816R07007
The Stage 2
Disinfectants and
Disinfection Byproducts
Rule (Stage 2 DBPR)
Implementation
Guidance
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Office of Water (4606M)
EPA816-R-07-007
www. epa. gov/saf ewater
August 2007 Printed on Recycled Paper
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Disclaimer
This document provides guidance to states, tribes, and U.S. Environmental
Protection Agency (EPA) Regions exercising primary enforcement
responsibility under the Safe Drinking Water Act (SDWA) and contains EPA's
current policy recommendations for complying with the Stage 2 Disinfectants
and Disinfection Byproducts Rule (DBPR). Throughout this document, the
terms "state" or "states" are used to refer to all types of primacy agencies
including U.S. territories, Indian tribes, and EPA regions.
The statutory provisions and EPA regulations described in this document
contain legally binding requirements. This document is not a regulation itself,
nor does it change or substitute for those provisions and regulations. Thus, it
does not impose legally binding requirements on EPA, states, or public water
systems. This guidance does not confer legal rights or impose legal obligations
upon any member of the public.
While EPA has made every effort to ensure the accuracy of the discussion
in this guidance, the obligations of the regulated community are determined by
statutes, regulations, or other legally binding requirements. In the event of a
conflict between the discussion in this document and any statute or regulation,
this document would not be controlling.
The general description provided here may not apply to a particular situation
based upon the circumstances. Interested parties are free to raise questions and
objections about the substance of this guidance and the appropriateness of the
application of this guidance to a particular situation. EPA and other
decisionmakers retain the discretion to adopt approaches on a case-by-case
basis that differ from those described in this guidance where appropriate.
Mention of trade names or commercial products does not constitute
endorsement or recommendation for their use.
This is a living document and may be revised periodically without public
notice. EPA welcomes public input on this document at any time. Guidance
provided in this document reflects provisions in 71 FR 388.
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Table of Contents
Introduction xv
Section 1 Rule Requirements 1
1.1 Introduction 3
1.1.1 History 3
1.1.2 Development of the Stage 2 DBPR 6
1.1.3 Benefits of the Stage 2 DBPR 7
1.1.3.1 Quantified health benefits 7
1.1.3.2 Non-quantified health and non-health related benefits 7
1.2 Requirements of the Rule 8
1.2.1 New Definitions in the Stage 2 DBPR [40 CFR 141.2] 10
1.2.1.1 What is a combined distribution system? 10
1.2.1.2 What is a consecutive system? 10
1.2.1.3 What is a dual sample set? 10
1.2.1.4 What is finished water? : 10
1.2.1.5 What is GAC10? 10
1.2.1.6 What is GAC20? 10
1.2.1.7 What is a locational running annual average? 10
1.2.1.8 What is a wholesale system? , 11
1.2.2 1DSE Requirements [40 CFR 141.600] 11
1.2.2.1 Who is subject to 1DSE requirements? [40 CFR 141.600(b)] 11
1.2.2.2 What are the options for the IDSE? 12
1.2.2.3 What is the time frame for compliance with the IDSE? 12
1.2.2.4 What arc the requirements for systems that receive a VSS Waiver or 40/30
Certification for the IDSE? 13
1.2.2.5 What are the requirements for systems that must conduct a standard monitoring or an
SSSIDSE? 15
1.2.2.6 What must an SSS include? [40 CFR 141.602(a)] 15
1.2.2.7 What must a Standard Monitoring Plan include? [40 CFR 141.601(a)] 18
1.2.2.8 How long must the Standard Monitoring Plan or SSS Plan be retained? 18
1.2.2.9 Who must submit an IDSE Report? 18
1.2.2.10 What must the IDSE Report include? 18
1.2.2.11 How long must the IDSE Report be retained? 19
1.2.3 Stage 2 DBPR Compliance Monitoring [40 CFR 141.620, 40 CFR 141.621] 19
1.2.3.1 How is compliance calculated for TTHM and HAAS under Stage 2 DBPR? [40 CFR
141.620(d)] 19
1.2.3.2 What are the Stage 2 DBPR MCLs? [40 CFR 141.620] 20
1.2.3.3 What are the new MCLGs? [40 CFR 141.53] 20
1.2.3.4 What Are the Requirements for Developing a Stage 2 DBPR Compliance Monitoring
Plan? [40 CFR 141.622] 21
1.2.3.5 What arc the reporting and rccordkeeping requirements for Stage 2 DBPR
Compliance Monitoring Plan? [40 CFR 141.622(c), 40 CFR 141.629(b)] 22
1.2.3.6 What Are the Compliance Deadlines for Stage 2 DBPR Compliance Monitoring? [40
CFR 141.620(c)] 22
1.2.3.7 What Are the Requirements for Routine Monitoring? [40 CFR 141.621] 22
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1.2.3.8 How Do Systems Qualify for Reduced Stage 2 DBPR Monitoring? [40 CFR 141.623]
23
1.2.3.9 What Are the Requirements for Increased Monitoring? [40 CFR 141.625, 40 CFR
141.628] 25
1.2.4 Monitoring Requirements for Consecutive Systems 25
1.2.4.1 What are the DBF monitoring requirements for consecutive systems? [40 CFR
141.620] 25
1.2.4.2 What are the Chlorine and Chloramines requirements for consecutive systems? [40
CFR 141.624] 25
1.2.5 Operational Evaluation Levels [40 CFR 141.626] 26
1.2.6 Bromate Requirements [40 CFR 141.132] 27
1.2.7 Reporting/Recordkeeping Requirements [40 CFR 141.33, 40 CFR 141.629] 27
1.2.7.1 What monitoring information must be reported? [40 CFR 141.629(a)(2)] 27
1.2.7.2 What information for Source Water TOC for must Subpart H systems report? [40
CFR 141.629(a)(2)] 28
1.2.7.3 What are the recordkeeping requirements for IDSE Plans, IDSE Reports, and
Monitoring Results? [40 CFR 141.629(b)] 28
1.2.7.4 What are the reporting and recordkeeping requirements for consecutive systems? [40
CFR 141.134(c),40CFR 141.622(c), 40 CFR 141.629(b)] 28
1.2.8 Public Notification of Drinking Water Violations [40 CFR 141 Subpart Q, Appendix A]
29
1.2.9 CCR Requirements [40 CFR 141.151, 40 CFR 141.153] 29
1.3 Requirements of the Rule: States or Other Primacy Agencies ..30
1.3.1 Special Primacy Requirements [40 CFR 142.16] 30
1.3.2 Records Kept by States [40 CFR 142.14] 30
1.3.3 State Reporting Requirements [40 CFR 142.15] 30
1.4 Summary of Action Dates 30
1.4.1 Applicability and Compliance Dates 30
1.4.2 Timeline for the Stage 2 DBPR 33
Section 2 Resources and Guidance 37
2.1 Technical Guidance Manuals 39
2.2 Rule Presentation 39
2.3 Factsheets and Quick Reference Guides 40
2.4 Frequently Asked Questions 40
Section 3 State Implementation 45
3.1 Overview of Implementation 47
3.2 Identifying Affected Systems 50
3.2.1 General Provisions 50
3.2.2 Initial Distribution System Evaluation (IDSE) 50
3.2.3 Wholesale and Consecutive Systems 51
3.2.4 Seasonal Systems 52
3.3 Communicate Stage 2 DBPR Requirements to Affected Systems 52
3.3.1 Communicating IDSE Requirements and Timeframes 52
3.3.2 Communicating Stage 2 DBPR Compliance Requirements and Timeframes 54
3.3.2.1 Consecutive System Compliance with the Stage 1 DBPR 55
3.3.3 Methods of Communication 55
3.4 Update Data Management Systems 58
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3.5 Address Issues for Consecutive and Wholesale Systems 59
3.5.1 Reviewing Plans and Reports from Wholesale and Consecutive Systems 60
3.6 IDSE Option: Very Small System Waiver 61
3.6.1 Review Considerations for the VSS Waiver 61
3.6.2 Stage 2 DBPR Compliance Monitoring Plan for VSS Waiver Systems 62
3.7 IDSE Option: 40/30 Certification Alternative 63
3.7.1 Requirements for the 40/30 Certification 64
3.7.2 Review Considerations for the 40/30 Certification 65
3.7.3 Stage 2 Compliance Monitoring Plan for 40/30 Certification Systems 68
3.8 IDSE Option: System Specific Study 68
3.9 IDSE Option: Existing Monitoring System Specific Study 68
3.9.1 Review of Existing Monitoring SSS Plan 68
3.9.1.1 Review of Required Elements for Existing Monitoring SSS Plan 69
3.9.1.2 Technical Review of Existing Monitoring SSS Plans 73
3.9.2 Review of Existing Monitoring SSS IDSE Report 75
3.9.2.1 Review of Required Elements for Existing Monitoring IDSE Report 76
3.9.2.2 Technical Review of Existing Monitoring IDSE Report 77
3.10 IDSE Option: Hydraulic Modeling System Specific Study 78
3.10.1 Review of Hydraulic Modeling SSS Plan 78
3.10.1.1 Review of Required Elements for Hydraulic Modeling SSS Plan 79
3.10.1.2 Technical Review of Hydraulic Modeling SSS Plans 81
3.10.2 Review of Hydraulic Modeling SSS IDSE Report 87
3.10.2.1 Review of Required Elements for Hydraulic Modeling IDSE Report 87
3.10.2.2 Technical Review of Hydraulic Modeling IDSE Report 88
3.11 IDSE Option: Standard Monitoring 91
3.11.1 Review Considerations for Standard Monitoring Plan 92
3.11.1.1 Review of Required Elements for Standard Monitoring Plan 92
3.11.1.2 Review for Complexity of Standard Monitoring Plan 93
3.11.1.3 Review for Correct Interpretation of Standard Monitoring Requirements 95
3.11.1.4 Technical Review of Standard Monitoring Plan 96
3.11.2 IDSE Reports for Standard Monitoring 108
3.11.2.1 Review of Required Elements for Standard Monitoring IDSE Report 108
3.11.2.2 Technical Review of Standard Monitoring IDSE Report 109
3.12 Stage 2 DBPR Compliance Monitoring Plan Ill
3.12.1 Systems that Submitted an IDSE Report 112
3.12.2 Systems that Did Not Submit an IDSE Report 112
3.12.3 Combined Distribution Systems the State has Decided to Treat as One System 113
3.12.4 Changes to a Monitoring Plan 113
3.12.5 Reporting and Recordkceping Requirements for Compliance Monitoring Plan 113
3.13 Stage 2 DBPR Compliance Monitoring Deadlines 113
3.13.1 System Requests for Compliance Schedule Extensions 114
3.14 Stage 2 DBPR Routine Monitoring 114
3.14.1 TTHMandHAA5 114
3.14.2 Bromate and Chlorite Monitoring 115
3.15 Stage 2 DBPR Reduced Monitoring 116
3.15.1 Reduced TTHM and HAA5 Monitoring 116
3.15.1.1 Source Water TOC for Reduced Monitoring for DBFs 116
3.15.1.2 Remaining on Reduced Monitoring based on Stage 1 DBPR 118
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3.15.2 Reduced Monitoring for Bromate 118
3.16 Stage 2 DBPR Increased Monitoring 119
3.17 Operational Evaluations [40 CFR 141.626] 119
3.17.1 Operational Evaluation Level 119
3.17.2 Operational Evaluations 120
3.17.3 Evaluate System Requests for Limiting the Scope of an Operational Evaluation 123
3.18 Special Considerations for Consecutive and Wholesale Systems 123
3.18.1 DBF Monitoring 123
3.18.2 Treating Combined Distribution Systems as One System for Compliance Monitoring. 123
3.18.3 BATs 124
3.18.4 Chlorine and Chloramines Requirements 124
3.18.5 Additional Resources 124
3.19 State Recordkecping Requirements 125
Section 4 State Primacy Revision Application 127
4.1 State Primacy Program Revision 129
4.1.1 The Revision Process 130
4.1.2 The Final Review Process 130
4.2 State Primacy Program Revision Extensions 131
4.2.1 The Extension Process 131
4.2.2 Extension Request Criteria 132
4.2.3 Conditions of the Extension 132
4.3 State Primacy Package -... 136
4.3.1 The State Primacy Revision Checklist 136
4.3.2 Text of the State's Regulation 136
4.3.3 Primacy Revision Crosswalk 136
4.3.4 State Recordkeeping and Reporting Checklist [40 CFR 142.14, 40 CFR 142.15] 137
4.3.5 Special Primacy Requirements [40 CFR 142.16] 137
4.3.6 Attorney General's Statement of Enforceability [40 CFR 142.12(c)(2)] 137
4.3.6.1 Guidance for States on Audit Privilege and/or Immunity Laws 138
4.4 Guidance for the Special Primacy Requirements of the Stage 2 DBPR 139
4.4.1 Special Primacy Requirements Regarding Consecutive System Monitoring 140
Section 5 SDWIS Reporting and SNC Definitions 143
Section 6 Public Notification and Consumer Confidence Report Examples 145
Appendices
Appendix A: Primacy Revision Crosswalk
Appendix B: Rule Requirements
Appendix C: Rule Factsheets and Quick Reference Guide
Appendix D: Flowcharts
Appendix E: IDSE Forms
Appendix F: Template Letters
Appendix G: Instructions & Reviewer Checklists for Stage 2 DBPR Submissions
Appendix H: Data Collection and Tracking System (DCTS)
Appendix I: Guidance for Reviewing Extension Requests under 1412(b)(10) of the SDWA
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List of Figures
Figure 1-1. Summary of Stage 2 DBPR Requirements for Systems 9
Figure 1-2. Comparison of RAA and LRAA Compliance Calculations 20
Figure 1-3. Implementation Timeline for the Stage 2 DBPR 34
Figure 3-1. Timeline of System and Primacy Agency Activities 48
Figure 3-1. Timeline of System and Primacy Agency Activities (cont.) 49
Figure 3-2. Example Repeating Residence Time 84
Figure 3-3. Example Diurnal Demand Variation Pattern 85
Figure 3-4. Example Verification Graph for a Tank with Highest Water Age 86
Figure 4-1. Recommended Review Process for State Request for Approval of Program Revisions 131
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List of Tables
Table 1-1. IDSE Plan and Report Dues Dates [40 CFR 141.600(c)j 13
Table 1-2. 40/30 Certification Eligibility Dates 14
Table 1-3. SSS Monitoring Locations and Frequency [40 CFR 141.602(b)] 15
Table 1-4. Summary of Stage 2 DBPR MCLGs 21
Table 1-5. Compliance Schedule for Stage 2 DBPR TTHM and HAAS Monitoring 22
Table 1-6. Stage 2 DBPR Routine Compliance Monitoring Requirements 23
Table 1-7. Stage 2 DBPR Reduced Monitoring Requirements for All Systems 24
Table 1-8. Summary of Action Dates for the Stage 2 DBPR , 31
Table 3-1. Deadlines for IDSE Plans and Reports 53
Table 3-2. Compliance Schedule for Stage 2 DBPR .54
Table 3-3. Compliance Monitoring Data Requirements for the 40/30 Certification 64
Table 3-4. SSS Plan Using Existing Monitoring Results, Required Elements Checklist 71
Table 3-5. Minimum Requirements Checklist for Existing Monitoring Results Study Plan 72
Table 3-6. Examples of Treatment, Distribution System, and Source Changes 75
Table 3-7. IDSE Report for Existing Monitoring SSS Required Elements Checklist 77
Table 3-8. Modeling Study Plan Checklist Required Elements 80
Table 3-9. Modeling Study Plan Checklist—Optional Modeling Information 82
Table 3-10. IDSE Report for a Modeling SSS Required Elements Checklist 88
Table 3-11. Standard Monitoring Plan Required Elements Checklist 92
Table 3-12. Standard Monitoring Plan Triage Checklist 93
Table 3-13. Standard Monitoring Requirements 95
Table 3-14. IDSE Report for Standard Monitoring, Required Elements Checklist 108
Table 3-15. Protocol for Selecting Stage 2 DBPR Compliance Monitoring Sites 110
Table 3-16. Compliance Schedule for Stage 2 DBPR TTHM and HAAS Monitoring 114
Table 3-17. Stage 2 DBPR Routine Compliance Monitoring Requirements 115
Table 3-18. Stage 2 DBPR Reduced Monitoring Requirements for All Systems 117
Table 4-1. State Rule Implementation and Revision Timetable for the Stage 2 DBPR 129
Table 4-2. State Primacy Revision Checklist 136
Table 6-1. System A 2014 TTHM Monitoring Results 148
Table 6-2. System B 2014 TTHM and HAAS Monitoring Results (mg/L) 152
Table 6-3. System C Bromate and Bromide Monitoring Results (mg/L) 156
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List of Examples
Example 3-1. Sample Letter Notifying Systems of Schedule Number 56,
Example 3-1. Sample Letter Notifying Systems of Schedule Number (cont.) 57
Example 3-2. Example 40/30 Certification Letter 64
Example 3-3. Examples of Justification 107
Example 3-4. Example Rationale for Site Selection Outside of Protocol 111
Example 4-1. Example Extension Request Checklist 134
Example 4-2. Example of Attorney General's Statement 138
Example 6-1. Example Tier 2 Public Notification for TTHM MCL Violation 150
Example 6-2. Example of a Notice in the CCR for TTHM MCL Violation 151
Example 6-3. Example Tier 3 Public Notification for LRAA and Compliance Calculations for TTHM and
HAA5 M&R Violations 154
Example 6-4. Example of a Notice in the CCR for LRAA and Compliance Calculations for TTHM and
HAA5 M&R Violations 155
Example 6-5. Example Tier 3 Public Notification for Bromate M&R Violation 158
Example 6-6. Example of a Notice in the CCR for Bromate M&R Violation 159
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List of Acronyms and Abbreviations
40/30
AWOP
BAT
CCR
CDC
CFE
CFR
CT
CWSs
DBFs
DBF Precursors
DCTS
DOC
DWA
EA
EPA
EPS
FBRR
FRDS
GWUDI
HAAS
HPC
HQ
IDSE
IESWTR
IFE
IPMC
LRAA
LT IESWTR
LT2ESWTR
M&R
MCAA
MCL
MCLG
M-DBP Cluster
MRDL
MRL
IDSE 40/30 Certification
Area-Wide Optimization Program
Best Available Technology
Consumer Confidence Report
Centers for Disease Control
Combined Filter Effluent
Code of Federal Regulations
The Residual Concentration of Disinfectant (mg/L) Multiplied by the Contact
Time (in minutes)
Community Water Systems
Disinfection Byproducts
Disinfection Byproduct Precursors
Data Collection and Tracking System
Dissolved Organic Carbon
Drinking Water Academy
Economic Analysis
U.S. Environmental Protection Agency
Extended Period Simulation
Filter Backwash Recycling Rule
Federal Reporting Data System
Ground Water Under the Direct Influence of Surface Water
Haloacetic Acids (Monochloroacetic, Dichloroacetic, Trichloroacetic,
Monobromoacetic and Dibromoacetic Acids)
Heterotrophic Plate Count
Headquarters
Initial Distribution System Evaluation
Interim Enhanced Surface Water Treatment Rule
Individual Filter Effluent
Information Processing and Management Center
Locational Running Annual Average
Long Term 1 Enhanced Surface Water Treatment Rule
Long Term 2 Enhanced Surface Water Treatment Rule
Monitoring and Reporting
Monochloroacetic Acid
Maximum Contaminant Level
Maximum Contaminant Level Goal
Microbial-Disinfectants/Disinfection Byproducts Cluster
Maximum Residual Disinfectant Level
Minimum Reporting Level
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NCWS Noncommunity Water System
NIPDWR National Interim Primary Drinking Water Regulations
NPDWR National Primary Drinking Water Regulation
NTNCWS Nontransient Noncommunity Water System
OECA Office of Enforcement and Compliance Assurance
OGC Office of General Counsel
OGWDW Office of Ground Water and Drinking Water
ORC Office of Regional Counsel
PN Public Notification
PWS Public Water System
PWSS Public Water System Supervision
RAA Running Annual Average
SDWA Safe Drinking Water Act
SDWIS/FED Safe Drinking Water Information System/Federal
SNC Significant Non-complicr
SSS System Specific Study
Stage 1 DBPR Stage 1 Disinfectants and Disinfection Byproducts Rule
Stage 2 DBPR Stage 2 Disinfectants and Disinfection Byproducts Rule
Subpart H PWS using surface water or ground water under the direct influence of surface
water
SUVA Specific Ultraviolet Absorbance
SWTR Surface Water Treatment Rule
TCAA Trichloroacetic Acid
TCR Total Coliform Rule
TOC Total Organic Carbon
TTHM Total Trihalomethancs (Chloroform, Bromodichloromethanc,
Dibromochloromcthane, and Bromoform)
UV Ultraviolet Light
VSS Very Small System
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Introduction
This document provides guidance to EPA regions and states exercising primary enforcement
responsibility under the Safe Drinking Water Act (SDWA) concerning how the U.S. Environmental
Protection Agency (EPA) interprets the Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2
DBPR) under the SDWA. It also provides guidance to the public and the regulated community on how
EPA intends to exercise its discretion in implementing the statute and regulations. This guidance is
designed to implement national policy on these issues.
The SDWA provision and EPA regulations described in this document contain legally binding
requirements. This document does not substitute for those provision or regulations, nor is it a regulation
itself. It does not impose legally-binding requirements on EPA, states, or the regulated community and
may not apply to a particular situation based upon the circumstances. EPA and state decision makers
retain the discretion to adopt approaches on a case-by-case basis that differ from this guidance, where
appropriate. Any decisions regarding a particular facility will be made based on the applicable statutes
and regulations. Therefore, interested parties arc free to raise questions and objections about the
appropriateness of the application of this guidance to a particular situation, and EPA will consider
whether or not the recommendations or interpretations in the guidance arc appropriate in that situation
based on the law and regulations. EPA may change this guidance in the future.
This manual contains the following sections:
• Section 1 summarizes the rule requirements of the Stage 2 DBPR and presents a timetable of
important dates.
• Section 2 lists the "stand-alone" guidance materials that will help states and public water systems
(PWSs) adopt each new requirement.
• Section 3 discusses state implementation activities.
• Section 4 covers state primacy revision requirements, including a detailed timeframe for
application review and approval. This section also contains guidance and references to help states
adopt each new special primacy requirement included in these rules.
• Section 5 addresses violation determination and associated reporting requirements to assist states
in their compliance activities.
• Section 6 provides examples of violations requiring public notification and sample language to
include in Consumer Confidence Reports (CCRs).
The appendices of this document also provide information that will be useful to states and EPA regions
throughout the primacy revision application process.
• Appendix A contains the primacy revision application crosswalk for the rule.
• Appendix B contains the rule language of the Stage 2 DBPR.
• Appendix C contains fact sheets and quick reference guides for the rule.
• Appendix D presents flowcharts to help states and systems implement the rule.
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• Appendix E includes a set of forms to help systems complete their Initial Distribution System
Evaluations (IDSE) plans and reports.
• Appendix F contains various templates for letters that states can tailor to meet their needs.
• Appendix G contains guidance materials for states reviewing IDSE plans.
• Appendix H contains information about the Data Collection and Tracking System.
• Appendix I contains guidance for reviewing extension requests under Section 1412(b)(10) of the
Safe Drinking Water Act.
Please note that in several sections the guidance makes suggestions and offers alternatives that go beyond
the minimum requirements of the rule. EPA does this to provide information and/or suggestions that may
be helpful to implementation efforts. Such suggestions are prefaced by "may" or "should" and are to be
considered advisory. They are not required elements of the Stage 2 DBPR.
EPA expects to undertake necessary rule implementation activities during the period of early
implementation. During this period, the state may elect to undertake some or all of the implementation
activities in cooperation with EPA. This will facilitate continuity of implementation and ensure that
system-specific advice and decisions are made with the best available information and are consistent with
existing state program requirements.
To provide clarity on who to contact for questions and interactions on Stage 2 DBPR implementation,
EPA maintains a point of contact list with states and regional implementation contacts available at EPA's
Web site: www.epa.gov/safewatcr/disinfcction/stagc2/compliance.htinl#training. The list is updated
periodically as EPA and state roles change.
Stage 2 DBPR Implementation Guidance xvi August 2007
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Section 1
Rule Requirements
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1.1 Introduction
EPA finalized the Stage 2 DBPR in the Federal Register on January 4, 2006 (71 FR 388; see
www.cpa.gov/safcvvatci7disintcction/stagc2/indcx.html). This rule is part of a series of rules referred to as
the "Microbial-Disinfectants/Disinfection Byproducts Cluster" (M-DBP Cluster). These rules are
intended to improve control of microbial pathogens while minimizing public health risks of disinfectants
and disinfection byproducts (DBPs). The Stage 2 DBPR builds upon the Stage 1 Disinfectants and
Disinfection Byproducts Rule (Stage 1 DBPR) by addressing the health risks of DBPs in community
water systems (CWSs) and nontransient noncommunity water systems (NTNCWSs) that add a primary or
residual disinfectant other than ultraviolet light (UV) or deliver water that has been treated with a primary
or residual disinfectant other than UV. Key provisions of the Stage 2 DBPR include:
• An Initial Distribution System Evaluation (1DSE) to identify compliance monitoring locations
that represent high total trihalomethanes (TTHM) and haloacetic acids (HAA5) concentrations
throughout the distribution system.
• Use of a locational running annual average (LRAA) calculated for each monitoring location in the
distribution system for TTHM and HAA5 to determine compliance with the Stage 2 DBPR
maximum contaminant levels (MCLs) for TTHM and HAA5.
The Stage 2 DBPR was developed concurrently with the Long Term 2 Enhanced Surface Water
Treatment Rule (LT2ESWTR), which addresses the control of microbial pathogens. The LT2ESWTR was
finalized as a separate rule on January 5, 2006.
1.1.1 History
The 1974 SDWA called for EPA to regulate drinking water by creating the national interim primary
drinking water regulations (NIPDWR). In 1979, the first interim standard addressing DBPs was set for
total trihalomethanes (TTHM), a group of four volatile organic chemicals that form when disinfectants
react with natural organic matter in the water.
1986 SDWA Amendments
Although the SDWA was amended slightly in 1977, 1979, and 1980, the most significant changes to the
1974 law occurred when the SDWA was reauthorized in 1986. To safeguard public health, the 1986
Amendments required EPA to set health goals, or maximum contaminant level goals (MCLGs), and
MCLs for 83 named contaminants. Waterborne disease outbreaks of giardiasis demonstrated that disease-
causing microbial contamination had not been sufficiently controlled under the original Act. In addition,
several hundred chemical contaminants were known to occur in the environment, but few were regulated
in PWSs. EPA was also required to establish additional regulations within certain timeframes, require
disinfection of source water supplies, specify filtration requirements for nearly all water systems that
draw their water from surface sources, and develop additional programs to protect ground water supplies.
In 1989, EPA issued two important National Primary Drinking Water Regulations (NPDWRs): the Total
Coliform Rule (TCR) and the Surface Water Treatment Rule (SWTR). The TCR and SWTR provide the
foundation for the M-DBP Cluster and are summarized below.
Total Coliform Rule
The TCR applies to all PWSs. Coliforms are easily detected in water and are used to assess a water
system's vulnerability to pathogens. It requires systems to sample for coliform bacteria which are used as
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an indicator of whether a water system is vulnerable to pathogens. Coliforms are used because they are
easily detected in water. In the TCR, EPA set an MCLG of zero for total coliforms. EPA also set an MCL
for total coliforms and required testing of total coliform positive cultures for the presence of E. coli or
fecal coliforms, which indicate more immediate health risks from sewage or fecal contamination. If more
than 5.0 percent of the samples contain coliforms within a month, water system operators must report this
violation to the state and the public. (For water systems that collect fewer than 40 routine samples per
month, no more than one sample can be total coliform-positive per month.) Finally, the TCR required
sanitary surveys every 5 years (or 10 years for noncommunity water systems (NCWSs) using disinfected
and protected ground water) for every system that collects fewer than five routine total coliform samples
per month. These are typically systems that serve 4,100 or fewer people.
Surface Water Treatment Rule
PWSs using surface water or ground water under the direct influence of surface water (GWUDI) as a
supply are prone to microbial contamination of their source water. Pathogenic microorganisms that can
contaminate source water can be removed or inactivated during the water treatment sedimentation,
filtration, and disinfection processes. EPA issued the SWTR in response to a Congressional mandate
requiring disinfection, and filtration where necessary, of systems that use surface water or GWUDI
sources. The rule sets MCLGs for Legionel/a, Giardia lamblia, and viruses at zero because any exposure
to these contaminants presents some level of health risk. The SWTR includes a treatment technique
requirement for inactivation (or removal and inactivation) of these organisms.
Specifically, the SWTR requires that a surface water system have sufficient treatment to reduce source
water concentrations of Giardia lamblia and viruses by at least 99.9 percent (3.0 log) and 99.99 percent
(4.0 log), respectively. In addition, disinfection residuals must be maintained throughout the distribution
system. For system^ that filter, the adequacy of the filtration process is determined by measuring the
turbidity of the treated water since poor turbidity removal often indicates that the filtration process is not
working properly. The goal of the SWTR is to reduce the public health risk for infection by Giardia
lamblia, Legionella, or viruses to less than one infection per year per 10,000 people.
The SWTR, however, does not account for systems with high pathogen concentrations in source water
that, when treated at the levels required under the rule, still may not meet this health goal. The SWTR also
does not specifically control for the protozoan Cryptosporidium, as sufficient information about its
removal or disinfection was not available at the time the SWTR was finalized. Since the SWTR was
promulgated, much has been learned about this organism. Most notably, Cryptosporidium is resistant to
disinfection practices commonly employed by PWSs. Therefore, physical removal or alternative
disinfectants are the most effective treatment methods.
7996 SDWA Amendments
In 1990, EPA's Science Advisory Board, an independent panel of experts established by Congress, cited
drinking water contamination as one of the most important environmental risks and indicated that disease-
causing microbial contaminants (e.g., bacteria, protozoa, and viruses) are probably the greatest remaining
health-risk management challenge for drinking water suppliers. Data from the Centers for Disease Control
(CDC) confirm this concern and indicate that between 1980 and 1998, 419 waterborne disease outbreaks
were reported, with over 511,000 estimated cases of disease. During this period, a number of agents were
implicated as causes of the outbreaks, including various protozoa, viruses, and bacteria, as well as several
chemicals (Craun and Calderon 1996, Levy et al. 1998, Barwick et al. 2000). Most of the cases (but not
the outbreaks) of illnesses were associated with surface water, including a single outbreak of
approximately 403,000 cases of cryptosporidiosis in Milwaukee, WI (Mac Kenzie et al. 1994).
Stage 2 DBPR Implementation Guidance 4 August 2007
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The SDWA was further amended in 1996 to improve public health protection by incorporating new data
on the adverse health effects of contaminants, the occurrence of contaminants in PWSs, and the estimated
reduction in health risks that would result from further regulation. The Amendments provided for use of
best-available, peer-reviewed science in decision-making and for risk reduction and cost analyses in the
regulatory decision process.
TTHMs/Stage 1 DBPR/Stage 2 DBPR
Many water systems treat their water with a chemical disinfectant to inactivate pathogens that cause
disease. The public health benefits of common disinfection practices are significant and well-recognized;
however, disinfection poses risks of its own. While disinfectants are effective at controlling many harmful
microorganisms, they react with organic and inorganic matter (DBF precursors) in the water and form
DBFs, some of which pose health risks when present above certain levels. Since the discovery of
chlorination byproducts in drinking water in 1974, numerous toxicological studies have been conducted
that show some DBFs to be carcinogenic and/or cause reproductive or developmental effects in laboratory
animals. Additionally, exposure to high levels of disinfectants over long periods of time may cause health
problems, including damage to blood and kidneys. While many of these studies have been conducted with
disinfectants at high doses, the weight of evidence indicates that DBFs present a potential public health
problem that must be addressed to minimize risks from long-term exposure. One of the most complex
questions facing water supply professionals is how to reduce risks from disinfectants and DBFs while
providing adequate protection against microbial contaminants.
The TTHM Rule of 1979 set a TTHM MCL for CWSs serving 10,000 or more people. The Stage 1
Disinfectants and Disinfection Byproducts Rule (Stage 1 DBPR) built on the TTHM Rule by lowering
existing MCLs and widening the range of affected systems to include all PWSs (except most transient
systems) that add a disinfectant. The Stage 1 DBPR established new MCLs for additional DBFs (i.e.,
chlorite, bromate, and haloacetic acids (HAA5)) as well as established maximum residual disinfection
levels (MRDLs) for the disinfectants chlorine, chloramines, and chlorine dioxide. In addition, the Stage 1
DBPR requires conventional filtration systems to remove specified percentages of organic materials,
measured as total organic carbon (TOC), which may react with disinfectants to form DBFs.
The Stage 2 DBPR builds upon the Stage 1 DBPR by providing more consistent protection from DBFs
across the entire distribution system and by focusing on the reduction of DBF peaks. The Stage 2 DBPR
requires systems to conduct an initial distribution system evaluation (1DSE) to identify compliance
monitoring locations that represent high TTHM and HAAS levels. In addition, the Stage 2 DBPR changes
the way sampling results are averaged to determine compliance. The determination for the Stage 2 DBPR
is based on a locational running annual average (LRAA) (i.e., compliance must be met at each monitoring
location) instead of the system-wide running annual average (RAA) used under the Stage 1 DBPR.
Systems are also required to conduct an operational evaluation if they have DBF levels that exceed the
operational evaluation level.
Filter Backwash Recycling Rule
The Filter Backwash Recycling Rule (FBRR) complements the surface water treatment rules by reducing
the potential for microbial pathogens, particularly Cryptosporidium oocysts, to pass through the filters
into the finished water of conventional and direct filtration systems that recycle backwash water. The
FBRR requires affected systems to return regulated recycle streams (e.g., spent filter backwash, thickener
supernatant, or liquids from dewatering processes) through all processes of a system's conventional or
direct filtration system, unless the state approves an alternate location. In addition, the FBRR requires
systems to notify the state in writing about recycle practices and to maintain specific records.
Stage 2 DBPR Implementation Guidance 5 August 2007
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IESWTR/L T1ESWTR/L T2ESWTR
The IESWTR builds on the SWTR by adding protection from Cryptosporidium by requiring filtered
systems to meet new turbidity standards for combined filter effluent (CFE) and individual filter effluent
(IFE). Additionally, the IESWTR requires unfiltered systems to include control of Cryptosporidium in
their watershed control plans. The IESWTR applies to systems that serve more than 10,000 people. The
IESWTR builds on the TCR by requiring sanitary surveys for all PWSs using surface water or GWUDI
regardless of size. The IESWTR also requires covers for all new finished water storage facilities and
includes disinfection profiling and benchmarking provisions to ensure systems provide continued levels
of microbial protection while taking the necessary steps to comply with the DBF standards.
The provisions in the LTIESWTR address the concerns covered by the IESWTR as they apply to small
systems (i.e., systems serving fewer than 10,000 people) using surface water or GWUDI. The
LT2ESWTR builds upon the SWTR, IESWTR, and LT IESWTR by supplementing existing microbial
treatment requirements for systems where additional public health protection is needed.
Collectively, the SWTR, IESWTR, LT IESWTR, and LT2ESWTR place stringent treatment requirements
on systems using surface water or GWUDI as a source. Additional information on The LT2ESWTR is
available on EPA's Web site: wwv\.epa.gov/sat'cvvatcr/disint'ection/''lt2/'index.html.
The Multiple Barrier Approach
By building on the foundation of the original SDWA, subsequent amendments to the Act have improved
the quality of drinking water and increased public health protection. The 1996 SDWA Amendments, for
example, require EPA to develop rules to balance the risks presented by microbial pathogens and DBFs.
Since multiple threats require multiple barriers, the LT2ESWTR and Stage 2 DBPR expand on the
foundation of the TCR, SWTR, TTHM Rule, Stage 1 DBPR, IESWTR, LT IESWTR, and FBRR
standards to target health risks not addressed by prior regulations. By encompassing these previously
unaddressed health risks from microbials and DBFs, the M-DBP Cluster continues to maximize drinking
water quality and public health protection.
1.1.2 Development of the Stage 2 DBPR
In March 1999, EPA reconvened the M-DBP Advisory Committee to develop recommendations for the
Stage 2 DBPR and LT2ESWTR. This Committee also participated in the development of the IESWTR,
LT1ESWTR and Stage 1 DBPR. The Committee's members represented EPA, state, and local public
health and regulatory agencies, local elected officials, Native American tribes, drinking water suppliers,
chemical and equipment manufacturers, and public interest groups. Technical support for the
Committee's discussions was provided by a technical workgroup established by the Committee at its first
meeting. The Committee's activities resulted in the collection and evaluation of substantial new
information related to key elements for both rules. This included new data on pathogenicity, occurrence,
and treatment of microbial contaminants, specifically Cryptosporidium, as well as new data on DBF
health risks, exposure, and control. The Committee held ten meetings (from September 1999 to July
2000), to discuss issues pertaining to the Stage 2 DBPR and LT2ESWTR. There was also an opportunity
for public comment at each meeting.
In September 2000, the Committee signed the Agreement in Principle, a full statement of the consensus
recommendations of the group. The agreement was published in a December 29, 2000 Federal Register
notice (65 FR 83015) and includes the list of committee members and their organizations. The
Committee's recommendations were incorporated into the proposed Stage 2 DBPR.
Stage 2 DBPR Implementation Guidance 6 August 2007
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The M-DBP Committee reached an agreement on the following major issues regarding the Stage 2
DBPR:
• Compliance calculation for TTHMs and HAA5s revised from an RAA to an LRAA.
• Compliance carried out in two phases of the rule (which was revised to a single phase in the final
rule.)
• Performance of an IDSE.
• Continued importance of simultaneous compliance with DBP and microbial regulations.
• Unchanged MCL for bromatc.
EPA proposed the Stage 2 DBPR on August 18, 2003. After reviewing public comments on the proposed
rule, EPA finalized the Stage 2 DBPR on January 4, 2006.
1.1.3 Benefits of the Stage 2 DBPR
1.1.3.1 Quantified health benefits
Although DBPs in drinking water have also been associated with non-cancerous health effects, the
quantified benefits that result from the Stage 2 DBPR are associated only with estimated reductions in
DBF-related bladder cancer. A complete discussion of risk assessment methodology and assumptions can
be found in the Final Stage 2 DBPR Economic Analysis (EA) (USEPA 2005).
Overall, the Stage 2 DBPR may reduce an average of 103 to 541 bladder cancer cases per year. The
present value benefits for reductions in bladder cancer that are the result of the Stage 2 DBPR are
measured as willingness to pay (WTP) for avoiding lymphoma and bronchitis. The WTP estimates for
lymphoma range from S233 million to $3,536 million, annualized over 25 years using a 3 percent
discount rate. Using a 7 percent discount rate, the annualized present value benefits range from $190
million to $2,878 million. The WTP estimates for bronchitis range from SI65 million to $1,692 million
annualized at a 3 percent discount rate, and $135 million to $1,376 million using a 7 percent discount rate.
1.1.3.2 Non-quantified health and non-health related benefits
Although significant benefits will result from the Stage 2 DBPR in terms of the reduction in bladder
cancer, the major potential benefits of this rule remain unquantified. Two major unquantified health-
related benefits are the potential reduction in adverse reproductive and developmental effects and a
reduction in other cancers potentially associated with DBP exposure. Reproductive and developmental
endpoints that may be associated with DBP exposure include fetal losses (miscarriage and stillbirth),
neural tube defects, heart defects, and cleft palate. Although the science on reproductive and
developmental health effects as a result of DBP exposure is not strong enough to include them in the
primary Stage 2 DBPR analysis of benefits, the data appear to be sufficient to warrant concern. Both
epidemiological and toxicological studies indicate that other cancers may be associated with DBP
exposure, but currently there is not enough data to quantify or place a monetary value on these cancer
risks.
In addition to unquantified health benefits, there are many non-health benefits of the rule. The Stage 2
DBPR may increase consumer confidence in the quality of drinking water, leading to less averting
Stage 2 DBPR Implementation Guidance 1 August 2007
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behavior (e.g., boiling tap water or purchasing bottled water). Most people who switch to bottled water or
use filtration devices do so because of taste and odor problems and health-related issues. Chlorine dioxide
and chloramines have historically been used to address taste and odor problems. To the extent that the
Stage 2 DBPR changes perceptions of the health risks associated with drinking water and improves taste
and odor, it may reduce actions such as buying bottled water or installing filtration devices. Any resulting
cost savings would be a regulatory benefit.
As PWSs move from conventional treatment to more advanced technologies, other non-health benefits are
anticipated. For example, chlorine dioxide is an alternative disinfectant that is also is effective in
controlling the spread of zebra mussels, an invasive species that has caused significant ecological damage
in some U.S. waterways. In addition, installation of certain advanced technologies can remove many
contaminants in addition to those specifically targeted by the Stage 2 DBPR, including those that EPA
may regulate in the future. For example, membrane technology (depending on pore size), can be used to
lower DBP formation, but it will also remove many other contaminants that EPA is in the process of
regulating. Removal of any contaminants that may face regulation could result in future cost savings to a
water system.
1.2 Requirements of the Rule
The following section provides a summary of the rule requirements, preceded by information on new
terms defined in the Stage 2 DBPR rule language. The requirements are from the final Stage 2 DBPR
published in the Federal Register on January 4, 2006. For a copy of the actual rule language, see
Appendix B or visit EPA's Web site at wwvv.cpa.gov/safcwatcr/disinfcction/stage2/indcx.html.
Compliance schedules
EPA developed the Stage 2 DBPR compliance schedule for monitoring, reporting, and treatment
requirements to provide maximum compatibility with the LT2ESWTR compliance schedule. The
compliance schedule is divided into the following four schedules based on population served by systems:
• Schedule 1: Systems serving 100,000 or more people or belonging to a combined distribution
system in which the largest system serves 100,000 or more.
• Schedule 2: Systems serving 50,000 to 99,999 people or belonging to a combined distribution
system in which the largest system serves 50,000 to 99,999.
• Schedule 3: Systems serving 10,000 to 49,999 people or belonging to a combined distribution
system in which the largest system serves 10,000 to 49,999.
• Schedule 4: Systems serving fewer than 10,000 people or belonging to a combined distribution
system in which the largest system serves fewer than 10,000.
Stage 2 DBPR Implementation Guidance 8 August 2007
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Figure 1-1. Summary of Stage 2 DBPR Requirements for Systems
Systems Subject to the Stage 2 DBPR
(All CWSs and NTNCWSs thai add a primary or residual disinfectant other than UV or deliver water
that has been treated with a primary or residual disinfectant other than UV.)
Rule Implementation
(Rule implementation activities include reading the rule, training, etc.)
Initial Distribution System Evaluation (IDSE)
(All C'WSs and NTNCWSs sen ing at least 10.000 people that add a primary or residual disinfectant other than UV or deliver
water that has been treated with a primary or residual disinfectant other than UV.)
Systems
not
performing an
IDSE
Systems performing an IDSE
Systems receiving
a Very Small
System Waiver
i
Systems conducting
standard monitoring and
submitting a Standard
Monitoring Plan
Systems conducting a
system specific study and
submitting a study plan
T.
Systems may or may not
have to select new Stage 2 DBPR
monitoring sites
Systems submit an
IDSE Report recommending
Stage 2 DBPR monitoring sites
Stage 2 DBPR Compliance Monitoring Plans
(All systems subject lo the rule must develop a Stage 2 DBPR Monitoring Plan that includes monitoring locations, monitoring
dates, and compliance calculation procedures.)
Ensure Compliance with Stage 2 DBPR MCLs
(All systems subject to the rule must meet Stage 2 DBPR MCLs. Systems may or may not have to make treatment or
operational changes.)
Routine Monitoring Requirements
{Monitoring requirements for the Stage 2 DBPR are based on system type and population served [not number of plants per
system, as for the Stage I DBPR]. Systems subject to the Stage 2 DBPR may have fewer or more routine monitoring
requirements compared to those already required by the Stage I DBPR.)
Operational Evaluations
(All systems subject to the rule that exceed the operational evaluation level must perform an operational evaluation
and submit a report to the slate within 90 days.)
Stage 2 DBPR Implementation Guidance
August 2007
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1.2.1 New Definitions in the Stage 2 DBPR |40 CFR 141.2|
1.2.1.1 What is a combined distribution system?
The combined distribution system is the interconnected distribution system consisting of the distribution
systems of wholesale systems and of the consecutive systems that receive finished water.
1.2.1.2 What is a consecutive system?
A consecutive system is a PWS that receives some or all of its finished water from one or more wholesale
systems. Delivery may be through a direct connection or through the distribution system of one or more
consecutive systems.
1.2.1.3 What is a dual sample set?
A dual sample set is a set of two samples collected at the same time and same location, with one sample
analyzed for TTHM and the other sample analyzed for HAAS. Dual sample sets are collected for the
purposes of conducting an IDSE and determining compliance with the TTHM and HAAS MCLs.
1.2.1.4 What is finished water?
Finished water is water that is introduced into the distribution system of a PWS and is intended for
distribution and consumption without further treatment, except the level of treatment necessary to
maintain water quality (such as booster disinfection or addition of corrosion control chemicals). Within
this definition, water entering the distribution system is finished water even if a system subsequently
applies additional treatment like booster disinfection to maintain a disinfectant residual throughout the
distribution system.
1.2.1.5 WhatisGACIO?
GAC10 means granular activated carbon filter beds with an empty-bed contact time of 10 minutes based
on average daily flow and a carbon reactivation frequency of every 180 days, except that the reactivation
frequency for GAC 10 used as the best available technology for compliance with Subpart V MCLs under
§ 141.64(b)(2) shall be 120 days.
1.2,1.6 What is GAC20?
GAC20 means granular activation carbon filter beds with an empty-bed contact time of 20 minutes based
on average daily flow and a carbon reactivation frequency of every 240 days.
1.2.1.7 What is a locational running annual average?
A locational running annual average (LRAA) is the average of sample analytical results for samples at a
particular monitoring location during the previous four calendar quarters.
Stage 2 DBPR Implementation Guidance 10 August 2007
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1.2.1.8 What is a wholesale system?
A wholesale system is a PWS that treats source water as necessary to produce finished water and then
delivers some or all of that finished water to another PWS. Delivery may be through a direct connection
or through the distribution system of one or more consecutive systems.
1.2.2 IDSE Requirements [40 CFR 141.600]
The Stage 2 DBPR establishes Initial Distribution System Evaluation (IDSE) requirements. The purpose
of the IDSE is to help systems acquire adequate information about their distribution systems and DBP
levels to select Stage 2 DBPR compliance monitoring sites that represent high TTHM and HAA5 levels
throughout the distribution system. This section identifies which systems are required to meet IDSE
requirements, summarizes the different IDSE options, and presents IDSE reporting requirements.
• EPA's Initial Distribution System Evaluation (IDSE) Guidance Manual (EPA 815-B-06-002)
provides more detailed information on planning and conducting IDSEs.
• The Initial Distribution System Evaluation Guide for Systems Serving < 10,000 People For The
Final Stage 2 Disinfectants and Disinfection Byproducts Rule (EPA 815-B-06-001) provides
guidance on conducting the IDSE, however this manual focuses on information that systems
serving < 10,000 arc most likely to use. It does not discuss the IDSE system specific study option.
• EPA's IDSE Tool is a Web-based tool that walks the user through the IDSE process. In the
program, the Wizard determines IDSE requirements and selects the best IDSE option for your
system. The tool creates Custom Forms your system (based on population served and system
type) can submit electronically to EPA's Information Processing and Management Center
(IPMC) for EPA/state review. (Available on-line at
www.epa.gov/safcwatcr/disinfcction/tools/indcx.html).
1.2.2.1 Who is subject to IDSE requirements? [40 CFR 141.600(b>]
Systems subject to IDSE requirements are:
• CWSs that add a primary or residual disinfectant other than UV or deliver water that has been
treated with a primary or residual disinfectant other than UV; or
• NTNCWSs serving at least 10,000 people that add a primary or residual disinfectant other than
UV or deliver water that has been treated with a primary or residual disinfectant other than UV.
NTNCWSs serving fewer than 10,000 people are not subject to IDSE provisions of the Stage 2 DBPR,
but arc subject to compliance monitoring provisions.
Stage 2 DBPR Implementation Guidance 11 August 2007
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1.2.2.2 What are the options for the IDSE?
Systems have four ways to satisfy the IDSE requirements:
1. Very Small System Waiver [40 CFR 141.604]
Systems serving fewer than 500 people are eligible for the Very Small System (VSS) Waiver if
they collected TTHM and HAA5 samples under the Stage 1 DBPR or have operational TTHM
and HAAS data that meets the general intent of Stage 1 DBPR compliance.
2. 40/30 Certification [40 CFR 141.603]
Systems may fulfill IDSE requirements by demonstrating low historical TTHM and HAA5
distribution system concentrations. Systems are eligible for 40/30 Certification if eight
consecutive calendar quarters all individual TTHM results were less than or equal to 0.040 mg/L,
and all individual HAA5 results were less than or equal to 0.030 mg/L.
3. System Specific Study (SSS) [40 CFR 141.602]
Systems may complete an SSS, based either on existing monitoring data or on distribution system
modeling. Examples of acceptable studies include a hydraulic modeling study that simulates
water movement in the distribution system or a study of recent TTHM and HAAS monitoring
data that encompass a wide range of sample sites, including those with representative high TTHM
and HAA5 concentrations.
4. Standard Monitoring [40 CFR 141.601]
Systems may complete 1 year of distribution system monitoring on a set schedule that includes
the peak historical month for TTHM or HAAS levels or warmest water temperature. The
frequency of monitoring and the number and location of monitoring sites follows a standard
monitoring scheme dependent on population served and source water. All IDSE samples must be
taken as dual sample sets.
1.2.2.3 What is the time frame for compliance with the IDSE?
Table 1-1 outlines the deadlines for submittal for compliance with the IDSE based on the system's
schedule.
Stage 2 DBPR Implementation Guidance 12 August 2007
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Table 1-1. IDSE Plan and Report Dues Dates [40 CFR 141.600(c)]
Requirement
Submit Standard Monitoring
Plan or submit SSS Plan OR
submit 40/30 Certification
OR receive VSS Waiver
from state
Complete standard
monitoring or SSS
Submit IDSE Report
Compliance dates by PWS size (retail populations served)1
CWSs and
NTNCWSs
serving at least
100,000
October 1,2006
September 30,
2008
January 1 , 2009
CWSs and
NTNCWSs
serving 50,000-
99,999
April 1,2007
March 3 1,2009
July 1,2009
CWSs and
NTNCWSs
serving 10,000-
49,999
October 1 , 2007
September 30,
2009
January 1,2010
CWSs
serving
<1 0,000
April 1 , 2008
March 3 1 ,
2010
July 1,201
NTNCWSs
serving
<10,000
Not
applicable
Not
applicable
Not
applicable
1. Wholesale and consecutive systems that are part of a combined distribution system must comply based on the
schedule required of the largest system in the combined distribution system.
1.2.2.4 What are the requirements for systems that receive a VSS Waiver or 40/30 Certification
for the IDSE?
Systems that qualify for and receive the VSS Waiver or 40/30 Certification do not have to conduct an
IDSE, these systems will need to prepare a Stage 2 DBPR Compliance Monitoring Plan and meet
compliance monitoring requirements, as discussed in section 3.6.2.
Very Small System Waiver [40 CFR 141.604]
Systems serving fewer than 500 people may be eligible for the VSS Waiver if they have collected TTHM
and HAAS samples under the Stage 1 DBPR or have operational TTHM and HAAS data that meets the
general intent of Stage 1 DBPR compliance. VSS Waivers are effective immediately for systems that
meet the eligibility requirements and no application from the water system is necessary. Regardless of a
system's eligibility, a state can still require a small system to conduct standard monitoring or an SSS
according to the schedule in Table 1-1.
40/30 Certification [40 CFR 141.603]
Another alternative systems have for fulfilling the IDSE requirements is to demonstrate low historical
TTHM and HAAS distribution system concentrations. Systems are eligible for 40/30 Certification if their
data meet the following criteria: eight consecutive calendar quarters, with all individual TTHM results
less than or equal to 0.040 mg/L, and all individual HAAS results less than or equal to 0.030 mg/L.
• The eight consecutive calendar quarters must have begun no earlier than the date specified in
Table 1-2.
• TTHM and HAAS samples must have been analyzed by a laboratory certified under the drinking
water certification program to perform these measurements and using approved methods.
Stage 2 DBPR Implementation Guidance
13
August 2007
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• The system must have had no TTHM or HAA5 monitoring violations during the same eight
consecutive calendar quarters.
Table 1-2. 40/30 Certification Eligibility Dates
If your 40/30 Certification
is due
(1) October 1,2006
(2) April 1,2007
(3) October 1,2007
(4) April 1,2008
Then your eligibility for 40/30 Certification is based on
eight consecutive calendar quarters of Subpart L
compliance monitoring results beginning no earlier than '
January 2004
January 2004
January 2005
January 2005
1. Unless you are on reduced monitoring under Subpart L of this part and were not required to
monitor during the specific period. If you did not monitor during the specified period, you
must based your eligibility on compliance samples taken during the 12 months preceding the
specific period.
Some states may allow systems that were not required to comply with Stage 1 DBPR to use operational
data to support a 40/30 Certification. The samples must meet the general intent of Stage 1 DBPR
compliance, which would include:
• Samples were analyzed by approved methods at a certified lab.
• Number of sites was adequate to represent the distribution system and correlate to the number
required under the Stage 1 DBPR.
• Sample sites were located at sites with average and maximum residence time.
• Samples were taken during the month of warmest water temperature.
• Samples were taken on a monthly, quarterly or annual basis, depending on population,
disinfectant type, source type.
A system selecting this option must certify its eligibility to the state according to the schedule shown in
Table 1-1. The state may require the system to submit the following additional information:
• Compliance monitoring results.
• Distribution system schematics.
• Recommended Stage 2 DBPR compliance monitoring locations.
At the state's discretion, a system meeting all of the requirements for 40/30 Certification may still be
required to conducted standard monitoring or an SSS.
Stage 2 DBPR Implementation Guidance
14
August 2007
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1.2.2.5
What are the requirements for systems that must conduct a standard monitoring
SSS IDSE?
or an
Systems that arc required to conduct a standard monitoring or an SSS IDSE to comply with the provisions
of the rule must prepare and submit an IDSE plan, conduct the IDSE, and prepare and submit a final
IDSE Report.
System Specific Study [40 CFR 141.602]
To comply with the IDSE requirement, systems may choose to perform an SSS, based either on existing
monitoring data or on extended period hydraulic modeling. Examples of acceptable studies include an
extended period hydraulic modeling study that simulates water movement in the distribution system or
recent TTHM and HAAS monitoring data that encompass a wide range of sample sites, including those
with representative high TTHM and HAA5 concentrations.
Systems selecting this option must submit a study plan before the SSS, and an IDSE Report after the SSS,
according to the schedule shown in Table 1-1. A system that conducts its SSS early may satisfy both
requirements by submitting an IDSE Report in place of the study plan, as long as the IDSE Report also
includes all information required in the study plan.
Standard Monitoring [40 CFR 141.601]
To comply with the IDSE requirement, systems may choose to conduct standard monitoring at a
frequency and at the sites defined in the rule. Systems selecting this option must submit a Standard
Monitoring Plan, then conduct monitoring in accordance with the plan as approved by EPA, and must
submit an IDSE Report, according to the schedule shown in Table 1-1.
1.2.2.6 What must an SSS include? [40 CFR 141.602(a)]
An SSS must be based on either existing DBF monitoring results or an extended period simulation
hydraulic model. The information to be included in the study plan depends on whether the system opts to
use the existing monitoring results or the modeling approach for the IDSE.
System Specific Study - Existing Monitoring Plan
An SSS based on existing monitoring results must include Stage 1 DBPR TTHM and HAAS results
collected no more than 5 years before the submission of the plan. Monitoring results must include all
Stage 1 DBPR compliance monitoring and additional monitoring results as necessary to meet minimum
sampling requirements (Table 1-3). Each location must have been sampled once during the peak historical
month for TTHM levels or HAAS levels or the month of warmest water temperature for every 12 months
of data submitted for that location.
Table 1-3. SSS Monitoring Locations and Frequency [40 CFR 141.602(b)]
System Type
Subpart H
Population Size
Category
<500
500-3,300
Number of Monitoring
Locations
3
3
Number of Samples
TTHM
3
9
HAAS
3
9
Stage 2 DBPR Implementation Guidance
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August 2007
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System Type
Ground Water
Population Size
Category
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1 ,000,000-4,999,999
> 5,000,000
<500
500-9,999
10,000-99,999
100,000-499,999
> 500,000
Number of Monitoring
Locations
6
12
24
36
48
60
3
3
12
18
24
Number of Samples
TTHM
36
72
144
216
288
360
3
9
48
72
96
HAAS
36
72
144
216
288
360
-~\
3
9
48
72
96
les
The system must certify that:
• The reported monitoring results include all compliance and non-compliance results generated
during the time period beginning with the first reported result and ending with the most recent
Stage 1 DBPR results,
• The samples were representative of the entire distribution system; and
• The distribution system and treatment regimen have not changed significantly since the sampl
were collected.
The monitoring plan must also include:
• A schematic of the distribution system including:
- Distribution system entry points and their sources.
- Storage facilities.
- Notes indicating the locations and dates of all completed or planned SSS monitoring.
• The system type (Subpart H [surface water or GWUDI] or ground water); and
• The population served.
If the state rejects some of the data from a study plan, the system must either conduct additional
monitoring to replace rejected data on a schedule the state approves, or conduct standard monitoring.
System Specific Study - Hydraulic Modeling Plan
An SSS based on modeling must be based on an extended period simulation hydraulic model. The model
must simulate 24-hour variation in demand and show a consistently repeating 24-hour pattern of residence
time. In addition, the model must be calibrated, or have calibration plans, for the current configuration of
the distribution system during the period of high TTHM formation potential. The calibration must be
Stage 2 DBPR Implementation Guidance
16
August 2007
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completed no later than 12 months after a system submits its plan. The model must represent the
following criteria:
• Seventy-five percent of pipe volume.
• Fifty percent of pipe length.
• All pressure zones.
• All 12-inch diameter and larger pipes.
• All 8-inch and larger pipes that connect pressure zones, influence zones from different sources,
storage facilities, major demand areas, pumps, and control valves, or are known or expected to be
significant conveyors of water.
• All 6-inch and larger pipes that connect remote areas of a distribution system to the main portion
of the system.
• All storage facilities with standard operations represented in the model.
• All active pump station with controls represented in the model.
• All active control valves.
The model should also include the following information:
• Description of all model calibration activities undertaken, and, if calibration is complete,
- A graph of predicted tank levels versus measured tank levels for the storage facility with the
highest residence time in each pressure zone, and
- A time series graph of the residence time at the longest residence time storage facility in the
distribution system showing the predictions for the entire simulation period (i.e., from time
zero until the time it takes for the model to reach a consistently repeating pattern of residence
time).
• Model output showing preliminary 24 hour average residence time predictions throughout the
distribution system
• The timing and number of samples representative of the distribution system planned for at least
one monitoring period of TTHM and HAAS dual sample monitoring at a number of locations no
fewer than would be required for the system under standard monitoring during the historical
month high TTHM (at locations other than existing Stage 1 DBPR compliance monitoring
locations).
• Description of how the system will complete all the requirements, no later than 12 months after
the plan is submitted.
Stage 2 DBPR Implementation Guidance 17 August 2007
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• A schematic of the distribution system with notes indicating the locations and dates of:
- All completed study monitoring (if calibration is complete), and
- All Stage 1 DBPR compliance monitoring.
• A table or spreadsheet with data demonstrating that the model meets the rule requirements.
• The plan should specify the system type (Subpart H or ground water) and the population served.
If a modeling study plan does not fully meet the requirements, the system will be required to correct the
deficiencies and provide further information. If a system's SSS is not approved, the system will need to
perform standard monitoring to comply with the IDSE.
1.2.2.7 What must a Standard Monitoring Plan include? [40 CFR 141.601(a)]
The monitoring plan must include:
• Schematic of the system's distribution system (including distribution system entry points and
their sources, and storage facilities).
• Notes indicating locations and dates of all projected standard monitoring, and all projected Stage
1 DBPR compliance monitoring.
• Justification for standard monitoring location selection.
• Summary of data upon with the justification is based.
• System type (Subpart H or ground water) and population served.
1.2.2.8 How long must the Standard Monitoring Plan or SSS Plan be retained?
Systems must retain a copy of their Standard Monitoring Plan or SSS Plan, including any state
modification to the plan, for a period of 10 years from the date the system submitted the plan to the state.
1.2.2.9 Who must submit an IDSE Report?
Systems performing standard monitoring or an SSS must submit an IDSE Report to the state for approval
according to the schedule shown in Table 1-1.
1.2.2.10 What must the IDSE Report include?
For systems conducting standard monitoring, the IDSE Report must include [§141.601(c)]:
• All TTHM and HAAS analytical results from Stage 1 DBPR compliance monitoring and all
standard monitoring completed during the period of the IDSE as individual analytical results and
LRAAs, presented in a tabular or spreadsheet format acceptable to the state.
• If they changed since the Standard Monitoring Plan was submitted, a schematic of the distribution
system, system type, and population served.
Stage 2 DBPR Implementation Guidance 18 August 2007
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• Explanation of any deviations from the approved Standard Monitoring Plan.
• Recommendations and justifications for Stage 2 DBPR compliance monitoring locations and
timing.
For systems conducting the SSS, the IDSE Report must include [§141.602(b)]:
• All TTHM and HAA5 analytical results from Stage 1 DBPR compliance monitoring and all
system specific study monitoring completed during the period of the study, presented in a tabular
or spreadsheet format acceptable to the state.
• If they changed since the system specific study monitoring plan was submitted, a schematic of the
distribution system, system type, and population served.
• If the study was a modeling study, an update of all the information in the study plan and a 24-
hour time scries graph of residence time for each Stage 2 DBPR compliance monitoring location
selected.
• Recommendations and justifications for Stage 2 DBPR compliance monitoring locations and
timing.
• Explanation of any deviations from the approved SSS Plan.
1.2.2.11 How long must the IDSE Report be retained?
Systems must retain their IDSE Report for 10 years after the date they submit it. If the state modifies the
Stage 2 DBPR monitoring requirements in an IDSE Report or approves alternative monitoring locations,
the system must keep a copy of the state's notification on file for 10 years after the date of notification.
The IDSE Report and any state notification must be available for review by the state or the public.
1.2.3 Stage 2 DBPR Compliance Monitoring |40 CFR 141.620, 40 CFR 141.621]
This section summarizes the requirements for Stage 2 DBPR compliance monitoring, required contents of
the Stage 2 DBPR Compliance Monitoring Plan, reduced monitoring, increased monitoring, and special
issues for consecutive systems. As with the IDSE monitoring, Stage 2 DBPR compliance monitoring
requirements vary according to source type and population served.
Stage 2 DBPR compliance monitoring applies to all CWSs and NTNCWSs that add a primary or residual
disinfectant other than UV or deliver water that has been treated with a primary or residual disinfectant
other than UV.
1.2.3.1 How is compliance calculated for TTHM and HAAS under Stage 2 DBPR? [40 CFR
141.620(d)]
The Stage 2 DBPR changes the way compliance is determined with MCLs by changing the way sampling
results are averaged. Stage 2 DBPR determines compliance with the MCL on an LRAA instead of the
system-wide RAA as is used under the Stage 1 DBPR. The primary objective of the LRAA is to reduce
exposure to high DBP levels. For an LRAA, an annual average is calculated at each monitoring site. The
RAA compliance calculation allows a system-wide annual average. In this situation, high DBP
concentrations in one or more locations are averaged with lower concentrations elsewhere in the
Stage 2 DBPR Implementation Guidance 19 August 2007
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distribution system. Figure 1-2 illustrates the difference in calculating compliance with the MCLs for
TTHM between a Stage 1 DBPR RAA and the Stage 2 DBPR LRAA.
Figure 1-2. Comparison of RAA and LRAA Compliance Calculations'
3rd Quarter
Stage 1
DBPR
Average of All Samples Average of All Samples Average of All Samples Average of All Samples
RUNNING ANNUAL AVERAGE (RAA) OF QUARTERLY SAMPLES MUST BE BELOW MCL
Stage 2
DBPR
01 0
02 O LRAA ' N1lisT
V ^. BE BELOW
Q3 O MCI.
04 O
01
O1
V
Q3
04
I.RAA 2 MUST
BE BELOW
,MC L
OH
02 <
03 <
04 <
LKA4 .1 MOST r)9 «a LRAA 4 MUST
BK BELOW V A BE BELOW
Q3'
04'
1. Stage 2 DBPR sampling locations will (in most cases) be selected based on the results of an IDSE and may be
different from Stage 1 DBPR sampling sites.
The new Stage 2 DBPR TTHM and HAAS LRAA requirements apply to all CWSs and NTNCWSs that
serve chemically disinfected (i.e., add a primary or residual disinfectant other than UV or deliver water
that has been treated with a primary or residual disinfectant other than UV) drinking water, regardless of
whether they treat the water themselves or receive it from another system.
Note that LRAAs are used for compliance with TTHM and HAAS MCLs. The bromate MCL of 0.010
mg/L, for example, is still measured as an RAA as required by the Stage 1 DBPR.
1.2.3.2 What are the Stage 2 DBPR MCLs? [40 CFR 141.620]
For the Stage 2 DBPR, CWSs and NTNCWSs must comply with MCLs of 0.080 mg/L and 0.060 mg/L as
LRAAs for TTHM and HAAS, respectively, based on monitoring at locations identified in their
monitoring plans (see sections 1.2.3.4-1.2.3.7 for a discussion of Stage 2 DBPR Compliance Monitoring
Plans and routine monitoring requirements).
1.2.3.3 What are the new MCLGs? |40 CFR 141.53]
The Stage 2 DBPR establishes MCLGs for a number of DBPs. These new MCLGs do not affect the
MCLs for TTHM or HAAS. Table 1-4 summarizes the new MCLGs.
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Table 1-4. Summary of Stage 2 DBPR MCLGs
Contaminant
Bromodichloromethane
Bromoform
Bromate
Chlorite
Chloroform
Dibromochloromethane
Dichloroacetic acid
Monochloroacetic acid
Trichioroacetic acid
MCLG (mg/L)
zero
zero
zero
0.8
0.07
0.06
zero
0.07
0.02
1.2.3.4 What Are the Requirements for Developing a Stage 2 DBPR Compliance Monitoring
Plan? |40CFR 141.622)
All systems required to conduct compliance monitoring under the Stage 2 DBPR must develop a
Compliance Monitoring Plan. However, systems that completed an IDSE Report will have included their
monitoring locations and dates in the report. For most systems, if they also include compliance
calculation procedures, they may be able to meet the requirements of the Compliance Monitoring Plan
and will not have to submit a separate document.
For systems that are required to complete a Compliance Monitoring Plan, they must complete the plan no
later than the date when monitoring begins (see table 1-5) and must contain the following information:
• Monitoring locations;
• Monitoring dates;
• Compliance calculation procedures; and
• Monitoring plans for other systems in the combined distribution system if the state has reduced
monitoring requirements [§142.16(m)].
Systems that completed an IDSE but did not include the compliance calculation procedures in their IDSE
Report must still prepare a Compliance Monitoring Plan. These systems should base their Compliance
Monitoring Plan on the IDSE Report and any state modifications. Systems may revise their Compliance
Monitoring Plan to reflect changes in treatment, distribution system operations and layout, or other factors
that may affect TTHM or HAA5 formation. If there are any changes to the monitoring locations, systems
must replace existing compliance monitoring locations with expected high TTHM or HAA5 levels.
Systems with a VSS Waiver must comply by updating their Stage 1 DBPR monitoring plan, which was
developed under § 141.132(f).
Systems that qualified for the 40/30 Certification and NTNCWSs that did not conduct standard
monitoring or an SSS should use their Stage 1 DBPR monitoring sites as the basis for Stage 2 DBPR site
Stage 2 DBPR Implementation Guidance
21
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selection. If a system has more Stage 1 DBPR sites than required under for Stage 2 DBPR compliance
monitoring, it must select Stage 2 DBPR compliance monitoring sites by alternating selection of locations
representing high TTHM and high HAA5 levels until the required number of Stage 2 DBPR compliance
monitoring locations have been identified. If a system has fewer Stage 1 DBPR sites than required by the
Stage 2 DBPR, the system must select the sites with highest DBP levels, alternating selection of locations
representing high TTHM levels and high HAAS levels, starting with high TTHM.
1.2.3.5 What are the reporting and recordkeeping requirements for Stage 2 DBPR Compliance
Monitoring Plan? [40 CFR 141.622(c), 40 CFR 141.629(b)]
All systems must keep their Stage 2 DBPR Compliance Monitoring Plan on file for state and public
review. Subpart H systems serving more than 3,300 people are required to submit copies of their
Compliance Monitoring Plans to the state before they begin compliance monitoring, unless their IDSE
Report already contains the required information. The state may modify a system's Compliance
Monitoring Plan.
1.2.3.6 What Are the Compliance Deadlines for Stage 2 DBPR Compliance Monitoring? [40
CFR 141.620(c)[
Table 1-5 summarizes the deadlines for Stage 2 DBPR for TTHM and HAAS compliance monitoring. If a
system is required to conduct quarterly monitoring, it must begin monitoring in the first full calendar
quarter that includes the compliance date in Table 1-5. If the system is required to conduct monitoring at a
frequency that is less than quarterly, it must begin monitoring in the calendar month recommended in the
IDSE Report, or in the calendar month identified in the monitoring plan, no later than 12 months after the
compliance date in Table 1-5.
Table 1-5. Compliance Schedule for Stage 2 DBPR TTHM and HAAS Monitoring
Requirement
Begin Stage 2
Compliance
(Subpart V)
Monitoring2
Compliance dates by PWS size (retail populations served)1
CWSs and
NTNCWSs
serving at least
100,000
April 1,2012
CWSs and
NTNCWSs
serving 50,000-
99,999
October 1,2012
CWSs and
NTNCWSs
serving 10,000-
49,999
October 1,20 13
CWSs serving
<1 0,000
October 1,2013
(October 1,2014
if Ciypto-
sporidium
monitoring is
required under
LT2ESWTR.)
NTNCWSs
serving < 10,000
October 1,2013
(October 1,2014
if Crypto-
sporidium
monitoring is
required under
LT2ESWTR.)
1. Wholesale and consecutive systems that are part of a combined distribution system must comply based on the
schedule required of the largest system in the combined distribution system.
2. States may grant up to an additional 2 years for systems making capital improvements. See Appendix I for
guidance on reviewing extension requests under Section 1412(b)(10) of the SDWA.
1.2.3.7 What Are the Requirements for Routine Monitoring? [40 CFR 141.621]
Table 1-6 shows the Stage 2 DBPR routine compliance monitoring requirements. For systems (including
consecutive systems), monitoring requirements are based on source type and population served (instead of
Stage 2 DBPR Implementation Guidance
22
August 2007
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the number of plants, as was the case under the Stage 1 DBPR.) The number of sampling sites may also
increase or decrease from Stage 1 DBPR to Stage 2 DBPR.
Depending on monitoring results, a system may be eligible for reduced monitoring under §141.623
(Section 3.15). Some systems may be required to conduct increased monitoring if certain conditions are
met as specified in §141.625 (Section 3.16).
Table 1-6. Stage 2 DBPR Routine Compliance Monitoring Requirements
Source Water
Type
Subpart H
Ground Water
Population Size
Category
<500
500-3,300
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1 ,000,000-4,999,999
> 5,000,000
<500
500-9,999
10,000-99,999
100,000-499,999
> 500,000
Monitoring
Frequency '
per year
per quarter
per quarter
per quarter
per quarter
per quarter
per quarter
per quarter
per year
per year
per quarter
per quarter
per quarter
Distribution System Monitoring Location
Total per Monitoring Period 2
2
2
2
4
8
12
16
20
2
2
4
6
8
1. All systems must take at least one dual sample set during the month of highest DBF concentrations.
2. Systems on quarterly monitoring must take dual sample sets every 90 days at each monitoring location, except for
Subpart H systems serving 500-3,300. Systems on annual monitoring and Subpart H systems serving 500-3,300 are
required to take individual TTHM and HAA5 samples (instead of a dual sample set) at the locations with the highest
TTHM and HAAS concentrations, respectively. Only one location with a dual sample set per monitoring period is
needed if highest TTHM and HAA5 concentrations occur at the same location (and month, if monitored annually).
1.2.3.8 How Do Systems Qualify for Reduced Stage 2 DBPR Monitoring? |40 CFR 141.623]
Systems may qualify for reduced monitoring if their LRAAs at all monitoring locations for TTHM and
HAA5 are no more than 0.040 mg/L and 0.030 mg/L, respectively. In addition, Subpart H systems must
maintain annual average TOC levels of 4.0 mg/L or less in source water at each treatment plant in order to
qualify. Systems should note that under the Stage 1 DBPR, no sampling frequency for TOC was
specified. Beginning April 1, 2008 (or earlier if specified by the state), systems must sample for TOC
every 30 days to qualify for reduced monitoring and sample every 90 days to remain on reduced
monitoring. Therefore, systems on a reduced Stage 1 DBPR monitoring schedule may need to conduct
Stage 2 DBPR compliance monitoring on a routine monitoring schedule until they have collected
sufficient TOC data to qualify for reduced monitoring.
Systems may remain on reduced monitoring as long as their quarterly LRAAs for TTHMs and HAA5
remain no more than 0.040 mg/L and 0.030 mg/L, respectively (for systems with quarterly reduced
monitoring) or their TTHM and HAA5 samples are no higher than 0.060 mg/L and 0.045 mg/L,
respectively (for systems with annual or less frequent monitoring). In addition, Subpart H systems must
continue to maintain annual average TOC levels of 4.0 mg/L or less in source water at each treatment
plant.
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23
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If monitoring results indicate that a system is no longer eligible for reduced monitoring, the system must
resume routine monitoring or begin increased monitoring the quarter immediately following the
monitoring period in which the system exceeded the specified levels for reduced monitoring. The state
may also use its discretion to return a system to routine monitoring.
Table 1-7. Stage 2 DBPR Reduced Monitoring Requirements for All Systems
Source
Water
Type
Subpart H
Ground
Water
Population
Size
Category
<500
500-3,300
3,301-9,999
10,000-
49,999
50,000-
249,999
250,000-
999,999
1,000,000-
4,999,999
> 5,000,000
<500
500-9,999
10,000-
99,999
Monitoring
Frequency '
-
per year
per year
per quarter
per quarter
per quarter
per quarter
per quarter
every third year
per year
per year
Distribution System Monitoring Location per Monitoring
Period
Monitoring may not be reduced.
1 TTHM and 1 HAAS sample: one at the location and during the
quarter with the highest TTHM single measurement, one at the
location and during the quarter with the highest HAAS single
measurement; 1 dual sample set per year if the highest TTHM and
HAAS measurements occurred at the same location and quarter.
2 dual sample sets: one at the location and during the quarter with
the highest TTHM single measurement, one at the location and
during the quarter with the highest HAAS single measurement.
2 dual sample sets at the locations with the highest TTHM and
highest HAAS LRAAs.
4 dual sample sets - at the locations with the two highest TTHM
and two highest HAAS LRAAs.
6 dual sample sets - at the locations with the three highest TTHM
and three highest HAAS LRAAs.
8 dual sample sets - at the locations with the four highest TTHM
and four highest HAAS LRAAs.
1 0 dual sample sets - at the locations with the five highest TTHM
and five highest HAAS LRAAs.
1 TTHM and 1 HAAS sample: one at the location and during the
quarter with the highest TTHM single measurement, one at the
location and during the quarter with the highest HAAS single
measurement; 1 dual sample set per year if the highest TTHM and
HAAS measurements occurred at the same location and quarter.
1 TTHM and 1 HAAS sample: one at the location and during the
quarter with the highest TTHM single measurement, one at the
location and during the quarter with the highest HAAS single
measurement; 1 dual sample set per year if the highest TTHM and
HAAS measurements occurred at the same location and quarter.
2 dual sample sets: one at the location and during the quarter with
the highest TTHM single measurement, one at the location and
during the quarter with the highest HAAS single measurement.
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24
August 2007
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Source
Water
Type
Population
Size
Category
100,000-
499,999
> 500,000
Monitoring
Frequency '
per quarter
per quarter
Distribution System Monitoring Location per Monitoring
Period
2 dual sample sets; at the locations with the highest TTHM and
highest HAAS LRAAs.
4 dual sample sets at the locations with the two highest TTHM and
two highest HAAS LRAAs.
1. Systems on quarterly monitoring must take dual sample sets every 90 days.
1.2.3.9 What Are the Requirements for Increased Monitoring? [40 CFR 141.625, 40 CFR
141.628]
If a system monitors annually or less frequently than annually on either the routine monitoring schedule
or the reduced monitoring schedule and a TTHM sample exceeds 0.080 mg/L or a HAAS sample exceeds
0.060 mg/L at any location, the system must increase monitoring frequency to dual sample sets once per
quarter (taken every 90 days) at all locations.
A system may return to routine monitoring if the TTHM LRAA for every monitoring location is less than
or equal to 0.060 mg/L and the HAA5 LRAA for every monitoring location is less than or equal to 0.045
mg/L after conducting at least four consecutive quarters of increased monitoring.
Systems on an increased Stage 1 DBPR monitoring schedule must begin Stage 2 DBPR monitoring on the
increased schedule until they meet the requirements above for returning to the routine schedule.
1.2.4 Monitoring Requirements for Consecutive Systems
1.2.4.1 What are the DBP monitoring requirements for consecutive systems? [40 CFR 141.620]
The TTHM and HAAS sampling requirements for consecutive systems are determined in the same
manner as for all other systems. The number of sites and monitoring frequency is based on the system's
population served and source type (based on wholesale system's source water type). Thus, large
consecutive systems will take more samples than a smaller wholesale system.
States may modify the Stage 2 DBPR compliance monitoring requirements for consecutive systems by
treating a combined distribution system as a single system. This is allowed to the extent that the
interconnection of the systems justifies such modifications [§141.29]. If the state elects to use this
authority, they must describe in their primacy application how they will implement this procedure and
include a requirement that at least one monitoring site will be located in each water system [§ 142.16(m)].
1.2.4.2 What are the Chlorine and Chloramines requirements for consecutive systems? [40 CFR
141.624]
Consecutive systems that do not add a disinfectant but deliver water that was treated with a disinfectant
other than UV must now comply with the Stage 1 DBPR analytical and monitoring requirements for
chlorine and chloramines and associated compliance requirements and reporting requirements. These
requirements include:
• Analytical methods [§141.13 l(c)],
• Monitoring of residual at the same sites as total coliform sampling [§141.132(c)(l)],
Stage 2 DBPR Implementation Guidance
25
August 2007
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• Compliance with the MRDL [§ 141.133(c)( 1)], and
• Reporting of results [§141.134(c)].
These requirements begin April 1, 2009 unless required earlier by the state.
Additional Resources for Consecutive Systems
EPA is preparing a guidance manual for consecutive systems to address these and other issues.
1.2.5 Operational Evaluation Levels [40 CFR 141.626|
TTHM and HAAS MCL compliance is based on an LRAA, therefore a system may have individual DBF
results significantly higher than the MCL from time to time while remaining in compliance. This situation
is a result of .the fact that high concentrations are averaged with lower concentrations at a given location.
While this situation does not constitute an MCL violation, it might indicate a trend that could lead to an
MCL violation in future quarters.
The "operational evaluation level" is an LRAA threshold, meant to help systems identify if they are in
danger of exceeding the MCL in the following monitoring quarter. The process is useful in that it alerts
the system to the potential of an MCL violation if DBF levels remain at their current level and encourages
them to consider what operational changes may be necessary to reduce DBF levels.
The operational evaluation level at any location is the sum of the two previous quarters' TTHM or HAA5
results plus twice the current quarter's TTHM or HAAS result, divided by four to determine an average.
Effectively, it is the LRAA that can be expected if the next quarter's result is the same as the current
quarter's result. To determine if a system has exceeded operational evaluation levels at any sampling
location, the following formula is used:
If (Qi + Qz +2Q3)/4 > MCL at any monitoring location,
where
Q3 = current quarter measurement
Q2 = previous quarter measurement
Qi ^quarter before previous quarter measurement
MCL=Stage 2 DBPR MCL for TTHM (0.080 mg/1) or Stage 2 DBPR MCL for HAAS (0.060 mg/L)
then the system must conduct an operational evaluation.
If the operational evaluation level for TTHM exceeds 0.080 mg/L or the operational evaluation level for
HAAS exceeds 0.060 mg/L at any monitoring location, an exceedance of the operational evaluation level
has occurred.
If this happens, the system must conduct an operational evaluation and submit a written report of the
evaluation to the state no later than 90 days after the system is notified of the analytical result that caused
the exceedance. The written report must be available to the public upon request. The operational
evaluation must include an examination of system treatment and distribution operational practices,
including storage tank operations, excess storage capacity, distribution system flushing, changes in
sources or source water quality, and treatment changes or problems that may contribute to TTHM and
HAAS formation, and what steps could be considered to minimize future exceedances.
Stage 2 DBPR Implementation Guidance 26 August 2007
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If the system is readily able to identify the cause of the exceedance, it may request permission to limit the
scope of the evaluation. If the state grants the request, the system must still follow the schedule for
completing the evaluation. The state must approve the limited scope in writing, and the system must keep
the approval with the completed report.
For more information on operational evaluations, refer to EPA's Operational Evaluation Guidance
Manual (formerly titled the Significant Excursions Guidance Manual] available online at
www.cpa.jj;ov/safcvvater/disinfcction/stagc2/compliancc.html#pws.
