in early 1997. However, all utilities
serving > 100,000 and all ground water systems serving > 50,000 and < 100,000 who
are subject to the ICR will have to begin monitoring for TOG by September 30, 1996
(see July 24, 1996, William Diamond letter).
• I heard something about monitoring for TOX and trihalomethanes beginning in
August 1996. What is this all about?
Utilities must begin monitoring for UFCTOX or THM4 and HAAS 3 months after
publication of the final rule in the Federal Register if they want to try to meet criteria
for avoiding treatment studies, for running joint studies, or for contributing to a
research fund. See the final ICR for details and a definition of UFCTOX.
• We have two sources of supply for my treatment plant. Must we sample both
sources for pathogens?
No. You may sample and analyze the blended source waters as they enter the plant
and analyze that sample for pathogens. If it is not possible to sample a blended
source, sample the source with the highest expected pathogen concentrations. If
each source is pretreated individually with chemicals, it is permissible to obtain a flow
composite sample of the two sources prior to any pretreatment.
Microbial Monitoring
• Is it possible to not have to monitor for viruses in the source of supply?
Utilities may monitor for total conforms, fecal coliforms, or E. coli'm the plant influent,
at least 5 days/week for 6 consecutive months after January 1, 1994; if 90 percent
of all samples contain <100 total coliforms/100 mL, or <20 fecal coliforms (or
E. co//)/100 ml, a utility may request to not conduct influent virus monitoring for that
plant. If a utility must sample for viruses they must collect a full 18 months of virus
samples (with no provisions for reduced monitoring).
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» Which utilities must conduct finished water monitoring for all pathogens?
Utilities must conduct finished water monitoring for all pathogens and conforms if they
detect in the influent 10 or more Giardia cysts, or 10 or more Cryptosporidium
oocysts, or one or more total culturable viruses, per liter of water (or their detection
levels are very high).
• Is there a way to qualify for reduced monitoring for Giardia and Crypto-
sporidium in finished water?
Utilities may perform the following as an alternative to Giardia and Cryptosporidium
monitoring in finished water:
• Measure particle counts in influent, before filters and after filters; monthly for
18 months, AND
• Collect 4 consecutive months of Giardia and Cryptosporidium at influent,
before filters and after filters, within first 12 months of sampling.
• Do we have to monitor for Clostridium perfringens and coliphage under the
ICR?
PWSs do not have to monitor for Clostridium perfringens and coliphage under the
ICR.
• Does EPA allow particle counting in lieu of Cryptosporidium and Giardia
monitoring for finished water?
EPA has included specific provisions for particle counting in lieu of finished water
protozoan monitoring in the final rule in §141.143(a)(2)(iii). In addition to particle
counting, PWSs must conduct protozoan analyses at several locations in the
treatment plant for at least 4 of the 18 months of particle counting.
• Do we have to wait for EPA to approve our sampling plan before starting the
TOC monitoring?
Treatment studies applicability TOC monitoring is required to before September 30,
1996. This monitoring will begin before EPA approval of sampling plans.
• Is reduced monitoring an option for microbial contaminants under the ICR?
Can systems avoid some or all microbial monitoring? Under what conditions?
Who decides?
Microbial monitoring is required at treatment plants that treat surface water but not
at those that treat only ground water. PWSs that demonstrate low levels of total
coliform, fecal coliform, or E. coli in source water and that have approval from EPA
may avoid total culturable virus monitoring under the provisions of §141.143(a)(2)(iv).
EPA has included specific provisions for particle counting in lieu of finished water
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protozoan monitoring in §141.143(a)(2)(iii). There are no other provisions for reduced
microbial monitoring.
• Our PWS does not operate 3 months of the year. How do we conduct microbial
monitoring for 18 consecutive months?
There are probably no PWSs that do not operate for 3 months of the year that are
subject to the ICR. There are probably a number of treatment plants that do not
operate for some part of the year, however, because of maintenance, upgrades,
decreased demand, or other reasons. For these plants, the general requirement
is to collect an influent microbial sample for 18 months, even when the plant is not
operating. [§141.141(d)]
• What about multiple intakes?
Specific locations for sampling will be finalized as part of EPA's review and approval
of the sampling plan prepared and submitted by the PWS. General requirements for
DBP and related monitoring include the following:
• Take a sample at the upstream end of the treatment plant where waters from
all intakes are blended before any treatment or chemical addition.
• For treatment plants that have multiple intakes and that add chemicals at the
intake, the sample of treatment plant influent shall be a flow proportional
composite of intake samples collected before chemical addition and before
pretreatment.
• If the intakes are expected to have the same source water quality, one
representative intake sample may be taken.
• If a disinfectant is added at or before the intake (e.g., for zebra mussel control)
the sample shall be taken in the vicinity of the intake so that the sample is not
contaminated by the disinfectant.
• A sample of treatment plant influent for a PWS that treats purchased finished
water is taken at a location just before the purchased finished water is treated.
• An intake sample is collected after the intake but before blending with waters
from other intakes and before adding chemicals or performing any treatment.
General requirements for microbial monitoring include the following:
• A sample of treatment plant influent shall be taken at a location at the
upstream end of a treatment plant where waters from all intakes are blended
before any treatment or chemical addition.
• For treatment plants that have multiple intakes and add chemicals at the
intake, the PWS shall take an intake sample of the water resource with the
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poorest microbiological quality (or, if that cannot be determined, the water
resource with the highest flow) collected before chemical addition and before
pretreatment.