1.2.6 Bromate Requirements [40 CFR 14U32|
The MCL for bromate for systems using ozone remains 0.010 mg/L (measured as an RAA) for samples
taken at the entrance to the distribution system as established by the Stage 1 DBPR. However, the
criterion for a system using ozone to qualify for reduced bromate monitoring has changed from
demonstrating low levels of bromide in the source water to demonstrating low levels of bromate in the
finished water, now that more sensitive bromate methods arc available. Beginning April 1, 2009, systems
must have a bromate RAA of 0.0025 mg/L or less based on 1 year of monthly data to qualify for reduced
bromate monitoring. In addition, the samples must be analyzed using Method 317.0 Revision 2.0, 326.0,
or 321.8. Systems must continue to compute the RAA quarterly after qualifying for reduced bromate
monitoring, and if the RAA exceeds 0.0025 mg/L, the system must return to routine monitoring.
1.2.7 Reporting/Recordkeeping Requirements [40 CFR 141.33, 40 CFR 141.629]
Note that the state may choose to perform calculations and determine whether the system exceeded the
MCL or the system is eligible for reduced monitoring in lieu of having the system report that information.
1.2.7.1 What monitoring information must be reported? [40 CFR 141.629(a)(2)|
Systems must report the following information for each monitoring location to the state within 10 days of
the end of any quarter in which monitoring is required:
• Number of samples taken during the last quarter.
• Date and results of each sample taken during the last quarter.
• • If monitoring is quarterly, the LRAAs of quarterly TTHM and HAAS results for the last four
quarters. If an LRAA calculation based on fewer than four quarters of data would cause the MCL
to be exceeded regardless of the monitoring results of subsequent quarters, this information too
must be submitted to the state.
• Whether an MCL was violated.
• Any operational evaluation levels that were exceeded, including location, date, and the calculated
TTHM and HAA5 levels.
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1.2.7.2 What information for Source Water TOC for must Subpart H systems report? [40 CFR
141.629(a)(2)l
Subpart H systems seeking to qualify for or remain on reduced TTHM/HAA5 monitoring must also report
the following source water TOC information for each treatment plant that treats surface water or GWUDI
to the state within 10 days of the end of any quarter in which monitoring is required:
• The number of source water TOC samples taken each month during the last quarter.
• The date and result of each sample taken during the last quarter.
• The quarterly average of monthly samples taken during the last quarter or the result of the
quarterly sample.
• The RAA of quarterly averages from the past four quarters.
• Whether the RAA exceeded 4.0 mg/L.
1.2.7.3 What are the recordkeeping requirements for IDSE Plans, IDSE Reports, and
Monitoring Results? [40 CFR 141.629(b)[
Systems must retain a copy of their Standard Monitoring Plan or SSS Plan, including any state
modification to the plan, for a period of 10 years from the date it was submitted. They must also retain
their IDSE Report for 10 years after the date they submit it. If the state modifies the Stage 2 DBPR
monitoring requirements in an IDSE Report or approves alternative monitoring locations, the system must
keep a copy of the state's notification on file for 10 years after the date of notification. The IDSE Report
and any state notification must be available for review by the state or the public.
Systems must keep copies of Stage 2 DBPR Compliance Monitoring Plans and monitoring results for at
least 10 years.
1.2.7.4 What are the reporting and recordkeeping requirements for consecutive systems? [40
CFR 141.134(c), 40 CFR 141.622(c), 40 CFR 141.629(b)]
Consecutive systems are subject to the same reporting and recordkeeping requirements as other systems
affected by the Stage 2 DBPR. In addition, they are required to conduct appropriate public notification
after a violation. In their CCR, consecutive systems must include results of testing conducted by the
wholesale system unless the consecutive system conducted equivalent testing that indicates it was in
compliance. In this case, the consecutive system reports its own compliance monitoring results. EPA is
preparing a guidance manual for consecutive systems to address these and other issues.
Stage 2 DBPR Implementation Guidance 28 August 2007
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1.2.8 Public Notification of Drinking Water Violations [40 CFR 141 Subpart Q,
Appendix A]
In addition to the violations identified under the Stage 1 DBPR, the Stage 2 DBPR added violations
requiring either a Tier 2 or Tier 3 notification. Tier 2 public notification is required for violations of
TTHM or HAAS LRAA MCLs. Tier 3 public notification of monitoring violations is required for failure
to:
• Monitor for TTHM or HAA5 in accordance with the schedule in the monitoring plan.
• Return from reduced to routine monthly bromate monitoring if the RAA of bromate exceeds
0.0025 mg/L or if samples were not analyzed using an acceptable method beginning April 1,
2009.
• Qualify for a VSS Waiver, submit a 40/30 Certification, conduct standard monitoring or an SSS
IDSE by the compliance deadline. The same is true for the IDSE Report for systems that
conducted standard monitoring or an SSS IDSE.
A description of the Stage 1 DBPR violations is in section 2 of EPA's Implementation Guidance for the
Stage 1 Disinfectants/Disinfection Byproducts Rule (EPA 816-R-01-012).
1.2.9 CCR Requirements |40 CFR 141.151, 40 CFR 141.153|
The CCR Rule requires systems to report in their annual consumer confidence reports any regulated
contaminants that are detected. Since detection is not defined for DBP contaminants, the Stage 2 DBPR
specifies reporting levels for the regulated DBFs. EPA has incorporated minimum reporting level (MRL)
requirements into the laboratory certification program for DBPs and required systems to use regulatory
MRLs as the minimum concentrations that must be reported as part of the CCRs [§141.151(d)].
When compliance with the MCL is determined by calculating an LRAA, systems must include the
highest LRAA for TTHM and HAA5 and the range of individual sample results for all sampling points
expressed in the same units as the MCL. If more than one site exceeds the MCL, the system must include
the LRAA for all sites that exceed the MCL.
If the system conducts an IDSE, it is required to include individual sample results collected for the IDSE
when determining the range of TTHM and HAA5 results to be reported in the CCR for the calendar years
that the IDSE samples were taken.
Responsibility for the CCR rests with the individual system. Under the CCR Rule, the wholesale system
is responsible for notifying the consecutive system of analytical results and violations related to
monitoring conducted by the wholesale system. Consecutive systems must include analytical results of
the wholesale system in their CCR, unless the consecutive system conducted equivalent testing
demonstrating that it was in compliance. In the latter case, the consecutive system must report its own
compliance monitoring results.
Stage 2 DBPR Implementation Guidance 29 August 2007
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1.3 Requirements of the Rule: States or Other Primacy Agencies
1.3.1 Special Primacy Requirements |40 CFR 142.16]
To receive primacy for the Stage 2 DBPR, states must adopt regulations no less stringent than this rule.
States must submit revisions to their programs, regulations, or authorities no later than January 4, 2008,
although states can request an extension of up to 2 years.
In addition, if a state elects to use its authority to modify wholesale system and consecutive system
monitoring requirements on a case-by-case basis, the state must describe how it will implement a
procedure for addressing the issue in its primacy application. The procedure must ensure that all systems
have at least one compliance monitoring location. The special primacy requirements for the Stage 2
DBPR are discussed in section 4.4 of this guidance.
1.3.2 Records Kept by States |40 CFR 142.14)
The current regulations in §142.14 require states with primacy to keep various records, including system
inventories, state approvals, enforcement actions, the issuance of exemptions, and analytical results, to
determine compliance with MCLs, MRDLs, and treatment technique requirements.
The Stage 2 DBPR requires that the state keep records related to any decisions made pursuant to IDSE
requirements [§141, Subpart U] and Stage 2 DBPR compliance monitoring requirements [§141, Subpart
V]. Specifically:
• IDSE monitoring plans, plus any modifications made by the state, must be kept until replaced by
approved IDSE Reports.
• System IDSE Reports and 40/30 Certifications, plus any modifications made by the state, must be
kept until replaced or revised in their entirety.
• Operational evaluations submitted by a system must be kept for 10 years following submission.
1.3.3 State Reporting Requirements (40 CFR 142.15]
EPA currently requires states to report information such as violations, variance and exemption status, and
enforcement actions to EPA under §142.15. The Stage 2 DBPR does not add any additional reporting
requirements for states.
1.4 Summary of Action Dates
1.4.1 Applicability and Compliance Dates
The Stage 2 DBPR applies to all CWSs and NTNCWSs that add a primary or residual disinfectant other
than UV or deliver water that has been treated with a primary or residual disinfectant other than UV. The
IDSE requirements apply to all CWSs and NTNCWSs serving at least 10,000 people that add a primary
or residual disinfectant other than UV or deliver water that has been treated with a primary or residual
disinfectant other than UV. Table 1-8 summarizes key compliance dates required (bold) by the Stage 2
DBPR as well as suggested action dates. The compliance dates arc designed to allow systems to comply
simultaneously with the Stage 2 DBPR and the LT2ESWTR in order to balance risks associated with
DBPs with risks associated with microbial pathogens.
Stage 2 DBPR Implementation Guidance 30 August 2007
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Note the term "state" or "states" is used in the following and is used to refer to all types of primacy
agencies including U.S. territories, Indian tribes, and EPA Regions.
Table 1-8. Summary of Action Dates for the Stage 2 DBPR
Date
January 4, 2006
Stage 2 DBPR Action
Final rule is published in Federal Register.
STATES
January 4, 2006
January 4, 2006
January 4, 2006
January 4, 2006
April 1,2006
September 30, 2007
October 4, 2007
January 4, 2008
March 31, 2008
September 30, 2008
March 3 1,2009
April 1,2009
October 1, 2009
October 4, 2009
January 4, 2010
April 1,2010
October 1, 2010
States are encouraged to begin identifying affected systems.
States are encouraged to begin updating their data management system.
States are encouraged to begin determining how they will address special primacy
conditions of the rule related to wholesale and consecutive system monitoring.
States are encouraged to begin coordinating with EPA and communicating with systems
regarding the 1DSE requirements.
States are encouraged to communicate with affected systems regarding Stage 2 DBPR
requirements.
States must contact systems on Schedule 1 to approve Standard Monitoring Plan or
SSS Plan, or contact system if review is not complete.
States are encouraged to submit final primacy applications or extension requests to EPA.
Final primacy applications must be submitted to EPA, unless granted an extension.
[§142.12(b)(l)]
States must contact systems on Schedule 2 to approve Standard Monitoring Plan or
SSS Plan, or contact system if review is not complete.
States must contact systems on Schedule 3 to approve Standard Monitoring Plan or
SSS Plan, or contact system if review is not complete.
States must contact systems on Schedule 4 to approve Standard Monitoring Plan or
SSS Plan, or contact system if review is not complete.
States must approve 1DSE Reports for systems on Schedule 1 or contact the systems
to inform them the states review is not complete.
States must approve IDSE Reports for systems on Schedule 2 or contact the systems
to inform them the states review is not complete.
States with approved extension agreements are encouraged to submit final primacy
applications to EPA.
Final primacy applications must be submitted to EPA for systems with a full 2 year
extension. (§142.12(b)(l)|
States should begin determining whether to grant up to a 2-year extension for systems
requiring capital improvements to meet Stage 2 DBPR.
States must approve IDSE Reports for systems on Schedule 3 and 4 or contact the
systems to inform them the states review is not complete.
Stage 2 DBPR Implementation Guidance
31
August 2007
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Date
Stage 2 DBPR Action
SCHEDULE 1 SYSTEMS
October 1, 2006
October 1,2007
October 1, 2008
January 1,2009
April 1,20 12
CWSs and NTNCWSs on Schedule 1 must submit Standard Monitoring Plan or SSS
Plan or 40/30 Certification to the state.
CWSs and NTNCWSs on Schedule 1 whose Standard Monitoring Plan or SSS Plan
has been approved or who have not heard back from the state should begin
monitoring according to their plan.
CWSs and NTNCWSs on Schedule 1 must complete their IDSE before this date.
CWSs and NTNCWSs on Schedule 1 must submit their IDSE Report.
Systems on Schedule 1 must begin complying with Stage 2 DBPR monitoring
requirements and LRAA MCLs for TTHM and HAAS. |§141.6201
SCHEDULE 2 SYSTEMS
April 1, 2007
April 1,2008
April 1,2009
July 1, 2009
October 1, 2012
CWSs and NTNCWSs on Schedule 2 must submit Standard Monitoring Plan or SSS
Plan or 40/30 Certification to the state.
CWSs and NTNCWSs on Schedule 2 whose Standard Monitoring Plan or SSS Plan
has been approved or who have not heard back from the state should begin
monitoring according to their plan.
CWSs and NTNCWSs on Schedule 2 must complete their IDSE before this date.
CWSs and NTNCWSs on Schedule 2 must submit their IDSE Report.
Systems on Schedule 2 must begin complying with Stage 2 DBPR monitoring
requirements and LRAA MCLs for TTHM and HAAS. [§141.620|
SCHEDULE 3 SYSTEMS
October 1, 2007
October 1,2008
October 1, 2009
January 1,2010
October 1, 2013
CWSs and NTNCWSs on Schedule 3 must submit Standard Monitoring Plan or SSS
Plan or 40/30 Certification to the state.
CWSs and NTNCWSs on Schedule 3 whose Standard Monitoring Plan or SSS Plan
has been approved or who have not heard back from the state should begin
monitoring according to their plan.
CWSs and NTNCWSs on Schedule 3 must complete their IDSE before this date.
CWSs and NTNCWSs on Schedule 3 must submit their IDSE Report.
Systems on Schedule 3 must begin complying with Stage 2 DBPR monitoring
requirements and LRAA MCLs for TTHM and HAAS. |§141.620j
SCHEDULE 4 SYSTEMS
April 1, 2008
April 1, 2009
April 1,2010
July 1,2010
CWSs on Schedule 4 must submit Standard Monitoring Plan or SSS Plan or 40/30
Certification to the state.
CWSs on Schedule 4 whose Standard Monitoring Plan or SSS Plan has been
approved or who have not heard back from the state should begin monitoring
according to their plan.
CWSs on Schedule 4 must complete their IDSE before this date.
CWSs on Schedule 4 must submit their IDSE Report.
Stage 2 DBPR Implementation Guidance
32
August 2007
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Date
October 1,2013
October 1, 2014
Stage 2 DBPR Action
Systems on Schedule 4 that are not required to monitor for Cryptosporidium under
LT2ESWTR |§141.701(a)(4)| must begin complying with Stage 2 DBPR monitoring
requirements and LRAA MCLs for TTHM and HAAS. |§141.620|
Systems on Schedule 4 that are required to monitor for Cryptosporidium under
LT2ESWTR |§141.701(a)(4) or (a)(6)| must begin complying with Stage 2 DBPR
monitoring requirements and LRAA MCLs for TTHM and HAAS. [§141.620|
CONSECUTIVE SYSTEMS
April 1,2009
All 100 percent purchasing systems must monitor for chlorine and chloramines as
specified under the Stage 1 DBPR. [§141.624|
1.4.2 Timeline for the Stage 2 DBPR
Figure 1-3 depicts the Stage 2 DBPR and LT2ESWTR requirements and implementation timeline for
states and systems. The LT2ESWTR was promulgated concurrently with the Stage 2 DBPR to ensure that
microbial protection is not compromised by efforts to reduce exposure to disinfection byproducts.
Stage 2 DBPR Implementation Guidance
33
August 2007
-------
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References
Barwick, R.S., D.A. Levy, G.F. Craun, M.J. Beach, and R.L. Calderon. 2000. Surveillance for
waterborne-disease outbreaks - United States, 1997-1998. Morbidity and Mortality Weekly Report
49(SS04):l-35.
Craun, F. and R. Calderon. 1996. Microbial risks in groundwater systems: Epidemiology of waterborne
outbreaks. Under the Microscope: Examining microbes in groundwater. Proceedings of the Groundwater
Foundation's 12th Annual Fall Symposium, Boston. September.
Levy, D.A., M.S. Bens, G.F. Craun, R.L. Calderon, and B.L. Herwaldt. 1998. Surveillance for
Waterborne Disease Outbreaks - United States, 1995-1996. Morbidity and Mortality Weekly Report
47(55-5): 1-34.
Mac Kenzie, W.R., N.J. Hoxie, M.E. Proctor, M.S. Gradus, K.A. Blair, D.E. Peterson, J.J. Kazmierczak,
D.A. Addiss, K.R. Fox, J.B. Rose, and J.P. Davis. 1994. A massive outbreak of Cryptosporidium
infection transmitted through the public water supply. New England Journal of Medicine 331 (3): 161 -167.
USEPA. 2005. Final Economic Analysis for the Stage 2 DBPR. Washington, DC. Prepared by The
Cadmus Group, Inc.
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Stage 2 DBPR Implementation Guidance 36 August 2007
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Section 2
Resources and Guidance
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In addition to this implementation guidance document, a variety of resource materials and technical
guidance documents have been prepared by EPA to facilitate understanding and implementing the Stage 2
DBPR. This section is an overview of each of these resources and includes instructions on how to obtain
the documents.
2.1 Technical Guidance Manuals
The following six technical guidance manuals are being developed to support the Stage 2 DBPR. These
manuals will aid EPA, state agencies, and affected PWSs in implementing this rule and will help ensure
that the implementation among these groups is consistent.
• The Initial Distribution System Evaluation (IDSE) Guidance Manual (EPA 815-B-06-002)
provides guidance on conducting the IDSE. The manual discusses the requirements and the
implementation of IDSE sampling required by the Stage 2 DBPR. The manual discusses the
selection of monitoring sites, alternatives to monitoring, waivers, development of monitoring
schedules, and preparation of the IDSE Report.
• The Initial Distribution System Evaluation Guide for Systems Serving < 10,000 People For The
Final Stage 2 Disinfectants and Disinfection Byproducts Rule (EPA 815-B-06-001) provides
guidance on conducting the IDSE, however this manual focuses on information that systems
serving < 10,000 are most likely to use. It does not discuss the IDSE system specific study option.
• The Operational Evaluation Guidance Manual (EPA XXX-X-XX-XXX) provides guidance on
possible approaches to identifying exceedances of operational evaluation levels, conducting an
operational evaluation, and operational changes that systems may make to prevent recurrence of
operational evaluation level exceedances.
• The Small System Compliance Document (EPA 815-R-07-014) provides a streamlined version of
the Stage 2 DBPR requirements for systems serving fewer than 10,000 people.
• The Consecutive System Guidance Manual (EPA XXX-X-XX-XXX) provides guidance on
complying with Stage 2 DBPR monitoring requirements and MCLs to systems that purchase
finished water.
• The Simultaneous Compliance Guidance Manual for the Long Term 2 and Stage 2 DBF Rules
(EPA 817-D-06-003) provides guidance on how to avoid and resolve various potential conflicts
that may arise as systems comply with the Stage 2 DBPR and the LT2ESWTR.
For more information, contact EPA's Safe Drinking Water Hotline, (800) 426-4791, e-mail the Stage2
Inbox, stage2mdbp@epa.gov. or see the Office of Ground Water and Drinking Water Web page.
Reference and guidance documents are located at
www.epa.gov/safewater/disinfec tion/stage2./cornpliancc.html#pws.
2.2 Rule Presentation
Presentations that can be used for conducting Stage 2 DBPR training will be available on the EPA Web
site: www.epa.gov/safcwatcr/disinfection/disinfection/training.html. To receive information on training
Stage 2 DBPR Implementation Guidance 39 August 2007
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presentations and to check the Drinking Water Academy (DWA) Training Calendar or join the LT2/Stage
2 Listserv, e-mail the Stage 2 Inbox at stagc2mdbpfcf.!cpa.gov.
2.3 Factsheets and Quick Reference Guides
Factsheets and Quick Reference Guides for the Stage 2 DBPR may be useful for conveying basic
information about the rule to water systems, new personnel, and stakeholders. These are stand-alone
documents that are included in Appendix C of this guidance and are available online at
www.cpa.gov/satcwatcr/disinfcction/stagc2/compliance.html#pws. They are:
• Fact Sheet: Stage 2 Disinfectants and Disinfection Byproduct Rule.
• Factsheet: Stage 2 DBPR IDSE 40/30 Certification and Very Small System Waiver.
• Factsheet: Stage 2 DBPR IDSE Standard Monitoring.
• Factsheet: Stage 2 DBPR IDSE System Specific Studies.
• Stage 2 Disinfectants and Disinfection Byproduct Rule: A Quick Reference Guide For Schedule 1
Systems.
• Stage 2 Disinfectants and Disinfection Byproduct Rule: A Quick Reference Guide For Schedule 2
Systems.
• Stage 2 Disinfectants and Disinfection Byproduct Rule: A Quick Reference Guide For Schedule 3
Systems.
• Stage 2 Disinfectants and Disinfection Byproduct Rule: A Quick References Guide For Schedule
4 Systems.
2.4 Frequently Asked Questions
Questions and Answers (Q&As) on the Stage 2 DBPR are provided in this section. These questions have
been asked of EPA through the Safe Drinking Water Hotline, implementation training, or other means.
For additional questions and updates to the answer provided in this document, visit EPA's Web site at
wwvv.cpa.gov/safcwatcr/disinfection/stagc2.
System Schedules
Ql: How is the population determined in order to categorize systems into the schedules? Are all
the populations of the systems in a combined distribution system added together or is the
schedule based on the single largest system in the combined distribution system?
Al: Your population is based on the number of consumers your system serves directly. However, if
you are a consecutive or wholesale system (i.e., sell or buy finished water to or from another
water system), your schedule is based on the population served by the largest system in your
combined distribution system (not the combined population of all systems). If you are not a
consecutive or wholesale system, your schedule is based on the population served by your
individual system.
Stage 2 DBPR Implementation Guidance 40 August 2007
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Q2: What are the different system schedules and their population numbers?
A2: There arc four compliance schedules. The four schedules are:
If you are this kind of system:
Systems serving 100,000 or more people OR belonging to a
combined distribution system in which the largest system
serves 1 00,000 or more people
Systems serving 50,000 to 99,999 people OR belonging to a
combined distribution system in which the largest system
serves 50,000 to 99,999
Systems serving 1 0,000 to 49,999 OR belonging to a
combined distribution system in which the largest system
serves 10,000 to 49,999
Systems serving fewer than 10,000 people and/or belonging
to a combined distribution system in which the largest system
serves fewer than 10,000
You are on IDSE schedule number
1
2
3
4
IDSE
General
Q3: Are systems required to conduct Stage 1 DBPR compliance monitoring concurrent with
Stage 2 DBPR IDSE monitoring?
A3: Yes, systems regulated under the Stage 1 DBPR are required to collect their Stage 1 DBPR
compliance sample as well as conduct Stage 2 DBPR IDSE monitoring.
Q4: How should systems monitor during the interval between the end of IDSE monitoring and
the beginning of Stage 2 DBPR compliance sampling?
A4: Systems should continue Stage 1 DBPR monitoring or work with their primacy agency to begin
Stage 2 DBPR compliance sampling earlier than required. This interval is built into the Stage 2
DBPR to accommodate systems that may need to make significant changes to their distribution
system to meet the requirements of the Stage 2 DBPR.
Q5: If a system modifies its distribution system after completing its IDSE, is it required to
complete a new IDSE?
A5: No new IDSE Report is required, but the system should work with their primacy agency to
change their Stage 2 DBPR Compliance Monitoring Plan to address the changes to the
distribution system.
Q6: Should IDSE samples be collected during the warmest months?
A6: IDSE samples must be collected in the month of peak historical TTHM/HAA5 formation. The
standard monitoring period or system specific study plan must include sampling during the peak
historical month for TTHM or HAA5 levels or the month of warmest temperature (if the system
does not have adequate historical data to determine the peak month).
Q7: What happens to a system that does not submit an IDSE plan?
A7: The system would be in violation if the system did not qualify for a VSS Waiver, submit a 40/30
Certification, or conduct standard monitoring or an SSS IDSE by the compliance deadline. The
same is true for the IDSE Report for systems that conducted standard monitoring or an SSS
IDSE. The primacy agency will determine what enforcement action will be taken.
Stage 2 DBPR Implementation Guidance
41
August 2007
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Q8: Is there reduced IDSE monitoring?
A8: No, there is no reduced IDSE monitoring option available.
Standard Monitoring
Q9: If a system is required to take 8 high TTHM samples, can all 8 samples be taken at the same
location?
A9: No, the monitoring plan must identify 8 different sites with expected high TTHM levels. These
sites also must not be the same location as where the system currently takes their required Stage 1
DBPR TTHM/HAA5 samples.
Q10: What if a system's high TTHM site and high HAAS site are the same location?
A10: A system cannot use the same site as both a high TTHM and high HAAS site. If one site has been
identified as potentially high for both TTHM and HAAS the system should select it for whichever
type they have fewer sites identified for. Keep in mind, each site will be sampled for both TTHM
and HAAS.
Ql 1: How should systems with multiple entry points to the distribution system complete standard
monitoring if only one near entry point site is required?
All: If a system has multiple entry points to the distribution system but only one entry point sample is
required, the system should sample near the entry point with the highest flow.
Q12: How should a system with fewer entry points to the distribution system than the required
number of near an entry point sites complete standard monitoring?
A12: These systems should sample near all entry points to the distribution systems and make up the
additional number of sites by alternating between high TTHM and high HAAS sites, beginning
with high TTHM, to obtain the necessary number of samples.
Q13: If a consecutive system has multiple entry points, does a sample need to be taken at each
meter?
A13: No, the system only needs to monitor at the number of entry points required by the Stage 2
DBPR.
System Specific Study
Q14: Can the state approve an SSS Plan using existing monitoring results with a fewer number of
sites required in Stage 2 DBPR?
A14: No, the number of samples required by the rule is the minimum number EPA believes is
necessary for a system to determine their appropriate Stage 2 DBPR monitoring sites. The SSS
using existing monitoring results and standard monitoring requirements were developed to be
generally equivalent. The number of sites required for an existing monitoring SSS is
approximately the number required for that system size under standard monitoring plus the
number likely under Stage 1 DBPR compliance monitoring.
40/30 Certification
Q15: Can a system receive 40/30 Certification if individual samples exceed 40/30 levels, but
annual averages for TTHM and HAAS are below these levels?
A15: No, a system cannot receive 40/30 Certification if any samples exceed 40/30 during the 8
consecutive quarters specified in the sampling schedule, even if the system's averages are below
40/30.
Stage 2 DBPR Implementation Guidance 42 August 2007
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Q16: If a system applies for a 40/30 Certification and does not qualify, what monitoring schedule
will the system be on?
A16: Depending on timing, a system may be able to rejoin its original IDSE monitoring schedule. If
this is not possible, the primacy agency will work with the system to develop a schedule that is
appropriate.
Q17: Will a reporting violation make a system ineligible for a 40/30 Certification (e.g., a system
submitted its quarterly data on April 22,12 days after the required date of April 10)?
Al 7: If all other 40/30 Certification requirements are met, the system could still qualify for a
certification. However, if a system has any TTHM or HAA5 monitoring violations during the
period specified or fails to provide requested information to the state, including compliance
monitoring results, the state may require standard monitoring or an SSS.
Very Small System Waivers
Q18: What is the timeline for Very Small System Waivers?
A18: Systems serving fewer than 500 people do not need to take action to receive a VSS Waiver,
provided they have existing TTHM or HAA5 data. In most cases, EPA and states will work
together to send letters to very small systems informing them that they have received a VSS
Waiver and do not need to take any further action to comply with IDSE requirements. However,
EPA or the state can also request that the system conduct standard monitoring, even if the system
meets the criteria for the waiver.
Consecutive Systems
Q19: How would a system that is served by both surface water and ground water sources comply
with Stage 2 DBPR?
A19: A system must follow the monitoring schedule for surface water systems if any portion of its
water comes from a surface water source, including purchased water.
Q20: Are consecutive systems responsible for providing public notifications of violations or
Consumer Confidence Reports (CCRs)?
A20: Yes. The wholesale system must provide violation information to its consecutive systems so that
they can appropriately notify their users.
Q21: How does Stage 2 DBPR address emergency connections?
A21: Primacy agencies will have the discretion to determine whether systems receiving water from
another system for emergency purposes should be considered as part of a combined distribution
system.
Stage 2 DBPR Compliance Monitoring
Q22: Does increased monitoring affect the entire system or only the monitoring site that exceeded
the trigger value?
A22: If a monitoring site triggers increased monitoring, the entire system must switch to increased
monitoring. Increased and reduced monitoring cannot be determined on a sitc-by-site basis.
Stage 2 DBPR Implementation Guidance 43 August 2007
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Q23: Can systems on Stage 1 DBPR reduced monitoring that receive a VSS Waiver remain on
reduced monitoring for Stage 2 DBPR?
A23: These systems can remain on reduced monitoring if they have not changed monitoring locations
and if they meet the qualifications for Stage 2 DBPR reduced monitoring.
Notification to the Public
Q24: Is there language in the CCR Rule that explains that IDSE monitoring is not for compliance
purposes?
A24: There is no specific language in the CCR Rule that addresses this. Systems can include an
explanation of IDSE sampling in their CCRs if they choose to do so.
Information Collection and Reporting
Q25: What will the IDSE tool do?
A25: The IDSE tool contains two features: the Wizard and the Plan/Report. The Wizard helps systems
determine their IDSE requirements and select the best IDSE option for their system. The
Plan/Report tool then creates Custom Forms for the system size and type that can be submitted
electronically to the primacy agency.
Q26: When a system is submitting an electronic IDSE plan or report using the online IDSE Tool,
can a system log in, work on the electronic file, log out, and come back later?
A26: Systems will be able to log on, work, save their work, and come back as many times as needed.
However, once the plan or report is submitted, the IDSE tool considers the submission official
and does not allow additional submissions to be made. The system can only make further changes
by working with the primacy agency, or by sending an email to the Stage 2 Inbox at
stagc2 mdbpfeepa. go v.
Q27: Not all months have 30 days and not all quarters have 90 days. How will this affect
compliance tracking?
A27: The term "every 90 days" was included to eliminate the possibility that a system would take
quarterly samples at the end of one quarter and then immediately again at the beginning of next
quarter. Samples are not temporally distributed as intended when collected in this manner. Using
the term "every 90 days" should correct this. However, it is expected that states will use their
discretion to account for various circumstances. The intent is to have samples taken
approximately every 90 days.
Other
Q28: How would a system that intermittently disinfects comply with the Stage 2 DBPR?
A28: The system would monitor only during the quarter in which disinfection was provided. If the
system is on yearly monitoring, it would monitor during the month of highest disinfection
byproducts formation. The state will work with each system to further customize a monitoring
schedule if needed.
Q29: Are systems required to file a report every time an operational evaluation level is exceeded?
A29: Yes. Any time an operational evaluation level is exceeded, the system is required to conduct an
evaluation, write a report, and submit it to the state no later than 90 days after notification. This
could happen at multiple locations or at a single location. The state can reduce the scope of the
evaluation at its discretion on a case-by-case basis.
Stage 2 DBPR Implementation Guidance 44 August 2007
-------
Section 3
State Implementation
-------
EPA expects to undertake necessary rule implementation activities
during the period of early implementation. During the early
implementation period, the state may elect to undertake some, or all, of
the implementation activities, in cooperation with EPA. This will
facilitate continuity of implementation and ensure that system-specific
advice and decisions are made with the best available information and
are consistent with existing state program requirements.
-------
3.1 Overview of Implementation
The Stage 2 DBPR requires systems to take specific actions to comply with the rule. Monitoring,
reporting, performance, and follow-up requirements should be clearly defined to assist systems'
understanding of how the rule will affect them and what they must do to comply. To meet this goal, the
main implementation activities expected to face all primacy agencies include the following:
• Identify affected systems.
• Communicate Stage 2 DBPR requirements to affected systems.
• Update data management systems.
• Address special primacy conditions of the Stage 2 DBPR.
• Review and approve 40/30 Certification.
• Review and approve IDSE plans and reports.
• Review Stage 2 DBPR (Subpart V) monitoring plans.
• Ensure systems meet revised source water TOC criteria for reduced DBP monitoring.
• Ensure systems meet revised criteria for reduced bromate monitoring.
• Evaluate system requests for compliance schedule extensions.
• Evaluate system compliance with LRAA against Running Annual Average.
• Evaluate system requests for limiting the scope of an operational evaluation.
• Evaluate operational evaluations.
States must approve Standard Monitoring Plans, study plans, and IDSE Reports or contact the system to
notify them that the review is not complete. If states fail to do so within the timeframe in the rule, the
system can consider them approved and begin monitoring in accordance with their plans and reports.
Although the rule does not explicitly require states to approve monitoring plans, EPA strongly
recommends that states undertake this activity. These various plans and reports ensure that monitoring
locations are selected appropriately and in a manner to provide data to best protect public health under the
Stage 2 DBPR.
Section 3 discusses each of the items listed above. To help states' implementation efforts, the guidance in
this section and in section 4 may make suggestions and offer alternatives that go beyond the minimum
primacy agency requirements specified in the subsections of §142.16. Such suggestions are prefaced by
"may" or "should" and are to be considered advisory. They are not required elements of states'
applications for program revision.
Figure 3-1 shows a timeline with system activities on the top and primacy agency activities on the
bottom. It depicts requirements and implementation of Stage 2 DBPR .
Stage 2 DBPR Implementation Guidance 47 August 2007
-------
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3.2 Identifying Affected Systems
3.2.1 General Provisions
The Stage 2 DBPR has two distinct sections. The Initial Distribution System Evaluation (IDSE) section
and the compliance monitoring section.
• The IDSE portion of the rule applies to all CWSs and NTNCWSs serving more than 10,000
people that add a primary or residual disinfectant other than UV or deliver water that has been
treated with a primary or residual disinfectant other than UV [§141.600(b)].
• The compliance monitoring portion of the rule applies to all CWSs and all NTNCWSs that add a
primary or residual disinfectant other than UV or deliver water that has been treated with a
primary or residual disinfectant other than UV [§ 141.620(b)].
The latter portion of this applicability statement clarifies that the provisions of the Stage 2 DBPR
unambiguously apply to consecutive systems that do not add a disinfectant but deliver disinfected water.
These systems are subject to all regulatory requirements.
States may wish to query or sort their database or other inventory information to list all affected systems.
This data will be useful when states are performing various implementation activities (e.g., mailing letters
to systems, determining standard monitoring requirements) and tracking compliance.
3.2.2 Initial Distribution System Evaluation (IDSE)
The IDSE portion of the rule is designed to help systems acquire adequate information about their
distribution systems and DBF levels to select Stage 2 DBPR compliance monitoring sites that represent
high TTHM and HAA5 levels throughout the distribution system. States should ensure that systems
consider all available information in choosing the distribution system's most representative locations for
Stage 2 DBPR compliance monitoring. Stage 2 DBPR monitoring sites should consider information
collected during the IDSE as well as Stage 1 DBPR monitoring sites.
States may wish to further sort their list from 3.2.1 into sub-categories, as not all systems will need to
receive the same information during the same timeframe. Note that Stage 2 DBPR requirements are based
on source type and population served rather than the number of treatment plants (the approach used for
Stage 1 DBPR requirements). In addition, compliance deadlines are based on the population of the largest
system in the combined distribution system. The following sub-categories are suggested:
• Systems on Schedule 1-Serving > 100,000 people or that are part of a combined distribution
system in which the largest system serves > 100,000 people.
• Systems on Schedule 2-Serving 50,000-99,999 people or that are part of a combined distribution
system in which the largest system serves 50,000-99,999 people.
• Systems on Schedule 3-Serving 10,000-49,999 people or that are part of a combined distribution
system in which the largest system serves 10,000-49,999 people.
• Systems on Schedule 4-Serving < 10,000 people or that are part of a combined distribution
system in which the largest system serves < 10,000 people.
Stage 2 DBPR Implementation Guidance 50 August 2007
-------
This last category may need to be further separated into the following sub-categories as they are subject to
different requirements for the reasons cited below:
• NTNCWSs serving < 10,000 people arc not required to perform an IDSE.
• Systems serving < 500 people, if they collected TTHM and HAAS samples that comply with the
Stage 1 DBPR, are granted a waiver from conducting additional monitoring under the IDSE. VSS
Waivers arc discussed in more detail in section 3.6.
Sections 3.6 through 3.11 further discuss the IDSE and systems' options to meet the IDSE requirements.
3.2.3 Wholesale and Consecutive Systems
The Stage 2 DBPR provides special clarification on the sharing of responsibilities between consecutive
systems and the wholesale systems that supply them. This clarification extends public health protection to
consecutive systems, which were not specifically addressed under the Stage 1 DBPR.
States that did not require consecutive systems to monitor under Stage 1 DBPR may want to pay
particular attention to ensuring that these systems are aware that both the IDSE and monitoring portions
of the Stage 2 DBPR will apply to them.
States may wish to further sort their list from 3.2.1 to denote which systems are wholesale and
consecutive systems. These systems will have to comply with Stage 2 DBPR requirements at the same
time as the largest system in their combined distribution system, regardless of the compliance timeframe
associated with their own population served. In addition, systems that are 100 percent purchasing systems
may not have had to comply with the Stage 1 DBPR and may need more communication regarding their
responsibilities for complying with the Stage 2 DBPR.
To account for complicated distribution system relationships and other factors, states may exercise some
flexibility in deciding whether:
• Emergency and seasonal connections between a wholesale and consecutive system makes them
part of the same combined distribution system.
• A consecutive system that produces some of its own finished water is part of the same combined
distribution system.
• The interconnections between individual PWSs make them part of the same or different
combined distribution system(s).
States should consider the following factors when deciding whether systems should be considered part of
a combined distribution system:
• Frequency, duration, and regularity of the connection.
• Volume and percent of finished water the consecutive system receives from the wholesale
system.
• Quality (with respect to DBP or precursor levels) of the finished water provided by the wholesale
system.
Stage 2 DBPR Implementation Guidance 51 August 2007
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If the state lacks sufficient information to make a determination regarding connection type, the default
decision is that the water system is part of a combined distribution system.
3.2.4 Seasonal Systems
Some systems, such as those that serve resort communities, have dramatic seasonal fluctuations in flow as
well as population. When reviewing submittals for these systems, EPA or the state should consider issues
such as changes in demand, peak historic month, the use of seasonal sources and the quality of those
sources. For example, water age may be a factor for these systems during periods when there is a
reduction in the transient population. EPA or the state will have to consider these seasonal variations in
population as well as transient and nontransient populations in making decisions about IDSE
requirements and determining if the system has adequately represented their system in their IDSE and
eventually compliance monitoring.
3.3 Communicate Stage 2 DBPR Requirements to Affected Systems
3.3.1 Communicating IDSE Requirements and Timeframes
As noted previously, CWSs and all NTNCWSs serving at least 10,000 people that use or deliver water
that has been treated with a primary or residual disinfectant other than UV are subject to the IDSE
requirements [§141.600(b)]. Systems have four options for complying with the IDSE. They can complete
a year of standard monitoring or an SSS, or they can qualify for a 40/30 Certification or a Very Small
System Waiver. These options are discussed in detail in sections 3.6 through 3.11.
States should ensure that systems are aware of these requirements, can determine which option is the most
appropriate for them, and know when each requirement must be met. Note that states will generally not
have primacy during implementation of the IDSE for systems on the earliest schedules and will need to
coordinate with EPA if they wish to be involved in this process.
EPA or the state should communicate the IDSE requirements to systems as soon as possible because they
may need consultation if they have questions regarding which alternative they will use to comply with
this requirement. States may wish to provide additional information to systems on how to conduct
standard monitoring or an SSS. Note that systems should receive a letter from EPA or the state notifying
them of their correct IDSE schedule number. Systems should not proceed with conducting the IDSE
before receiving this letter. A sample letter is provided in Example 3-1.
The rule staggers deadlines to allow for a more even workload and greater opportunity for Primacy
Agency involvement (e.g., through plan review and approval). The staggered schedule also provides time
for analytical laboratories to build up capacity as needed to accommodate the sample analysis needs of
systems. The standard monitoring and SSS Plan, monitoring, and IDSE Report submission dates are
shown in Table 3-1.
Systems that conduct standard monitoring or an SSS must first submit a plan to EPA or the state for
review and approval. EPA or the state has 12 months to review and consult with the system about their
plan. If they do not approve the plan or contact the system to notify them that the review is not complete
by 12 months from the required submission date, the plan or certification is considered approved. The
system must complete the standard monitoring or SSS by the date specified in Table 3-1 and then must
prepare and submit the IDSE Report. EPA or the state has 3 months—or 9 months if the system conducts
Cryptosporidium monitoring under Schedule 3—to approve the IDSE Report, or the report will be
considered approved and the system will be required to implement the recommended Stage 2 DBPR
compliance monitoring as required.
Stage 2 DBPR Implementation Guidance 52 August 2007
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Table 3-1. Deadlines for IDSE Plans and Reports
Schedule 1
Schedule 2
Schedule 3
Schedule 4
Submit Standard
Monitoring Plan or SSS Plan
or 40/30 Certification to the
State by the Date Below or
Receive VSS Waiver
October 1,2006
April 1 , 2007
October 1,2007
April 1,2008
State Must Review
Standard Monitoring
Plan, SSS Plan, or
40/30 Certification
by
September 30, 2007
March 3 1 , 2008
September 30, 2008
March 3 1,2009
Systems Must
Submit IDSE
Report to the
State by
January 1 , 2009
July 1,2009
January 1,2010
July 1,2010
State Must Review
IDSE Report by
March 3 1,2009
September 30, 2009
September 30, 2010
September 30, 2010
States may wish to remind NTNCWSs that serve fewer than 10,000 people and systems that qualify for a
VSS Waiver or 40/30 Certification that they do not need to complete an IDSE Report, but will need to
develop and submit a Stage 2 DBPR Compliance Monitoring Plan. States may also want to notify systems
that conduct standard monitoring or an SSS that they do not need to develop a Compliance Monitoring
Plan if they include all information required by the plan, including compliance calculation procedures, in
their IDSE Report.
States may want to consider conducting an on-site IDSE training and involve personnel from nearby
states. It might be helpful to set up a computer with the IDSE tool and walk the participants through the
process of using the tool. States should encourage all systems within a combined distribution system to
attend training sessions together.
Some states have implemented an Area-Wide Optimization Program (AWOP). An AWOP is a strategy
for targeting groups of higher risk systems for state assistance to maximize the public health protection
that water treatment plants provide. Although states have a variety of tools to aid systems, ranging from
sanitary surveys to direct technical assistance, their resources are limited. Consequently, states should
prioritize their efforts according to the gravity of the potential public health risks posed by poorly
performing water treatment plants. The challenge states face is to match their oversight of, and assistance
to, water systems with the estimated risks posed to public health.
The IDSE portion of the Stage 2 DBPR, specifically the standard monitoring requirements, can be used to
work with the AWOP. Development of a Standard Monitoring or SSS Plan will probably be the most
resource intensive step for systems. They will need to compile and review a variety of information,
including distribution system layout, system operating data, and water quality data, when considering
where to select monitoring sites. Some systems may not be comfortable with this level of analysis.
Systems on Schedule 1 only have approximately 9 months from rule promulgation to develop their plan.
An optimization approach for systematically identifying potential problem sites may benefit utilities.
Remember:
• Each individual system in a combined distribution system must conduct its own IDSE, basing its
schedule on the population of the largest system in the combined distribution system.
• The rest of the IDSE requirements (e.g., number of samples, frequency of monitoring) are based
on the individual system's population.
Stage 2 DBPR Implementation Guidance
53
August 2007
-------
• Systems cannot conduct one IDSE for the entire combined distribution system.
• States may exclude systems that receive water from a wholesale system only on an emergency
basis or receive only a small percentage and small volume of water from a wholesale system from
a combined distribution system.
• EPA's IDSE Guidance Manual provides additional detail and examples for how to determine
which systems are part of combined distribution systems and systems' standard monitoring or
study plan and report due dates.
3.3.2 Communicating Stage 2 DBPR Compliance Requirements and Timeframes
Under the Stage 2 DBPR, sampling must be conducted at sites identified through the IDSE or as modified
by the IDSE Report reviewer for systems that conducted standard monitoring or an SSS. For systems that
did not conduct standard monitoring or an SSS, sampling must be conducted at Stage 1 DBPR sites and if
necessary, any additional sites identified in the sampling plan [§141.620(d)].
In addition, compliance with the MCL of 0.080 mg/L for TTHM and 0.060 mg/L for HAA5 will be based
on a LRAA rather than a system-wide running annual average.
All systems must develop a Stage 2 DBPR, or Subpart V, Compliance Monitoring Plan (see section 3.12)
prior to the Stage 2 DBPR compliance date shown in Table 3-2. Systems that conducted standard
monitoring or an SSS were required to submit an IDSE Report. This report contains many of the same
elements as the Compliance Monitoring Plan. Generally, if a system includes their compliance calculation
procedures in their IDSE Report, they can meet the requirements of both documents at the same time.
(Note that this option is not available to systems if the state modifies their compliance monitoring
requirements because they are part of a combined distribution system.) Subpart H systems serving more
than 3,300 people must submit a copy of their monitoring plan to the state prior to the date that they
conduct initial monitoring, and all systems must keep a copy of the plan on file for state and public
review.
Table 3-2 identifies the deadline for compliance with Stage 2 DBPR MCLs. States should communicate
compliance requirements with systems in advance of these deadlines.
Table 3-2. Compliance Schedule for Stage 2 DBPR
Schedule Number
Schedule 1
Schedule 2
Schedule 3
Schedule 4
Compliance Date for Stage 2 DBPR
i
April 1,2012
October 1,2012
October 1,2013
October 1,2013
October 1,2014
if no Ciyptosporidium monitoring is required under §141.701(a)(4) OR
if Ciyptosporidium monitoring is required under §141.701(a)(4) or (a)(6)
1. States may grant systems up to an additional 24 months for compliance with MCLs and operational evaluation
levels if capital improvements are necessary. See Appendix 1 for guidance on reviewing extension requests under
Section 1412(b)( 10) of the SOW A.
It is important to note that systems previously on reduced monitoring may not begin Stage 2 DBPR
compliance monitoring on reduced monitoring. Systems can qualify for reduced monitoring only after
Stage 2 DBPR Implementation Guidance 54 August 2007
-------
completing 1 year of routine monitoring under the Stage 2 DBPR Compliance Monitoring Plan
[§141.623]. Changes in the criteria for reduced monitoring are discussed in section 3.15.
It is important that the states communicate these compliance monitoring changes from the Stage 1 DBPR
to all systems affected by the Stage 2 DBPR. In particular, states should inform systems using ozone as a
disinfectant of the new qualifications for reduced bromatc monitoring, as discussed in section 3.15.2.
States should also inform surface water systems that seeking to qualify for or remain on reduced
TTHM/HAA5 monitoring for a reduced TTHM/HAA5 monitoring of the new TOC requirements as
discussed in section 3.15.1.1.
3.3.2.1 Consecutive System Compliance with the Stage 1 DBPR
The Stage 1 DBPR did not specifically address consecutive systems, but under the Stage 2 DBPR,
consecutive systems must begin complying with the Stage 1 DBPR requirements for chlorine and
chloramines beginning April 1, 2009. States may also require systems to comply at an earlier date. As of
this date, consecutive systems must not exceed the following maximum residual disinfectant levels
(MRDLs) [§141.65(a)], which are the same as the maximum residual disinfectant level goals (MRDLGs)
[§141.54]:
• 4.0 mg/L for chlorine (measured as C12)
• 4.0 mg/L for chloramines (measured as C12)
3.3.3 Methods of Communication
Written Notification
Providing written notice of a final rule to PWSs serves two purposes: 1) the receiving system obtains a
formal notice of upcoming regulatory requirements and a timeline for compliance (in addition to EPA's
publication of the rule in the Federal Register); and 2) the primacy agency has a hard-copy document that
it may file and use in subsequent compliance tracking efforts.
Written notification can be in the form of a letter from the state to affected systems. The letter should
include a summary of rule requirements and timeframes and direct the reader to an appropriate contact if
questions arise. States should consider including factsheets or other summary materials with the letter.
Appendix C of this guidance includes additional publications that are intended to be distributed to water
systems through mailings, training sessions, or other educational forums. These publications are available
at www.cpa.gov/safcwatcr/disinfcction/stagc2. They provide overviews of the Stage 2 DBPR to help
systems understand the provisions of the rule and determine which provisions apply to their system. They
also describe the benefits and general implications of the rule. Although valuable, these resources do not
substitute for official rule language. States should consider mailing official rule language with the letter or
including in the letter the Web site address where the regulatory language can be accessed.
A sample letter notifying systems of the Stage 2 DBPR requirements and their schedule number for
completing the IDSE is provided in Example 3-1 (the example is for a Schedule 4 system). States may
wish to develop similar letters and tailor the messages for the appropriate size categories covered by the
rule, or to accommodate those systems for which the provisions arc either limited or unique.
Stage 2 DBPR Implementation Guidance 55 August 2007
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Example 3-1. Sample Letter Notifying Systems of Schedule Number
Please do not ignore this letter. Your system is required to comply with
tne new requirements based on the schedule listed below.
System Name
System Address
City State Zip
November XX, 2006
*** Important New Rule Roll Out ***
Stage 2 Disinfectants and Disinfection Byproduct Rule (Stage 2 DBPR) — Schedule 4
The Stage 2 DBPR was published in the Federal Register on January 4, 2006. The Stage 2 DBPR builds
on existing regulations by requiring water systems to meet disinfection byproduct maximum contaminant
levels (MCLs) at each disinfection byproduct monitoring site in the distribution system to better protect
public health. In general, all community water systems (CWSs) and nontransient noncommunity water
systems (NTNCWSs) that use or deliver water treated with a primary or residual disinfectant other than
ultraviolet light are subject to me Stage 2 DBPR requirements. However, NTNCWS, serving less than
10.000 people do not have to comply with the Initial Distribution System Evaluation (1DSE) part of the
Stage 2 DBPR (see below for an explanation of IDSE). Download an electronic copy of the Stage 2
DBPR from EPA^s website at www.epa.go\vsafewiiter.'disiiiCjctioiv'stagc!2,'regLilations.huidt;'rule.
The first major requirement of the Stage 2 DBPR is for systems to conduct an IDSE. The purpose of the
IDSE is to identify locations in the distribution system that have the highest total tnhalomethane (TTHM)
and highest haloacetic acid CHAA5) concentrations. The locations in the distribution system with the
highest TTHM and highest HAA5 concentrations will be used as Stage 2 DBPR compliance monitoring
sites.
EPA and state records show that your system is required to comply with Schedule 4 IDSE
requirements. These requirements are based on the information that your system:
• Serves fewer than 10,000 people, and your system is not part of a combined distribution system where
another system serves 10,000 or more people; and
• Provides water that lias been treated with a primary or residual disinfectant other than ultra violet light.
A combined distribution system is a group of water systems that buy/sell water from/to each other.
If you believe our records are incorrect please notify us at stage2mdbp-:giepa.gov as soon as possible.
By April 1. 2008. Schedule 4 systems will have to comply with IDSE requirements by submitting a
standard monitoring plan, system specific study plan, or a 40/30 certification.
EPA recommends systems interested in a 40/30 Certification should review a table posted on the Stage 2
DBPR website at: wwv;r.epa.gov-''sat'ewater/disintection.i'stage2/compliance;.html to determine if your state
may require information in addition to what is specified in the rule.
Systems that serve less than 500 people and that have previously collected TTHM and HAAS samples
may qualify for a very small system waiver and are exempt from this IDSE requirement unless you hear
otherwise from vour state or from EPA.
Enclosed is a Quick Reference Guide that provides information on the requirements of the Stage 2 DBPR.
In addition, EPA has developed a number of guidance documents and factsheets to help systems through
this process that may be found at: www'.epa.gov'satewater'disint'ectioiv'stage2/CQmpliance.htrnl.
Stage 2 DBPR Implementation Guidance
56
August 2007
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Example 3-1. Sample Letter Notifying Systems of Schedule Number (cont.)
Guidance Material
The following materials only address the IDSE requirements and DO NOT cover other provisions of the
Stage 2 DBPR.
• Initial Distribution System Evaluation Guidance Manual For The Final Stage 2 Disinfectants
and Disinfection Byproducts Rule (EPA 815-B-06-002) - This manual is a comprehensive
technical guidance document for all system sizes and types and all IDSE options.
• Initial Distribution System Evaluation Guide for Systems Serving < 10,000 People For The
Final Stage 2 Disinfectants and Disinfection Byproducts Rule This manual focuses on
information that systems serving 10.000 are most likely to use. It does not discuss the IDSE
system specific study option.
• IDSE Tool A web-based tool guides the user through the IDSE submission process. A Wizard
reviews IDSE options and recommends the best IDSE option for your system. The IDSE Tool
creates Custom Forms (based on population served and system type) your system can submit
electronically to EPA's Information Processing and Management Center for EPA State review. A
web-base and downloadable version ol the IDSE Tool are available on-line at
w\v\v.epa.gov salevvater'disinfection tools mde.vhlml.
• IDSE Factsheets 'llirce factsheels that suinmari/e the lour options systems may use to comply
with the IDSE requirements. The iactsheels are:
• Stage 2 DBPR IDSK Standard Monitoring Eacl.sheel
• Stage 2 DI5PR IDSE System Specific Study Factsheet
• Stage 2 DBPR IDSK 40 30 fortification and Very Small System Waiver Factsheot
Other Stage 2 DBPR Guidance Materials
For additional guidance on implementing the Stage 2 DBPR, you may refer to the following guidance
material located at; ww\y ep,M*«n xtlcuaioi Ji^inlec1ion/sta^2j^^BlI>.!i.'iQ-.M!Jl.l
• Draft Simultaneous Compliance (iuidnncx Manual
Your stale may have state-specific materials to assist you in complying \vilh the Stage 2 DBPR.
How to yet copies of EPA guidance materials
To dbtain copies of the materials listed above you can:
• Download from EPA's Website: www.cpa.eov^atewater disinfection stage2 compliance.html.
• Call the Safe Drinking Water Hotline at 1-800-426-4791
• Call the National Service Center for Environmental Publications at 1-800-490-919K or visit their
Web site at \\ vs vv .cpa.gov ncepihom.
To determine if your state drinking water agency or EPA is implementing the Stage 2 DBPR you may
contact the Safe Drinking Water Hotline, or visit the Stage 2 DBPR website at
\v\v\v .cpa.gov sal'e\\atcr disinfection staue2 compliance.html.
Training Opportunities
EPA will present webcasts on the LT2ESWTR and Stage 2 DBPR and Compliance Assistance Tools for
Water Systems.
These webcasts will be open to system operators and regulators. Registration information maybe found on
the Drinking Water Academy website at \vww.epa gov OOWDW/dwa calendar.html.
Stage 2 DBPR Implementation Guidance 57 August 2007
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In addition to notifying systems of their requirements, states may also want to consider providing written
notice to a system regarding the status of their Stage 2 DBPR submitted compliance documents.
Templates for these letters can be found in Appendix F. Written notification should include:
• Summary of the issue.
• Appropriate contact if questions arise.
• Fact sheet or other summary materials (optional).
Factsheets and others materials can be found on EPA's Stage 2 DBPR Web site at
www. epa. gov/safewater/di si nfec t i on/stage2.
Slide Presentation
For some, written communication alone will not result in full comprehension of the Stage 2 DBPR
requirements. Slide presentations can be used by state staff and other training providers to present the
background of the rule, its benefits, and rule requirements.
EPA developed a "Train the Trainer" program, Webcasts, and in-person training sessions to assist with
implementation of the Stage 2 DBPR. Materials used for the training sessions are available on EPA's
Web site at wvvw.cpa.gov/safcwatcr.disinfection /training, html.
The EPA Drinking Water Academy (DWA) expects to develop a training session on the Stage 2 DBPR
(available in Microsoft's PowerPoint format). Copies of the presentation may be used to train other state
personnel, technical assistance providers, water system personnel, and the public. EPA's DWA slides will
be available electronically by accessing EPA's Web Site at www.cpa.gov/safcwatcr/dwa.html.
Guidance Documents and Seminars
Technical guidance documents developed for the Stage 2 DBPR are useful for explaining rule
requirements and specific aspects of rule implementation to system operators. These aspects include
conducting IDSEs and calculating LRAA for MCL compliance. The guidance documents can be used as
stand-alone references or as supporting materials in Stage 2 DBPR-related training events. See section 2
of this manual for more information on these references.
3.4 Update Data Management Systems
Although state data management systems vary to suit state-specific requirements and needs, EPA
recommends that all states ensure that their data management systems are capable of efficiently tracking
affected water systems compliance status and other information needed to implement this rule. States
using Safe Drinking Water Information System (SDWIS) should review information on the Data
Collection and Tracking System (DCTS), available on EPA's Web site at
wwvv.epa.gov/safcwaler/disinfection/stagc2.
The Information Processing and Management Center (IPMC) is a centrally located receiving, processing,
and mailing facility designed to facilitate coordination between EPA and states during LT2ESWTR and
Stage 2 DBPR early implementation and to manage the workload. An integral part of the IPMC is the
DCTS—a Web-based data management system that allows EPA and states to access and track IDSE
submissions.
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Some of the services provided by the IPMC include:
• Tracking receipt of PWS submissions, follow up conversations with PWSs, and approval
decisions, and store all related records.
• Reviewing submissions for required components and categorize according to level of complexity
for final review by state/EPA.
• Generating reports, including a report of PWSs who have missed their compliance deadline.
• Mailing notifications to systems.
Systems should also be able to submit data for the IDSE to EPA or the state through the IPMC. EPA or
the state should make systems aware of this method to submit data when corresponding with them
regarding their IDSE option. For sample language, review the letters presented in Appendix F.
3.5 Address Issues for Consecutive and Wholesale Systems
This special primacy requirement is further discussed in section 4.4 of this guidance.
Under §141.29, states can use their authority to modify a system's compliance monitoring requirements
by considering a combined distribution system as one system. Section 142.16(m) indicates that states can
use this authority to modify wholesale and consecutive systems' compliance monitoring requirements, but
cannot modify IDSE requirements. Every system has to comply separately for the IDSE, including
monitoring and preparing an IDSE Report (if required) based on their own system's requirements.
If the state modifies two or more systems' monitoring requirements using this authority, each system's
monitoring plan will reflect these modifications. In addition, the Stage 2 DBPR requires that each plan be
accompanied by the Compliance Monitoring Plans of all the other systems in their combined distribution
system. States may consider encouraging systems in the same distribution system to send their
Compliance Monitoring Plans in together, rather than each system sending copies of others systems'
plans.
Section 142.16(m) further states that the state must describe how they intend to implement this authority
in their application for primacy. States must have a plan for how they will implement the modifications
and ensure that each individual system has at least one compliance monitoring site.
Example: A group of three systems each serve a population of 20,000. Based on the Stage 2 DBPR
requirements, each system would need 4 compliance monitoring sites for a total of 12. If the state
considers them as one system, the system would serve 60,000 people and the total number of sites would
be 8 instead of 12. The state can have the systems distribute the 8 samples across the three systems as
they see fit, as long as there is at least one site in each of the three systems (i.e., no system can be void of
a monitoring site).
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Also, if a wholesale system has DBF issues, it is likely to focus on precursor removal. This option is not
available to consecutive systems that receive treated water. Treated water may contain high DBFs as well
as high levels of precursors and disinfectants. Therefore, the Stage 2 DBPR introduces the following best
available technology (BAT) for consecutive systems, which are not focused on precursor removal:
• Systems serving at least 10,000 people: Chloramination and management of hydraulic flow and
storage to minimize residence time in the distribution system.
• Systems serving fewer than 10,000 people: Management of distribution system and storage.
3.5.1 Reviewing Plans and Reports from Wholesale and Consecutive Systems
As EPA or the state reviews Standard Monitoring Plans, SSS Plans, and IDSE Reports, they will need to
consider some issues that are particular to consecutive and wholesale systems in a combined distribution
system. The Stage 2 DBPR was written to require that systems within a combined distribution system
complete each requirement under the IDSE under the same schedule. This not only allows for systems to
work together in preparation of their plans, monitoring, and reports, but it also allows for EPA or the state
to review these plans and reports at the same time.
EPA encourages consecutive and wholesale systems to share their Standard Monitoring Plan, SSS Plan,
and IDSE Reports with each other. In particular, EPA or the state should encourage consecutive systems
to contact their wholesale provider as soon as possible to determine what plans, if any, the wholesale
system has already made regarding the IDSE. Consecutive systems may also want to check with their
wholesale system to determine whether the wholesaler has conducted monitoring in the consecutive
system's distribution system. If this is the case, the consecutive systems may be able to use this
information, particularly if a consecutive system wants to qualify for a VSS Waiver or a 40/30
Certification.
It is also recommended that consecutive and wholesale systems coordinate their IDSE and Stage 2 DBPR
monitoring schedules to conduct monitoring at approximately the same time, though EPA recognizes that
some groups of systems may not be able to monitor together due to the peak month monitoring
requirement. Monitoring on concurrent schedules may allow consecutive systems to better understand the
causes of high DBP levels in their distribution systems and for wholesalers to understand the impacts of
treatment decisions. EPA or the state may want to recommend alternative monitoring dates to a
consecutive system and its wholesaler if the systems have not coordinated their monitoring schedules.
Some issues EPA and states may want to consider when reviewing plans and reports from combined
distribution systems are:
• When and at what rate is water transferred to the consecutive system? This can help systems
understand when, where, how often, and how much new water enters the distribution system.
This information, in turn, can help systems understand where and when water has the longest
residence times.
• What is the water age prior to the entry point? This can help systems identify when disinfectants
will be consumed and residual levels will drop.
• Did the consecutive system and wholesale system sample during the same peak historic month?
Consecutive and wholesale systems should sample during their peak historical month for TTHMs
and HAA5s, which is often the month of warmest water temperature. Generally, this will be the
same month for both the wholesaler and consecutive system, which will allow for comparison of
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data. However if the systems did not sample in the same peak historic month comparison of data
may be difficult.
EPA and states should also examine the maps of both systems at the same time to determine if the
systems, when considered collectively, have addressed all key DBF issues and located monitoring in as
many key sites as possible.
As discussed in section 3.2.3, some states may have combined distribution systems that, because of
system contracts or agreements, are treated as one system for compliance with monitoring requirements.
EPA or the state may continue to allow such systems to be regulated under these conditions for Stage 2
DBPR compliance monitoring. However, the systems cannot conduct one IDSE for the entire combined
distribution system. Each of the consecutive and wholesale systems must conduct its own IDSE (plan and
report), with each system selecting the required number of monitoring sites for its individual system size
and source type. Any reduction in sampling sites will be negotiated with EPA or the state during the Stage
2 DBPR Compliance Monitoring Plan process.
For more information on consecutive and wholesale system issues, refer to Appendix D of EPA's IDSE
Guidance Manual or EPA's Consecutive System Guidance Manual.
3.6 IDSE Option: Very Small System Waiver
Systems serving fewer than 500 people that have taken TTHM and HAA5 samples automatically receive
the VSS Waiver, unless notified otherwise by EPA or the state that they must conduct an IDSE
[§141.604]. To qualify for the VSS Waiver, systems can use Stage 1 DBPR compliance data (including
reduced monitoring data) or operational TTHM and HAAS data, if the sampling and analysis met the
general intent of Stage 1 DBPR compliance. Under the Stage 1 DBPR, samples must be taken and
analyzed by EPA approved methods, represent acceptable locations, and include the month of warmest
water temperature. Consecutive systems are also eligible for the VSS Waiver if they collected data under
the Stage 1 DBPR, voluntarily took DBP samples that meet the intent of the Stage 1 DBPR, or if the
wholesale system sampled within the consecutive system as one of its Stage 1 DBPR sites.
Systems do not have to apply for the waiver, and the state docs not have to approve the waiver in order
for a system to take advantage of this IDSE option. Also, monitoring results used to receive the waiver do
not have to be below any particular level. Systems that qualify for the VSS Waiver have no further IDSE
requirements, but must complete a Compliance Monitoring Plan to identify their Stage 2 DBPR
compliance monitoring sites.
EPA or the state can require a small system to conduct standard monitoring or an SSS, regardless of its
eligibility for the VSS Waiver, and for any reason. States may wish to conduct special technical assistance
or training efforts to help the VSSs asked to conduct an IDSE.
3.6.1 Review Considerations for the VSS Waiver
Some of the criteria that EPA and states might use to evaluate the operational TTHM and HAAS data to
determine if a system qualifies for the VSS Waiver are presented below.
• Were samples analyzed by approved methods?
• Were samples analyzed at a certified laboratory?
• Are the sites located appropriately (average and maximum residence time)?
• Were samples taken during the month of warmest water temperature (if the data are available)!
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Although EPA and states have the discretion to require VSSs to conduct either standard monitoring or an
SSS, they should notify the system in writing. EPA and states may want to exercise this authority when
one or a combination of more than one of the following conditions exists:
• Branched Distribution System. Some small rural systems, despite serving a small population, may
have long, branched, or poorly looped distribution lines.
• Inexperienced System Operator. If EPA or the state is aware that a system operator is
inexperienced with distribution system operations or DBP monitoring, they may decide it is
interest of public health that the operator prepare a Standard Monitoring Plan in accordance with
the IDSE requirements.
• High DBP Levels. States -may want to review a system's files (particularly for surface water
systems and ground water systems with high influent TOC levels) to see if the system's
compliance data indicate high levels of DBPs. If individual measurements are within 10 percent
of the MCL concentrations (10 percent of the MCL is 0.072 mg/L for TTHM and 0.054 mg/L for
HAA5), the state may want to require the system to conduct standard monitoring.
• Difficulty Maintaining Disinfectant Residual. If a system has difficulty maintaining a disinfectant
residual in its distribution system, the state may want to require the system to conduct standard
monitoring or an SSS to identify their high HAAS site.
• Stage 1 DBPR Sites Not Representative. If monitoring sites under the Stage 1 DBPR are not
representative of the highest TTHM and HAAS concentrations, the state may want to require the
system to conduct standard monitoring or an SSS to identify more representative sites.
In these examples, EPA or the state may notice something specific about the distribution system or
historical data that convinces them that the system should conduct standard monitoring. In such instances,
the reviewer may want to suggest specific locations where the system should consider monitoring for the
IDSE.
If EPA or a state determines that a system should conduct standard monitoring, this should be
communicated to the system as early as possible. If it is early enough, the system may be able to comply
within their original schedule. However, if the system is not notified in time to complete a Standard
Monitoring or SSS Plan by the scheduled compliance date, the state should work with the system to set an
alternate schedule. The alternate schedule could be based on one of the four regulatory schedules or it
could be a schedule unique to that system. The IPMC is set up to accommodate alternative IDSE
schedules.
For systems that serve fewer than 500 people, standard monitoring will consist of one round of sampling
(during peak historic month) at two locations. The first location will be at the high TTHM site. If they are
a consecutive system, the second site will be near the entry point. If they are not a consecutive system, the
second site will be at the high HAAS site. Preparation of a Standard Monitoring Plan, completion of the
monitoring, and preparation of an IDSE Report will not be a significant burden on these systems, and will
provide them with useful information. VSSs that must complete standard monitoring will find EPA's
IDSE Guide for Systems Serving <10,000 helpful for understanding their requirements.
3.6.2 Stage 2 DBPR Compliance Monitoring Plan for VSS Waiver Systems
Systems that qualify for the VSS Waiver will not submit an IDSE Report, but will need to submit a Stage
2 DBPR Compliance Monitoring Plan. The Stage 2 DBPR requires systems of this size to monitor for
Stage 2 DBPR Implementation Guidance 62 August 2007
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TTHM only at their high TTHM site and for HAAS only at their high HAA5 site. These systems do not
have to take dual sample sets.
Systems that serve fewer than 500 people are likely to have small, straight-forward distribution systems.
For most systems with compact or small distribution systems, the high TTHM and HAA5 concentrations
(based on their DBF data) will likely occur at the same site. In this case, the system can use one site for
both high TTHM and HAAS.
3.7 1DSE Option: 40/30 Certification Alternative
Systems demonstrating low historic TTHM and HAAS distribution system concentrations in accordance
with the Stage 1 DBPR requirements may qualify for the 40/30 Certification. Systems receiving this
certification are not required to conduct standard monitoring or an SSS, but are still required to comply
with Stage 2 DBPR compliance monitoring requirements. Systems must meet the following criteria to
qualify for the 40/30 Certification [§141.603]:
• All individual samples (i.e., NOT the running annual average (RAA)) collected for Stage 1 DBPR
must be less than or equal to 0.040 mg/L for TTHM and less than or equal to 0.030 mg/L for
HAAS over an eight consecutive calendar quarter period, as specified in Table 3-3.
• No TTHM or HAAS monitoring violations can occur during the same 8 quarter period.
• All monitoring data must have been analyzed by approved methods at a certified laboratory (per
Stage 1 DBPR compliance monitoring requirements).
Some states may allow systems that were not required to comply with Stage 1 DBPR to use operational
data to support a 40/30 Certification, including data collected by a wholesale system. If the state is
considering allowing this data to be used, they should clarify to the system that the samples should meet
the general intent of Stage 1 DBPR compliance.
Systems that sample less frequently than annually (ground water systems that served fewer than 10,000
people and are on reduced TTHM and HAAS monitoring under Stage 1 DBPR) may not have data for the
8 consecutive quarters specified in the Stage 2 DBPR. These systems are still eligible for a 40/30
Certification. They will base their certification on Stage 1 DBPR compliance samples taken during the 12
months prior to the date specified in the Stage 2 DBPR (see Table 3-3).
Consecutive systems are eligible for the 40/30 Certification if they collected data under the Stage 1
DBPR, voluntarily took DBP samples that meet the intent of the Stage 1 DBPR, or if the wholesale
system sampled the consecutive system as one of its Stage 1 DBPR sites. Consecutive systems are most
likely to use operational data to qualify for the 40/30 Certification.
Even if the system qualifies for the 40/30 Certification criteria, EPA or the state can require a system to
perform an IDSE. Systems that do not qualify for one of the above exemptions must perform an IDSE.
These systems have two options, described in sections 3.8 and 3.11.
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Table 3-3. Compliance Monitoring Data Requirements for the 40/30 Certification
If your 40/30 Certification is due
(1) October 1,2006.
(2) April 1,2006.
(3) October 1,2007.
(4) April 1.2007.
Then your eligibility for 40/30 Certification is based
consecutive calendar quarters of Subpart L compliance
results beginning no earlier than1
on eight
monitoring
January 2004.
January 2004.
January 2005.
January 2005.
1. Unless you are on reduced monitoring under Stage 1 DBPR and were not required to monitor during the specified
period. If you did not monitor during the specified period, you must base your eligibility on compliance samples
taken during the 12 months preceding the specified period.
3.7.1 Requirements for the 40/30 Certification
The system is required to submit a statement to EPA or the state certifying that the eligibility criteria
listed in section 3.7 were met. A sample 40/30 Certification letter is shown in Example 3-2. Once a
system submits its certification, they have completed their IDSE requirements, unless a system is
contacted by EPA or the state and told to conduct standard monitoring or an SSS.
Example 3-2. Example 40/30 Certification Letter
PWS ID:
City, State, Zip:
Source Water Type: D Ground D Surface/GWUDl
System Information
PWS Name
Street Address:
Population Served:
System Type: D CWS D NTNCWS
Combined Distribution System: D Wholesale D Consecutive D Neither
Contact Person
Name: Title:
Phone Number: Fax Number (if available):
Email Address (if available):
Certification
/ hereby certify that each individual Stage 1 DBPR compliance sample collected from
to
were less than or equal to 0.040 mg/L for TTHM and 0.030 mg/L for HAAS. I
understand that to be eligible, each individual sample must be below these values. I also certify
that this PWS did not have any monitoring violations during this time period.
Signature: Date:
The Stage 2 DBPR IDSE requirements also include a provision that allows EPA and states to require the
system to submit information in addition to its certification letter, namely:
• Stage 1 DBPR compliance monitoring results, including sample location and date.
• A distribution system schematic.
• Recommended Stage 2 DBPR compliance monitoring locations.
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EPA and states can require systems to submit the information above on an individual basis after receiving
their certification, or they may want all systems state-wide to submit the information along with their
certification. When deciding whether to ask for some or all of this information, EPA and states may want
to consider whether the system is using operational data to qualify for the certification, if there are any
known Stage 1 DBPR compliance issues for the system, and whether the system appears to be prepared
for Stage 2 DBPR compliance monitoring.
States should communicate their requests for additional information to EPA as soon as possible so that
the systems can respond to any requests for additional information.
Although systems that have an approved 40/30 Certification are not required to submit an IDSE Report,
they must include their Stage 2 DBPR compliance monitoring recommendations in their Stage 2 DBPR
Compliance Monitoring Plan, unless the state requests site recommendations as part of the 40/30
Certification.
3.7.2 Review Considerations for the 40/30 Certification
The purpose of the EPA or state review of 40/30 Certifications is to verify that the certification meets the
deadline and minimum criteria, decide if more information is necessary, and decide if the system should
conduct standard monitoring or an SSS instead of receiving the 40/30 Certification.
If EPA or the state finds that the certification is acceptable, it is recommended that a formal approval
letter is sent so the system knows they have met all of their IDSE requirements.
If EPA or the state finds that the certification if acceptable, no formal approval letter is required. If the
system does not hear from EPA or the state, they can assume the certification was accepted and consider
their IDSE compliance complete.
EPA or the state should consider the following questions when deciding whether a system qualifies for a
40/30 Certification based on operational data:
• Were samples taken and analyzed by approved methods at a certified lab?
• Were there an adequate number of sample sites for the system size? Based on the system size, did
they take approximately as many samples as they would have under Stage 1 DBPR? Is there
enough data to select Stage 2 DBPR sites?
• Were the samples taken at appropriate locations? Some or all of the sample sites should have
been located at sites with maximum residence time, as required under Stage 1 DBPR. If all sites
are near the entry point, this is not sufficient to justify 40/30 Certification.
• Were samples taken during the month of warmest water temperature for each year of operational
data used to qualify?
• Were samples taken at the appropriate frequency? Based on population served, disinfectant type
and source type, were samples taken on a monthly, quarterly or annual basis (as they would have
been required to do under Stage 1 DBPR)?
Before approving a system's 40/30 Certification, EPA or the state may also want to consider the system's
type (i.e., CWS, NTNCWS), the population served by the systems, and whether the system is part of a
combined distribution system.
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Some reasons why EPA or the state may require a system that is eligible for a 40/30 Certification to
conduct standard monitoring or an SSS include the following:
• Validity of Certification. EPA or the state should review the certification and consult the system's
records (if available) to verify that the system's certification is valid. Each of the following
situations would constitute an invalid 40/30 Certification and would require that the reviewer
deny the certification.
- DBF Samples Above 40/30. If the state's records indicate that the system's TTHM or HAAS
compliance sample results for the eligibility period were greater than 0.040 mg/L and 0.030
mg/L, respectively, the certification is invalid.
- Individual Samples. If the system based their 40/30 Certification on the running annual
average or the locational running annual average rather than each individual sample, the
certification is invalid.
- Violations. If the system has experienced any Stage 1 DBPR TTHM or HAA5 monitoring
violations during the eligibility period, the certification is invalid.
- Compliance Data. If the system has Stage 1 DBPR compliance data but are basing their
40/30 Certification on operational data rather than compliance data, the certification could be
invalid.
• Stage 1 DBPR Sites Inadequate or Not Representative. If the number of Stage 1 DBPR
monitoring sites is significantly lower than the number of Stage 2 DBPR sites that will be
required, EPA or the state may determine that the system does not have enough data to justify the
40/30 Certification. Similarly, if the Stage 1 DBPR sites were poorly placed, such that the Stage 1
DBPR data does not reflect the entire distribution system, EPA or the state may determine that
the data are not appropriate to justify a 40/30 Certification. The reviewer may also want to
consider in which months the system's Stage 1 DBPR sampling took place. If a system's data do
not represent the months that EPA or the state considers to have the highest potential for DBP
formation, standard monitoring or an SSS may be warranted.
- Large Population and Few Plants. If a system has a large population, but few treatment
plants, there may have been very few Stage 1 DBPR sites required. The system may need to
select many Stage 2 DBPR sites. In this case, EPA or the state may decide that standard
monitoring or an SSS should be conducted in order to obtain enough information to select
appropriate Stage 2 DBPR sites.
- Consecutive system. If a state allocated a wholesale system's Stage 1 DBPR sample sites
across the wholesale and consecutive systems, the consecutive system may have some limited
Stage 1 DBPR data, but EPA or the state may determine that it is not adequate to represent
the entire distribution system and justify the 40/30 Certification.
• Other DBP Data. If EPA or the state is aware of operational DBP data that indicates higher levels
in the distribution system, or if compliance data outside the 2-year compliance period were
significantly higher, they may want to request additional information and/or require standard
monitoring or an SSS.
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• Eligibility Period Not Representative. If EPA or the state believes that the low DBF levels
experienced during the 2-year eligibility period that the system is relying upon for its 40/30
Certification are not a good indication of the levels the system is currently experiencing, they may
want to consider requiring standard monitoring or an SSS.
- Natural Circumstances. If a system's 2-year eligibility period spanned a period of time in
which natural circumstances may have favored lower DBF levels in the distribution system,
EPA or the state may want to consider requiring standard monitoring or an SSS. Such
circumstances may include cooler temperatures or better source water quality. As an
example, a system with multiple sources may typically be required to rely on a poorer quality
source during high demand. If during the eligibility period the higher quality source was
sufficient, the system's DBF levels may have been particularly low during that period.
- Distribution System Changes. If a system has recently made or is in the process of making
distribution system changes that could affect DBF formation, EPA or the state may want to
require it to conduct standard monitoring or an SSS. Such changes may include the expansion
of the distribution system, annexation of a new area, connection of a new subdivision,
consolidation with another small water system, or construction of a new storage tank.
- Disinfection or Other Treatment Changes. Most treatment plant changes will not affect water
age or relative levels of DBFs in the distribution system. However, if a system has recently
made, or is in the process of making changes to its disinfection practices or other treatment
changes that may impact DBF formation, the reviewer may want to consider requiring
standard monitoring or an SSS. These changes may include the addition of booster
chlorination in the distribution system, a change in disinfectant type, or a change in the
location of the disinfectant application.
- Source Changes. If a system has recently made or is in the process of making changes to its
sources, such as a change from ground to surface source, adding or removing a source, or
making other major changes, EPA or the state may want to determine if these changes would
impact DBF formation and warrant standard monitoring or an SSS.
Depending on the eligibility period upon which a system is basing their certification, they may be
sampling immediately before the certification deadline. The system will not know whether they have met
the eligibility criteria for 40/30 Certification until the last samples collected during the eligibility period
are analyzed. If the DBF levels exceed the 40/30 threshold near the end of the period, they must conduct
an IDSE through standard monitoring or an SSS. Since the deadlines for submittal of a Standard
Monitoring Plan or an SSS Plan are the same as the 40/30 Certification deadline shown in Table 3-3, the
system will have very little time to then prepare a Standard Monitoring or SSS Plan.
Similarly, if EPA or the state reviews the certification and determines that the system should conduct
standard monitoring or an SSS, the deadline for submitting a Standard Monitoring or SSS Plan will likely
have passed. The deadline for submitting a 40/30 Certification is the same as for submitting Standard
Monitoring and SSS Plans. If the reviewer intends to require standard monitoring or an SSS, it is best to
notify the system as early as possible. If the system is contacted early enough, it may be able to comply
within the original schedule. However, if the system is not notified in time to complete a Standard
Monitoring or SSS Plan by the scheduled compliance date, EPA or the state should work with the system
to set an alternate schedule. The alternate schedule could be based on one of the four regulatory schedules
or it could be a schedule unique to that system.
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3.7.3 Stage 2 Compliance Monitoring Plan for 40/30 Certification Systems
Systems that qualify for the 40/30 Certification will not submit an IDSE Report, but will need to submit a
Stage 2 Compliance Monitoring Plan. Although many systems will be able to use their Stage 1 DBPR
sites for Stage 2 DBPR compliance monitoring, some systems (e.g., systems with relatively large
populations and few plants) may need to identify additional sites. For these systems, the site choice
should be similar to site selection for standard monitoring, described in section 3.11.2.2. In general,
systems will need to consider their distribution system map, operational data, and water quality data to
identify the best sites.
3.8 IDSE Option: System Specific Study
Systems can meet IDSE requirements using an SSS if their existing data or hydraulic modeling data meet
certain requirements for an SSS [§141.602]. Some systems have detailed knowledge of their distribution
systems by way of ongoing hydraulic modeling and/or existing widespread monitoring, which provides
equivalent or superior monitoring site selection information compared to standard monitoring. Therefore,
under this alternative, these systems may choose to perform an SSS in lieu of standard monitoring.
Systems may rely on one of two data sources when preparing their study. They may use TTHM and
HAA5 monitoring data if each location has been sampled once during the peak historical month for
TTHM or HAA5 levels or during the month of warmest water temperature. These samples must be
collected and analyzed in accordance with the Stage 1 DBPR requirements [§141.131], and must be
collected no earlier than 5 years prior to the study plan submission deadline. (The number of monitoring
locations and samples required are outlined in Table 3-5.)
Alternatively, systems may use extended period simulation hydraulic models that simulate water age in
the distribution system. The model must simulate variation in demand over 24 hours and show a
consistently repeating 24-hour pattern of residence time. EPA's IDSE Guidance Manual provides
additional information on conducting SSSs and determining whether system specific data could be
sufficient to meet the IDSE requirements.
Systems conducting an SSS must submit an SSS Plan and an IDSE Report to EPA or the state. Systems
also have the option to submit an IDSE Report at the same time as their study plan if they believe they
have the necessary information by the time the study plan is due.
3.9 IDSE Option: Existing Monitoring System Specific Study
3.9.1 Review of Existing Monitoring SSS Plan
This section contains guidance on four different categories of reviews that can be completed for study
plans based on existing monitoring results:
Review for required plan elements.
Review for correct interpretation of the IDSE requirements.
Technical review of data representativeness.
Technical review of monitoring results.
The first review for required plan elements will be done by the IPMC for EPA reviewers and states that
choose to use it. The remaining reviews for correct interpretation of the IDSE requirements, technical
Stage 2 DBPR Implementation Guidance 68 August 2007
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review of data representativeness, and technical review of standard monitoring site selection, will be
completed by either the state or EPA.
Chapter 5 of EPA's IDSE Guidance Manual has in-depth information regarding how a system may
prepare an SSS Plan using existing monitoring results.
The state or EPA may want to request additional information from a system during the review process.
The state or EPA can approve the plan, request that the system modify its plan, or require standard
monitoring if the plan is not acceptable. If a system does not respond to a request to modify the plan or to
provide more information, the state or EPA has the option of requiring standard monitoring. EPA or the
state has 12 months after the submission deadline to complete the review of Standard Monitoring Plans.
All correspondence between the system and the reviewer is included in the 12-month period and does not
extend the ultimate approval deadline. If EPA or the state does not contact the system to officially
approve or request modifications to the plan by the end of the review period, the system can consider the
plan approved and will implement it as submitted.
If the state or EPA intends to require standard monitoring, it is best to notify the system as early as
possible. If it is early enough, the system may be able to comply within their original schedule. However,
if the system is not notified in time to complete a Standard Monitoring Plan by the scheduled compliance
date, EPA or the state should work with the system to set an alternate schedule. The alternate schedule
could be based on one of the four regulatory schedules or it could be a schedule unique to that system.
The IPMC is set up to accommodate alternate schedules.
The state or EPA should notify the system in writing when its plan is approved. If changes were made
after the original submission, the state or EPA should send a copy of the approved plan to the system for
its records or reference the changes in a letter to clarify which version of the plan is approved. If EPA is
reviewing plans all correspondence and recordkeeping will be through the IPMC.
An SSS based on existing monitoring data results will be similar to the Standard Monitoring Plan, and
many states will have the expertise to review these plans. EPA Headquarters will provide support to EPA
Regions and states that require technical assistance in reviewing SSS Plans.
EPA or the state should review each plan early in the review period to ensure that it contains the
minimum elements required by the Stage 2 DBPR.
3.9.1.1 Review of Required Elements for Existing Monitoring SSS Plan
Tables 3-4 and 3-5 can be used to determine if the system has met the minimum requirements of the Stage
2 DBPR for existing monitoring results study plans. Systems have the option of using the Existing
Monitoring Results Plan Form (Form 2) in Appendix E of this document. If systems fill out all sections of
the form according to the instructions, they have met the minimum requirements of the rule. Note that
Form 2 asks the system to list its IDSE schedule and the number of monitoring sites and samples required
for the system. If the system uses Form 2, verify that the following information provided is correct:
• Schedule - Verify that the schedule is consistent with the schedule in the letter sent to the system
by EPA or the state or with a schedule based on additional conversations with the system. This
verification can be done by checking the schedule listed for that system in the DCTS. If the
submitted schedule is different, EPA or the state should contact the system to discuss the required
compliance schedule.
Stage 2 DBPR Implementation Guidance 69 August 2007
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• Number of Locations and Samples - Verify that the number of locations and number of samples
for both TTHM and HAA5 meet the minimum requirements of the rule, as shown in Table 3-5.
- Note that systems must meet the requirements for both the number of sites and the number of
samples to qualify. EPA or the state may use the checklist in Table 3-5 to make this
determination.
- Reviewers should evaluate the distribution system schematic to confirm that the number of
monitoring sites is consistent with the requirements in Table 3-5.
- Reviewers should examine the system's data to determine if the system has collected the
correct number of samples. If not, the reviewer should ensure that the system has planned
enough additional monitoring to meet the criteria for the number of sites and samples. If a
system misinterpreted its monitoring requirements, the reviewer should contact the system to
explain what is required.
Chapter 5 of EPA's IDSE Guidance Manual includes many suggestions for organizing existing
monitoring data. If the submission is difficult to understand, reviewers can request a revised SSS Plan.
A completed example of an SSS Plan using existing monitoring results can be found in Appendix D of
EPA's IDSE Guidance Manual.
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Table 3-4. SSS Plan Using Existing Monitoring Results, Required Elements Checklist
Check if
Provided
0
D
D
D
D
D
Required Element
Population served by the system
Source water type (Subpart H or ground water)
Identification of the peak historical month for TTHM, HAAS, or
warmest water temperature
Previously collected, monitoring results
Dates of any planned SSS monitoring and Stage 1 DBPR compliance
monitoring sampling
A distribution system schematic with:
D
D
D
D
D
All distribution entry points
All sources
All storage facilities
Locations of all completed or planned SSS monitoring
Locations of Stage 1 DBPR compliance samples
Section in Form 2
LA
LA
II1.A
IV
VI
VII
Certification that:
D
D
D
All compliance and non-compliance data during the time period
beginning with the first reported result and ending with the most
recent Stage 1 DBPR result are included
The distribution system and treatment have not significantly changed
during period of SSS data
Samples are representative of the entire distribution system
V
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Table 3-5. Minimum Requirements Checklist for Existing Monitoring Results Study Plan
Yes No
D D Were all samples collected and analyzed in accordance with an approved EPA method and by a
certified laboratory?
D D Were all sample results collected no earlier than 5 years prior to the system's study plan
submission deadline?
D D Does the system have at least the minimum number of distribution system monitoring locations
shown in the table below from which the system collected TTHM and HAA5 samples?
D D Does the system have at least the minimum number of TTHM samples and HAAS samples shown
in the table below?
D D Was each monitoring location sampled once during the month of highest TTHM or highest
temperature for every 1 2 months of data submitted?
D D Have the distribution system and treatment not changed significantly since samples were
collected?
D D Are existing monitoring locations representative of the entire distribution system?
//
us
m
*(
the system answered yes to all of the above questions, the system meets EPA 's minimum requirements for an SSS
ing existing data. Remember, though, that EPA or the state can still require svstems to conduct standard
mitoring, even if they meet the minimum requirements.
Source Water
Type
Subpart H
Ground Water
3an include Stage
System Size Category
(Population Served)
<500
500-3,300
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1,000,000-4,999,999
> 5,000,000
<500
500-9,999
10,000-99,999
100,000-499,999
> 500,000
Minimum Number of
Monitoring Locations*
3
3
6
12
24
36
48
60
3
3
12
18
24
Minimum Number of
Samples
TTHM
3
9
36
72
144
216
288
360
3
9
48
72
96
HAAS
3
9
36
72
144
216
288
360
3
9
48
72
96
DBPR sites
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The peak historical month for existing monitoring results should be based on TTHM, HAA5, and/or
warmest temperature. EPA or the state may generally follow the criteria for reviewing peak historical
month provided in Section 3.11.1.4. They should ensure that the system has collected samples at least
once during the peak month for each 12-month period of data submitted. If a system did not sample
during the peak historical month during a year, that year of data does not count towards their minimum
requirements. If the system has planned any additional SSS monitoring, the reviewer should also verify
that it will collect at least one round of samples during the peak historical month.
Submissions to the IPMC will not be considered confidential business information (CBI) and are subject
to the Freedom of Information Act (FO1A).
If the requirements were not correctly interpreted, EPA or the state should contact the system for more
information. If some of the required elements on the checklists in Tables 3-4 and 3-5 are missing, EPA or
the state should contact the system to request the missing information. Until all required elements are
submitted, the plan should be considered incomplete and should not be reviewed further. If all boxes are
checked, all required elements have been submitted.
3.9.1.2 Technical Review of Existing Monitoring SSS Plans
EPA or the state should use the system's distribution system schematic to ensure that the sites selected
represent the entire distribution system. EPA or the state should consider the criteria below in making this
determination.
Geographic representation: The distribution system schematic should allow the reviewer to ascertain if
the sites monitored give good geographic representation of the distribution system. If a significant portion
of the distribution system is excluded from the existing monitoring results, the reviewer should request
the system to sample at additional sites in the areas that are not represented.
Hydraulic representation: EPA or the state should check to see if all pressure zones are represented and
that sites address areas that are hydraulically remote. If this information is not provided on the distribution
system schematic, reviewers may contact systems to obtain it through a phone conversation.
Key sites in the distribution system: If at all possible, systems should have tried to include most key
trouble areas including long dead end lines (keeping the site prior to the last customer), areas down
gradient of storage tanks, areas with low residual chlorine levels, and areas influenced by booster
chlorination (depending on the water chemistry and age).
If the reviewer determines that sites are not representative, they should contact the system and request
more information. If EPA or the state determines, based on the new information, that the sites are
appropriate, they can attach the information to the study plan and complete the review. However, if the
system is unable to provide adequate justification, EPA or the state should work with the system to select
sites for additional SSS monitoring or require standard monitoring. If the system does not respond to
EPA's or the state's request for information or docs not make any requested modifications, the reviewer
can require standard monitoring.
The Stage 2 DBPR IDSE requirements allow EPA or the state to reject some of a system's data and
require that system to replace the rejected data with additional SSS monitoring or to conduct standard
monitoring. If EPA or the state question the data submitted, they should request more information from
the system to determine if the data can be adequately justified. Some reasons why EPA or the state may
consider rejecting a portion of a system's data are described below.
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Use of Unapproved Methods for Sample Analysis: Systems may only use samples analyzed by a certified
laboratory using approved methods. Any data not meeting this requirement do not count toward the
minimum number of samples and locations.
Failure to Fully Represent Distribution System: The sampling sites for the IDSE must represent TTHM
and HAAS concentrations throughout the distribution system. If any significant areas of the distribution
system are not represented with sample sites, EPA or the state should require the system to collect
additional data in those areas or to conduct standard monitoring.
Unusual Events: EPA or the state may want to reject any data from short periods of unusual (not routine
seasonal) system conditions that are not representative of typical operating conditions. Some examples
include:
• Main breaks during or just before sample collection that cause a shift in the flow patterns in the
distribution system.
• Treatment equipment failures or power failures that had a significant impact on DBP levels in the
distribution system.
• Unusual periods of drought that reduced runoff and changed TOC loading of surface water
sources only during a single year.
Note that this list is not all-inclusive—EPA or the state should use best professional judgment to
determine if a temporary event should be considered unusual.
Permanent, Significant Treatment Changes: If any significant permanent treatment process or source
changes took place during the period for which the system submitted existing monitoring results, EPA or
the state may want to consider rejecting any data collected before that change took place. Treatment
changes that affected the magnitude of TTHM and HAAS levels in the distribution system, but that are
unlikely to have changed the DBP formation rate and relative levels of TTHMs and HAASs in different
parts of the system, are acceptable. For example, improved control of an existing coagulation process or
minor changes in coagulation pH that reduce average levels of DBP precursors are acceptable.
If treatment process or source changes have occurred and data collected prior to the change are utilized in
an SSS, then the use of the data should have been justified. An explanation of the change and a
demonstration that the change is unlikely to have significantly affected the relative TTHM and HAAS
levels in the distribution system should have been provided. Specific examples of these types of changes
are shown in Table 3-6.
Permanent, Significant Distribution System Changes: If any significant distribution system changes took
place during the period for which the system submitted existing monitoring results, EPA or the state
should use their best professional judgment to determine if the modification to the distribution system
would warrant EPA or the state rejecting any data collected before that change took place. Supply points,
pressure zones, large transmission mains, pump stations, storage tanks, and large wholesale and retail
Stage 2 DBPR Implementation Guidance 74 August 2007
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customers should generally be consistent throughout the data collection period for the SSS. Although this
list is not all-inclusive, some examples are:
• Major, permanent changes in plant production rates, installation or removal of high service or
booster pump stations, or pump operation schemes that significantly change the location of
influence zones of treatment plants and mixing zones within the distribution system.
• Major, permanent changes in water use patterns or system hydraulics.
Specific examples of these types of changes are shown in Table 3-6.
Table 3-6. Examples of Treatment, Distribution System, and Source Changes
Temporary Changes that Are Not Likely to
Significantly Impact DBF Formation
Permanent Changes that Warrant Exclusion of Using
Existing Data
Regular maintenance, rehabilitation, and upgrades of
plant processes
Short duration switches to free chlorine for secondary
disinfection:
• To control nitrification in a chloraminated system
• For short duration emergencies
For special disinfection operations
Adding booster chlorination in the distribution
system
Addition of a new water source
Addition or removal of a very high water use
customer (industrial, institutional, or wholesale)
Addition, deletion, or replacement of mains or
storage tanks that significantly change water flow
patterns
Large main looping projects that significantly
change water flow patterns
Note: This list is not comprehensive—EPA or the state should use best professional judgment to determine if a
modification to a system's treatment or distribution system should warrant exclusion of the use of existing
monitoring results.
Systems are required to submit all data taken from the time of the first sample submitted through the most
recent Stage 1 DBPR compliance samples taken. Therefore, it is possible that a subset of submitted data
may not meet all requirements and do not count toward the minimum number of required locations and
samples. EPA or the state should verify that systems have submitted enough qualifying data to meet the
minimum requirements. EPA or the state should also look at data across the entire SSS period to make
sure that older data arc still representative of current water quality.
If data are not acceptable, EPA or the state should work with the system to develop a plan to collect
additional data during the IDSE to meet the minimum requirements. If the system has extensive data
problems, EPA or the state may want to consider requiring standard monitoring. If all data arc acceptable,
the plan can be approved.
3.9.2 Review of Existing Monitoring SSS IDSE Report
All systems conducting an SSS must prepare an IDSE Report [§141.602(b)] and submit it to EPA or the
state. The primary purpose of the IDSE Report is to provide EPA or the state with the system's
recommendations for where and at what frequency Stage 2 DBPR compliance monitoring should be
conducted. In addition, the system must provide justification for these selections. Remember, systems that
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include their compliance calculations procedures in their IDSE Report in addition to their monitoring
locations and dates may not need to submit a Stage 2 Compliance Monitoring Plan. When completing the
IDSE Report, systems have the option of using the Existing Monitoring Results SSS IDSE Report Form
(Form 3) in Appendix E.
There are two different categories of reviews that should be done for IDSE Reports from systems that
conduct an SSS:
• Review of IDSE Report for required elements.
• Technical review of Stage 2 DBPR compliance monitoring site selection and schedule.
The first review will be done by the IPMC for EPA reviewers and states that choose to use it. The
remaining technical review of Stage 2 DBPR compliance monitoring site selection and schedule will be
done by either state or EPA reviewers.
If the reviewer has any concerns about a report during the review, they can either request modifications to
the report or contact the system to ask for additional information. The reviewer may also require
additional locations for Stage 2 DBPR compliance monitoring. The number and frequency of samples
must comply with Table 3-17, unless EPA or the state requires additional monitoring. Systems must
follow the site selection protocol in this subsection unless they provide EPA or the state with adequate
justification for alternate sites.
EPA or the state has a limited amount of time after the submission deadline to request modifications or
approve the IDSE Report or contact the system to let them know that the review is not complete. The
EPA or state deadlines for IDSE Reports approval, modification, or notification are listed in Table 3-1.
These dates are within 3 months of the submission deadline for systems on Schedules 1, 2 and 4, and
within 9 months of the submission deadline for systems on Schedule 3. Note that this is 3 or 9 months
from the submission deadline, not the actual date of submission. If the system does not receive approval
or modification of the report, or notification that EPA or the state has not completed their review within
that 3- or 9-month period, the system may consider the report approved as submitted and use the Stage 2
DBPR compliance monitoring sites recommended in the report.
If EPA or the state needs additional time for the review, they can contact the system within the 3- or 9-
month period and let them know that the review requires additional time.
3.9.2.1 Review of Required Elements for Existing Monitoring IDSE Report
The basic elements required in the IDSE Report for an SSS using existing data are listed in the checklist
in Table 3-7. States may want to encourage systems to include their compliance calculation procedures in
their IDSE Report so that the system may meet the requirements for submitting a Stage 2 DBPR
Compliance Monitoring Plan. Systems may use the form IDSE Report for an Existing Data SSS (Form 3)
in Appendix E of this document.
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Table 3-7. IDSE Report for Existing Monitoring SSS Required Elements Checklist
Check if
Provided
0
D
n
Required Element
Recommendations and justification of Stage 2 DBPR compliance
monitoring sites
Proposed Stage 2 DBPR Compliance Monitoring Schedule
Section in Form
3
IV
VI
If the IDSE Report is NOT submitted at the same time as the SSS Plan
D
D
D
D
Additional SSS and Stage 1 DBPR compliance monitoring results in a
tabular or spreadsheet format
Population served and source water type (Subpart H or ground water) only
if they have changed since the SSS plan.
Distribution system schematic only if it has changed since the SSS Plan
Explanation of any deviations from the approved SSS Plan
III.C & 1II.D
l.A
VII
VIII
If some of the required elements on the checklist in Table 3-7 are missing, the reviewer should contact the
system to request the missing information. If all boxes are checked, all required elements have been
submitted.
3.9.2.2 Technical Review of Existing Monitoring IDSE Report
The purpose of the technical review of the IDSE Report is to ensure that:
• The system's recommended Stage 2 DBPR compliance monitoring locations are in accordance
with the protocol set in §141.605, or
• The system provided adequate justification for alternative locations, and
• The system has chosen appropriate dates on which to sample for Stage 2 DBPR compliance.
One difference between standard monitoring and the SSS using existing monitoring results is that systems
can have more than 1 year of TTHM and HAAS data to analyze for site selection. Systems should rely on
qualifying data only, and they may compare data from their peak historical month in addition to LRAAs
as they work through the protocol for selecting Stage 2 DBPR compliance monitoring sites. However,
they must provide a justification for relying on peak historical month data rather than LRAA data. EPA
suggests that systems calculate annual averages for each site for which they have existing monitoring
results and use this value to select Stage 2 DBPR compliance monitoring sites. Systems should not use
data for a year in which the peak historical month was not sampled to calculate the LRAA.
Remember, systems that conduct system specific studies may be submitting their IDSE Report with their
study plans.
EPA or the state should notify the system in writing when its report is approved. If changes were made
after the original submission, EPA or the state should send a copy of the approved plan to the system for
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its records or reference the changes in a letter to clarify which version of the report is approved. If EPA is
reviewing reports, all correspondence and recordkeeping will be through the IPMC.
Stage 2 DBPR Monitoring Site Selection: A system that completes an SSS must recommend Stage 2
DBPR compliance monitoring locations using the data collected during the IDSE in addition to their
Stage 1 DBPR sites. Justification must be provided for the final sites selected in the IDSE Report
(including model results for water age at the relevant nodes, if a system is using modeled data). Chapter 5
of EPA's IDSE Guidance Manual provides a detailed discussion for Stage 2 DBPR site selection using
existing monitoring results.
Systems must use the protocol in Table 3-15 to select their Stage 2 DBPR compliance monitoring sites. If
a system is required to select more than eight sampling sites it must return to the top of the protocol, each
time selecting from those sites that have not already been identified for Stage 2 DBPR monitoring until
the required number of sites has been selected.
If a system arrives at Step 3 or Step 7 and has no more Stage 1 DBPR sites to select from, the system
should skip these steps and continue with the protocol as necessary, until it has identified the required
total number of monitoring locations. This may happen if the Stage 1 DBPR sites have the highest TTHM
or HAAS LRAAs and were previously selected, or if the system is a consecutive system and had little or
no Stage 1 DBPR data, or if the system is very large but has few treatment plants. When this occurs, the
total number of sites will be selected, but the distribution between TTHM, HAA5 and Stage 1 DBPR sites
will be different than shown in Table 3-17.
EPA or the state should review the IDSE Report to assure that the system followed the site selection
protocol correctly. EPA or the state should check that the system used the correct type of Stage 1 DBPR
site in the third and seventh steps, depending on the system's source type.
If the system varied from the protocol in Table 3-15 it should provide a rationale for its selections. EPA or
the state will use their best professional judgment to review this rationale and either approve the alternate
sites or require the system to comply with the protocol.
Keep in mind that the goal of the IDSE is for systems to choose Stage 2 DBPR compliance monitoring
locations that are most representative of high TTHM and HAAS concentrations throughout the
distribution system.
Sampling Dates: The technical review of the IDSE Report for an SSS using existing monitoring results is
very similar to the technical review of the IDSE Report for standard monitoring. Refer to section 3.11.1.4
for guidance on reviewing a system's Stage 2 DBPR monitoring site selection and schedule.
3.10 IDSE Option: Hydraulic Modeling System Specific Study
3.10.1 Review of Hydraulic Modeling SSS Plan
This section contains guidance on four different categories of reviews that can be completed for study
plans based on existing monitoring results:
• Review for required plan elements
• Review for correct interpretation of the IDSE requirements
• Technical review of data representativeness
• Technical review of monitoring results
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The first review for required plan elements will be done by the IPMC for EPA reviewers and states that
choose to use it. The remaining reviews for correct interpretation of the IDSE requirements, technical
review of data representativeness, and technical review of standard monitoring site selection, will be
completed by either the state or EPA.
Chapter 6 of EPA's IDSE Guidance Manual provides in-depth information regarding how a system may
prepare a plan for a modeling SSS.
The state or EPA may want to request additional information from a system during the review process.
The state or EPA can approve the plan, request that the system modify its plan, or require standard
monitoring if the plan is not acceptable. If a system does not respond to a request to modify the plan or to
provide more information, the state or EPA has the option of requiring standard monitoring. EPA or the
state has 12 months after the submission deadline to complete the review of Standard Monitoring Plans.
All correspondence between the system and the reviewer is included in the 12-month period and does not
extend the ultimate approval deadline. If EPA or the state does not contact the system to officially
approve or request modifications to the plan by the end of the review period, the system can consider the
plan approved and will implement it as submitted.
If the state or EPA intends to require standard monitoring, it is best to notify the system as early as
possible. If it is early enough, the system may be able to comply within their original schedule. However,
if the system is not notified in time to complete a Standard Monitoring Plan by the scheduled compliance
date, EPA or the state should work with the system to set an alternate schedule. The alternate schedule
could be based on one of the four regulatory schedules or it could be a schedule unique to that system.
The IPMC is set up to accommodate alternate schedules.
The state or EPA should notify the system in writing when its plan is approved. If changes were made
after the original submission, the state or EPA should send a copy of the approved plan to the system for
its records or reference the changes in a letter to clarify which version of the plan is approved. If EPA is
reviewing plans, all correspondence and recordkeeping will be through the IPMC.
Some states may not have staff that are trained or experienced in reviewing the data found in hydraulic
modeling SSS and the types of water age or water quality models that will be submitted by utilities. EPA
Headquarters will provide support to EPA regions and states that require technical assistance in reviewing
models or who choose to have EPA review the model entirely.
EPA or the state should review each plan early in the review period to ensure that it contains the
minimum elements required by the Stage 2 DBPR. For the modeling SSS, EPA or the state should also
confirm that the system's model meets the minimum requirements for the SSS. In addition, they should
conduct a technical review of system's model to ensure that it is capable of identifying distribution system
locations with high TTHM and high HAAS levels.
3.10.1.1 Review of Required Elements for Hydraulic Modeling SSS Plan
Table 3-8 can be used to determine if the system has met the minimum requirements of the Stage 2 DBPR
for the modeling study plans. Systems have the option of using the Modeling Study Plan Form (Form 4)
in Appendix E of this document. If systems fill out all sections of Form 4 according to the instructions,
they have met the minimum requirements of the rule. Note that Form 4 asks the system to list its IDSE
schedule and the required number of monitoring sites for the system. EPA or the state should verify that
the schedule on Form 4 is consistent with the schedule in the letter sent to the system by EPA or the state.
A completed example of a modeling study plan can be found in Appendix E of EPA's IDSE Guidance
Manual.
Stage 2 DBPR Implementation Guidance 79 August 2007
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If the system used Form 4, verify that the following information is correct:
Schedule - Verify that the schedule is consistent with the schedule in the letter sent to the system
by EPA or the state or with a schedule based on additional conversations with the system. This
verification can be done by checking the schedule listed for that system in the DCTS. If the
submitted schedule is different, EPA or the state should contact the system to discuss the required
compliance schedule.
Number of sites - Verify that the number of modeling SSS monitoring sites meets the minimum
requirements for standard monitoring, as shown in Table 3-13. If a system misinterpreted its
monitoring requirements, the reviewer should contact the system to explain what is required.
Table 3-8. Modeling Study Plan Checklist Required Elements
Check if Provided
0
n
n
n
n
n
D
D
n
. n
n
n
n
n
n
n
Required Element
Population served by the system
Source water type (Subpart H or ground water)
Is the model an Extended Period Simulation (EPS) model?
Does the model simulate 24-hr variation in demand and show a consistently
repeating 24-hr pattern of residence time? (If calibration is not complete,
this question can be answered in the IDSE Report.)
Tabular or spreadsheet data demonstrating that the model meets the
following minimum requirements:
75% of pipe volume.
• 50% of pipe length.
• All pressure zones.
• All 12" diameter and larger pipes.
• All 8" and larger pipes that connect pressure zones, influence zones
from different sources, storage facilities, major demand areas, pumps,
and control valves, or are known or expected to be significant
conveyors of water.
• All 6" and larger pipes that connect remote areas of a distribution
system to the main portion of the system.
• All storage facilities with standard operations represented.
• All active pump stations with controls.
• All active control valves.
Model output showing 24 hour average residence time predictions
throughout the distribution system (can be preliminary if calibration is not
complete)
Timing and number of samples planned for at least one round of TTHM and
HAAS monitoring during the historical month of high TTHM
Section in Form
4
LA
I.A
III.A
lll.A
1I1.A & Vlll
V & VIII
Il&IV
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Check if Provided
0
D
D
D
D
D
D
D
D
D
D
Required Element
Description of how all requirements will be completed no later than 12
months after submission of the study plan
A description of all calibration activities
Section in Form
4
Ill.D
Hl.B, III.C, &
III.D
A distribution system schematic with:
• All entry points
• All sources
• All storage facilities
• Locations and dates of all completed SSS monitoring (if calibration is
complete)
• Locations and dates of Stage 1 DBPR compliance samples
VII
If calibration is complete:
Does the model simulate 24-hr variation in demand and show a
consistently repeating 24-hr pattern of residence time?
• A graph of predicted tank levels vs. measured tank levels for the
storage facility with the highest residence time in each pressure zone
• A time series graph of residence time at the longest residence time
storage facility in the distribution system showing predictions for the
entire EPS simulation period
III.A
III.D & VIII
V & VI11
Submissions to the IPMC will not be considered confidential business information (CBI) and arc subject
to the Freedom of Information Act (FOIA).
If some of the required elements on the checklist in Table 3-8 are missing, EPA or the state should contact
the system to request the missing information. Until all required elements are submitted, the plan should
be considered incomplete and should not be reviewed further. If the system does not complete their
submission, they will receive a monitoring and reporting violation. If all boxes are checked, all required
elements have been submitted.
3.10.1.2 Technical Review of Hydraulic Modeling SSS Plans
EPA or the state should review modeling study plans to ensure that the model meets all minimum
requirements as well as to ensure that the modeling basis is sound and that good technical judgment was
used. EPA or the state should consider the modeler's responses to questions on the Modeling Study Plan
Form (Form 4) in Appendix E of this document to determine if the model is adequate. If a system does
not use the forms, EPA and states can still use the information provided in this chapter to determine if a
system submitted all the required information and to guide the review of the model and selected
monitoring sites.
The checklists provided in this chapter can be helpful in determining if the model meets minimum
requirements and to help EPA or the state address all issues. EPA or the state may use the checklist in
Table 3-8 to ensure that the system has addressed all required issues related to model development and
calibration. If the system used Modeling Study Plan Form (Form 4) in Appendix E and adequately
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addressed all of the requirements therein, the system's model should meet the minimum requirements and
the system should have provided all necessary model information. If the system has not completed
calibration or sampling, the plan must provide a description of how all requirements will be met within 12
months of the date on which the study plan was submitted. If calibration is completed, EPA or the state
should refer to the relevant review procedures discussed in this section below.
In order to provide a basis for reviewing the model information referenced in Table 3-8, EPA or the state
may wish to request additional information referenced in Table 3-9. (If calibration is not complete, EPA
or the state may wish to ask how these questions will be addressed during calibration.) Systems are
required to respond to any state requests for additional information. States may modify the ISDE plan (or
report) or require standard monitoring if information contained in the submission is inadequate for review
and approval.
Table 3-9. Modeling Study Plan Checklist—Optional Modeling Information
Check if
Provided
0
n
n
n
n
n
n
n
n
n
n
n
n
n
Information
Section in
Form 4
Was a history of the model development and calibration provided?
What has the model been used for?
What decisions have been based on use of the model?
I1I.B
How were water demands assigned?
• What method was used to assign demands throughout the system?
• How did the system estimate the diurnal demand variation?
• How many demand categories were used?
• How were large demand customers addressed?
lll.C
What other calibration information is provided?
• When was the model last calibrated?
• What types of data were used? (e.g., tracer studies, fire flow tests)
• When was this calibration data collected?
• What field tests were done to collect calibration data?
• How were friction factors/C factors determined?
• If a water quality model is used, what parameters were used to calibrate the
model? (chlorine residual, DBF data, SDS tests, etc.)
• Has the distribution system changed since the model was developed and
last calibrated? If so, systems should describe the changes.
III.D
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Check if
Provided
0
D
D
n
Information
Section in
Form 4
How was system operation represented in the model?
• What time steps were used? What was the length of simulation?
• Was modeling done using typical operating conditions during peak month
of TTHM formation potential?
• How were operational controls represented (e.g., time controls or logic
controls etc.)?
V
In reviewing the modeling information obtained from the checklists in Tables 3-8 and 3-9, EPA or the
state may wish to take the following information into consideration:
• Models that have been prepared for long-range master planning purposes are not likely to meet
the minimum requirements. Models like this could be updated to meet the modeling SSS
requirements. Calibrated models that were prepared for detailed distribution system design or
operational studies are likely to be adequate.
• A model that has not been calibrated in the last 10 years will not likely produce results that are
consistent with the current system configuration.
• The model must be calibrated using operating conditions that are representative of those during
the month of peak historical TTHM formation potential.
• The model must be run for an extended time period so that system components, including the
storage tank with the highest water age, show a pattern of repeating residence time. See Figure 3-
2 for an example. Note that a similar graph must be presented as evidence of adequate model run-
time.
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Figure 3-2. Example Repeating Residence Time
Water Age for Tank 2
400 500
Time (hours)
• "Dead-end" areas that represent significant flow demands, such as industrial customers or large
subdivisions, should be included in the model.
• Water demands should be allocated to as many nodes in the model as possible, and the allocation
should represent the actual spatial distribution of the demands based upon metering records.
Water demands from all significant users should be included.
• It is imperative that the model incorporate realistic demands for the peak month of TTHM
formation.
• System water loss should be taken into account in the allocation of demands.
• Demand variations over the time period of the model simulation must be taken into account,
including diurnal demand fluctuations. Figure 3-3 shows an example of a diurnal demand
variation pattern. Where applicable, diurnal fluctuation patterns that are appropriate for each type
of user (residential, industrial, etc.) should be used in the model.
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Figure 3-3. Example Diurnal Demand Variation Pattern
• Time steps of 1-5 minutes for model calculations typically produce acceptable results.
• The actual operation of the distribution system (whether it is done manually, through telemetry,
through other system controls, or a combination of these methods) should be simulated for the
entire modeling time period. In general, model controls are either logic or time-based. Logic-
based controls initiate an activity based upon a system condition (e.g., a well pump is activated
because the water level in a tank has dropped 2 feet). Time-based controls perform an activity
simply based upon a clock setting (e.g., a booster pump turns on to pump water to a storage tank
from 8:00 to 9:00 a.m. every morning).
• The actual data collected for model calibration will vary according to the characteristics of each
system. In general, calibration should incorporate the following information:
- Flow from each pump or pumping facility (including the sequential operation of each pump).
- Water level variations in each storage facility.
- System pressure readings.
- System flow tests (e.g., at hydrants).
- Friction factor tests.
- Field tests (e.g., flow testing at hydrants, may be needed).
Many systems collect operational data using supervisory control and data acquisition (SCADA) systems,
chart recorders, or other types of data loggers. It is important to collect operational data over a 24-hour
time period so that the model can be calibrated for each time step.
Figure 3-4 shows a graph of actual water levels measured in a storage tank versus the levels predicted by
a calibrated model. This is an example of a model that has been well-calibrated using accurate demand
Stage 2 DBPR Implementation Guidance
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August 2007
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and operational data. Note that similar graphs must be submitted for the tank with the longest residence
time in each pressure zone.
Figure 3-4. Example Verification Graph for a Tank with Highest Water Age
Tank #2
Calibration Verification Results
1013 ---'--•
Measured
Modeled
8/24/200512.00
3/2S'20050:00 8/25/200512.00
Date/Time
8/26/200512.00
Remember that the model must be calibrated using operating conditions that are representative of those
during the peak month of TTHM formation. If the model was not calibrated using these conditions,
additional data may be needed to properly calibrate the model.
Modeling of systems that have multiple sources with widely varying DBP formation potential can be very
complex. Appendix G of EPA's IDSE Guidance Manual discusses these concerns and three approaches
for analyzing this type of system.
If the system has not adequately addressed all modeling questions in Table 3-8, EPA or the state should
contact the system and request more information. If EPA or the state determines that the model and
calibration plans are adequate, they can attach any new information to the study plan and complete the
review.
EPA or the state may also wish to ask how the system plans to use the data from its round of monitoring
at TTHM and HAAS sites. For example, will the data be used to corroborate or further calibrate the
model? If the data arc not consistent with model predictions for TTHM, what steps will the system take to
explain the inconsistency?
Systems conducting a modeling SSS should review all available compliance, study, or operational data to
determine the peak month for TTHM formation for their system. This month sets the conditions for the
model simulation and the schedule for the SSS monitoring. Systems with monthly or quarterly TTHM
monitoring data should use this data as the basis for selecting the historical month. If a system does not
have monthly or quarterly data, the month with warmest water temperature should be selected as the peak
month for TTHM formation, although additional data (e.g., increases in TOC levels) may also be
considered.
To ensure that an appropriate peak month was selected, EPA or the state should review the data submitted
and the justification provided by the system. The EPA or the state review should determine whether the
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system carefully considered all available TTHM data. See section 3.11.1.4 for technical guidance on
reviewing selection of the peak historical month.
3.10.2 Review of Hydraulic Modeling SSS IDSE Report
All systems conducting an SSS must prepare an IDSE Report [§141.602(b)] and submit it to EPA or the
state. The primary purpose of the IDSE Report is to provide EPA or the state with the system's
recommendations for where and at what frequency Stage 2 DBPR compliance monitoring should be
conducted. In addition, the system must provide justification for these selections. Remember, systems that
include their compliance calculations procedures in their IDSE Report in addition to their monitoring
locations and dates may not need to submit a Stage 2 Compliance Monitoring Plan. When completing the
IDSE Report, systems have the option of using the IDSE Report for a Modeling SSS Form (Form 5) in
Appendix E.
There are two different categories of reviews that should be done for IDSE Reports from systems that
conduct an SSS:
• Review of IDSE Report for required elements.
• Technical review of Stage 2 DBPR compliance monitoring site selection and schedule.
The first review will be done by the IPMC for EPA reviewers and states that choose to use it. The
remaining technical review of Stage 2 DBPR compliance monitoring site selection and schedule will be
done by either state or EPA reviewers.
If the reviewer has any concerns about a report during the review, they can either request modifications to
the report or contact the system to ask for additional information. The reviewer may also require
additional locations for Stage 2 DBPR compliance monitoring. The number and frequency of samples
must comply with Table 3-17, unless EPA or the state requires additional monitoring. Systems must
follow the site selection protocol in this subsection unless they provide EPA or the state with adequate
justification for alternate sites. For more information about selecting sites for Stage 2 DBPR monitoring,
refer to EPA's IDSE Guidance Manual.
EPA or the state has a limited amount of time after the submission deadline to request modifications or
approve the IDSE Report or contact the system to let them know that the review is not complete. The
EPA or state deadlines for IDSE Reports approval, modification, or notification are listed in Table 3-1.
These dates are within 3 months of the submission deadline for systems on Schedules 1, 2 and 4, and
within 9 months of the submission deadline for systems on Schedule 3. Note that this is 3 or 9 months
from the submission deadline, not the actual date of submission. If the system does not receive approval
or modification of the report, or notification that EPA or the state has not completed their review within
that 3- or 9-month period, the system may consider the report approved as submitted and use the Stage 2
DBPR compliance monitoring sites recommended in the report.
If EPA or the state needs additional time for the review, they can contact the system within the 3- or 9-
month period and let them know that the review requires additional time.
3.10.2.1 Review of Required Elements for Hydraulic Modeling IDSE Report
The basic elements required of an IDSE Report for an SSS based on modeled data are listed in the
checklist in Table 3-10. A completed example of an IDSE Report for a modeling SSS can be found in
EPA's IDSE Guidance Manual. Any required information that was not included in, or updated since, the
Stage 2 DBPR Implementation Guidance 87 August 2007
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approved modeling study plan (e.g., because calibration was not yet complete) must be included in the
IDSE Report (in addition to the information listed in the checklist in Table 3-10).
Table 3-10. IDSE Report for a Modeling SSS Required Elements Checklist
Check if
Provided
0
n
D
D
Required Element
TTHM and HAAS analytical results in a tabular or spreadsheet format from
all Stage 1 DBPR and SSS monitoring conducted during the period of the
SSS
Recommendations and justification of Stage 2 DBPR compliance
monitoring sites and dates
24-hr time series graph of residence time for all Stage 2 DBPR monitoring
sites selected
Section in Form 5
V&XI
Vll
VI&X1
If the IDSE Report is NOT submitted at the same time as the SSS Plan
D
D
D
D
D
D
D
Population served and source water type (Subpart H or ground water) only
if they have changed since the SSS plan.
Distribution system schematic only if it has changed since the SSS Plan
Explanation of any deviations from the approved SSS Plan
l.A
X
XI
Final calibration information (if not already provided with the study plan)
Any information that was updated since the approved IDSE plan
A graph of predicted tank levels vs. measured tank levels for the storage
facility with the highest residence time in each pressure zone
A time series graph of the residence time at the longest residence time
storage facility in the distribution system showing the predictions for the
entire simulation period
Model output showing 24 hour average residence time predictions
throughout the distribution system
III
II1.B&XI
11I.C & XI
1II.C & XI
3.10.2.2 Technical Review of Hydraulic Modeling IDSE Report
The purpose of the technical review of the IDSE Report is to ensure that:
• The system's recommended Stage 2 DBPR compliance monitoring locations are in accordance
with the protocol set in §141.605, or
• The system provided adequate justification for alternative locations, and
• The system has chosen appropriate dates on which to sample for Stage 2 DBPR compliance.
Systems should rely on qualifying data only, and they may compare data from their peak historical month
in addition to LRAAs as they work through the protocol for selecting Stage 2 DBPR compliance
Stage 2 DBPR Implementation Guidance
August 2007
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monitoring sites. However, they must provide a justification for relying on peak historical month data
rather than LRAA data.
Remember, systems that conduct system specific studies may be submitting their IDSE Report with their
study plans.
EPA or the state should notify the system in writing when its report is approved. If changes were made
after the original submission, EPA or the state should send a copy of the approved plan to the system for
its records. If EPA is reviewing reports, all correspondence and recordkceping will be through the IPMC.
Stage 2 DBPR Monitoring Site Selection: A system that completes an SSS must recommend Stage 2
DBPR compliance monitoring locations using the data collected during the IDSE in addition to their
Stage 1 DBPR sites. Justification must be provided for the final sites selected in the IDSE Report
(including model results for water age at the relevant nodes, if a system is using modeled data). EPA's
IDSE Guidance Manual provides a detailed discussion for Stage 2 DBPR site selection.
Systems must use the protocol in Table 3-15 to select their Stage 2 DBPR compliance monitoring sites. If
a system is required to select more than eight sampling sites it must return to the top of the protocol, each
time selecting from those sites that have not already been identified for Stage 2 DBPR monitoring until
the required number of sites has been selected.
If a system arrives at Step 3 or Step 7 and has no more Stage 1 DBPR sites to select from, the system
should skip these steps and continue with the protocol as necessary, until it has identified the required
total number of monitoring locations. This may happen if the Stage 1 DBPR sites have the highest TTHM
or HAAS LRAAs and were previously selected, or if the system is a consecutive system and had little or
no Stage 1 DBPR data, or if the system is very large but has few treatment plants. When this occurs, the
total number of sites will be selected, but the distribution between TTHM, HAAS and Stage 1 DBPR sites
will be different than shown in Table 3-17.
EPA or the state should review the IDSE Report to assure that the system followed the site selection
protocol correctly. EPA or the state should check that the system used the correct type of Stage 1 DBPR
site in the third and seventh steps, depending on the system's source type.
If the system varied from the protocol in Table 3-15 it should provide a rationale for its selections. EPA or
the state will use their best professional judgment to review this rationale and either approve the alternate
sites or require the system to comply with the protocol.
Keep in mind that the goal of the IDSE is for systems to choose Stage 2 DBPR monitoring locations that
are most representative of high TTHM and HAA5 concentrations throughout the distribution system.
Sampling Dates: The technical review of the IDSE Report for a hydraulic modeling SSS is very similar to
the technical review of the IDSE Report for standard monitoring. Refer to section 3.11.1.4 for guidance
on reviewing a system's Stage 2 DBPR monitoring site selection and schedule.
SSS IDSE Report Based on Modeled Data
EPA or the state may wish to ask the following questions related to site selection based on modeled data:
• How were the Stage 2 DBPR compliance monitoring sites selected to ensure that they are
representative of the distribution system and represent nodes with high water age for TTHM? For
Stage 2 DBPR Implementation Guidance 89 August 2007
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HAAS, do the sites represent areas with relatively high water age that are able to maintain a
disinfectant residual?
• Were other water quality data (e.g., non-regulatory monitoring, TCR data, other) or water quality
modeling data used to corroborate the selected Stage 2 DBPR monitoring sites? If so, that data
should be provided.
In the review of modeling IDSE Reports, EPA or the state must ensure that the system's model meets
minimum requirements and that the system adequately completed calibration of its model. If the system
adequately completed the IDSE Report for a Modeling SSS Form (Form 5) in Appendix E, or if the
model calibration was completed and approved as part of the model study plan, the system's model
should meet the minimum requirements and the system should have provided all necessary model
information. If the system did not use this form, or if calibration of the model was not complete or was
changed after it was approved as part of the model study plan, EPA or the state may use the checklist in
Table 3-10 to ensure that the system has adequately addressed all issues related to model development
and calibration. The system must show that they fulfilled all approved plans for calibration. If the system
has not adequately addressed all questions, EPA or the state should contact the system and request more
information.
In reviewing the IDSE Report, EPA or the state should also consider the following:
• Review the 24-hour residence time graph for proposed Stage 2 DBPR compliance monitoring
sites, and verify that the sites that the model predicted to have high residence time will be high
during the time of day when the system is likely to be sampling. For instance, if the model
predicts an area of the distribution system to have advanced water age during the middle of the
night, but during the day time the water age decreases substantially, then the monitoring results at
this site (likely to take place during the day time) will be of water with low water age and will not
reflect high DBP levels.
• Was the data from the round of monitoring at TTHM and HAAS sites used to corroborate or
further calibrate the model? Was the data consistent with model predictions for TTHM? If not,
what steps did the system take to explain or correct the inconsistency? If an inconsistency is
unexplained, EPA or the state may wish to ask the system to explain it. It may be appropriate to
take more samples to look for diurnal DBP fluctuations at the selected locations. EPA or the state
may wish to suggest that the system perform further model calibration if they are confident that
the sample results are actually representative of the distribution system water quality. If SSS
monitoring results do not coincide with model predictions, the system should attempt to reconcile
the differences before proceeding with Stage 2 DBPR site selection. Justification must be
provided for the final sites selected in the IDSE Report (including model results for water age at
the relevant nodes).
- For example, the system could monitor at the problematic sites over a 24 hour period to see if
a water age peak was missed initially.
- Unexpected operational changes such as main breaks, or unusually high or low water use
could affect results.
- The time of sample collection should be noted and compared to the water age graph to
determine if the sample time coincided with the time of maximum water age.
Stage 2 DBPR Implementation Guidance 90 August 2007
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- Additional field data collected during the sampling period (e.g., chlorine residual,
Heterotrophic Plate Count (HPC)) may help to explain discrepancies between modeling and
sampling results.
- Systems may choose to resample at the site(s) or alternative sites.
- Systems should verify that the model represents the current configuration of the distribution
system. Unexpected sampling results may indicate inconsistencies in the model.
A system that completes a modeling SSS must complete one round of TTHM and HAA5 sampling during
the peak month for TTHM formation. The number of monitoring locations and the type of locations must
be the same as that required for standard monitoring. Stage 1 DBPR monitoring locations cannot be used.
Depending upon system size and type, sample locations may include near entry point sites, average
residence time sites, high TTHM sites, and high HAAS sites. It is important that the site selection be done
with consideration given to the model results and that the site selection requirements of the Stage 2 DBPR
be addressed. The site selection process should also take into account water quality data (e.g., chlorine
residuals and HPC results).
Systems must use the protocol in Table 3-15 to select their Stage 2 DBPR compliance monitoring sites.
TTHM and HAA5 results and modeled water age are the most important factors in site selection. Systems
should have considered both predicted average water age and the 24-hour variation in water age. If
systems selected between two sites where one had large variations in water age throughout the day and
the other was relatively consistent, they should have selected the site with consistent water age. Sites with
discrepancies between model results and SSS monitoring results can be selected as Stage 2 DBPR
compliance monitoring sites if justification is provided in the IDSE Report.
If SSS monitoring results do not coincide with model predictions, the system should attempt to reconcile
the differences before proceeding with Stage 2 DBPR site selection. For example, the system could
monitor at the problematic sites over a 24-hour period to sec if a water age peak was missed initially.
Unexpected operational changes such as main breaks, or unusually high or low water use could affect
results. Re-sampling at alternative sites should be considered.
3.11 IDSE Option: Standard Monitoring
States should be aware that any system can conduct standard monitoring [§141.601], even if they meet
exemption criteria or have enough data to conduct an SSS. Most CWSs and NTNCWSs serving at least
10,000 people that do not qualify for a 40/30 Certification or a VSS Waiver are likely to use this option.
Standard monitoring data in addition to Stage 1 DBPR data will be used to select Stage 2 DBPR
compliance monitoring locations.
Standard monitoring entails 1 year of distribution system monitoring at more locations and greater
frequency than Stage 2 DBPR compliance monitoring. The sampling frequency and minimum number of
sample locations required depend on system characteristics such as population served, source water type,
and whether the system is a consecutive system. (The monitoring periods and frequency of sampling,
along with the minimum number of samples required, are detailed in Table 3-17.) Systems that conduct
standard monitoring must submit a Standard Monitoring Plan and an IDSE Report to EPA or the state.
Recommendations presented in the IDSE Report for compliance monitoring locations will be used to
develop the Stage 2 DBPR Compliance Monitoring Plan. Note that systems are likely to report all the
information required in the Compliance Monitoring Plan in their IDSE Report, including compliance
calculation procedures. These systems may not need to submit a separate Compliance Monitoring Plan.
Stage 2 DBPR Implementation Guidance 91 August 2007
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States should ensure that systems conduct standard monitoring during the peak historical month for
TTHM or HAAS levels or the month of warmest water temperature, if DBP data are not available. All
IDSE samples must be taken as dual sample sets (i.e., a TTHM and a HAA5 sample must be taken at each
site). The IDSE monitoring results will not be used to determine compliance with MCLs. Although the
individual results are not required to be reported in the CCR, the range of values must be included.
When notifying consecutive systems of these requirements, states may wish to send copies of the
correspondence to the associated wholesale systems to minimize confusion about sampling
responsibilities.
3.11.1 Review Considerations for Standard Monitoring Plan
Systems must submit Standard Monitoring Plans by the deadlines specified in Table 3-1. EPA or states
should complete five different categories of reviews for Standard Monitoring Plans:
• Review for required plan elements.
• Review for complexity.
• Review for correct interpretation of the IDSE requirements.
• Technical review of peak historical month.
• Technical review of standard monitoring site selection.
The first two, review for required plan elements and review for complexity, will be done by the IPMC for
EPA reviewers and states that choose to use it. The three remaining reviews for correct interpretation of
the IDSE requirements, technical review of peak historical month, and technical review of standard
monitoring site selection, will be done by either the state or EPA. EPA's IDSE Guidance Manual
provides detailed information regarding how a system should prepare a Standard Monitoring Plan.
3.11.1.1 Review of Required Elements for Standard Monitoring Plan
States can use Table 3-11 to determine whether a Standard Monitoring Plan contains the required
elements. Systems have the option of using the Standard Monitoring Plan Form (Form 6) in Appendix E.
If systems fill out all sections of the form according to the instructions, they have met the minimum
requirements of the rule.
Table 3-11. Standard Monitoring Plan Required Elements Checklist
Check it
Provided
0
D
D
D
D
D
D
D
Required Element
Population served by the system
Source water type (Subpart H or ground)
Peak historical month
Proposed dates of standard monitoring
Dates of planned Stage 1 DBPR compliance monitoring
Justification of standard monitoring site selection
Summary of data relied on to justify standard monitoring sites
Section in Form 6
I.A
LA
V.A
V.D
VI
IV
III.B
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Check if
Provided
0
Required Element
A distribution system schematic with:
D
D
D
D
D
• All entry points
• All sources
All storage facilities
• Locations of proposed standard monitoring sites
• Locations of Stage 1 DBPR compliance sampling
Section in Form 6
VII
If some of the required elements on the checklist in Table 3-11 arc missing, EPA or the state should
contact the system to request the missing information. Until all required elements are submitted, the plan
should be considered incomplete and should not be reviewed further. If all boxes are checked, all required
elements have been submitted.
3.11.1.2 Review for Complexity of Standard Monitoring Plan
The checklist provided in Table 3-12 is designed to determine if a Standard Monitoring Plan is straight-
forward or if it is complex and requires a more in-depth review. This tool can be helpful to the reviewer to
prioritize workload and plan for completion of all reviews by the end of the review period.
Table 3-12. Standard Monitoring Plan Triage Checklist
REVIEWER INFORMATION
System Name
Reviewer
PWSID
Review Date
The purpose of this checklist is to provide a brief review of a Standard Monitoring Plan based on the
optional format provided in the guidance manual. This review will determine whether, due to complexity
and/or adequacy issues, the plan should be considered straight forward or requiring a more detailed
review. If 5 or more of the following issues are checked, the plan should be categori/ed as requiring a more
detailed review.
I. GENERAL INFORMATION
n Population is > 500,000.
D Population is < 10,000 and system is on Schedule 1, 2, or 3.
D Chloramines not checked.
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HI. SELECTING STANDARD MONITORING SITES
D Hydraulic model and/or tracer study was checked
D TTHM or HAAS column has only one box checked
IV. JUSTIFICATION OF STANDARD MONITORING SITES
D Incomplete or inadequate justifications
• each is 7-10 words or less
• no data provided
• incorrect use of data
D All TTHM sites or all HAAS sites have the same text for justification
D System has distribution storage (check schematic), but justifications do not address sites located downstream of
storage
V. PEAK HISTORICAL MONTH AND STANDARD MONITORING DATES
D Peak historic month is not well justified.
• Little or no justification given for choice of peak historic month.
• "Other" is only box checked for peak historic month.
D Total number of monitoring sites and number of monitoring periods do not agree with information in Section II of
the form.
D Sampling schedule is incorrect (not every 60 or 90 days, incorrect frequency).
VI. PLANNED STAGE 1 DBPR COMPLIANCE MONITORING DATES
D Systems has very few Stage 1 sites compared to required standard monitoring sites - Number of standard
monitoring sites is in Section V is 4 times or more than the number of Stage 1 sites in this section.
D System has no Stage 1 sites (e.g., consecutive system that did not monitor under Stage 1). Check both boxes if
true.
VII. DISTRIBUTION SYSTEM SCHEMATIC
D Key distribution system components are obviously missing
• No indication of pressure zones, large transmission mains, tanks, or pumping stations, and the description of
data and justification in Section IV of the form indicates that the system has these components.
D Source (check one box for each)
• two or more surface water or GWUDI sources
• two types of sources (surface/GWUDI and ground)
D Distribution (check both boxes if more than two apply)
many long branches
three or more booster chlorination sites
• four or more pressure zones
• five or more booster pump stations
• six or more finished water storage tanks in the distribution system
D Stage 1 and Standard Monitoring sites do not geographically represent the distribution system.
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SENSITIVE INFORMATION
D Does the plan include sensitive information that should not be made available to the public?
• Identifying information on tanks and sources such as street names or addresses
• Security features (e.g., locations offences, cameras, monitors)
Note that the checklist includes a category for sensitive information. Submissions to the IPMC will not be
considered confidential business information (CBI) and are subject to the Freedom of Information Act
(FOIA).
If five or more of the boxes in Table 3-12 are checked, the plan should be categorized as requiring a more
detailed review. If fewer than 5 boxes are checked, the plan should be categorized as requiring a standard
review. This information can then be used to assign plans to individual reviewers and/or prioritize
workloads.
The elements in Table 3-12 were selected to help identify systems that are either very complex or have
difficulty understanding the IDSE requirements.
3.11.1.3 Review for Correct Interpretation of Standard Monitoring Requirements
Review of the Standard Monitoring Plan should include verifying that the system has identified the
correct schedule as well as the required number and type of standard monitoring sites and monitoring
frequency. This information is listed in the Standard Monitoring Plan Form (Form 6) in Appendix E.
• Schedule - Verify that the schedule is consistent with the schedule in the letter sent to the system
by EPA or the state or with a schedule based on additional conversations with the system. This
verification can be done by checking the schedule listed for that system in the DCTS. If the
submitted schedule is different, EPA or the state should contact the system to discuss the required
compliance schedule.
• Number and Frequency - Verify that the number and types of sites and monitoring frequency
meet the minimum requirements of the rule, as shown in Table 3-13. If the system has fewer near
entry points than the required number of near entry point sites, systems must make an adjustment
to the required number of samples. If a system misinterpreted its monitoring requirements, EPA
or the state should contact the system to explain what is required.
Table 3-13. Standard Monitoring Requirements
Source
Water
Type
Subpart
H
Population Size
Category
<500 consecutive
systems
<500 non-consecutive
systems
Monitoring
Periods and
Frequency of
Sampling
one (during
peak historical
month
Distribution System Monitoring Locations'
Total per
monitoring
period
2
2
Near
Entry
Points
1
-
Average
Residence
Time
-
-
High
TTHM
Locations
1
1
High
HAAS
Locations
-
1
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Source
Water
Type
Ground
Water
Population Size
Category
500-3,300 consecutive
systems
500-3,300 non-
consecutive systems
3.301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1 ,000,000-4,999,999
> 5,000,000
<500 consecutive
systems
<500 non-consecutive
systems
500-9,999
10,000-99,999
100,000-499,999
> 500,000
Monitoring
Periods and
Frequency of
Sampling
four (every 90
days)
six (every 60
days)
one (during
peak historical
month)2
four (every 90
days)
Distribution System Monitoring Locations'
Total per
monitoring
period
2
2
4
8
16
24
32
40
2
2
2
6
8
12
Near
Entry
Points
1
-
-
1
3
4
6
8
-
-
-
1
1
2
Average
Residence
Time
-
-
1
2
4
6
8
10
-
-
-
1
1
2
High
TTHM
Locations
1
1
2
3
5
8
10
121
1
1
1
2
3
4
High
HAAS
Locations
-
1
1
2
4
6
8
10
-
1
1
2
3
4
1. A dual sample set (i.e., a TTHM and an HAAS sample) must be taken at each monitoring location during each
monitoring period.
2. The peak historical month is the month with the highest TTHM or HAAS levels or the wannest water
temperature.
3.11.1.4 Technical Review of Standard Monitoring Plan
Two primary goals of the standard monitoring schedule are to ensure that the system is sampling during
the period of the highest DBF formation and that the sampling is spaced out evenly throughout the year
and geographically to provide representative data. The peak historical month sets the schedule for all
standard monitoring sampling. Standard monitoring must include sampling during the peak historical
month, but sampling may begin prior to this month depending on the system's compliance schedule.
Peak Historical Month
The "peak historical month" will either be the month with highest TTHM, highest HAA5, or warmest
water temperature. If a system has to sample more than once during the monitoring period, the other
sample months will be spaced at 60 days or 90 days around the peak historical month. Systems have
discretion in selecting the peak historical month. They should review available compliance, study, or
operational data and should use best professional judgment to determine the peak historical month.
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Systems should typically start by considering the month of highest TTHM or HAA5 levels. Ideally they
should consider monthly data if available (rather than just quarterly data). If high TTHM and HAAS
levels occur in different months, they should consider which contaminant is of greatest concern. For
instance, either TTHM or HAAS might be closer to the MCL on a regular basis. Data may also indicate
that one of the contaminants has a dramatic peak versus a minor spike in levels. If high TTHM or HAAS
levels occur in different months in different years, the systems should choose the year that was more
representative of typical system operating and weather conditions.
Systems should also consider the month of warmest water temperature. In general (but not always), the
concentration of organic matter in water increases during the warmest months of the year and is higher in
warmer climates. Because organic matter reacts with chlorine and other chemical disinfectants, more
organic matter in the water can result in a higher chlorine demand to maintain a reliable residual
throughout the distribution system. The combination of a larger chlorine dose, warmer water temperatures
that speed up chemical reactions, and larger concentrations of organic matter often result in higher TTHM
and HAAS concentrations during the warmest months of the year.
Surface water systems are likely to have adequate temperature data, while ground water systems are likely
to have only moderate fluctuations in temperature, and may not have much data. In some situations, the
month of warmest water temperature may not be representative of highest TOC and DBF levels. For
instance, in New England, the month of warmest water temperature may be late summer, but these
systems may see dramatic spikes in TOC levels in the late fall after the leaves have fallen. For systems
that have insufficient water temperature data, other data such as ambient air or climate data may be used
to determine the month of warmest water temperature.
When determining whether the appropriate peak historical month was selected for a particular system,
EPA or the state should determine what type of source(s) the system uses. If the system uses surface
water, items EPA or the state may consider are:
Did the system check high
TTHM, high HAAS, and/or
wannest temperature as a
basis for the peak historical
month?
The system must use one of these factors as the basis for the peak historical
month. They can look at additional information, but they must check at least one
of these boxes. TTHM and HAAS are the preferred basis for selecting peak
historical month if the system has monthly or quarterly TTHM and HAA5 data. If
the system has not taken regularly spaced quarterly samples, EPA or the state may
want to consider water temperature in addition to available TTHM and HAAS data
when approving the peak historical month.
Did the system select a month
with high TTHM and high
HAAS and provide
justification?
Based on their DBF data, systems should determine the month in which TTHM
and HAAS levels are highest and choose this month as the peak historical month.
If the highest TTHM and/or HAAS levels occur at different times during different
years, the system should choose the year of data that is most representative of
typical system operating and weather conditions. If the highest TTHM and HAAS
levels occur in different months, the system should consider which contaminant is
of greater concern. If one contaminant clearly shows a higher overall trend and is
closer to the MCL, the system should choose the month in which that contaminant
is highest.
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Did the system select a month
with warm water temperature?
The peak historical months is of primary concern for surface water systems that
have wide swings in temperature. To identify the month of warmest water
temperature, systems should calculate the average water temperature for each
summer month. If available, they should use data from several years. If the
warmest temperature occurs in different months in different years, the system
should select the year(s) that are most typical of climatological and water quality
data and water use for their region. Although the system can set their peak
historical month based on factors other than temperature, they should not choose a
month in which the water temperature is colder than average.
When might a system choose a
month based on a parameter
other than water temperature?
High TOC levels - If the system has data showing high TOC levels that indicate a
high potential for DBF formation, they may determine that this month is more
representative of high DBF levels. For example, a system in New England may
experience spikes in organic loading to their source in the autumn when leaves fall
from the trees. Although this may not be the warmest water month, water is still
relatively warm and organic loading is a substantial factor.
Low water usage - The system may choose a month based on low water usage
corresponding to longer residences times. For example, if a system has a seasonal
population that peaks during the summer and drops off during the fall, residence
time during the fall will be high, and water temperatures will still be relatively
high.
What should have been
submitted if a month other
than highest TTHM. highest
HAAS, or warmest water
temperature month is chosen?
If a month other than a highest TTHM, highest HAA5, or warmest water month
temperature was selected, the submittal should include adequate justification that
EPA or the state finds convincing. If the system does not provide adequate
justification, EPA or the state should contact the system for more information.
What if a system has multiple
surface water sources?
For systems with multiple surface water sources, the system should have used the
source of greater concern to select the peak historical month. This should be the
source with the warmest water temperature and/or that provides the largest volume
of water and/or the highest potential for DBF formation (e.g., high TTHMs, high
HAA5s, high TOC).
What if the svstem has a
mixture of surface and ground
water sources?
If the system has a combination of surface and ground sources, they should have
used the surface water source(s) data to determine the peak historical month. The
system should typically choose the month with the wannest water temperature for
the surface water source. If a different month was selected, the system should
provide adequate justification. An example of this might be when a low TOC
ground water source is only active during warm months and dilutes a high TOC
surface water source that is in operation year round.
If the system uses ground water only, items EPA or the state may consider are:
What are the primary
concerns for ground water
svstems?
Since the water temperature typically does not vary as much in ground water
systems, selecting a warm temperature month is not as critical. If a month other
than a warm temperature month is selected, the system should have checked high
TTHM, high HAAS, and/or provided additional justification.
What if the system has
multiple ground water
sources f
For systems with multiple ground water sources, the source of greater concern for
DBF formation should have been used to select the peak historical month. This
may include considering which has greater flow, which has higher temperatures,
or which has higher TOC and therefore a greater potential for DBF formation.
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If EPA or the state has concerns about the peak historical month selected, they should contact the system
for more information.
Monitoring Schedule
EPA or the state should check the projected monitoring schedule and confirm that monitoring is planned:
• At least at the frequency required by the rule, and
• That there is one round of sampling during the peak historical month.
EPA or the state should check the projected monitoring schedule and confirm that monitoring is planned
at least at the minimum frequency required by the rule (e.g., once a year, every 60 days, every 90 days, as
specified in Table 3-13) and that one sampling period is during the peak historical month. Note that a
system does not have to sample at exactly the frequency specified for the system. Sampling within the
same week during each required month is sufficient. For example, a system on quarterly monitoring could
sample in the third week of every third month. Holidays and sampling schedules for other water quality
programs should be considered when developing a standard monitoring schedule.
If EPA or the state has concerns about the monitoring schedule submitted, they should contact the system
for more information.
Site Selection
The most important component of the plan review is to ensure that standard monitoring sites meet the
intent of the Stage 2 DBPR: to find locations that arc most representative of high TTHM and HAAS
concentrations throughout the distribution system for Stage 2 DBPR compliance monitoring. EPA or the
state should focus on whether the system considered all key information in its determinations and that
data are not missing or misinterpreted. EPA or the state may ask the system to modify the plan in any way
they find appropriate to ensure that standard monitoring meets this goal.
Systems are required to include a summary of data they considered while selecting their standard
monitoring locations. This should include a discussion of their sources, types of data that are available,
ranges and averages of disinfectant residual concentrations, and a general discussion of distribution
system operations. This summary will serve as a basis for the review, giving EPA and states an overview
of what information is available to the system so they can determine whether the selected standard
monitoring sites adequately represent areas of the distribution system likely to have high TTHM and
HAA5 concentrations.
EPA or the state should use whatever resources are available to review site selection for each system. The
more familiar they are with the system, the more knowledgeable they will be in their review of the most
appropriate sites the system should have selected. EPA or the state should use distribution system
schematic in conjunction with the written justifications and summarized data to determine if the system's
justifications are consistent with the geographic locations of sites. EPA's IDSE Guidance Manual
includes extensive discussion of how systems can use available data to select their standard monitoring
sites.
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Use of Distribution System Map to Evaluate System Representation: Distribution system maps are
essential when making site selection decisions. Maps can help systems identify the conditions described
below:
• Pipe Dead Ends - Dead ends may occur in areas of stagnation and long water residence time.
Pipe of large diameter may have low flows, and this may result in water with long residence
times. Certain types of pipe or older pipe may allow biofilm build-up. Because biofilm degrades
HAA5, pipes with biofilm build-up may have water with lower levels of HAAS.
• Water Use - Lightly developed areas may have low flows and therefore longer water residence
times. In turn, highly developed areas may have high flows and be less likely to have high
residence times and levels of DBFs. Areas where there is a major user also may have low
residence time.
• Entry points and sources - Entry point locations may be sites of highest residual and lowest
residence time. These sites are good points of reference.
• Key components - Storage tanks, pump stations, and booster chlorination stations all have
substantial impact on residence time and DBF formation.
EPA or the state should use the system's map to ensure that the sites selected represent the entire
distribution system. The system should have chosen as many priority sites as possible, depending on how
many priority areas exist and how many sites are required. The sites should provide good geographic and
hydraulic representation. If a system does not choose sites with good geographic coverage, they must
provide adequate justification (e.g., the system has multiple plants with a wide variation in DBF levels).
Most key sites in the distribution system should also be represented in the system's Standard Monitoring
Plan. If not, EPA or the state should consider whether there is a way to redistribute the sites to include the
most important ones.
If it is hard to tell on the schematic, EPA or the state should check to see if these factors are mentioned in
the justifications.
Water Quality Data: Water quality data will usually play a key role in determining the best standard
monitoring sites. Note that distribution system data are only helpful if it is representative of the current
operating conditions and system configuration. If any substantial changes have been made to the
treatment processes (particularly the disinfection processes), distribution system operation, or physical
layout of the distribution system, the data may no longer reflect water quality in the distribution system.
• Source Water - If the system has multiple sources, the sources may have varying levels of
precursors, and therefore may produce finished water with higher DBFs or DBF potential. Areas
in the distribution system that are fed primarily by sources with higher DBFs may be better sites
for high TTHM or HAAS.
• Stage 1 DBPR Data and Other DBF Data - Existing Stage 1 DBPR monitoring data and other
operational data will be helpful in locating areas with high TTHM or HAAS concentrations.
Remember that systems cannot use Stage 1 DBPR sites themselves as any of their standard
monitoring sites. Historic data should be evaluated taking data on raw water quality at the time of
monitoring (if available) into account. For example, samples collected during a period of
particularly poor source water quality may have shown higher than normal DBF levels in the
distribution system.
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• Disinfectant Residual Data - As water ages, disinfectants will be consumed and residual levels
will drop. For this reason, low disinfectant residual can often (but not always) be considered an
indication of advanced residence time. When using residuals to estimate water age, systems
should look at the drop in residuals rather than the levels themselves.
- Keep in mind that other factors, such as pipe age, condition, material, and lining and the
presence of biofilm or sediment, can influence decay of disinfectant (resulting in low residual
levels) but not lead to high DBF levels.
- If a system uses booster chlorination, disinfectant residual levels will be elevated in areas
affected by the booster chlorination. Booster chlorination is typically used in areas where the
system has a difficult time maintaining a residual which is where water residence times are
often high, so despite high residual levels, the residence time is high.
- Sources of residual data include compliance monitoring data (SWTR residual monitoring data
or Stage 1 DBPR chlorine, chloramincs, and/or chlorine dioxide monitoring data), operational
sample data, or data from special samples taken in response to customer complaints.
• HPC Data - A system may have collected HPC data instead of or in addition to disinfection
residual levels or for other operational purposes. Elevated HPC levels may be indicative of
biofilm. Because HAA biodegrades, areas in the distribution system that have no residual and/or
elevated HPC may be areas where HAA levels have decreased.
Distribution System Operating Data: Distribution system operating data can reflect water flow patterns
through the distribution system, which is essential in understanding residence time and DBP formation
potential.
• Water flows - Pump run times, information on metcred flows between pressure zones, and billing
records for major users can all provide insight into water flow patterns. Pump run times can help
systems understand when, where, how often, and how much new water enters the distribution
system. This information, in turn, can help systems understand where and when water has the
longest residence times.
- Records of flows between pressure zones can help characterize water movement and
increased or decreased residence time.
- Analyzing the billing records for major users can indicate where there are high flows. High
flows will result in decreased residence time. As a consequence, areas of a distribution
system with a major water user may not be as likely to have high DBFs as other areas of the
distribution system. If a system's distribution system is metered, the system can use meter
records to track water usage.
- If the system has access to hydraulic modeling or tracer studies, these tools will be excellent
sources for determining average and max residence time.
• Tank level records and tank configuration - Tank operation and configuration can have a
significant impact on residence time. In general, tanks increase residence time for water and can
increase DBP formation. During tank fill times, the water in the vicinity of the tank will likely be
newer. During draw times, the water downstream of the tank will likely be older. Note, however,
that the impact of tanks on DBP formation can be complicated by individual tank configuration
and mixing characteristics. Many tanks have a common inlet and outlet (this practice is called
Stage 2 DBPR Implementation Guidance 101 August 2007
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"floating on the system"). This configuration sometimes results in the newest water leaving the
tank first; older water is only drawn out during periods of highest demand. This configuration
also prevents water mixing in the tank. During times of very high usage, areas directly
downstream of a tank with a common inlet and outlet may be receiving very old water.
• Booster chlorination - Booster chlorination is typically used in areas where the system has a
difficult time maintaining a residual. This is also often where water residence times are high. In
addition, when the disinfectant residual is increased, if precursors are still available, DBF
formation will be increased.
Review Individual Site Selection for the Four Types of Sites
EPA or the state should ensure that systems have an understanding of what factors affect DBF formation
to enable them to select sites that best represent near entry point, average residence time, high TTHM, and
high HAAS sites.
• Precursor concentration - The concentration of organic matter in the source water and the
effectiveness of removal through the treatment processes will be factors in DBF formation. If a
system has multiple sources, the sources/plants that have higher levels of precursors can be
expected to have higher DBFs. Areas in the distribution system served primarily by these sources
may therefore have higher DBFs.
• Disinfectant type and concentration - The disinfectant type has a dramatic impact on DBF
formation. Free chlorine is found to form DBFs most readily. The use of chloramines results in
very low DBF formation. When using ozone, bromate can be found as a DBF, and systems that
use chlorine dioxide can have chlorite formation. Obviously the higher the dose, the more
disinfectant is available for reaction with precursors.
• Water chemistry - Water temperature, pH, and alkalinity all impact DBF formation at the plant
and in the distribution system. In general, TTHM formation increases with increasing pH. HAASs
are more readily formed at lower pH levels.
• Water temperature — Higher temperatures typically speed up chemical reactions and can
accommodate faster DBF formation. In general (but not always), the concentration of organic
matter in water increases during the warmest months of the year and is higher in warmer climates.
In addition, because organic matter reacts with (consumes) chlorine and other chemical
disinfectants, more organic matter in the water can result in a higher chlorine demand to achieve
contact time (CT) and maintain a reliable residual throughout the distribution system. The
combination of a larger chlorine dose, faster chemical reactions, and higher concentrations of
organic matter, often result in higher TTHM and HAA5 concentrations during the warmest
months of the year.
• Residence Time - All chemical reactions take time. In general, the more time precursors have in
contact with the disinfectant, the more DBFs will be formed. This is particularly true of TTHM
concentrations which are generally highest in water that has resided in the distribution system the
longest. This is not necessarily true of HAAS that are found to form and then degrade.
• Biodegradation - HAAS formation and decomposition seems to follow a pattern that is different
from that of TTHM in the distribution system. While TTHM concentrations are generally highest
at the points in the system with the longest residence times, research suggests that HAAS seem to
form and then decompose due to "biodegradation." Where biological activity is prevalent in the
Stage 2 DBPR Implementation Guidance \ 02 August 2007
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distribution system (pipe with biofilm, areas with no disinfectant residual or high HPC), HAA5
levels may not be at their highest despite advanced residence time.
A number of factors may require professional judgment, including:
• Geographic representation - Sites should represent the entire distribution system. If a system is
deciding between two monitoring sites, it may be appropriate to select the site that improves
coverage of the entire distribution system (e.g., a site in a remote area of the distribution system).
Keep in mind that systems will continue to sample under Stage 1 DBPR, so these high sites are
already represented.
• Hydraulic representation - Systems should attempt to include sites that represent all pressure
zones. In some situations, sites close to each other may represent different hydraulic zones.
• Multiple sources - If a system has multiple sources, they will want to consider the DBF formation
potential of the sources and may want to select more sites in areas fed by sources with higher
precursors and higher DBF formation potential.
• Multi-task sites - In some cases, one site may represent several potential causes for DBF
formation. For example, a site located at the edge of the distribution system, downstream of a
tank, and with low residual levels may cover three potential causes for DBF formation.
• Accessibility - Monitoring sites must be accessible throughout the year. Public buildings and
TCR sampling sites arc examples of sites that are accessible year-round.
Near Entry Point Standard Monitoring Sites
When reviewing near entry point sites, EPA or the state should consider the following items:
• Location - The location of the near entry point site is important. The Stage 2 DBPR does not
define near entry point sites explicitly, but they should be located between the entrance to the
distribution system and the first customer, but no later than the first customer.
• More entjy points than near entry point locations — If the system has more entry points than
required near entry point locations, EPA or the state should verify if the system selected entry
points with the highest annual water flow.
• Fewer entry points than near entry point locations — If the system has fewer entry points than
required near entry point sites, EPA or the state should make sure that the system replaced the
remaining samples with locations of high TTHM and HAA5 concentrations, alternating between
locations of high TTHM concentrations and locations of high HAAS concentrations.
- In cases where there is an odd extra location, the system must sample at a location of high
TTHM concentration. For example, if the system needs three additional samples, it must take
two samples at locations of high TTHM concentration and one sample at a location of high
HAA5 concentration.
- Although the distribution of site types may be different than listed in Table 3-13, the total
number of sites must be the same.
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Average Residence Time Standard Monitoring Sites: Average residence time is the average age of water
delivered to the majority of customers in a distribution system. In most distribution systems, average
residence time is not simply one-half the maximum residence time. Ideally, it should be a flow-weighted
or population-weighted analysis. EPA recognizes that determining this value is very complex. Systems
should rely heavily on professional judgment and many will need to use a rough estimate of average
residence time.
Estimating average residence time requires a thorough understanding of the distribution system. A system
map, used in conjunction with hydraulic modeling (if available), system operating data and disinfectant
residual data can help systems to identify areas that are representative of average residence time.
• One of the best ways to calculate average residence time is by using a hydraulic model. A
hydraulic model can take into account water flows and water use patterns.
• If modeling or tracer studies are not an option, the system may want to consider analyzing water
flows using pump run data and metering information.
• Systems can also use disinfectant residual as a surrogate for residence time. The theory is based
on the assumption that sites with average residual may be representative of average residence
time.
- When calculating average disinfectant residual, it is important to consider data from sites that
are representative of the entire distribution system. One way to do this is to examine data
collected at TCR monitoring sites (the TCR requires that all monitoring sites combined
represent the distribution system). Using averages from individual monitoring sites, systems
can calculate an overall distribution system average residual concentration. Individual sites
with an average residual close to the distribution system average can be considered
representative of average residence time in the distribution system.
- As discussed earlier, if this option is used, the system has to be aware that some factors other
than residence time can result in an increased or decreased residual. Residual data collected
after booster chlorination should be omitted unless the system can estimate what the residual
would be without the added disinfectant. Residual data collected in areas of the distribution
system that are known to have biofilm growth or other factors that consume residual should
also be omitted.
Appropriate justification for average residence time sites differs for systems of different complexity and
size. For small systems with straightforward distribution system layouts (e.g., simple branched layout or a
small looped system) and few large customers, the average residence time site should be generally in the
geographic center of the distribution system.
Systems with multiple sources and multiple pressure zones face a greater challenge in locating sites with
average residence time. Systems with complex distribution systems should have evaluated disinfectant
residual data or used a hydraulic model or tracer study to select average residence time sites. EPA or the
state should verify that the system located average residence time sites in each pressure zone and/or in the
area influenced by each source if possible.
High TTHM Standard Monitoring Sites: TTHM formation is strongly influenced by residence time. In
addition, TTHM formation generally increases with increasing pH. TTHM sites should not be located at
dead ends with no users. The sampling should be representative of water that is being consumed, not
stagnant water. EPA or the state should verify that sites selected near dead ends are located before the last
Stage 2 DBPR Implementation Guidance 104 August 2007
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customer or group of customers, not at the very end of the dead end line. In addition, sites should be
upstream of booster chlorination and after the last hydrant or blowoff.
Because TTHM formation is strongly related to water age, EPA or the state should verify that the system
has chosen high TTHM sites that are expected to have long residence times. Excellent sites for high
TTHM include:
• Tanks - down-gradient of storage facilities, which have increased residence time.
• Low flows - sparsely populated areas with low flows.
• Geographic dead ends - areas that arc physically located at the end of a water main or group of
water mains without looping back to the main portion of the distribution system. However, do not
sample stagnant water after the last customer. The purpose is to sample water that customers are
consuming.
• Hydraulic dead ends and mixing zones - areas in which there is little movement of water.
• After booster chlorination - where formation will have increased due to more available
disinfectant.
• Low or no residual (i.e., relative to initial disinfectant levels) - likely advanced residence time.
• Low water use in general - lightly developed areas where water is allowed to age.
• Areas with high historic TTHM levels - systems cannot use Stage 1 DBPR sites for standard
monitoring. Systems should be collecting new data, so they should locate sites where they are not
already sampling.
High HAA5 Sites: Different systems may find high HAAS sites in locations with different characteristics.
HAA5 formation and decomposition seems to follow a pattern that is different from that of TTHM in the
distribution system. While TTHM concentrations are generally highest at the points in the system with the
longest residence times, research suggests that HAAS seem to form and then decompose. The
consumption of HAAS by microorganisms is known as biodegradation, which is more likely to occur
when disinfectant residual levels are low or non-existent, particularly in warmer months. Therefore, a
high HAAS site will not necessarily be the site with the longest residence time, and may even be at a site
with shorter residence time. Systems should have started by examining their existing Stage 1 DBPR data
to determine which areas tend to have higher HAAS concentrations.
EPA or the state should verify that the system considered the more complex nature of HAAS formation
and degradation. They should have chosen sites where DBPs arc expected to be high, but should
differentiate between those sites expected to have high HAAS versus those with high TTHM.
Biofilm degrades HAA, so pipes with biofilm build-up may have water with low levels of HAA. Areas of
known biofilm growth should be avoided when choosing high HAAS sites, although these sites may still
be considered for high TTHM. HPC data may indicate where areas with biofilm build-up are located.
Areas with difficulty maintaining a disinfectant residual (< 0.2 mg/L chlorine or < 0.5 mg/L chloramines)
should also be avoided.
Sites should target areas with a low but detectable residual. This will indicate high residence time but a
low likelihood of biodegradation. Good sites for HAAS include:
Stage 2 DBPR Implementation Guidance 105 August 2007
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• After booster chlorination - where formation will have increased due to more available
disinfectant and where any biodegradation will be halted.
• Low but delectable residual (i.e., relative to initial levels) - likely advanced residence time but
not sites likely to have biofilm.
• Areas with high historic HAAS levels - however, keep in mind that the system cannot use Stage 1
DBPR sites for standard monitoring. The idea is to get more data, so systems want to locate sites
where they are not already sampling.
• Other sites include:
- Tanks - increased residence time.
- Dead ends - low flows. However, do not sample stagnant water after the last customer. The
purpose is to sample water that customers are consuming.
- Hydraulic dead ends and hydraulic mixing zones.
- Low water use in general - lightly developed areas where water is allowed to age.
Remember that high HAAS sites must be independent of the high TTHM sites. Make sure the system did
not count any sites as both high TTHM and high HAA5 sites and that the total number of required sites
are selected.
Review Justifications for Adequacy
For high TTHM, high HAA5, and average residence time sites, EPA or the state will need to read the
justifications and determine if they are adequate. The purpose of the justification is to explain to the
reviewer why the site was selected. The information provided should convince the reviewer that the
system considered all available data, understood their data analysis, and selected the most appropriate site
given the information available. Examples of adequate and poor justification are provided in Example 3-
3.
Stage 2 DBPR Implementation Guidance 106 August 2007
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Example 3-3. Examples of Justification
Examples of Adequate Justifications
High TTHM site: Site #4 is at the extreme end of the distribution system, down gradient of a tank with a low turn-
over rate. It is in a residential area with primarily 6-inch pipes and with chlorine residual ranging from 1.0 to 1.2 in
the summer.
High HAA5 site: Site #6 is an area that has relatively high water age, but because it is down gradient of booster
chlorination we do not anticipate biodegradation. Chlorine residuals are high at this site (approx 1.5 mg/L year
round). It is on a 12-inch water main.
Examples of Poor Justifications
"Site #1 is a high TTHM site."
In this example, there is insufficient justification provided regarding why Site #1 is a high TTHM site.
"Site #3 is a high HAAS site. Stage 1 DBPR site A has had high HAAS's, so we located standard monitoring site #3
right next to it."
This justification works against the need for geographic representation of sampling sites because the system is
proposing two sites next to each other.
More examples are available in EPA's IDSE Guidance Manual.
Modifying and Approving a Standard Monitoring Plan
EPA or the state has 12 months after the submission deadline to complete the review of Standard
Monitoring Plans.
All correspondence between the system and the reviewer should be included in the 12-month period and
does not extend the ultimate approval deadline, unless the reviewer notifies the system that the plan is still
under review. If EPA or the state has any concerns about a plan during the review, they can contact the
system to ask for additional information or request modifications. When the system has not included
enough information or when reviewing more complex systems, EPA or the state should discuss changes
with the system. If EPA or the state determines, based on the new information, that the sites are
appropriate, the additional information can be included in the Standard Monitoring Plan and the review
completed. However, if the system is unable to provide adequate justification, EPA or the state should
work with the system to select alternative sites.