• If the intakes are expected to have the same source water quality, one
representative intake sample may be taken.
• If a disinfectant is added at or before the intake (e.g., for zebra mussel
control), the sample shall be taken in the vicinity of the intake in such manner
that the sample is not contaminated by the disinfectant.
• We detected viruses in our finished water samples-what do we do next?
If viruses are detected in finished water samples, the PWS is required to submit
archive samples of both treatment plant influent and finished water to EPA until 18
months of treatment plant influent microbial monitoring are completed.
[§141.143(b)(3)(1)] Additionally, if viruses are detected in treatment plant influent
samples at a density of at least 10 viruses/L, the PWS is required to submit archive
samples of both treatment plant influent and finished water to EPA until 18 months
of treatment plant influent microbial monitoring are completed. [§141.143(b)(3)(ii)]
• Are we allowed to avoid virus sampling if no viruses are detected in the first 12
months of sampling?
In the proposed ICR, there was a provision for allowing PWSs that did not detect
viruses in the first 12 months of monitoring to avoid subsequent virus monitoring.
That provision is not in the final rule and virus monitoring is required for 18 months.
DBF MONITORING
• We receive treated water from City A that we do nothing else to, and we have
wells that we chlorinate. Do we have to comply with all of the DBF monitoring
requirements?
For those wells that you chlorinate, you will have to meet all of the DBP monitoring
requirements. You do not have to sample the treated water you receive as long as
you do not treat it in any way that affects the levels of the DBPs in that supply. For
example, treatment is considered to be simple chlorination, GAC filtration, or the
addition of any other disinfectant such as chlorine dioxide or ozone.
• We receive treated water from City A, and we rechlorinate that supply and sell
it to our retail customers. Do we have to comply with all of the DBP monitoring
requirements?
Yes. You have to monitor for all DBPs associated with sampling points "at or
subsequent to the entry point to the distribution system."
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• We receive treated water from another utility and we rechlorinate it and sell that
water to other cities. We are just the middleman in the transaction. Surely, we
do not have to sample for DBFs.
You have to monitor for all DBFs at the sampling points that will be identified for you.
• What is the sampling frequency for TOC?
Treatment study applicability monitoring is required for 12 months. In addition, there
are requirements for TOC monitoring as part of DBP and related monitoring under
§141.142. This monitoring is required for 18 months, beginning the month after the
PWS receives approval of its sampling plan from EPA.
• Is reduced monitoring for DBFs an option under the ICR? Can systems avoid
some or all of the DBP monitoring? Under what conditions? Who decides?
There are no provisions for reduced monitoring for DBPs.
• What about multiple intakes?
There are provisions for compositing treatment plant influent for treatment plants that
use multiple intakes. Proper procedures and locations will be approved by EPA as
part of the Agency's review and approval of the sampling plans submitted by PWSs
before commencing microbial and DBP and related monitoring.
• Can systems composite?
There are provisions for compositing treatment plant influent for treatment plants that
use multiple sources. Proper procedures and locations will be approved by EPA as
part of the Agency's review and approval of the sampling plans submitted by PWSs
before commencing microbial and DBP and related monitoring,
PRECURSOR STUDIES
• What is the bench-scale treatment study; is there a guidance manual available
on it? What is the pilot testing treatment study; is there a guidance manual
available on it?
Bench- and pilot-scale treatment studies are defined in the ICR Manual for Bench-
and Pilot-scale Treatment Studies (EPA 814-B-96-003). This rule-by-reference
document contains specific legal requirements about the details of the treatment
studies (e.g., the protocols that can be used, the number and type of samples that
must be collected), and this document also contains guidance to assist PWSs in
meeting the treatment study requirement.
Treatment studies must evaluate either GAG or membrane processes (nanofiltration
or reverse osmosis) on either the pilot- or the bench-scale using the following
protocol(s): one protocol for bench-scale GAG studies (RSSCT); one protocol for
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pilot-scale GAG studies (continuous flow columns with a minimum column diameter
of 2 inches); three protocols for bench-scale membrane studies (RBSMT, SEBST,
and a long-term single element bench-scale study); and one protocol for pilot-scale
membrane studies (a staged membrane system with a minimum configuration of a
2-1 array with at least three elements per pressure vessel). The protocols are
located in Part 1 of the Treatment Study Manual-Section 4.0, pages 1 -13 to 1 -18 and
Tables 4-1 and 4-2.
• How do PWSs decide which study (bench or pilot) to perform? What are the
options? Advantages?
Treatment plants required to conduct treatment studies with a total population served
of 500,000 or more are required to conduct pilot-scale studies. Plants that serve less
than 500,000 people can conduct either pilot- or bench-scale studies. In most cases,
more information will be gained from a pilot study, but pilot studies are typically more
expensive than bench studies and must be conducted onsite. (See Part 1 of the
Treatment Study Manual—Section 3.3, pages 1-8 to 1-9, and Section 5.2.1, page
1-20.)
« Is there any way to avoid these studies? If so, what are the requirements for
avoiding treatment studies? Our system is already using full-scale GAC
technology, do we have to conduct treatment studies?
Plants can avoid treatment studies if they meet the following criteria:
• The plant treats surface water and has an average influent TOC less than 4.0
mg/L based on 12 months of monitoring.
• The plant treats only ground water and has an average finished water TOC
less than 2.0 mg/L based on 12 months of monitoring.