EPA or the state should notify the system in writing when its plan is approved. After the review is
completed and the plan has been approved, EPA or the state should send a copy to the system for its
records. If changes were made after the original submission, EPA or the state should send a copy of the
approved plan to the system for its records. If EPA is reviewing plans all correspondence and
recordkeeping will be through the IPMC.
If the review is not completed within the 12-month period, EPA or the state must contact the system to let
them know that the review requires additional time. All correspondence between the system and the
reviewer is included in this 12-month period and does not extend the ultimate approval deadline.
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If EPA or the state does not approve the system's plan within 12 months of the required submission date
or notify the system that their review is not complete, the system can consider the plan approved and
conduct standard monitoring as proposed in the plan.
States should be aware that approving the plan within 12 months is critical for enabling systems to meet
their compliance deadlines. If EPA or a state is unable to approve the plan within this timeframe, they will
need to provide the system with an alternate schedule for their standard monitoring (i.e., new sampling
dates) and their IDSE Report.
3.11.2 IDSE Reports for Standard Monitoring
All systems that conduct standard monitoring must submit an IDSE Report [§141.601(c)] to the state. The
primary purpose of the IDSE Report is to provide EPA or the state with the system's recommendations
for where and at what frequency Stage 2 DBPR compliance monitoring will be conducted. In addition, the
system must provide justification for these selections. When completing the IDSE Report, systems have
the option of using the IDSE Report for Standard Monitoring Form (Form 5) in Appendix E.
EPA or the state may approve or modify the sites chosen by the system. The number and frequency of
samples must comply with those presented in Table 3-17. Systems must follow the site selection protocol
in this subsection unless they provide EPA or the state with adequate justification for alternate sites.
EPA or the state has a limited amount of time after the submission deadline to request modifications or
approve the IDSE Report or contact the system to let them know that the review is not complete. The
EPA or state deadlines for IDSE Reports approval, modification or notification are listed in Table 3-1.
The deadlines are within 3 months of the submission deadline for systems on Schedules 1, 2 and 4, and
within 9 months of the submission deadline for systems on Schedule 3. Note that this is 3 or 9 months
from the submission deadline, not the actual date of submission. If the system does not receive approval
or modification of the report, or notification that EPA or the state has not completed their review within
that 3- or 9-month period, the system may consider the report approved as submitted and use the Stage 2
DBPR compliance monitoring sites recommended in the report.
If EPA or the state needs additional time for the review, they can contact the system within the 3 or 9
month period and let them know that the review requires additional time.
3.11.2.1 Review of Required Elements for Standard Monitoring IDSE Report
The basic elements required for the IDSE Report are listed in the checklist in Table 3-14.
Table 3-14. IDSE Report for Standard Monitoring, Required Elements Checklist
Check if
Provided
0
D
D
D
Required Element
Explanation of any deviations from approved Standard Monitoring
Plan
TTHM and HAAS analytical results from Stage 1 DBPR monitoring
and IDSE standard monitoring
Recommendations and justification of Stage 2 DBPR compliance
monitoring sites
Section in Form 7
III & VII
III
IV
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Check if
Provided
0
D
D
D
D
Required Element
Proposed Stage 2 DBPR Compliance Monitoring Schedule
Section in Form 7
V.C
If changed from the approved Standard Monitoring Plan:
• Distribution system schematic
• Population served by the system
• Source water type (Subpart H or ground water)
V]
I.A
l.A
If some of the required elements on the checklist in Table 3-14 are missing, EPA or the state should
contact the system to request the missing information. If all boxes are checked, all required elements have
been submitted.
3.11.2.2 Technical Review of Standard Monitoring IDSE Report
The purpose of the technical review of the IDSE Report is to ensure that:
• The system's recommended Stage 2 DBPR compliance monitoring locations are in accordance
with the protocol set in §141.605, or
• That the system provided adequate justification for alternative locations, and
• That the system has chosen appropriate dates on which to sample for Stage 2 DBPR compliance.
In addition, EPA or the state should check the IDSE Report against the Standard Monitoring Plan to
ensure that the system conducted standard monitoring in accordance with the approved plan. If the system
deviated from the plan, it should have explained why changes were made. If no explanation was provided
or if the justification for changes is not adequate, EPA or the state may want to contact the system for
more information.
Site Selection for Compliance Monitoring
Systems must use the protocol in Table 3-15 to select their Stage 2 DBPR compliance monitoring sites
using a combination of their Stage 1 DBPR data and data collected for the IDSE. If a system is required to
select more than eight sampling sites it must return to the top of the protocol, each time selecting from
those sites that have not already been identified for Stage 2 DBPR monitoring until the required number
of sites has been selected. Examples of Stage 2 DBPR site selection using the protocol can be found in
EPA's IDSE Guidance Manual
If a system arrives at Step 3 or Step 7 and has no more Stage 1 DBPR sites to select from, the system
should skip these steps and continue with the protocol as necessary, until it has identified the required
total number of monitoring locations. This may happen if the Stage 1 DBPR sites have the highest TTHM
or HAA5 LRAAs and were previously selected, if the system is a consecutive system and had little or no
Stage 1 DBPR data, or if the system is very large but has few treatment plants. When this occurs, the
correct total number of sites will be selected, but the distribution between TTHM, HAA5 and Stage 1
DBPR sites will be different than shown in Table 3-17.
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Table 3-15. Protocol for Selecting Stage 2 DBPR Compliance Monitoring Sites
Steps'
(required by rule)
1
2
3
4
5
6
7
8
Select the location with the highest TTHM LRAA
Select the remaining location with the highest HAAS LRAA
For Subpart H systems: Select the remaining existing Stage 1
DBPR average residence time compliance monitoring location
with the highest HAAS LRAA
For ground water systems: Select the remaining existing Stage 1
DBPR maximum residence time compliance monitoring
location with the highest HAAS LRAA
Skip this step if you have no more Stage I DBPR sites
Select the remaining location with the next highest TTHM
LRAA.
Select the remaining location with the next highest TTHM
LRAA
Select the remaining location with the next highest HAAS
LRAA
For Subpart H systems: Select the remaining existing Stage 1
DBPR average residence time compliance monitoring location
with the highest TTHM LRAA
For ground water systems: Select the remaining existing Stage 1
DBPR maximum residence time compliance monitoring
location with the highest TTHM LRAA
Skip this step if you have no more Stage 1 DBPR
Select the remaining location with the next highest HAAS
LRAA
Stage 2 Compliance Monitoring Sites
Selected 2
1s1 highest TTHM site
1st highest HAAS site
1s1 Stage 1 DBPR site
2nd highest TTHM site
3rd highest TTHM site
2nd highest HAAS site
2nd Stage 1 DBPR site
3rd highest HAAS site
If you need more Stage 2 DBPR compliance monitoring locations, Go back to Step 1 of this protocol and repeat
the steps until you have selected the required number of total sites.
1. All steps are based on calculated LRAAs for standard monitoring sites and Stage 1 DBPR compliance monitoring
sites. This means that existing Stage 1 DBPR sites can be selected in steps other than 3 or 7. Systems will stop when
they reach the required number of Stage 2 DBPR compliance monitoring sites.
2. Systems cannot select the same site as a highest TTHM and a highest HAAS compliance monitoring site.
EPA or the state should review the IDSE Report to assure that the system followed the site selection
protocol correctly. EPA or the state should check that the system used the correct type of Stage 1 DBPR
site in Step 3 and Step 7, depending on the system's source type. If EPA or the state has concerns that the
protocol was not properly followed, they should contact the system for more information.
Although the site selection protocol is designed to select Stage 2 DBPR compliance monitoring sites
based on the highest LRAA, EPA recognizes that a slight difference between LRAAs measured at two
sites may not be meaningful given the normal variability that may occur at a site over time. As a result,
the selection of a Stage 2 DBPR compliance monitoring site with a slightly lower LRAA may be
acceptable if other factors, such as those listed below, favor the site with the lower LRAA. It will be
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important for EPA or the state to consider the system's justifications (see Example 3-4) to determine
whether the goal of choosing representative high TTHM and HAAS sites has been met.
• The system may want to choose an alternate site to provide for more complete geographic
coverage of the entire distribution system.
• The system may want to choose a site at which it has been sampling for the Stage 1 DBPR over
another site in order to maintain a historical record.
• Sampling at a particular site may provide the system with the opportunity to collect other water
quality or operational data (e.g., systems using chloramines may want to collect nitrate data at
that site).
Example 3-4. Example Rationale for Site Selection Outside of Protocol
Standard monitoring site #3 has the next highest TTHM LRAA at 0.043 mg/1. This site would be
selected next based on the protocol, however, Stage 1 DBPR site #1 is in the same vicinity of the
distribution system and the TTHM LRAA at this site is 0.041 mg/1 which is only slightly lower. We
have chosen to use Stage 1 DBPR Site #1 as the next Stage 2 DBPR site as we feel that it would be
useful to maintain a historical record at this site.
Sampling schedule
As with the standard monitoring and SSS Plans, the IDSE Report will require systems to determine a
"peak historical month" and then to set the remainder of the sampling months at regular frequencies from
that month. Systems should use the same peak historical month determined in their Standard Monitoring
Plan, unless new data indicate a different month is more appropriate. EPA or the state can evaluate the
peak historical month using the criteria in section 3.11.1.4 and any new data collected during the IDSE.
EPA or the state should check the projected monitoring dates and confirm that monitoring is planned at
least at the minimum frequency required by the rule (shown in Table 3-17). Note that a system does not
have to sample at exactly the frequency specified for the system. Sampling within the same week during
each required month is sufficient. For example, a system on quarterly monitoring could sample in the
third week of every third month. Likewise, systems do not have to sample all locations on the same day,
and can spread sampling out so long as they meet schedule requirements.
3.12 Stage 2 DBPR Compliance Monitoring Plan
All systems subject to Stage 2 DBPR must develop a Stage 2 DBPR Compliance Monitoring Plan
[§141.622]. This plan is similar to the Stage 1 DBPR monitoring plan in that it will identify how systems
intend to sample for compliance with the Stage 2 DBPR. Systems must prepare a plan prior to the date
they are required to begin their Stage 2 DBPR compliance monitoring and must keep their plan on file for
state and public review. In addition, by that same date, Subpart H system serving more than 3,300 people
must submit their monitoring plan to EPA or the state.
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The Compliance Monitoring Plan must include the following information:
• Monitoring locations.
• Monitoring dates.
• Compliance calculation procedures.
3.12.1 Systems that Submitted an IDSE Report
Systems that conducted standard monitoring or an SSS must have included the first two items, their
monitoring locations and monitoring dates, in their IDSE Report. If these systems also included their
compliance calculation procedures in their IDSE Report, then their IDSE Report can serve as their
Compliance Monitoring Plan, and they will not need to submit a separate plan.
However, if a system that conducted standard monitoring or an SSS did not include all the information
required for Compliance Monitoring Plan in their IDSE Report, they are required to prepare a Compliance
Monitoring Plan. The Compliance Monitoring Plan must reflect recommendations of the IDSE Report
and any state-mandated changes to the IDSE Report.
3.12.2 Systems that Did Not Submit an IDSE Report
Some systems subject to the Stage 2 DBPR arc not required to submit an IDSE Report, and therefore they
must prepare a Compliance Monitoring Plan. These systems are:
• Systems that qualified for a VSS Waiver.
• Systems that received a 40/30 Certification.
• Nontransient noncommunity systems serving fewer than 10,000 people.
In their Compliance Monitoring Plan, these systems must select their Stage 2 DBPR monitoring locations
and dates and must discuss the compliance calculation procedures in their plan. Some of these systems
can comply by updating their Stage 1 DBPR monitoring plan (i.e., identify additional locations for
compliance monitoring by alternating locations with high TTHM and HAAS levels until the required
number of locations has been identified), which was developed under §141.132(f).
If a system has more Stage 1 DBPR sites than the number required for Stage 2 DBPR compliance
monitoring, they must select sites by alternating between locations representing high TTHM and high
HAAS levels until the required number of Stage 2 DBPR compliance monitoring locations have been
identified.
If a system has fewer Stage 1 DBPR sites than the number required by the Stage 2 DBPR, the system
must begin by using the existing Stage 1 DBPR sites. They then must select additional locations by
identifying sites in the distribution system with anticipated high DBP levels, alternating selection of
locations representing high TTHM levels and high HAAS levels, starting with high TTHM. The system
must include the rationale for identifying locations as having high levels of TTHM or HAAS in their plan.
This process will be similar to the process used in selecting standard monitoring sites. The state may want
to refer to section 3.11.2.2 for guidance on reviewing monitoring plans when the system had to identify
additional sites.
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3.12.3 Combined Distribution Systems the State has Decided to Treat as One System
The state may modify the Stage 2 DBPR compliance monitoring requirements by treating the systems in a
combined distribution system as a single system to the extent that the interconnection of the systems
justifies such modifications [§141.29]. This option is discussed in more detail in section 3.18.
3.12.4 Changes to a Monitoring Plan
If a system makes any changes in treatment, distribution system operations and layout, or other factors
that may affect TTHM or HAA5 formation, these changes may warrant a modification to their monitoring
locations. In this case the system must revise their Compliance Monitoring Plan. The system must consult
with the state regarding the need for the changes and the most appropriate modifications. The revised sites
must replace existing compliance monitoring locations with expected high TTHM or HAA5 levels.
Modifications to the Compliance Monitoring Plan may be initiated by the system, or the state may require
the modifications. If the state becomes aware of major system changes (in the process of review of plans
and specifications or during technical assistance, sanitary survey, or other system site visit), the state
should consider if these system changes have a likelihood of affecting relative DBP levels in the
distribution system.
System changes that may warrant modifications to a systems' monitoring plan may include:
• Adding or removing a source.
• Adding or removing a booster chlorination site
• Adding or removing a storage tank.
• Adding a new service area.
• Changes to the primary or residual disinfectant site or type (but only if the change is expected to
impact relative DBP levels in the distribution system).
3.12.5 Reporting and Recordkeeping Requirements for Compliance Monitoring Plan
All systems must keep their Stage 2 DBPR Compliance Monitoring Plan (or their IDSE Report if it serves
as their monitoring plan) on file for state and public review.
Subpart H systems serving more than 3,300 people are also required to submit copies of their monitoring
plan or any modified monitoring plan to the state before they begin compliance monitoring.
3.13 Stage 2 DBPR Compliance Monitoring Deadlines
Table 3-16 summarizes the deadlines for Stage 2 DBPR for TTHM and HAA5 compliance monitoring
[§141.620(c)]. Systems required to conduct quarterly monitoring must begin monitoring in the first full
calendar quarter that includes the compliance deadline. If the system is required to conduct monitoring at
a frequency that is less than quarterly, it must begin monitoring in the calendar month recommended in
the IDSE Report, or in the monitoring plan if the IDSE Report does not specify a month. Monitoring must
begin no later than 12 months after the compliance date in Table 3-16.
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Since compliance monitoring deadlines for each schedule are more than 3 years after the system
submitted their IDSE Report, states may want to consider sending reminders to systems in the quarter
prior to the compliance deadline. These reminders could reiterate that the system will be switching from
their Stage 1 DBPR monitoring locations and dates to the new Stage 2 DBPR locations and dates, and that
compliance will then be based on the LRAA rather than the RAA.
Table 3-16. Compliance Schedule for Stage 2 DBPR TTHM and HAAS Monitoring
Requirement
Begin Stage 2
DBPR
Compliance
Monitoring2
Compliance dates by PWS size (retail populations served)1
CWSs and
NTNCWSs
serving at least
100,000
April 1,2012
CWSs and
NTNCWSs
serving 50,000-
99,999
October 1,2012
CWSs and
NTNCWSs
serving 10,000-
49,999
October 1,2013
CWSs serving
< 10,000
October 1,2013
(October 1,2014
if Crypto-
sporidium
monitoring is
required under
Subpart W.)
NTNCWSs
serving <1 0,000
October 1,2013
(October 1,20 14
if Crypto-
sporidium
monitoring is
required under
Subpart W.)
1. Wholesale and consecutive systems that are part of a combined distribution system must comply based on the
schedule required of the largest system in the combined distribution system.
2. States may grant up to 2 years for systems making capital improvements. See Appendix 1 for guidance on
reviewing extension requests under Section 1412(b)(10) of the SDWA.
3.13.1 System Requests for Compliance Schedule Extensions
Under Section 1412(b)(10) of the SDWA, the state may grant up to a 2-year extension on a system-by-
system basis for systems requiring capital improvements to meet Stage 2 DBPR. Beginning April 1, 2006,
systems must comply with the Stage 2 DBPR LRAA MCLs for TTHM and HAAS within 6 to 8.5 years
but, with a 2-year extension, could have 8 to 10.5 years to comply.
States should consider requiring the system to enter into an extension agreement, with construction
milestones and interim activities that the system will undertake to protect public health during this
extension period. States may wish to develop information and procedures on the specific content of the
extension request and consider developing and providing forms or templates for the system's use. See
Appendix 1 for guidance on reviewing extension requests under Section 1412(b)(10) of the SDWA.
3.14 Stage 2 DBPR Routine Monitoring
3.14.1 TTHM and HAAS
Table 3-17 shows the Stage 2 DBPR routine compliance monitoring requirements for TTHM and HAA5
[§141.621].
Subpart H systems serving more than 3,300 people and ground water systems serving 10,000 or more
people are required to collect dual samples (monitoring for both TTHM and HAA5) at each monitoring
location. Subpart H systems, serving 3,300 and fewer people and ground water systems serving fewer
than 10,000 people systems can collect one sample at each site. These systems will collect a TTHM
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sample at the site identified as a high TTHM site and an HAAS sample at the site identified as a high
HAA5 site. If one site is identified as high for both TTHM and HAAS, one dual sample may be taken at
this site.
All systems must sample during the month of highest DBF formation.
Table 3-17. Stage 2 DBPR Routine Compliance Monitoring Requirements
Source Water
Type
Subpart H
Ground Water
Population Size
Category
<500
500-3.300
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1 .000,000-4.999.999
> 5.000,000
<500
500-9,999
10,000-99,999
100,000-499,999
> 500,000
Monitoring
Frequency '
per year
per quarter
per quarter
per quarter
per quarter
per quarter
per quarter
per quarter
per year
per year
per quarter
per quarter
per quarter
Distribution System Monitoring Location Total
per Monitoring Period 2
2
2
2
4
8
12
16
20
2
2
4
6
8
1. All systems must take at least one dual sample set during the month of highest DBP concentrations.
2. Systems on quarterly monitoring must take dual sample sets every 90 days at each monitoring location, except for
Subparl H systems serving 500-3,300. Systems on annual monitoring and Subpart H systems serving 500-3,300 are
required to take individual TTHM and HAAS samples (instead of a dual sample set) at the locations with the highest
TTHM and HAAS concentrations, respectively. Only one location with a dual sample set per monitoring period is
needed if highest TTHM and HAAS concentrations occur at the same location (and month, if monitored annually).
3.14.2 Bromate and Chlorite Monitoring
CWSs and NTNCWSs using ozone are required to conduct bromate monitoring. The MCL for bromate
for systems using ozone remains 0.010 mg/L (measured as an RAA) for samples taken at the entrance to
the distribution system as established by the Stage 1 DBPR.
The criterion, however, for a system using ozone to qualify for reduced bromate monitoring has changed
from demonstrating low levels of bromide in the source water, a precursor to bromate when ozonation is
used, to demonstrating low levels of bromate in the finished water. Under the Stage 2 DBPR, reduced
monitoring criteria are based on the bromate RAA of 0.0025 mg/L or less [§141.132(b)(3)(ii)]. New
analytical methods that are more sensitive than older methods have become available, allowing bromate
to measured to levels of 0.001 mg/L or lower. The Stage 1 DBPR requirements are effective until March
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31, 2009, after which time systems must meet the requirements included in the Stage 2 DBPR (see section
3.15.2 for information on reduced bromate monitoring).
Additionally, EPA has reduced the MRL for chlorite to 0.020, based on approved analytical methods for
determining compliance with the chlorite MCL [§141.131]. EPA recognizes that numerous PWSs have
been obtaining data on low concentrations and have been using the data in their CCRs. Setting the MRL
at 0.020 mg/L is reflective of current laboratory practices and current data expectations by water systems.
This change does not affect the system monitoring or compliance with the chlorite MCL established
under the Stage 1 DBPR.
3.15 Stage 2 DBPR Reduced Monitoring
3.15.1 Reduced TTHM and HAAS Monitoring
The criteria to qualify for reduced TTHM and HAA5 monitoring remain consistent with those included in
the Stage 1 DBPR. Systems may qualify for reduced monitoring if:
• TTHM LRAA at each monitoring location is no more than 0.040 mg/L.
• HAAS LRAA at each monitoring location is no more than 0.030 mg/L.
• The annual average TOC level at each treatment plant is 4.0 mg/L or less for Subpart H systems
(discussed in more detail below).
[§141.623]
Note that reduced monitoring is not allowed on a location-by-location basis. All sites must meet the
criteria in order for the system to reduce monitoring.
Systems required to monitoring quarterly under routine monitoring must continue to meet these criteria in
order to remain on reduced monitoring. For systems on annual or less frequent routine monitoring the
LRAAs for TTHM and HAAS must remain no higher than 0.060 mg/L and 0.045 mg/L, respectively and
Subpart H systems must continue to meet the TOC criteria.
If reduced monitoring results indicate that a system is no longer eligible for reduced monitoring, the
system must resume routine monitoring the quarter immediately following the monitoring period in which
the system exceeded the specified levels for reduced monitoring.
If a system that is required to monitor annually or less frequently on routine monitoring exceeds the
TTHM and HAAS MCL, this system must go to increased monitoring in the quarter immediately
following the monitoring period in which the system exceeded the MCL.
The state may also use its discretion to return a system to routine monitoring.
3.15.1.1 Source Water TOC for Reduced Monitoring for DBPs
The Stage 2 DBPR specifies a sampling frequency for all systems taking TOC source water samples.
Beginning April 1, 2008 (unless the state specifies an earlier date), systems must take TOC samples every
30 days at a location prior to treatment to qualify for reduced monitoring [§141.132(b)(l)(iii)]. These
samples must be averaged quarterly for the most recent 4 quarters, which are used to calculate an RAA. If
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the system's RAA for TOC is 4.0 mg/L or lower and it meets the criteria listed in section 3.16.1.1 for
TTHM and HAAS, then the system qualifies for reduced DBF monitoring.
Systems on a reduced Stage 1 DBPR monitoring schedule will need to conduct Stage 2 DBPR
compliance monitoring on a routine monitoring schedule until they have collected sufficient TOC data to
qualify for reduced monitoring.
Once the system is on reduced monitoring, it can reduce its TOC monitoring to every 90 days to remain
on reduced monitoring.
Table 3-18. Stage 2 DBPR Reduced Monitoring Requirements for All Systems
Source
Water
Type
Subpart H
Ground
Water
Population
Size
Category
<500
500-3,300
3,301-9,999
10,000-
49,999
50,000-
249,999
250,000-
999,999
1,000,000-
4,999,999
> 5,000,000
<500
500-9,999
Monitoring
Frequency '
-
per year
per year
per quarter
per quarter
per quarter
per quarter
per quarter
every third
year
per year
Distribution System Monitoring Location per Monitoring Period
monitoring may not be reduced
1 TTHM and 1 HAA5 sample: one at the location and during the quarter
with the highest TTHM single measurement, one at the location and
during the quarter with the highest HAAS single measurement; 1 dual
sample set per year if the highest TTHM and HAA5 measurements
occurred at the same location and quarter.
2 dual sample sets: one at the location and during the quarter with the
highest TTHM single measurement, one at the location and during the
quarter with the highest HAAS single measurement
2 dual sample sets at the locations with the highest TTHM and highest
HAAS LRAAs
4 dual sample sets - at the locations with the two highest TTHM and two
highest HAAS LRAAs
6 dual sample sets - at the locations with the three highest TTHM and
three highest HAAS LRAAs
8 dual sample sets - at the locations with the four highest TTHM and four
highest HAAS LRAAs
10 dual sample sets - at the locations with the five highest TTHM and five
highest HAAS LRAAs
1 TTHM and 1 HAAS sample: one at the location and during the quarter
with the highest TTHM single measurement, one at the location and
during the quarter with the highest HAAS single measurement; 1 dual
sample set per year if the highest TTHM and HAAS measurements
occurred at the same location and quarter.
1 TTHM and 1 HAAS sample: one at the location and during the quarter
with the highest TTHM single measurement, one at the location and
during the quarter with the highest HAA5 single measurement; 1 dual
sample set per year if the highest TTHM and HAA5 measurements
occurred at the same location and quarter.
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Source
Water
Type
Population
Size
Category
10,000-
99,999
100,000-
499,999
> 500,000
Monitoring
Frequency '
per year
per quarter
per quarter
Distribution System Monitoring Location per Monitoring Period
2 dual sample sets: one at the location and during the quarter with the
highest TTHM single measurement, one at the location and during the
quarter with the highest HAA5 single measurement.
2 dual sample sets; at the locations with the highest TTHM and highest
HAAS LRAAs.
4 dual sample sets at the locations with the two highest TTHM and two
highest HAAS LRAAs
1. Systems on quarterly monitoring must take dual sample sets every 90 days.
3.15.1.2 Remaining on Reduced Monitoring based on Stage 1 DBPR
Systems that were on reduced monitoring for TTHM and HAA5 under Stage 1 DBPR may remain on
reduced monitoring under Stage 2 DBPR if they meet all of the following criteria:
• They received a VSS Waiver or 40/30 Certification for IDSE.
• They meet the reduced monitoring criteria under Stage 2 DBPR.
• They will be monitoring at the same locations for Stage 2 DBPR as they did for Stage 1 DBPR.
If the system was required to identify additional Stage 2 DBPR sites or select a fewer number of Stage 2
DBPR sites compared to their Stage 1 DBPR sampling, they may not remain on reduced monitoring and
must begin routine monitoring as outlined in 3.14. Systems can regain their reduced monitoring status
once reduced monitoring criteria under Stage 2 DBPR are met.
3.15.2 Reduced Monitoring for Bromate
CWSs and NTNCWSs using ozone are required to conduct bromate monitoring. The MCL for bromate
for systems using ozone remains 0.010 mg/L (measured as an RAA) for samples taken at the entrance to
the distribution system as established by the Stage 1 DBPR. However, the criterion for a system using
ozone to qualify for reduced bromate monitoring has changed from demonstrating low levels of bromide
in the source water to demonstrating low levels of bromate in the finished water. Bromide is the precursor
for bromate when ozonation is used. Under the Stage 2 DBPR, reduced monitoring criteria are based on
the bromate RAA of 0.0025 mg/L or less [§141.132(b)(3)(ii)]. New analytical methods, that are more
sensitive than older methods, have become available allowing bromate to be measured to levels of 0.001
mg/L or lower. The Stage 1 DBPR requirements are effective until March 31, 2009, after which time
systems must meet the requirements included in the Stage 2 DBPR.
Under the Stage 2 DBPR, systems must have 1 year of data with bromate samples analyzed under a new
analytical method to qualify for reduced bromate monitoring, now that more sensitive bromate methods
are available. Beginning April 1, 2009, systems must have a bromate RAA of 0.0025 mg/L or less based
on 1 year of monthly data to qualify for reduced bromate monitoring. Therefore, systems sampling for
bromate under the Stage 1 DBPR will need to collect new data to qualify for reduced monitoring under
the Stage 2 DBPR. These systems may choose to stop monitoring for bromide in March 2008 and begin
monthly monitoring for bromate using an approved analytical method. This will enable systems to qualify
for reduced bromate monitoring on April 1, 2009, if their RAA based on their bromate data is 0.0025
mg/L or less.
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After qualifying for reduced monitoring, systems may remain on reduced monitoring if they continue to
have a bromate RAA of 0.0025 mg/L or lower. If their RAA exceeds 0.0025 mg/L, the system must
return to routine bromate monitoring the following month under §141.132(b)(3)(i).
3.16 Stage 2 DBPR Increased Monitoring
If a system monitors annually or less frequently than annually (on routine or reduced monitoring), they
will be required to increase monitoring to dual sample sets taken quarterly (taken every 90 days) if:
• Any TTHM sample at any location exceeds 0.080 mg/L, or
• Any HAAS sample at any location exceeds 0.060 mg/L.
[§141.625]
Note that this requirement is based on each individual sample. Also, increased monitoring is required on a
system-wide basis. If any site meets the criteria, the system must increase monitoring at all sites.
Systems on quarterly monitoring are not subject to increased monitoring.
A system may return to routine monitoring if the TTHM LRAA for every monitoring location is less than
or equal to 0.060 mg/L and the HAA5 LRAA for every monitoring location is less than or equal to 0.045
mg/L after conducting at least four consecutive quarters of increased monitoring.
Systems on Increased Monitoring Under Stage 1 DBPR f40 CFR 141.628]
Systems that were on an increased Stage 1 DBPR monitoring schedule must begin Stage 2 DBPR
monitoring on the increased schedule until they meet the requirements for returning to the routine
schedule.
When states are reviewing IDSE Reports and/or Compliance Monitoring Plans for systems on increased
monitoring, they should make the system aware of this requirement. The standard monitoring or SSS Plan
or IDSE Report should either show the additional monitoring dates, or the state should consider
modifying the standard monitoring or SSS Plan or IDSE Report to indicate that unless the system
achieves routine monitoring prior to the Stage 2 DBPR compliance monitoring date, the increased
monitoring requirements must be met. In addition, systems that are put on an increased schedule in the
interim period between the IDSE and compliance monitoring periods should be made aware of this
requirement.
3.17 Operational Evaluations [40 CFR 141.626]
TTHM and HAAS MCL compliance for the Stage 2 DBPR is based on an LRAA, therefore a system may
have individual DBP results significantly higher than the MCL from time to time while remaining in
compliance. This situation is a result of the fact that high concentrations are averaged with lower
concentrations at a given location. While this situation does not constitute an MCL violation, it might
indicate a trend that could lead to an MCL violation in future quarters.
3.17.1 Operational Evaluation Level
The "operational evaluation level" is an LRAA threshold, meant to help systems identify if they are in
danger of exceeding the MCL in the following monitoring quarter. The process is useful in that it alerts
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the system to the potential of an MCL violation if DBF levels remain at their current level and encourages
them to consider what operational changes may be necessary to reduce DBF levels.
The operational evaluation level at any location is the sum of the two previous quarters' TTHM or HAAS
results plus twice the current quarter's TTHM or HAA5 result, divided by four to determine an average.
Effectively, it is the LRAA that can be expected if the next quarter's result is the same as the current
quarter's result. To determine if a system has exceeded operational evaluation levels at any sampling
location, the following formula is used:
If (Qi + Qz +2Q3)/4 > MCL at any monitoring location,
where
Q3 = current quarter measurement
Q2 = previous quarter measurement
Qi =quarter before previous quarter measurement
MCL=Stage 2 DBPR MCL for TTHM (0.080 mg/1) or Stage 2 DBPR MCL for HAAS (0.060 mg/L)
then the system must conduct an operational evaluation.
If the operational evaluation level for TTHM exceeds 0.080 mg/L or the operational evaluation level for
HAAS exceeds 0.060 mg/L at any monitoring location, an exceedance of the operational evaluation level
has occurred.
3.17.2 Operational Evaluations
If a system, including a consecutive system, exceeds the operational evaluation level, they must conduct
an operational evaluation and submit a written report of the evaluation to the state no later than 90 days
after receipt of the analytical result that caused the exceedance. The written report must be made available
to the public upon request.
The operational evaluation must include an examination of system treatment and distribution operational
practices. It must include storage tank operations, excess storage capacity, distribution system flushing,
changes in sources or source water quality, and treatment changes or problems that may contribute to
TTHM and HAAS formation. It must then identify opportunities to reduce DBF concentrations in the
distribution system and steps that could be considered to minimize future exceedances.
State review of the operational evaluations submitted by systems should address whether the system has
identified the probable reason for the exceedance and considered what actions could be taken to avoid an
MCL exceedance as well as to avoid the problem from arising in the future. If the exceedance is related to
a seasonal or on-going issue, the state should consider whether the system is adequately addressing the
problem to eliminate the cause rather than accepting it as a periodic event.
The exceedance may be rooted in source water issues, treatment processes, distribution system
configuration or operation, or a combination of any or all of these components. The evaluation should
consider the system holistically as well as examining specific areas of concern.
Below is a brief discussion of some issues and possible actions that the state may consider in conducting
their reviews. However, for a more complete discussion of operational evaluations, refer to EPA's
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Operational Evaluation Guidance Manual (formerly titled the Significant Excursions Guidance Manual)
available online at www.cpa.gov/saicwater/disinfcction/stagc2/compliaiicc.htmlffpws.
Source water management
Systems that experience an cxceedance of the operational evaluation level may want to begin the
evaluation by examining source water data and source management practices. Systems that have multiple
water sources will need to determine which sources were in use at and just prior to the operational
evaluation level excecdance and which source(s) likely influenced the location at which the exceedance
occurred.
The evaluation should address any available source water precursor concentrations (including TOC,
dissolved organic carbon (DOC), .specific ultraviolet absorbancc (SUVA)) and review these data during
the time period that would have most impacted distribution system TTHM and HAAS levels. A
comparison of historical concentrations to the concentrations prior to the exceedance may show if the
system experienced a sudden increase in these concentrations which may have resulted in the exceedance.
Many of the factors that contribute to DBF precursors in source waters also affect turbidity and particle
counts. Therefore, increased turbidity levels can serve as an indicator of an event that may have resulted
in increased DBF precursors in the source water.
If such an increase is identified, the system should further examine other watershed or operational data to
determine the cause of the increase in DBF precursors. Seasonal issues such as heavy rainfall or snow
melt, algae bloom, spring or fall turnover, exceptionally high flows, exceptionally low flows, or another
major event in the watershed might have impacted precursor concentrations and caused the excecdance.
If the issue is identified as a source problem, the system may consider a variety of actions to help prevent
future exceedances. If the source has dramatic seasonal variations in water quality due to issues such as
temperature, algae blooms, runoff, or spring and fall turn over, the system may consider relying more
heavily on a groundwater source or a higher quality surface water source to supplement a poorer quality
surface water supply during high DBF periods. This can be a valuable strategy to reduce DBF levels that
may spike during certain seasons. Another option to address some of these seasonal issues is construction
of a multiple level intake. Drawing from a lower level during an algae bloom, or a higher level during
seasonal turn over can help a system avoid DBF spikes.
Treatment plant operation
The evaluation should also examine treatment data and processes during the time period that would have
most impacted distribution system TTHM and HAAS levels.
The report may include a review of finished water data collected prior to the operational evaluation level
exceedance to help focus the evaluation. Key parameters to review include provide useful information on
what factors may have contributed to increased DBF levels include:
• DBF Precursors Levels (TOC, SUVA, DOC, Bromide)
• pH
• Temperature
• Turbidity
• Disinfectant Concentration
• TTHM and HAAS Concentrations
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The evaluation should address treatment issues that impact both precursor removal and disinfectant
practices. Some possible factors that may have contributed to the exceedance include:
• Substantial increase or decrease in flows to treatment components.
• Substantial changes in plant flow rate that may have resulted in a decrease in settling time or
carry-over of process solids.
• Changes in chemical feed rate or coagulation practices.
• Maintenance activities in the plant that may have caused solids (and correspondingly precursors)
carry over to the point of disinfectant addition.
• The addition or removal of any treatment processes.
• Poor regulation or failure of chemical feed system.
• Changes in primary disinfectant type or dose.
• Changes in flows to the clearwell or temperature in clearwell.
• Poorly controlled or excessive disinfectant dose.
If the system determines that the primary issue that caused the exceedance is related to treatment, they
will want to examine how the plant can optimize precursor removal and/or disinfection practices to avoid
an MCL exceedance and future operational evaluation level exceedances. Prior to any change in
disinfection practices systems should (and systems subject to the LT2WSWTR are required to) conduct
disinfection profiling and benchmarking and consult with the state about proposed changes.
Distribution system infrastructure or operations
Finally, the evaluation should address the distribution system and examine distribution data and
operational practices to determine the cause of the operational evaluation level exceedance. The system
should gather distribution system monitoring and operations data that reflect conditions just prior to and
during the time of the operational evaluation level exceedance. Types of information that could be useful
include:
• Temperature data
• Disinfectant residual data
• Pump station and storage facility operating data (e.g., tank level data)
• Meter data (to determine if demand was lower than normal)
• Residual data
• Maintenance records (planned and emergency)
• Customer complaint records
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Some factors to consider in evaluating if the exccedance was caused by actions or practices in the
distribution system include:
• Unusually low system demand (including drop in use of a high-volume user) causing an increase
in water age.
• Unusually high demand or event that could cause a tank or reservoir to be drawn down more than
usual, drawing stagnant water from the tank.
• Maintenance events such as cleaning of a tank, repair of a water main, or water main flushing.
• Change of the pattern of flow through the distribution system that may allow older water from
stagnant zones to be drawn into other areas of the distribution system where water use is higher.
If the evaluation indicates that the primary factor that caused the exceedance of the operational evaluation
level is related to distribution system issues, the system will examine steps that may be taken to address
these issues. Changes to tank configuration or operation to minimize hydraulic residence time and/or
maximize mixing should be considered including modification to inlet configuration, cut in and cut out
levels, longer fill time, higher inlet velocity, or mixing to avoid thermal stratification. Some other
distribution system remedies may include looping dead end mains, periodic flushing of high water age
portions of the distribution system, downsizing oversized pipe, and cleaning and lining cast or ductile iron
pipe to reduce chlorine demand.
3.17.3 Evaluate System Requests for Limiting the Scope of an Operational Evaluation
If the system is readily able to identify the cause of the operational evaluation level exceedance, it may
request permission to limit the scope of the evaluation. If the request is granted by the state, the system
still must follow the schedule for completing the evaluation and submitting the report. The state must
approve the limited scope in writing, and the system must keep the approval with the completed report.
States may want to encourage systems to contact them after an exceedance to discuss next steps and to
determine whether they qualify to limit the scope of their evaluation.
3.18 Special Considerations for Consecutive and Wholesale Systems
3.18.1 DBF Monitoring
The TTHM and HAA5 sampling requirements for consecutive systems are determined in the same
manner as for all other systems. The number of sites and monitoring frequency is based on the system's
population served and source type (based on wholesale system's source water type). Thus, large
consecutive systems will take more samples than a smaller wholesale system.
3.18.2 Treating Combined Distribution Systems as One System for Compliance
Monitoring
As discussed in 3.12.3, §141.29 gives the state the authority to treat systems in a combined distribution
system as a single system with respect to their monitoring requirements as long as the interconnection of
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the systems justifies such modifications. If the state elects to use this authority to modify one or more
systems' Stage 2 DBPR compliance monitoring requirements, the rule requires the following:
• The state must describe in their primacy application a procedure for implementing this process
(see section 4).
• The state must require that each system have at least one monitoring site.
• Each system must submit the monitoring plans for all other systems in the combined distribution
system along with their monitoring plan.
The state may want to consider encouraging all systems in the combined distribution system to submit
their plans at the same time.
3.18.3 BATs
Compliance with the Stage 2 DBPR can be especially challenging for consecutive systems. If a wholesale
system has DBF issues, it is likely to focus on precursor removal. However, this option is not available to
consecutive systems that receive treated water. If a consecutive system receives treated water that
contains high DBFs and/or high levels of precursors and disinfectants, they have limited options for
controlling DBFs.
Therefore, the Stage 2 DBPR provides best available technologies (BATs) for consecutive systems, which
are not focused on precursor removal. For all systems, the management of hydraulic flow and storage to
minimize residence time in the distribution system is a BAT. For larger systems (those serving at least
10,000 people) chloramination is also a BAT.
3.18.4 Chlorine and Chloramines Requirements
Consecutive systems that do not add a disinfectant but deliver water that has been treated with a
disinfectant other than UV must now comply with the Stage 1 DBPR analytical and monitoring
requirements for chlorine and chloramines and associated compliance requirements and reporting
requirements including:
• Analytical methods [§141.131(c)].
• Monitoring of residual at the same sites as total coliform sampling [§141.132(c)(l)].
• Compliance with the MRDL [§141.133(c)(l)].
• Reporting of results [§141.134(c)].
These requirements begin April 1, 2009 unless required earlier by the state [§141.624]
3.18.5 Additional Resources
EPA is preparing a guidance manual for consecutive systems to address these and other issues.
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3.19 State Recordkeeping Requirements
Section 142.14 requires states with primacy to keep various records, including:
• Analytical results to determine compliance with MCLs, MRDLs, and treatment technique
requirements.
• System inventories.
• State approvals.
• Enforcement actions.
• Issuance of variances and exemptions.
The Stage 2 DBPR requires that the state keep records related to any decisions made pursuant to IDSE
requirements and Stage 2 DBPR requirements. States also must retain copies of IDSE monitoring plans
and 40/30 Certifications, including any modifications required by the state, until they arc replaced or
revised in their entirety. States must keep operational evaluations for 10 years.
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Stage 2 DBPR Implementation Guidance 126 August 2007
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Section 4
State Primacy Revision
Application
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40 CFR Part 142 sets out requirements for states to obtain and/or retain primary enforcement
responsibility (primacy) for the Public Water System Supervision (PWSS) program as authorized by
Section 1413 of the SDWA. The 1996 SDWA Amendments updated the process for states to obtain
and/or retain primacy. On April 28, 1998, EPA promulgated the Primacy Rule to reflect these statutory
changes (63 FR 23361).
4.1 State Primacy Program Revision
Pursuant to §142.12, Revision of State Programs, complete and final requests for approval of program
revisions to adopt new or revised EPA regulations must be submitted to the EPA Administrator no later
than 2 years after promulgation of the new or revised federal regulations (see Table 4-1). Until those
applications are approved, EPA regions have responsibility for directly implementing the Stage 2 DBPR.
The state and EPA can agree to implement the rule together during this period. However, if a state is
eligible for interim primacy, it will have full implementation and enforcement authority. States that have
primacy for all existing NPDWRs arc considered to have interim primacy for any new or revised
regulation. Interim primacy for the Stage 2 DBPR would begin on the date the final and complete primacy
revision application is submitted or the effective date of the new state regulation (whichever is later), and
ends when EPA makes a final determination.
A state may be granted an extension of time, up to 2 years, to submit its application package. During any
extension period, an extension agreement outlining the state's and EPA's responsibilities is required.
Table 4-1. State Rule Implementation and Revision Timetable for the Stage 2 DBPR
EPA/State Action
Rule published by EPA
State and region establish a process and agree upon a schedule for application
review and approval (optional)
State, at its option, submits draft program revision package to region including:
Preliminary Approval Request, Draft State Regulations and/or Statutes,
Regulation Crosswalk
Regional (and Headquarters if necessary) review of draft
State submits complete and final program revision package to region including:
Adopted State Regulations
Regulation Crosswalk
§ 142.10 Primacy Update Checklist
§142.14 and §142.15 Reporting and Recordkeeping
§142.16 Special Primacy Requirements
Attorney General's Enforceability Certification
States with approved extensions submit complete and final program revision
package
Time Frame
January 4, 2006
March 4, 2006
July 4, 2006
(Recommended)
Completed within 90 days of
state submittal of draft
(Recommended)
January 4, 2008*
January 4, 2010**
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EPA/State Action
Time Frame
EPA final review and determination:
Regional Review (program and ORC)
Headquarters Concurrence and Waivers (Office of Ground Water and
Drinking Water (OGWDW))
Public Notice
Opportunity for Hearing
EPA's Determination
Completed within 90 days of
state submittal of final package
(45 days region)
(45 days Headquarters)***
* EPA suggests submitting an application by October 4, 2007 to ensure timely approval. EPA regulations allow
states until January 4, 2008 for this submittal.
** EPA suggests submitting an application by October 4, 2010 for states with approved extensions to ensure timely
approval.
*** At least one state application per region.
4.1.1 The Revision Process
EPA recommends a two-step process for approval of state program revisions. The steps consist of
submission of a draft request (optional) and submission of a complete and final request for program
approval. Figure 4-1 diagrams these processes and their timing.
Draft Request—The state may submit a draft request for EPA review and tentative determination. The
request should contain drafts of all required primacy application materials (with the exception of a draft
Attorney General's Statement). A draft request should be submitted as soon as practicable; EPA
recommends submitting it within 6 months of rule promulgation. EPA will make a tentative determination
as to whether the state program meets the applicable requirements. EPA intends to make a tentative
determination within 90 days.
Complete and Final Request—This submission must be in accordance with §142.12(c)(l) and (2) and
include the Attorney General's statement. The state should also include its response to any comments or
program deficiencies identified in the tentative determination (if applicable). Submission of only a final
request may make it more difficult for states to address any necessary changes within the allowable time
for state rule adoption.
EPA recommends that states submit their complete and final revision package within 21 months of rule
promulgation (by October 4, 2008). This will ensure that states will have interim primacy as soon as
possible and will prevent backlogs of revision applications to adopt future federal requirements.
The state and region should agree to a plan and timetable for submitting the state primacy revision
application as soon as possible after rule promulgation—ideally within 5 months of promulgation.
4.1.2 The Final Review Process
Once a state application is complete and final, EPA has a regulatory (and statutory) deadline of 90 days to
review and approve or disapprove the revised program. OGWDW will conduct a detailed concurrent
review of the first state package from each region. The regional office should submit its comments with
the state's package within 45 days for review by Headquarters (HQ). When the region has identified all
significant issues, OGWDW waives concurrence on all other state programs in that region, although EPA
HQ retains the option to review additional state programs as appropriate. The Office of General Counsel
(OGC) has delegated its review and approval to the Office of Regional Counsel (ORC).
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In order to meet the 90-day deadline for packages undergoing review by HQ, the review period is equally
split by giving the regions and HQ 45 days each to conduct their respective reviews. For the first package
in each region, regions should forward copies of the primacy revision applications and their evaluations to
the Drinking Water Protection Division Director in OGWDW no later than 45 days after state submittal.
The Drinking Water Protection Division Director takes the lead on the HQ review process.
Figure 4-1. Recommended Review Process for State Request for Approval of Program
Revisions
EPA Promulgates the Stage «
DBPR
Establish Process and Tentative
Schedule for State Rule
Approval
State Submits Draft Primacy
Revision Application to EPA
tate Request for Extension
§142,12(b)
EPA Review and Tentative
Deteririiflation (suggested within
90 daysi §142 12(Wl)(iii
State Submits Complete and
Final Primacv Revision
Application to EPA
§142 12(*(2j
EPA Review and Extermination
ays) §142 12fJ), Ji
Timeline
Start
Ianuaiv4, 2006
March 4. 2006
6 Month:'
January 4. 2uOS
By 24 Months '
f t'tart date ro=T7 be extended if st se gratis sysiaKi i
4.2 State Primacy Program Revision Extensions
4.2.1 The Extension Process
Under § 142.12(b), states may request that the 2 year deadline for submitting the complete and final
packages for EPA approval of program revisions be extended for up to 2 additional years in certain
circumstances. The extension request must be submitted to EPA within 2 years of the date that EPA
published the regulation. The Regional Administrator has been delegated authority to approve extension
applications. Concurrence by HQ on extensions is not required.
Therefore, the state must either adopt regulations pertaining to the Stage 2 DBPR and submit a complete
and final primacy revision application or request an extension of up to 2 years by January 4, 2008.
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4.2.2 Extension Request Criteria
For an extension to be granted under §142.12(b), the state must demonstrate that it is requesting the
extension because it cannot meet the original deadline for reasons beyond its control and despite a good
faith effort to do so. A critical part of the extension application is the state's proposed schedule for
submission of its complete and final request for approval of a revised primacy program. The application
must also demonstrate at least one of the following:
(i) That the state currently lacks the legislative or regulatory authority to enforce the new or revised
requirements;
(ii) That the state currently lacks the program capability adequate to implement the new or revised
requirements; or,
(iii) That the state is requesting the extension to group two or more program revisions in a single
legislative or regulatory action.
In addition, the state must be implementing the EPA requirements to be adopted in its program revision
within the scope of its current authority and capabilities.
4.2.3 Conditions of the Extension
Until the State Primacy Revision Application has been submitted, the state and EPA regional office will
share responsibility for implementing the primary program elements as indicated in the extension
agreement. The state and the EPA regional office should discuss these elements and address terms of
responsibility in the agreement.
These conditions will be determined during the extension approval process and are decided on a case-by-
casc basis. The conditions must be included in an extension agreement between the state and the EPA
regional office.
Conditions of an extension agreement may include:
• Informing PWSs of the new EPA (and upcoming state) requirements and the fact that the region
will be overseeing implementation of the requirements until they approve the state program
revisions or until the state submits a complete and final revision package if the state qualifies for
interim primacy.
• Collecting, storing, and managing laboratory results, public notices, and other compliance and
operation data required by the EPA regulations.
• Assisting the region in the development of the technical aspects of enforcement actions and
conducting informal follow-up on violations (e.g., telephone calls, letters).
• Providing technical assistance to PWSs.
Stage 2 DBPR Implementation Guidance \32 August 2007
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• For states whose request for an extension is based on a current lack of program capability
adequate to implement the new requirements, taking steps agreed to by the region and the state to
remedy the deficiency during the extension period.
• Providing the region with all the information required under § 142.15 for state reporting.
Example 4-1 provides a checklist the region can use to review state extensions or to create an extension
agreement.
Until states have primacy, EPA is the primacy enforcement authority. However, historically states have
played a role in implementation for various reasons—most importantly, since states have the local
knowledge and expertise and have established relationships with their systems.
The state and EPA should be viewed as partners in this effort, working toward two very specific public
health-related goals. The first goal is to achieve a high level of compliance with the regulation. The
second goal is to facilitate efficient co-regulation during the transition period before the state has primacy,
including interim primacy, for the rule. In order to accomplish these goals, education, training, and
technical assistance will need to be provided to water suppliers on their responsibilities under the Stage 2
DBPR.
Stage 2 DBPR Implementation Guidance 133 August 2007
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Example 4-1. Example Extension Request Checklist
{Date}
{Regional Administrator^.
Regional Administrator
U.S. EPA Region {Region}.
{Street Address}
{City, State, Zip}
RE: Request/approval for an Extension Agreement
Dear {Regional Administrator}.:
The State of {State} is requesting an extension to the date that the final primacy revisions are due to EPA
for the Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR) {insert date - no later than
January 4, 2010; , as allowed by 40 CFR 142.12, and would appreciate your approval. Staff of the {State
Department/Agency}: have conferred with your staff and have agreed to the requirements listed below for this
extension. This extension is being requested because the State
D Is planning to group two or more program revisions into a single legislative or regulatory action.
D Currently lacks the legislative or regulatory authority to enforce the new or revised requirements.
D Currently lacks adequate program capability to implement the new or revised requirements.
{State Department/Agenc^ will be working with EPA to implement the Stage 2 DBPR within the scope
of its current authority and capability, as outlined in the six areas identified in §142.12(b)(3)(i-vi):
i) Informing PWSs of the new EPA (and upcoming state) requirements and the fact that EPA will be overseeing
implementation of the requirements until EPA approves the state revision.
State EPA
_ _ Provide copies of regulation and guidance to other state agencies, public water systems (PWSs),
technical assistance providers, associations, or other interested parties.
_ _ Educate and coordinate with state staff, PWSs, the public, and other water associations about the
requirements of this regulation.
_ _ Notify affected systems of their requirements under the Stage 2 DBPR.
_ _ _ Other:
ii) Collecting, storing, and managing laboratory results, public notices, and other compliance and operation data
required by the EPA regulations.
State EPA
_ _ Devise a tracking system for PWS reporting pursuant to the Stage 2 DBPR.
_ _ Keep PWSs informed of reporting requirements during development and implementation.
_ _ Report Stage 2 DBPR violation and enforcement information to SDWIS as required.
_ _ Other:
iii) Assisting EPA in the development of the technical aspects of the enforcement actions and conducting informal
follow-up and violations (telephones calls, letters, etc.).
State EPA
_ _ Issue notices of violation (NO Vs) for treatment technique, MCL, and monitoring/ reporting
violations of the Stage 2 DBPR.
Stage 2 DBPR Implementation Guidance 1 34 August 2007
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Provide immediate technical assistance to PWSs with treatment technique, MCL and/or
monitoring/reporting violations to try to bring them into compliance.
Refer all violations to EPA for enforcement if they have not been resolved within 60 days of the
incident that triggered the violation. Provide information as requested to conduct and complete any
enforcement action referred to EPA.
Other:
iv) Providing technical assistance to PWSs.
State EPA
Conduct training within the state for PWSs on Stage 2 DBPR rule requirements.
Provide technical assistance through written and/or verbal correspondence with PWSs.
Provide on-site technical assistance to PWSs as requested and needed to ensure compliance with
this regulation.
Coordinate with other technical assistance providers and organizations to provide accurate
information and aid in a timely manner.
Other:
v) Providing EPA with all information prescribed by the State Reporting Requirements in § 142.15.
State EPA
Report any violations incurred by PWSs for this regulation each quarter.
Report any enforcement actions taken against PWSs for this regulation each quarter.
Report any variances or exemptions granted for PWSs for this regulation each quarter.
Other:
vi) For states whose request for an extension is based on a current lack of program capability to implement the new
or revised requirements, taking the following steps to remedy the capability deficiency.
State EPA
Acquire additional resources to implement these regulations (list of specific steps being taken
attached as {UstA}).
Provide quarterly updates describing the status of acquiring additional resources.
Other:
I affirm that the {State Department/Agency}, will implement provisions of the Stage 2 DBPR as outlined above.
! Agency Director or Secretary} Date
(Name of State Agency?
I have consulted with my staff and approve your extension for the aforementioned regulation. I affirm that EPA
Region {Region}, will implement provisions of the Stage 2 DBPR as outlined above.
Regional Administrator Date
EPA Region.
This Extension Agreement will take effect upon the date of the last signature.
Stage 2 DBPR Implementation Guidance 135 August 2007
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4.3 State Primacy Package
The Primacy Revision Application package should consist of the following sections:
D State Primacy Revision Checklist
D Text of the State's Regulation
D Primacy Revision Crosswalk
D State Reporting and Recordkeeping Checklist
D Special Primacy Requirements
D Attorney General's Statement of Enforceability
4.3.1 The State Primacy Revision Checklist
This section is a checklist of general primacy requirements, as shown in Table 4-2. In completing this
checklist, the state must identify the program elements that it has revised in response to new federal
requirements. If an element has been revised, the state should indicate a "Yes" answer in the
"Revision to State Program" column and should submit appropriate documentation. For elements
that did not require revision, the state need only list the citation and date of adoption in the "Revision to
State Program" column. During the application review process, EPA will insert findings and comments in
the final column.
The 1996 SDWA Amendments include new provisions for PWS definition and administrative penalty
authority. States must adopt provisions at least as stringent as these new provisions, now codified at
§142.2 and §142.10. Failure to revise these elements can affect primacy for the Stage 2 DBPR.
States may bundle the primacy revision packages for multiple rules. If states choose to bundle
requirements, the Attorney General's Statement should reference all of the rules included.
4.3.2 Text of the State's Regulation
Each primacy application package should include the text of the state regulation.
4.3.3 Primacy Revision Crosswalk
The Primacy Revision Crosswalk, in Appendix A, should be completed by states in order to identify state
statutory or regulatory provisions that correspond to each federal requirement. If the state's provisions
differ from federal requirements, the state should explain how its requirements are no less stringent.
Table 4-2. State Primacy Revision Checklist
Required Program Elements
§141.2
§142.10(b)(6)(iii)
§142.10(b)(6)(iv)
§142.10(b)(6)(v)
§142.10(b)(6)(vi)
Definitions
Right of entry
Authority to require records
Authority to require public notification
Authority to assess civil and criminal penalties
Revision to State
Program
EPA
Findings/Comments
Stage 2 DBPR Implementation Guidance
136
August 2007
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Required Program Elements
§142.10(b)(6)(vii)
§142.10(c)
§142.10(d)
§142.10(e)
§142.10(f)
Authority to require CCRs
Maintenance of records
Variance/exemption conditions (if applicable)*
Emergency plans
Administrative Penalty Authority**
Revision to State
Program
EPA
Findings/Comments
* Regulations published in the August 14, 1998 Federal Register.
** Requirement from the 1996 Amendments. Regulations published in the April 28, 1998 Federal Register.
4.3.4 State Recordkeeping and Reporting Checklist [40 CFR 142.14, 40 CFR 142.15]
The Stage 2 DBPR does not add any state reporting requirements, but does include state rccordkeeping
requirements.
The state should use the Primacy Revision Crosswalk in Appendix A to demonstrate that state
recordkceping requirements are consistent with federal requirements. If state requirements are not the
same as federal requirements, the state must explain how its requirements are "no less stringent" as per 40
CFR §142.10. States may want to include in their State Primacy Revision Application how long the state
will keep the records and in what format the data will be kept.
The Primacy Revision Crosswalk includes state recordkeeping requirements indicating that the state must:
• Keep records of the IDSE monitoring plans, plus any modifications made by the state. The state
keeps these records until replaced or revised by approved IDSE Reports. [§142.14(a)(8)(i)]
• Keep records of system IDSE Reports and 40/30 Certifications, plus any modifications required
by the state until reversed or revised in their entirety. [§142.14(a)(8)(ii)]
• Keep records of operational evaluations submitted by systems for 10 years following submission.
4.3.5 Special Primacy Requirements [40 CFR 142.16]
The Special Primacy Requirements section of the crosswalk is where the state has the opportunity to
describe how it will satisfy these provisions. Special primacy conditions pertain to specific regulations
where implementation of the rule involves activities beyond general primacy provisions. States must
include these rule-distinct provisions in a application for approval or revision of their program. Section
4.4 provides guidance on how states may choose to meet the special primacy requirements of the Stage 2
DBPR.
4.3.6 Attorney General's Statement of Enforceability [40 CFR 142.12(c)(2)]
The complete and final primacy revision application must include an Attorney General's Statement
certifying that the state regulations were duly adopted and are enforceable (unless EPA has waived this
requirement by letter to the state). The Attorney General's Statement should also certify that the state
does not have any audit privilege or immunity laws or, if it has such laws, that these laws do not prevent
Stage 2 DBPR Implementation Guidance
137
August 2007
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the state from meeting the requirements of the SDWA. If a state has submitted this certification with a
previous revision package, then the state should indicate the date of submittal and the Attorney General
need only certify that the status of the audit laws has not changed since the prior submittal. An example of
an Attorney General's Statement is presented in Example 4-2.
4.3.6.1 Guidance for States on Audit Privilege and/or Immunity Laws
In order for EPA to properly evaluate the state's request for approval, the State Attorney General or
independent legal counsel should certify that the state's environmental audit immunity and/or privilege
and immunity law does not affect its ability to meet enforcement and information gathering requirements
under SDWA. This certification should be reasonably consistent with the wording of the state audit laws
and should demonstrate how state program approval criteria are satisfied.
EPA will apply the criteria outlined in its "Statement of Principles" memo issued on February 14, 1997,
(w\vw.cpa.gov/cpaoswcr/hazwastc/statc/policy/policics.htm) to determine whether states with audit laws
have retained adequate enforcement authority for any authorized federal programs. The principles
articulated in the guidance are based on the requirements of federal law, specifically the enforcement and
compliance and state program approval provisions of environmental statutes and their corresponding
regulations. The Principles provide that if provisions of state law are ambiguous, it will be important to
obtain opinions from the State Attorney General or independent legal counsel interpreting the law as
meeting specific federal requirements. If the law cannot be so interpreted, changes to state laws may be
necessary to obtain federal program approval. Before submitting a package for approval, states with audit
privilege and/or immunity laws should initiate communications with appropriate EPA regional offices to
identify and discuss the issues raised by the state's audit privilege and/or immunity law.
The guidance for states on Audit Law Privilege and/or Immunity Laws is currently under review. If
amended, EPA will issue an addendum to this document with the revised guidance.
Example 4-2. Example of Attorney General's Statement
Model Language
I hereby certify, pursuant to my authority as (1) and in accordance with the Safe Drinking Water Act as amended,
and (2),.that in my opinion the laws of the [State/Commonwealth of (3)] [or tribal ordinances of (4)] to carry out
the program set forth in the "Program Description" submitted by the (5) have been duly adopted and are
enforceable. The specific authorities provided are contained in statutes or regulations that are lawfully adopted at
the time this Statement is approved and signed and will be fully effective by the time the program is approved.
I. For States with No Audit Privilege and/or Immunity Laws
Furthermore, 1 certify that [State/Commonwealth of (3)] has not enacted any environmental audit privilege and/or
immunitv laws.
Stage 2 DBPR Implementation Guidance 138 August 2007
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Model Language
II. For States with Audit Laws that do Not Apply to the State Agency Administering the Safe Drinking
Water Act
Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the [State/Commonwealth
of (3)] does not affect the ability of (3) to meet enforcement and information gathering requirements under the
Safe Drinking Water Act because the [audit privilege and/or immunity law] does not apply to the program set
forth in the "Program Description." The Safe Drinking Water Act program set forth in the "Program Description"
is administered by (5); the [audit privilege and/or immunity law] does not affect programs implemented by (5),
thus the program set forth in the "Program Description" is unaffected by the provisions of [State/Commonwealth
of (3)] [audit privilege and/or immunity law].
III. For States with Audit Privilege and/or Immunity Laws that Worked with EPA to Satisfy Requirements
for Federally Authorized, Delegated, or Approved Environmental Programs
Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the [State/Commonwealth
of (3)] does not affect the ability of (3) to meet enforcement and information gathering requirements under the
Safe Drinking Water Act because [State/Commonwealth of (3)] has enacted statutory revisions and/or issued a
clarifying Attorney General's Statement to satisfy requirements for federally authorized, delegated, or approved
environmental programs.
Seal of Office
Signature
Name and Title
Date
(1) State Attorney General or attorney for the primacy agency if it has independent legal counsel.
(2) 40 CFR 142.1 l(a)(6)(i) for initial primacy applications or 40 CFR 142.12(c)(l )(iii) for primacy program
revision applications.
(3) Name of state or commonwealth.
(4) Name of tribe.
(5) Name of primacy agency.
4.4 Guidance for the Special Primacy Requirements of the Stage 2 DBPR
In addition to adopting basic primacy requirements specified in 40 CFR 142, states are required to adopt
primacy provisions pertaining to specific regulations where implementation of the rule involves activities
beyond general primacy provisions. The purpose of these provisions is to allow state flexibility in
implementing a regulation that (1) applies to specific system configurations within the particular state and
(2) can be integrated with a state's existing PWSS Program. States must include these rule-distinct
provisions in an application for approval or revision of their program. This section contains information
and guidance that states can use when addressing the special primacy requirements of the Stage 2 DBPR.
The guidance addresses special primacy conditions in the same order that they occur in the rule. In the
state primacy revision application packages, the state must explain how they intend to accomplish the
requirements from §142.16.
Stage 2 DBPR Implementation Guidance 139 August 2007
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4.4.1 Special Primacy Requirements Regarding Consecutive System Monitoring
§142.16 Special primacy requirements, (m) Requirements for stales to adopt §141, Subparts U and V. In
addition to the general primacy requirements elsewhere in this part, including the requirements that stale
regulations be at least as stringent as federal requirements, an application for approval of a slate
program revision that adopts §141, Subparts U and V, must contain a description of how the state will
implement a procedure for addressing modification of wholesale system and consecutive system
monitoring on a case-by-case basis for part 141 Subpart V outside the provisions of §141.29 of this
chapter, if the slate elects to use such an authority. The procedure must ensure that all systems have at
least one compliance monitoring location.
Guidance
§141.29 allows states to modify monitoring requirements of consecutive systems to the extent that the
interconnection of the systems justifies treating them as a single system for monitoring purposes.
The Stage 2 DBPR gives states the opportunity to specify alternative monitoring requirements for
multiple consecutive systems in a combined distribution system. These modifications must not undermine
public health protection and all systems, including consecutive systems, must comply with the TTHM and
HAAS MCLs based on the LRAA. However, such a program would allow the state to establish
monitoring requirements that account for complicated distribution system relationships, such as where
neighboring systems buy from and sell to each other regularly throughout the year, water passes through
multiple consecutive systems before it reaches a user, or a large group of interconnected systems have a
complicated combined distribution system.
If states choose to address this issue and develop procedures for addressing consecutive systems outside
the provisions of the Stage 2 DBPR, they should consider the following:
• As a minimum, each consecutive system must collect at least one sample among the total number
of samples required for the combined distribution system. Each consecutive system must base
compliance on samples collected within its distribution system.
• The consecutive system is responsible for ensuring that required monitoring is completed and the
system is in compliance.
• The consecutive system may conduct the monitoring itself or arrange for the monitoring to be
done by the wholesale system or another outside party. Whatever approach it chooses, the
consecutive system must document its monitoring strategy as part of its DBP monitoring plan.
States can satisfy the special primacy condition regarding consecutive system monitoring by including a
copy of the procedure they will use for addressing consecutive systems outside the provisions of §141.29.
Alternatively, states can simply attest that they will not use an authority to address consecutive system
monitoring outside of § 141.29.
References for more detailed guidance
1. USEPA. Consecutive System Guidance Manual. EPA XXX-X-XX-XXX. Unpublished, check the
following Web site for availability: www.epa.gov/safevvater/disinfection/stage2.
2. AWWARF. 2002. Guidance Manual for Monitoring Distribution System Water Quality. Denver,
CO. 325 pp.
Stage 2 DBPR Implementation Guidance 140 August 2007
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3. Routt, J.C., N.G. Pizzi. 2000. Kentucky-American Water's Cooperative, Step-wise Process of
Assisting Two Small Contiguous Systems in Complying with Pending D/DBP Requirements.
Proceedings AWWA WQTC, November 2000.
4. Taylor, J.S. et al. 2005. Effects of Blending on Distribution System Water Quality. AWWARF.
Denver, CO.
5. AWWA. 2004. G200-04: Distribution System Operations and Management. Denver, CO.
6. AWWA. 2003. Principles and Practices of Water Supply Operations: Water Transmission and
Distribution, Third Edition. Denver, CO. 553 pp.
7. Lauer, William C., cd. 2005. Water Quality in the Distribution System. AWWA. Denver, CO.
1,083pp.
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Section 5
SDWIS Reporting and SNC
Definitions
Note: This section is under development.
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Section 6
Public Notification and
Consumer Confidence Report
Examples
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This section provides examples of violations that systems may incur under the Stage 2 DBPR. These
examples address the public notification and CCR requirements for systems that incur these kinds of
violations. Public notification and notification in the CCR are required follow-up activities for violations
of the National Primary Drinking Water Regulations. Also included in the examples are sample public
notices and sample excerpts from CCR reports that would meet these public notification and CCR
requirements. In the public notification samples, the language in italics is required in Appendix B to
SubpartQof40CFR 141.
EPA has developed CCRWriter and CCRiWriter to help CWSs quickly create their CCRs. The
CCRWriter is a desktop application. A CD-ROM of the software can be ordered by contacting the Safe
Drinking Water Hotline at 1-800-426-4791. The CCRiWriter is a web-based version of the CCRWriter
and requires internet access to use. The CCRiWriter can be obtained from EPA's Web site at
www.cpa.Hov/safcwater/ccr/tools, html.
Stage 2 DBPR Implementation Guidance 147 August 2007
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Issue 1: TTHMMCL Violation
System Description - System A
System A is a small Subpart H system that uses two large ground water wells determined to be under the
direct influence of surface water. The system treats the water from each well by filtration through bag and
cartridge filters and by disinfection with chlorine on a full-time basis. The system utilizes two
filtration/disinfection treatment plants known as WTP 1 and WTP 2.
Population Served:
Source #1:
Treatment:
Source #2:
Treatment:
8,200
Well 1
Filtration, chlorine
Well 2
Filtration, chlorine
This system was required to comply with the TTHM and HAAS RAA requirement under the Stage 1
DBPR but is now required to comply with the LRAA requirement on Schedule 4 under Stage 2 DBPR.
System A conducted E. coli monitoring under the LT2ESWTR and was able to avoid Cryptosporidium
monitoring, so it must begin complying with Stage 2 DBPR by October 1, 2013. Note that for compliance
with Stage 2 DBPR, System A is required to collect two dual sample sets per quarter at representative
high TTHM and HAAS sites.
The operator takes the dual samples during times when the disinfection systems are operating under
normal conditions and collects the samples at the locations and according to the schedule specified in the
provisions of the system's Compliance Monitoring Plan.
Situation
Table 6-1 summarizes the Stage 2 DBPR TTHM monitoring results for four quarters at two sites
beginning October 1, 2013. In July 2014, System A's operator collects the fourth scheduled set of two
TTHM samples (at locations defined in the Compliance Monitoring Plan). The operator enters the values
on the TTHM monitoring forms and calculates a quarterly arithmetic average concentration for each
sampling location.
Table 6-1. System A 2014 TTHM Monitoring Results
Quarterly Sampling Dates
October 20 13
January 2014
April 20 14
July 20 14
Compliance Calculation
Sum
~4
4th Quarter LRAA
Distribution System Results (mg/L)
Location 1
0.030
0.063
0.200
0.300
0.593
0.148
0. 148 > 0.08
Location 2
0.020
0.059
0.072
0.078
0.229
0.057
0.057 < 0.08
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Public Notification and Consumer Confidence Report Requirements
System A has completed a full year of monitoring under Stage 2 DBPR and must use this data to compute
LRAAs at each location. (After this time, the system will compute LRAAs each quarter.) The operator
sums quarterly TTHM results and divides by 4 to determine LRAA compliance with the Stage 2 DBPR
MCL of 0.08 mg/L. The TTHM result for location 1 is 0.148 mg/L; therefore, the operator must report an
MCL violation. The LRAA for location 2 is below the MCL.
This is an MCL violation and requires Tier 2 public notification. The system must provide public
notification as soon as practical but no later than 30 days after of learning of the violation. Notification
must be provided by mail or other direct delivery method (such as hand delivery), and any other method
reasonably expected to reach affected individuals that would not have received the information by mail or
the direct delivery method used. The system was aware of the violation on July 15, 2014.
An example of a public notice that fulfills the public notification requirements for these violations is
shown in Example 6-1.
All MCL violations must also be included in the CCR. An explanation of how the system returned to
compliance could also be included. An example of a report of these violations that could be used in the
system's CCR is shown in Example 6-2.
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Example 6-1. Example Tier 2 Public Notification for TTHM MCL Violation
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
TTHM MCL Violation at System A
Our water system recently violated a drinking water standard. Although this incident was not an emergency, as
our customers, you have a right to know what happened and what we did to correct this situation.
We routinely monitor for the presence of drinking water contaminants. Testing results from October 2013 to July
2014 show that our system exceeds the standard, or maximum contaminant level (MCL), for total trihalomethanes
(TTHMs). We became aware of this situation on July 15, 2014. The standard for TTHMs is 0.080 mg/L averaged
at each sampling location for a year. The level of TTHMs averaged at one location for a year was 0.148 mg/L.
What should I do?
There is nothing you need to do unless you have a severely compromised immune system, have an infant, or are
elderly. These people may be at increased risk and should seek advice about drinking water from their health care
providers. If you have specific health concerns, consult your doctor.
You do not need to boil your water or take other corrective actions. If a situation arises where the water is no
longer safe to drink, you will be notified within 24 hours. We will announce any emergencies on Channel 22 or
Radio Station KMMM (97.3 FM).
What does this mean?
This is not an emergency. If it had been, you would have been notified within 24 hours.
Some people who drink water containing trihalomethanes in excess of the MCL over many years may experience
problems with their liver, kidneys, or central nervous system, and may have an increased risk of getting cancer.
What is being done?
TTHMs are four volatile organic chemicals which form when disinfectants react with natural organic matter in the
water. We are working to minimize the formation of TTHMs while ensuring an adequate level of disinfection to
protect customers from exposure to bacteria. We have since taken samples at this location and throughout the
system and had them tested. They show that we now meet the standards.
For more information, please contact John Johnson, manager of System A, at 555-1234 or write to 2600 Winding
Rd., Townsville, SA 12345.
Please share this information with all the other people who drink this water, especially those who may not have
received this notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can
do this bv posting this notice in a public place or distributing copies by hand or mail.
This notice is being sent to you by System A.
State Water System ID# SA1234582. Sent: July 20, 2014
Stage 2 DBPR Implementation Guidance 150 August 2007
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Example 6-2. Example of a Notice in the CCR for TTHM MCL Violation
Water Quality Data
Contaminant
TTHMs [Total
trihalomethanes]
(ppb) (LRAA)
MCL
120
MCLG
0
Detected
Avg=148
Range: 30 -
300
Date
July
2014
Violation
Yes*
Source
By-product of
drinking water
chlorination
*System A exceeded the MCL for TTHMs at the end of July. The system's locational running annual
average (LRAA) for location 1 was 148 ppb. More information about this violation is provided in the
violation section.
Violation
• Testing results from October 2013 to July 2014 show that our system exceeds the standard, or
maximum contaminant level (MCL), for total trihalomethanes (TTHMs). The standards for
TTHMs are 0.080 mg/L averaged at any individual monitoring location averaged over the year.
The level of TTHMs averaged over an individual monitoring location was 0.148 mg/L. TTHM
are four volatile organic chemicals which form when disinfectants react with natural organic
matter in the water. We are working to minimize the formation of TTHMs while ensuring an
adequate level of disinfection to protect customers from exposure to bacteria.
• We have since taken samples at this location and throughout the system and had them tested.
They show that we meet the standards.
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Issue 2: LRAA and Compliance Calculations for TTHM and HAAS M&R Violations
System Description - System B
System B is a small Subpart H system serving 8,900 people. They arc on Schedule 4 and the requirements
of Stage 2 DBPR are applicable on or before October 1, 2014 because System B is required to monitoring
for Cryptosporidium under the LT2ESWTR.
The system uses surface water treated at a conventional filtration plant. The system uses chlorine as a
chemical disinfectant applied at one location and must monitor TTHM and HAAS according to the
requirements of §141.621(a). Under the Stage 2 DBPR, samples must be taken in the distribution system
at a frequency of two dual sample sets every 90 days. One quarterly set must be taken during the peak
historical month for DBF concentrations. All monitoring must take place at the locations recommended to
the primacy agency in the 1DSE Report submitted under §141.600-605.
Population Served:
Source:
Treatment:
8,900
Surface water
Conventional filtration, chlorine
Situation
Table 6-2 presents a summary of System B's TTHM and HAA5 monitoring results.
Table 6-2. System B 2014 TTHM and HAAS Monitoring Results (mg/L)
Parameter
TTHM
MCL =
0.080
mg/L
HAAS
MCL =
0.060
mg/L
Site 1
Site 2
Site 1
Site 2
Parameter
TTHM
0.080
mg/L
HAAS
MCL =
0.060
mg/L
Site 1
Site 2
Sitel
Site 2
2014
JUL
AUG
SEPT
OCT
0.068
0.072
0.042
0.040
NOV
DEC
2016
JUL
NS
NS
NS
NS
AUG
SEPT
OCT
NOV
DEC
2015
JAN
0.070
0.070
0.055
0.060
FEB
MAR
APR
0.070
0.068
0.038
0.046
MAY
JUN
2017
JAN
FEB
MAR
APR
MAY
JUN
LRAA
0.069
0.070
0.045
0.049
NS=No sample taken
LRAA=Locational running annual average
Stage 2 DBPR Implementation Guidance
152
August 2007
-------
In August 2015, System B reviews the data for the first year of compliance monitoring for the Stage 2
DBPR. However, System B did not complete the necessary monitoring of TTHM and HAAS in the fourth
quarter, July 2015.
Public Notification and Consumer Confidence Report Requirements
System B's sampling record shows a major monitoring and reporting (M&R) violation in 2015 resulting
from a failure to take the required samples. In this case, when only two samples per quarter are required,
the failure to sample for one quarter is a major M&R violation and must be reported to SDWIS for both
TTHM and HAA5.
The system must provide Tier 3 public notice of the violation within 1 year of learning of the violation.
Notification must be provided by mail or other direct delivery method (such as hand delivery), and any
other reasonably expected method to reach affected individuals that would not have received the
information by mail or the direct delivery method used.
Since System B is a CWSs, it could use the CCR to inform the public of the Tier 3 violations if the CCR
is released within 1 year of the system's learning of the violations. For this particular example, the system
became aware of the violations on August 15, 2015. The public could therefore be informed of the
violation in the CCR produced for calendar year 2015 if the CCR is released prior to July 1, 2016 (the
CCR for calendar year 2015 is required to be released by July 1, 2016, for compliance with the CCR
Rule). In this situation, additional public notification would not be required. However, whether public
notification is provided by the CCR for calendar year 2015 or by other means, this violation would still
have to be reported by the system in the CCR produced for calendar year 2015, since all violations of
National Primary Drinking Water Rules must be reported in the CCR for the calendar year in which the
system became aware of the violation. The violation report in the CCR should include similar information
contained in the public notice.
An example of a public notice that fulfills the public notification requirements for this violation is shown
in Example 6-3. An example of a report of this violation in the CCR is shown in Example 6-4.
Stage 2 DBPR Implementation Guidance 153 August 2007
-------
Example 6-3. Example Tier 3 Public Notification for LRAA and Compliance Calculations
for TTHM and HAAS M&R Violations
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
Monitoring and Reporting Requirements Not Met for System B
Our water system recently failed to collect the correct number of drinking water samples. Although this incident
was not an emergency, as our customers, you have a right to know what happened and what we did to correct this
situation.
We routinely monitor for the presence of drinking water contaminants. In July 2015 our system failed to collect
the required number of samples to test for total trihalomethanes (TTHMs) and haloacetic acids (HAA5s) in our
drinking water. We became aware of this situation on August 15, 2015. Based on the data we collected over the
past year, we are not in violation of the standards for either TTHM or HAASs. The standard for TTHMs is 0.080
mg/L at any individual monitoring location averaged over the year and for HAA5 is 0.060 mg/L at any individual
monitoring location averaged over the year.
What should I do?
There is nothing you need to do. You do not need to boil your water or take other corrective actions. You may
continue to drink the water. If a situation arises where the water is no longer safe to drink, you will be notified
within 24 hours. We will announce any emergencies on Channel 22 or Radio Station KMMM (97.3 FM).
What was done?
TTHMs and HAA5s are a group of chemicals that are formed when chlorine or other disinfectants used to control
microbial contaminants in drinking water react with naturally occurring organic and inorganic matter in water.
We are working to minimize the formation of TTHMs and HAASs while ensuring an adequate level of
disinfection to protect customers from exposure to bacteria.
We have set-up new procedures at the systems to ensure all samples are collected and analyzed according to our
monitoring plan.
For more information, please contact John Johnson, manager of System B, at 555-1234 or write to 2600 Winding
Rd., Townsville, SA 12345.
Please share this information with all the other people who drink this water, especially those who may not have
received this notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can
do this by posting this notice in a public place or distributing copies by hand or mail.
This notice is being sent to you by System B.
State Water System ID# SA1234589. Sent: August 22, 2015
Stage 2 DBPR Implementation Guidance 154 August 2007
-------
Example 6-4. Example of a Notice in the CCR for LRAA and Compliance Calculations for
TTHM and HAAS M&R Violations
Violation
Our water system recently failed to collect the correct number of drinking water samples. We
routinely monitor for the presence of drinking water contaminants. In July 2015, our system failed to
collect the required number of samples to test for total trihalomethanes (TTHMs) and haloacetic acids
(HAA5s) in our drinking water. Using the data we have collected over the past year, we are not in
violation of the standards for either TTHM or HAASs. The standards for TTHMs are 0.080 mg/L at
any individual monitoring location averaged over the year and for HAASs are 0.060 mg/L at any
individual monitoring location averaged over the year.
TTHMs and HAASs are a group of chemicals that are formed when chlorine or other disinfectants
used to control microbial contaminants in drinking water react with naturally occurring organic and
inorganic matter in water. We are working to minimize the formation of TTHMs and HAA5s while
ensuring an adequate level of disinfection to protect customers from exposure to bacteria. Since we
failed to collect the correct number of samples in July 2015, any potential health effects related to the
use of that water are unknown.
We have set-up new procedures at the systems to ensure all samples are collected and analyzed
according to our monitoring plan.
Stage 2 DBPR Implementation Guidance 155 August 2007
-------
Issue 3: Bromate M&R Violation
System Description - System D
System D is a small Subpart H CWS that serves 4,700 people. They have one surface water source, and
treat with a direct filtration plant that uses both ozone and chlorine as disinfectants. Because they use
ozone, under the Stage 1 DBPR, System D was required to monitor for bromate at the entrance to the
distribution system from their plant. The routine monitoring frequency was monthly, but the system was
able to qualify for reduced monitoring of quarterly sampling because their monthly source water bromide
RAA levels were less than 0.05 mg/'l.
Population Served:
Source:
Treatment:
4,700
Surface water
Softening plant, ozone, chlorine
After March 31, 2009, if System D wants to continue reduced monitoring for bromate, they will need
qualify using the new criteria under the Stage 2 DBPR. To meet the new criteria for reduced monitoring,
System D needs to conduct monthly monitor for bromate for 1 year using Method 317.0 Revision 2.0,
326.0, or 321.8. Note that systems cannot use Method 300.1 to qualify for reduced monitoring.
Situation
In April 2009, System D discontinues its bromide sampling and begins sampling monthly for bromate
using one of the new sampling methods. By March 2010, System D has a full year of monthly samples,
and their RAA is 0.0015. This is below 0.0025 mg/L so the system now qualifies for reduced bromate
sampling. In the second quarter of 2010, the system begins quarterly monitoring. However, in December
2010, their Bromate RAA is 0.0060 mg/L which exceeds 0.0025 mg/1. The system should have resumed
monthly monitoring at that point.