• The plant uses only chlorine as a primary and residual disinfectant and has
(as an annual average of four quarterly averages) levels of THM4 less than 40
u.g/L and HAA5 less than 30 |ig/L in the distribution system.
• Per Section 3.2 and Table 3-2 of the Treatment Study Manual, plants already
using full-scale GAC or membranes (nanofiltration or reverse osmosis) do not
have to conduct treatment studies if the processes meet certain minimal
requirements and conduct monitoring around the GAC or membrane process
as part of the 18-month ICR monitoring.
• Plants that have already conducted precursor removal studies may
grandfather data from that study or studies to meet the requirements of the
ICR. EPA will review this grandfathered data to ensure that they were
obtained using a testing protocol similar to one of those listed in the Treatment
Study Manual (using the analytical methods described in the DBP Manual)
and that the data meet all the requirements of the ICR and are supplied to
EPA in a specified format.
2-102
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Section 2: Understanding the ICR Language Attachment A
• Plants can also buy out of the treatment study requirement by contributing
funds to a research effort (see Section 3.6, page 1-10 and Section 5.2.5, page
1-22 of the Treatment Study Manual).
(Information located in Part 1 of the Treatment Study Manual, Section 3.2, pages 1-6
to 1-8 and Section 5.2.2, pages 1-20 to 1-21.)
• We are a ground water system with an average TOC level of 1.5 mg/L in our
finished water in 12 consecutive months. Do we have to conduct treatment
studies?
The PWS must conduct 12 months of TOC monitoring beginning before September
30, 1996. If the results of that monitoring show an average TOC level of 1.5 mg/L,
the PWS would be able to avoid a treatment study. No provision exists for grand-
fathering TOC analytical results and using such results for avoiding treatment studies.
• Are there any alternatives to precursor studies?
In lieu of conducting the required treatment study, a PWS may apply to EPA to
contribute funds (i.e., buy-out option) to a cooperative research effort. The PWS must
submit an application to EPA Technical Support Center, ICR Precursor Removal
Studies Coordinator, 26 W. Martin Luther King Drive, Cincinnati, OH 46268.
The treatment plant for which the waiver is sought must use a common water
resource that is being studied by another PWS or cooperative of PWSs operating
treatment plants in the same size category. A PWS operating treatment plant serving
a population of less than 500,000 may also contribute to this fund if there is a
common water resource treatment plant serving 500,000 or more conducting a
treatment study. If EPA approves the application, the PWS contributes funds to the
Disinfection Byproducts/Microbial Research Fund, to be administered by the
American Water Works Association Research Foundation (AWWRF) under the
direction of an independent research council, for use in a dedicated cooperative
research program related to disinfectants, disinfection byproducts, and enhanced
surface water treatment. [§141.141(a)(5)]
• How much contribution do we make if avoiding treatment studies?
The PWS must contribute $300,000 for a treatment plant with a population served
of 500,000 or more and $100,000 for a treatment plant with population served of less
than 500,000. The PWS must send the contribution to the address specified in
EPA's approval letter not later than 90 days after EPA approves the PWS application
for waiver of the treatment study. [§141.141(e)(5)(i) and (ii)]
Can precursor studies be conducted jointly between two or more PWSs? If so,
under what conditions?
Yes, if the plants operated by different PWSs demonstrate that they use a common
source (Section 3.6), are of similar size (either serve a population greater than or
2-103
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Attachment A Section 2: Understanding the ICR Language
equal to 500,000 or serve a population less than 500,000), and use similar treatment
processes (see Part 1 of the Treatment Study Manual, Section 3.4, pages 1-9 to
1-10; Section 3.6, pages 1-11 to 1-12; Section 5.2.4, pages 1-21 to 1-22; and Section
5.3, pages 1-23 to 1-24).
» What is the minimum number of treatment studies to be conducted in a joint
study?
This depends on the sizes of the cooperating plants and the number of cooperating
plants, as shown in Tables 3-3 and 3-4 in Part 1 of the Treatment Study Manual (see
Part 1 of the Treatment Study Manual, Section 3.4, pages 1-9 to 1-10).
• Can a system grandfather results?
A PWS that has already evaluated precursor removal by either membranes or
granular activated carbon may apply to EPA to allow that previous evaluation
to be grandfathered for use in lieu of a treatment study. [§141.141(e)(6),
§141.141 (e)(7)(iv)] There are no other provisions for grandfathering results.
COMPUSERVE ACCESS
• I have a CompuServe account and I am using WinCIM but I cannot find the
Drinking Water Section. How do I get there?
Sign on to CompuServe. Click on the "green traffic light" icon at the top of the screen
(Go...). In the box type "earth" and click OK. You will be transferred to the Earth
Forum. Sign up as a member by clicking the "Join" button. To get to the Drinking
Water Section, click on the icon on the right that looks like several pieces of paper.
When you are offered a list of sections, choose "Drinking Water" and you will be
shown a list of messages related to drinking water issues and the ICR. You can
download and read any of the messages and reply to them if you wish. If you want
to post a message, click on the icon of a hand writing on a piece of paper. Make sure
that you send it to the Drinking Water Section. Check out the Drinking Water Section
Library contents by clicking on the "books" icon on the right and choosing "Drinking
Water." You can download any of the files in the library for your use.
• I am member of AOL and I also have an Internet account. Can I access the
Drinking Water Section using these systems?
To access the Drinking Water Section, you must be a member of CompuServe.
Limited ICR information will available on AWWA's Web page, which can be accessed
at http://www.awwa.org.
• How can I become a member of CompuServe?
Call 800-524-3388 and ask for representative 190. This will entitle you to a free
starter kit including WinCim, which is the software you can use to access
CompuServe. You will also receive a free month of service and other benefits. If you
2-104
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Section 2; Understanding the ICR Language Attachment A
want more information on this, read the Aqualink column from June 1994 in the
AWWA Journal, page 10.
WATER UTILITY DATABASE SYSTEM
• Is it recommended that a PC should be dedicated solely for the ICR program?
No. It is not necessary to dedicate a PC to the ICR program. Utilities should be able
to use a PC for the ICR data recording needs as well as other word processing and
other computing functions.
• Can one PC be used for multiple sites?
Yes. There are narrowly defined options for using multiple PCs to capture data from
multiple sites. The ICR Water Utility Database System Users'Guide, which utilities
will be receiving with copies of the software, describes these options. In all cases,
utilities must use only ONE copy of the software application. The simplest option
which has the least chance of corrupting the data is to have all of the data from
multiple sites transmitted on paper forms to one person who will enter it on one PC.
• Is written notification of sampling and/or treatment plant changes necessary
after the submission of the Initial Sampling Plan?
No. Once the Initial Sampling Plan has been submitted and accepted by EPA,
monthly changes in sampling or treatment processes are simply entered into the
software.
LABORATORY APPROVAL/PE STUDIES
» What is the approval process for the general water quality parameters (pH,
alkalinity, disinfectant residuals, temperature, turbidity, calcium hardness, total
hardness, and ammonia)?
Laboratories will be approved to perform these analyses if they are currently certified
or approved by a State agency for the same analytical method OR they are
performing these analyses (same method) on water samples and the data are being
reported to and accepted by a State agency. To receive this approval the laboratory
must write to:
ICR Laboratory Coordinator
EPA - Technical Support Center
26 W. Martin Luther King Drive
Cincinnati, OH 45268
FAX: 513-569-7191
The letter can be a one sentence request. There is no need to list the parameters
for which the lab is requesting approval. EPA will then send the laboratory an
2-105
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Attachment A Section 2: Understanding the ICR Language
informational package that includes a registration sheet. The laboratory will check
which analyses it plans to perform for the ICR and return the sheet to EPA.
EPA will next send the laboratory a "Verification of State Certification/Approval" sheet
that is used to document which methods are being used, the state in which the lab
is certified/approved, and the type of certification/approval. This information and a
copy of the certificate from the state are submitted to EPA.
• What parameters will be included in the next ICR Chemistry PE Study?
TOG, UV254, TOX, THMs, HAA, HANs.
TREATMENT TRAIN ISSUES
• Do chlorine booster stations in the distribution system count as additional
treatment for monitoring purposes?
No. Chlorine booster stations in the distribution system are not counted as additional
treatment plants. There is a place in the software to list the number and type of
disinfectant booster stations in the distribution system, but that is all the information
requested on these facilities.
• We add hypochlorite in distribution system booster stations. Do we have to
analyze the hypochlorite stock solution?
No. You only need to analyze the hypochlorite stock solution if hypochlorite is used
in a treatment plant.
• We use several tanks of sodium hypochlorite in our treatment plant. Which
one do we sample for the required analyses?
If a utility uses more than one hypochlorite stock solution in the treatment plant, a
composite sample of the various stock solutions must be obtained and submitted for
analysis. (From the ICR Sampling Manual)
• Must a tracer study be run on all unit processes as a requirement of the ICR?
A one-time tracer study must be run only on the plant clean/veil. For unit processes
other than a clean/veil, a utility can estimate the T10 value.
• When is a clearwell not a clean/veil? In other words, is it necessary to run a
tracer study on a "clearwell" that is on a sidestream to the main flow of a
treatment plant?
A clearwell is not a clearwell for the purposes of running a tracer study when it is a
regulating reservoir without continuous flow-through that is not used to achieve CT
credit.
2-106
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Section 3:
ICR Water Utility
Database System
Summary
-------
-------
ICR Water Utility Database System
Summary
What is the ICR Water Utility Database System?
The ICR Water Utility Database System is a personal computer (PC)-based Microsoft®
Access™ runtime application developed to enable water utilities to meet the requirements
of the ICR. It is distributed by EPA to the designated ICR Technical Contacts, who should
have received the software and users' guide with the Notification Letter sent by EPA in
June 1996.
Several test versions of the software were released during the development of the ICR
Water Utility Database System. Do not use these versions—you must use Release 1.0 or
the most recent version of the software to report required data to EPA.
The software application helps you to record and review the data you must report under
the ICR, to verify that the data you send to EPA are correct and complete, and to report
your data in the format specified by EPA.
Purpose of the ICR Water Utility Database
System
The ICR Water Utility Database System is part of the overall ICR Data Management
System (DMS), an information system that captures treatment process, water resource,
and sample data from approximately 350 PWSs. EPA and the water industry will use
these data to evaluate the quality of drinking water in the United States, identify the most
effective water treatment technologies currently in use, and develop future drinking water
regulations.
Users' Guide and Data Entry Video
The ICR Water Utility Database System Users'Guide accompanies the software and helps
you use it; the guide describes the information to be entered into the application. It also
contains detailed instructions for using the application—how to install and start the
software, how and when to enter data into the system, how to generate reports on the data
in the system, and how to submit data to EPA.