On April 12, 2011, the state sent System D a letter indicating that their records showed that the system
had failed to resume routine monitoring. System D began routine monitoring that month.
Table 6-3 summarizes System D's bromate monitoring results.
Table 6-3. System C Bromate and Bromide Monitoring Results (mg/L)
2008
2009
2010
Bromide
Bromate
Bromide
Bromate
Bromide
Bromate
JAN
0.0020
FEB
0.0020
MAR
0.004
0.01
0.0010
0.0010
APR
0.0020
MAY
0.0015
JUN
0.003
0.0016
0.0020
JUL
0.0010
AUG
0.0020
SEPT
0.002
0.0010
0.0025
OCT
0.0005
NOV
0.0010
DEC
0.002
0.0025
0.0060
Stage 2 DBPR Implementation Guidance
156
August 2007
-------
2011
2012
Bromate
Bromate
JAN
NS
0.0010
FEB
NS
0.0010
MAR
0.0010
0.0020
APR
0.0020
0.0022
MAY
0.0025
JUN
0.0018
JUL
0.0010
0.0010
AUG
0.0023
SEPT
0.0026
OCT
0.0024
0.0020
NOV
0.0020
DEC
Note: RAAs are calculated on a quarterly basis for Bromide and Monthly for Bromale. RAA = Running Annual
Arithmetic Average
NS = No samples taken
Public Notification and Consumer Confidence Report Requirements
System D is not eligible for a reduction in monitoring frequency after the month of December 2010
because the bromate RAA (0.0030 mg/L) is greater than 0.0025 mg/L for the four most recent quarters.
Beginning in January 2011, System D is required to begin monitoring monthly for bromate. Since System
D did not collect another bromate sample until March 2011, System D is in violation of the monitoring
and reporting requirement.
The system must provide Tier 3 public notice of the violation within 1 year of learning of the violation.
Notification must be provided by mail or other direct delivery method (such as hand delivery), and any
other method reasonably expected to reach affected individuals that would not have received the
information by mail or the direct delivery method used.
Since System D is a CWS, it could use the CCR to inform the public of the Tier 3 violations provided that
the CCR is released within 1 year of the system's learning of the violation. This system was alerted to the
violation on April 12, 2011, therefore the system would need to use the CCR produced for calendar year
2011 to inform the public of the violation. The system could use this CCR if the CCR is released prior to
April 12, 2012 (the CCR for calendar year 2011 is required to be released by July 1, 2012, for compliance
with the CCR Rule). In this situation, additional public notification would not be required.
However, whether public notification is provided by the CCR for calendar year 2011 or by other means,
this violation would still have to be reported by the system in the CCR produced for calendar year 2011.
All violations of National Primary Drinking Water Rules must be reported in the CCR for the calendar
year in which the system became aware of the violation. The violation report in the CCR should include
similar information contained in the public notice.
An example of a public notice that fulfills the public notification requirements for this violation is shown
in Example 6-5. An example of a report of this violation in the CCR is shown in Example 6-6.
Stage 2 DBPR Implementation Guidance
157
August 2007
-------
Example 6-5. Example Tier 3 Public Notification for Bromate M&R Violation
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
Monitoring and Reporting Requirements Not Met for System D
On April 12, 2011 we became aware that our system recently failed to collect the correct number of drinking
water samples. Although this incident was not an emergency, as our customers, you have a right to know what
happened and what we did to correct this situation.
Our system qualified to reduce the number of samples we are required to analyze for bromate in March 2010.
Bromate is a chemical that is formed when a system uses ozone to disinfect drinking water and it reacts with
naturally occurring bromide in source water. We were allowed to take 1 sample per quarter rather than 1 sample
per month. In December 2010, the running annual average exceeded 0.0025 mg/L and we no longer qualify for
reduced quarterly bromate monitoring. Beginning in January 2011, we failed to begin monitoring monthly for
bromate.
What should I do?
There is nothing you need to do. You do not need to boil your water or take other corrective actions. You may
continue to drink the water. If a situation arises where the water is no longer safe to drink, you will be notified
within 24 hours. We will announce any emergencies on Channel 22 or Radio Station KMMM (97.3 FM).
What was done?
We began monitoring monthly for bromate in April 2011 and will continue to monitoring on this schedule until or
unless we qualify for reduced monitoring.
For more information, please contact John Johnson, manager of System D, at 555-1234 or write to 2600 Winding
Rd., Townsville, SA 12345.
Please share this information with all the other people who drink this water, especially those who may not have
received this notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can
do this by posting this notice in a public place or distributing copies by hand or mail.
This notice is being sent to you by System D.
State Water System ID# SA1234589. Sent: May 15, 2011
Stage 2 DBPR Implementation Guidance 158 August 2007
-------
Example 6-6. Example of a Notice in the CCR for Bromate M&R Violation
Violation
Our system failed to collect the correct number of drinking water samples. Our system qualified to
reduce the number of samples required to monitor for bromate in March 2010. Bromate is a chemical
that is formed when a system uses ozone to disinfect drinking water and it reacts with naturally
occurring bromide in source water. We were allowed to take 1 sample per quarter rather than 1 sample
per month. In December 2010, the running annual average exceeded 0.0025 mg/L and we no longer
qualify for reduced quarterly bromate monitoring. Beginning in January 2011, we failed to begin
monitoring monthly for bromate. Since we failed to collect the correct number of samples in 2011,
any potential health effects related to the use of that water are unknown.
We began monitoring monthly for bromate in April 2011 and will continue to monitoring on this
schedule until reduced monitoring is again appropriate.
Stage 2 DBPR Implementation Guidance 159 August 2007
-------
This page intentionally left blank
Stage 2 DBPR Implementation Guidance 160 August 2007
-------
Appendix A
Primacy Revision Crosswalk
-------
This page intentionally left blank
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Bromate 0.010
Chlorite 1.0
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with the maximum contaminant levels for bromate and chlorite
identified in this paragraph (a): Bromate: Control of ozone
treatment process to reduce production of bromate. Chlorite:
Control of treatment processes to reduce disinfectant demand and
control of disinfection treatment processes to reduce disinfectant
levels.
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Disinfection byproduct MCL (mg/L)
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Systems on a reduced monitoring schedule may remain on that
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column) in the quarter immediately following the monitoring
period in which the system exceeds 0.060 mg/L or 0.045 mg/L for
TTHMs and HAAS, respectively. For systems using only ground
water not under the direct influence of surface water and serving
fewer than 10,000 persons, if either the TTHM annual average is
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system must go to the increased monitoring identified in
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may reduce monitoring from monthly to quarterly, if the system's
average source water bromide concentration is less than 0.05
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SUMMARY OF FEDERAL REQUIREMENT
Systems serving < 10,000 (CWS Only): You must submit your
standard monitoring plan or system specific study plan1 or 40/30
certification" to the state by or receive very small system waiver
from state - April 1,2008
You must complete your standard monitoring or system specific
study by -March 3 1,20 10
You must submit your IDSE report to the state by } - July 1, 201
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Consecutive system or wholesale system: at the same time as the
system with the earliest compliance date in the combined
distribution system
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date indicated.
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3 If, within three months after the date identified in this column
(nine months after the date identified in this column if you must
comply on the schedule in paragraph (c)(l)(iii) of this section), tl
State does not approve your IDSE report or notify you that it has
not yet completed its review, you may consider the report that yo
submitted as approved and you must implement the recommende
subpart V monitoring as required.
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«AL REQUIREMENT
1 SUMMARY OF FEDEI
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emergency basis or receiving onl>
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small system waiver under § 141 .6
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If you have not taken the required
standard monitoring that meets th<
system specific study that meets tl
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jj SUMMARY OF FEDERAL REQUIREMENT
You must use only the analytical methods specified in §141.131,
or otherwise approved by EPA for monitoring under this subpart,
to demonstrate compliance with the requirements of this subpart.
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compliance with MCLs in §141.64.
§141.601 STANDARD MONITORING
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Standard monitoring plan. Your standard monitoring plan must
comply with paragraphs (a)(l) through (a)(4) of this section. Yoi
must prepare and submit your standard monitoring plan to the
State according to the schedule in §141.600(c).
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Your standard monitoring plan must include a schematic of your
distribution system (including distribution system entry points an
their sources, and storage facilities), with notes indicating
locations and dates of all projected standard monitoring, and all
projected subpart L compliance monitoring.
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Your standard monitoring plan must include justification of
standard monitoring location selection and a summary of data yoi
relied on to justify standard monitoring location selection.
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You must retain a complete copy of your standard monitoring pla
submitted under this paragraph (a), including any State
modification of your standard monitoring plan, for as long as you
are required to retain your IDSE report under paragraph (c)(4) of
this section.
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SUMMARY OF FEDERAL REQUIREMENT
Standard monitoring. You must monitor as indicated in the table
in this paragraph (b)( \ ). You must collect dual sample sets at
each monitoring location. One sample in the dual sample set must
be analyzed for TTHM. The other sample in the dual sample set
must be analyzed for HAAS. You must conduct one monitoring
period during the peak historical month for TTHM levels or
HAAS levels or the month of warmest water temperature. You
must review available compliance, study, or operational data to
detennine the peak historical month for TTHM or HAAS levels or
wannest water temperature.
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You must take samples at locations other than the existing subpart
L monitoring locations. Monitoring locations must be distributed
throughout the distribution system.
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If the number of entry points to the distribution system is fewer
than the specified number of entry point monitoring locations,
excess entry point samples must be replaced equally at high
TTHM and HAAS locations. If there is an odd extra location
number, you must take a sample at a high TTHM location. If the
number of entry points to the distribution system is more than the
specified number of entry point monitoring locations, you must,
take samples at entry points to the distribution system having the
highest annual water flows.
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Your monitoring under this paragraph (b) may not be reduced
under the provisions of § 141 .29 and the State may not reduce your
monitoring using the provisions of § 142. 1 6(m).
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SUMMARY OF FEDERAL REQUIREMENT
Your IDSE report must include all TTHM and HAAS analytica
results from subpart L compliance monitoring and all standard
monitoring conducted during the period of the IDSE as individi
analytical results and LRAAs presented in a tabular or spreads}
format acceptable to the State. If changed from your standard
monitoring plan submitted under paragraph (a) of this section,
your report must also include a schematic of your distribution
system, the population served, and system type (subpart H or
ground water).
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You must recommend and justify subpart V compliance
monitoring locations and timing based on the protocol in
§141.605.
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You must retain a complete copy of your IDSE report submitte'
under this section for 1 0 years after the date that you submitted
your report. If the State modifies the subpart V monitoring
requirements that you recommended in your IDSE report or if t
State approves alternative monitoring locations, you must keep
copy of the State's notification on file for 10 years after the dat
of the State's notification. You must make the IDSE report an
any State notification available for review by the State or the
public.
§141.602 SYSTEM SPECIFIC STUDIES
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1 SUMMARY OF FEDERAL REQUIREMENT
Existing monitoring results. You may comply by submitting
monitoring results collected before you are required to begin
monitoring under § 141 .600(c). The monitoring results and
analysis must meet the criteria in paragraphs (a)(l)(i) and (a)
of this section.
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Minimum requirements. TTHM and HAAS results must be b
on samples collected and analyzed in accordance with §141.
Samples must be collected no earlier than five years prior to
study plan submission date.
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The monitoring locations and frequency must meet the condi
identified in this paragraph (a)(l)(i)(B). Each location must
sampled once during the peak historical month for TTHM le'
or HAAS levels or the month of warmest water temperature J
every 12 months of data submitted for that location. Monitoi
results must include all subpart L compliance monitoring res
plus additional monitoring results as necessary to meet minir
sample requirements.
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Reporting monitoring results. You must report the informatu
this paragraph (a)(l)(ii).
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You must certify that the samples were representative of the
distribution system and that treatment, and distribution systei
have not changed significantly since the samples were collec
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Your study monitoring plan must include a 5
distribution system (including distribution s}
their sources, and storage facilities), with no
locations and dates of all completed or plant
study monitoring.
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If you submit previously collected data that
of samples required under paragraph (a)(l)(i
and the State rejects some of the data, you n
additional monitoring to replace rejected dal
State approves or conduct standard monitori
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Minimum requirements. The model must sin
variation in demand and show a consistently
pattern of residence time.
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The model must represent the criteria listed
(a)(2)(i)(B)(7) through (9) of this section.
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All 8-inch and larger pipes that connect pres
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significant conveyors of water;
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SUMMARY OF FEDERAL REQUIREMENT
\ description of all calibration activities undertaken, and if
calibration is complete, a graph of predicted tank levels versus
neasured tank levels for the storage facility with the highest
•esidence time in each pressure zone, and a time series graph of
he residence time at the longest residence time storage facility i
:he distribution system showing the predictions for the entire
simulation period (i.e., from time zero until the time it takes to f
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system entry points and their sources, and storage facilities), wit
notes indicating the locations and dates of all completed system
specific study monitoring (if calibration is complete) and all
subpart L compliance monitoring.
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You must retain a complete copy of your system specific study
plan submitted under this paragraph (a)(2), including any State
modification of your system specific study plan, for as long as y
are required to retain your IDSE report under paragraph (b)(7) o
this section.
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If you submit a model that does not fully meet the requirements
under paragraph (a)(2) of this section, you must correct the
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State's satisfaction, you must conduct standard monitoring unde
§141.601.
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IDSE report. Your IDSE report must include the elements
required in paragraphs (b)( 1 ) through (b)(6) of this section. You
must submit your IDSE report according to the schedule in
§141.600(c).
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described in paragraph (a)(2)(ii) of this section, and a 24-hour
time series graph of residence time for each subpart V compliani
monitoring location selected.
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You must retain a complete copy of your IDSE report subm
under this section for 10 years after the date that you submit
your IDSE report. If the State modifies the subpart V inonit
requirements that you recommended in your IDSE report or
State approves alternative monitoring locations, you must k<
copy of the State's notification on file for 10 years after the
of the State's notification. You must make the IDSE report
any State notification available for review by the State or th
public.
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40/30 CERTIFICATION
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HAAS monitoring violations under subpart L of
3 individual sample exceeded 0.040 mg/L for TT
L for HAAS during an eight consecutive calenda
riod beginning no earlier than the date specified i
(a).
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'30 Certification Is Due October 1 , 2006 Then yo
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no earlier than ' January 2004
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30 Certification Is Due April 1, 2008 Then your
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i| SUMMARY OF FEDERAL REQUIREMENT
40/30 certification. You must certify to your State that every
individual compliance sample taken under subpart L of this part
during the periods specified in paragraph (a) of this section were
<0.040 mg/L for TTHM and <0.030 mg/L for HAAS, and that yo>
have not had any TTHM or HAA5 monitoring violations during
the period specified in paragraph (a) of this section.
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The State may require you to submit compliance monitoring
results, distribution system schematics, and/or recommended
subpart V compliance monitoring locations in addition to your
certification. If you fail to submit the requested information, the
State may require standard monitoring under §141.601 or a syster
specific study under §141.602.
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You must retain a complete copy of your certification submitted
under this section for 10 years after the date that you submitted
your certification. You must make the certification, all data upon
which the certification is based, and any State notification
available for review by the State or the public.
§141.604 VERY SMALL SYSTEM WAIVERS
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j SUMMARY OF FEDERAL REQUIREMENT
If you have not taken TTHM and HAAS samples under subpart
of this part or if the State notifies you that you must comply wil
this subpart, you must conduct standard monitoring under
§141.601 or a system specific study under §141.602.
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Your IDSE report must include your recommendations and
justification for where and during what month(s) TTHM and
HA A5 monitoring for subpart V of this part should be conducte
You must base your recommendations on the criteria in
paragraphs (b) through (e) of this section.
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You must select the number of monitoring locations specified ii
the table in this paragraph (b). You will use these recommende
locations as subpart V routine compliance monitoring locations
unless State requires different or additional locations. You shoi
distribute locations throughout the distribution system to the
extent possible.
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You must recommend subpart V compliance monitoring locatio
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results, and subpart L compliance monitoring results. You mus
follow the protocol in paragraphs (c)(l) through (c)(8) of this
section. If required to monitor at more than eight locations, yoi
must repeat the protocol as necessary. If you do not have existi
subpart L compliance monitoring results or if you do not have
enough existing subpart L compliance monitoring results, you
must repeat the protocol, skipping the provisions of paragraphs
(c)(3) and (c)(7) of this section as necessary, until you have
identified the required total number of monitoring locations.
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Location with the highest TTHM LRAA not previously selectee
as a subpart V monitoring location.
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If SUMMARY OF FEDERAL REQUIREMENT
Location with the highest HAAS LRAA not previously selected ;
a subpart V monitoring location.
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Existing subpart L average residence time compliance inonitorin
location (maximum residence time compliance monitoring
location for ground water systems) with the highest HAAS LRA,
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You may recommend locations other than those specified in
paragraph (c) of this section if you include a rationale for selectil
other locations. If the State approves the alternate locations, you
must monitor at these locations to detennine compliance under
subpart V of this part.
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| SUMMARY OF FEDERAL REQUIREMENT
Your recommended schedule must include subpart V monitorir
during the peak historical month for TTHM and HAA5
concentration, unless the State approves another month. Once
have identified the peak historical month, and if you are requin
to conduct routine monitoring at least quarterly, you must
schedule subpart V compliance monitoring at a regular frequen
of every 90 days or fewer.
p SUBPART V - STAGE 2 DISINFECTION BYPRODUCTS REQUIRE;
§141.620 GENERAL REQUIREMENTS
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The requirements of subpart V of this part constitute national
primary drinking water regulations. The regulations in this
subpart establish monitoring and other requirements for achievi
compliance with maximum contaminant levels based on locatio
running annual averages (LRAA) for total trihalomethanes
(TTHM) and haloacetic acids (five)(HAA5), and for achieving
compliance with maximum residual disinfectant residuals for
chlorine and chloramine for certain consecutive systems.
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Applicability. You are subject to these requirements if your syst
is a community water system or a nontransient noncommunity
water system that uses a primary or residual disinfectant other
than ultraviolet light or delivers water that has been treated with
primary or residual disinfectant other than ultraviolet light.
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SUMMARY OF FEDERAL REQUIREMENT
Systems serving 10,000-49,999: October 1, 2013
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Consecutive system or wholesale system: at the same time as tr
system with the earliest compliance date in the combined
distribution system
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Your monitoring frequency is specified in §141.621(a)(2).
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If you are required to conduct monitoring at a frequency that is
less than quarterly, you must begin monitoring in the calendar
month recommended in the IDSE report prepared under § 141 .6
or §141.602 or the calendar month identified in the subpart V
monitoring plan developed under §141.622 no later than 12
months after the compliance date in this table.
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If you are required to conduct quarterly monitoring, you must
make compliance calculations at the end of the fourth calendar
quarter that follows the compliance date and at the end of each
subsequent quarter (or earlier if the LRAA calculated based on
fewer than four quarters of data would cause the MCL to be
exceeded regardless of the monitoring results of subsequent
quarters). If you are required to conduct monitoring at a
frequency that is less than quarterly, you must make complianc
calculations beginning with the first compliance sample taken
after the compliance date.
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For the purpose of the schedule in this paragraph (c), the State
may determine that the combined distribution system does not
include certain consecutive systems based on factors such as
receiving water from a wholesale system only on an emergency
basis or receiving only a small percentage and small volume of
water from a wholesale system. The State may also determine
that the combined distribution system does not include certain
wholesale systems based on factors such as delivering water to a
consecutive system only on an emergency basis or delivering only
a small percentage and small volume of water to a consecutive
system.
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Monitoring and compliance. Systems required to monitor
quarterly. To comply with subpart V MCLs in §141.64(b)(2), you
must calculate LRAAs for TTHM and HAAS using monitoring
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consecutive quarters of monitoring, you must calculate
compliance with the MCL based on the average of the available
data from the most recent four quarters. Ff you take more than one
sample per quarter at a monitoring location, you must average all
samples taken in the quarter at that location to determine a
quarterly average to be used in the LRAA calculation.
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You are in violation of the monitoring requirements for each
quarter that a monitoring result would be used in calculating an
LRAA if you fail to monitor.
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§141.621 ROUTINE MONITORING
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Monitoring. If you submitted an IDSE report, you must begin
monitoring at the locations and months you have recommended
your IDSE report submitted under §141.605 following the
schedule in §141 .620(c), unless the State requires other location
or additional locations after its review. If you submitted a 40/30
certification under §141.603 or you qualified for a very small
system waiver under §141.604 or you are a nontransient
noncommunity water system serving <1 0,000, you must monito
at the location(s) and dates identified in your monitoring plan in
§ 14 1 . 132(f), updated as required by § 141 .622.
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You must monitor at no fewer than the number of locations
identified in this paragraph (a)(2).
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If you are an undisinfected system that begins using a disinfecta
other than UV light after the dates in subpart U of this part for
complying with the Initial Distribution System Evaluation
requirements, you must consult with the State to identify
compliance monitoring locations for this subpart. You must the
develop a monitoring plan under §141.622 that includes those
monitoring locations.
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Analytical methods. You must use an approved method listed in
§141.131 for TTHM and HAAS analyses in this subpart.
Analyses must be conducted by laboratories that have received
certification by EPA or the State as specified in §141.131.
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distribution system if the State has reduced monitoring
requirements under the State authority in §142.16(m).
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If you were not required to submit an IDSE report under either
§141.601 or §141.602, and you do not have sufficient subpart L
monitoring locations to identify the required number of subpart
compliance monitoring locations indicated in §141.605(b), you
must identify additional locations by alternating selection of
locations representing high TTHM levels and high HAAS levels
until the required number of compliance monitoring locations
have been identified. You must also provide the rationale for
identifying the locations as having high levels of TTHM or
HAAS. If you have more subpart L monitoring locations than
required for subpart V compliance monitoring in § 141 .605(b), y
must identify which locations you will use for subpart V
compliance monitoring by alternating selection of locations
representing high TTHM levels and high HAAS levels until the
required number of subpart V compliance monitoring locations
have been identified.
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If you are a subpart H system serving > 3,300 people, you must
submit a copy of your monitoring plan to the State prior to the
date you conduct your initial monitoring under this subpart, unless
your IDSE report submitted under subpart U of this part contains
all the infonnation required by this section.
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You may revise your monitoring plan to reflect changes in
treatment, distribution system operations and layout (including
new service areas), or other factors that may affect TTHM or
HAAS formation, or for State-approved reasons, after consultation
with the State regarding the need for changes and the
appropriateness of changes. If you change monitoring locations,
you must replace existing compliance monitoring locations with
the lowest LRAA with new locations that reflect the current
distribution system locations with expected high TTHM or HAAS
levels. The State may also require modifications in your
monitoring plan. If you are a subpart H system serving > 3,300
people, you must submit a copy of your modified monitoring plan
to the State prior to the date you are required to comply with the
revised monitoring plan.
§141.623 REDUCED MONITORING
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You may remain on reduced monitoring as long as the TTHM
LRAA <0.040 mg/L and the HAAS LRAA <0.030 mg/L at each
monitoring location (for systems with quarterly reduced
monitoring) or each TTHM sample <0.060 mg/L and each HAAS
sample <0.045 mg/L (for systems with annual or less frequent
monitoring). In addition, the source water annual average TOC
level, before any treatment, must be <4.0 mg/L at each treatment
plant treating surface water or ground water under the direct
influence of surface water, based on monitoring conducted under
either §141. 132(b)(l)(iii) or §141. 132(d).
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The State may return your system to routine monitoring at the
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1 §141.624 ADDITIONAL REQUIREMENTS FOR CONSECUTIVI
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You are in violation of the MCL when the LRAA exceeds the
subpart V MCLs in §141.64(b)(2), calculated based on four
consecutive quarters of monitoring (or the LRAA calculated based
on fewer than four quarters of data if the MCL would be exceeded
regardless of the monitoring results of subsequent quarters). You
are in violation of the monitoring requirements for each quarter
that a monitoring result would be used in calculating an LRAA if
you fail to monitor.
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You may return to routine monitoring once you have conducted
increased monitoring for at least four consecutive quarters and the
LRAA for every monitoring location is <0.060 mg/L for TTHM
and <0.045 mg/L for HAAS.
§141.626 OPERATIONAL EVALUATION LEVELS
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You have exceeded the operational evaluation level at any
monitoring location where the sum of the two previous quarters'
TTHM results plus twice the current quarter's TTHM result,
divided by 4 to determine an average, exceeds 0.080 mg/L, or
where the sum of the two previous quarters' HAAS results plus
twice the current quarter's HAAS result, divided by 4 to determine
an average, exceeds 0.060 mg/L.
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Your request to limit the scope of the evaluation does not extend
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written report. The State must approve this limited scope of
evaluation in writing and you must keep that approval with the
completed report:
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§141.627 REQUIREMENTS FOR REMAINING ON REDUCED 1
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You may remain on reduced monitoring after the dates identified
in § 141 .620(c) for compliance with this subpart only if you
qualify for a 40/30 certification under § 141.603 or have received a
very small system waiver under §141.604, plus you meet the
reduced monitoring criteria in §141.623(a), and you do not change
or add monitoring locations from those used for compliance
monitoring under subpart L of this part. If your monitoring
locations under this subpart differ from your monitoring locations
under subpart L of this part, you may not remain on reduced
monitoring after the dates identified in §141.620(c) for
compliance with this subpart.
If you were on increased monitoring under §141.132(b)(l), you
must remain on increased monitoring until you qualify for a return
to routine monitoring under § 1 4 1 .625(c). You must conduct
increased monitoring under §141.625 at the monitoring locations
in the monitoring plan developed under §141.622 beginning at the
date identified in §141.620(c) for compliance with this subpart
and remain on increased monitoring until you qualify for a return
to routine monitoring under §141 ,625(c).
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Reporting. You must report the following information for each
monitoring location to the State within 10 days of the end of any
quarter in which monitoring is required:
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If you are a subpart H system seeking to qualify for or remain on
reduced TTHM/HAA5 monitoring, you must report the following
source water TOC information for each treatment plant that treats
surface water or ground water under the direct influence of surface
water to the State within 10 days of the end of any quarter in
which monitoring is required:
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ARY DRINKING
PART 142 - NATIONAL PR
1 §142.14 RECORDS KEPT BY STATES
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This page intentionally left blank
Stage 2 DBPR Implementation Guidance A-46 August 2007
-------
Appendix B
Rule Requirements
Rule updates and revisions are available on EPA's Web site:
www.cpa.gov7safcwaler/disinfcction/stagc2/regulat ions, html.
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Federal Register/Vol. 71, No. 2/Wednesday, January 4, 2006/Rules and Regulations
477
trihalomethane exposure and
spontaneous abortion. Journal of
Exposure Analysis and Environmental
Epidemiology. 11(6): 522-531.
Weinberg, H.S., S.W. Krasner. S.D.
Richardson and A.D. Thruston, Jr. 2002.
The Occurrence of Disinfection By-
Products (DBFs) of Health Concern in
Drinking Water: Results of a Nationwide
DBF Occurrence Study, U.S.
Environmental Protection Agency,
National Exposure Research Laboratory,
Athens. GA. EPA/600/R-02/068. http:'//
www.epa.gov/athenti/publicaiions/
EPA600R02068.pdf.
WHO. 2000. World Health Organization,
International Programme on Chemical
Safety (IPCS). Environmental Health
Criteria 216: Disinfectants and
Disinfectant By-products.
Windham, CC. Swan SH, Fenster L, Neutra
RR. 1992. Tap or bottled water
consumption and spontaneous abortion:
a 1986 case-control study in California.
Epidemiology. 3:113-9.
Windham GC, Waller K, Anderson M.
Fenster L, Mondola P, and Swan S. 2003.
Chlorination by-products in drinking
water and menstrual cycle function.
Environ Health Perspect: doi:10.1289/
ehp.5922. http://ehpnetT.niehs.nih.gov/
docs/2003/5922/abstract. h tml.
Wrensch, M., S.H. Swan. J. Lipscomb, D.M.
Epstein, R.R. Neutra, and L. Fenster.
1992. Spontaneous abortions and birth
defects related to tap and bottled water
use, San Jose. California, 1980-1985.
Epidemiology. 3(2):98-103.
Wright, J.M., J. Schwartz and D.W. Dockery.
2003. Effect of trihalomethane exposure
on fetal development. Occupational and
Environmental Medicine. 60(3):173-180.
Wright, J.M.. J. Schwartz and D.W. Dockery.
2004. The effect of disinfection by-
products and mutagenic activity on birth
weight and gestational duration.
Environmental Health Perspectives.
112(8):920-925.
Xu, X., T.M. Marino, J.D. Laskin and C.P.
Weisel. 2002. Pericutaneous absorption
of trihalomothanes, haloacetic acids, and
haloketones. Toxicology and Applied
Pharmacology. 184(1 ):19-26.
Yang, C.Y., Chiu/H.F, Cheng, M.F., and Tsai,
S.S. 1998. Chlorination of Drinking
Water and Cancer Mortality in Taiwan.
Environ Res. 78:1-6.
Yang. V., B. Cheng, S. Tsai. T. Wu, M. Lin
M. and K. Lin. 2000. Association
between Chlorination of drinking water
and adverse pregnancy outcome in
Taiwan. Environ. Health. Perspect.
108:765-68.
Yang. C.-Y. 2004. Drinking water
chlorination and adverse birth outcomes
in Taiwan. Toxicology. 198(2004):249-
254.
Zheng. M., S. Andrews, and J. Bolton. 1999.
Impacts of medium-pressure UV on THM
and HAA formation in pre-UV
chlorinated drinking water. Proceedings,
Water Quality Technology Conference of
the American Water Works Association,
Denver, CO.
List of Subjects
40 CFR Part 9
Reporting and recordkeeping
requirements.
40 CFR Part 141
Environmental protection, Chemicals,
Indians-lands, Incorporation by
reference, Intergovernmental relations,
Radiation protection, Reporting and
recordkeeping requirements, Water
supply.
40 CFR Part 142
Environmental protection,
Administrative practice and procedure,
Chemicals, Indians-lands, Radiation
protection, Reporting and recordkeeping
requirements, Water supply.
Dated: December 15, 2005.
Stephen L. Johnson.
A dm in istro tor.
• For the reasons set forth in the
preamble, title 40 chapter I of the Code
of Federal Regulations is amended as
follows:
PART 9—OMB APPROVALS UNDER
THE PAPERWORK REDUCTION ACT
• 1. The authority citation for part 9
continues to read as follows:
Authority: 7 U.S.C. 135 et seq., 136-136y;
15 U.S.C. 2001, 2003, 2005, 2006, 2601-2671;
21 U.S.C. 331J, 346a, 348; 31 U.S.C. 9701; 33
U.S.C. 1251 etseq., 1311. 1313d, 1314, 1318,
1321, 1326. 1330, 1342, 1344. 1345 (d) and
(o), 1361: Executive Order 11735, 38 FK
21243. 3 CFR, 1971-1975 Comp. p. 973; 42
U.S.C. 241. 242b, 243. 246, 300f, 300g, 300g-
1, 300g-2, 300g-3, 300g-4, 300g-5, 300g-6,
300J-1. 300J-2, 300J-3, 300J-4, 300J-9, 1857
et seq., 6901-6992k, 7401-7671q, 7542,
9601-9657, 11023, 11048.
• 2. In § 9.1 the table is amended as
follows:
• a. Under the heading "National
Primary Drinking Water Regulations
Implementation" by adding entries in
numerical order for "§ 141.600-141.605,
141.620-141.626, 141.629".
• b. Under the heading "National
Primary Drinking Water Regulations
Implementation" by removing entries
"§ 142.14(a),142.14'(aHd)(3)" and
adding entries in numerical order for
"142.14(a) (l}-(7), 142.14(a)(8),
142.14(bHd) and 142.16(m)" as
follows:
§9.1 OMB approvals under the Paperwork
Reduction Act.
40 CFR citation
OMB control
No.
National Primary Drinking Water
Regulations
141.600-141.605
141.620-141.626
141.629
2040-0265
2040-0265
2040-0265
National Primary Drinking Water
Regulations Implementation
2040-0265
2040-0265
2040-0090
142.14(a)(8)
142.14(b)-(d)
142.16(m)
2040-0265
40 CFR citation
OMB control
No.
PART 141—NATIONAL PRIMARY
DRINKING WATER REGULATIONS
• 3. The authority citation for part 141
continues to read as follows:
Authority: 42 U.S.C. 300f, 300g-l. 300g-2.
300g-3, 300g-4. 3()Og-5, 300g-6, 300J-4.
300J-9. and 300J-11.
• 4. Section 141.2 is amended by
adding, in alphabetical order,
definitions for "Combined distribution
system", "Consecutive system", "Dual
sample sets", "Finished water",
"GAC20", "Locational running annual
average", and "Wholesale system" and
revising the definition of "GAC10" to
read as follows:
§141.2 Definitions.
Combined distribution system is the
interconnected distribution system
consisting of the distribution systems of
wholesale systems and of the
consecutive systems that receive
finished water.
Consecutive system is a public water
system that receives some or all of its
finished water from one or more
wholesale systems. Delivery may be
through a direct connection or through
the distribution system of one or more
consecutive systems.
*****
Dual sample set is a set of two
samples collected at the same time and
same location, with one sample
analyzed for TTHM and the other
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Federal Register/Vol. 71, No. 2/Wednesday, January 4, 2006/Rules and Regulations
sample analyzed for HAAS. Dual sample
sets are collected for the purposes of
conducting an IDSE under subpart U of
this part and determining compliance
with the TTHM and HAA5 MCLs under
subpart V of this part.
*****
Finished water is water that is
introduced into the distribution system
of a public water system and is intended
for distribution and consumption
without further treatment, except as
treatment necessary to maintain water
quality in the distribution system (e.g.,
booster disinfection, addition of
corrosion control chemicals).
*****
GAClO means granular activated
carbon filter beds with an empty-bed
contact time of 10 minutes based on
average daily flow and a carbon
reactivation frequency of every 180
days, except that the reactivation
frequency for GAClO used as a best
available technology for compliance
with subpart V MCLs under
§ 141.64(b)(2) shall be 120 days.
GAC20 means granular activated
carbon filter beds with an empty-bed
contact time of 20 minutes based on
average daily flow and a carbon
reactivation frequency of every 240
days.
*****
Locational running annual average
(LRAA) is the average of sample
analytical results for samples taken at a
particular monitoring location during
the previous four calendar quarters.
*****
Wholesale system is a public water
system that treats source water as
necessary to produce finished water and
then delivers some or all of that finished
water to another public water system.
Delivery may be through a direct
connection or through the distribution
system of one or more consecutive
systems.
§141.12 [Removed]
• 5. Section 141.12 is removed and
reserved.
§141.30 [Removed]
• 6. Section 141.30 is removed.
§141.32 [Removed]
• 7. Section 141.32 is removed and
reserved.
• 8. Section 141.33 is amended by
revising the first sentence of paragraph
(a) introductory text and adding
paragraph (f) to read as follows:
§ 141.33 Record maintenance.
*****
(a) Records of microbiological
analyses and turbidity analyses made
pursuant to this part shall be kept for
not less than 5 vears. * * *
(f) Copies of monitoring plans
developed pursuant to this part shall be
kept for the same period of time as the
records of analyses taken under the plan
are required to be kept under paragraph
(a) of this section, except as specified
elsewhere in this part.
• 9. Section 141.53 is amended by
revising the table to read as follows:
§ 141.53 Maximum contaminant level goals
for disinfection byproducts.
Disinfection byproduct
Bromodichloromethane
Bromoform
Bromate
Chlorite
Chloroform
Dibromochloromethane
Dichloroacetic acid
Monochloroacetic acid
Trichloroacetic acid
MCLG
zero
zero
zero
08
0.07
0.06
zero
007
002
(mg/L)
• 10. Section 141.64 is revised to read
as follows:
§ 141.64 Maximum contaminant levels for
disinfection byproducts.
(a) Bromate and chlorite. The
maximum contaminant levels (MCLs)
for bromate and chlorite are as follows:
Disinfection byproduct
Bromate
Chlorite ..
MCL (mg/L)
0 010
1.0
(1) Compliance dates for CWSs and
NTNCWSs. Subpart H systems serving
10,000 or more persons must comply
with this paragraph (a) beginning
January 1, 2002. Subpart H systems
serving fewer than 10,000 persons and
systems using only ground water not
under the direct influence of surface
water must comply with this paragraph
(a) beginning January 1, 2004.
(2) The Administrator, pursuant to
section 1412 of the Act, hereby
identifies the following as the best
technology, treatment techniques, or
other means available for achieving
compliance with the maximum
contaminant levels for bromate and
chlorite identified in this paragraph (a):
Disinfec-
tion by-
product
Bromate
Best available technology
Control of ozone treatment proc-
ess to reduce production of bro-
mate
Disinfec-
tion by-
product
Chlorite
Best available technology
Control of treatment processes to
reduce disinfectant demand and
control of disinfection treatment
processes to reduce disinfectant
levels
(b) TTHM and HAAS. (1) Subpart L—
RAA compliance, (i) Compliance dates.
Subpart H systems serving 10,000 or
more persons must comply with this
paragraph (b)(l) beginning January 1,
2002. Subpart H systems serving fewer
than 10,000 persons and systems using
only ground water not under the direct
influence of surface water must comply
with this paragraph (b)(l) beginning
January 1, 2004. All systems must
comply with these MCLs until the date
specified for subpart V compliance in
§141.620(c).
Disinfection byproduct
Total trihalomethanes (TTHM)
Haloacetic acids (five) (HAAS)
MCL (mg/L)
0.080
0.060
(ii) The Administrator, pursuant to
section 1412 of the Act, hereby
identifies the following as the best
technology, treatment techniques, or
other means available for achieving
compliance with the maximum
contaminant levels for TTHM and
HAAS identified in this paragraph
Disinfection byproduct
Total trihalomethanes
(TTHM) and
Haloacetic acids
(five) (HAAS).
Best available tech-
nology
Enhanced coagula-
tion or enhanced
softening or
GAC10, with chlo-
rine as the primary
and residual dis-
infectant
(2) Subpart V—LRAA compliance, (i)
Compliance dates. The subpart V MCLs
for TTHM and HAA5 must be complied
with as a locational running annual
average at each monitoring location
beginning the date specified for subpart
V compliance in § 141.620(c).
Disinfection byproduct
Total trihalomethanes (TTHM)
Haloacetic acids (five) (HAAS)
MCL (mg/L)
0.080
0.060
(ii) The Administrator, pursuant to
section 1412 of the Act, hereby
identifies the following as the best
technology, treatment techniques, or
other means available for achieving
compliance with the maximum
contaminant levels for TTHM and
HAAS identified in this paragraph (b)(2)
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Federal Register/Vol. 71, No. 2/Wednesday, January 4, 2006/Rules and Regulations
479
for all systems that disinfect their source
water:
Disinfection by-
product
Total
trihalometha-
nes (TTHM)
and
Haloacetic
acids (five)
(HAAS).
Best available technology
Enhanced coagulation or en-
hanced softening, plus
GAC10; or nanofiltration
with a molecular weight
cutoff <1000 Daltons; or
GAC20
(iii) The Administrator, pursuant to
section 1412 of the Act, hereby
identifies the following as the best
technology, treatment techniques, or
other means available for achieving
compliance with the maximum
contaminant levels for TTHM and
HAAS identified in this paragraph (b)(2)
for consecutive systems and applies
only to the disinfected water that
consecutive systems buy or otherwise
receive:
Disinfection by-
product
Total
trihalometha-
nes (TTHM)
and
Haloacetic
acids (five)
(HAAS).
Best available technology
Systems serving >10,000:
Improved distribution sys-
tem and storage tank
management to reduce
residence time, plus the
use of chloramines for dis-
infectant residual mainte-
nance
Systems serving <10,000:
Improved distribution sys-
tem and storage tank
management to reduce
residence time
• 11. Section 141.131 is amended as
follows:
• a. By revising paragraph (a),
b. By revising paragraphs (b)(l) and
"
• c. By revising the table in paragraph
(c)(l),"
• d. By revising paragraphs (d)(2),
(d)(3Ud)(4)(i),and(d)(4)(ii),
• e. By adding paragraph (d)(6).
§141.131 Analytical requirements.
(a) General. (1) Systems must use only
the analytical methods specified in this
section, or their equivalent as approved
by EPA, to demonstrate compliance
with the requirements of this subpart
and with the requirements of subparts U
and V of this part. These methods are
effective for compliance monitoring
February 16, 1999, unless a different
effective date is specified in this section
or by the State.
(2) The following documents are
incorporated by reference. The Director
of the Federal Register approves this
incorporation by reference in
accordance with 5 U.S.C. 552(a) and 1
CFR part 51. Copies may be inspected
at EPA's Drinking Water Docket, 1301
Constitution Avenue, NW., EPA West,
Room B102, Washington, DC 20460, or
at the National Archives and Records
Administration (NARA). For
information on the availability of this
material at NARA, call 202-741-6030,
or go to: http://www.archives.gov/
federal_register/
code_of_federal_regulations/
ibr_locations.html. EPA Method 552.1 is
in Methods for the Determination of
Organic Compounds in Drinking Water-
Supplement II, USEPA, August 1992,
EPA/600/R-92/129 (available through
National Information Technical Service
(NTIS), PB92-207703). EPA Methods
502.2, 524.2, 551.1, and 552.2 are in
Methods for the Determination of
Organic Compounds in Drinking Water-
Supplement III, USEPA, August 1995,
EPA/600/R-95/131 (available through
NTIS, PB95-261616). EPA Method
300.0 is in Methods for the
Determination of Inorganic Substances
in Environmental Samples, USEPA,
August 1993, EPA/600/R-93/100
(available through NTIS, PB94-121811).
EPA Methods 300.1 and 321.8 are in
Methods for the Determination of
Organic and Inorganic Compounds in
Drinking Water, Volume 1, USEPA,
August 2000, EPA 815-R-00-014
(available through NTIS, PB2000-
106981). EPA Method 317.0, Revision
2.0, "Determination of Inorganic
Oxyhalide Disinfection By-Products in
Drinking Water Using Ion
Chromatography with the Addition of a
Postcolumn Reagent for Trace Bromate
Analysis," USEPA, July 2001, EPA 815-
B-01-001, EPA Method 326.0, Revision
1.0, "Determination of Inorganic
Oxyhalide Disinfection By-Products in
Drinking Water Using Ion
Chromatography Incorporating the
Addition of a Suppressor Acidified
Postcolumn Reagent for Trace Bromate
Analysis," USEPA, June 2002, EPA 815-
R-03-007, EPA Method 327.0, Revision
1.1, "Determination of Chlorine Dioxide
and Chlorite Ion in Drinking Water
Using Lissamine Green B and
Horseradish Peroxidase with Detection
by Visible Spectrophotometry," USEPA,
May 2005, EPA 815-R-05-008 and EPA
Method 552.3, Revision 1.0,
"Determination of Haloacetic Acids and
Dalapon in Drinking Water by Liquid-
liquid Microextraction, Derivatization,
and Gas Chromatography with Electron
Capture Detection," USEPA, July 2003,
EPA-815-B-03-002 can be accessed
and downloaded directly on-line at
http://www.epa.gov/safewater/methods/
sourcalt.html. EPA Method 415.3,
Revision 1.1, "Determination of Total
Organic Carbon and Specific UV
Absorbance at 254 nm in Source Water
and Drinking Water," USEPA, February
2005, EPA/600/R-05/055 can be
accessed and downloaded directly on-
line at www.epa.gov/nerlcwww/
ordmeth.htm. Standard Methods 4500-
Cl D, 4500-C1 E, 4500-C1 F, 4500-C1 G,
4500-C1 H, 4500-C11, 4500-C1O2 D,
4500-C1O2 E, 6251 B, and 5910 B shall
be followed in accordance with
Standard Methods for the Examination
of Water and Wastewater, 19th or 20th
Editions, American Public Health
Association, 1995 and 1998,
respectively. The cited methods
published in either edition may be used.
Standard Methods 5310 B, 5310 C, and
5310 D shall be followed in accordance
with the Supplement to the 19th Edition
of Standard Methods for the
Examination of Water and Wastewater,
or the Standard Methods for the
Examination of Water and Wastewater,
20th Edition, American Public Health
Association, 1996 and 1998,
respectively. The cited methods
published in either edition may be used
Copies may be obtained from the
American Public Health Association,
1015 Fifteenth Street, NW., Washington
DC 20005. Standard Methods 4500-C1
D-00, 4500-C1 E-00, 4500-C1 F-00,
4500-C1 G-00, 4500-C1 H-00, 4500-C1
1-00, 4500-C1O2 E-00, 6251 B-94, 5310
B-00, 5310 C-00, 5310 D-00 and 5910
B-00 are available at http://
www.standardmethods.org or at EPA's
Water Docket. The year in which each
method was approved by the Standard
Methods Committee is designated by thu
last two digits in the method number.
The methods listed are the only Online
versions that are IBR-approved. ASTM
Methods D 1253-86 and D 1253-86
(Reapproved 1996) shall be followed in
accordance with the Annual Book of
ASTM Standards, Volume 11.01,
American Society for Testing and
Materials International, 1996 or any
ASTM edition containing the IBR-
approved version of the method may be
used. ASTM Method D1253-03 shall be
followed in accordance with the Annual
Book of ASTM Standards, Volume
11.01, American Society for Testing and
Materials International, 2004 or any
ASTM edition containing the IBR-
approved version of the method may be
used. ASTM Method D 6581-00 shall be
followed in accordance with the Annual
Book of ASTM Standards, Volume
11.01, American Society for Testing and
Materials International, 2001 or any
ASTM edition containing the IBR-
approved version of the method may be
used; copies may be obtained from the
American Society for Testing and
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480
Federal Register/Vol. 71, No. 2/Wednesday, January 4, 2006/Rules and Regulations
Materials International, 100 Ban Harbor
Drive, West Conshohocken, PA 19428-
2959.
(b) Disinfection byproducts. (1)
Systems must measure disinfection
byproducts by the methods (as modified
by the footnotes) listed in the following
table:
APPROVED METHODS FOR DISINFECTION BYPRODUCT COMPLIANCE MONITORING
Contaminant and methodology 1
TTHM
P&T/GC/EICD & PID
P&T/GC/MS
LLE/GC/ECD
HAAS
LLE (diazomethane)/GC/ECD
SPE (acidic methanol)/GC/ECD ..
LLE (acidic methanol)/GC/ECD
Bromate
Ion chromatography ..
Ion chromatography & post column reac-
tion.
IC/ICP-MS
Chlorite
Amperometric titration
Spectrophotometry
Ion chromatography
EPA method
502 24
5242
551 1
552. 15
552.2, 552.3
300.1
317 0 Rev 2 O6 326 O6
321 867
327 0 Rev 1 1 8
300 0 300 1 317 0
Rev 2.0, 326.0.
Standard method2
6251 B5
4500-CIO. E8
SM online9
6251 B-94
4500-CIO^ E-008
ASTM method3
D 6581-00
D 6581-00
1 P&T = purge and trap; GC = gas chromatography; EICD = electrolytic conductivity detector; PID = photoionization detector; MS = mass spec-
trometer; LLE = liquid/liquid extraction; ECD = electron capture detector; SPE = solid phase extraction; 1C = ion chromatography; ICP-MS = in-
ductively coupled plasma/mass spectrometer.
219th and 20th editions of Standard Methods for the Examination of Water and Wastewater, 1995 and 1998, respectively, American Public
Health Association; either of these editions may be used.
3 Annual Book of ASTM Standards, 2001 or any year containing the cited version of the method, Vol 11.01.
4 If TTHMs are the only analytes being measured in the sample, then a PID is not required.
5The samples must be extracted within 14 days of sample collection.
6 Ion chromatography & post column reaction or IC/ICP-MS must be used for monitoring of bromate for purposes of demonstrating eligibility of
reduced monitoring, as prescribed in §141.132(b)(3)(ii).
7 Samples must be preserved at the time of sampling with 50 mg ethylenediamine (EDA)/L of sample and must be analyzed within 28 days.
8 Amperometric titration or Spectrophotometry may be used for routine daily monitoring of chlorite at the entrance to the distribution system, as
prescribed in §14t.132(b)(2)(i)(A). Ion chromatography must be used for routine monthly monitoring of chlorite and additional monitoring of chlo-
rite in the distribution system, as prescribed in §141.132(b)(2)(i)(B) and (b)(2)(ii).
9 The Standard Methods Online version that is approved is indicated by the last two digits in the method number which is the year of approval
by the Standard Method Committee. Standard Methods Online are available at http://www.standardmethods.org.
(2) Analyses under this section for
disinfection byproducts must be
conducted by laboratories that have
received certification by EPA or the
State, except as specified under
paragraph (b)(3) of this section. To
receive certification to conduct analyses
for the DBF contaminants in §§ 141.64,
141.135, and subparts U and V of this
part, the laboratory must:
(i) Analyze Performance Evaluation
(PE) samples that are acceptable to EPA
or the State at least once during each
consecutive 12 month period by each
method for which the laboratory desires
certification.
(ii) Until March 31, 2007, in these
analyses of PE samples, the laboratory
must achieve quantitative results within
the acceptance limit on a minimum of
80% of the analvtes included in each PE
sample. The acceptance limit is defined
as the 95% confidence interval
calculated around the mean of the PE
study between a maximum and
minimum acceptance limit of +/ - 50%
and +/ - 15% of the study mean.
(iii) Beginning April 1, 2007, the
laboratory must achieve quantitative
results on the PE sample analyses that
are within the following acceptance
limits:
DBP
TTHM
Chloroform .. • ...
Bromodichloromethane .
Dibromochloromethane
Bromoform ...
HAAS
Monochloroacetic Acid
Dichloroacetic Acid .
Trichloroacetic Acid
Monobromoacetic Acid
Dibromoacetic Acid
Chlorite
Acceptance
limits (percent
of true value)
±20
+20
+20
±20
+40
+40
+40
• +40
+40
±30
Comments
Laboratory must meet all 4 individual THM acceptance limits
in order to successfully pass a PE sample for TTHM
Laboratory must meet the acceptance limits for 4 out of 5 of
the HAAS compounds in order to successfully pass a PE
sample for HAAS
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481
DBP
Bromate
Acceptance
limits (percent
of true value)
+30
Comments
(iv) Beginning April 1, 2007, report
quantitative data for concentrations at
least as low as the ones listed in the
following table for all DBP samples
analyzed for compliance with §§ 141.64,
141.135, and subparts U and V of this
part:
DBP
Minimum re-
porting level
(mg/L)1
Comments
TTHM2
Chloroform
Bromodichloromethane .
Dibromochloromethane
Bromoform
HAA52
Monochloroacetic Acid .
Dichloroacetic Acid
Trichloroacetic Acid
Monobromoacetic Acid .
Dibromoacetic Acid
Chlorite
Bromate
0.0010
0.0010
0.0010
0.0010
0.0020
0.0010
0.0010
0.0010
0.0010
0.020
0.0050 or
0.0010
Applicable to monitoring as prescribed in §141.132(b)(2)(1)(B)
and (b)(2)(ii).
Laboratories that use EPA Methods 317.0 Revision 2.0, 326.0
or 321.8 must meet a 0.0010 mg/L MRL for bromate.
1 The calibration curve must encompass the regulatory minimum reporting level (MRL) concentration. Data may be reported for concentrations
lower than the regulatory MRL as long as the precision and accuracy criteria are met by analyzing an MRL check standard at the lowest report
ing limit chosen by the laboratory. The laboratory must verify the accuracy of the calibration curve at the MRL concentration by analyzing an
MRL check standard with a concentration less than or equal to 110% of the MRL with each batch of samples. The measured concentration fc;
the MRL check standard must be ±50% of the expected value, if any field sample in the batch has a concentration less than 5 times the regu
latory MRL. Method requirements to analyze higher concentration check standards and meet tighter acceptance criteria for them must be met i,,
addition to the MRL check standard requirement.
2When adding the individual trihalomethane or haloacetic acid concentrations to calculate the TTHM or HAA5 concentrations, respectively, ••-;
zero is used for any analytical result that is less than the MRL concentration for that DBP, unless otherwise specified by the State.
(c)
(1)
* * *
Methodology
Amperometric Titration
Low Level Ampero-
metric Titration.
DPD Ferrous Titrimetric
DPD Colorimetric
Syringaldazine (FACTS)
lodometric Electrode ....
DPD
Amperometric Method II
Lissamine Green
Spectrophotometric.
SM (19th or
20th ed)
4500-C D
4500-C E
4500-C F
4500-C G
4500-C H
4500-C I
4500-C O D
4500-C O, E
SM
Online2
4500-C D-
00
4500-C E-
00
4500-C F-
00
4500-C G-
00
4500-C H-
00
4500-C I-OO
4500-C O,
E-00
ASTM
method
D 1253-86(96),
03
EPA
method
327.0 Rev
1.1
Residual measured '
Free
C\2
X
X
X
X
Combined
Cl:
X
X
X
Total
CI2
X
X
X
X
X
CIO2
X
X
X
1 X indicates method is approved for measuring specified disinfectant residual. Free chlorine or total chlorine may be measured for dem-
onstrating compliance with the chlorine MRDL and combined chlorine, or total chlorine may be measured for demonstrating compliance with the
chloramine MRDL.
:The Standard Methods Online version that is approved is indicated by the last two digits in the method number which is the year of approval
by the Standard Method Committee. Standard Methods Online are available at http://www.standardmethods.org.
(d)
(2) Bromide. EPA Methods 300.0,
300.1, 317.0 Revision 2.0, 326.0, or
ASTM D 6581-00.
(3) Total Organic Carbon (TOC).
Standard Method 5310Bor5310 B-00
(High-Temperature Combustion
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Federal Register/Vol. 71, No. 2/Wednesday, January 4, 2006/Rules and Regulations
Method) or Standard Method 5310 C or
5310 C-00 (Persulfate-Ultraviolet or
Heated-Persulfate Oxidation Method) or
Standard Method 5310 D or 5310 D-00
(Wet-Oxidation Method) or EPA Method
415.3 Revision 1.1. Inorganic carbon
must be removed from the samples prior
to analysis. TOG samples may not be
filtered prior to analysis. TOG samples
must be acidified at the time of sample
collection to achieve pH less than or
equal to 2 with minimal addition of the
acid specified in the method or by the
instrument manufacturer. Acidified
TOG samples must be analyzed within
28 days.
(4)* * *
(i) Dissolved Organic Carbon (DOC).
Standard Method 5310 B or 5310 B-00
(High-Temperature Combustion
Method) or Standard Method 5310 C or
5310 C-00 (Persulfate-Ultraviolet or
Heated-Persulfate Oxidation Method) or
Standard Method 5310 D or 5310 D-00
(Wet-Oxidation Method) or EPA Method
415.3 Revision 1.1. DOC samples must
be filtered through the 0.45 [im pore-
diameter filter as soon as practical after
sampling, not to exceed 48 hours. After
filtration, DOC samples must be
acidified to achieve pH less than or
equal to 2 with minimal addition of the
acid specified in the method or by the
instrument manufacturer. Acidified
DOC samples must be analyzed within
28 days of sample collection. Inorganic
carbon must be removed from the
samples prior to analysis. Water passed
through the filter prior to filtration of
the sample must serve as the filtered
blank. This filtered blank must be
analyzed using procedures identical to
those used for analysis of the samples
and must meet the following criteria:
DOC < 0.5 mg/L.
(ii) Ultraviolet Absorption at 254 nm
(UV2S4). Standard Method 5910 B or
5910 B-00 (Ultraviolet Absorption
Method) or EPA Method 415.3 Revision
1.1. UV absorption must be measured at
253.7 nm (may be rounded off to 254
nm). Prior to analysis, UV254 samples
must be filtered through a 0.45 |j.m pore-
diameter filter. The pH of UV2S4 samples
may not be adjusted. Samples must be
analyzed as soon as practical after
sampling, not to exceed 48 hours.
*****
(6) Magnesium. All methods allowed
in § 141.23(k)(l) for measuring
magnesium.
• 12. Section 141.132 is amended by:
• a. Redesignating paragraphs (b)(l)(iii)
through (b)(l)(v) as paragraphs (b)(l)(iv)
through (b)(l)(vi);
• b. Adding a new paragraph (b)(l)(iii);
• c. Revising newly redesignated
paragraph (b)(l)(iv); and
• d. Revising paragraph (b)(3)(ii).
The addition and revisions read as
follows:
§141.132 Monitoring requirements.
*****
(b)* * *
(1)* * *
(iii) Monitoring requirements for
source water TOC. In order to qualify for
reduced monitoring for TTHM and
HAAS under paragraph (b)(l)(ii) of this
section, subpart H systems not
monitoring under the provisions of
paragraph (d) of this section must take
monthly TOC samples every 30 days at
a location prior to any treatment,
beginning April 1, 2008 or earlier, if
specified by the State. In addition to
meeting other criteria for reduced
monitoring in paragraph (b)(l)(ii) of this
section, the source water TOC running
annual average must be <4.0 mg/L
(based on the most recent four quarters
of monitoring) on a continuing basis at
each treatment plant to reduce or
remain on reduced monitoring for
TTHM and HAAS. Once qualified for
reduced monitoring for TTHM and
HAAS under paragraph (b)(l)(ii) of this
section, a system may reduce source
water TOC monitoring to quarterly TOC
samples taken every 90 days at a
location prior to any treatment.
(iv) Systems on a reduced monitoring
schedule may remain on that reduced
schedule as long as the average of all
samples taken in the year (for systems
which must monitor quarterly) or the
result of the sample (for systems which
must monitor no more frequently than
annually) is no more than 0.060 mg/L
and 0.045 mg/L for TTHMs and HAA5,
respectively. Systems that do not meet
these levels must resume monitoring at
the frequency identified in paragraph
(b)(l)(i) of this section (minimum
monitoring frequency column) in the
quarter immediately following the
monitoring period in which the system
exceeds 0.060 mg/L or 0.045 mg/L for
TTHMs and HAAS, respectively. For
systems using only ground water not
under the direct influence of surface
water and serving fewer than 10.000
persons, if either the TTHM annual
average is >0.080 mg/L or the HAAS
annual average is >0.060 mg/L, the
system must go to the increased
monitoring identified in paragraph
(b)(l)(i) of this section (sample location
column) in the quarter immediately
following the monitoring period in
which the system exceeds 0.080 mg/L or
0.060 mg/L for TTHMs or HAAS
respectively.
*****
(3)***
(i)***
(ii) Reduced monitoring.
(A) Until March 31, 2009, systems
required to analyze for bromate may
reduce monitoring from monthly to
quarterly, if the system's average source
water bromide concentration is less than
0.05 mg/L based on representative
monthly bromide measurements for one
year. The system may remain on
reduced bromate monitoring until the
running annual average source water
bromide concentration, computed
quarterly, is equal to or greater than 0.05
mg/L based on representative monthly
measurements. If the running annual
average source water bromide
concentration is >0.05 mg/L, the system
must resume routine monitoring
required by paragraph (b)(3)(i) of this
section in the following month.
(B) Beginning April 1, 2009, systems
may no longer use the provisions of
paragraph (b)(3)(ii)(A) of this section to
qualify for reduced monitoring. A
system required to analyze for bromate
may reduce monitoring from monthly to
quarterly, if the system's running annual
average bromate concentration is
<0.0025 mg/L based on monthly
bromate measurements under paragraph
(b)(3)(i) of this section for the most
recent four quarters, with samples
analyzed using Method 317.0 Revision
2.0, 326.0 or 321.8. If a system has
qualified for reduced bromate
monitoring under paragraph (b)(3)(ii)(A)
of this section, that system may remain
on reduced monitoring as long as the
running annual average of quarterly
bromate samples <0.0025 mg/L based on
samples analyzed using Method 317.0
Revision 2.0, 326.0, or 321.8. If the
running annual average bromate
concentration is >0.0025 mg/L, the
system must resume routine monitoring
required by paragraph (b)(3)(i) of this
section.
§141.133 [Amended]
• 13. Section 141.133 is amended in the
last sentence of paragraph (d) by
revising the reference "§ 141.32" to read
"subpart Q of this part".
• 14. Section 141.135 is amended by
revising paragraph (a)(3)(ii) to read as
follows:
§ 141.135 Treatment technique for control
of disinfection byproduct (DBF) precursors.
(a) * * *
(3) * * *
(ii) Softening that results in removing
at least 10 mg/L of magnesium hardness
(as CaCOi), measured monthly
according to § 141.131(d)(6) and
calculated quarterly as a running annual
average.
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483
• 15. Section 141.151 is amended by
revising paragraph (d) to read as
follows:
§ 141.151 Purpose and applicability of this
subpart.
*****
(d) For the purpose of this subpart,
detected means: at or above the levels
prescribed by § 141.23(a)(4) for
inorganic contaminants, at or above the
levels prescribed by § 141.24(f)(7) for
the contaminants listed in § 141.61(a), at
or above the levels prescribed by
§ 141.24(h)(18) for the contaminants
listed in § 141.61(c), at or above the
levels prescribed by § 141.131(b)(2)(iv)
for the contaminants or contaminant
groups listed in § 141.64, and at or
above the levels prescribed by
§ 141.25(c) for radioactive contaminants.
*****
• 16. Section 141.153 is amended by
revising paragraphs (d)(4)(iv)(B) and
(d)(4)(iv)(C) to read as follows:
§141.153 Content of the reports.
*****
(d) * * *
(4) * * *
(iv) * * *
(B) When compliance with the MCL is
determined by calculating a running
annual average of all samples taken at
a monitoring location: the highest
average of any of the monitoring
locations and the range of all monitoring
locations expressed in the same units as
the MCL. For the MCLs for TTHM and
HAA5 in § 141.64(b)(2), systems must
include the highest locational running
annual average for TTHM and HAAS
and the range of individual sample
results for all monitoring locations
expressed in the same units as the MCL.
If more than one location exceeds the
TTHM or HAAS MCL, the system must
include the locational running annual
averages for all locations that exceed the
MCL.
(C) When compliance with the MCL is
determined on a system-wide basis by
calculating a running annual average of
all samples at all monitoring locations:
the average and range of detection
expressed in the same units as the MCL.
The system is required to include
individual sample results for the IDSE
conducted under subpart U of this part
when determining the range of TTHM
and HAAS results to be reported in the
annual consumer confidence report for
the calendar year that the IDSE samples
were taken.
Appendix A to Subpart Q [Amended]
• 17. In Subpart Q, Appendix A is
amended as follows:
• a. In entry I.E.2. in the fifth column,
remove the endnote citation "9" and
add in its place "11";
• b. In entry I.B-.ll. in the fourth
column, remove the endnote citation
"10" and add in its place "12";
• c. In entry I.B.12. in the fourth
column, remove the endnote citation
"10" and add in its place "12";
• d. In entry I.G. in the first column,
remove the endnote citation "11" and
add in its place "13";
• e. In entry I.G.I, in the third column,
remove the endnote citation "12" and
add in its place "14" and remove the
citation in the third column "141.12,
141.64(a)" and in its place add
"141.64(b)" (keeping the endnote
citation to endnote 14) and in the fifth
column remove the citation "141.30"
and add in numerical order the citations
"141.600-141.605, 141.620-141.629";
• f. In entry I.G.2. revise the entry
"141.64(aj" to read "141.64(b)" and in
the fifth column add in numerical order
the citations "141.600-141.605,
141.620-141.629".
• g. In entry I.G.7. in the fourth column,
remove the endnote citation "13" and
add in its place "15";
• h. In entry I.G.8. in the second
column, remove the endnote citation
"14" and add in its place "16";
• i. In entry II. in the first column.
remove the endnote citation "15" and
add in its place "17";
• j. In entry III. A. in the third column,
remove the endnote citation "16" and
add in its place "18";
• k. In entry III.B in the third column,
remove the endnote citation "17" and
add in its place "19";
• 1. In entry IV.E. in the first column,
remove the endnote citation "18" and
add in its place 20"; and
• m. In entry III.F in the second column,
remove the endnote citation "19" and
add in its place "21".
• 18. In Subpart Q, Appendix A, remove
endnote 14 and add in its place, to read
as follows: "14.§§ 141.64(b)(l)
141.132(a)-(b) apply until §§ 141.620-
141.630 take effect under the schedule
in §141.620(c).
• 19-20. In Subpart Q, Appendix B is
amended as follows:
• a. In entry G.77. in the third column,
remove the endnote citation "16" and
add in its place "17";
• b. In entry H. (the title) in the first
column, remove the endnote citation
"17" and add in its place "18";
• c. In entry H.80. in the third column,
remove the endnote citations "17, 18"
and add in its place "19, 20" and
remove the number "0.10/";
• d. In entry H.81. in the third column,
remove the endnote citation "20" and
add in its place "21"; and
• e. In entry H.84. in the second
column, remove the endnote citation
"21" and add in its place "22" and in
the third column remove the endnote
citation "22" and add in its place "23".
• f. Revise endnotes 18 and 19.
The revisions read as follows:
Appendix B to Subpart Q
*****
• 18. Surface water systems and ground
water systems under the direct
influence of surface water are regulated
under subpart H of 40 CFR 141. Subpart
H community and non-transient non-
community systems serving >10,000
must comply with subpart L DBF MCLs
and disinfectant maximum residual
disinfectant levels (MRDLs) beginning
January 1, 2002. All other community
and non-transient non-community
systems must comply with subpart L
DBF MCLs and disinfectant MRDLs
beginning January 1, 2004. Subpart H
transient non-community systems
serving >10,()00 that use chlorine
dioxide as a disinfectant or oxidant
must comply with the chlorine dioxide
MRDL beginning January 1, 2002. All
other transient non-community systems
that use chlorine dioxide as a
disinfectant or oxidant must comply
with the chlorine dioxide MRDL
beginning January 1, 2004.
• 19. Community and non-transient
non-community systems must comply
with subpart V~TTHM and HAAS MCLs
of 0.080 mg/L and 0.060 mg/L,
respectively (with compliance
calculated as a locational running
annual average) on the schedule in
§141.620.
*****
• 21. Part 141 is amended by adding
new subpart U to read as follows:
Subpart U—Initial Distribution System
Evaluations
141.600 General requirements.
141.601 Standard monitoring.
141.602 System specific studies.
141.603 40/30 certification.
141.604 Very small system waivers.
141.605 Subpart V compliance monitoring
location recommendations.
Subpart U—Initial Distribution System
Evaluations
§141.600 General requirements.
(a) The requirements of subpart U of
this part constitute national primary
drinking water regulations. The
regulations in this subpart establish
monitoring and other requirements for
identifying subpart V compliance
monitoring locations for determining
compliance with maximum
contaminant levels for total
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trihalomethanes (TTHM) and haloacetic
acids (five)(HAA5). You must use an
Initial Distribution System Evaluation
(IDSE) to determine locations with
representative high TTHM and HAA5
concentrations throughout your
distribution system. IDSEs are used in
conjunction with, but separate from,
subpart L compliance monitoring, to
identify and select subpart V
compliance monitoring locations.
(b) Applicability. You are subject to
these requirements if your system is a
community water system that uses a
primary or residual disinfectant other
than ultraviolet light or delivers water
that has been treated with a primary or
residual disinfectant other than
ultraviolet light; or if your system is a
nontransient noncommunity water
system that serves at least 10,000 people
and uses a primary or residual
disinfectant other than ultraviolet light
or delivers water that has been treated
with a primary or residual disinfectant
other than ultraviolet light.
(c) Schedule. (1) You must comply
with the requirements of this subpart on
the schedule in the table in this
paragraph (c)(l).
If you serve this
population
You must submit your standard moni-
toring plan or system specific study
plan 1 or 40/30 certification 2 to the
State by or receive very small system
waiver from State
You must complete your standard
monitoring or system specific study by
You must submit your IDSE report to
the State by 3
Systems that are not part of a combined distribution system and systems that serve the largest population in the combined
distribution system
(i) >100 000
(ii) 50 000-99 999
(iii) 10 000-49 999
(iv) <10 000 (CWS
Only).
October 1 2006
April 1 2007
October 1 2007
April 1 2008
September 30 2008
March 31 2009
September 30 2009
March 31 2010
January 1 2009
July 1 2009
January 1 2010
July 1 2010
Other systems that are part of a combined distribution system
(v) Wholesale sys-
tem or consecu-
tive system.
—at the same time as the system with
the earliest compliance date in the
combined distribution system.
—at the same time as the system with
the earliest compliance date in the
combined distribution system.
—at the same time as the system with
the earliest compliance date in the
combined distribution system.
11f, within 12 months after the date identified in this column, the State does not approve your plan or notify you that it has not yet completed its
review, you may consider the plan that you submitted as approved. You must implement that plan and you must complete standard monitoring or
a system specific study no later than the date identified in the third column.
. 2You must submit your 40/30 certification under § 141.603 by the date indicated.
3 If, within three months after the date identified in this column (nine months after the date identified in this column if you must comply on the
schedule in paragraph (c)(1)(iii) of this section), the State does not approve your IDSE report or notify you that it has not yet completed its re-
view, you may consider the report that you submitted as approved and you must implement the recommended subpart V monitoring as required.
(2) For the purpose of the schedule in
paragraph (c)(l) of this section, the State
may determine that the combined
distribution system does not include
certain consecutive systems based on
factors such as receiving water from a
wholesale system only on an emergency
basis or receiving only a small
percentage and small volume of water
from a wholesale system. The State may
also determine that the combined
distribution system does not include
certain wholesale systems based on
factors such as delivering water to a
consecutive system only on an
emergency basis or delivering only a
small percentage and small volume of
water to a consecutive system.
(d) You must conduct standard
monitoring that meets the requirements
in § 141.601, or a system specific study
that meets the requirements in
§ 141.602, or certify to the State that you
meet 40/30 certification criteria under
§ 141.603, or qualify for a very small
system waiver under § 141.604.
(1) You must have taken the full
complement of routine TTHM and
HAA5 compliance samples required of
a system with your population and
source water under subpart L of this
part (or you must have taken the full
complement of reduced TTHM and
HAA5 compliance samples required of
a system with your population and
source water under subpart L if you
meet reduced monitoring criteria under
subpart L of this part) during the period
specified in § 141.603(a) to meet the 40/
30 certification criteria in § 141.603.
You must have taken TTHM and HAAS
samples under §§ 141.131 and 141.132
to be eligible for the very small system
waiver in §141.604.
(2) If you have not taken the required
samples, you must conduct standard
monitoring that meets the requirements
in § 141.601, or a system specific study
that meets the requirements in
§141.602.
(e) You must use only the analytical
methods specified in § 141.131, or
otherwise approved by EPA for
monitoring under this subpart, to
demonstrate compliance with the
requirements of this subpart.
(f) IDSE results will not be used for
the purpose of determining compliance
withMCLsin §141.64.
§141.601 Standard monitoring.
(a) Standard monitoring plan. Your
standard monitoring plan must comply
with paragraphs (a)(l) through (a)(4) of
this section. You must prepare and
submit your standard monitoring plan
to the State according to the schedule in
§141.600(c).
(1) Your standard monitoring plan
must include a schematic of your
distribution system (including
distribution system entry points and
their sources, and storage facilities),
with notes indicating locations and
dates of all projected standard
monitoring, and all projected subpart L
compliance monitoring.
(2) Your standard monitoring plan
must include justification of standard
monitoring location selection and a
summary of data you relied on to justify
standard monitoring location selection.
(3) Your standard monitoring plan
must specify the population served and
system type (subpart H or ground
water).
(4) You must retain a complete copy
of your standard monitoring plan
submitted under this paragraph (a),
including any State modification of your
standard monitoring plan, for as long as
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485
you are required to retain your IDSE
report under paragraph (c)(4) of this
section.
(b) Standard monitoring. (1) You must
monitor as indicated in the table in this
paragraph (b)(l). You must collect dual
sample sets at each monitoring location.
One sample in the dual sample set must
be analyzed for TTHM. The other
sample in the dual sample set must be
analyzed for HAA5. You must conduct
one monitoring period during the peak
historical month for TTHM levels or
HAA5 levels or the month of warmest
water temperature. You must review
available compliance, study, or
operational data to determine'the peak
historical month for TTHM or HAAS
levels or warmest water temperature.
Source water
type
Subpart H
Ground Water
Population size
category
<500 consecutive systems
<500 non-consecutive systems
500-3,300 consecutive sys-
tems.
500-3,300 non-consecutive
systems.
3301-9999
10000-49999
50000-249,999
250000-999,999
1,000,000-4,999,999
>5 000 000
<500 consecutive systems
<500 non-consecutive systems
500-9,999
10000-99999
100000-499,999
>500.000
Monitoring periods and fre-
quency of
sampling
one (during peak historical
month)2.
four (every 90 days)
six (every 60 days)
one (during peak historical
month)2.
four (every 90 days)
Distribution system monitoring locations 1
Total per
moni-
toring
period
2
2
2
2
4
8
16
24
32
40
2
2
2
6
8
12
Near
entry
points
1
1
1
3
4
6
8
1
1
1
2
Average
residence
time
1
2
4
6
8
10
1
1
2
High
TTHM
locations
1
1
1
1
2
3
5
8
10
12
1
1
1
2
3
4
High
HAA5
locations
1
1
1
2
4
6
8
10
1
1
2
3
4
1 A dual sample set (i.e., a TTHM and an HAAS sample) must be taken at each monitoring location during each monitoring period.
2The peak historical month is the month with the highest TTHM or HAAS levels or the warmest water temperature.
(2) You must take samples at locations
other than the existing subpart L
monitoring locations. Monitoring
locations must be distributed
throughout the distribution system.
(3) If the number of entry points to the
distribution system is fewer than the
specified number of entry point
monitoring locations, excess entry point
samples must be replaced equally at
high TTHM and HAAS locations" If
there is an odd extra location number,
you must take a sample at a high TTHM
location. If the number of entry points
to the distribution system is more than
the specified number of entry point
monitoring locations, you must take
samples at entry points to the
distribution system having the highest
annual water flows.
(4) Your monitoring under this
paragraph (b) may not be reduced under
the provisions of § 141.29 and the State
may not reduce your monitoring using
the provisions of § 142.16(m).
(c) IDSE report. Your IDSE report
must include the elements required in
paragraphs (c)(l) through (c](4) of this
section. You must submit your IDSE
report to the State according to the
schedule in § 141.600(c).
(1) Your IDSE report must include all
TTHM and HAAS analytical results
from subpart L compliance monitoring
and all standard monitoring conducted
during the period of the IDSE as
individual analytical results and LRAAs
presented in a tabular or spreadsheet
format acceptable to the State. If
changed from your standard monitoring
plan submitted under paragraph (a) of
this section, your report must also
include a schematic of your distribution
system, the population served, and
system type (subpart H or ground
water).
(2) Your IDSE report must include an
explanation of any deviations from your
approved standard monitoring plan.
(3) You must recommend and justify
subpart V compliance monitoring
locations and timing based on the
protocol in §141.605.
(4) You must retain a complete copy
of your IDSE report submitted under
this section for 10 years after the date
that you submitted your report. If the
State modifies the subpart V monitoring
requirements that you recommended in
your IDSE report or if the State approves
alternative monitoring locations, you
must keep a copy of the State's
notification on file for 10 years after the
date of the State's notification. You
must make the IDSE report and any
State notification available for review by
the State or the public.
§ 141.602 System specific studies.
(a) System specific study plan. Your
system specific study plan must be
based on either existing monitoring
results as required under paragraph
(a)(l) of this section or modeling as
required under paragraph (a)(2) of this
section. You must prepare and submit
your system specific study plan to the
State according to the schedule in
§141.600(c).
(1) Existing monitoring results. You
may comply by submitting monitoring
results collected before you are required
to begin monitoring under § 141.600(c).
The monitoring results and analysis
must meet the criteria in paragraphs
(a)(l)(i) and (a)(l){ii) of this section.
(i) Minimum requirements. (A) TTHM.
and HAAS results must be based on
samples collected and analyzed in
accordance with § 141.131. Samples
must be collected no earlier than five
years prior to the study plan submission
date.
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(B) The monitoring locations and
frequency must meet the conditions
identified in this paragraph (a)(l)(i)(B).
Each location must be sampled once
during the peak historical month for
TTHM levels or HAA5 levels or the
month of warmest water temperature for
every 12 months of data submitted for
that location. Monitoring results must
include all subpart L compliance
monitoring results plus additional
monitoring results as necessary to meet
minimum sample requirements.
System Type
Subpart H:
Ground Water:
Population
size
category
<500
500-3,300
3,301-9,999
10,000-49,999
50,000-
249,999
250,000-
999,999
1 ,000,000-
4,999,999
> 5,000,000
<500
500-9,999
10,000-99,999
100,000-
499,999
> 500,000
Number of
monitoring
locations
3
3
6
12
24
36
48
60
3
3
12
18
24
Number of samples
TTHM
3
9
36
72
144
216
288
360
3
9
48
72
96
HAA5
3
9
36
72
144
216
288
360
3
9
48
72
96
(ii) Reporting monitoring results. You
must report the information in this
paragraph (a)(l)(ii).
(A) You must report previously
collected monitoring results and certify
that the reported monitoring results
include all compliance and non-
compliance results generated during the
time period beginning with the first
reported result and ending with the
most recent subpart L results.
(B) You must certify that the samples
were representative of the entire
distribution system and that treatment,
and distribution system have not
changed significantly since the samples
were collected.
(C) Your study monitoring plan must
include a schematic of your distribution
system (including distribution system
entry points and their sources, and
storage facilities), with notes indicating
the locations and dates of all completed
or planned system specific study
monitoring.
(D) Your system specific study plan
must specify the population served and
system type (subpart H or ground
water).
(E) You must retain a complete copy
of your system specific study plan
submitted under this paragraph (a)(l),
including any State modification of your
system specific study plan, for as long
as you are required to retain your IDSE
report under paragraph (b)(5) of this
section.
(F) If you submit previously collected
data .that fully meet the number of
samples required under paragraph
(a)(l)(i)(B) of this section and the State
rejects some of the data, you must either
conduct additional monitoring to
replace rejected data on a schedule the
State approves or conduct standard
monitoring under § 141.601.
(2) Modeling. You may comply
through analysis of an extended period
simulation hydraulic model. The
extended period simulation hydraulic
model and analysis must meet the
criteria in this paragraph (a)(2).
(i) Minimum requirements. (A) The
model must simulate 24 hour variation
in demand and show a consistently
repeating 24 hour pattern of residence
time.
(B) The model must represent the
criteria listed in paragraphs
(a)(2)(i)(B)(l) through (9) of this section.
(1) 75% of pipe volume;
(2) 50% of pipe length;
(3) All pressure zones;
(4) All 12-inch diameter and larger
pipes;
(5) All 8-inch and larger pipes that
connect pressure zones, influence zones
from different sources, storage facilities,
major demand areas, pumps, and
control valves, or are known or expected
to be significant conveyors of water;
(6) All 6-inch and larger pipes that
connect remote areas of a distribution
system to the main portion of the
system;
(7) All storage facilities with standard
operations represented in the model;
and
(8) All active pump stations with
controls represented in the model; and
(9) All active control valves.
(C) The model must be calibrated, or
have calibration plans, for the current
configuration of the distribution system
during the period of high TTHM
formation potential. All storage facilities
must be evaluated as part of the
calibration process. All required
calibration must be completed no later
than 12 months after plan submission.
(ii) Reporting modeling. Your system
specific study plan must include the
information in this paragraph (a)(2)(ii).
(A) Tabular or spreadsheet data
demonstrating that the model meets
requirements in paragraph (a)(2)(i)(B) of
this section.
(B) A description of all calibration
activities undertaken, and if calibration
is complete, a graph of predicted tank
levels versus measured tank levels for
the storage facility with the highest
residence time in each pressure zone,
and a time series graph of the residence
time at the longest residence time
storage facility in the distribution
system showing the predictions for the
entire simulation period (i.e., from time
zero until the time it takes to for the
model to reach a consistently repeating
pattern of residence time).
(C) Model output showing
preliminary 24 hour average residence
time predictions throughout the
distribution system.
(D) Timing and number of samples
representative of the distribution system
planned for at least one monitoring
period of TTHM and HAA5 dual sample
monitoring at a number of locations no
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487
less than would be required for the
system under standard monitoring in
§ 141.601 during the historical month of
high TTHM. These samples must be
taken at locations other than existing
subpart L compliance monitoring
locations.
(E) Description of how all
requirements will be completed no later
than 12 months after you submit your
system specific study plan.
(F) Schematic of your distribution
system (including distribution system
entry points and their sources, and
storage facilities), with notes indicating
the locations and dates of all completed
system specific study monitoring (if
calibration is complete) and all subpart
L compliance monitoring.
(G) Population served and system
type (subpart H or ground water).
(H) You must retain a complete copy
of your system specific study plan
submitted under this paragraph (a)(2),
including any State modification of your
system specific study plan, for as long
as you are required to retain your IDSE
report under paragraph (b)(7) of this
section.
(iii) If you submit a model that does
not fully meet the requirements under
paragraph (a)(2) of this section, you
must correct the deficiencies and
respond to State inquiries concerning
the model. If you fail to correct
deficiencies or respond to inquiries to
the State's satisfaction, you must
conduct standard monitoring under
§141.601.
(b) IDSE report. Your IDSE report
must include the elements required in
paragraphs (b)(l) through (b)(6) of this
section. You must submit your IDSE
report according to the schedule in
§141.600(c).
(1) Your IDSE report must include all
TTHM and HAAS analytical results
from subpart L compliance monitoring
and all system specific study monitoring
conducted during the period of the
system specific study presented in a
tabular or spreadsheet format acceptable
to the State. If changed from your
system specific study plan submitted
under paragraph (a) of this section, your
IDSE report must also include a
schematic of your distribution system,
the population served, and system type
(subpart H or ground water).
(2) If you used the modeling provision
under paragraph (a)(2) of this section,
you must include final information for
the elements described in paragraph
(a)(2)(ii) of this section, and a 24-hour
time series graph of residence time for
each subpart V compliance monitoring
location selected.
(3) You must recommend and justify
subpart V compliance monitoring
locations and timing based on the
protocol in §141.605.
(4) Your IDSE report must include an
explanation of any deviations from your
approved system specific study plan.
(5) Your IDSE report must include the
basis (analytical and modeling results)
and justification you used to select the
recommended subpart V monitoring
locations.
(6) You may submit your IDSE report
in lieu of your system specific study
plan on the schedule identified in
§141.600(c) for submission of the
system specific study plan if you believe
that you have the necessary information
by the time that the system specific
study plan is due. If you elect this
approach, your IDSE report must also
include all information required under
paragraph (a) of this section.
(7) You must retain a complete copy
of your IDSE report submitted under
this section for 10 years after the date
that you submitted your IDSE report. If
the State modifies the subpart V
monitoring requirements that you
recommended in your IDSE report or if
the State approves alternative
monitoring locations, you must keep a
copy of the State's notification on file
for 10 years after the date of the State's
notification. You must make the IDSE
report and any State notification
available for review by the State or the
public.
§ 141.603 40/30 certification.
(a) Eligibility. You are eligible for 40/
30 certification if you had no TTHM or
HAA5 monitoring violations under
subpart L of this part and no individual
sample exceeded 0.040 mg/L for TTHM
or 0.030 mg/L for HAAS during an eight
consecutive calendar quarter period
beginning no earlier than the date
specified in this paragraph (a).
If your 40/30
certification is
due
(1) October 1,
2006.
(2) April 1,
2007.
(3) October 1,
2007.
(4) April 1,
2008.
Then your eligibility for 40/30
certification is based on
eight consecutive calendar
quarters of subpart L compli-
ance monitoring results be-
ginning no earlier than 1
January 2004.
January 2004.
January 2005.
January 2005.
1 Unless you are on reduced monitoring
under subpart L of this part and were not re-
quired to monitor during the specified period. If
you did not monitor during the specified pe-
riod, you must base your eligibility on compli-
ance samples taken during the 12 months pre-
ceding the specified period.
(b) 40/30 certification. (I) You must
certify to your State that every
individual compliance sample taken
under subpart L of this part during the
periods specified in paragraph (a) of this
section were <0.040 mg/L for TTHM and
<0.030 mg/L for HAA5, and that you
have not had any TTHM or HAA5
monitoring violations during the period
specified in paragraph (a) of this
section.
(2) The State may require you to
submit compliance monitoring results,
distribution system schematics, and/or
recommended subpart V compliance
monitoring locations in addition to your
certification. If you fail to submit the
requested information, the State may
require standard monitoring under
§ 141.601 or a system specific study
under §141.602.
(3) The State may still require
standard monitoring under § 141.601 or
a system specific study under § 141.602
even if you meet the criteria in
paragraph (a) of this section.
(4) You must retain a complete copy
of your certification submitted under
this section for 10 years after the date
that you submitted your certification.
You must make the certification, all data
upon which the certification is based,
and any State notification available for
review by the State or the public.
§ 141.604 Very small system waivers.
(a) If you serve fewer than 500 people
and you have taken TTHM and HAAS
samples under subpart L of this part,
you are not required to comply with this
subpart unless the State notifies you
that you must conduct standard
monitoring under § 141.601 or a system
specific study under § 141.602.
(b) If you have not taken TTHM and
HAAS samples under subpart L of this
part or if the State notifies you that you
must comply with this subpart, you
must conduct standard monitoring
under § 141.601 or a system specific;
study under §141.602".
§141.605 Subpart V compliance
monitoring location recommendations.
(a) Your IDSE report must include
your recommendations and justification
for where and during what month(s)
TTHM and HAAS monitoring for
subpart V of this part should be
conducted. You must base your
recommendations on the criteria in
paragraphs (b) through (e) of this
section.
(b) You must select the number of
monitoring locations specified in the
table in this paragraph (b). You will use
these recommended locations as subpart
V routine compliance monitoring
locations, unless State requires different
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Federal Register/Vol. 71, No. 2/Wednesday, January 4, 2006/Rules and Regulations
or additional locations. You should
distribute locations throughout the
distribution system to the extent
possible.
Source water type
Subpart H:
Ground water:
Population
size category
<500
500-3,300
3,301-9,999
10,000-
49,999
50,000-
249,999
250,000-
999,999
1 ,000,000-
4,999,999
>5,000,000
<500
500-9,999
10,000-
99,999
100,000-
499,999
>500,000
Monitoring
frequency 1
per year
per quarter
per quarter
per quarter
per quarter
per quarter
per quarter
per quarter
per year
per year
per quarter
per quarter
per quarter
Distribution system monitoring location
Total per
monitoring
period2
2
2
2
4
8
12
16
20
2
2
4
6
8
Highest
TTHM loca-
tions
1
1
1
2
3
5
6
8
1
1
2
3
3
Highest
HAA5 loca-
tions
1
1
1
1
3
4
6
7
1
1
1
2
3
Existing
subpart L
compliance
locations
1
2
3
4
5
1
1
2
1 All systems must monitor during month of highest DBP concentrations.
2 Systems on quarterly monitoring must take dual sample sets every 90 days at each monitoring location, except for subpart H systems serving
500-3,300. Systems on annual monitoring and subpart H systems serving 500-3,300 are required to take individual TTHM and HAA5 samples
(instead of a dual sample set) at the locations with the highest TTHM and HAA5 concentrations, respectively. Only one location with a dual sam-
ple set per monitoring period is needed if highest TTHM and HAAS concentrations occur at the same location, and month, if monitored annually).
(c) You must recommend subpart V
compliance monitoring locations based
on standard monitoring results, system
specific study results, and subpart L
compliance monitoring results. You
must follow the protocol in paragraphs
(c)(l) through (c)(8) of this section. If
required to monitor at more than eight
locations, you must repeat the protocol
as necessary. If you do not have existing
subpart L compliance monitoring results
or if you do not have enough existing
subpart L compliance monitoring
results, you must repeat the protocol,
skipping the provisions of paragraphs
(c)(3) and (c)(7) of this section as
necessary, until you have identified the
required total number of monitoring
locations.
(1) Location with the highest TTHM
LRAA not previously selected as a
subpart V monitoring location.
(2) Location with the highest HAAS
LRAA not previously selected as a
subpart V monitoring location.
(3) Existing subpart L average
residence time compliance monitoring
location (maximum residence time
compliance monitoring location for
ground water systems) with the highest
HAAS LRAA not previously selected as
a subpart V monitoring location.
(4) Location with the highest TTHM
LRAA not previously selected as a
subpart V monitoring location.
(5) Location with the highest TTHM
LRAA not previously selected as a
subpart V monitoring location.
(6) Location with the highest HAAS
LRAA not previously selected as a
subpart V monitoring location.
(7) Existing subpart L average
residence time compliance monitoring
location (maximum residence time
compliance monitoring location for
ground water systems) with the highest
TTHM LRAA not previously selected as
a subpart V monitoring location.
(8) Location with the highest HAAS
LRAA not previously selected as a
subpart V monitoring location.
(d) You may recommend locations
other than those specified in paragraph
(c) of this section if you include a
rationale for selecting other locations. If
the State approves the alternate
locations, you must monitor at these
locations to determine compliance
under subpart V of this part.
(e) Your recommended schedule must
include subpart V monitoring during the
peak historical month for TTHM and
HAAS concentration, unless the State
approves another month. Once you have
identified the peak historical month,
and if you are required to conduct
routine monitoring at least quarterly,
you must schedule subpart V
compliance monitoring at a regular
frequency of every 90 days or fewer.
• 20. Part 141 is amended by adding
new subpart V to read as follows:
Subpart V—Stage 2 Disinfection
Byproducts Requirements
141.620 General requirements.
141.621 Routine monitoring.
141.622 Subpart V monitoring plan.
141.623 Reduced monitoring.
141.624 Additional requirements for
consecutive systems.
141.625 Conditions requiring increased
monitoring.
141.626 Operational evaluation levels.
141.627 Requirements for remaining on
reduced TTHM and HAAS monitoring
based on subpart L results.
141.628 Requirements for remaining on
increased TTHM and HAAS monitoring
based on subpart L results.
141.629 Reporting and recordkeeping
requirements.
Subpart V—Stage 2 Disinfection
Byproducts Requirements
§ 141.620 General requirements.
(a) General. The requirements of
subpart V of this part constitute national
primary drinking water regulations. The
regulations in this subpart establish
monitoring and other requirements for
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489
achieving compliance with maximum
contaminant levels based on locational
running annual averages (LRAA) for
total trihalomethanes (TTHM) and
haloacetic acids (five)(HAA5), and for
achieving compliance with maximum
residual disinfectant residuals for
chlorine and chloramine for certain
consecutive systems.
(b) Applicability. You are subject to
these requirements if your system is a
community water system or a
nontransient noncommunity water
system that uses a primary or residual
disinfectant other than ultraviolet light
or delivers water that has been treated
with a primary or residual disinfectant
other than ultraviolet light.
(c) Schedule. You must comply with
the requirements in this subpart on the
schedule in the following table based on
your system type.
If you are this type of system
You must comply with subpart V monitoring by:1
Systems that are not part of a combined distribution system and systems that serve the largest population in the combined
distribution system
(1) System serving > 100,000
(2) System serving 50,000-99,999
(3) System serving 10,000-49,999
(4) System serving > 10,000
April 1, 2012.
October 1, 2012.
October 1, 2013.
October 1, 2013 if no Cryptosporidium monitoring is required under § 141.701(a)(4;
or
October 1, 2014 if Cryptosporidium monitoring is required under § 141.701(a)(4) 01
Other systems that are part of a combined distribution system
(5) Consecutive system or wholesale system ....
—at the same time as the system with the earliest compliance date in the combined
distribution system.
1 The State may grant up to an additional 24 months for compliance with MCLs and operational evaluaton levels if you require capital improve
ments to comply with an MCL.
(6) Your monitoring frequency is
specified in § 141.621(a)(2).
(i) If you are required to conduct
quarterly monitoring, you must begin
monitoring in the first full calendar
quarter that includes the compliance
date in the table in this paragraph (c).
(ii) If you are required to conduct
monitoring at a frequency that is less
than quarterly, you must begin
monitoring in the calendar month
recommended in the IDSE report
prepared under § 141.601 or § 141.602
or the calendar month identified in the
subpart V monitoring plan developed
under § 141.622 no later than 12 months
after the compliance date in this table.
(7) If you are required to conduct
quarterly monitoring, you must make
compliance calculations at the end of
the fourth calendar quarter that follows
the compliance date and at the end of
each subsequent quarter (or earlier if the
LRAA calculated based on fewer than
four quarters of data would cause the
MCL to be exceeded regardless of the
monitoring results of subsequent
quarters). If you are required to conduct
monitoring at a frequency that is less
than quarterly, you must make
compliance calculations beginning with
the first compliance sample taken after
the compliance date.
(8) For the purpose of the schedule in
this paragraph (c), the State may
determine that the combined
distribution system does not include
certain consecutive systems based on
factors such as receiving water from a
wholesale system only on an emergency
basis or receiving only a small
percentage and small volume of water
from a wholesale system. The State may
also determine that the combined
distribution system does not include
certain wholesale systems based on
factors such as delivering water to a
consecutive system only on an
emergency basis or delivering only a
small percentage and small volume of
water to a consecutive system.
(d) Monitoring and compliance. (1)
Systems required to monitor quarterly.
To comply with subpart V MCLs in
§141.64(b)(2), you must calculate
LRAAs for TTHM and HAAS using
monitoring results collected under this
subpart and determine that each LRAA
does not exceed the MCL. If you fail to
complete four consecutive quarters of
monitoring, you must calculate
compliance with the MCL based on the
average of the available data from the
most recent four quarters. If you take
more than one sample per quarter at a
monitoring location, you must average
all samples taken in the quarter at that
location to determine a quarterly
average to be used in the LRAA
calculation.
(2) Systems required to monitor yearly
or less frequently. To determine
compliance with subpart V MCLs in
§ 141.64(b)(2), you must determine that
each sample taken is less than the MCL.
If any sample exceeds the MCL, you
must comply with the requirements of
§ 141.625. If no sample exceeds the
MCL, the sample result for each
monitoring location is considered the
LRAA for that monitoring location.
(e) Violation. You are in violation of
the monitoring requirements for each
quarter that a monitoring result would
be used in calculating an LRAA if you
fail to monitor.
§ 141.621 Routine monitoring.
(a) Monitoring. (I) If you submitted an
IDSE report, you must begin monitoring
at the locations and months you have
recommended in your IDSE report
submitted under § 141.605 following the
schedule in § 141.620(c), unless the
State requires other locations or
additional locations after its review. If
you submitted a 40/30 certification
under § 141.603 or you qualified for a
very small system waiver under
§ 141.604 or you are a nontransient
noncommunity water system serving
<10,000, you must monitor at the
location(s) and dates identified in your
monitoring plan in § 141.132(f), updated
as required by § 141.622.
(2) You must monitor at no fewer than
the number of locations identified in
this paragraph (a}(2).
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Federal Register/Vol. 71, No. 2/Wednesday, January 4, 2006/Rules and Regulations
Source water type
Subpart H:
Ground Water:
Population size category
<500
500-3 300
3 301-9 999
10000-49999 ...
50000-249 999
250,000-999,999
1,000,000-4,999,999
> 5 000 000
<500
500-9 999
1 0 000-99 999
1 00 000^*99 999
> 500,000
Monitoring Frequency1
oer vear
per quarter
per quarter
per quarter
per quarter ... ... .
per quarter ...
per quarter ...
per quarter
per year
per year
per quarter
per quarter
per Quarter
Distribution
system moni-
toring location
total per moni-
toring period2
2
2
2
4
8
12
16
20
2
2
4
6
8
1 All systems must monitor during month of highest DBP concentrations.
2 Systems on quarterly monitoring must take dual sample sets every 90 days at each monitoring location, except for subpart H systems serving
500-3,300. Systems on annual monitoring and subpart H systems serving 500-3,300 are required to take individual TTHM and HAA5 samples
(instead of a dual sample set) at the locations with the highest TTHM and HAA5 concentrations, respectively. Only one location with a dual sam-
ple set per monitoring period is needed if highest TTHM and HAA5 concentrations occur at the same location (and month, if monitored annually).
(3) If you are an undisinfected system
that begins using a disinfectant other
than UV light after the dates in subpart
U of this part for complying with the
Initial Distribution System Evaluation
requirements, you must consult with the
State to identify compliance monitoring
locations for this subpart. You must
then develop a monitoring plan under
§ 141.622 that includes those
monitoring locations.
(b) Analytical methods. You must use
an approved method listed in § 141.131
for TTHM and HAAS analyses in this
subpart. Analyses must be conducted by
laboratories that have received
certification by EPA or the State as
specified in §141.131.
§141.622 Subpart V monitoring plan.
(a)(l) You must develop and
implement a monitoring plan to be kept
on file for State and public review. The
monitoring plan must contain the
elements in paragraphs (a)(l)(i) through
(a)(l)(iv) of this section and be complete
no later than the date you conduct your
initial monitoring under this subpart.
(i) Monitoring locations;
(ii) Monitoring dates;
(iii) Compliance calculation
procedures; and
(iv) Monitoring plans for any other
systems in the combined distribution
system if the State has reduced
monitoring requirements under the
State authority in § 142.16(m).
(2) If you were not required to submit
an IDSE report under either § 141.601 or
§ 141.602, and you do not have
sufficient subpart L monitoring
locations to identify the required
number of subpart V compliance
monitoring locations indicated in
§ 141.605(b), you must identify
additional locations by alternating
selection of locations representing high
TTHM levels and high HAA5 levels
until the required number of
compliance monitoring locations have
been identified. You must also provide
the rationale for identifying the
locations as having high levels of TTHM
or HAAS. If you have more subpart L
monitoring locations than required for
subpart V compliance monitoring in
§ I41.605(b), you must identify which
locations you will use for subpart V
compliance monitoring by alternating
selection of locations representing high
TTHM levels and high HAA5 levels
until the required number of subpart V
compliance monitoring locations have
been identified.
(b) If you are a subpart H system
serving > 3,300 people, you must submit
a copy of your monitoring plan to the
State prior to the date you conduct your
initial monitoring under this subpart,
unless your IDSE report submitted
under subpart U of this part contains all
the information required by this section.
(c) You may revise your monitoring
plan to reflect changes in treatment,
distribution system operations and
layout (including new service areas), or
other factors that may affect TTHM or
HAA5 formation, or for State-approved
reasons, after consultation with the
State regarding the need for changes and
the appropriateness of changes. If you
change monitoring locations, you must
replace existing compliance monitoring
locations with the lowest LRAA with
new locations that reflect the current
distribution system locations with
expected high TTHM or HAA5 levels.
The State may also require
modifications in your monitoring plan.
If you are a subpart H system serving >
3,300 people, you must submit a copy
of your modified monitoring plan to the
State prior to the date you are required
to comply with the revised monitoring
plan.
§141.623 Reduced monitoring.
(a) You may reduce monitoring to the
level specified in the table in this
paragraph (a) any time the LRAA is
<0.040 mg/L for TTHM and <0.030
mg/L for HAAS at all monitoring
locations. You may only use data
collected under the provisions of this
subpart or subpart L of this part to
qualify for reduced monitoring. In
addition, the source water annual
average TOC level, before any treatment,
must be <4.0 mg/L at each treatment
plant treating surface water or ground
water under the direct influence of
surface water, based on monitoring
conducted under either
§ I41.l32(b)(l)(iii) or § I41.l32(d).
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491
Source water type
Subpart H:
Ground Water:
Population
size category
<500
500-3 300
3301-9 999
1 0 000-49 999
50 000-
249,999
250 000-
999,999
1 ,000 000-
4,999,999
> 5 000 000
<500
500-9 999
10,000-99,999
100,000-
499,999
> 500 000
Monitoring
frequency 1
per vear
oer vear
per quarter
per quarter
per quarter ...
per quarter
per quarter
every third year
oer vear
per year
per quarter
per quarter
Distribution system monitoring location per moni-
toring period
monitoring may not be reduced
1 TTHM and 1 HAA5 sample: one at the location
and during the quarter with the highest TTHM sin-
gle measurement, one at the location and during
the quarter with the highest HAAS single meas-
urement; 1 dual sample set per year if the highest
TTHM and HAA5 measurements occurred at the
same location and quarter.
2 dual sample sets: one at the location and during
the quarter with the highest TTHM single meas
urement, one at the location and during the quar
ter with the highest HAA5 single measurement.
2 dual sample sets at the locations with the highesi
TTHM and highest HAA5 LRAAs.
4 dual sample sets — at the locations with the two
highest TTHM and two highest HAAS LRAAs.
6 dual sample sets — at the locations with the thref
highest TTHM and three highest HAA5 LRAAs.
8 dual sample sets — at the locations with the fou.
highest TTHM and four highest HAA5 LRAAs.
10 dual sample sets — at the locations with the fivt
highest TTHM and five highest HAAS LRAAs.
1 TTHM and 1 HAA5 sample' one at the location
and during the quarter with the highest TTHM sir,
gle measurement, one at the location and during
the quarter with the highest HAAS single mea;,
urement; 1 dual sample set per year if the highesi
TTHM and HAAS measurements occurred at t1- -
same location and quarter.
1 TTHM and 1 HAA5 sample' one at the locat'- .
and during the quarter with the highest TTHM so-
gle measurement, one at the location and dur : j
the quarter with the highest HAA5 single meus
urement; 1 dual sample set per year if the high -st
TTHM and HAA5 measurements occurred at :'•:,
same location and quarter.
2 dual sample sets: one at the location and dun.;"
the quarter with the highest TTHM single me.;';
urement, one at the location and during the quar
ter with the highest HAAS single measurement.
2 dual sample sets' at the locations with the highefi
TTHM and highest HAAS LRAAs.
4 dual sample sets at the locations with the tvvf
highest TTHM and two highest HAAS LRAAs.
1 Systems on quarterly monitoring must take dual sample sets every 90 days.
(b) You may remain on reduced
monitoring as long as the TTHM LRAA
<0.040 mg/L and the HAAS LRAA
<0.030 mg/L at each monitoring location
(for systems with quarterly reduced
monitoring) or each TTHM sample
<0.060 mg/L and each HAAS sample
<0.045 mg/L (for systems with annual or
less frequent monitoring). In addition,
the source water annual average TOG
level, before any treatment, must be <4.0
mg/L at each treatment plant treating
surface water or ground water under the
direct influence of surface water, based
on monitoring conducted under either
§ 141.132(b)(l)(iii) or § 141.132(d).
(c) If the LRAA based on quarterly
monitoring at any monitoring location
exceeds either 0.040 mg/L for TTHM or
0.030 mg/L for HAA5 or if the annual
(or less frequent) sample at any location
exceeds either 0.060 mg/L for TTHM or
0.045 mg/L for HAAS, or if the source
water annual average TOG level, before
any treatment, >4.0 mg/L at any
treatment plant treating surface water or
ground water under the direct influence
of surface water, you must resume
routine monitoring under § 141.621 or
begin increased monitoring if § 141.625
applies.
(d) The State may return your system
to routine monitoring at the State's
discretion.
§141.624 Additional requirements for
consecutive systems.
If you are a consecutive system that
does not add a disinfectant but delivers
water that has been treated with a
primary or residual disinfectant other
than ultraviolet light, you must comply
with analytical and monitoring
requirements for chlorine and
chloramines in § 141.131 (c) and
§ 141.132(c)(l) and the compliance
requirements in § 141.133(c)(l)
beginning April 1, 2009, unless required
earlier by the State, and report
monitoring results under § 141.134(c).
§ 141.625 Conditions requiring increased
monitoring.
(a) If you are required to monitor at
a particular location annually or less
frequently than annually under
§ 141.621 or § 141.623, you must
increase monitoring to dual sample sets
once per quarter (taken every 90 days)
at all locations if a TTHM sample is
>0.080 mg/L or a HAAS sample is
>0.060 mg/L at any location.
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Federal Register/Vol. 71, No. 2/Wednesday, January 4, 2006/Rules and Regulations
(b) You are in violation of the MCL
when the LRAA exceeds the subpart V
MCLs in § 141.64(b)(2), calculated based
on four consecutive quarters of
monitoring (or the LRAA calculated
based on fewer than four quarters of
data if the MCL would be exceeded
regardless of the monitoring results of
subsequent quarters). You are in
violation of the monitoring
requirements for each quarter that a
monitoring result would be used in
calculating an LRAA if you fail to
monitor.
(c) You may return to routine
monitoring once you have conducted
increased monitoring for at least four
consecutive quarters and the LRAA for
every monitoring location is <0.060
mg/L for TTHM and <0.045 mg/L for
HAAS.
§141.626 Operational evaluation levels.
(a) You have exceeded the operational
evaluation level at any monitoring
location where the sum of the two
previous quarters' TTHM results plus
twice the current quarter's TTHM result,
divided by 4 to determine an average,
exceeds 0.080 mg/L, or where the sum
of the two previous quarters' HAAS
results plus twice the current quarter's
HAAS result, divided by 4 to determine
an average, exceeds 0.060 mg/L.
(b)(l) If you exceed the operational
evaluation level, you must conduct an
operational evaluation and submit a
written report of the evaluation to the
State no later than 90 days after being
notified of the analytical result that
causes you to exceed'the operational
evaluation level. The written report
must be made available to the public
upon request.
(2) Your operational evaluation must
include an examination of system
treatment and distribution operational
practices, including storage tank
operations, excess storage capacity,
distribution system flushing, changes in
sources or source water quality, and
treatment changes or problems that may
contribute to TTHM and HAAS
formation and what steps could be
considered to minimize future
exceedences.
(i) You may request and the State may
allow you to limit the scope of your
evaluation if you are able to identify the
cause of the operational evaluation level
exceedance.
(ii) Your request to limit the scope of
the evaluation does not extend the
schedule in paragraph (b)(l) of this
section for submitting the written
report. The State must approve this
limited scope of evaluation in writing
and you must keep that approval with
the completed report.
§141.627 Requirements for remaining on
reduced TTHM and HAAS monitoring based
on subpart L results.
You may remain on reduced
monitoring after the dates identified in
§ 141.620(c) for compliance with this
subpart only if you qualify for a 40/30
certification under § 141.603 or have
received a very small system waiver
under § 141.604, plus you meet the
reduced monitoring criteria in
§ 141.623(a), and you do not change or
add monitoring locations from those
used for compliance monitoring under
subpart L of this part. If your monitoring
locations under this subpart differ from
your monitoring locations under subpart
L of this part, you may not remain on
reduced monitoring after the dates
identified in § 141.620(c) for compliance
with this subpart.
§141.628 Requirements for remaining on
increased TTHM and HAAS monitoring
based on subpart L results.
If you were on increased monitoring
under § 141.132(b)(l), you must remain
on increased monitoring until you
qualify for a return to routine
monitoring under § 141.625{c). You
must conduct increased monitoring
under § 141.625 at the monitoring
locations in the monitoring plan
developed under § 141.622 beginning at
the date identified in §141.620(c) for
compliance with this subpart and
remain on increased monitoring until
you qualify for a return to routine
monitoring under § 141.625(c).
§ 141.629 Reporting and recordkeeping
requirements.
(a) Reporting. (1) You must report the
following information for each
monitoring location to the State within
10 days of the end of any quarter in
which monitoring is required:
(i) Number of samples taken during
the last quarter.
(ii) Date and results of each sample
taken during the last quarter.
(iii) Arithmetic average of quarterly
results for the last four quarters for each
monitoring location (LRAA), beginning
at the end of the fourth calendar quarter
that follows the compliance date and at
the end of each subsequent quarter. If
the LRAA calculated based on fewer
than four quarters of data would cause
the MCL to be exceeded regardless of
the monitoring results of subsequent
quarters, you must report this
information to the State as part of the
first report due following the
compliance date or anytime thereafter
that this determination is made. If you
are required to conduct monitoring at a
frequency that is less than quarterly,
you must make compliance calculations
beginning with the first compliance
sample taken after the compliance date,
unless you are required to conduct
increased monitoring under § 141.625.
(iv) Whether, based on § 141.64(b)(2)
and this subpart, the MCL was violated
at any monitoring location.
(v) Any operational evaluation levels
that were exceeded during the quarter
and, if so, the location and date, and the
calculated TTHM and HAAS levels.
(2) If you are a subpart H system
seeking to qualify for or remain on
reduced TTHM/HAA5 monitoring, you
must report the following source water
TOC information for each treatment
plant that treats surface water or ground
water under the direct influence of
surface water to the State within 10 days
of the end of any quarter in which
monitoring is required:
(i) The number of source water TOC
samples taken each month during last
quarter.
(ii) The date and result of each sample
taken during last quarter.
(iii) The quarterly average of monthly
samples taken during last quarter or the
result of the quarterly sample.
(iv) The running annual average
(RAA) of quarterly averages from the
past four quarters.
(v) Whether the RAA exceeded 4.0
mg/L.
(3) The State may choose to perform
calculations and determine whether the
MCL was exceeded or the system is
eligible for reduced monitoring in lieu
of having the system report that
information
(b) Recordkeeping. You must retain
any subpart V monitoring plans and
your subpart V monitoring results as
required by §141.33.
PART 142—NATIONAL PRIMARY
DRINKING WATER REGULATIONS
IMPLEMENTATION
• 21. The authority citation for part 142
continues to read as follows:
Authority: 42 U.S.C. 300f, 300g-l, 300g-2,
300g-3. 300g-4. 300g-5, 300g-6, 300J-4,
300J-9, and 300J-11.
• 22. Section 142.14 is amended by
adding paragraph (a)(8) to read as
follows:
§ 142.14 Records kept by States.
(a) * * *
(8) Any decisions made pursuant to
the provisions of 40 CFR part 141,
subparts U and V of this part.
(i) IDSE monitoring plans, plus any
modifications required by the State,
must be kept until replaced by approved
IDSE reports.
(ii) IDSE reports and 40/30
certifications, plus any modifications
-------
Federal Register/Vol. 71, No. 2/Wednesday, January 4, 2006/Rules and Regulations
493
required by the State, must be kept until
replaced or revised in their entirety.
(iii) Operational evaluations
submitted by a system must be kept for
10 years following submission.
*****
• 23. Section 142.16 is amended by
adding paragraph (m) to read as follows:
§142.16 Special primacy requirements.
(m) Requirements for States to adopt
40 CFR part 141, subparts U and V. In
addition to the general primacy
requirements elsewhere in this part,
including the requirements that State
regulations be at least as stringent as
federal requirements, an application for
approval of a State program revision
that adopts 40 CFR part 141, subparts U
and V, must contain a description of
how the State will implement a
procedure for addressing modification
of wholesale system and consecutive
system monitoring on a case-by-case
basis for part 141 subpart V outside the
provisions of § 141.29 of this chapter, if
the State elects to use such an authority.
The procedure must ensure that all
systems have at least one compliance
monitoring location.
*****
|FK Doc. 06-3 Filed 1-3-06; 8:45 ami
BILLING CODE 6560-50-P
-------
4644
Corrections
Federal Register
Vol. 71, No. 18
Friday, January 27, 2006
This section of the FEDERAL REGISTER
contains editorial corrections of previously
published Presidential, Rule, Proposed Rule,
and Notice documents. These corrections are
prepared by the Office of the Federal
Register. Agency prepared corrections are
issued as signed documents and appear in
the appropriate document categories
elsewhere in the issue.
DEPARTMENT OF EDUCATION
Office of Postsecondary Education;
Overview Information; Developing
Hispanic-Serving Institutions (HSI)
Program; Notice Inviting Applications
for New Awards for Fiscal Year (FY)
2006
Corrections
In notice document E6-829 beginning
on page 3830 in the issue of Tuesday,
January 24, 2006, make the following
corrections:
1. On page 3830, in the first column,
under the heading DATES, in the third
paragraph, under Deadline for
Intergovernmental Review: "March 27,
2006" should read " May 9, 2006".
2. On page 3832, in the first column,
in the fourth paragraph, under Deadline
for Intergovernmental Review: "March
27, 2006" should read "May 9, 2006".
[FR Doc. Z6-829 Filed 1-26-06; 8:45 ami
BILLING CODE 1505-01-D
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Parts 9,141, and 142
[EPA-HQ-OW-2002-0043; FRL-8012-1]
RIN 2040-AD38
National Primary Drinking Water
Regulations: Stage 2 Disinfectants and
Disinfection Byproducts Rule
Correction
In rule document 06-3 beginning on
page 388 in the issue of Wednesday,
January 4, 2006, make the following
corrections:
1. On page 424, in the third column,
in the last paragraph, in the second line,
"complete" should read "completing".
2. On the same page, in the same
column, in the same paragraph, in the
12th line, "complete" should read
"completing".
3. On page 426, the table is corrected
to read as set forth below:
TABLE IV.G-1.—IDSE MONITORING FREQUENCIES AND LOCATIONS
Source water
type
Subpart H
Ground
Water
Population size category
<500 consecutive sys-
tems.
<500 non-consecutive
systems.
500-3,300 non-consecu-
tive systems.
500-3,300 consecutive
systems.
3301-9 999
10000-49999
50 000-249 999
250 000-999 999
1 000 000-4 999 999
>5 000 000
<500 consecutive sys-
tems.
<500 non-consecutive
systems.
500-9 999
1 0 000-99 999
100 000-499 999
>500.000
Monitoring periods and
frequency of sampling
one (during peak histor-
ical month)2.
four (every 90 days)
six (every 60 days)
one (during peak histor-
ical month)2.
four (every 90 days)
Distribution system monitoring locations 1
^ V
2
2
2
2
4
8
16
24
32
40
2
2
2
6
8
12
1
1
1
3
4
6
8
1
1
1
2
Average
residence
time
1
2
4
6
8
10
1
1
2
High TTHM
locations
1
1
1
1
2
3
5
8
10
12
1
1
1
2
3
4
High HAA5
locations
1
1
1
2
4
6
8
10
1
1
2
3
4
1A dual sample set (i.e., a TTHM and an HAAS sample) must be taken at each monitoring location during each monitoring period.
2 The peak historical month is the month with the highest TTHM or HAAS levels or the warmest water temperature.
-------
Federal Register/Vol. 71, No. 18/Friday, January 27, 2006/Corrections
4645
4. On page 433, in the second column, and seventh lines, "2xlO/b 2xlO~4,
in the third full paragraph, in the sixth 10~4 and 10~h" should read "2xlO~4'
5. On pages 434 and 435, Table IV.K-
1 is corrected to read as set forth below:
TABLE IV.K-1 .—TECHNOLOGIES CONSIDERED AND PREDICTED To BE USED IN COMPLIANCE FORECAST FOR SMALL
SYSTEMS
SW Water Plants
GW Water Plants
Switching to chloramines as a residual disinfectant
Chlorine dioxide (not for systems serving fewer than 100 people)
UV
Ozone (not for systems serving fewer than 100 people)
Micro-filtration/Ultra-filtration
GAC20.
GAC20 + Advanced disinfectants.
Integrated Membranes.
Switching to chloramines as a residual disinfectant
UV
Ozone (not for systems serving fewer than 100 people)
GAC20
Nanofiltration
Note: Italicized technologies are those predicted to be used in the compliance forecast.
Source: Exhibits 5.11b and 5.14b, USEPA 2005a.
6. On page 435, in Table IV.K-2, in
column H, in the second line, "9"
should read "0".
7. On page 464, in Table VI.K-1, in
the "Notes:", in the third line,
"established exposure" should read
"established between exposure".
§ 9.1 [Corrected]
8. On page 477, in § 9.1, in the third
column, in the table National Primary
Drinking Water Regulations
Implementation, under "OMB control
No.", in the first line, "2040-0265"
should read "2040-0205".
§141.620 [Corrected]
9. On page 489, in § 141.620(c), in the
table, in the first column, in entry (4),
"System serving > 10,000" should read
"System serving < 10,000".
IFR Doc. C6-3 Filed 1-26-06; 8:45 am]
BILLING CODE 1505-01-D
-------
37168
Corrections
Federal Register
Vol. 71, No. 125
Thursday, June 29, 2006
This section of the FEDERAL REGISTER
contains editorial corrections of previously
published Presidential, Rule, Proposed Rule,
and Notice documents. These corrections are
prepared by the Office of the Federal
Register. Agency prepared corrections are
issued as signed documents and appear in
the appropriate document categories
elsewhere in the issue.
January 4, 2006, make the following
corrections:
§141.131 [Corrected]
On page 481, in § 141.31(c)(l) the
table is corrected to read as set forth
below:
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 141
[EPA-HQ-OW-2002-0043; FRL-8012-1]
RIN 2040-AD38
National Primary Drinking Water
Regulations: Stage 2 Disinfectants and
Disinfection Byproducts Rule
Correction
In rule document 06—3 beginning on
page 388 in the issue of Wednesday,
Methodology
Amperometric Titration
Low Level Ampero-
metric Titration.
DPD Ferrous Titrimetric
DPD Colorimetric
Syringaldazine (FACTS)
lodometric Electrode ....
DPD
Amperometric Method II
Lissamine Green
Spectrophotometric.
SM (19th or
20th ed)
4500-CI D
4500-CI E
4500-CI F
4500-CI G
4500-CI H
4500-CI I
4500-CIO, D
4500-CIO-. E
SM
Online2
4500-CI D-
00
4500-CI E-
00
4500-CI F-
00
4500-CI G-
00
4500-CI H-
00
4500-CI I-OO
4500-CIO,
E-00
ASTM
method
D 1253-86 (96),
03
EPA
method
327.0 Rev
1.1
Residual measured '
Free
CI2
X
X
X
X
Combined
CI2
X
X
X
Total
C\2
X
X
X
X
X
CIO,
X
X
X
'X indicates method is approved for measuring specified disinfectant residual. Free chlorine or total chlorine may be measured for dem-
onstrating compliance with the chlorine MRDL and combined chlorine, or total chlorine may be measured for demonstrating compliance with the
chloramine MRDL.
2 The Standard Methods Online version that is approved is indicated by the last two digits in the method number which is the year of approval
by the Standard Method Committee. Standard Methods Online are available at http://www.standardmethods.org.
[FR Doc. C6-3 Filed 6-28-06; 8:45 am]
BILLING CODE 1505-01-D
-------
Appendix C
Rule Factsheets/Quick
Reference Guides
Additional Quick Reference Guides, Factsheets, and Guidance documents are available for download at
EPA's Web site: http://www.cpa.gov/safcvvatcr/disinfcction/staac2/compliancc.html#pws.
-------
This page intentionally left blank
-------
*
The U.S. Environmental Protection Agency (EPA) published the Stage 2 Disinfectants and Disinfection
Byproducts Rule (Stage 2 DBPR) on January 4, 2006. The Stage 2 DBPR builds on existing regulations by
requiring water systems to meet disinfection byproduct (DBP) maximum contaminant levels (MCLs) at each
monitoring site in the distribution system to better protect public health.
" T &
H
/"»/GE
Lp
The Stage 2 DBPR includes a provision requiring all community water systems (CWS) and only nontransient
noncommunity water systems (NTNCWS) serving more than 10,000 people to conduct an initial distribution
system evaluation (IDSE). NTNCWS serving less than 10,000 are exempted from IDSE requirements, but will
need to comply with the Stage 2 DBPR compliance monitoring requirements. The goal of the IDSE is to
characterize the distribution system and identify monitoring sites where customers may be exposed to high
levels of total trihalomethanes (TTHM) and haloacetic acids (HAAS). There are four ways to comply with the
IDSE requirements: Standard Monitoring, System Specific Study, 40/30 Certification (40/30), and Very Small
System (VSS) Waiver. The Standard Monitoring option requires the system to collect 1 year of TTHM and HAA13
data at a specified frequency and locations to characterize TTHM and HAAS levels in the distribution system, in
addition to this data, the system must use available Stage 1 DBPR compliance data to determine the best
locations for Stage 2 DBPR compliance monitoring. Any system may conduct Standard Monitoring to meet the
IDSE requirements of the Stage 2 DBPR. This factsheet only provides information regarding the Standard
Monitoring option.
MOwrrORIKIG R
Systems opting to conduct Standard Monitoring will need to:
Step 1: Prepare and submit a Standard Monitoring Plan by the date specified in Table 1 (below).
-" Step 2: Conduct one year of Standard Monitoring in the distribution system.
" Step 3: Prepare and submit the IDSE Report.
' Step 4: Prepare a Stage 2 DBPR compliance monitoring plan.
MO i.Tirtt,
to. least 100,000 people or part of
i a combined distribution system
| serving at least 100,000 people
j 50,000 to 99,999 people or part of
| a combined distribution system
j serving 50,000 to 99,999 people
j 10,000 to 49,999 people or part of
\ a combined distribution system
[ serving 10,000 to 49,999 people
| Less than 10,000 or part of a
i combined distribution system
j servingjess than 10,000
| Your schedule is defined by the largest system in your combined distribution system ' '
Systems not conducting Cryptosporidium monitoring under 40 CFR 141.701(a)<4) must begin Stage 2 DBPR compliance monitoring by this date Systems
conducing Cryptospond,um monitoring under 40 CFR 141.701 (a)(4) or 141.701 (a)(6) must begin Stage 2 DBPR compliance monitoring*byOctober 1f 20™.
!
Schedule 1 j October 1, 2006 | September 30, 2008 | January 1, 2009 j April 1,2012
I I | [
Schedule 2 | April 1,2007 I March 31, 2009 i July 1,2009 ! October 1, 201 /
Schedules j October 1, 2007 j September 30, 2009 ! January 1, 2010 j October 1, 2013
Schedule4 j April 1,2008 I March 31, 2010 \ July 1,2010 ! October 1, 20131
-------
•p 1: tf Si-!
M
THE OF A PLAN ARE:
Pi Population served by your system.
If System Type: Subpart H (surface water or ground water under the direct influence of surface water) or
Ground Water.
:? Distribution System Schematic showing:
• Entry points.
• Sources.
• Locations and dates of all projected standard monitoring and Stage 1 DBPR compliance samples.
• Locations of tanks, booster chlorination and water mains.
• Justification of Standard Monitoring site selection and a summary of additional data used to support
standard monitoring site selection.
HO SELECT SITES - Your standard monitoring
plan must include the locations and dates for one year of monitoring. The
monitoring frequency and number of sites required is based on your system's
source water and population as shown in Tables 2. These sites are in addition
to your Stage 1 DBPR compliance monitoring sites; therefore, you may not
use Stage 1 DBPR monitoring locations as standard monitoring sites. In
addition, the system will need to determine and monitor during the peak
historical month.
Table 2: Standard Monitoring Requirements
Peak Historical Month:
Is the month with the
highest TTHM or the highest
HAAS levels or the warmest
water temperature. It is
meant to represent the
"worst case" scenario for
DBP formation.
H Systems
b
p
t
H
G
0
u
n
d
<500 consecutive
<500 non-consecutive
500-3,300 consecutive
500-3,300 non-consecutive
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1 ,000,000-4,999,999
>5,000,000
<500 consecutive
<500 non-consecutive
500-9,999
10,000-99,999
100,000-499,999
>500,000
one (during peak
historical month)
four
(every 90 days)
•
six
(every 60 days)
V J } 1
one (during peak
historical month)
Four
(every 90 days)
2 \ 1 '•• 1
2 ' ^ '- ~ 1 _
2 1 - ! 1
2 - I - 1
4 - \ .\ \ 2
8 _^_j _^_A^^^^JL^^
16 3 ' 4 \ 5
24 ~* 4 ~~^ 6 'T~~ 8
32 6L_JZ1 8 \ 10 \
40 8 10 \ 12
2 | 7~~^p : 1
2 - - 1
2 - - l 1
j 6_ ] 1 "*~ ]iIZlZLL_
o \ 1 1 j
12 \ 2 "^ 2 j_ 4
-
1
-
1
1
2
4
8
10
j__L^
1
1
2
3
4
1 When choosing sites consider TTHM and HAAS Levels, Residence Time, Water Age, Disinfectant Residual, Geographic Coverage of
Distribution System, and Hydraulic Representation.
2 Near Entry Points: If you have more sites than required: choose entry points with the highest flows. If you have fewer sites than
required: replace additional sites with TTHM and HAAS sites.
-------
SUBMIT A STAN!
Submit Electronically:
Go To: www.epa.gov/safewater/disinfection/tQOvS
and access the IDSE Tool, Plan/Report Entry.
Create an electronic Standard Monitoring Plan
using the template provided in the IDSE Tool.
Attach schematic and additional information.
Submit by the Due Date presented in Table 1
(above).
Keep the confirmation number and copy of your
plan for your files.
! Submit By Mail:
, Create a Standard Monitoring Plan. A
* template can be found in the IDSE Guidance
Manual.
; * Attach schematic and additional information
\ ' Mail submission to the IPMC:
j US EPA-1 PMC
PO Box 98
! Dayton, OH 45401-0098
Once EPA or the state approves your plan, you must conduct standard monitoring at each of the monitoring
locations and dates listed in your standard monitoring plan. If you deviate from the approved plan for any
reason, you must include an explanation for the deviation in your IDSE Report. During each sample event, you
must collect a dual sample set at each location. A dual sample set consists of analyzing one sample for TTHM
and another one for HAAS. You must use a certified laboratory and EPA-approved methods for analysis of you*
TTHM and HAAS samples.
The required elements of the IDSE Report are:
•"" TTHM and HAAS analytical results from all Stage 1 DBPR and Standard Monitoring conducted during th"
period of standard monitoring, provided in a tabular or spreadsheet format.
- Explanation of any deviations from the approved standard monitoring plan.
' Recommendations and justification for Stage 2 DBPR compliance monitoring sites and dates.
• If the following information changed from the approved standard monitoring plan, also include:
• Distribution system schematic.
• Population served by the system.
• System type (subpart H or ground water).
TO SELECT STAGE 2 COMPLIANCE AND DATES - You will use results from
standard monitoring and Stage 1 DBPR compliance monitoring to select Stage 2 DBPR compliance monitoring
sites. The Stage 2 DBPR provides a specific protocol for selecting these sites based on ranking the TTHM and
HAAS locational running annual average (LRAA) for each standard monitoring and Stage 1 DBPR compliance
monitoring site. This protocol is summarized in Table 3. If the system decides to recommend an alternative
Stage 2 DBPR compliance monitoring site, a justification must be included in the report.
TaoSe ^, Drotoco! to Select Stage 2 DBPR Corr.phdnce Monitoring Locations
TTHAALRAA
6 Next highest HAAS LRAA
Highest HAAS LRAA from Stage 1 DBPR sites
(Average residence time if surface water,
maximum residence time if ground water system)
7* Highest TTHM LRAA from Stage 1 DBPR sites
(Average residence time if surface water, maximum
residence time if ground water system)
4 Next highest TTHM LRAA.
8 Next highest HAAS LRAA
\ *skip this step if you have no more Stage 1 DBPR sites
-------
As with standard monitoring, you will select your peak historical month and sampling frequency. You should use
the peak historical month selected in your standard monitoring plan unless new data suggest another month.
The number of sites you select as well as the monitoring frequency is based on your source water type and
population, as listed in Table 4. If you sample more than annually, you will conduct Stage 2 DBPR compliance
sampling at equal intervals around the peak historical month, based on your required sampling frequency.
•n>te * ..age L D8P»' o^ipiian.
s
! u
i P
j a
1 r
! t
\ H
\
I G
] r
: O
; u
! n
i d
<500
500-3,300
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1,000,000-4,999,999
> 5, 000, 000
<500
500-9,999
10,000-99,999
100,000-499,999
> 500, 000
per year
per quarter
per quarter
per quarter
per quarter
per quarter
per quarter
per quarter
per year
per year
per quarter
per quarter
per quarter
2
2
2
4
8
12
| _16
20
2
2
4
6
8
1
1
!Z_L_ZI
™ „.„ ,„,„, ^ „.„
2 I
3
5
6 I
8 \
1 \
1
2
_ _^_ . , _
3 |
1 All systems must monitor during the month of highest DBF concentrations.
2 Systems on quarterly monitoring must take dual sample sets every 90 days at each monitoring location, except for Subpart H systems
serving 500-3,300. Systems on annual monitoring and Subpart H systems serving 500-3,300 are required to take individual TTHM and
HAA5 samples (instead of a dual sample set) at the locations with the highest TTHM and HAAS concentrations, respectively. Only one
location with a dual sample set per monitoring period in deeded if highest TTHM and HAAS concentrations occur at the same location,
and month, in monitored annually.
4:
The required elements of the Stage 2 DBPR compliance monitoring plan are the compliance monitoring
locations, dates, and compliance calculation procedures. If you decide to include the compliance calculation
procedures in your IDSE Report, you will not have to prepare a separate Stage 2 DBPR compliance monitoring
plan. However, if you did not include the information required for the Stage 2 DBPR compliance monitoring
plan as part of your IDSE Report, your next step will be to prepare this plan before beginning Stage 2 DBPR
compliance monitoring. If you are a Subpart H system serving more than 3,300 people, you must submit a copy
of the monitoring plan to your state before Stage 2 DBPR compliance monitoring begins. Also, systems should
check with their states in case there are state requirements, in addition to the Federal requirements, that
need to be included in the IDSE Report.
The following guidance materials address the IDSE requirements for the Stage 2 DBPR:
• Initial Distribution System Evaluation Guidance Manual for the Final Stage 2 Disinfectants and
Disinfection Byproducts Rule (EPA 815-B-06-002) - This manual is a comprehensive technical guidance
document for all system sizes and types and all IDSE options.
-------
n Initial Distribution System Evaluation Guide for Systems Serving < 10,000 People For the Final Stage 2
Disinfectants and Disinfection Byproducts Rule (EPA 815-B-06-001) - This manual focuses on information
that systems serving less than 10,000 are most likely to use. It does not discuss the IDSE system specific
study option.
' IDSE Tool - Is a web-based tool that walks the user through the IDSE process. A Wizard determines IDSE
requirements and selects the best IDSE option for your system. The tool creates Custom Forms your
system (based on population served and system type) can submit electronically to EPA's Information
Processing and Management Center for EPA/state review. (Available on-line at
www.epa.gov/safewater/disinfection/tools.)
For additional guidance on the Stage 2 DBPR, you may refer to the following existing and future EPA materials;
Stage 2 DBPR Quick Reference Guides (Schedules 1-4).
;- Simultaneous Compliance Guidance Manuals for the Stage 2 Rules (draft version anticipated mid-2006).
? Stage 2 Disinfectant and Disinfection Byproducts Rule: Small Entity Compliance Guide - One of the
Simple Tools for Effective Performance (STEP) Guide Series (draft version anticipated late 2006).
>*• Consecutive System Guidance Manual for the Final Stage 2 Disinfectants and Disinfection Byproducts
Rule (draft version anticipated late 2006).
'•'-" Operational Evaluation Guidance Manual for the Final Stage 2 Disinfectants and Disinfection Byproducts
Rule (draft version anticipated late 2006).
Materials can be downloaded from www.epa.gov/safewater/disinfectjon/stageZ, as they become available.
For additional information, please contact the Safe Drinking Water Hotline at 1-800-426-4791,
send an email to stage2mdbp@epa.gov, or visit www.epa.gov/safewater/disinfection/stage2.
Office of Water (4606) EPA 816-F-06-021 www.epa.gov/safewater/disinfection/stage2 June 2006
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2
J.R0t«
The U.S. Environmental Protection Agency (EPA) published the Stage 2 Disinfectants and Disinfection
Byproducts Rule (Stage 2 DBPR) on January 4, 2006. The Stage 2 DBPR builds on existing regulations by
requiring water systems to meet disinfection byproduct (DBP) maximum contaminant levels (MCLs) at each
monitoring site in the distribution system to better protect public health.
iAT
Is THE PROV!5io«
The Stage 2 DBPR includes a provision requiring all community water systems (CWS) and only nontransient
noncommunity water systems (NTNCWS) serving more than 10,000 people to conduct an initial distribution
system evaluation (IDSE). NTNCWS serving less than 10,000 are exempted from IDSE requirements, but will
need to comply with the Stage 2 DBPR compliance monitoring requirements. The goal of the IDSE is to
characterize the distribution system and identify monitoring sites where customers may be exposed to high
levels of total trihalomethanes (TTHM) and haloacetic acids (HAAS). There are four ways to comply with the
IDSE requirements: Standard Monitoring, System Specific Study (SSS), 40/30 Certification (40/30), and Very
Small System (VSS) Waiver. SSS is an option for systems that have extensive existing DBP data or have prepared
a hydraulic model that can be used to determine locations of high DBP levels in their distribution system.
Systems will have to meet minimum requirements to perform either option. This factsheet provides
information regarding the SSS option for both Existing Monitoring and for Hydraulic Modeling.
What is a System Specific Study (SSS)?
SSS - Existing Monitoring
An evaluation of a system's DBP levels based
on existing monitoring data collected
throughout the distribution system and during
the peak historical month. The rule requires a
minimum number of samples and specific
locations in the distribution system. This IDSE
option is most likely to be used by systems
that have extensive operational DBP data in
addition to Stage 1 DBPR compliance
monitoring data. Systems may use a
combination of all qualifying data (i.e.,
existing operational and compliance data) to
determine the best locations for Stage 2 DBPR
compliance monitoring.
SSS - Hydraulic Modeling
An evaluation of a system's DBP levels based on
results of an Extended Period Simulation (EPS)
hydraulic model using water age as a surrogate for
DBP formation. This IDSE option is most likely to
be used by systems that have a high level of
technical expertise and already utilize modeling
technologies outside of the IDSE process. The
model must meet the minimum requirements
presented in the rule, such as percentage of
distribution system represented by the model and
calibration. The model results are used in
conjunction with Stage 1 DBPR compliance data
and one round of monitoring during the IDSE to
select the best locations for Stage 2 DBPR
compliance monitoring.
I
-------
SH 3 f LZwiPEMENTS
Systems opting to conduct an SSS will need to:
•*" Step 1: Prepare and submit an SSS Plan by the date specified in Table 1 (below).
•' Step 2: Address additional SSS requirements.
" Step 3: Prepare and submit the IDSE Report.
* Step 4: Prepare a Stage 2 DBPR compliance monitoring plan.
If you are conducting an SSS for IDSE compliance, you will be required to prepare a study plan, possibly conduct
some additional monitoring, develop an IDSE Report, and prepare a Stage 2 DBPR compliance monitoring plan.
These documents must be submitted by the deadlines listed in Table 1 ; however, you can submit two or all
three of the documents as one submission as long as the required elements of each document are included and
the deadline for the earliest document is met.
Tabl
52S Compliance Da
At least 100,000 people or part of a
combined distribution system serving at
least 100,000 people
Schedule 1
October 1, 2006
January 1, 2009
April 1, 2012
50,000 to 99,999 people or part of a
combined distribution system serving 50,000
to 99,999 people
10,000 to 49,999 people or part of a
combined distribution system serving 10,000
to 49,999 people
Less than 10,000 or part of a combined
distribution system serving less than 10,000
Schedule 2 \
\
Schedule 3 |
Schedule 4 I
April 1
October
April 1
, 2007
1 , 2007
, 2008
July 1,
January
July 1,
2009
1,2010
2010
October 1, 2012
October 1, 2013
October 1,2013
1 Your schedule is defined by the largest system in your combined distribution system.
2 Systems not conducting Cryptosporidium monitoring under 40 CFR 141.701(a)(4) must begin Stage 2 DBPR compliance monitoring by
this date. Systems conducting Cryptosporidium monitoring under 40 CFR 141.701(a)(4) or 141.701(a)(6) must begin Stage 2 DBPR
compliance monitoring by October 1, 2014.
2"£p 1: &
TH: REQUIRED F«_EMLNTS OF A* SSS INCLUDE:
m Population served by your system.
• System Type: Subpart H (surface water or ground water under the direct influence of surface water) or
Ground Water.
11 Distribution System Schematic showing:
• Entry Points
• Sources
• Locations and dates of all planned or completed SSS monitoring
• Locations and dates of planned Stage 1 DBPR compliance samples
Specific requirements for each type of SSS are listed on the next page. // you meet the requirements for
the IDSE Report, you may submit the SSS Plan and IDSE Report together.
-------
AN SSS PLAN:
Submit Electronically:
Go To: www.epa.qov/safewater/dis1nfection/toois
and access the IDSE Tool, Plan/Report Entry.
' Create an electronic SSS Plan using the template
provided in the IDSE Tool.
Attach schematic and additional information.
Submit by the Due Date presented in Table 1
(above).
' Keep the confirmation number and copy of your
plan for your files.
Submit By Mail:
Create an SSS Plan. A template can be found
in the IDSE Guidance Manual.
~ Attach schematic and additional information.
* Mail submission to the IPMC:
US EPA-IPMC
PO Box 98
Dayton, OH 45401-0098
f-,l\ L./,.,,
•-H.
~~ I n / f r'
> . 'J-iJ t , t_/-kM,
Previously collected monitoring results: Data must be no more than 5 years old as of the due date of
submission and must have been analyzed by approved methods.
Certification that:
• All compliance and operational data taken during the SSS period are included.
• Distribution system and treatment have not significantly changed since the period of SSS data.
• Samples are representative of the entire distribution system.
Locations and frequency of sampling must meet the requirements of Table 2 and each site must be
sampled at least once during peak historical month (i.e., high TTHM, high HAAS, or high water
temperature) for each 12 months of qualifying data. If additional data is needed to meet minimum
requirements, the SSS monitoring plan must include the locations and dates for proposed SSS
monitoring.
2 Mo"*"tcring Requirements fof
Monitonr
<500 | 3
! ^ 500-3,300
3
3 9
j [3,301-9,999 j 6 1 36
I SubpartH l^°^42^99 I 12 72
j [1^00^249,999 24
| 250,000-999,999 36
j 1,000,000-4,999,999
5,000,000
f<500
500-9,999
Ground 10,000-99,999
100,000-499,999
500,000
48
60
3
3
144
216
288
360
•*
Q
12 ~~\ 48
18
24
72
96
3
H_ 9 j
36
72
144 I
216 j
TOO '
Z.QQ '•
I
360
•^ |
9 I
48 j
72 |
96 I
-------
rHE SPECIFIC FOR A HYDRAULIC STUDY
II Model must be an Extended Period Simulation (EPS) model and must simulate 24-hour variation in
demand and show a consistently repeating 24-hour pattern of residence time.
•" Tabular or spreadsheet data demonstrating that the model includes:
• 75 percent of pipe volume and 50 percent of pipe length.
• All pressure zones.
• All 12-inch diameter and larger pipes.
• All 8-inch and larger pipes that connect pressure zones, influence zones from different sources,
storage facilities, major demand areas, pumps, and control valves, or are known or expected to be
significant conveyors of water.
• All 6-inch and larger pipes that connect remote areas of a distribution system to the main portion of
the system.
• All storage facilities with standard operations represented.
• All active pump stations with controls and all active control valves.
•** Description of calibration activities undertaken including (if calibration is complete):
• A graph of predicted tank levels vs. measured tank levels for the storage facility with the highest
residence time in each pressure zone.
• A time series graph of the residence time at the longest residence time storage facility in the
distribution system showing the predictions for the entire simulation period.
• Model output showing preliminary 24-hr average residence time predictions throughout the system.
m Timing and number of samples representative of distribution system for
at least one monitoring period of TTHM and HAAS monitoring at no less Peak Historical Month:
than the number of locations required under standard monitoring
during the peak historical month. These samples must be taken at
locations other than existing Stage 1 DBPR compliance monitoring
locations. temperature. It is meant to
A description of how all requirements will be completed within 12 represent the "worst case"
months of plan submission scenano for DBP f°r™t,on.
Is the month with the highest
TTHM or the highest HAAS
levels or the warmest water
STEP 3:
The primary purpose of the IDSE Report is to provide EPA or the state with the system's recommendations for
where and at what frequency Stage 2 DBPR compliance monitoring will be conducted.
The required elements of the IDSE Report are:
'•" Recommendations for Stage 2 DBPR monitoring sites and dates.
^ Basis (analytical results and modeling) and justification for selection of recommended Stage 2 DBPR
monitoring sites.
„ TTHM and HAAS analytical results in a tabular or spreadsheet format from all Stage 1 DBPR and SSS
monitoring conducted during the period of the SSS.
^ An explanation of any deviation from the approved SSS plan.
-------
"* If any of the following changed from your study plan:
• Population served.
• System type (subpart H or ground).
• Distribution system schematic.
In addition, if you are conducting a Hydraulic Modeling S5S you must provide your final calibration information
(if not already provided with the IDSE plan) and a 24-hr time series graph of residence time for all Stage 2
DBPR monitoring sites selected. If you include the bold items above in your plan, you will not have to prepare
a separate IDSE Report.
IDSE Report can be submitted the same way as the SSS Plan, as described under Step 1 of this factsheet.
STEP 4: PRE^V-E. STAG: 2 Cw- *' MCE WWTF^C FV "
The required elements of the Stage 2 DBPR compliance monitoring plan are the compliance monitoring
locations and dates and compliance calculation procedures. If you decide to include the compliance calculation
procedures in your IDSE Report, you will not have to prepare a separate Stage 2 DBPR compliance monitoring
plan. However, if you did not include the information required for the Stage 2 DBPR compliance monitoring
plan as part of your IDSE Report, your next step will be to prepare this plan before beginning Stage 2 DBPR
compliance monitoring. If you are a Subpart H system serving more than 3,300 people, you must submit a copy
of the monitoring plan to your state before Stage 2 DBPR compliance monitoring begins. Also, systems should
check with their states in case there are state requirements, in addition to the Federal requirements, that
need to be included in the IDSE Report.
,. '^'^^^ ____«________
The following guidance materials address the IDSE requirements for the Stage 2 DBPR:
'" Initial Distribution System Evaluation Guidance Manual for the Final Stage 2 Disinfectants and
Disinfection Byproducts Rule (EPA 815-B-06-002) - This manual is a comprehensive technical guidance
document for all system sizes and types and all IDSE options.
' IDSE Tool - Is a web-based tool that walks the user through the IDSE process. A Wizard determines IDSt
requirements and selects the best IDSE option for your system. The tool creates Custom Forms your
system (based on population served and system type) can submit electronically to EPA's Information
Processing and Management Center for EPA/state review. (Available on-line at
www.epa.gov/safewater/disinfection/tools.)
For additional guidance on the Stage 2 DBPR, you may refer to the following existing and future EPA materials.
'"* Stage 2 DBPR Quick Reference Guides (Schedules 1 4).
* Simultaneous Compliance Guidance Manuals for the Stage 2 Rules (draft version anticipated mid-2006)
•* Stage 2 Disinfectant and Disinfection Byproducts Rule: Small Entity Compliance Guide - One of the
Simple Tools for Effective Performance (STEP) Guide Series (draft version anticipated late 2006).
H Consecutive System Guidance Manual for the Final Stage 2 Disinfectants and Disinfection Byproducts
Rule (draft version anticipated late 2006).
r* Operational Evaluation Guidance Manual for the Final Stage 2 Disinfectants and Disinfection Byproducts
Rule (draft version anticipated late 2006).
Materials can be downloaded from www.epa.gov/safewater/d1sinfection/stage2, as they become available.
For additional information, please contact the Safe Drinking Water Hotline at 1-800-426-4791,
send an email to stage2mdbp@epa.gov. or visit www.epa.gov/safewater/disinfectlon/stage2.
Office of Water (4606) EPA 816-F-06-022 www.epa.gov/safewater/disinfection/stage2 June 2006
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ISS/
• ***& if®* ^ ( ® llF* ® & % \ $
J1 I fr fr ^*%, r*f 'f t* ^ /" **%"t!*-l >x>>** «* ^»% •*»! i / />•»
"^ I f I C* J; ?*ii^rpl||«i #»-, , ( , I M j~£
* \J \Kf CT i * , r f
-------
[LIG-
OJTER:*,
»;o i APFL rOR A 40, 30?
Submit Electronically:
Go To: www.epa.gov/safewater/disinfection/toQls and
access the IDSE Tool, Plan/Report Entry.
Create a custom 40/30 Certification Letter.
Attach additional information if required.*
Submit by the Due Date presented in Table 1 (below).
Keep the confirmation number and a copy of your 40/30
Certification Letter for your files.
Submit By Mail:
~ Create a 40/30 Certification Letter. A 40/30 Certification
template can be found in the IDSE Guidance Manual.
""" Attach additional information, if required.*
~ Mail submission to the I PMC:
US EPA-1 PMC
\ PO Box 98
i Dayton, OH 45401-0098
\ *EPA or the state may require a
I system to submit the following
j additional information with the
\ 40/30 submission:
r Stage 1 DBPR Compliance
Monitoring Data
r Distribution System Schematic
*> Proposed Stage 2 DBPR
Compliance Monitoring
locations
Systems are encouraged to check
with EPA or the state to determine
if they need to submit any
additional information.
"'able 1: ^0-'20 Crit:v-«5 Compliance
At least 100,000 people or part of a
combined distribution system serving at
least 100,000 people
50,000 to 99,999 people or part of a
combined distribution system serving
Schedule 1
Eight Consecutive Quarters
Starting No Earlier than January
2004
] Eight Consecutive Quarters
Schedule 2 j Starting No Earlier than January
__ _____ | 2004 ____ ________
\ Eight Consecutive Quarters
Schedule 3 I Starting No Earlier than January
I 2005
i 10,000 to 49,999 people or part of a
j combined distribution system serving
110^^toj!M?9 p?0?.!6^. _
\ Less than 10,000 or part of a combined
i distribution system serving less than
| 10,000 __ __ __
1 Your schedule is defined by the largest system in your combined distribution system.
IF I BUT No 1
| Eight Consecutive Quarters
Schedule 4 \ Starting No Earlier than January
\ 2005
October 1, 2006
April 1, 2007
October 1, 2007
April 1, 2008
Systems that have not conducted compliance monitoring under the Stage 1 DBPR but have TTHM and
HAAS operational data should contact EPA or the state to determine if the data is sufficient to qualify
for the 40/30 or VSS Waiver. The operational data must have been:
** Analyzed by an EPA-approved method
"* Analyzed by a certified laboratory
;* Collected in areas representative of the Maximum Residence Time
-? Collected during the month of warmest water temperature
-------
*;HAT :•
VSS
An approved 40/30 or VSS Waiver satisfies the IDSE requirement of the Stage 2 DBPR without requiring
additional monitoring. However, a system with an approved 40/30 or VSS Waiver will need to submit a
Stage 2 DBPR compliance monitoring plan and will need to start Stage 2 DBPR compliance monitoring,
as indicated by the rule, based on its Schedule.
IF I THE DO I FOR A
Systems that meet the VSS Waiver eligibility criteria automatically qualify for the VSS Waiver, unless
they are contacted by EPA or the state and informed that they must complete Standard Monitoring or
System Specific Study.
i L
40/:
H
40/30 Approval:
EPA and the state are not required to send a
I confirmation that a 40/30 certification has been
accepted. If EPA or the state does not contact
you within a year after the 40/30 submission
: deadline (see Table 1), you may assume the
40/30 certification has been accepted.
; Otherwise, EPA or the state will inform you that
i you must conduct Standard Monitoring or System
Specific Study.
VSS Waiver Approval:
EPA and the state are not required to send a
confirmation that a VSS Waiver has been approved.
EPA or the state will contact those systems required
to conduct Standard Monitoring or System Specific
Study. For systems serving less than 500 people,
standard monitoring consists of preparing a
monitoring plan, collecting TTHM/HAA5 samples at
two locations in the distribution system and
completing an IDSE Report (see the IDSE Guidance
Manual for more information at
www.epa.gov/safewater/disinfection/stage2).
If your system meets the 40/30 or VSS WAIVER criteria and EPA or the state does not notify you that
you need to conduct Standard Monitoring or System Specific Study, your system has satisfied the IDSE
requirements. However, your system will still need to prepare a compliance monitoring plan for Stage
2 DBPR. This plan must be completed before your system is required to begin Stage 2 DBPR compliance
monitoring. Your system will need to continue monitoring under Stage 1 DBPR until Stage 2 DBPR
compliance monitoring begins (see Table 2).
"""atjse 2, Stage 2 DBPR Compliance Monitoring
I —
Schedule 1
Schedule 2
Schedule 3
Schedule 4
.April 1,201 2
October 1, 2012
I October 1 , 201 3 I
! October 1 , 201 3 if no Cryptosporidium monitoring required under LT2ESWTR. |
!OR
| October 1 , 2014 if Cryptosporidium monitoring is required under LT2ESWTR.
1 Schedule for systems in a combined distribution system is based on that of the largest system in the combined distribution
system.
-------
The following guidance materials address the IDSE requirements for the Stage 2 DBPR:
*? Initial Distribution System Evaluation Guidance Manual for the Final Stage 2 Disinfectants and
Disinfection Byproducts Rule (EPA 815-B-06-002) - This manual is a comprehensive technical
guidance document about all IDSE options, for all system sizes and types.
*? Initial Distribution System Evaluation Guide for Systems Serving < 10,000 People For the Final
Stage 2 Disinfectants and Disinfection Byproducts Rule (EPA 815-B-06-001) - This manual
focuses on information that systems serving less than 10,000 are most likely to use. It does not
discuss the IDSE system specific study option.
""• IDSE Tool - Is a web-based tool that walks the user through the IDSE process. A Wizard
determines IDSE requirements and selects the best IDSE option for your system. The tool
creates Custom Forms your system (based on population served and system type) can submit
electronically to EPA's Information Processing and Management Center for EPA/state review.
(Available on-line at www.epa.gov/safewater/disinfection/tools.)
For additional guidance on the Stage 2 DBPR, you may refer to the following existing and future EPA
materials:
m Stage 2 DBPR Quick Reference Guides (Schedules 1-4).
'•" Simultaneous Compliance Guidance Manuals for the Stage 2 Rules (draft version anticipated
mid-2006).
m Stage 2 Disinfectant and Disinfection Byproducts Rule: Small Entity Compliance Guide - One of
the Simple Tools for Effective Performance (STEP) Guide Series (draft version anticipated late
2006).
• Consecutive System Guidance Manual for the Final Stage 2 Disinfectants and Disinfection
Byproducts Rule (draft version anticipated late 2006).
m Operational Evaluation Guidance Manual for the Final Stage 2 Disinfectants and Disinfection
Byproducts Rule (draft version anticipated late 2006).
Materials can be downloaded from www.epa.gov/safewater/disinfection/stage2. as they become
available.
For additional information, please contact the Safe Drinking Water Hotline at 1-800-426-4791,
send an email to stage2mdbp@epa.gov, or visit www.epa.gov/safewater/disinfection/stage2.
Office of Water (4606) EPA 816-F-06-023 www.ep3.gov/safewater/disinfection/stage2 June 2006
-------
x-xEPA
United States
Environmental Protection
Agency
Call the Safe Drinking Water
Hotline at 1-800-426-4791;
visit the EPA web site at
www.epa .gov/safewater/
disinfection/stage2; or
contact your state drinking
water representative.
Stage 2 Disinfectants and Disinfection
Byproducts Rule: A Quick Reference
Guide For Schedule 1 Systems
Title
Purpose
General
Description
Utilities
Covered *
Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR) 71 FR 388, January 4, 2006
Vol.71, No. 2
To increase public health protection by reducing the potential risk of adverse health effects
associated with disinfection byproducts (DBFs) throughout the distribution system. Builds on the
Stage 1 Disinfectants and Disinfection Byproducts Rule (Stage 1 DBPR) by focusing on monitoring
for and reducing concentrations of two classes of DBFs - TTHM and HAAS - in drinking water.
Stage 2 DBPR requires some systems to complete an Initial Distribution System Evaluation (IDSE) to
characterize DBP levels in their distribution systems and identify locations to monitor DBPs for Stage
2 DBPR compliance. The Stage 2 DBPR bases TTHM and HAAS compliance on a locational running
annual average (LRAA) calculated at each monitoring location.
All community water systems (CWSs) and nontransient noncommunity water systems
(NTNCWSs) that either add a primary or residual disinfectant other than ultraviolet light, or deliv*
water that has been treated with a primary or residual disinfectant other than ultraviolet light.
Schedule 1 includes CWSs and NTNCWSs serving 100,000 or more people OR CWSs and
NTNCWSs that are part of a combined distribution system in which the largest system serves
100,000 or more people.
* NTNCWSs serving < 10,000 people do not need to complete any of the IDSE options, but must conduct Stage 2 DBPR
compliance monitoring.
•'•, •*'[
'. ' ' ' • '$^x~" ;—T?;V;^4#*' ' '• :----v^,vV
Regulated Contaminants
Total Trihalomethanes (TTHM)
Chloroform
Bromodichloromethane
Dibromochloromethane
Bromoform
Five Haloacetic Acids (HAAS)
Monochloroacetic acid
Dichloroacetic acid
Trichloroacetic acid
Bromoacetic acid
Dibromoacetic acid
MCLG (mg/L)
0.07
zero
0.06
zero
0.07
zero
0.02
MCL (mg/L)
0.080 LRAA
0.060 LRAA
* '""^'^"'^ - -- ' ''''"'"*rr''.>*** ' ".,,., .. : V^"*" "H«;v-n^v .»-'.''
IDSE
Option
Standard
Monitoring
System
Specific
Study (SSS)
40/30
Certification 1
Very Small
System (VSS)
Waiver *
Description
Standard monitoring is one year of increased monitoring for TTHM and HAAS in addition to the
data being collected under Stage 1 DBPR. These data will be used with Stage 1 DBPR data to
select Stage 2 DBPR TTHM and HAAS compliance monitoring locations. Any system may conduct
standard monitoring to meet the IDSE requirements of the Stage 2 DBPR.
Systems that have extensive TTHM and HAAS data (including Stage 1 DBPR compliance data) or
technical expertise to prepare a hydraulic model may choose to conduct a system specific study
to select Stage 2 DBPR compliance monitoring locations.
The term "40/30" refers to a system that during a specific time period has all individual Stage 1
DBPR compliance samples less than or equal to 0.040 mg/L for TTHM and 0.030 mg/L for HAAS
and has no monitoring violations during the same time period. These systems have no IDSE
monitoring requirements, but will still need to conduct Stage 2 DBPR compliance monitoring.
Systems that serve fewer than 500 people and have eligible TTHM and HAAS data can qualify for a
VSS Waiver and would not be required to conduct IDSE monitoring. These systems have no IDSE
monitoring requirements, but will still need to conduct Stage 2 DBPR compliance monitoring.
EPA has developed several tools to assist systems with complying with the Stage 2 DBPR IDSE requirements.
These materials can be downloaded at www.epa.gov/safewater/disinfection/stage2.
** NTNCWSs serving < 10,000 people do not need to complete any of the IDSE options.
f Systems that are notified by EPA or the state their VSS waiver or 40/30 certification has not been approved will need to
complete Standard Monitoring or System Specific Study.
-------
*:'v:v 'Hu- .... s, ;, ;,-?;, .-s(,f- ,U\K- VS.-/;.',, a , ,, .j'j.^- , ; ,-
Source
Water Type
Subpart \\
Ground Water
Population Size
Category
<500
500-3,300
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1,000,000-4,999,999
^5,000,000
<500
500-9,999
10,000-99,999
100,000-499,999
^500,000
Monitoring
Frequency'
per year
per quarter
per quarter
per year
per quarter
Total Distribution System Monitoring
Locations Per Monitoring Period2
2
2
2
4
8
12
16
20
2
2
4
6
8
Operational Evaluation
Systems must begin complying with the operational evaluation provision oi the Stage 2 DBPR.
1 All systems must monitor during month oi highest DBF concentrations.
2 Systems on quarterly monitoring must take dual sample sets every 90 days at each monitoring location, except for subpart H systems serving 500-3,300. Systems on
annual monitoring and subpart H systems serving 500-3,300 are required to take individual TTHM and HAAS samples (instead of a dual sample set) at the locations with
the highest TTHM and HAAS concentrations, respectively. If monitoring annually, only one location with a dual sample set per monitoring period is needed H highest
TTHM and HAAS concentrations occur at the same location, and month.
"/,!„
For Drinking Water Systems (Schedule 1)
January 4, 2006
October 1, 2006
October 1, 2007
September 30, 2008
January 1. 2009
April 1, 2009
April 1, 2012
January 2013
Systems serving fewer than 500 people that have TTHM and HAAS compliance data qualify for a VSS Waiver from conducting an
IDSE, unless informed otherwise by U.S. EPA or state primacy agency.
Systems that do not receive a VSS Waiver must submit to the U.S EPA or state primacy agency either a:
*• Standard monitoring plan,
> System specific study plan, or
* 40/30 certification.
Systems conducting standard monitoring or SSS begin collecting samples in accordance with their approved plan.
No later than this date, systems conducting standard monitoring or a SSS complete their monitoring or study.
No later than this date, systems conducting standard monitoring or a SSS must submit their IDSE report.
Consecutive systems must begin monitoring for chlorine or chloramines as specified under the Stage 1 DBPR.
No later than this date, systems must:
* Complete their Stage 2 DBPR Compliance Monitoring Plan (Systems serving more than 3,300 people must submit their
Monitoring Plan to the state.)*
^ Begin complying with monitoring requirements of the Stage 2 DBPR.1
Systems must begin complying with rule requirements to determine compliance with the operational evaluation levels for TTHMs
and HAASs.
For States
January - June
2006
September 30, 2007
October 4, 2007
January 4, 2008
March 31, 2009
January 4, 2010
States are encouraged to inform systems serving fewer than 500 people and do not qualify for a VSS Waiver from the IDSE
requirements should begin complying with standard monitoring requirements.
States must approve the system's standard monitoring plan, 40/30 certification, or system specific study plan or notify the
system that the state has not completed its review.
States are encouraged to submit final primacy applications or extension requests to EPA.
Final primacy applications must be submitted to EPA, unless granted an extension.
States must approve the system's IDSE report or notify the system that the state has not completed its review of the IDSE report.
Final primacy revision applications from states with approved 2-year extensions agreements must be submitted to EPA.
* A monitoring plan is not required if the IDSE report includes all information required in the monitoring plan.
t States may allow up to an additional 24 months for compliance with MCLs for systems requiring capital improvements.
Office of Water (4606)
EPA816-F-06-001
www.epa.gov/safewater
June 2006
-------
United States
Environmental Protection
Agency
Call the Safe Drinking Water
Hotline at 1-800-426-4791;
visit the EPA web site at
www.epa .gov/safewater/
disinfection/stage2; or
contact your state drinking
water representative.
Stage 2 Disinfectants and Disinfection
Byproducts Rule: A Quick Reference
Guide For Schedule 2 Systems
." :?/" '?'"'?:
-. " ' ','
'"'f'/lA '•'•'•
Title
Purpose
General
Description
Utilities
Covered *
'.•„..„•••• , ' ' :'...'^jf»i»^&^ f'/ft--. ' "' '"*^-Sw'%.
• ' - ^•Jf-'1'''"" ''"*':*- '•' ': "''..'Sit.' ' '' . '"' '- •-'
Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR) 71 FR 388, January 4, 2006
Vol. 71, No. 2
To increase public health protection by reducing the potential risk of adverse health effects
associated with disinfection byproducts (DBPs) throughout the distribution system. Builds on the
Stage 1 Disinfectants and Disinfection Byproducts Rule (Stage 1 DBPR) by focusing on monitoring
for and reducing concentrations of two classes of DBPs - TTHM and HAAS - in drinking water.
Stage 2 DBPR requires some systems to complete an Initial Distribution System Evaluation (IDSE) to
characterize DBP levels in their distribution systems and identify locations to monitor DBPs for Stage
2 DBPR compliance. The Stage 2 DBPR bases TTHM and HAAS compliance on a locational running
annual average (LRAA) calculated at each monitoring location.
* All community water systems (CWSs) and nontransient noncommunity water systems
(NTNCWSs) that either add a primary or residual disinfectant other than ultraviolet light, or deliver
water that has been treated with a primary or residual disinfectant other than ultraviolet light.
* Schedule 2 includes CWSs and NTNCWSs serving 50,000 to 99,999 people OR CWSs and
NTNCWSs that are part of a combined distribution system in which the largest system serves
50,000 to 99,999 people.
* NTNCWSs serving < 10,000 people do not need to complete any of the IDSE options, but must conduct Stage 2 DBPR
compliance monitoring.
> &•• H"v* ' ' "&'*&'. , - A
,. > ' t '~''^f.'/ ' ' V<" '' ..VhS1- .. i> ' '' '" ' ' """ '""'w — ' ^3,
-" " w.-, • if: :j, •'••'•'$""{" ' ' " ' "•'
Regulated Contaminants
Total Trihalomethanes (TTHM)
Chloroform
Bromodichloromethane
Dibromochloromethane
Bromoform
Five Haloacetic Acids (HAAS)
Monochloroacetic acid
Dichloroacetic acid
Trichloroacetic acid
Bromoacetic acid
Dibromoacetic acid
MCLG (mg/L)
0.07
zero
0.06
zero
0.07
zero
0.02
MCL (rng/L)
0.080 LRAA
0.060 LRAA
Cr ' - - ">'/. " ' ~ -*i~ , x , . , ' . ""/-"- if ^V*^
IDSE
Option
Standard
Monitoring
System
Specific
Study (SSS)
40/30
Certification f
Very Small
System (VSS)
Waiver t
Description
Standard monitoring is one year of increased monitoring for TTHM and HAAS in addition to the
data being collected under Stage 1 DBPR. These data will be used with Stage 1 DBPR data to
select Stage 2 DBPR TTHM and HAAS compliance monitoring locations. Any system may conduct
standard monitoring to meet the IDSE requirements of the Stage 2 DBPR.
Systems that have extensive TTHM and HAAS data (including Stage 1 DBPR compliance data) or
technical expertise to prepare a hydraulic model may choose to conduct a system specific study
to select Stage 2 DBPR compliance monitoring locations.
The term "40/30" refers to a system that during a specific time period has all individual Stage ;
DBPR compliance samples less than or equal to 0.040 mg/L for TTHM and 0.030 mg/L for HA^--
and has no monitoring violations during the same time period. These systems have no IDSF
monitoring requirements, but will still need to conduct Stage 2 DBPR compliance monitoring.
Systems that serve fewer than 500 people and have eligible TTHM and HAAS data can qualify for a
VSS Waiver and would not be required to conduct IDSE monitoring. These systems have no IDSF
monitoring requirements, but will still need to conduct Stage 2 DBPR compliance monitoring
EPA has developed several tools to assist systems with complying with the Stage 2 DBPR IDSE requirements
These materials can be downloaded at www.epa.gov/safewater/disinfection/stage2.
** NTNCWSs serving < 10,000 people do not need to complete any of the IDSE options.
f Systems that are notified by EPA or the state their VSS waiver or 40/30 certification has not been approved will nc .
complete Standard Monitoring or System Specific Study.
-------
^'f >%'?• $ ' s ;;,<
Source
Water Type
Subpart H
Ground Water
Population Size
Category
<50Q
500-3,300
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1,000,000-4,999,999
S:5,000,000
<500
500-9,999
10,000-99,999
100,000-499,999
^500,000
Monitoring
Frequency '
per year
per quarter
per quarter
per year
per quarter
'"^ '*' ,, -." ' },"'> ¥i ,
' ' ^ " ^
Total Distribution System Monitoring
Locations Per Monitoring Period2
2
2
2
4
8
12
16
20
2
2
4
6
8
Operational Evaluation
Systems must begin complying with the operational evaluation provision ol the Stage 2 DBPR.
1 All systems must monitor during month of highest DBP concentrations.
2 Systems on quarterly monitoring must take dual sample sets every 90 days at each monitoring location, except for subpart M systems serving 500-3,300. Systems on
annual monitoring and subpart H systems serving 500-3,300 are required to take individual TTHM and HAA5 samples (instead of a dual sample set) at the locations with
the highest TTHM and HAAS concentrations, respectively. If monitoring annually, only one location with a dual sample set per monitoring period is needed if highest
TTHM and HAAS concentrations occur at the same location, and month.