EPA has also developed and will distribute An Introduction to the ICR Water Utility
Database System, a data entry video that provides an overview of the ICR Water Utility
Database System to supplement the information in the Users' Guide. The video also
familiarizes you with the application before you attend the AWWA Training Sessions
3-1
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Section 3: ICR Water Utility Database System Summary
(described in more detail in Section 4). If you have not received the software and the
Users' Guide, please refer to Section 5 for a listing of additional ICR-related references.
What Equipment Do You Need?
The ICR Water Utility Database System was developed to run on the following computer
hardware with the following specifications:
• IBM-compatible PC with an 80486 or Pentium™ Microprocessor
40 megabytes free space on an attached hard disk drive
3.5" high-density diskette drive
VGA or compatible display set to a resolution of 600 x 800 pixels
16 megabytes or more Random Access Memory (RAM)
Mouse or comparable pointing device
• 300 dot per inch (standard laser) or higher resolution printer to output reports
generated by the application.
The application will run on an IBM-compatible PC with 80386 microprocessor and 8
megabytes RAM, but system performance will decrease markedly.
You will also need the following software:
• MS-DOS™ Version 5.2 or later (or compatible operating system).
• Microsoft® Windows™ Version 3.1 or later. (Note: the ICR Water Utility Database
System was not designed to run under Microsoft Corporation's Windows 95™. If
you choose to use Windows 95™, you may encounter errors caused by
incompatibilities with the new operating system.)
• The ICR Water Utility Database System.
The ICR Water Utility Database System is a Microsoft® Access™ runtime application. You
do not have to purchase a copy of Microsoft® Access™ to use the ICR Water Utility
Database System. Using just the runtime application, you can enter data and print
predefined reports.
ICR DMS E-Mail/Hotline
Refer any specific questions you have about using the ICR DMS application to the ICR
DMS Hotline at (703) 908-2155. You can also reach Hotline staff via E-mail at
102351.2062@compuserve.com.
Technicians on the ICR DMS Hotline can answer questions only about using the ICR
Water Utility Database System and the Laboratory Quality Control (QC) Database System
(which is described in Section 7). If you have questions about implementing or interpreting
the rule, the technicians will refer you to AWWA's A-Team or the EPA's Safe Drinking
Water Hotline (see Section 4).
3-2
-------
Section 3: ICR Water Utility Database System Summary
Please refer to the ICR Water Utility Database System Users' Guide and data entry video
for detailed instructions on how to install and use the ICR Water Utility Database System.
All monitoring data must be entered into this application and submitted on diskette to EPA
to meet the requirements of the ICR.
Where Do You Submit Diskettes?
PWSs must submit all microbial and DBP and related monitoring analytical reports on
diskette to EPA at the following address:
USEPA (ICR 4600)
ICR Data Center
Room 1111 East Tower
401 M Street, SW
Washington, DC 20460.
EPA is developing the Laboratory Quality Control (QC) Database System software (similar
to that developed for the utilities) to be used by the approved laboratories to report QC
data to EPA. EPA will provide the software to all laboratories. Laboratories can call the
ICR Data Management System Hotline at 703-908-2155 for assistance with the software.
[Note: Laboratories do not report analytical results directly to EPA, only to the PWS.]
3-3
-------
-------
Section 4:
EPA and AWWA
A-Team Support
Services
-------
-------
EPA and AWWA A-Team Support
In addition to the reference manuals developed to assist PWSs with implementation of the
ICR, EPA and AWWA have established the following technical support services.
AWWA A-Team
AWWA has assembled the A-Team to help PWSs comply with the ICR. The A-Team
consists of drinking water experts who provide support to utilities in designing sample
collection systems and inputting that data. A-Team members can be reached via phone
or CompuServe.
Phone: (800) 200-0984
Internet: 103327.2057@compuserve.com
CompuServe is a worldwide on-line communications service that can be accessed by
anyone who has a personal computer, a modem, and a telephone line. To obtain a
CompuServe account, call 1 -800-524-3388 and ask for representative 190. By calling this
number, you will receive a free starter kit.
Utilities with questions about the ICR can communicate through the Drinking Water Section
(DWS), which is part of the Earth Forum, one of CompuServe's larger electronic bulletin
boards. The DWS library contains a number of files that will be useful to utilities affected
by the ICR. These files include the full text of the Federal Register version of the ICR, an
outline of the ICR with page locators for the Federal Register version, and graphics files
showing sampling sites for typical treatment process trains.
Utility employees with CompuServe memberships can log onto the Earth Forum/DWS and
post messages asking specific questions; an A-Team member assigned to monitor the
DWS will post a response linked to that question. However you leave a message, an
A-Team member will answer your question as soon as possible. It is very important that
you give as much detail as possible in your message. Please do not leave messages at
more than one service (i.e., do not leave a voice mail, and leave a message on
CompuServe); it takes more time for the A-Team to respond.
ICR Water Utility Database System Training
AWWA is also offering training courses in the fall of 1996 for people interested in the ICR
and the ICR Water Utility Database System. The training courses will cover the following
topics:
4-1
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Section 4: EPA andAWWA A-Team Support Services
» Describe the goals, basic principles, and importance of the ICR
• Describe how the ICR requirements relate to the interpretation of the ICR sampling
schematics and data entry needs
• Explain the basic sampling requirements
• Demonstrate how to use the ICR Water Utility Database System and how to enter
data
« Describe the ICR Initial Sampling Schematics and how to create and modify initial
sampling plans
• Demonstrate how to print necessary reports to verify data entry and perform quality
assurance/quality control (QA/QC)
• Describe how to submit data
• Explain how to access the ICR DMS Hotline and request assistance from the
A-Team.