For Drinking Water Systems (Schedule 2)
January 4, 2006
April 1,2007
April 1, 2008
March 31, 2009
July 1, 2009
April 1, 2009
October 1,2012
July 2013
Systems serving fewer than 500 people that have TTHM and HAAS compliance data qualify for a VSS Waiver from conducting an
IOSE, unless informed otherwise by U.S. EPA or state primacy agency.
Systems that do not receive a VSS Waiver must submit to the U.S EPA or state primacy agency either a:
* Standard monitoring plan,
> System specific study plan, or
+ 40/30 certification.
Systems conducting standard monitoring or SSS begin collecting samples in accordance with their approved plan.
No later than this date, systems conducting standard monitoring or a SSS complete their monitoring or study.
No later than this date, systems conducting standard monitoring or a SSS must submit their IDSE report.
Consecutive systems must begin monitoring for chlorine or chloramines as specified under the Stage 1 DBPR.
No later than this date, systems must:
* Complete their Stage 2 DBPR Compliance Monitoring Plan (Systems serving more than 3,300 people must submit their
Monitoring Plan to the state.)*
k Begin complying with monitoring requirements of the Stage 2 DBPR.1
Systems must begin complying with rule requirements to determine compliance with the operational evaluation levels for TTHMs
and HAASs.
For States
January - June
2006
March 31, 2008
October 4, 2007
January 4, 2008
September 30, 2009
January 4, 2010
States are encouraged to inform systems serving fewer than 500 people and do not qualify for a VSS Waiver from the IDSE
requirements should begin complying with standard monitoring requirements.
States must approve the system's standard monitoring plan, 40/30 certification, or system specific study plan or notify the
system that the state has not completed its review.
States are encouraged to submit final primacy applications or extension requests to EPA.
Final primacy applications must be submitted to EPA, unless granted an extension.
States must approve the system's IDSE report or notify the system that the state has not completed its review of the IDSE
report.
Final primacy revision applications from states with approved 2-year extensions agreements must be submitted to EPA.
* A monitoring plan is not required if the IDSE report includes all information required in the monitoring plan. '
t States may allow up to an additional 24 months for compliance with MCLs for systems requiring capital improvements.
Office of Water (4606)
EPA816-F-06-002
www.epa.gov/safewater
June 2006
-------
vvEPA
United States
Environmental Protection
Agency
Call the Safe Drinking Water
Hotline at 1-800-426-4791;
visit the EPA web site at
www.epa.gov/safewater/
disinfection/stage2; or
contact your state drinking
water representative.
Stage 2 Disinfectants and Disinfection
Byproducts Rule: A Quick Reference
Guide For Schedule 3 Systems
Title
Purpose
General
Description
Utilities
Covered *
Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR) 71 FR 388, January 4, 2006
Vol. 71, No. 2
To increase public health protection by reducing the potential risk of adverse health effects
associated with disinfection byproducts (DBFs) throughout the distribution system. Builds on the
Stage 1 Disinfectants and Disinfection Byproducts Rule (Stage 1 DBPR) by focusing on monitoring
for and reducing concentrations of two classes of DBPs - TTHM and HAAS - in drinking water.
Stage 2 DBPR requires some systems to complete an Initial Distribution System Evaluation (IDSE) to
characterize DBP levels in their distribution systems and identify locations to monitor DBPs for Stage
2 DBPR compliance. The Stage 2 DBPR bases TTHM and HAAS compliance on a locational running
annual average (LRAA) calculated at each monitoring location.
All community water systems (CWSs) and nontransient noncommunity water systems •
(NTNCWSs) that either add a primary or residual disinfectant other than ultraviolet light, or delive<
water that has been treated with a primary or residual disinfectant other than ultraviolet light.
Schedule 3 includes CWSs and NTNCWSs serving 10,000 to 49,999 people OR CWSs and
NTNCWSs that are part of a combined distribution system in which the largest system serves
10,000 to 49,999 people.
* NTNCWSs serving < 10,000 people do not need to complete any of the IDSE options, but must conduct Stage 2 DBPR
compliance monitoring.
° -• " , ' .t;/' "? ,'z%^,rK °
'•'. . • • , • '% '.' ..- ,,;??:4%if:'.'>*-;- ;..>'•
Regulated Contaminants
Total Trihalomethanes (TTHM)
Chloroform
Bromodichloromethane
Dibromochloromethane
Bromoform
Five Haloacetic Acids (HAAS)
Monochloroacetic acid
Dichloroacetic acid
Trichloroacetic acid
Bromoacetic acid
Dibromoacetic acid
MCLG (mg/L)
0.07
zero
0.06
zero
0.07
zero
0.02
MCL (mg/L)
0.080 LRAA
0.060 LRAA
N - • f. "t'/f,'1:/ •/• * ,. <*,,?*;• ?*,?*• »*^- /^/ ^Hfv^S* ^ • • •• ^ *,•
IDSE
Option
Standard
Monitoring
System
Specific
Study (SSS)
40/30
Certification '
Very Small
System (VSS)
Waiver f
Description
Standard monitoring is one year of increased monitoring for TTHM and HAAS in addition to the
data being collected under Stage 1 DBPR. These data will be used with Stage 1 DBPR data to
select Stage 2 DBPR TTHM and HAAS compliance monitoring locations. Any system may conduct
standard monitoring to meet the IDSE requirements of the Stage 2 DBPR.
Systems that have extensive TTHM and HAAS data (including Stage 1 DBPR compliance data) or
technical expertise to prepare a hydraulic model may choose to conduct a system specific study
to select Stage 2 DBPR compliance monitoring locations.
The term "40/30" refers to a system that during a specific time period has all individual Stage 1
DBPR compliance samples less than or equal to 0.040 mg/L for TTHM and 0.030 mg/L for HAAS
and has no monitoring violations during the same time period. These systems have no IDSE
monitoring requirements, but will still need to conduct Stage 2 DBPR compliance monitoring.
Systems that serve fewer than 500 people and have eligible TTHM and HAAS data can qualify for a
VSS Waiver and would not be required to conduct IDSE monitoring. These systems have no IDSE
monitoring requirements, but will still need to conduct Stage 2 DBPR compliance monitoring.
EPA has developed several tools to assist systems with complying with the Stage 2 DBPR IDSE requirements.
These materials can be downloaded at www.epa.gov/safewater/disinfection/stage2.
** NTNCWSs serving < 10,000 people do not need to complete any of the IDSE options.
t Systems that are notified by EPA or the state their VSS waiver or 40/30 certification has not been approved will need to
complete Standard Monitoring or System Specific Study.
-------
••'•••;*" ~'SfCf*'-:'^ ' ' ' "" -^'"'',*V--' '#V • •-'* S^ffc, '.. ••'<
Source
Water Type
Subpart H
Ground Water
Population Size
Category
<500
500-3,300
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1,000,000-4,999,999
^5,000,000
<500
500-9,999
10,000-99,999
100,000-499,999
2:500,000
Monitoring
Frequency1
per year
per quarter
per quarter
per year
per quarter
Total Distribution System Monitoring
Locations Per Monitoring Period2
2
2
2
4
8
12
16
20
2
2
4
6
8
Operational Evaluation
Systems must begin complying with the operational evaluation provision of the Stage 2 DBPR.
1 All systems must monitor during month o1 highest DBP concentrations.
2 Systems on quarterly monitoring must take dual sample sets every 90 days at each monitoring location, except for subpart H systems serving 500-3,300. Systems on
annual monitoring and subpart H systems serving 500-3,300 are required to take individual TTHM and HAAS samples (instead of a dual sample set) at the locations with
the highest TTHM and HAAS concentrations, respectively. If monitoring annually, only one location with a dual sample set per monitoring period is needed if highest
TTHM and HAAS concentrations occur at the same location, and month.
-4ES&...
For Drinking Water Systems (Schedule 3)
January 4, 2006
October 1,2007
October 1,2008
April 1, 2009
September 30, 2009
January 1, 2010
October 1,2013
July 201 4
Systems serving fewer than 500 people that have TTHM and HAAS compliance data qualify for a VSS Waiver from conducting an
IDSE, unless informed otherwise by U.S. EPA or state primacy agency.
Systems that do not receive a VSS Waiver must submit to the U.S EPA or state primacy agency either a:
> Standard monitoring plan,
> System specific study plan, or
> 40/30 certification.
Systems conducting standard monitoring or SSS begin collecting samples in accordance with their approved plan.
Consecutive systems must begin monitoring for chlorine or chloramines as specified under the Stage 1 DBPR.
No later than this date, systems conducting standard monitoring or a SSS complete their monitoring or study.
No later than this date, systems conducting standard monitoring or a SSS must submit their IDSE report.
No later than this date, systems must:
> Complete their Stage 2 DBPR Compliance Monitoring Plan (Systems serving more than 3,300 people must submit their _
Monitoring Plan to the state.)*
> Begin complying with monitoring requirements of the Stage 2 DBPR.1
Systems must begin complying with rule requirements to determine compliance with the operational evaluation levels for TTHMs
and HAASs.
For States
July - December
2006
September 30, 2008
October 4, 2007
January 4, 2008
September 30, 2010
January 4, 2010
States are encouraged to inform systems serving fewer than 500 people and do not qualify for a VSS Waiver from the IDSE
requirements should begin complying with standard monitoring requirements.
States must approve the system's standard monitoring plan, 40/30 certification, or system specific study plan or notify the
system that the state has not completed its review.
States are encouraged to submit final primacy applications or extension requests to EPA. —
Final primacy applications must be submitted to EPA, unless granted an extension.
States must approve the system's IDSE report or notify the system that the state has not completed its review of the IDSE report.
Final primacy revision applications from states with approved 2-year extensions agreements must be submitted to EPA.
* A compliance monitoring plan is not required if the IDSE report includes all information required in a Stage 2 DBPR compliance monitoring plan.
f States may allow up to an additional 24 months for compliance with MCLs for systems requiring capital improvements.
Office of Water (4606)
EPA816-F-06-003
www.epa.gov/safewater
June 2006
-------
v-xEPA
United States
Environmental Protection
Agency
Call the Safe Drinking Water
Hotline at 1-800-426-4791;
visit the EPA web site at
www.epa .gov/safewater/
disinfection/stage2; or
contact your state drinking
water representative.
Stage 2 Disinfectants and Disinfection
Byproducts Rule: A Quick Reference
Guide For Schedule 4 Systems
Title
Purpose
General
Description
Utilities
Covered *
Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR) 71 FR 388, January 4, 2006
Vol. 71, No. 2
To increase public health protection by reducing the potential risk of adverse health effects
associated with disinfection byproducts (DBPs) throughout the distribution system. Builds on the
Stage 1 Disinfectants and Disinfection Byproducts Rule (Stage 1 DBPR) by focusing on monitoring
for and reducing concentrations of two classes of DBPs - TTHM and HAAS - in drinking water.
Stage 2 DBPR requires some systems to complete an Initial Distribution System Evaluation (IDSE) to
characterize DBP levels in their distribution systems and identify locations to monitor DBPs for Stage
2 DBPR compliance. The Stage 2 DBPR bases TTHM and HAAS compliance on a locational running
annual average (LRAA) calculated at each monitoring location.
All community water systems (CWSs) and nontransient noncommunity water systems !
(NTNCWSs) that either add a primary or residual disinfectant other than ultraviolet light, or deliva :
water that has been treated with a primary or residual disinfectant other than ultraviolet light. |
Schedule 4 includes CWSs and NTNCWSs serving fewer than 10,000 people and not belonging t, j
a combined distribution system in which any system serves less than 10,000 people. i
* NTNCWSs serving < 10,000 people do not need to complete any of the IDSE options, but must conduct Stage 2 DBPR
compliance monitoring.
' ,,,•','.. •-.I;*.'*''""'
,; • • " •" , ,:,-/"''•' "f~"!8?
-------
••' •'" •••'.:. -M '•:-..- It- •' ' •• ,&£#' : -..•••. -i^if-. Jt; i ":
Source
Water Type
Subpart H
Ground Water
Population Size
Category
<500
500-3,300
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1,000,000-4,999,999
i5,000,000
<500
500-9,999
10,000-99,999
100,000-499,999
^500,000
Monitoring
Frequency '
per year
per quarter
per quarter
per year
per quarter
Total Distribution System Monitoring
Locations Per Monitoring Period2
2
2
2
4
8
12
16
20
2
2
4
6
8
Operational Evaluation
Systems must begin complying with the operational evaluation provision of the Stage 2 DBPR.
1 All systems must monitor during month of highest DBP concentrations.
2 Systems on quarterly monitoring must take dual sample sets every 90 days at each monitoring location, except for subpart H systems serving 500-3,300. Systems on
annual monitoring and subpart H systems serving 500-3,300 are required to take individual TTHM and HAAS samples (instead of a dual sample set) at the locations with
the highest TTHM and HAAS concentrations, respectively. If monitoring annually, only one location with a dual sample set per monitoring period is needed if highest
TTHM and HAAS concentrations occur at the same location, and month.
^ .... : "':' '} %% •';'.,. ...,?i£ : . f •• •'-.••• •;£• '• • •-*',
For Drinking Water Systems (Schedule 4)
January 4, 2006
April 1,2008
April 1, 2009
April 1, 2009
March 31, 2010
July 1,2010
October 1,2013
July 2014"
Systems serving fewer than 500 people that have TTHM and HAAS compliance data qualify for a VSS Waiver from conducting an IDSE, unless
informed otherwise by U.S. EPA or state primacy agency.
Systems that do not receive a VSS Waiver must submit to the U.S EPA or state primacy agency either a:
* Standard monitoring plan,
> System specific study plan, or
k 40/30 certification.
Systems conducting standard monitoring or SSS begin collecting samples in accordance with their approved plan.
Consecutive systems must begin monitoring for chlorine or chloramines as specified under the Stage 1 DBPR.
No later than this date, systems conducting standard monitoring or a SSS complete their monitoring or study.
No later than this date, systems conducting standard monitoring or a SSS must submit their IDSE report.
No later than this date, systems must:
* Complete their Stage 2 DBPR Compliance Monitoring Plan (Systems serving more than 3,300 people must submit their Monitoring Plan to
the state.)*
> Begin complying with monitoring requirements of the Stage 2 DBPR.'
Systems must begin complying with rule requirements to determine compliance with the operational evaluation levels for TTHMs and HAASs.
For States
July - December
2006
March 31, 2009
October 4, 2007
January 4, 2008
September 30, 2010
January 4, 2010
States are encouraged to inform systems serving fewer than 500 people and do not qualify for a VSS Waiver from the IDSE requirements
should begin complying with standard monitoring requirements.
States must approve the system's standard monitoring plan, 40/30 certification, or system specific study plan or notify the system that the
state has not completed its review.
States are encouraged to submit final primacy applications or extension requests to EPA.
Final primacy applications must be submitted to EPA, unless granted an extension.
States must approve the system's IDSE report or notify the system that the state has not completed its review of the IDSE report.
Final primacy revision applications from states with approved 2-year extensions agreements must be submitted to EPA.
* A compliance monitoring plan is not required if the IDSE report includes all information required in a Stage 2 DBPR compliance monitoring plan.
t States may allow up to an additional 24 months for compliance with MCLs for systems requiring capital improvements. System not conducting Cryptosporidium monitoring under
141.701(a)(4) must begin Stage 2 DBPR Monitoring by this date. Systems conducting Cryptosporidium monitoring under 141.701(a)(4) or 141.701(a)(6) must begin Stage 2 DBPR
Monitoring by October 1, 2014.
tt System not conducting Cryptosporidium monitoring under 141.701(a)(4) must comply by this date. Systems conducting Cryptosporidium monitoring under 141.701(a)(4) or
141.701(a)(6) must begin complying by July 2015.
Office of Water (4606)
EPA816-F-06-004
www.epa.gov/safewater
June 200C
-------
Appendix D
Flowcharts
-------
This page intentionally left blank
-------
Chart
Stage 2 DBPR Flowcharts
Stage 2 DBPR IDSE Requirements
Charts for Surface Water Systems
Chart 2 Stage 2 DBPR Compliance for Surface Water Systems serving 10,000 or more people
Chart 3 Stage 2 DBPR Compliance, for Surface Water Systems serving 500 to 9,999 people
Chart 4 Stage 2 DBPR Compliance for Surface Water Systems serving fewer than 500 people
Charts for Ground Water Systems
Chart 5 Stage 2 DBPR Compliance for Ground Water Systems serving 10,000 or more people
Chart 6 Stage 2 DBPR Compliance for Ground Water Systems serving 500 to 9,999 people
Chart 7 Stage 2 DBPR Compliance for Ground Water Systems serving fewer than 500 people
Stage 2 DBPR Implementation Guidance
D-J
August 2007
-------
This page intentionally left blank
Stage 2 DBPR Implementation Guidance D-2 August 2007
-------
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Stage 2 DBPR Implementation Guidance D -10 August 2007
-------
Appendix E
IDSE Forms
-------
This page intentionally left blank
-------
IDSE Forms
Systems can use the following forms to help them prepare plans and reports for their IDSE. These forms arc from
EPA's Initial Distribution System Evaluation (IDSE) Guidance Manual (EPA 815-B-06-002).
Monitoring Plan Forms
Form 2: Existing Monitoring Results SSS Plan
Form 4: Modeling Study Plan
Form 6: Standard Monitoring Plan
IDSE Report Forms
Form 3: Existing Monitoring Results SSS IDSE Report
Form 5: IDSE Report for a Modeling SSS
Form 7: IDSE Report for Standard Monitoring
Forms 2 and 4 will assist systems preparing a System Specific Study (SSS) Plan, and Form 6 will help systems
preparing a Standard Monitoring Plan. Systems conducting standard monitoring or a SSS must also submit an
IDSE Report. For assistance with their IDSE Reports, systems completing a SSS should use Form 3 or 5 and
systems conducting standard monitoring should use Form 7.
Stage 2 DBPR Implementation Guidance E-1 August 2007
-------
This page intentionally left blank
Stage 2 DBPR Implementation Guidance E-2 August 2007
-------
Form 2: Existing Monitoring Results SSS Plan
Page 1 of 8
I. GENERAL INFORMATION
A. PWS Information*
PWSID:
PWS Name:
PWS Address:
City:
Population Served:
B. Date Submitted*
State:
Zip:
System Type:
D CWS
D NTNCWS
Source Water Type:
D Subpart H
D Ground
Buying / Selling Relationships:
D Consecutive System
D Wholesale System
D Neither
C. PWS Operations
Residual Disinfectant Type: n Ch|orine Q chloramines D Other
Number of Disinfected Sources: Surface GWUDI Ground Purchased
D. Contact Person*
Name:
Title:
Phone #:
E-mail:
Fax#:
II. SSS REQUIREMENTS*
A. Minimum Number of Monitoring Locations
B. Minimum Number of Required Samples
TTHM HAAS
C. IDSE Schedule
D Schedule 1 n Schedule 2 D Schedule 3 D Schedule 4
Stage 2 DBPR Implementation Guidance
E-3
August 2007
-------
Form 2: Existing Monitoring Results SSS Plan Page2ofs
III. PEAK HISTORICAL MONTH
A. Peak Historical Month*
B. If Multiple Sources, Source Used to Determine Peak Historical Month
(write "N/A" if only one source in your system)
C. Peak Historical Month Based On (check as many as needed)
D High TTHM D High HAAS D Warmest Water temperature
If you used other information to select your peak historical month, explain here (attach
additional sheets if needed)
IV. PREVIOUSLY COLLECTED MONITORING RESULTS*
A. Where were your TTHM and HAAS samples analyzed?
D In-House
Is your in-house laboratory certified? ^ yes
D No
D Certified Laboratory
Name of certified laboratory:
B. What method(s) was used to analyze your TTHM and HAAS samples?
TTHM HAAS
D EPA 502.2 D EPA 552.1
D EPA 524.3 D EPA 552.2
D EPA 551.1 D EPA 552.3
D SM 6251 B
Stage 2 DBPR Implementation Guidance E-4 August 2007
-------
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Form 2: Existing Monitoring Results SSS Plan
Page 7 of 8
V. CERTIFICATION OF DATA*
hereby certify that:
The reported monitoring results include all compliance and non-compliance results
generated during the time period beginning with the first reported result and ending
with the most recent Stage 1 DBPR results.
The samples are representative of the entire distribution system.
Treatment and the distribution system have not changed significantly since the
samples were collected.
Signature:
Date:
VI. PROPOSED SSS MONITORING SCHEDULE*
Skip if you are submitting your IDSE Report at the same time as your plan
SSS Site ID
(from map)1
Projected Sampling Date (date or week):
period 1
period 2
period 3
period 4
period 5
period 6
1 Verify that site IDs match IDs on your distribution system schematic (See Section VII of this form). Attach
additional copies of this sheet if necessary.
2 period - monitoring period. Can list exact date or week (e.g., week of 7/9/07)
Stage 2 DBPR Implementation Guidance
E-9
August 2007
-------
Form 2: Existing Monitoring Results SSS Plan
VII. DISTRIBUTION SYSTEM SCHEMATIC*
ATTACH a schematic of your distribution system.
Distribution system schematics are not confidential and should not contain information that
poses a security risk to your system. EPA recommends that you use one of two options:
Option 1: Distribution system schematic with no landmarks or
addresses indicated. Show locations of sources, entry points, storage
facilities, operational monitoring locations, and Stage 1 compliance
monitoring locations (required). Also include pressure zone boundaries and
locations of pump stations. Provide map scale.
Option 2: City map without locations of pipes indicated. Show
locations of sources, entry points, storage facilities, operational monitoring
locations, and Stage 1 compliance monitoring locations (required). Also
include boundaries of the distribution system, pressure zone boundaries
and locations of pump stations. Provide map scale.
VIII. ATTACHMENTS
D Additional sheets for explaining how you selected the peak historical month
(Section III).
D Additional sheets for previously collected monitoring results (Section IV).
D Additional sheets for proposed monitoring dates (Section VI).
D Distribution system schematic* (Section VII).
Total Number of Pages in Your Plan:
Note: Fields with an asterisk (*) are required by the Stage 2 DBPR.
Stage 2 DBPR Implementation Guidance E-10 August 2007
-------
Form 3: IDSE Report for an Existing Monitoring Results
SSS
Page 1 of 7
I. GENERAL INFORMATION
(Skip this section if you are submitting the plan and report at the same time)
A. PWS Information*
PWSID:
PWS Name:
PWS Address:
City:
Population Served:
B. Date Submitted*
State:
Zip:
System Type:
news
D NTNCWS
Source Water Type:
D Subpart H
D Ground
Buying / Selling Relationships:
D Consecutive System
D Wholesale System
D Neither
C. PWS Operations
Residual Disinfectant Type:
D Chlorine D Chloramines D Other
Number of Disinfected Sources: Surface GWUDI Ground Purchased
D. Contact Person*
Name:
Title:
Phone #:
E-mail:
Fax#:
II. STAGE 2 DBPR REQUIREMENTS*
A. Number of Required Stage 2 DBPR Compliance Monitoring Sites TOTAL
Highest TTHM Stage 1 DBPR Highest HAAS
Stage 2 DBPR Implementation Guidance
E-ll
August 2007
-------
Form 3: IDSE Report for an Existing Monitoring Results
SSS Page 2 of 7
II. STAGE 2 DBPR REQUIREMENTS (continued)*
B. IDSE Schedule C. Required Stage 2 DBPR Compliance Monitoring
Frequency
D Schedule 1 D During peak historical month (1 monitoring period)
D Schedule 2 D Every 90 days (4 monitoring periods)
D Schedule 3
D Schedule 4
III. ADDITIONAL SSS AND STAGE 1 COMPLIANCE MONITORING RESULTS*
(Skip this section if you are submitting the plan and report at the same time)
A. Where were your TTHM and HAAS samples analyzed?
D In-House
Is your in-house laboratory certified? a yes rj |sjo
D Certified Laboratory
Name of certified laboratory:
B. What method(s) was used to analyze your TTHM and HAAS samples?
TTHM HAAS
D EPA 502.2 D EPA 552.1
D EPA 524.3 D EPA 552.2
D EPA 551.1 D EPA 552.3
D SM 6251 B
Stage 2 DBPR Implementation Guidance E-l 2 August 2007
-------
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-------
Form 3: IDSE Report for an Existing Monitoring Results
SSS Page 5 of 7
IV. JUSTIFICATION OF STAGE 2 DBPR COMPLIANCE MONITORING SITES*
Stage 2
Compliance
Monitoring
Site ID
Site Type
D Highest TTHM
D Highest HAAS .
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
Justification
Attach additional copies of this sheet if you need more room.
Stage 2 DBPR Implementation Guidance
E-15
August 2007
-------
Form 3: IDSE Report for an Existing Monitoring
ReSUltS SSS Page 6 of 7
V. PEAK HISTORICAL MONTH
A.
B.
Peak Historical Month*
Is Your Peak Historical Month the Same as in Your SSS Plan?
D Yes D No
If no, explain how you selected your new peak historical month (attach
additional sheets if needed):
VI. PROPOSED STAGE 2 DBPR COMPLIANCE MONITORING SCHEDULE*
Stage 2
Compliance
Monitoring
Site ID
Projected Sampling Date (date or week)1
period 1
period 2
period 3
period 4
1 period = monitoring period. Complete for the number of monitoring periods from
Section II.C.
Attach additional copies of this sheet if you need more room.
Stage 2 DBPR Implementation Guidance
E-16
August 2007
-------
Form 3: IDSE Report for an Existing Monitoring Results
SSS Page 7 of 7
VII. DISTRIBUTION SYSTEM SCHEMATIC*
(Skip this section if you are submitting the plan and report at the same time)
ATTACH a schematic of your distribution system if it has changed since you submitted your
Existing Monitoring Results SSS Plan (Form 2).
VIII. ATTACHMENTS
D Additional sheets for Additional SSS Monitoring Results (Section III).
D Additional sheets for Stage 2 DBPR Monitoring Sites (Section IV). REQUIRED if you
are a subpart H system serving more than 249,999 people.
D Additional sheets for explaining how you selected the peak historical month (Section
V).
D Additional sheets for proposed compliance monitoring dates (Section VI). REQUIRED if
you are a subpart H system serving more than 249,999 people.
D Explanation of deviations from approved study plan.
D Distribution system schematic* (Section VII). REQUIRED if it has changed from your
approved SSS plan.
n Compliance calculation procedures (for Stage 2 Compliance Monitoring Plan).
Total Number of Pages in Your Report:
Note: Fields with an asterisk(*) are required by the Stage 2 DBPR.
Stage 2 DBPR Implementation Guidance E-11 August 2007
-------
This page intentionally left blank
Stage 2 DBPR Implementation Guidance E-l 8 August 2007
-------
Form 4: Modeling Study Plan page 1 of e
1. GENERAL INFORMATION
A. PWS Information*
PWSID:
B. Date Submitted*
PWS Name:
PWS Address:
City:
State Zip:
Population Served:
System Type: Sourc
D CWS D Si
D NTNCWS D G
e Water Type: Buying / Selling Relationships:
jbpart H D Consecutive System
•ound D Wholesale System
D Neither
C. PWS Operations
Residual Disinfectant Type: n ch|orjne Q Cnloramines n other:
Number of Disinfected Sources: Surface
GWUDI Ground Purchased
Name:
Title:
Phone #:
Fax#:
E-mail:
II. IDSE REQUIREMENTS*
A. SSS Monitoring B. Schedule
Number of Samples
per Monitoring Period D Schedule 1
D Schedule 2
Number of Monitoring
Periods d Schedule 3
D Schedule 4
Total
C. SSS Monitoring Frequency
D During peak month of TTHM formation (1
monitoring period)
D Additional (describe)
Stage 2 DBPR Implementation Guidance
E-19
August 2007
-------
Form 4: Modeling Study Plan page2of6
III. MODEL DESCRIPTION
A. Answer Yes or No to the following questions*
(provide documentation in attached sheets)
1. Is your model an Extended Period Simulation model? Y / N
2. Does your model meet the minimum requirements described below? Attach
tables or spreadsheets to demonstrate that your model meets these
requirements.
Include 75% of pipe volume Y / N
Include 50% of pipe length Y / N
Include all pressure zones Y / N
Include all pipes 12" and larger Y / N
Include all 8" and larger pipes that connect pressure zones, influence Y / N
zones from different sources, storage facilities, major demand areas,
pumps, and control valves, or are known or expected to be significant.
conveyors of water
Include all 6" and larger pipes that connect remote areas of a distribution Y / N
system to the main portion of the system
Include all storage facilities with standard operations represented in the Y / N
model
Include all active pump stations with realistic controls Y / N
Include all active control valves Y / N
3. Is your model (or will it be) calibrated to simulate actual water levels at all Y / N
storage facilities and represent the current distribution system configuration
during the period of high TTHM formation?
4. If calibration is complete, does the model simulate 24 hour variation in Y / N
demand and show a consistently repeating 24 hour pattern of residence
time?
B. Provide a history of your model development and calibration*, including dates
(attach additional sheets if needed)
Stage 2 DBPR Implementation Guidance E-20 August 2007
-------
Form 4: Modeling Study Plan Pages of e
III. MODEL DESCRIPTION (Continued)
C.
1.
2.
3.
4.
D.
1.
2.
3.
4.
How was demand data assigned to the model? (attach additional sheets if
needed)
What method was used to assign
demands throughout the system?
How did you estimate diurnal demand
variation? How did you determine
total system demand?
How many demand categories did
you use?
How did you address large water
users?
Describe all calibration activities* If your model is not currently calibrated,
describe how calibration will be completed within 12 months of the required
plan submission date using the questions 1-8 as guidance (attach additional
sheets if needed).
When was the model last calibrated?
What types of data were used in the
calibration?
When was the calibration data
collected?
What field tests have been performed
to collect calibration data?
Stage 2 DBPR Implementation Guidance
E-21
August 2007
-------
Form 4: Modeling Study Plan page4of6
III. MODEL DESCRIPTION (Continued)
D.
5.
6.
7.
8.
(Continued)
How did you determine friction
factors (C-factors)?
Was the calibration completed for
the peak month for TTHM formation?
If not, was the model performance
verified for the peak month for TTHM
formation?
How well do actual tank levels
correlate with predicted tank levels
during the peak month for TTHM
formation?
See Attachments (Section VIM) for
additional submission
requirements.
If you are using a water quality
model, what parameters are
modeled? How was the model
calibrated?
IV. PEAK MONTH FOR TTHM FORMATION
A.
B.
Peak Month For TTHM Formation*
Justification of Peak Month for TTHM Formation
Describe how your system determined which month is the peak month for TTHM
formation (attach additional sheets if needed):
Stage 2 DBPR Implementation Guidance
E-22
August 2 007
-------
Form 4: Modeling Study Plan
Page 5 of 6
V. MODELING INFORMATION
How was the SSS modeling performed? (attach additional sheets as needed)
1.
2.
3.
4.
Was modeling done for the operating
conditions during the peak month for
TTHM formation?
How were operational controls
represented in the model?
How was water age simulated during the
peak month for TTHM formation (time
steps, length of simulation, etc.)? If not
yet done, indicate how this will be
addressed in the IDSE report.
What are the average water age results
for your distribution system?
See Attachments (Section VIII) for
additional submission requirements.
VI. PLANNED STAGE 1 DBPR COMPLIANCE MONITORING SCHEDULE*
Stage 1 DBPR
Monitoring Site ID
(from map) 1
Projected Sampling Date (date or week)2
Period 1
Period 2
Period 3
Period 4
1 Verify that site IDs match IDs on your distribution system schematic (See Section VII of this form).
Attach additional copies if you are required to monitor at more than 8 Stage 1 DBPR sites.
2 period = monitoring period. Complete for the number of periods in which you must conduct Stage 1
DBPR monitoring during IDSE monitoring. Can list exact date or week (e.g., week of 7/9/07).
Stage 2 DBPR Implementation Guidance
E-23
August 2007
-------
Form 4: Modeling Study Plan pagee ofe
VII. DISTRIBUTION SYSTEM SCHEMATIC*
ATTACH a schematic of your distribution system.
Distribution system schematics are not confidential and should not contain information that poses a
security risk to your system. EPA recommends that you submit the following:
Distribution system schematic with no landmarks or addresses indicated. Show
locations of sources, entry points, storage facilities, locations of completed monitoring,
and Stage 1 compliance monitoring locations (required). Also include pressure zone
boundaries and locations of pump stations. Provide map scale.
VIII. ATTACHMENTS
D Distribution System Schematic* (Section VII).
D Tabular or spreadsheet documentation that your model meets minimum
requirements* (Section 111.A).
D Additional sheets for explaining your model (Section III.B).
D Graph of predicted tank levels vs. measured tank levels for the storage facility
with the highest residence time in each pressure zone* (Section III.D).
Required if calibration is complete.
D Time series graph of water age at the longest residence time storage facility in
the distribution system showing the predictions for the entire EPS simulation
period* (Section V). Required if calibration is complete.
D Additional sheets for explaining how you selected the peak historic month for
TTHM formation (Section IV).
D Model output showing preliminary 24 hour average water age predictions for all
nodes throughout the distribution system* (Required for all submissions. If your
model is calibrated, this should be your final water age predictions.) (Section V).
D Additional sheets describing the planned Stage 1 DBPR Compliance Monitoring
Schedule (Section VI).
Total Number of Pages in Your Plan
Note: All items marked with an asterisk (*) are required by the rule.
Stage 2 DBPR Implementation Guidance E-24 August 2007
-------
Form 5: IDSE Report for a Modeling SSS page 1 of n
I. GENERAL INFORMATION
(Skip this section if you are submitting the plan and report at the same time)
A. PWS Information*
PWSID:
B. Date Submitted*
PWS Name:
PWS Address:
City:
State: Zip:
Population Served:
System Type: Source We
D CWS D Subpa
D NTNCWS D Groun<
C. PWS Operations
Residual Disinfectant Type:
Number of Disinfected Sources:
Jter Type: Buying / Selling Relationships:
rt H D Consecutive System
d D Wholesale System
D Neither
D Chlorine D Chloramines D Other:
Surface GWUDI Ground Purchased
D. Contact Person*
Name:
Title:
Phone Number:
E-mail:
Fax:
II. SSS AND STAGE 2 DBPR REQUIREMENTS*
A. Number of Required Stage 2 DBPF
Highest TTHM:
Hiahest HAAS:
B. IDSE Schedule
D Schedule 1
D Schedule 2
D Schedule 3
D Schedule 4
R Compliance Monitoring Sites TOTAL
Stage 1 DBPR:
C. Stage 2 DBPR Compliance Monitoring Frequency
D Once during peak historical month
D Every 90 days (4 monitoring periods)
D. Number of Required SSS Samples
TOTAL
Stage 2 DBPR Implementation Guidance
E-25
August 2007
-------
Form 5: IDSE Report for a Modeling SSS page 20111
III. MODELING INFORMATION
(Skip this section if you submitted a modeling study plan with an approved model calibration and
your information has not changed, or if you are submitting your plan and report at the same time)
A.
1.
2.
3.
4.
B.
1.
2.
3.
4.
How was demand data assigned to the model? (attach additional sheets if
needed)
What method was used to assign
demands throughout the system?
How did you estimate diurnal
demand variation? How did you
determine total system demand?
How many demand categories did
you use?
How did you address large water
users?
Describe all calibration activities undertaken* (attach additional sheets if
needed)
When was the model last
calibrated?
What types of data were used in
the calibration?
When was the calibration data
collected?
What field tests have been
performed to collect calibration
data?
^
Stage 2 DBPR Implementation Guidance
E-26
August 2007
-------
Form 5: IDSE Report for a Modeling SSS page3of n
III. MODELING INFORMATION (Continued)
5.
6.
7.
8.
How did you determine friction
factors (C-factors)?
Was the calibration completed for
the peak month for TTHM
formation? If not, was the model
performance verified for the peak
month for TTHM formation?
How well do actual tank levels
correlate with predicted tank levels
during the peak month for TTHM
formation?
Submit a graph of predicted tank
levels vs. measured tank levels
for the storage facility with the
highest water age in each
pressure zone.*
If you are using a water quality
model, what parameters are
modeled? How was the model
calibrated?
Stage 2 DBPR Implementation Guidance
E-27
August 2007
-------
Form 5: IDSE Report for a Modeling SSS page 4 of n
III. MODELING INFORMATION (Continued)
C.
1.
2.
3.
4.
How was the SSS modeling performed?* (attach additional sheets as needed)
Was modeling done for the operating
conditions during the peak month for
TTHM formation*?
How were operational controls
represented in the model?
How was water age simulated during
the peak month for TTHM formation
(time steps, length of simulation,
etc.)?
What are the average water age
results for your distribution system?
Submit final model output showing
24-hour average residence time
throughout the distribution
system*.
Submit graph of water age at the
longest residence time storage
facility in the distribution system
showing the predictions for the
entire EPS simulation period*.
Stage 2 DBPR Implementation Guidance
E-28
August 2007
-------
Form 5: IDSE Report for a Modeling SSS page s of n
IV. SSS MONITORING LOCATION SELECTION
Hov\
1.
2.
3.
4.
5.
i were the SSS monitoring locations selected? (attach additional sheets as needed)
What model results were used as
the basis for selection?
What criteria were used in
selecting average residence time,
high TTHM, and high HAAS sites?
What additional data was used in
the analysis, and how was it
used?
How did you look at practical
considerations like accessibility of
sampling locations?
How did you verify that your
selected sampling locations
corresponded to the selected
node in your model?
Stage 2 DBPR Implementation Guidance
E-29
August 2007
-------
Form 5: IDSE Report for a Modeling SSS page e of n
V. SSS AND STAGE 1 DBPR COMPLIANCE MONITORING RESULTS*
A. T
THM Results
Site ID &
Category
Data Type
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
TTHM (mg/L)
LRAA
Attach additional sheets as needed for SSS and Stage 1 DBPR results.
Stage 2 DBPR Implementation Guidance
E-30
August 2 007
-------
Form 5: IDSE Report for a Modeling SSS page7of n
V. SSS AND STAGE 1 DBPR COMPLIANCE MONITORING RESULTS* (Continued)
B. h
IAA5 Results
Site ID &
Category
Data Type
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
Sample Date
Sample Result
HAAS (mg/L)
LRAA
Attach additional sheets as needed for SSS and Stage 1 DBPR results.
Stage 2 DBPR Implementation Guidanct
E-31
August 2007
-------
Form 5: IDSE Report for a Modeling SSS
Page 8 of 11
V. SSS AND STAGE 1 DBPR COMPLIANCE MONITORING RESULTS* (Continued)
C. Where were your TTHM and HAAS samples analyzed?
D In-House
Is your in-house laboratory certified? ^ yes
D Certified Laboratory
Name of certified laboratory:
D No
D.
What method(s) was used to analyze your TTHM and HAAS samples?
TTHM HAAS
D EPA 502.2
D EPA 524.3
D EPA 551.1
D EPA 552.1
D EPA 552.3
D EPA 552.2
D SM 6251 B
VI. SELECTION OF STAGE 2 DBPR COMPLIANCE MONITORING LOCATIONS
Describe the comparison of sampling and modeling results (attach additional sheets as needed):
1.
2.
3.
4.
How well did the sampling results
correspond to the modeling
results?
For samples that did not match
well with model results, what
follow-up investigations were
performed?
Were additional samples
collected? (Include data on table
in Section IV)
Submit a graph of water age
versus time for each selected
sampling location*.
Stage 2 DBPR Implementation Guidance
E-32
August 2007
-------
Form 5; IDSE Report for a Modeling SSS Page 9 of n
VII. JUSTIFICATION OF STAGE 2 DBPR COMPLIANCE MONITORING SITES*
Stage 2
Compliance
Monitoring
Site ID
Site Type
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
Justification
Attach additional copies of this sheet if you need more room.
Stage 2 DBPR Implementation Guidance
E-33
August 2007
-------
Form 5: IDSE Report for a Modeling SSS page 10*11
VIM. PEAK HISTORICAL MONTH
A.
B.
Peak Historical Month*
Is Your Peak Historical Month the Same as your Peak Month in Your
Modeling Study Plan?
D Yes D No
If no, explain how you selected your new peak historical month
(attach additional sheets if needed):
IX. PROPOSED STAGE 2 COMPLIANCE MONITORING SCHEDULE*
Stage 2
Compliance
Monitoring
Site ID
Projected Sampling Date (date or week)1
period 1
period 2
period 3 period 4
1 period = monitoring period. Complete for the number of monitoring periods
from Section II. C.
Attach additional copies of this sheet if you need more room.
Stage 2 DBPR Implementation Guidance
E-34
August 2007
-------
Form 5: IDSE Report for a Modeling SSS pagen of n
X. DISTRIBUTION SYSTEM SCHEMATIC*
(Skip this section if you submitted a modeling study plan and your distribution system
schematic was complete and has not changed from your approved modeling study plan, or if
you are submitting the plan and report at the same time)
ATTACH a schematic of your distribution system. If your schematic has changed or if
you did not show your SSS monitoring locations on the distribution system schematic
you submitted with your model study plan (Form 4), you must submit a revised
distribution system schematic.
XI. ATTACHMENTS
D Tabular or spreadsheet documentation that your model meets minimum calibration
requirements if updated since approved modeling study plan* (Section III).
D Additional sheets for explaining model information/results, including required graphs if
not submitted as part of an approved modeling study plan* (Section III).
D Additional sheets for sampling results, if needed '(Section V).
D Additional sheets for selection of Stage 2 DBPR compliance monitoring sites
(Section VI).
D Graph of water age versus time for all Stage 2 DBPR sites selected* (Section VI).
D Additional sheets for justification of Stage 2 DBPR Compliance Monitoring Sites, if
needed (Section VII). REQUIRED if you are a subpart H system serving more
than 249,999 people.
D Additional sheets for explaining how you selected the peak historical month (Section
VIII).
D Additional sheets for proposed compliance monitoring schedule (Section IX).
REQUIRED if you are a subpart H system serving more than 249,999 people.
d Explanation of deviations from approved study plan.
D Distribution system schematic* (Section X). REQUIRED if it has changed from
your approved model study plan or if monitoring locations were not shown.
D Compliance calculation procedures (for Stage 2 Compliance Monitoring Plan).
Total Number of Pages in Your Report:
Note: All items marked with an asterisk (*) are required by the rule.
Stage 2 DBPR Implementation Guidance E-35 August 2007
-------
This page intentionally left blank
Stage 2 DBPR Implementation Guidance E-36 August 2007
-------
Form 6: Standard Monitoring Plan page 1 ore
1. GENERAL INFORMATION
A. PWS Information*
PWSID:
B. Date Submitted*
PWS Name:
PWS Address:
City: State: Zip:
Population Served:
System Type:
D CWS
D NTNCWS
Source Water Type: Buying / Selling Relationships:
D Subpart H D Consecutive System
D Ground D Wholesale System
D Neither
C. PWS Operations
Residual Disinfectant Type: n Chlorine D Chloramines D Other:
Number of Disinfected Sources: Surface GWUDI Ground Purchased
D. Contact Person*
Name:
Title:
Phone #: Fax.#:
E-mail:
II. IDSE REQUIREMENTS*
A. Number of Sites
Total:
Near Entry Point:
Avg Residence Time:
High TTHM:
High HAAS:
B. Schedule C. Standard Monitoring Frequency
D Schedule 1 ^ During peak historical month (1 monitoring period)
D Schedule 2 D Every 90 days (4 monitoring periods)
D Schedule 3 D Every 60 days (6 monitoring periods)
D Schedule 4
Stage 2 DBPR Implementation Guidance
E-37
August 2007
-------
Form 6: Standard Monitoring Plan page2of6
III. SELECTING STANDARD MONITORING SITES
A. Data E
type of s
B. Sumr
monitor!
Evaluated Put a "S" in each box corresponding to the data that you used to select each
tandard monitoring site. Check all that apply.
Data Type
Type of Site
Near
Entry
Pt.
Avg.
Residence
Time
High High
TTHM HAAS
System Configuration
Pipe layout, locations of storage facilities
Locations of sources and consecutive system
entry points
Pressure zones
Information on population density
Locations of large customers
Water Quality and Operational Data
Disinfectant residual data
Stage 1 DBP data
Other DBP data
Microbiological monitoring data (e.g., HPC)
Tank level data, pump run times
Customer billing records
Advanced Tools
Water distribution system model
Tracer study
nary of Data* Provide a summary of data you relied on to justify standard
ng site selection, (attach additional sheets if needed)
Stage 2 DBPR Implementation Guidance
E-38
August 2007
-------
Form 6: Standard Monitoring Plan
Page 3 of 6
IV. JUSTIFICATION OF STANDARD MONITORING SITES*
Standard
Monitoring
Site ID
(from map)1
Site Type
Justification
D Near Entry Pt
D Avg. Res. Time
D High TTHM
D High HAAS
D Near Entry Pt
D Avg. Res. Time
D High TTHM
D High HAAS
D Near Entry Pt
D Avg. Res. Time
D High TTHM
D High HAAS
D Near Entry Pt
D Avg. Res. Time
n High TTHM
D High HAAS
n Near Entry Pt
D Avg. Res. Time
D High TTHM
D High HAAS
D Near Entry Pt
D Avg. Res. Time
D High TTHM
D High HAAS
D Near Entry Pt
n Avg. Res. Time
D High TTHM
D High HAAS
D Near Entry Pt
D Avg. Res. Time
D High TTHM
n High HAAS
' Verify that site IDs match IDs in Section IV and on your distribution system schematic (See Section VII of this form). Attach
additional copies if you are required to select more than 8 standard monitoring locations or need more room.
Stage 2 DBPR Implementation Guidance
E-39
August 2007
-------
Form 6: Standard Monitoring Plan
Page 4 of 6
V. PEAK HISTORICAL MONTH AND PROPOSED STANDARD MONITORING SCHEDULE
A.
B.
Peak Historical Month*
If Multiple Sources, Source Used to Determine Peak Historical Month
(write "N/A" if only one source in your system)
C. Peak Historical Month Based On* (check all that apply)
D High TTHM
D High HAAS
D Warmest water temperature
If you used other information to select your peak historical month, explain here (attach
additional sheets if needed)
D. Proposed Standard Monitoring Schedule*
Standard Monitoring Site ID
(from map) 1
Projected Sampling Date (date or week) 2
period 1
period 2
period 3
period 4
period 5
period 6
1 Verify that site IDs match IDs in Section IV and on your distribution system schematic (See Section
VII of this form). Attach additional copies if you are required to select more than 8 standard monitoring
locations.
2 period = monitoring period. Complete for the number of periods from Section II. C. Can list exact date
or week (e.g., week of 7/9/07)
Stage 2 DBPR Implementation Guidance
E-40
August 2007
-------
Form 6: Standard Monitoring Plan
Page 5 of 6
VI. PLANNED STAGE 1 DBPR COMPLIANCE MONITORING SCHEDULE*
Stage 1 DBPR
Monitoring Site
ID (from map) 1
Projected Sampling Date (date or week) 2
Period 1
Period 2
Period 3
Period 4
* Verify that site IDs match IDs on your distribution system schematic (See Section VII of this
form). Attach additional copies if you are required to monitor at more than 8 Stage 1 DBPR
sites.
2 period = monitoring period. Complete for the number of periods in which you must conduct
Stage 1 DBPR monitoring during IDSE monitoring. Can list exact date or week (e.g., week of
7/9/07)
VII. DISTRIBUTION SYSTEM SCHEMATIC*
ATTACH a schematic of your distribution system.
Distribution system schematics are not confidential and should not contain information
that poses a security risk to your system. EPA recommends that you use one of two
options:
Option 1: Distribution system schematic with no landmarks or addresses
indicated. Show locations of sources, entry points, storage facilities, standard
monitoring locations, and Stage 1 compliance monitoring locations (required). Also
include pressure zone boundaries and locations of pump stations. Provide map
scale.
Option 2: City map without locations of pipes indicated. Show locations of
sources, entry points, storage facilities, standard monitoring locations, and Stage 1
compliance monitoring locations (required). Also include boundaries of the
distribution system, pressure zone boundaries and locations of pump stations.
Provide map scale.
Stage 2 DBPR Implementation Guidance
E-41
August 2007
-------
Form 6: Standard Monitoring Plan
Page 6 of 6
VIII. ATTACHMENTS
D Distribution System Schematic* (Section VII).
D Additional sheets for the summary of data or site justifications (Sections III and IV).
D Additional copies of Page 3 for justification of Standard Monitoring Sites (Section
IV). Required if you are a subpart H system serving more than 49,999 people or
a ground water system serving more than 499,999 people.
D Additional sheets for explaining how you used data other than TTHM, HAAS, and
temperature data to select your peak historical month (Section V).
D Additional copies of Page 4 for proposed monitoring schedule (Section V).
Required if you are a subpart H system serving more than 49,999 people or a
ground water system serving more than 499,999 people.
D Additional sheets for planned Stage 1 DBPR compliance monitoring schedule
(Section VI).
Total Number of Pages in Your Plan
Note: Fields with an asterisk (*) are required by the Stage 2 DBPR
Stage 2 DBPR Implementation Guidance E-42 August 2007
-------
Form 7: IDSE Report for Standard Monitoring pagei of s
I. GENERAL INFORMATION
A. PWS Information* E
PWSID:
PWS Name:
PWS Address:
City: State:
J. Date Submitted*
Zip:
Population Served:
System Type: Source Water Type:
D CWS D Subpart H
D NTNCWS D Ground
Buying / Selling Relationships:
D Consecutive System
D Wholesale System
D Neither
C. PWS Operations
Residual Disinfectant Type: n Chlorine D Chloramines D Other:
Number of Disinfected Sources: Surface GWUDI Ground Purchased
D. Contact Person*
Name:
Title:
Phone #: Fax #:
E-mail:
II. STAGE 2 DBPR REQUIREMENTS*
A. Number of B. Schedule
Compliance Monitoring
Sites
Highest TTHM: D Schedule 1
Highest HAAS: Q Scnedu|e 2
Existing Stage 1: D Schedule 3
Total: D Schedule 4
C. Compliance Monitoring Frequency
D During peak historical month
(1 monitoring period)
D Every 90 days (4 monitoring periods)
Stage 2 DBPR Implementation Guidance
E-43
August 2007
-------
Form 7: IDSE Report for Standard Monitoring page2
of 9
III. MONITORING RESULTS*
A. Did you deviate in any way from your approved standard I Yes L No
monitoring plan?
If YES, explain (attach additional pages if necessary):
B. Where were your TTHM and HAAS samples analyzed?
D In-House
Is your in-house laboratory certified? p, Yes n MO
D Certified Laboratory
Name of certified laboratory:
C. What method(s) was used to analyze your TTHM and HAAS samples?
TTHM HAAS
D EPA 502.2 D EPA 552.1
D EPA 524.3 D EPA 552.2
D EPA 551.1 D EPA 552.3
D SM 6251 B
Stage 2 DBPR Implementation Guidance E-44 August 2007
-------
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Form 7: IDSE Report for Standard Monitoring page? of 9
IV. JUSTIFICATION OF STAGE 2 DBPR COMPLIANCE MONITORING SITES*
Stage 2
Compliance
Monitoring
Site ID
Site Type
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
D Highest TTHM
D Highest HAAS
D Stage 1 DBPR
Justification
Attach additional copies of this sheet if you need more room.
Stage 2 DBPR Implementation Guidance
E-49
August 2007
-------
Form 7: IDSE Report for Standard Monitoring page s of g
V. PEAK HISTORICAL MONTH AND PROPOSED STAGE 2 DBPR COMPLIANCE MONITORING
SCHEDULE
A.
B.
C.
Peak Historical Month*
Is Your Peak Historical Month the Same as in Your IDSE Standard Monitoring Plan?
D Yes D No
If no, explain how you selected your new peak historical month (attach additional
sheets if needed)
Proposed Stage 2 DBPR Compliance Monitoring Schedule*
Stage 2 Project
Compliance
Monitoring Period 1 Per
Site ID
ed Sampling Date (date or week)1
od 2 period 3 period 4
1 period - monitoring period. Complete for the number of monitoring periods from
Section II. C.
Attach additional copies of this sheet if you need more room.
Stage 2 DBPR Implementation Guidance
E-50
August 2007
-------
Form 7: (DSE Report for Standard Monitoring
Page 9 of 9
VI. DISTRIBUTION SYSTEM SCHEMATIC*
ATTACH a schematic of your distribution system if it has changed since you
Standard Monitoring Plan (Form 6).
submitted your
VII. ATTACHMENTS
D Additional sheets for explaining how and why you deviated from your standard monitoring plan
(Section III).
D Additional sheets for Standard Monitoring Results (Section III). REQUIRED if you are a subpart j
H system serving more than 49,999 people or a ground water system serving more than !
499,999 people. I
3
D Additional sheets for Stage 2 DBPR Compliance Monitoring Sites (Section IV). REQUIRED if j
you are a subpart H system serving more than 249,999 people. j
D Additional sheets for explaining how you selected the peak historical month (Section V). J
i
D Additional sheets for proposed Stage 2 DBPR peak historical month and compliance monitoring
schedule (Section V). REQUIRED if you are a subpart H system serving more than 249,999
people.
D Distribution system schematic* (Section VI). REQUIRED if it has changed from your
approved IDSE standard monitoring plan.
D Compliance calculation procedures (for Stage 2 Compliance Monitoring Plan).
Total Number of Pages in Your Report:
Note: Fields with an asterisk (*) are required by the Stage 2 DBPR
Stage 2 DBPR Implementation Guidance E-51 August 2007
-------
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Stage 2 DBPR Implementation Guidance E-52 August 2007
-------
Appendix F
Template Letters
-------
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-------
Template Letters
The following template letters have been developed as guidance. These templates are not a required
format for communicating between EPA or states and the affected systems. However, they may serve as a
formal notice of the issue and material for their own records and that EPA or the state has hard-copy
documentation of the correspondence with the system.
Written notification should include:
• Summary of the issue.
• Appropriate contact if questions arise.
• Fact sheet or other summary materials (optional). EPA has developed the following fact sheets
for the Stage 2 DBPR:
o Stage 2 DBPR IDSE Standard Monitoring Factshcet (EPA 816-F-06-021 June 2006)
o Stage 2 DBPR IDSE 40/30 Certification and Very Small System Waiver Factsheet (EPA
816-F-06-023 June 2006)
o Stage 2 DBPR IDSE System Specific Study Factsheet (EPA 816-F-06-022 June 2006)
These additional materials can be found on EPA's Stage 2 DBPR website at
www.cpa.gov/saFcwatcr/disinrection/stagc2.
Stage 2 DBPR template letters include:
• Requesting data supporting a 40/30 Certification
• Requiring a very small system to conduct an IDSE or submit supporting operational data
• Approving a systems request for 40/30 Certification
• Approving a Very Small System (VSS) Waiver
• Denying a systems request for 40/30 Certification
• Denying a Very Small System (VSS) Waiver
• Approving a system's Standard Monitoring Plan, System Specific Study Plan, or IDSE Report
• Notifying a system that their submission is incomplete
• Standard Monitoring Plan, System Specific Study Plan, or IDSE Report has been received but the
review has not been completed
Stage 2 DBPR Implementation Guidance F-1 August 2007
-------
Example Letter
Letterhead
Contact Name
System Name
Address
City, State 12345
PWSID: XX1234567
RE: Stage 2 Disinfectants and Disinfection Byproduct Rule (Stage 2 DBPR)
Requesting additional information regarding your 40/30 Certification Submission
Dear Mr./Mrs./Ms. :
On [Insert Date] this office received a 40/30 Certification submission from the system referenced above.
In order for this office to be able to conduct a complete review of this submission one of the following
documents indicated below must be submitted:
Stage 1 Disinfectants and Disinfection Byproduct Rule (Stage 1 DBPR) data for the 8
consecutive quarter's eligibility period
Distribution system schematic identifying Stage 1 DBPR and Initial Distribution System
Evaluation (IDSE) monitoring locations
Proposed Stage 2 DBPR compliance monitoring locations
Please submit the data requested above before [enter date prior to compliance deadline].
This information can be submitted by mail or electronically to:
Mail: Electronically:
LT2/Stage2 IPMC stage2mdbp@epa.gov
US EPA
PO Box 98 Fax:
Dayton, OH 45401-0098 (937) 586-6557
Failure to submit this data will result in your 40/30 Certification being denied and your system will be
required to complete Standard Monitoring or a System Specific Study to comply with IDSE requirements
under Stage 2 DBPR.
Additional reference information is attached for your use. If you have questions regarding this letter,
please contact us by sending an email to stage2mdbpto.cpa.gov. For more information regarding this rule
visit the Stage 2 DBPR website at w w w. cpa. gov/safc watcr/'d i sin fee ti on/stagc2.
Enclosures:
Stage 2 DBPR Quick Reference Guide
Stage 2 DBPR IDSE 40/30 Certification and Very Small System Waiver Factsheet
[list other enclosures]
Stage 2 DBPR Implementation Guidance F-2 August 2007
-------
Example Letter
Letterhead
Contact Name
System Name
Address
City, State 12345
PWSID: XX1234567
RE: Stage 2 Disinfectants and Disinfection Byproduct Rule (Stage 2 DBPR)
Choose one:
Status of your Very Small System Waiver OR Requesting additional information for your Very
Small System Waiver
Dear Mr./Mrs./Ms. :
The Stage 2 DBPR requires systems that deliver water that has been treated with a primary or residual
disinfectant other than ultraviolet light to conduct an Initial Distribution System Evaluation (IDSE). The
results of the IDSE will help determine where your system will need to monitor in order to comply with
the Stage 2 DBPR. Systems that serve fewer than 500 people can receive a Very Small System (VSS)
Waiver from conducting an IDSE if the system has taken TTHM and HAAS samples that meet the
requirements of the Stage 1 Disinfectants and Disinfection Byproduct Rule (Stage 1 DBPR).
Our records indicate that while your system serves less than 500 people, your system has not collected
TTHM and HAA5 samples under the Stage 1 DBPR. If your system in fact has collected TTHM and
HAA5 that meet the requirements of the Stage 1 DBPR, please submit these results by [insert due date].
This information can be submitted by mail or electronically to:
Mail: Electronically:
LT2/Stage2 IPMC stage2mdbp@epa.gov
US EPA
PO Box 98 Fax:
Dayton, OH 45401-0098 (937) 586-6557
We will review the data and make a determination if the data qualifies your system for a VSS Waiver.
If your system does not have TTHM or HAAS data that meet the requirements of the Stage 1 DBPR your
system is not eligible for a VSS Waiver and will need to comply with IDSE requirements under the Stage
2 DBPR. To satisfy IDSE requirements your system may conduct either Standard Monitoring or a System
Specific Study. The first step in conducting either Standard Monitoring or a System Specific Study is to
submit a Standard Monitoring or a System Specific Study Plan. The Standard Monitoring or a System
Specific Study Plan must be submitted by [insert deadline for Standard Monitoring or SSS Plan]. EPA has
developed several tools that can be used to help your system develop either Standard Monitoring or a
System Specific Study Plan. They are:
• IDSE Guidance Manual - Comprehensive technical guidance document for all system sizes and
types and all IDSE options, (www.cpa.gov/satcwatcr/disintcction/stagc2).
• IDSE Tool - Web based tool for public water systems (PWSs) to understand the different options
they have to comply with IDSE requirements, selects the best IDSE option for your system and
Stage 2 DBPR Implementation Guidance F-3 August 2007
-------
Example Letter
creates Custom Forms for your system (based on population served and system type) that can be
submitted electronically to EPA and your state, (Vww.cpa.gov/safcwatcr/disinfcctioa/tools)
• 1DSE Tool CD-Rom - Available for systems without web access, the IDSE Tool CD-Rom has
limited functionality, and is designed for systems serving less than 10,000 people. Completed
plans can be emailed to the Stage 2 Inbox: stagc2mdbp@epa.gov, or mailed to
USEPA - IPMC
P.O. Box 98
Dayton, OH 45401
Users will be able to obtain the IDSE Tool CD-Rom by contacting the National Service Center
for Environmental Publications (NSCEP) at 1-800-490-9198 reference using the following: EPA
815-C-06-001.
Additional reference information is attached for your use. If you have questions regarding this letter,
please contact us by sending an email to stagc2mdbp@cpa.gov. For more information regarding this rule
visit the Stage 2 DBPR website at w\v\v.cpa.gov/sat'cwatcr/disinf'cction/stagc2.
Enclosures:
Stage 2 DBPR Quick Reference Guide
Stage 2 DBPR IDSE 40/30 Certification and Very Small System Waiver Factsheet
Stage 2 DBPR IDSE Standard Monitoring Factsheet
Stage 2 DBPR IDSE System Specific Study Factsheet
[list other enclosures]
Stage 2 DBPR Implementation Guidance F-4 August 2007
-------
Example Letter
Letterhead
Contact Name
System Name
Address
City, State 12345
PWSID: XX1234567
RE: Stage 2 Disinfectants and Disinfection Byproduct Rule (Stage 2 DBPR)
Approval of 40/30 Certification
Dear Mr./Mrs./Ms. :
This letter is to provide confirmation that your 40/30 Certification for compliance with the Stage 2 DBPR
Initial Distribution System Evaluation (IDSE) requirement has been approved. Your system has satisfied
the IDSE requirements for the Stage 2 DBPR. [Your system should continue to conduct Stage 1
Disinfectants and Disinfection Byproduct Rule (Stage 1 DBPR) monitoring.]
Your next step will be to prepare a monitoring plan for Stage 2 DBPR compliance monitoring. This plan
must be completed before you are required to begin Stage 2 DBPR monitoring. Your system will need to
begin complying with the Stage 2 DBPR monitoring [enter date for Stage 2 Compliance Monitoring].
Additional reference information is attached for your use. If you have questions regarding this letter,
please contact us by sending an email to stagc2mdbpfe.cpa.gov. For more information regarding this rule
visit the Stage 2 DBPR website at www.cpa.gov/saicwatcT/disinfcction/stagc2.
Enclosures:
Stage 2 DBPR Quick Reference Guide
Stage 2 DBPR IDSE 40/30 Certification and Very Small System Waiver Factsheet
[list other enclosures]
Stage 2 DBPR Implementation Guidance F-5 August 2007
-------
Example Letter
Letterhead
Contact Name
System Name
Address
City, State 12345
PWS1D:XX1234567
RE: Stage 2 Disinfectants and Disinfection Byproduct Rule (Stage 2 DBPR)
Approval of Very Small System (VSS) Waiver
Dear Mr./Mrs./Ms. :
This letter is to confirm that your system has been approved for a VSS Waiver for the Stage 2 DBPR
Initial Distribution System Evaluation (IDSE) requirement. Your system has satisfied IDSE requirements
under the Stage 2 DBPR. [Your system should continue to conduct Stage 1 Disinfectants and Disinfection
Byproduct Rule (Stage 1 DBPR) monitoring.]
Your next step will be to prepare a monitoring plan for Stage 2 DBPR compliance monitoring. This plan
must be completed before you are required to begin Stage 2 DBPR monitoring. Your system will need to
begin complying with the Stage 2 DBPR monitoring [enter date for Stage 2 Compliance Monitoring].
Additional reference information is attached for your use. If you have questions regarding this letter,
please contact us by sending an email to stagc2mdhp(a;,cpa.gov. For more information regarding this rule
visit the Stage 2 DBPR website at vvww.cpa.gov/safcwatcr/disinfcction/stagc2.
Enclosures:
Stage 2 DBPR Quick Reference Guide
Stage 2 DBPR IDSE 40/30 Certification and Very Small System Waiver Factsheet
[list other enclosures]
Stage 2 DBPR Implementation Guidance F-6 August 2007
-------
Example Letter
Letterhead
Contact Name
System Name
Address
City, State 12345
PWSID: XX1234567
RE: Stage 2 Disinfectants and Disinfection Byproduct Rule (Stage 2 DBPR)
Status of 40/30 Certification Submission
Dear Mr./Mrs./Ms. :
This letter is to provide notice that your system's 40/30 Certification for compliance with the Stage 2
DBPR Initial Distribution System Evaluation (IDSE) requirement has been denied. The 40/30
Certification has been denied because:
The system is a consecutive system that does not have sufficient amount of existing
Stage 1 Disinfectants and Disinfection Byproduct Rule (Stage 1 DBPR) monitoring sites
to justify the 40/30 Certification.
The system has inadequate Stage 1 DBPR data to choose Stage 2 DBPR sites.
There are other operational TTHM or HAA5 results that indicate higher disinfection
byproducts (DBP) levels in the distribution system, or there is compliance data outside
the 2-ycar compliance period that was significantly higher.
The system's data is not representative of the highest potential for DBP formation
months.
The system is relying on data from an 8-quarter eligibility period in which natural
circumstances favored lower DBP levels in the distribution system.
The system recently made or is in the process of making distribution system changes that
could affect DBP formation such as expansion of the distribution system, annexation of a
new area, connection of a new subdivision, consolidation with another small water
system, construction of a new storage tank or other: .
The system recently made or is in the process of making disinfection practices or other
treatment changes that may affect DBP formation.
Other Reason:
The Stage 2 DBPR requires systems that do not receive an approval for their submitted 40/30
Certification to conduct Standard Monitoring or a System Specific Study. The results of these will help
determine where your system will need to monitor to comply with the Stage 2 DBPR.
The first step in conducting either Standard Monitoring or a System Specific Study is to submit a
Standard Monitoring or a System Specific Study Plan. The Standard Monitoring or a System Specific
Study Plan must be submitted by [insert deadline for Standard Monitoring or SSS Plan], EPA has
Stage 2 DBPR Implementation Guidance F-7 August 2007
-------
Example Letter
developed several tools that can be used to help your system develop either Standard Monitoring or a
System Specific Study Plan. They arc:
• IDSE Guidance Manual - Comprehensive technical guidance document for all system sizes and
types and all IDSE options, (www.cpa.gov/safcwatcr/disinfcction/slagc2)
• IDSE Tool - Web based tool that determines your IDSE requirements, selects the best IDSE
option for your system and creates Custom Forms for your system (based on population served
and system type) that can be submitted electronically to EPA and your state.
(www.epa.gov/saf'cwatcr/disinfcction/tools)
Additional reference information is attached for your use. If you have questions regarding this letter,
please contact us by sending an email to stagc2rndbpuj;cpa.gov. For more information regarding this rule
visit the Stage 2 DBPR website at www.cpa.gov/safewater/disinfcction/stagc2.
Enclosures:
Stage 2 DBPR Quick Reference Guide
Stage 2 DBPR IDSE Standard Monitoring Factsheet
Stage 2 DBPR IDSE System Specific Study Factsheet
[list other enclosures]
Stage 2 DBPR Implementation Guidance F-8 August 2007
-------
Example Letter
Letterhead
Contact Name
System Name
Address
City, State 12345
PWSID: XX1234567
RE: Stage 2 Disinfectants and Disinfection Byproduct Rule (Stage 2 DBPR)
Status of Very Small System (VSS) Waiver Approval
Dear Mr./Mrs./Ms. :
This letter is to inform you that your system will not receive a VSS Waiver for compliance with the Stage
2 DBPR Initial Distribution System Evaluation (IDSE) requirement. The VSS Waiver has been denied
because:
The sample sites arc not representative of highest TTHM and HAAS concentrations
The system does not have adequate knowledge to determine Stage 2 DBPR compliance
monitoring locations.
The system is planning major changes that will affect the production of disinfection
byproducts.
Other Reason:
The Stage 2 DBPR requires that systems that do not receive a VSS Waiver to conduct Standard
Monitoring or a System Specific Study. The results of these will help determine where your system will
need to monitor to comply with the Stage 2 DBPR.
The first step in conducting cither Standard Monitoring or a System Specific Study is to submit a
Standard Monitoring or a System Specific Study Plan. The Standard Monitoring or a System Specific
Study Plan must be submitted by [insert deadline for Standard Monitoring or SSS Plan]. EPA has
developed several tools that can be used to help your system develop either Standard Monitoring or a
System Specific Study Plan. They are:
• IDSE Guidance Manual - Comprehensive technical guidance document for all system sizes and
types and all IDSE options, (vvww.cpa.gov/safcwatcr/disinfcction/stajjc2)
• IDSE Tool - Web based tool that determines your IDSE requirements, selects the best IDSE
option for your system and creates Custom Forms for your system (based on population served
and system type) that can be submitted electronically to EPA and your state.
(www.cpa.gov/safcwater/disinfcction/tools)
Additional reference information is attached for your use. If you have questions regarding this letter,
please contact us by sending an email to stagc2mdbp(«jcpa.gov. For more information regarding this rule
visit the Stage 2 DBPR website at www.cpa.gov/safevvater/disinleclion/stage2.
Enclosures:
Stage 2 DBPR Quick Reference Guide
Stage 2 DBPR Implementation Guidance F-9 August 2007
-------
Example Letter
Stage 2 DBPR IDSE Standard Monitoring Factshcet
Stage 2 DBPR IDSE System Specific Study Factsheet
[list other enclosures]
Stage 2 DBPR Implementation Guidance F-10 August 2007
-------
Example Letter
Letterhead
Contact Name
System Name
Address
City, State 12345
PWSID: XX1234567
RE: Stage 2 Disinfectants and Disinfection Byproduct Rule (Stage 2 DBPR)
Current Status of [Standard Monitoring Plan, System Specific Study Plan, IDSE Report]
Submission
Dear Mr./Mrs./Ms. :
This letter is to confirm that your system's [enter: Standard Monitoring Plan, System Specific Study Plan,
IDSE Report] has been approved.
{Choose one: For Standard Monitoring: [You must conduct monitoring at each of the monitoring
locations and dates listed in your Standard Monitoring Plan. If you deviate from the approved plan for any
reason, you must include an explanation for the deviation in your IDSE Report. During each sample
event, you must collect a dual sample set at each location. One sample must be analyzed for TTHM and
the other must be analyzed for HAA5. You must use EPA-approved methods for analysis of your TTHM
and HAAS samples.]
For SSS: [Your must submit an IDSE Report. The primary purpose of the IDSE Report is to provide EPA
or the state with the system's recommendations for where and at what frequency Stage 2 DBPR
compliance monitoring will be conducted.]
For IDSE Report: [Your system has fulfilled all IDSE requirements.]} Your system should continue to
conduct Stage 1 Disinfectants and Disinfection Byproduct Rule (Stage 1 DBPR). Your system will need
to begin complying with the Stage 2 DBPR monitoring by [enter date for Stage 2 Compliance
Monitoring].
Additional reference information is attached for your use. If you have questions regarding this letter,
please contact us by sending an email to stagc2mdbpfe.cpa.gov. For more information regarding this rule
visit the Stage 2 DBPR website at www.epa.gov/salcwatcr/disinfcction/stagc2.
Enclosures:
Stage 2 DBPR Quick Reference Guide
Stage 2 DBPR IDSE Standard Monitoring Factsheet
Stage 2 DBPR IDSE System Specific Study Factsheet
[list other enclosures]
Stage 2 DBPR Implementation Guidance F-ll August 2007
-------
Example Letter
Letterhead
Contact Name
System Name
Address
City, State 12345
PWSID: XX1234567
RE: Stage 2 Disinfectants and Disinfection Byproduct Rule (Stage 2 DBPR)
Incomplete Submission of [40/30 Certification, Standard Monitoring Plan, System Specific Study
Plan, IDSE Report]
Dear Mr./Mrs./Ms. :
This letter is to provide notice to you that your [40/30 Certification, Standard Monitoring Plan, System
Specific Study Plan, IDSE Report] is incomplete. Your system will need to submit [insert missing
information] by [insert due date] to remain in compliance with Stage 2 DBPR. This information can be
submitted by mail or electronically to:
Mail: Electronically:
LT2/Stage2 IPMC stage2mdbp@epa.gov
US EPA
PO Box 98 Fax: (937) 586-6557
Dayton, OH 45401-0098
Additional reference information is attached for your use. If you have questions regarding this letter,
please contact us by sending an email to stagc2mdbp(»:cpa.gov. For more information regarding this rule
visit the Stage 2 DBPR website at www.epa.gov/safcvvatcr/disinfcction/stagc2.
Enclosures:
Stage 2 DBPR Quick Reference Guide
Stage 2 DBPR IDSE Standard Monitoring Factsheet
Stage 2 DBPR IDSE 40/30 Certification and Very Small System Waiver Factsheet
Stage 2 DBPR IDSE System Specific Study Factsheet
[list other enclosures]
Stage 2 DBPR Implementation Guidance F-12 Augmt 2007
-------
Example Letter
Letterhead
Contact Name
System Name
Address
City, State 12345
PWSID: XX1234567
RE: Stage 2 Disinfectants and Disinfection Byproduct Rule (Stage 2 DBPR)
[Standard Monitoring Plan, System Specific Study Plan or IDSE Report] Received
Dear Mr./Mrs./Ms. :
This letter is to provide confirmation to your system that your [enter: Standard Monitoring Plan, System
Specific Study Plan, IDSE Report] has been received. A separate letter will be sent to your system once
the [plan/report] has been reviewed. [Your system should continue to conduct Stage 1 Disinfectants and
Disinfection Byproduct Rule (Stage 1 DBPR) monitoring.]
Additional reference information is attached for your use. If you have questions regarding this letter,
please contact us by sending an email to stagc2mdbp(a;cpa.gov. For more information regarding this rule
visit the Stage 2 DBPR website at www.epa.gov/safcwater/disinf'ection/stage2.
Enclosures:
Stage 2 DBPR Quick Reference Guide
[list other enclosures]
Stage 2 DBPR Implementation Guidance F-13 August 2007
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Stage 2 DBPR Implementation Guidance F-14 August 2007
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Appendix G
Instructions & Reviewer
Checklists for Stage 2 DBPR
Submissions
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Instructions & Reviewer Checklists for Stage 2 DBPR
Submissions
Instructions for consistent review of IDSE submissions
40/30 Certification
Standard Monitoring
System Specific Study
Stage 2 DBPR Implementation Guidance G-l August 2007
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Stage 2 DBPR Implementation Guidance G-2 August 2007
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40/30 Certification - Background Information for Reviewers
The following information is to assist reviewers utilizing the 40/30 Certification Checklist. It is not intended
to be an extensive review of the 40/30 Certification requirements. For more information on 40/30
Certifications requirements, please refer to the EPA website
(www.epa.gov/safewater/disinfection/stage2/) and review the following documents:
• Initial Distribution System Evaluation (IDSE) Guidance Manual
• Factsheet: Very Small System Waiver and 40/30 Certification for Compliance with the IDSE
Provisions of the Stage 2 DBPR
• Small System Guidance Manual for the Stage 2 DBPR
• The Stage 2 Disinfection Byproducts Rule (Stage 2 DBPR) State Implementation Guidance
I. ELIGIBILITY CRITERIA FOR 40/30 CERTIFICATION
What are the eligibility criteria?
Systems that meet the following criteria are eligible for a 40/30 Certification:
• No TTHM sample exceeds 0.040mg/L;
• No HAAS sample exceeds 0.030 mg/L; and,
• System has no TTHM or HAAS monitoring violations for the entire eligibility period (8
consecutive quarters or 2 consecutive years):
Schedule 1 &2: Data collected after January 2004
Schedule 3&4: Data collected after January 2005
What if the system does not have Stage 1 DBPR monitoring data?
Systems may use operational data for TTHM and HAAS in lieu of Stage 1 DBPR data. All data used to
backup a 40/30 Certification must meet Stage 1 DBPR requirements. Systems that submit operational
data must meet the following criteria to be eligible for a 40/30 Certification:
Analyzed samples using approved methods.
Analyzed samples by a certified lab.
Appropriate locations for sampling.
Samples taken at the correct number of sites.
Samples taken at the appropriate frequency.
Samples taken during the month of the warmest water temperature. Recommended if
only one sample was taken.
II. 40/30 CERTIFICATION SUBMISSION
What does the 40/30 Certification Submission need to include?
The 40/30 Certification submission package consists of a 40/30 Certification letter that the system signs
and submits indicating that they meet all three eligibility criteria mentioned above. Sample letter of 40/30
Certification can be found in the IDSE guidance manual. In addition to the 40/30 Certification, the EPA or
the State can request additional resources. These could be:
• Stage 1 DBPR Data
• Stage 2 DBPR Recommended Sites
• Distribution System Schematic
Stage 2 DBPR Implementation Guidance G-3 August 2007
-------
It is recommended that systems are informed ahead of time of this requirement. The Information
Processing and Management Center (IPMC) will have a list of preferences by State to use when
reviewing submissions for completeness.
III. APPROVED 40/30 CERTIFICATION
What does an approved 40/30 Certification mean?
An approved 40/30 Certification only means that the system has satisfied the IDSE requirement of the
Stage 2 DBPR. The system will then need to start preparing for Stage 2 DBPR Compliance by submitting
a Stage 2 DBPR monitoring plan before the system is required to begin Stage 2 compliance monitoring.
If a system meets 40/30 Certification eligibility criteria, does the State have to approve the 40/30?
No. If the state feels like it is not in the best interest of public health to approve a 40/30 Certification then
the state can ask the system to satisfy the IDSE requirement by conducting Standard Monitoring (SM) or
System Specific Study (SSS). Some reasons for not approving a 40/30 certification could be:
• The system is a consecutive system that does not have sufficient amount of existing Stage 1
DBPR monitoring sites to justify the 40/30 Certification.
• The system has inadequate Stage 1 DBPR data to choose Stage 2 DBPR sites (for instance if
the system has a few plants but a large population).
• There are other operational TTHM or HAAS results that indicate higher DBP levels in the
distribution system, or there is compliance data outside the 2-year compliance period that was
significantly higher.
• The system's data is not representative of the highest potential for DBP formation months.
• The system is relying on data from an 8-quarter eligibility period in which natural
circumstances may have favored lower DBP levels in the distribution system.
• The system recently made or is in the process of making distribution system changes that
could affect DBP formation such as expansion of the distribution system, annexation of a new
area, connection of a new subdivision, consolidation with another small water system, or
construction of a new storage tank.
• The system recently made or is in the process of making disinfection practices or other
treatment changes that may affect DBP formation.
IV. PROVISIONAL 40/30 CERTIFICATIONS:
Provisional 40/30 certifications are used by some Regions for systems that will have qualifying data after
the 40/30 submission is due but before the Standard Monitoring is scheduled to begin. Since the
requirements and criteria for submitting and approving Provisional 40/30 Certifications vary by Region,.
this topic is not covered in great detail in this document. Part 5 of the checklist addresses Provisional
40/30 certifications. Reviewers are strongly urged to discuss this matter with their Regional staff to ensure
understanding of the reviewing criteria and requirement for this specific type of submission before
conducting a review.
Stage 2 DBPR Implementation Guidance G-4 August 2007
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40/30 Certification - Checklist Instructions
The set of instructions below are to assist reviewers using the 40/30 Certification Checklist.
Part 1: PWS Information
1.A - PWS Name - Enter complete PWS name.
1.B - PWSID - Enter the complete 9-character PWSID number.
1.C - Address - Enter mailing address for PWS.
1.D - Date of submission - Enter date when submission was received.
1.E - Date Assigned - Enter date when submission was assigned to the Reviewer.
1.F - Schedule - Enter Schedule information as provided by the System. Reviewer should refer to the
Data Collection and Tracking System (DCTS) to ensure the schedule indicated by the system matches
the information found in the inventory. The reviewer should indicate if the schedules do not match.
Part 2: Review of Original 40/30 Certification Package
2.A - Indicate if the system submitted their 40/30 Certification package no later than the date identified
below for their Schedule:
• Schedule 1 - by October 1, 2006
• Schedule 2-by ApriM, 2007
• Schedule 3 - by October 1, 2007
• Schedule 4 - by April 1, 2008
NOTE: If a 40/30 Certification is submitted late, a monitoring/reporting violation is incurred. However, this
does not preclude the reviewer from approving the plan.
2.B - Indicate if the system meets the following eligibility criteria:
• No TTHM sample exceeds 0.040mg/L;
• No HAAS sample exceeds 0.030 mg/L; and,
• System has no TTHM or HAAS monitoring violations for the entire eligibility period (8
consecutive quarters or 2 consecutive years):
Schedule 1 &2: Data collected after January 2004
Schedule 3&4: Data collected after January 2005
If the system does not meet the eligibility criteria described above then the system is not eligible for a
40/30 Certification and must complete either Standard Monitoring or a System Specific Study (SSS).
2.C - Indicate if the system submitted a satisfactory 40/30 Certification Letter. (A sample letter is provided
in the IDSE Guidance Manual Page 4-5.)
Part 3: Additional Data Requested
If reviewer is unsure whether the system was required to submit additional information, check the DCTS.
3.A - Indicate if the system submitted Stage 2 DBPR recommended locations as required by the
reviewing entity.
3.B - Indicate if the system submitted a Distribution System Schematic with the appropriate information
(i.e. entry points, storage tanks and Stage 1 sample sites) as required by the reviewing entity.
3.C - Indicate if the system submitted Stage 1 DBPR compliance data as required by the reviewing entity.
3.D - Systems may submit operational data in lieu of Stage 1 DBPR compliance data if they meet Stage
1 DBPR compliance criteria. Stage 1 DBPR compliance criteria include:
• Samples analyzed using approved methods
• Samples analyzed by a certified lab
• Locations appropriate for sampling
• Appropriate number of sites
Stage 2 DBPR Implementation Guidance G-5 August 2007
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• Samples taken at the appropriate frequency
• Samples taken during the month of the warmest water temperature
Part 4: Approval/Disapproval of 40/30 Certification
Most systems will use Form 1 or the IDSE Tool to complete their 40/30 Certification.
4.A - The reviewer can approve or disapprove the 40/30 Certification. The reviewer can require Standard
Monitoring, even if the system meets the 40/30 eligibility criteria. Questions a reviewer may want to
consider when reviewing a 40/30 Certification:
• Is the system a consecutive system that does not have enough existing Stage 1 DBPR
monitoring sites to justify the 40/30 Certification?