Training courses are planned during September and October 1996 for the following
locations:
Los Angeles, CA
San Francisco, CA
Washington, DC
Miami, FL
Chicago, IL
Boston, MA
St. Louis, MO
Dallas, TX.
Please call Rick Merrill at (303) 347-6185 for specific dates and to enroll in the course.
ICR Laboratory Software Training
AWWA is planning training sessions on the ICR laboratory software. The software is
scheduled to be completed in November and training sessions will likely be held in early
1997.
Please call Rick Merrill at (303) 347-6185 for specific dates and to enroll in the course.
Safe Drinking Water Hotiine
If you require help in implementing the ICR or in understanding EPA's ICR policies and
guidelines, contact the Safe Drinking Water Hotline by telephone at 800-426-4791 or via
E-mail at HOTLINE-SDWA@EPAMAIL.EPA.GOV.
4-2
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Section 4: EPA andAWWA A-Team Support Services
Additionally, the documents EPA has developed to assist you with implementation of the
ICR are available through the Hotline. These documents are listed in Section 5 of this
reference manual.
4-3
-------
-------
Section 5:
Summary of
Additional
References
-------
-------
Summary of Additional References
R.eference
Contents*'
How to .Obtain"
Rule
National Primary Drinking Water
Regulations: Monitoring Requirements for
Public Drinking Water Supplies:
Cryptosporidium, Giardia, Viruses,
Disinfection Byproducts, Water Treatment
Plant Data and Other Information
Requirements, 40 CFR Part 141 Federal
Register Notice published May 14, 1996
(61 FR 24354)
ICR rule language for ICR
requirements.
SOW Hotline
(800) 426-4791
Rule by Reference
ICR Sampling Manual
NTISPB96-157508
EPA814-B-96-001
Defines the sampling, notification, and
applicability requirements of the ICR.
NTIS
(800) 553-6847
SOW Hotline
(800) 426-4791
DBP/ICR Analytical Methods Manual
NTISPB96-157516
EPA814-B-96-002
Defines the analytical methods and
laboratory approval criteria for the DBP
parameters in the ICR.
NTIS
(800) 553-6847
SOW Hotline
(800) 426-4791
ICR Manual for Bench-and Pilot-scale
Studies
NTIS >PB96-157524
EPA814-B-96-003
Defines ICR Treatment Studies
requirements.
NTIS
(800) 553-6847
SOW Hotline
(800) 426-4791
ICR Microbial Laboratory Manual
NTIS PB96-157557
EPA600-R-95-178
Defines the analytical methods and
laboratory approval criteria for the
microbiology parameters in the ICR.
NTIS
(800) 553-6847
SOW Hotline
(800) 426-4791
Reprints of EPA Methods for Chemical
Analyses Under the Information Collection
Rule
NTIS PB96-157532
EPA814-B-96-006
Contains copies of EPA methods for
the ICR.
NTIS
(800) 553-6847
SOW Hotline
(800) 426-4791
Data System Guides
ICR Water Utility Database System Users'
Guide
NTIS PB96-501671
EPA814-B-96-004
Helps the affected water systems to
meet ICR reporting requirements.
NTIS
(800) 553-6847
SOW Hotline
(800) 426-4791
ICR Laboratory Quality Control (QC) Users'
Guide
NTIS PB96-501689
EPA814-B-96-005
Helps approved laboratories to meet
ICR reporting requirements.
NTIS
(800) 553-6847
SOW Hotline
1800) 426-4791
ICR Treatment Study Reporting Diskette
Used to report results of ICR treatment
studies.
SDW Hotline
(800) 426-4791
Videos
An Introduction to the ICR Water Utility
Database System
EPA814-V-96-004
Presents an overview of the ICR Water
Utility Database System Software.
SDW Hotline
(800) 426-4791
5-1
-------
Sections: Summary of Additional References
Reference | Contents,
^:BoyV¥*b»j|i&taiirji^,'''
Videos (continued)
Protozoa Video and Companion Guide:
ICR Protozoan Method for Detecting
GlanJla Cysts and Cryptosporidium
Oocysts in Water by a Fluorescent
Antibody Procedure
EPA 814-V-95-003
Virus Video and Companion Guide: Virus
Monitoring Protocol for the Information
Collection Rule
EPA814-V-95-002
Sampling Video and Companion Guide
Information Collection Requirements Rule -
Protozoa and Enteric Virus Sample
Collection Procedures
EPA814-V-95-001
Used with the ICR Microbial
Laboratory Manual to train on the ICR
protozoa method.
Used with the ICR Microbial
Laboratory Manual to train on the ICR
virus method.
Used with the rule requirements and
manuals to train on the sampling
method for virus and protozoa for the
ICR.
Fact Sheets
Information Collection Rule Summary for
the Public
EPA811-F-96-001
Information Collection Rule: Key Issues
EPA811-F-96-003
Information Collection Rule Technical
Summary
EPA811-F-96-004
EPA Efforts to Control Microbial and
Byproduct Risk
EPA811-F-96-005
ICR Optional Public Notice Language for
Cryptosporidium
EPA811-F-96-007
ICR Implementation Fact Sheet #1 -
Implementation Requirements
EPA814-F-96-001
ICR Implementation Fact Sheet #2 -
Laboratory Approval
EPA814-F-96-002
ICR Implementation Fact Sheet #3 -
Treatment Studies
EPA814-F-96-003
Provides overview of ICR Rule.
Discusses strategy for protozoan data,
implementation schedule, and
research plan.
Summarizes rule requirements for
water systems and other informed
audiences.
Summarizes rules from reg-neg:
ICR, Interim Enhanced Surface Water
Treatment Rule, and Disinfectants/
Disinfection Byproducts Rule.
Describes optional public education/
notice language, including example
language.
Summarizes ICR implementation
requirements.
Summarizes ICR laboratory approval
requirements.
Summarizes ICR treatment study
applicability monitoring and treatment
study requirements.
Other —
Standard Methods for the Examination of
Water and Wastewater (19th Edition, 1995)
Guidance Manual for Compliance with the
Filtration and Disinfection Requirements for
Public Water Systems Using Surface
Water Sources (1990)
Provides analytical methods in detail.
Filtration and disinfection
requirements.
SOW Hotline
(800) 426-4791
SOW Hotline
(800) 426-4791
SOW Hotline
(800) 426-4791
SOW Hotline
(800) 426-4791
SOW Hotline
(800) 426-4791
SDW Hotline
(800) 426-4791
SDW Hotline
(800) 426-4791
SDW Hotline
(800) 426-4791
SDW Hotline
(800) 426-4791
SDW Hotline
(800) 426-4791
SDW Hotline
(800) 426-4791
APHA
1 01 5 15th Street, NW
Washington, DC 20005
AWWA
666 W. Quincy Avenue
Denver, CO 80235
5-2
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Section 6:
ICR Technical
Coordinator
Responsibilities
-------
-------
ICR Technical Coordinator
Responsibilities
A utility's designated ICR Technical Coordinator must have a working knowledge of plant
operation, laboratory procedures, computer interfacing, data analysis, and the ICR rule.
The coordinator answers questions for individuals performing specific functions within the
plant and ensures that all ICR implementation responsibilities are fulfilled. The ICR
Technical Coordinator may not perform each of the individual tasks personally but must
ensure that they are done. Suggested oversight responsibilities of a utility's ICR Technical
Coordinator include the following duties [adapted from Journal ofAWWA 87:1:19 (1995)]:
General
• Coordinate the efforts of the utility to comply with the ICR requirements.
• Identify and plan for staff and monetary resource requirements needed to
implement monitoring, reporting, and bench or pilot studies, if required.
• Ensure that the utility staff participating in implementation understands how
individual tasks relate to the overall effort.
• Conduct planning sessions to coordinate implementation efforts.
• If needed, develop and secure contracts for outside services.
• Secure on-line communications through the Drinking Water Section on
CompuServe or through an Internet E-mail provider.
• Prepare and coordinate execution of a communications and action plan to respond
to public health concerns raised when contaminants are detected during ICR
monitoring (e.g., detecting Cryptosporidium or viruses in treated water).
• Select and secure the services of a contract laboratory that has gained ICR
approval status. Stay abreast of the approval status of ICR laboratories throughout
the period in which the ICR is in effect.
Sampling Plan
• Evaluate treatment plant sampling requirements, determine where samples must
be taken, and calculate which analyses must be performed.
• Seek guidance from the AWWA A-Team, if needed.
6-1
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Section 6: ICR Technical Coordinator Responsibilities
m Resolve any problems with sampling locations or protocols well in advance of the
date sampling is required to begin.
Laboratory Analyses
• Determine which analyses the utility will perform and which one(s) a contract
laboratory will do.
» Establish laboratory performance criteria using EPA-proposed criteria and reporting
levels as a minimum.
Data Reporting
» Ensure that samples are collected correctly and reported accurately.
• Collect treatment plant design and operational data for reporting to EPA.
Time Estimate for ICR Technical Coordinator
The ICR Technical Coordinator will perform several tasks during the implementation of the
ICR AWWA's A-Team has estimated that the ICR Technical Coordinator will spend about
1 400 man hours over the course of the ICR implementation period. Approximately one-
third of this time will be devoted to data entry and verification. Other major tasks will
include PWS information collection for ICR Tables 6a-6e (Exhibits 2-20 to 2-24 in this
manual), laboratory coordination, and overall project management. The ICR Technica
Coordinator also will handle several smaller tasks, including preparation of the ICR Initial
Sampling Plan, coordination of samplers, and preparation of data transfer disks. A detailed
breakdown of hours by task is presented in the August 1996 issue of the Journal of
American Water Works Association (Volume 88, No. 8, p. 56).
6-2
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Section 7:
Laboratory
Approval Process
for Microbiological
and Chemical
Laboratories
-------
-------
Laboratory Approval Process for
Microbiological and Chemical
Laboratories
ICR Laboratory Approval Process
EPA requires a national laboratory approval process for the ICR because the Regulation
Negotiating Advisory Committee determined that data must conform to specific accuracy
and precision requirements to meet ICR objectives. The committee also determined that,
as a basis for ensuring useable data, EPA must develop a method of identifying
laboratories qualified to perform the required analyses for PWSs. There are two separate
and distinct laboratory approval processes, one for chemistry laboratories and one for
microbiological laboratories.
PWSs must be sure to contract with an approved laboratory and have contracts in place
by early 1997, when sampling starts. Most laboratories interested in participating in the
ICR have already submitted applications to EPA. (See addresses below for the EPA
contact to receive application forms.)
List of Approved Laboratories
Laboratory approval decisions will be based on EPA's review of completed application
packages and performance evaluation (PE) study data. An initial list containing the names
of "approved" laboratories will be mailed to applicable PWSs.
The lists for approved chemistry and microbial laboratories will be updated periodically
(contact the Safe Drinking Water Hotline at 800-426-4791 for the most current list). The
initial list of approved chemistry laboratories is available as of August 1996 and the initial
list of approved microbiology laboratories is expected to be available in September 1996.
Laboratory Data System
EPA is developing the Laboratory Quality Control (QC) Database System software (similar
to that developed for the utilities) to be used by the approved laboratories to report QC
data to EPA. EPA will provide the software to all approved laboratories. Laboratories can
call the ICR DMS Hotline at 703-908-2155 for assistance with the software.
ICR Laboratory Manuals
Five manuals are incorporated by reference into the ICR; they are available through the
Safe Drinking Water Hotline (800-426-4791). Necessary details on the ICR laboratory
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Section 7: Lab Approval Process for Microbiological and Chemical Laboratories
process, quality control requirements, approved monitoring methods, PE study
requirements, minimal requirements for approval, and other subjects are given in two of
the manuals—the the DBP/ICR Analytical Methods Manual (EPA 814-B-96-002) and the
ICR Microbial Laboratory Manual (EPA 600/R-95-178).
ICR Laboratory Approval for Chemistry
If a laboratory intends to perform chemical analyses during the 18-month monitoring period
or to perform TOC monitoring to determine applicability for bench- and pilot-scale
treatment studies, it must initiate the approval process by writing to EPA at the following
address:
ICR Laboratory Coordinator (Chemistry)
EPA - Technical Support Center
26 W. Martin Luther King Drive
Cincinnati, OH 45268.
EPA will then send the laboratory a registration form on which the lab will indicate the
analyses for which it is seeking approval. Upon receipt of the completed registration form,
EPA will send a customized application package to the laboratory requesting information
on the lab's qualifications and capabilities. This information will be used by EPA to review
and evaluate the lab's qualifications. Onsite inspections may also be conducted on a
subset of the laboratories seeking approval.
Laboratories that have State certification or approval to perform specific ICR analyses
(e.g., pH, chlorine residuals, trihalomethanes) will be approved after they provide
documentation to verify their certification/approval. Approval to perform ICR analyses not
covered by State evaluation processes (e.g., HAAS, TOC) will be contingent on successful
demonstration of capabilities through submission of an application and participation in PE
studies.
PE Samples
The three rounds of ICR Chemistry PE Studies were completed by July 1996. These
studies included the following parameters: THMS, HANS, CH, HAAS, TOX, TOC, UV, Br,
CIO2, ClOg, and BrO3. Laboratories that receive approval to perform analyses for the ICR
also must participate successfully in quarterly PE studies (beginning shortly before and
continuing throughout the 18-month monitoring period).
Maintaining Chemistry Lab Approval
Laboratories with approval to perform general water quality analyses (e.g., pH, chlorine
residual) based on State certification/approval are required to maintain State approval
•during the course of the 18-month monitoring period. Laboratories with approval to
perform DBP, Br, TOC, and UV analyses must meet specific QC and PE study
requirements during the 18-month monitoring period to maintain laboratory QC approval.
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Section 7: Lab Approval Process for Microbiological and Chemical Laboratories
ICR Laboratory Approval for Microbiology
The current drinking water laboratory certification program does not address analyses for
Giardia, Cryptosporidium, and total culturable viruses; therefore, EPA has developed a
separate program for the ICR using the term "laboratory approval" rather than "laboratory
certification." Laboratory approval will require (1) submission and acceptance of an
application for approval, (2) satisfactory analysis of unknown PE samples, and (3) passing
an onsite laboratory evaluation. The laboratory approval process for pathogen testing
begins when the laboratory director makes a formal request for approval to EPA at the
following address:
ICR Laboratory Coordinator (Microbiology)
EPA - Technical Support Center
26 W. Martin Luther King Drive
Cincinnati, OH 45268.
Requests may be made up to August 14, 1996 (3 months after promulgation of the final
rule). Following receipt of requests for approval, EPA will send an application package to
the laboratory.
• Only laboratories that meet the minimal facility, equipment, and personnel require-
ments described in the application package will be considered for approval.
• QC samples containing known Giardia cyst, Cryptosporidium oocyst, or virus
concentrations will be provided to analysts requesting approval who have completed
the application successfully. QC samples will be used as part of an ongoing
approval process.
» Qualified laboratory personnel must satisfactorily analyze PE sample sets to
become approved and subsequent PE sets for ongoing approval.
• A laboratory onsite evaluation will be conducted to evaluate the facilities and
equipment of the laboratory and the analysts' ability to adhere to the monitoring
protocols. The use of uniform methodology will make it possible to compare data
generated by the different laboratories.
Laboratories that want to perform quantitative analyses for total conforms and fecal
coliforms or E. coll in source water and drinking water must provide validation of
certification under the drinking water laboratory certification program. A Verification of
State Certification form will be included in the application package for these laboratories
to complete and forward to EPA.
Maintaining Microbiological Lab Approval
Laboratories with approval to perform general microbial analyses (e.g., coliforms, E. coli)
based on State certification/approval are required to maintain State approval during the
course of the 18-month monitoring period. Laboratories with approval to perform protozoa
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Section 7: Lab Approval Process for Microbiological and Chemical Laboratories
and virus analyses must meet specific QC and PE study requirements during the 18-month
monitoring period to maintain laboratory approval.
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