• Does the system have inadequate Stage 1 DBPR data to choose Stage 2 DBPR sites (e.g.,
system with few plants but a large population)?
• Does the system have other non-compliance TTHM or HAAS results that indicate higher DBP
levels in the distribution system, or is there compliance data outside the 2-year compliance
period that were significantly higher?
• Does the system's data not represent the months that the State considers to have the highest
potential for DBP formation?
• Is the system relying on data from an 8-quarter eligibility period in which natural circumstances
may have favored lower DBP levels in the distribution system?
• Has the system recently made or is in the process of making distribution system changes that
could affect DBP formation (e.g., expansion of the distribution system, annexation of a new
area, connection of a new subdivision, consolidation with another small water system, or
construction of a new storage tank)?
• Has the system recently made or is in the process of making disinfection practices or other
treatment changes that may affect DBP formation?
4.B - If the reviewer disapproves the 40/30 Certification, a letter needs to be sent to the system informing
them of the status of their submission and explaining what the next steps are for the system, such as
submitting a SM Plan or SSS Plan. When contacting the system the reviewer should also consider the
timeframe and determine if an alternate compliance schedule will need to be established for the system
since the compliance date for the submitting the SM or SSS plans might have passed.
4.C - After completing the checklist, the reviewer must input the information into the DCTS. The reviewer
should record the date of when the data was entered into the DCTS.
PartS: Provisional 40/30 Certifications:
5.A- Indicate if the System submitted a Provisional 40/30 Certification.
5.B - Indicate if the Provisional 40/30 Certification submission followed the requirements and criteria as
established by the Region. (It is recommended that the reviewer enter requirement and criteria
information in the comment section found at the end of the checklist.)
5.C - Indicate if the reviewer has approved the Provisional 40/30 Certification. (It is recommended that the
reviewer indicate the conditions of the approval or reasons why the submission was not approved in the
comments section found at the end of the checklist.)
The comment section is intended for the reviewer to enter information regarding:
• Conversations with PWS.
• Observations or reasons why the 40/30 should not be approved.
• Details to ensure that anyone else who reviews the document can understand the reviewer's
reasoning or intentions.
• Requirements and criteria for Provisional 40/30 Certification.
Stage 2 DBPR Implementation Guidance G-6 August 2007
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40/30 Certification - Checklist
Part 1 . PWS Information
1 .A. PWS Name: 1 .B. PWS ID:
1 .C. PWS Address:
1 .D. Date of Submission: 1 .E. Date Assigned:
1.F. System Schedule:
Part 2. Review of Original 40/30 Certification Package
D YES D NO
2.A
D YES D NO
2.B
DYES D NO
2.C
Was 40/30 Certification package submitted by required date for their
schedule?
- Schedule 1 -by October 1, 2006 - Schedule 3 - by October 1 , 2007
- Schedule 2 - by April 1 , 2007 - Schedule 4 - by April 1 , 2008
Did the system meet the 40/30 Certification eligibility criteria?
- All individual TTHM samples are less than or equal to 0.040 mg/L.
- All individual HAAS samples are less than or equal to 0.030 mg/L.
- System did not receive any monitoring violations during the eligibility period.
- For systems on schedules 1 & 2, eight consecutive quarters starting no earlier than
January 2004.
— For systems on schedules 3 & 4, eight consecutive quarters starting no earlier than
January 2005.
System submitted a satisfactory 40/30 Certification Letter.
Part 3. Additional Data Requested
Complete this section if system submitted additional data as required by the reviewing entity.
D YES D NO D N/A
3.A
n YES n NO n N/A
3.B
D YES D NO D N/A
3.C
D YES D NO D N/A
3.D
System submitted Stage 2 DBPR recommended locations as required by
the reviewing entity.
System submitted Distribution System Schematic as required by the
reviewing entity, including Stage 1 DBPR locations.
System submitted Stage 1 DBPR compliance data as required by the
reviewing entity.
System submitted operational data in lieu of Stage 1 DBPR compliance
data that met Stage 1 DBPR compliance criteria.
Part 4: Approval/Disapproval of 40/30 Certification
n YES n NO
4.A
n YES n NO n N/A
4.B
40/30 Certification is complete and has been approved.
If no, list reason
The reviewer has disapproved the 40/30 Certification and has sent the
system a letter informing them of the status of their submission and of
additional actions required for compliance with the IDSE. Letter Sent:
Stage 2 DBPR Implementation Guidance
G-7
August 2007
-------
D YES D NO
4.C
Reviewer has entered the data into the Data Collection and Tracking
System (DTCTS). Date:
Part 5: Provisional 40/30 Certification
YES D NO
5.1
The system submitted Provisional 40/30 Certification.
D YES D NO
5.2
The Provisional 40/30 certification submission met all the requirements and
criteria as indicated by the Region.
D YES D NO
5.3
The Provisional 40/30 certification submission has been approved under
specific conditions indicated by the reviewing entity.
Comments: (Include notes from any discussions with the PWS. Use additional sheets if necessary)
Initial Reviewer:
Date:
Final Reviewer:
Date:
Stage 2 DBPR Implementation Guidance
G-8
August 2007
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Standard Monitoring Plans - Background Information for Reviewers
V. BACKGROUND INFORMATION FOR STANDARD MONITORING
The following information is to assist reviewers utilizing the Standard Monitoring Plan Review Checklist. It
is not intended to be an extensive review of the Standard Monitoring Plan requirements. For more
information on Standard Monitoring requirements, please refer to the EPA website
(www.epa.gov/safewater/disinfection/stage2/) and review the following documents:
• Initial Distribution System Evaluation (IDSE) Guidance Manual
• Factsheet: Standard Monitoring for Compliance with the IDSE Provisions of the Stage 2 DBPR
• Small System Guidance Manual for the Stage 2 DBPR
• The Stage 2 Disinfection Byproducts Rule (Stage 2 DBPR) State Implementation Guidance
Manual
Which systems must conduct Standard Monitoring?
Systems that do not qualify for a Very Small System (VSS) Waiver or 40/30 Certification and that do not
perform a system specific study must conduct standard monitoring. In addition, reviewers can require
systems to conduct standard monitoring if they feel more data is necessary to identify representative
Stage 2 DPBR compliance locations.
What are the requirements for systems conducting Standard Monitoring?
Systems conducting Standard Monitoring are required to prepare a Standard Monitoring Plan and
complete one year of standard monitoring as indicated in the approved standard monitoring plan. Forms
to help a system complete a Standard Monitoring Plan are provided in the IDSE Guidance Manual.
What are the required elements for the Standard Monitoring Plan?
Systems must include the following elements in their Standard Monitoring Plan:
• Population served by the system
• System type (Subpart H or ground water)
• Distribution system schematic
• Dates of standard monitoring and Stage 1 DBPR compliance monitoring
• Justification of standard monitoring site selection
What is the deadline for completing the Standard Monitoring Plan?
Systems must submit their Standard Monitoring by the dates listed below.
• Schedule 1 - October 1, 2006
• Schedule 2-April 1,2007
• Schedule 3 - October 1, 2007
• Schedule 4-April 1, 2008
Systems will consider plans approved if they are not contacted within 12 months after submission due
date to inform them of modifications to the plan or that the review is not yet complete.
Stage 2 DBPR Implementation Guidance G-9 August 2007
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Stage 2 DBPR Implementation Guidance G-10 August 2007
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Standard Monitoring - Checklist Instructions
The set of instructions below are to assist reviewers when using the Standard Monitoring Checklist.
Part 1: PWS Information
1.A - PWS Name - Enter complete PWS name.
1.B - PWSID - Enter the complete 9-character PWSID number.
1.C - Address - Enter mailing address for PWS.
1.D - Date of submission - Enter date when submission was received.
1.E - Date Assigned - Enter date when submission was assigned to the Reviewer.
1.F - Schedule - Enter Schedule information as provided by the System. Reviewer should refer to the
Data Collection and Tracking System (DCTS) to ensure the schedule indicated by the system matches
the information found in the inventory. The reviewer should indicate if the schedules do not match.
Part 2: Review of Standard Monitoring Plan
Some systems may have used Form 6 from the IDSE Guidance Manual to help them complete their
Standard Monitoring Plan.
2.A- Indicate if the system submitted a Standard Monitoring Plan no later than the date identified below
for their Schedule:
• Schedule 1 - by October 1, 2006
• Schedule 2-by April 1,2007
• Schedule 3 - by October 1, 2007
• Schedule 4-by April 1, 2008
2.B - Indicate if the Standard Monitoring Plan included the following elements:
• Population served by the system.
• System type (Subpart H or ground water).
• Distribution system schematic (see section 2.E).
• Proposed dates of standard monitoring and Stage 1 DBPR compliance monitoring sampling
(see section 2.F).
• Justification of standard monitoring site selection (see section 2.G).
2.C - Indicate if the Standard Monitoring Plan included the correct number of samples for each type of
site: near entry points, average residence time, high TTHM locations, high HAAS locations.
• Systems with more entry points than required must take samples at entry points to the
distribution system with the highest annual flows.
• Systems with fewer entry points than required must make up the difference by replacing
required entry point sites with equal numbers of TTHM and HAAS sites.
Stage 2 DBPR Implementation Guidance ' G-ll August 2007
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System
Type
S
u
b
P
a
r
t
H
G
r
o
u
n
d
Population Size Category
<500 consecutive
<500 non-consecutive
500-3,300 consecutive
500-3,300 non-consecutive
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1,000,000-4,999,999
> 5,000,000
<500 consecutive
<500 non-consecutive
500-9,999
10,000-99,999
100,000-499,999
> 500,000
Monitoring Periods
and Frequency of
Sampling
one (during peak
historical month)
four
(every 90 days)
six
(every 60 days)
one (during peak
historical month)3
four
(every 90 days)
Distribution System Monitoring Locations
Total per
monitoring
period
2
2
2
2
4
8
16
24
32
40
2
2
2
6
8
12
Near
Entry
Points
1
1
1
3
4
6
8
1
1
1
2
Average
Residence
Time
1
2
4
6
8
10
1
1
1
2
High TTHM
Locations
1
1
1
1
2
3
5
8
10
. 12
1
1
1
2
3
4
High HAAS
Locations
1
1
1
2
4
6
8
10
1
2
3
4
2.D - Indicate if the system selected the peak historical month.
• Systems determine their peak historical month by reviewing available compliance, study or
operational data to find the month with the highest TTHM or HAAS concentration or warmest
temperature. The system should indicate the basis for selecting its peak historical month in the
Standard Monitoring Plan.
• For more detail, refer to page 7-22 of the IDSE Guidance Manual.
2.E - Indicate if the system demonstrated site selections on the distribution system schematic in the
Standard Monitoring Plan. The sites should:
• Include information on storage tanks, booster chlorination facilities, entry point, sources,
standard monitoring sites, and Stage 1 DBPR compliance monitoring sites.
• Be representative of the entire distribution system. If a significant portion of the distribution
system is excluded from sampling, the reviewer should modify the plan to change sites from
an over-represented area to an area that lacks representation.
• Provide good hydraulic representation. All pressure zones should be represented and sites
should include areas that are hydraulically remote.
• Represent as many key trouble areas as possible, including:
Long dead end lines (Site should be prior to the last customer)
Areas down gradient of storage tanks
Areas with low chlorine residual levels
Areas influenced by booster chlorination
• Avoid representing the following locations:
Dead-ends where there are no customers
Prior to booster disinfection with chlorine
After the last hydrant or blow-off point
Remember to take into account the locations of the storage tanks, booster chlorination facilities, entry
points, sources, standard monitoring sites, and Stage 1 DBPs compliance monitoring sites when
reviewing the site selection.
Stage 2 DBPR Implementation Guidance
G-12
August 2007
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2.F - Indicate if the system included the appropriate monitoring dates in the Standard Monitoring Plan.
The system must:
• Monitor at the appropriate frequency for their system type, as presented in the table above.
• Include peak historical month in the monitoring dates.
• Include Stage 1 DBPR monitoring dates.
2.G - Indicate if the system included justifications for the site selections in the Standard Monitoring Plan.
The justifications should be consistent with the information shown on the map. The following is a list of
recommended locations per site type:
• Recommended near entry point monitoring sites:
After treatment or a consecutive connection
Before or at the first customer
• Recommended average residence time monitoring sites:
Upstream of large customers that are not close to an entry point
In highly developed areas, the approximate geographic center of the distribution system
• Recommended high TTHM monitoring sites:
Hydraulically downstream of storage facilities or booster disinfection
In hydraulic dead-ends, where the flow of water is low or stagnant
Near the ends of the distribution system, at or before the last group of customers
• Recommended high HAAS monitoring sites:
In areas with existing, but minimal disinfectant residual
Near the ends of the distribution system, at or before the last group of customers
In mixing zones where water from different sources combines within the distribution
system
At hydraulic dead ends
Downstream of storage facilities
Prior to the last fire hydrant
When selecting HAAS sites, the system should consider whether it has biodegradation is
occurring in the distribution system that they are aware of. The system should not select
high HAAS sites in locations that have free chlorine residuals less than 0.2 mg/L, or with
chloramines (total chlorine) residuals less than 0.5 mg/L.
Part 3: Modification and Approval of Standard Monitoring Plan
3.A - The reviewer must decide whether any modifications to the Standard Monitoring Plan are
necessary. The reviewer may:
• Request additional information from the system
• Work together with the system to select alternative sites (if the system cannot provide
adequate justification)
• Make the modifications (if the system does not respond to the request for information).
3.B - To ensure the system can begin monitoring as proposed in its plan, the reviewer must notify the
system whether the Standard Monitoring Plan has been approved or modified within 12 months of after
the submission due date. If the reviewer cannot meet these deadlines, the reviewer must notify the
system that the review is not complete. If, as a result, the system is not able to begin standard monitoring
by the specified date in the rule, the reviewer will need to work with the system to set an alternative
compliance schedule. NOTE: If a Standard Monitoring Plan is submitted late, a monitoring/reporting
violation is incurred. However, this does not preclude the reviewer from approving the plan.
3.C -After completing the checklist, the reviewer must input the information into the Data Collection and
Tracking System (DCTS). The reviewer should record the date when the data was entered into the DCTS
in the checklist.
Stage 2 DBPR Implementation Guidance G-13 August 2007
-------
The comment section is intended for the reviewer to enter information regarding:
• Conversations with PWS.
• Any changes the reviewer made or requested the system to make to the Standard Monitoring
Plan.
• Details to ensure that anyone else who reviews the document can understand the reason for
modifications.
Stage 2 DBPR Implementation Guidance G-14 August 2007
-------
Standard Monitoring - Checklist
Part 1. PWS information
1 A PWS Name:
1 .C. PWS Address:
1.B. PWS ID-
1 .D. Date of Submission: 1 .E. Date Assigned:
1.F. System Schedule:
Part 2. Review of Standard Monitoring Plan
n YES n NO
2.A
n YES n NO
2.B
D YES D NO
2.C
n YES n NO
2.0
n YES n NO
2.E
n YES n NO
2.F
n YES n NO
2.G
Was Standard Monitoring Plan submitted by the required date?
- Schedule 1 - by October 1 , 2006 - Schedule 3 - by October 1 , 2007
- Schedule 2 -by April 1, 2007 - Schedule 4- by April 1, 2008
Did the system include the required elements?
- Population served by the system
- System type
- Distribution system schematic
- Dates of standard mon taring and Stage 1 DBPR compliance monitoring sampling
- Justification of standard monitoring site selection
Did the system include the correct number of
- Near Entry Points
- Average Residence Time
- High TTHM locations
- High HAAS locations
each type of site?
Did the system identify the peak historical month?
Did the system indicate representative sites on the schematic for proposed
standard monitoring?
Did the system include appropriate monitoring dates?
Did the system include adequate justification
for the site selections?
Part 3. Approval/Disapproval/Modification of Standard Monitoring Plan
n YES n NO
3.A
n YES n NO
3.B
Is it necessary to make any modifications to the Standard Monitoring Plan?
Yes use comment section to record required changes.
If
Was the system notified within 12 months after the due date of the submission
that the plan has been:
Approved and system may conduct standard monitoring as indicated.
Approved with modifications and system must conduct standard monitoring
including recommended modifications.
Disapproved, reviewer will work with system to submit a new standard
monitoring plan.
Review has not been completed and system will not be able to start
standard monitoring until the review is completed.
Date System was Notified:
Stage 2 DBPR Implementation Guidance
G-15
August 2007
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DYES DNO
3.C
Reviewer has entered the data into the Data Collection and Tracking System
(DOTS). Date:
Comments: (Include notes from any discussions with the PWS. Use additional sheets if necessary)
Initial Reviewer:
Date:
Final Reviewer:
Date:
Stage 2 DBPR Implementation Guidance
G-16
August 2007
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System Specific Study Plan Existing Data
Background Information for Reviewers
VI. BACKGROUND INFORMATION FOR SYSTEM SPECIFIC STUDY PLAN - EXISTING DATA
The following information is to assist reviewers utilizing the System Specific Study (SSS) Plan Review
Checklist. It is not intended to be an extensive review of the SSS requirements. For more information on
SSS requirements, please refer to the EPA website (www.epa.gov/safewater/disinfection/stage2/) and
review the following documents:
• Initial Distribution System Evaluation (IDSE) Guidance Manual
• Factsheet: System Specific Studies for Compliance with the IDSE Provisions of the Stage 2
DBPR
• Small System Guidance Manual for the Stage 2 DBPR
• The Stage 2 Disinfection Byproducts Rule (Stage 2 DBPR) State Implementation Guidance
Which systems can conduct SSS using existing data?
Systems with Stage 1 DBPR monitoring or extensive operational data that meet the intent of the Stage 1
DBPR can conduct a SSS. However, existing monitoring results must include all Stage 1 DBPR
compliance monitoring data. The existing data must meet the following requirements:
• Minimum number of monitoring locations, based on population served by the system and
system type.
• Minimum number of TTHM and HAAS samples, based on population served by the system
and system type.
• One sample collected during the peak historical month for TTHM, HAAS, or warmest water
temperature for every 12 months of qualifying data.
• Samples collected and analyzed using an EPA-approved method and a certified laboratory.
• Sample results collected no earlier than 5 years prior to the SSS plan submission deadline,
based on system's schedule.
• Distribution system and treatment did not change significantly since samples were collected.
• Existing monitoring locations are representative of entire distribution system.
What are the requirements for systems conducting SSS using existing data?
Systems conducting SSS based on existing data are required to prepare a SSS Plan. Note that systems
can submit their SSS Plan and IDSE Report together if the system has all the information required by the
rule. Forms to help systems complete their Existing Data SSS Plan and IDSE Report are provided in the
IDSE Guidance Manual.
What are the required elements for the existing data SSS Plan?
Systems using existing data must include the following elements in their SSS Plan:
• Population served by the system
• System type
• All Stage 1 DBPR monitoring results and other monitoring results collected from the beginning
of the first reported result and ending with the most recent Stage 1 DBPR compliance results
• Certification that the system:
Included all compliance and non-compliance results.
Samples are representative of the entire distribution system.
Has not changed treatment or the distribution system significantly since the samples
were collected.
Stage 2 DBPR Implementation Guidance G-l 7 August 2007
-------
• A distribution system schematic showing entry points, sources, storage facilities, and locations
and dates of all completed and planned monitoring
• Identification of peak historical month for TTHM, HAAS, or warmest water
What is the deadline for completing the SSS Plan?
Systems must submit their Existing Data SSS Plan by the following dates:
• Schedule 1 - October 1, 2006
• Schedule 2-April 1,2007
• Schedule 3 - October 1, 2007
• Schedule 4-April 1,2008
Systems will consider plans approved if they are not contacted within 12 months after submission due
date to inform them of modifications to the plan or that the review is not yet complete.
Stage 2 DBPR Implementation Guidance G-18 August 2007
-------
System Specific Study Existing Data - Checklist Instructions
The set of instructions below are to assist reviewers when using the SSS Plan Checklist.
Part 1: PWS Information
1.A - PWS Name - Enter complete PWS name.
1.B - PWSID - Enter the complete 9-character PWSID number.
1.C - Address - Enter mailing address for PWS.
1.D- Date of submission - Enter date when submission was received.
1.E - Date Assigned - Enter date when submission was assigned to the Reviewer.
1.F - Schedule - Enter Schedule information as provided by the System. Reviewer should refer to the DCTS to
ensure the schedule indicated by the system matches the information found in the inventory. The reviewer should
indicate if the schedules do not match.
Part 2: Review of Existing Data SSS Plan
Some systems may have used Form 2 from the IDSE Guidance Manual to help them complete their Existing Data
SSS Plan.
2.A - Indicate if the systems submitted their Existing Data SSS Plan no later than the date identified below for their
Schedule. NOTE: If an SSS Plan is submitted late, a monitoring/reporting violation is incurred. However, this does
not preclude the reviewer from approving the plan.
• Schedule 1 - by October 1, 2006
• Schedule 2 - by April 1, 2007
• Schedule 3 - by October 1, 2007
• Schedule 4 - by April 1, 2008
2.B - Indicate if the SSS Plan included:
• Population served by the system.
• System type.
• Distribution system schematic, including:
Distribution entry points
Sources
Storage facilities
Locations of all completed and planned SSS monitoring
Locations of Stage 1 DBPR compliance samples
2.C - indicate if the system sampled at least once during the peak historical month.
• Systems determine their peak historical month by reviewing available compliance, study or operational
data to determine the month with the highest TTHM or HAAS concentration or warmest water
temperature. The system should indicate the basis for selecting its peak historical month in the SSS
plan.
2.D - Indicate if the system submitted results of existing data, including all Stage 1 DBPR compliance monitoring
data. The system must certify that all required data have been included in the plan.
• Sample results must have been collected no earlier than 5 years prior to the SSS plan submission
deadline, based on system's schedule.
Schedule 1: October 1, 2001 - October 1, 2006
- Schedule 2: April 1, 2001 - April 1, 2006
Schedule 3: October 1, 2002 - October 1, 2007
- Schedule 4: April 1, 2003 - April 1, 2008
2.E - Indicate if the system certified that the:
• Samples were collected and analyzed using an EPA-approved method and a certified laboratory.
Stage 2 DBPR Implementation Guidance G-19 August 2007
-------
• Treatment did not change significantly since samples were collected. Examples of significant treatment
changes include:
Permanent changes in primary or secondary disinfection type or practice.
Major permanent changes in raw water sources that significantly affected DBP concentrations in
water produced by the plant.
Major permanent changes to plant configuration that affect DBP concentrations.
Major permanent changes in treatment that affect DBP concentrations in water produced by the
plant.
• Distribution system has not changed significantly since samples were collected. Examples of significant
distribution system changes include:
Major, permanent changes in plant production rates.
Installation or removal of high service or booster pump stations, or pump operation schemes.
Major, permanent changes in water use patterns or system hydraulics.
2.F - Indicate if samples submitted are representative of normal operating conditions. Systems should not have
experienced any unusual events or circumstances during the sampling period, such as:
• Main breaks.
• Treatment failure.
• Power failure.
• Periods of drought or flooding that may have had a significant impact on DBP levels in the distribution
system.
2.G - Indicate if the systems sampled at the minimum number of monitoring locations and collected the minimum
number of TTHM and HAAS samples (see table below).
Source Water
Type
Subpart H
Ground Water
System Size Category
(Population Served)
<500
500-3,300
3,301-9,999
10,000-49,999
50,000-249,999
250,000-999,999
1,000,000-4,999,999
>5,000,000
<500
500-9,999
10,000-99,999
100,000-499,999
>500,000
Minimum Number of
Monitoring Locations
3
3
6
12
24
36
48
60
3
3
12
18
24
Minimum Number of Samples
TTHM
3
9
36
72
144
216
288
360
3
9
48
72
96
HAAS
3
9
36
72
144
216
288
360
3
9
48
72
96
2.H - Indicate if the monitoring locations are representative of the entire distribution system.
• Samples must provide good geographic representation.
• Samples must provide good hydraulic representation by including:
Pressure zones.
Sites that address hydraulically remote areas.
• The sampling must include key trouble areas including:
Long dead end lines
Areas down gradient of storage tanks
Stage 2 DBPR Implementation Guidance
G-20
August 2007
-------
Areas with low residual chlorine levels
Areas influenced by booster chlorination (depending on the water chemistry and age)
Part 3: Approval/Disapproval/Modification of System Specific Study Plan
3.A - The reviewer must decide whether any modifications to the Existing Data SSS Plan are necessary. The
reviewer may:
• Request additional information if the minimum requirements have not been met.
• Make the modifications (if the system does not respond to the request for information).
3.B - To ensure the system can begin monitoring as proposed in its plan, the reviewer must notify the system
whether the SSS Plan has been approved or modified within 12 months after the submission due date. If the
reviewer cannot meet these deadlines, the reviewer must notify the system that the review is not complete.
3.C - After completing the checklist, the reviewer must input the information into the Data Collection and Tracking
System (DCTS). The reviewer should record the date when the data was entered into the DCTS.
The comment section is intended for the reviewer to enter information regarding:
• Conversations with PWS.
• Observations or reasons why the SSS should not be approved.
• Details to ensure that anyone else who reviews the document can understand the reviewer's reasoning
or intentions.
Stage 2 DBPR Implementation Guidance G-21 August 2007
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Stage 2 DBPR Implementation Guidance G-22 August 2007
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System Specific Study Existing Data - Checklist
Part 1. PWS Information
1 .A PWS Name:
1.BPWS ID:
1 .C PWS Address:
1 .D Date of Submission:
1.F System Schedule:
1.E Date Assigned:
Part 2. Review of SSS Plan - Existing Data
n YES n NO
2.A
D YES D NO
2.B
D YES D NO
2.C
D YES D NO
2.D
D YES D NO
2.E
D YES D NO
2.F
D YES D NO
2.G
D YES D NO
2.H
Was the SSS Plan submitted by required date?
- Schedule 1 - by October 1 , 2006 - Schedule 3 - by October 1 , 2007
- Schedule 2 -by April 1,2007 - Schedule 4 - by April 1, 2008
Did the system include the required elements?
- Population served by the system
- System type
- Distribution system schematic (showing distribution entry points, sources, storage
facilities, and locations of SSS monitoring and Stage 1 DBPR compliance monitoring)
Did the system identify the peak historical month?
Did the system submit all Stage 1 DBPR monitoring results and other
monitoring results collected beginning with the first reported result (having been
collected no earlier than 5 years prior to the SSS plan submission deadline) and
ending with the most recent Stage 1
DBPR compliance results? - Schedules: 10/1/02-10/1/07
- Schedule 1: 10/1/01-10/1/06 - Schedule 4: 4/1/03-4/1/08
- Schedule 2: 4/1/01 -4/1/06
Did the system certify that:
- Samples were collected & analyzed in accordance with an approved EPA
method and by a certified laboratory.
- Treatment has not changed significantly since samples were collected.
- Samples represented normal operating conditions.
Do the samples represent normal operating conditions?
Did the system sample at the minimum number of monitoring locations and
collect the minimum number of TTHM and HAAS samples (based on population
served)?
Are the monitoring locations representative of the entire distribution system?
Part 3. Approval/Disapproval/Modifications of System Specific Study Plan
n YES n NO
3.A
Is it necessary to make any modifications to the Existing Data SSS Plan?
Stage 2 DBPR Implementation Guidance
G-23
August 2007
-------
n YES n NO
3.B
Was the system notified within 12 months after the due date of the submission
that the plan has been:
Approved
Approved with modifications
Disapproved
Review has not been completed
Date System was Notified:
D YES D NO
3.C
Reviewer has entered the data into the Data Collection and Tracking System
(DCTS). Date:
Comments: (Include notes from any discussions with the PWS. Use additional sheets if necessary)
Initial Reviewer:
Date:
Final Reviewer:
Date:
Stage 2 DBPR Implementation Guidance
G-24
August 2007
-------
System Specific Study Plan Modeling
Background Information for Reviewers
VII. BACKGROUND INFORMATION FOR MODELING SSS
The following information is to assist reviewers utilizing the System Specific Study (SSS) Plan for modeling. It is not
intended to be an extensive review of the SSS requirements. For a more information on SSS requirements, please
refer to the EPA website (www.epa.gov/safewater/disinfection/stage2/) and review the following documents:
• Initial Distribution System Evaluation (IDSE) Guidance Manual
• Initial Distribution System Evaluation (IDSE) Guide for Systems < 10,000
• Factsheet: System Specific Studies for Compliance with the IDSE Provisions of the Stage 2 DBPR
• Small System Guidance Manual for the Stage 2 DBPR
• The Stage 2 Disinfection Byproducts Rule (Stage 2 DBPR) State Implementation Guidance
Which systems should conduct SSS using modeled data?
Systems that have developed a detailed and well-calibrated distribution system hydraulic model that meets the
minimum model requirements can conduct a modeling SSS. If a system's existing model does not meet the
minimum model requirements at the beginning of the IDSE period, the system may be able to upgrade the model to
complete the modeling SSS or use it in combination with other data and analyses to select sites for standard
monitoring. Systems should avoid creating a distribution system hydraulic model from scratch unless it will be used
for other purposes, as it is likely to cost more than conducting standard monitoring.
What are the requirements for systems conducting SSS using modeled data?
Systems conducting an SSS based on existing data are required to prepare SSS Plan based on modeled data.
Systems that have already completed their required monitoring and have calibrated their model can submit their
SSS Plan and IDSE Report together. Forms to help systems complete their Modeling SSS Plan and IDSE Report
are provided in the IDSE Guidance Manual.
What are the minimum requirements for the hydraulic model?
The model must include data describing the physical system, such as pipe length and volume in the distribution
system. The model must simulate diurnal variations in demand over an extended period of time. In addition, the
model must be able to simulate water age during the peak month of TTHM formation using a long enough
simulation so that initial conditions are overcome and 24-hour consistent, repeating pattern of water ages is
demonstrated. Finally, the model must be calibrated and verified no later than 12 months after the system's
required plan submission date.
What are the required elements for the Modeling SSS Plan?
Systems using modeled data must include the following elements in their SSS Plan:
• Population served by the system
• System type
• A distribution system schematic showing entry points, sources, storage facilities, and locations and
dates of all completed and planned monitoring
• Tabular or spreadsheet data demonstrating that the model meets the physical system data
requirements
• A description of all calibration activities undertaken (or to be undertaken)
• Preliminary results of the modeling analysis showing a 24-hour consistent, repeating pattern of water
ages
Stage 2 DBPR Implementation Guidance G-25 August 2007
-------
• Timing and number of samples planned for at least one period of TTHM and HAAS monitoring at a
number of locations no less than that required for the system under standard monitoring during the
month of high TTHM
• Description of how all requirements will be completed no later than 12 months after the required plan
submission date
What is the deadline for completing the Modeling SSS Plan?
Systems must complete Modeling SSS requirements by the dates listed below.
• Schedule 1 - October 1, 2006
• Schedule 2-April 1, 2007
• Schedule 3 - October 1, 2007
• Schedule 4-April 1, 2008
Systems will consider plans approved if they are not contacted within 12 months after submission due date to
inform them of modifications to the plan or that the review is not yet complete.
Stage 2 DBPR Implementation Guidance G-26 August 2007
-------
System Specific Study Modeling- Checklist Instructions
Part 1: PWS Information
1.A - PWS Name - Enter complete PWS name.
1.B - PWSID - Enter the complete 9-character PWSID number.
1.C - Address - Enter mailing address for PWS.
1.D - Date of submission - Enter date when submission was received.
1.E - Date Assigned - Enter date when submission was assigned to the Reviewer.
1.F - Schedule - Enter Schedule information as provided by the System. Reviewer should refer to the DCTS to
ensure the schedule indicated by the system matches the information found in the inventory. The reviewer should
indicate if the schedules do not match.
Part 2: Review of Modeling SSS Plan
Some systems may have used Form 4 from the IDSE Guidance Manual to help them complete their Modeling SSS
Plan. Note that models prepared for long-range master planning purposes are not likely to meet the minimum
requirements. Calibrated models prepared for detailed distribution system design or operational studies are likely to
be adequate.
2.A - Indicate if the system submitted the Modeling SSS Plan no later than the date identified below for the
Schedule. NOTE: If an SSS Plan is submitted late, a monitoring/reporting violation is incurred. However, this does
not preclude the reviewer from approving the plan.
• Schedule 1 - by October 1, 2006
• Schedule 2-by April 1,2007
• Schedule 3 - by October 1, 2007
• Schedule4-by April 1,2008
2.B - Indicate if the Modeling SSS Plan includes:
• Population served by the system
• System type (Subpart H or ground)
• A distribution system schematic showing entry points, sources, storage facilities, and locations and
dates of all completed and planned monitoring
• Description of how all requirements will be completed no later than 12 months after the required plan
submission date
2.C - Indicate if the system submitted a tabular or spreadsheet data model to demonstrate the following physical
system data requirements:
• At least 50 percent of total pipe length in the distribution system.
• At least 75 percent of the pipe volume in the distribution system.
• All 12-inch diameter and larger pipes.
• All 8-inch diameter and larger pipes that connect pressure zones, mixing zones from different sources,
storage facilities, major demand areas, pumps, and control valves, or are known or expected to be
significant conveyors of water.
• All 6-inch diameter and larger pipes that connect remote areas of a distribution system to the main
portion of the system or are known or expected to be significant conveyors of water.
• All storage facilities, with controls or settings applied to govern the open/closed status of the facility that
reflects standard operations.
• All active pump stations, with realistic controls or settings applied to govern their on/off status that
reflects standard operations.
• All active control valves or other system features that could significantly affect the flow of water through
the distribution system (e.g., interconnections with other systems, pressure reducing valves between
pressure zones).
2. D - Indicate if the model includes the extended period simulation (EPS) with representative diurnal variations in
demand. The simulation must also represent total system demand for the peak month of TTHM formation. The
model must simulate water age during the peak month of TTHM formation using a sufficient simulation length to
Stage 2 DBPR Implementation Guidance G-27 August 2007
-------
overcome initial conditions and produce a 24-hour water consistent, repeating pattern of water age. To ensure that
system components, including the storage tank with the highest water age, show a pattern of repeating residence
time, the model must be run for an extended time period.
The reviewer should consider the following information while reviewing demand data:
• "Dead-end" areas that represent significant flow demands, such as industrial customers or large
subdivisions, should be included in the model.
• Water demand should be allocated to as many nodes in the model as possible, and the allocation
should represent the actual spatial distribution of the demands based on metering records. Water
demands from all significant users should be included.
• The model must incorporate the correct water demand for the peak month of TTHM formation.
• System water loss should be taken into account in the allocation of demands.
• Demand variations over the time period of the model should be taken into account. These should
include diurnal demand fluctuations. Where applicable, fluctuation patterns over the day and over the
week that are considered appropriate for each type of user (residential, industrial, etc.) should be used
by the modeler.
• Time steps of 1-5 minutes for model calculations typically produce acceptable results.
• The actual operation of the distribution system (whether it is done manually, through telemetry, through
other system controls, or a combination of these methods) should be simulated for the entire modeling
time period. In general, model controls are either logic or time-based. Logic-based controls initiate an
activity based upon a system condition (e.g., a well pump is activated because the water level in a tank
has dropped two feet). Time-based controls perform an activity simply based on a clock setting (e.g., a
booster pump turns on to pump water to a storage tank from 8:00 to 9:00 A.M. every morning). If
changes in operating conditions typically occur during the period of the model simulation (e.g., weekend
operating conditions vs. weekday conditions), then those operational changes should be included.
The reviewer may want to consider the following questions about the model:
• How was system operation represented in the model?
• What time steps were used?
• How were operational controls represented (e.g., time controls or logic controls etc.)?
• For water quality models, how was water quality simulated?
• How were water demands assigned?
• How were diurnal demands estimated?
• How many demand categories were used?
• How were large demand customers addressed?
2.E - Indicate if the model was calibrated properly.
• Systems must perform a calibration verification using data for the peak month of TTHM formation and
the current system configuration (i.e., operational controls to represent typical operation during the peak
month of TTHM formation).
• The model must be calibrated (or the applicant must have calibration plans) for the current configuration
of the distribution system during the period of high TTHMs.
• Systems must evaluate actual system performance compared to model performance at all storage
facilities in the system.
• A graph must compare predicted tank levels and measured tank levels for the storage facility with the
highest residence time in each pressure zone (if calibration is complete).
• All calibration must be completed within 12 months after plan submission (if not already completed).
• A time series graph of residence time at the longest residence time storage facility in the distribution
system must show predictions for the entire EPS simulation period (if calibration is complete).
• Model output must show 24-hour preliminary average residence time predictions throughout the
distribution system.
When reviewing information on calibration, reviewers should consider the following information and questions:
• When was the model last calibrated? (A model that has not been calibrated in the last 10 years will not
likely produce results consistent with the current system configuration.)
Stage 2 DBPR Implementation Guidance G-28 August 2007
-------
• Was the model calibrated for the month of peak historical TTHM formation potential?
• What types of data were used (e.g., tracer studies, fire flow tests)? The actual data collected for model
calibration will vary according to the characteristics of each system. In general, calibration should
incorporate the following information:
Flow from each pump or pumping facility (including the sequential operation of each pump).
Water level variations in each storage facility.
System pressure readings.
System flow tests (e.g., at hydrants).
• When was this calibration data collected?
• What field tests (e.g., flow testing at hydrants) were done to collect calibration data?
• How were friction factors/C factors determined?
• If a water quality model is used, what parameters were used to calibrate the model? (Chlorine residual,
DBP data, SDS tests, etc.)
• Has the distribution system changed since the model was developed and last calibrated? If so, systems
should describe the changes.
• If the system provided a history of the model development and calibration, what has the model been
used for, and what decisions have been based on the model?
• Did the system collect operational data over a 24-hour time period so that models can be calibrated for
each time step? (Many systems collect operational data using supervisory control and data acquisition
(SCADA) systems, chart recorders, or other types of data loggers.)
2.F - Indicate if the system included timing and number of samples planned for at least one round of TTHM and
HAAS monitoring. The number of locations must be no less than required for the system under standard monitoring
during the month of high TTHM. The reviewer should consider asking how the system plans to use data from its
round of monitoring at TTHM and HAAS sites:
• Will the data be used to corroborate or further calibrate the model?
• If the data is not consistent with model predictions for TTHM, what steps will the system take to explain
the inconsistency?
Part 3: Approval/Disapproval/Modification of System Specific Study Plan
3.A - The reviewer must decide whether any modifications to the Modeling SSS Plan are necessary. The reviewer
may:
• Request additional information from the system if the minimum requirements do not appear to have
been met.
• Make the modifications (if the system does not respond to the request for information).
3.B - To ensure the system can begin monitoring as proposed in its plan, the reviewer must notify the system
whether the SSS Plan has been approved or modified within 12 months after submission due date. If the reviewer
cannot meet these deadlines, the reviewer must notify the system that their review is not complete.
3.C - After completing the checklist, the reviewer must input the information into the Data Collection and Tracking
System (DCTS). The reviewer should record the date the data was entered into the DCTS.
The comment section is intended for the reviewer to enter information regarding:
• Conversations with PWS.
• Observations or reasons why the Modeling SSS should not be approved.
Stage 2 DBPR Implementation Guidance G-29 August 2007
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Stage 2 DBPR Implementation Guidance G-30 August 2007
-------
System Specific Study Modeling - Checklist
Part 1. PWS Information
1 .A. PWS Name: 1 .B. PWS ID:
1 .C. PWS Address:
1 .D. Date of Submission: 1 .E. Date Assigned:
1 .F. System Schedule:
Part 2. Review of Modeling SSS Plan
D YES D NO
2.A
D YES D NO
2.B
D YES D NO
2.C
D YES D NO
2.D
D YES D NO
2.E
D YES D NO
2.F
Was the SSS Plan submitted by required date?
- Schedule 1 - by October 1 , 2006 - Schedule 3 - by October 1 , 2007
- Schedule 2 - by April 1 , 2007 - Schedule 4 - by April 1 , 2008
Did the system include the required elements?
- Population served by the system
- System type
- Distribution system schematic (showing distribution entry points, sources, storage
facilities, and locations of SSS monitoring and Stage 1 DBPR compliance monitoring)
- Description of how all requirements will be completed no later than 12 months after the
required plan submission date
Did the system provide data demonstrating that the model meets the minimum
physical system data requirements?
Did the system provide preliminary results that show 24-hour average water age
predictions throughout the distribution system during the peak month of TTHM
formation?
Did the system provide a description of all calibration activities that were
undertaken, or that will be undertaken to ensure proper calibration of the
model?
Did the system include information on its schedule for TTHM and HAAS
sampling during the month of high TTHM, which would be equivalent to one
period of monitoring required under standard monitoring?
Part 3. Modification and Approval of Standard Monitoring Plan
n YES n NO
3.A
n YES n NO
3.B
n YES n NO
3.C
Is it necessary to make any modifications to the Modeling SSS Plan?
Has the system has been notified by the required date that the SSS Plan is
approved or modified or that the review is not completed?
- Schedule 1 - by October 1 , 2007 - Schedule 3 - by October 1, 2008
- Schedule 2 -by April 1, 2008 - Schedule 4 - by April 1 , 2009
Reviewer has entered the data into the Data Collection and Tracking System
(DOTS). Date:
Stage 2 DBPR Implementation Guidance
G-31
August 2007
-------
Comments: (Include notes from any discussions with the PWS. Use additional sheets if necessary)
Initial Reviewer:
Date:
Final Reviewer:
Date:
Stage 2 DBPR Implementation Guidance
G-32
August 2007
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Appendix H
Data Collection and Tracking
System (DCTS)
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Data Collection and Tracking System (DCTS)
1. Registration Step-by-Step
2. User's Guide for the LT2/Stage 2 Tracking System
Stage 2 DBPR Implementation Guidance H-l August 2007
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Stage 2 DBPR Implementation Guidance H-2 August 2007
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Step-by-Step Registration for Central Data Exchange (CDX)/
Data Collection and Tracking System (DCTS)
Did vou receive a letter from EPA/IPMC providing a Customer Retrieval Key fCRK)?
YES - Follow the directions under "A. Step-by-Step Registration for DCTS using CRK"
NO - Follow the directions under "B. Step-by-Step Registration for DCTS using CDX"
Step-bv-Step Registration for DCTS using CRK (Steps A.1. - A.12. need to be
completed once. Once the password is setup, oo to A.13.)
A.1. Goto: http://cdx.epa.gov/preregistration
A.2. Input the CRK provided in the letter from EPA. You will only input the CRK the first time you enter the DCTS
A.3. Click on "Register"
A.3. Read the Warning Notice and Privacy Statements
A.4. Click on "Click here to continue" - New screen will appear
A.5. Read the Terms and Conditions
A.6. Click on "I Accept" and you will be sent to the registration page - New screen will appear
CDX Registration: User Information
A.7. Note - The user name box will automatically have your user name. This must not be changed (see Figure 1). This is rise
user name you will use in the future each time you log-in to DCTS.
Figure 1
CDX Registration: User Information
Please verify the information in your user profile. Use the TAB key to move from field to field. *
First Name: Mr.
Last Name: Smith
John
* Suffix: —
Please choose a user name and password-trie password must be at least 8 characters long
and contain at least one number. Both passwords and user names are restricted to alpha-
numeric characters and may not begin with a number or contain spaces or symbols, e.g. $ # . "
or @. Your user name should not be a part of your password. If you enter a user name which is
in use, you will be asked to select a new user name.
User Name: SmithJohn *
(More than 7 characters; Don't use $ # .
Password: *
'or@)
Re-enter Password: *
(More than 7 characters w/1 number; Don't use $ # . " or
@)
The Help Desk will use the Secret Question and Answer to authenticate you if you forget your
password. Please enter a secret question which has relevance to you and has an answer which
is not easily guessed by others.
Secret Question:
Secret Answer:
*
*
A.8. Input a password (following recommended format)
A.9. Re-enter the password
A. 10. Input a secret question and answer- This will be used by the Help Desk to authenticate you if you forget your password
A. 11. Click on "Next"
A.12. You should receive a message from "CDX Registration" [EPACDX@csc.com] within 24 hours of submitting your request
Once you have received the e-mail confirming your set-up, you can log into the DCTS.
-------
Figure 2
Central Data Exchange- MyCOX
Welcome, Last Login:
Mr. John Smith Registered Since:
Recertification Date:
CDX Registration Status: Active
You have 0 new messages in your Inbox
Change System Edit Personal Edit Current
Password Information Account Profiles
Available Account Profiles:
• LT2: LT2 Data Collection. LT2/Stage 2 Tracking system, and IDSE Plan/Rep
July 21, 2006
July 21, 2006
July 21, 2006
Add New
Employer Profile
jrl Entry
«j|?
SEE STEP
A. 18.
Loaaina into the Data Collection and Tracking System (DOTS]
Once you have received the e-mail confirming your set-up, you can log into the DCTS.
A.13. Goto: http://www.epa.gov/cdx
A. 14. Click on "Log-in to CDX" (on sidebar) - New screen will appear
A.15. Input your user name - This is the user name created for you when you originally logged in with your CRK (see Step
A.7.)
A.16. Input your password
A. 17. Click on "Login" - New screen will appear
A.18. Click on the long link "LT2: LT2 Data Collection, LT2/Stage 2 Tracking system, and IDSE Plan/Report Entry" program
(see Figure 2). New window will appear
A. 19. To open data system related to submission and review of samples for compliance with the LT2 Rule click on LT2
Data Collection System (see Figure 3)
A.20. To open data system related to submission of your IDSE Plan or IDSE Report for compliance with the Stage 2 Rule
click on IDSE Plan/Report Entry (see Figure 3)
fci
Figure 3
Systems
The system recognizes you as an approved user for the following applications, please select a system to launch...
LT2 Data Collection System
Launches the LT2 Data Collection System for the submission and review of samples
IDSE Plan/Report Entry
Launches IDSE Plan/Report Entry, which will lead you through filling out and submitting your IDSE Plan or Report
-------
Steo-bv-Steo Registration for DCTS using CDX (Steps B.1. - B.18. need to be
completed for registration. Once the password is setup, ao to B.19.)
B.1. Go to: http://www.epa.gov/cdx
B.2. Click on "Log-in to CDX" (on sidebar) - New screen will appear
B.3. Click on "Registration" (on sidebar) - New screen will appear
B.4. Read the Warning Notice and Privacy Statements
B.5. Click on "Click here to continue" - New screen will appear
B.6. Read the Terms and Conditions and click on "I Accept" - New screen will appear
B.7. Input a user's first and last name, user name (following recommended format), password (following recommended
format) and re-enter the password, a question that can be used in case you forget your password, and the answer to the
question - New screen will appear
B.8. Input the water system's name in the Organization Name field and all other requested information. Click on "Next" -
New screen will appear
CDX Registration: Add Program
B.9. Select "LT2: LT2, Stage 2, and IDSE Plan/Report Entry (LT2)" (see Figure 4).
Figure 4
CDX Registration: Add Program
Facility Registry System - Update Service (FRS-US):
Lead-Based Paint Activities (LEAD):
LT2: LT2, Stage 2, and IDSE Plan/Report Entry (LT2):
Ozone Depleting Substances (ODS):
Radionuclide NESHAPs (RAD):
Resource Conservation and Recovery Act Site ID (RCRA):
Stormwater Notice of Intent (eNOI) (SWENOI):
Toxic Release Inventory Made Easy Web (Approved Pilot Submitters ONLY) (TRIMEweb):
Toxic Substance Control Act - HaSD Form (TSCA-HASD):
Compliance Information Systems (VERIFY):
Request Manufacturer Code for OTAQ Compliance (VERIFY MFR REG):
Water Contaminant Information Tool (WCIT):
B.10. Click on "Next" - New screen will appear
Complete Role Information -
B.11. Role is "Asubmitter" only option
B.12. Select "Standard" (This is CDX. This is not where you request DCTS Admin access.)
B.13. Input your water system's federal PWSID (i.e., WA5312345) in the ID field. If you don't know your PWSID please
send an e-mail to stage2mdbp@epa.gov.
B.14. Submission method is "WEBFORM" (only option)
B.15. Click on "Next"
B.16. Read the message
B.17. Click on "Finished"
B.18. You should receive confirmation from "CDX Registration" [EPACDX@csc.com] within 24 hours of submitting your
request. Once you have received the e-mail confirming your CDX set-up, you can log into the DCTS.
Logging into the Data Collection and Tracking System fDCTS]
B.19. Follow steps B.1. and B.2.
B.20. Input your user name and password - This is the user name you choose for yourself when setting up your CDX
account (see Step B.7.). Click "Login" - New screen will appear
B.21. Click "LT2: LT2 Data Collection, LT2/Stage 2 Tracking system, and IDSE Plan/Report Entry" program (see
Figure 2) - New window will appear
B.22. To submit your IDSE Plan electronically for compliance with the Stage 2 Rule click on IDSE Plan/Report Entry (see
Figure 5). This is the final registration step for DCTS users that need to comply with the Stage 2 requirements for only one
water system.
-------
Figure 5
SEE STEP
B.22.
The system recognizes you as an approved user for the following applications, please select a system to l&unch..
If you need access to multiple systems to complete multiple IDSE plans/reports or if you need to comply with the LT2
requirements, you must request access to the LT2 Data Collection System. To obtain access to the LT2 Data Collection
System you must contact your system's DCTS administrator. If you do not know your system's DCTS administrator, e-mail
your system's PWSID, water system name, and CDX user name to stage2mdbp@epa.gov.
B.23. Once access is granted to the LT2 Data Collection System please click on the LT2 Data Collection System link that
will appear above the IDSE Plan/Report Entry link (see Figure 3)
B.24. Click on the "User Profile" icon
B.25. Update information for First Name, Last Name, State, Phone Number, or E-mail Address if any are incorrect (see
Figure 6)
Figure 6
User Profile |
* = Required
The following
SEE
STEP
B.25.
Fie
infc
/
\
d
jrmation is provided by CDX- If you feel any of the information is incorrect, please access CDX to update/verify.
UserNsme :
"Fir si Name
'Las;' Narnv
"State
"phone Number
"Bm^il Address
Smilhjohn
John
Smith
UN
(1231456-7890
johhsmith@somewhere com
Save and Continue Exit Registration
B.26. Click on "Save and Continue"
B.27. Input your water system's federal PWSID (i.e., WA5312345) in the Organization Code field (see Figure 7)
Figure 7
Please enter your Organization ID and click "Lookup Organization." The "Lookup Organization" link will be replaced with a "Request
Access" link and an "Undo" link. If your correct organization is displayed, click "Request Access." If you have incorrectly entered the
organization ID, click "Undo" and repeat the process. If you are an E. coli laboratory and your lab is missing from the list of organizations,
please click "E. coli Lab Registration."
If you are an existing user and would like access to the IDSE Plan/Report entry. Enter the code for the desired PWS and select LT2 from
the system list. Otherwise, you should enter the PWSs organization code in the Program ID field when registering via CDX.
Organization Code
Lookup Organisation
E. co/LLfib Registration Edit User information Save and Continue Exit Registration
B.28. Click on "Lookup Organization" (see Figure 7)
B.29. A new field "System Type" will appear; select "Both" (even if you only need access to one of the rules)
B.30. Click on "Request Access"
B.31. Click on "Save and Continue"
B.32. If you need to request access to additional systems, repeat steps B.27. through B.31. Once you are finished, click on
"Exit Registration."
Once your user name has been authenticated by the DCTS administrator for your system, you will be granted access to
the data system for these additional system(s).
4
-------
User's Guide for the
LT2/Stage 2 Tracking System
May 26, 2006
Prepared for
United States Environmental Protection Agency
-------
USEPA User's Guide for the L T2/Stage 2 Tracking System
Office of Water (4607)
http://www.epa.gov/safewater/disinfection/stage2/index.html
May 2006
-------
USEPA User's Guide for the L T2/Stage 2 Tracking System
Authorship
This User's Guide was prepared under the direction of EPA's Office of Water and was prepared by the
CSC Biology Studies Group under General Services Administration Federal Supply Service Contract No.
GS-10F-0135K.
Purpose
The purpose of this guidance manual is solely to provide technical information for users of the LT2/Stage
2 Data Tracking System. This guidance is not a substitute for applicable legal requirements, nor is it a
regulation itself. Thus, it does not impose legally-binding requirements on any party, including EPA,
states, or the regulated community. Interested parties are free to raise questions and objections to the
guidance and the appropriateness of using it in a particular situation. Although this manual describes
many methods for complying with IDSE requirements, the guidance presented here may not be
appropriate for all situations, and alternative approaches may provide satisfactory performance. The
mention of trade names or commercial products does not constitute endorsement or recommendation for
use.
This User's Guide is available for download in Adobe Acrobat (.pdf) format on the Web at
http://www.epa.gov/safewater/disinfection/stage2/index.htmi.
in
-------
USEPA User's Guide for the L T2/Stage 2 Tracking System
Table of Contents
Section 1. Introduction 1-1
1.1 Organization of User's Guide 1-1
1.2 About the LT2/Stage 2 Tracking System 1-1
1.3 User Roles 1-2
Section 2. Getting Started 2-1
2.1 System Requirements 2-1
2.2 Connecting to the LT2/Stage 2 Tracking System 2-1
2.2.1 New User Registration 2-3
2.3 Updating User-Specific Information 2-5
2.4 Navigation Toolbar 2-8
2.5 Help 2-9
2.5.1 EPA and State User Specific Help Screens 2-9
2.6 Logout 2-11
Section 3. EPA and State Users 3-1
3.1 PWS Maintenance 3-2
3.1.1 Search for PWS .- : 3-2
3.1.2 Search for PWS - Results 3-3
3.1.3 PWS Profile 3-4
3.1.4 PWS Batch Update 3-6
3.
3.
3.
3.
.5 PWS Notification Batch Entry 3-7
.6 PWS Batch Submission 3-9
.7 PWS Notification Records 3-11
.8 Add/Edit Notification Record 3-12
3. .9 Submission Status 3-12
3. .10 Upload Files 3-15
3.2 Reports 3-16
3.3 Contacts 3-17
3.3.1 List Contacts 3-18
3.3.2 Display Contact Information 3-20
3.3.3 Add Contact 3-21
3.3.4 Edit Contact 3-22
3.3.5 Delete Contact 3-23
3.4 Select Application 3-24
3.5 State Profile 3-25
3.6 Submit Comments 3-26
Section 4. Legal and Security Considerations 4-1
4.1 Application Location 4-1
4.2 User Responsibilities 4-1
4.3 Passwords 4-1
IV
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USEPA User's Guide for the L T2/Stage 2 Tracking System
Table of Appendices
Appendix A. Frequently Asked Questions A-1
Appendix B. Glossary B-1
List of Figures
Figure 2-1. Login Screen ..: 2-2
Figure 2-2. CDX Select Application Screen 2-2
Figure 2-3. Systems Screen 2-3
Figure 2-4. LT2 New User Registration Screen - 2-4
Figure 2-5. LT2 New User Registration Organization Identification Screen 2-4
Figure 2-6. LT2 New User Registration Organization Identification Information Screen 2-5
Figure 2-7. User Profile Screen - 2-6
Figure 2-8. User Profile Organization Identification Screen 2-7
Figure 2-9. EPA and State Toolbars 2-8
Figure 2-10. Example Help Screen 2-9
Figure 3-1. EPA/State User Basic Work Flow 3-1
Figure 3-2. Search for PWS Screen 3-2
Figure 3-3. Search for PWS - Results Screen 3-3
Figure 3-4. PWS Profile Screen !3-5
Figure 3-5. PWS Batch Update Screen 3-7
Figure 3-6. PWS Batch Update - Confirmation Screen 3-7
Figure 3-7. PWS Notification Bulk Screen 3-8
Figure 3-8. PWS Notification Batch Entry Screen 3-8
Figure 3-9. PWS Notification Batch Entry - Confirmation Screen 3-9
Figure 3-10. PWS Batch Submission Part 1 Screen 3-9
Figure 3-11 PWS Batch Submission Part2 Screen 3-10
Figure 3-12. PWS Batch Submissions - Confirmation Screen 3-11
Figure 3-13. PWS Notification Records Screen 3-11
Figure 3-14. Add/Edit Notification Record Screen 3-12
Figure 3-15. Submission Status - Selection Submission Screen 3-12
Figure 3-16. Submission Status - Submission Record Screen 3-13
Figure 3-17. Submission Status - Confirmation Screen 3-14
Figure 3-18. Upload Files 3-15
Figure 3-19. Reports Screen 3-16
Figure 3-20. Contacts List Screen 3-17
Figure 3-21. Contacts for Hawaii - Example Screen 3-18
Figure 3-22. Contacts - No LT2 Contacts Example Screen 3-19
Figure 3-23. Contacts - Information Screen 3-20
Figure 3-24. Contacts - Add Screen 3-21
Figure 3-25. Contacts - Edit Screen 3-22
Figure 3-26. Contacts - Delete Screen 3-23
Figure 3-27. Select Application Screen 3-24
Figure 3-28. State Profile Screen 3-25
Figure 3-29. Submit Comments Screen 3-26
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USEPA User's Guide for the L T2/Stage 2 Tracking System
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VI
-------
USEPA User's Guide for the L T2/Stage 2 Tracking System
Section 1. Introduction
Welcome to the User's Guide for the LT2/Stage 2 Tracking System. This document is intended to provide
guidance to state and EPA officials on the various functions of the LT2/Stage 2 Tracking System, which
has been developed to coexist with the Long Term 2 Enhanced Surface Water Treatment Rule (LT2 rule)
System (also referred to as the "LT2 Data Collection System" or simply "LT2").
The Stage 2 Disinfectants and Disinfection Byproducts Rule (DBPR) is one part of the Stage 2 Microbial
and Disinfection Byproducts Rules (M-DBP), which are a set of interrelated regulations that address risks
from microbial pathogens and disinfectants/disinfection byproducts (D/DBPs). The Stage 2 M-DBP Rules
are the final phase in the M-DBP rulemaking strategy, affirmed by Congress as part of the 1996
Amendments to the Safe Drinking Water Act (SDWA).
In addition to the Stage 2 DBPR, the Stage 2 M-DBP Rules include the Long Term 2 Enhanced Surface
Water Treatment Rule (LT2ESWTR), which focuses on microbial pathogens. To balance risks associated
with the control of pathogens and limiting exposure to DBPs, the Stage 2 DBPR and LT2ESWTR are
being developed simultaneously.
Additional information and updates on the Stage 2 DBPR are available on the Web at
http://yvww.epa.gov/safewater/disinfection/stage2/index.html.
If you have additional questions not addressed by this Guide, email LT2 Technical Support at
LT2@csc.com, or contact the LT2/Stage 2 Data Collection and Tracking System user support at (888)-
582-0020.
1.1 Organization of User's Guide
This User's Guide provides guidance on the following aspects of the LT2/Stage 2 Tracking System:
• Section 1 - Provides an overview of the rule and User's Guide organization. It includes
background information on the Stage 2 rule, the LT2/Stage 2 Tracking System, and the various
user roles.
• Section 2 - Provides details on the system requirements, process for connecting to the
LT2/Stage 2 Tracking System, the Administrative User's role, the login process, new user
registration, how to access help, and the logout procedure.
• Section 3 - Provides State and EPA User details.
• Section 4 - Provides legal and security considerations when using the LT2/Stage 2 Tracking
System.
• Appendix A - Addresses Frequently Asked Questions.
1.2 About the LT2/Stage 2 Tracking System
The LT2/Stage 2 Tracking System is a web-based system designed for state and EPA staff to use during
the implementation of the Stage 2 DBPR and the Initial Distribution System Evaluation (IDSE). The
LT2/Stage 2 Tracking System identifies affected Public Water Systems (PWSs) and provides
communication regarding the systems' Stage 2 and LT2 rule requirements.
The LT2/Stage 2 Tracking System also provides a method for updating detailed information for a PWS for
data management purposes. It allows state or EPA staff to view detailed information for a PWS,
1-1
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USEPA User's Guide for the L T2/Stage 2 Tracking System
determine the PWS' Stage 2 and LT2 rule requirements and determine the PWS' compliance group. The
LT2/Stage 2 Tracking System provides a tracking mechanism to review a PWS' submitted IDSE Plan
and/or Report. The tracking portion of the LT2/Stage 2 Tracking System also provides state and EPA staff
with a method of assigning reviewers, classifying a review, and tracking the progress of the IDSE Plan
and/or Report.
Below is a brief summary of the LT2/Stage 2 Tracking System functions:
• Access lists of PWSs limited by search specifications in order to view detailed lists of PWSs that
have the same specifications, such as Compliance Group, State, Combined Distribution System
(CDS) ID, and more;
• View detailed information on a PWS, including Stage 2 and LT2 rule requirements, compliance
schedule, and contact information;
• View, enter, and track notifications sent to PWSs regarding the Stage 2 DBPR or the IDSE.
• Access, edit, and add contacts for a PWS;
• View reports of PWSs according to Compliance Group, CDS ID, Notifications Sent, and IDSE
Plans and Reports;
• Review/approve IDSE Plans and Reports;
• Track the receipt of all IDSE submissions; and
• Track the approval status of the following:
- Standard Monitoring Plans
- System Specific Study Plans
- IDSE Reports
- 40/30 Certifications
- Very Small System Waivers
1.3 User Roles
Two different user roles will access the LT2/Stage 2 Tracking System:
• State User: May view information for PWSs within their state lines.
• EPA User: May view and update information for all PWSs in the system.
Note: User administration functions for the LT2/Stage 2 Tracking System are executed through the LT2
Data Collection System.
1-2
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USEPA User's Guide for the L T2/Stage 2 Tracking System
Section 2. Getting Started
This section provides instructions for connecting to the LT2/Stage 2 Tracking System, the login process,
new user registration information, accessing help, and logging out.
2.1 System Requirements
The LT2/Stage 2 Tracking System was designed to be accessible from most personal computers (PCs)
with an Internet connection. Ensure that you have the following before using the LT2/Stage 2 Tracking
System:
• PC with 486 MHz processor or better; Pentium is recommended;
• One of the following Microsoft Platforms: Windows 95; 98; 2000; XP; or NT;
• Web Browser: Microsoft Internet Explorer (IE), version 5.5 or above; or Netscape Navigator;
version 4.0 or above, with 128-bit encryption; and,
• Internet access; high-speed connection is recommended.
Note: If you have Internet Explorer 6.0 or above, verify that your browser has the following settings
selected: Click on TOOLS and select "Internet Options". Click on the "SECURITY" tab. Click on the "CUSTOM
LEVEL..." button. Scroll down to "Microsoft VM," and change the Java Permissions by selecting the "Low
Safety" radio button. Scroll down to "Miscellaneous", and change the "Access Data Across Domains" to
enable. Repeat with "Allow Meta Refresh" and "Display mixed content."
No additional hardware, software, or tools should be needed.
2.2 Connecting to the LT2/Stage 2 Tracking System
The LT2/Stage 2 Tracking System is accessed via the CDX. To access the LT2/Stage 2 Tracking System,
perform the following steps:
• Open your Web browser connected to the Internet.
• Open the CDX home page available on the Web at https://cdx.epa.gov/SSL/cdx/login.asp.
• Read and acknowledge the warning notice and privacy statement
• Log in with your user name and password (shown in Figure 2-1)
• Select the LT2: LT2/Stage 2, and IDSE Plan/Report Entry link (shown in Figure 2-2)
2-1
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USEPA
User's Guide for the L T2/Stage 2 Tracking System
If you have forgotten your password, or if yout password doesnt work, you may re-establish your password by clicking here
Central Data Exchange Login
Warning Notice
1 EPA's Centia! Data Exchange Registration procedure is part of a United Stales Environmental Protection Agency (EPA) computer
I system, which is for authorized use only Unauthorized access or use of this computer system may subiect violators to criminal, civil.
I and/or administrative action Alt information on this computer system may be monitored, recorded, read, copied, and dis-closed by and
I to authorized personnel for official purposes, including lav-/ enforcement. Access or use ot this computer system by any person.
| whether authorized or unauthorized, constitutes consent to these terms
Privacy Statement
I EPA will use the personal identifying information which you provide for the expressed purpose of registration to the Central Data
I Exchange, site and for updating and correcting information in internal EPA databases as necessary The Agency will not make this
I information available for other purposes unless required by law. EPA does not sell or otherwise transfer personal information to an
1 outside third party {F>'d'.jr_aj_R_gni>ter MaKhJb., JULC (V'.okuri^ 6/. Nurnbeij^jJfPage .C'LjlQ.- j ^Ul 3]
User Name
Password
Figure 2-1. Login Screen
Figure 2-2. CDX Select Application Screen
2-2
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USEPA User's Guide for the L T2/Stage 2 Tracking System
CDX will now redirect you to the LT2/Stage 2 Tracking System, which will open in a new window,
once there the Select Application screen is displayed as shown in Figure 2-3.
Click on the "LT2/STAGE 2 TRACKING SYSTEM" link to access the LT2/Stage 2 Tracking System.
Systems
The system recognizes as you an approved user for the following applications, please select a system to launch..
L12...Data..C.olieciJon..S.vfiern
Launches the LT2 Data Collection System for the submission and review of samples
LT2/Stage2 Tracking system
Launches the U2/Sfage 3 1 racking System for compliance tracking, notification tracking, and reports
Figure 2-3. Systems Screen
2.2.1 New User Registration
The LT2/Stage 2 Tracking System utilizes EPA's CDX as its authentication mechanism. Users will first
have to register for access via CDX before they are able to access the LT2/Stage 2 Tracking System. To
request access to the LT2/Stage 2 Tracking System, perform the following steps:
• Open your Web browser connected to the Internet.
• Open the CDX home page available on the Web at https://cdx.epa.gov/SSL/cdx/login.asp.
• Read and acknowledge the warning notice and privacy statement
• Access the registration pages and create your user profile by submitting the following user
information:
o Name (including first and last name, with prefix, middle initial, and suffix being optional)
o User Name
o Password (with a second entry of the password for confirmation
o Organization (including name, address, city, state, zip code, and country)
o Phone Number
o E-mail Address
o Secret question and answer
• Select the LT2: LT2/Stage 2, and IDSE Plan/Report Entry from the list of available applications
• EPA will review your registration information and confirm that you are eligible for access to the
LT2/Stage 2 Tracking System
• Once your eligibility to access the system is confirmed you will receive an email from CDX
granting you access to the system.
After you have been notified of your access to CDX you will need to complete your registration
process within the LT2/Stage2 Tracking system. To do this please following the steps below:
• Open your Web browser connected to the Internet.
• Open the CDX home page available on the Web at https://cdx.epa..qov/SSL/cdx/login.asp.
2-3
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USEPA
User's Guide for the L T2/Stage 2 Tracking System
Select the LT2: LT2/Stage 2, and IDSE Plan/Report Entry link, (shown in Figure 2-2)
Verify the user profile information displayed, select your State, and click Save and
Continue.(shown in Figure 2-4)
*= Required Field
The following information is provided by CDX. If you feel any of the information is incorrect, please access CDXlo update/verify.
jUsei'Natiie :
| first Name
I *Last Name
I
"StaK
I "Phone, NumiM
\*£maif Adtlrvsx
BiLLIETEST
billie
test
VA
7038184223
bschwetz@csc.com
Save and Continue Exit Reqistiation
Figure 2-4. L T2 New User Registration Screen -
After completing your contact information, you will be prompted to enter the organization ID(s) for the
organization(s) you represent. To request access to an organization, enter the organization ID and click
"LOOKUP ORGANIZATION". Figure 2-5 provides an example of the "LT2 New User Registration Organization
Identification" screen. If a valid organization ID was entered, the page will refresh and display the
corresponding organization name. Verify this information, select "Stage2" or "Both" from the system
dropdown to indicate which system you would like to request access to and click "REQUEST ACCESS". The
organization you requested will be added to the list of organizations you represent.
Please enter your Organization ID and click "Lookup Organization." The "Lookup Organization" link will be replaced with a "Request
Access" link and an "Undo" link. If your correct organization is displayed, click "Request Access." If you have incorrectly entered the
organization ID, click "Undo" and repeat the process If you are an E coi1 laboratory and your lab is missing from the list of organizations
please click "E. coiiLab Registration "
Organization Cade
;, coff Lab Registration
Edit Uses Information
Save and Continue
-------
USEPA
User's Guide for the L T2/Stage 2 Tracking System
LT2/Stage 2 is limited to EPA and State users only. Users may only enter one organization for Stage 2.
The system will confirm registration in the top section of the form. After you have requested access to the
necessary organization, click "SAVE AND CONTINUE" at the bottom of the screen. A new screen will open,
detailing the information you provided to the LT2 Data Collection System. If any information is incorrect,
you may return to the previous screens by clicking the appropriate link at the bottom of the summary
screen, as seen in Figure 2-6.
The
Pie
Ace
org;
pies
If yo
the
system recognizes you as the Administrative User for the following organizations:
Organization Type
PWS
PWS
Organization Name Organiza
Test PWS 3a VA3a
VATest PWS 1o VA1o
tion Code
YOU have been granted access to the following organizations:
Organization Type
EPA EF
Laboratory V/-
Organization Name Organization Code
A OGWDW EPA
. Post Beta Test Lab VA01 1079
sse enter your Organization ID and click "Lookup Organization ." The "Lookup Organization" link will be repla
ess" link and an "Undo" link. If your correct organization is displayed, click "Request Access." If you have ir
nization ID, click "Undo" and repeat the process If you are an E. coli laboratory and your lab is missing fror
se click "E. coli Lab Registration "
u are an existing user and would like access to the IDSE Plan/Report entry. Enter the code for the desired
system list Otherwise, you should enter the PWSs organization code in the Program ID field when registeri
Organization Code
LaiM|L..Ql.g.ank.atiori
£. coli Lab Registration Edit User Information Save and Continue Exit Retiist
System
Both
LT2
ced with a "Request
correctly entered the
n the list of organizations,
DWS and select LT2 from
ng via CDX.
tafion
Figure 2-6. L T2 New User Registration Organization Identification Information Screen
2.3 Updating User-Specific Information
After you have registered with the system, you can view your personal contact information by clicking on
the "USER PROFILE" link on the navigational toolbar at the left-hand side of the screen. You will be able to
verify your contact information and select your state. To update your contact information, go to your
MyCDX page. Figure 2-7 provides an example of the "User Profile" screen for data review and entry.
2-5
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USEPA
User's Guide for the L T2/Stage 2 Tracking System
*= Required Field
The following information is provided by CDX. If you feel any of the information is incorrect, please access CDXto update/verify
[UserMawie :
I 'first Name
jTasf Name
"State
| ffmne Numtmr
1 fntai! Address
BILLIETEST
bilhe
test
VA
7038184223
bschwetz@csc.corn
Save am1 Coritiin
fcxit Registration
Figure 2-7. User Profile Screen -
After you have selected your state, click the "SAVE AND CONTINUE" link to proceed to the next section and
edit your organization information. The system will confirm registration to previously selected
organizations listed at the top of the screen. If you would like to remove any organizations from this list,
click the corresponding "DELETE" button.
To request access to a new organization, enter the organization ID and click the "LOOKUP ORGANIZATION"
link. If a valid organization ID was entered, the page will refresh displaying the corresponding organization
name. Verify this information and click the "REQUEST ACCESS" link to add the selected organization to the
list of organizations you represent. If you have incorrectly entered the organization ID, click "UNDO" to
repeat the process. You may repeat the process until all of the organizations you represent have been
entered. Figure 2-8 provides an example of the "User Profile Organization Identification" screen.
2-6
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USEPA
User's Guide for the L T2/Stage 2 Tracking System
User Profile ?.•/',:•': :--^;:ri/;v:';"-V : 'i'- ^:':. :•••"•• VA • '•">:.%>•,•'•' .'-*.-.•,-, . ; •:•{
The
I
system recognizes you as the Administrative User for the following organizations
-
Organization Type
PWS
PWS
Organization Name
Test PWS 3 a
VATest PWS 1o
Organization Code j
VA3a
VA1 o
YOU have been granted access to the following organizations:
Organization Type
EPA EP
Laboratory IVA
Organization Name j Organization Code
A OGWDW j EPA
Post Beta Test Lab VA01 1079
System
Both
LT2
You have requested to access for the following organizations:
Organization Type
State
Organization Name
Virginia
Organization Code
VA
System
LT2
Delete
Please enter your Organization ID and click "Lookup Organization " The "Lookup Organization" link will be replaced with a "Request
Access" link and an "Undo" link. If your correct organization is displayed, click "Request Access." If you have incorrectly entered the
organization ID, click "Undo" and repeat the process. If you are an £. co//laboratory and your lab is missing from the list of organizations
please click "E co//Lab Registration."
If you are an existing user and would like access to the IDSE Plan/Report entry. Enter the code for the desired PWS and select LT2 from
the system list. Otherwise, you should enter the PWSs organization code in the Program ID field when registering via CDX.
Organization Code
E. coti la
lookup Organization
iJififl Edit UserJnfgrmation Save and Continue Exit Registration
Figure 2-8. User Profile Organization Identification Screen
After you have requested access to the necessary organization(s), click the "SAVE AND CONTINUE" link at
the bottom of the screen, a summary of the information you submitted to the system will be provided. If
any information is incorrect, you may return to the previous screens by clicking the appropriate link at the
bottom of the summary screen.
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2.4 Navigation Toolbar
Upon successful login, a navigation toolbar will appear on the left-hand side of each page of the system
that will allow you to quickly select the function you wish to access. Examples of the navigation toolbars
are provided in Figure 2-9. A detailed explanation of each toolbar item is provided in Section 3, which
specifically addresses the EPA and State roles.
Figure 2-9. EPA and State Toolbars
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User's Guide for the L T2/Stage 2 Tracking System
2.5 Help
The Help module of the LT2/Stage 2 Tracking System is designed to provide you with a set of instructions
relevant to the screen on which you are currently working. The Help module will appear in a new window
to enable you to view both the LT2/Stage 2 Tracking System and the help text simultaneously. An
example of the "Help" screen is included in Figure 2-10.
-
Screen Purpose
The Search for PWS screen allows a user to select and enter different criteria in order to return a list of PWSs for
which to view information.
User Help for this Screen
• To search for a PWS, select one or more of the search criteria displayed in the table by clicking the
corresponding radio button next to the criterion. Enter the criterion in the field or pick trie desired value
from the drop-down menu.
• After you have selected your desired search criteria, click on the "SEARCH" link to display the search
results.
• By default, all Active systems will be included in the search. If you would also like to include closed
systems, click the check box to the left of Include Closed Systems.
• If a Region/State Code is selected as the search criterion, the user must also select a sub-criteria to
search on.
• To clear all search selections, click "RESET".
Additional help information can be accessed through the Tshfe of Contents: If you have additional questions not
addressed by the help module, please e-mail LT2 Technical Support, at LT2&csc.com. or contact the LT2
Hotline, at (703) 4&1-2100.
Close Window
Figure 2-10. Example Help Screen
You can receive general LT2/Stage 2 Tracking System help tips by selecting the "GENERAL HELP TIPS FOR
ALL USERS" link on the Table of Contents.
Detailed help text screens are outlined in the following section.
2.5.1 EPA and State User Specific Help Screens
The following help screens are available to the LT2/Stage 2 Tracking System User:
• PWS Maintenance - Search for PWS
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USEPA User's Guide for the L T2/Stage 2 Tracking System
Search Results
- PWS Profile
- View Contacts
o View Contacts / Contact List
o View Contact Information
o Edit / Create New Contact
- View Notifications
o PWS Notification Records
o Add / Edit Notification Records
View Submissions
o Submission Status
o Upload Files
- PWS Batch Update
- PWS Notification Batch Update
- PWS Batch Submissions
Reports
- Report Selection
Compliance Groups
- CDS Information
- IDSE Information
- Notification Information
Compliance Schedule (EPA Users only)
State Profile
Contacts
- Official Contact List
- View Contacts / Contact List
- View Contract Information
- Edit / Create New Contact
Submit Comments
New User Registration
- Contact Information, User Name and Password, Secret Question and Answer
Associate Organizations
Confirmation
User Profile
- Update Contact Information
- Update Associated Organizations
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USEPA User's Guide for the L T2/Stage 2 Tracking System
2.6 Logout
You will be logged out of the LT2/Stage 2 Tracking System upon selecting the logout option from the
navigation toolbar. You must repeat the login process to regain access to the LT2/Stage 2 Tracking
System through CDX. There is also an automatic time-out function built into the database that logs you
out after 30 minutes of system inactivity.
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User's Guide for the L T2/Stage 2 Tracking System
Section 3. EPA and State Users
This section provides screen-specific instructions for EPA and State Users. The basic EPA and State
User capabilities are similar and displayed in Figure 3-1.
1,
,:
^
: 'T ^rlfeit^^s*!
Sescch PWSs
AociS'5 a is-st ol
available reports
/
/J
\*
\
V
iviewcdit PWS information
Update PW! Information few
multiple PWS
Enter Notitcanons tor muitip'e
PWS
EnMi /Update Submt£«ian
ifif or mat idjri tttr multiple PWS
\\
\ X.
v, v-.x
'•• XA
\
s
\
•«
Compliance Oro-up
Erfcr/Add
NotiticsSims
Cent acts
Submission
find Llpiosd
Files
2nd Release
\\ y CDS )nfccmotion
V1 ] Displays COS Ini-onrtak^ for esch ?WS
\\] '
2nd Release
Figure 3-1. EPA/State User Basic Work Flow
All EPA and State functions described in this section are initiated by logging into CDX and accessing the
LT2/Stage2 Status Tracking System link, available on the Web at hups://cdx.epa.gov/. The LT2/Stage 2
Tracking System displays a navigation toolbar on the left-hand side of the screen, from which you can
select the appropriate link. When you log in to the LT2/Stage 2 Tracking System, the system will advance
directly to the "Search for PWS" screen.
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User's Guide for the L T2/Stage 2 Tracking System
3.1 PWS Maintenance
The PWS Maintenance function provides screens that are used to view and/or edit information pertaining
to a specific PWS or groups of PWSs.
3.1.1 Search for PWS
The "Search for PWS" screen allows a user to select and enter different criteria in order to return a list of
PWS(s) for which you can view information. You can set search specifications for PWS Name, CDS ID,
Letter Type, Notice Name, or Region/State Code. If Region/State Code is selected, you can further refine
the search specifications by using the sub-criteria PWS ID, Compliance Schedule, PWS Plan Status -
Submission Type, Plan/Report Type, Submission Status, Approval Status, Triage Decision, Stage 2 Rule
Requirements, and LT2 Rule Requirements. You can also expand your search by selecting the Include
Closed Systems option. Figure 3-2 provides an example of the "Search for PWS" screen.
I
Fin
'j the desired PWS by selecting from the following search criteria options below.
r\
'"'••
PWS Name
CDS ID
Letter Type
Notice Name
Region/State Code
D
D
D
D
D
D
PWS ID
Compliance Schedule
PWS Plan Status -Submission Type
Plan/Report Type
Submission Status
Approval Status
Triage Decision
Stage2 Rule Requirements
LT2 Rule Requirements
Select Letter Type
Select Notice Name
All All
Select State Code First
Compliance Group 1
Monitoring plan
All
All
All
All ' !:i;:
All
All
D Include Closed Systems
SEARCH RESET
Figure 3-2. Search for PWS Screen
To search for PWSs, first, select the major search specification by clicking the radio button on the left-
hand side of the screen. If Region/State Code is selected, the system will populate the second drop-down
menu with the states within the selected Region. Select the appropriate information from the drop-down
menu. To clear the selection specification entered, click on the "RESET" button.
Note: The Region selection allows the user to select all PWSs in an EPA Region by selecting 'All' in the
second drop-down menu.
After you have entered the search specification, click on the "SEARCH" link to display the "Search for PWS
- Results" screen.
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User's Guide for the L T2/Stage 2 Tracking System
3.1.2 Search for PWS - Results
The "Search for PWS - Results" screen displays a list of all PWSs that fit within the search specifications
entered in the "Search for PWS" screen. Here users are able to access a PWS' profile, update information
for multiple PWSs at a time, view notifications, enter notifications for multiple PWSs, and view submission
status. Up to 25 PWSs may be viewed at one time. If more than 25 PWSs match the search
specifications, navigation buttons will be displayed to permit the user to click through the rest of the data.
There are buttons to move to the next set of 25 PWSs (»), the last set of 25 PWSs (|>), the previous 25
PWSs («), and the first set of 25 PWSs (<|). Figure 3-3 provides an example of the "Search for PWS -
Results" screen.
The following links are provided to assist in screen navigation. To modify your search results, click the
"MODIFY SEARCH" link located at the top of the screen. To start a new search, click the "PWS MAINTENANCE"
link located in the left-hand navigation bar. To sort the results list, click the hyperlinked column name to
sort the current set of 25 results by the column selected, in ascending order.
Search for PWS - Results
Searched for:
PWS Name : Test
Modify Search
Click on a PWS name for more details. To perform a batch update, select the desired PWSs (by clicking the appropriate checkbox) and
click one of the three icons Click the checkmark to select all PWSs. Click the column headers to sort the search results below Due.to
the number of possible results displayed your batch process are limited to the PWS within a group. PWSs are displayed in groups of 25,
you cannot select a PWS from a different group to include in your batch process.
Note: The bulk notification process will only update the first 500 systems in your search results. If your results returned more than 500
records you will need to perform a regular batch update (click Cancel instead of OKI for the remaining systems. It is recommended that
you limit your search results as much as possible to keep your bulk update within the 500 system restriction. For additional information
regarding both of these processes please click the Help link on the Batch Notifications page.
VIEW/EDIT PROFILE
VIEW NOTIFICATIONS
VIEW SUBMISSION. STATUS
» |> (1 to 26) of 58
PWSHatna
D
OH3138312
9999
n
OH3138412
9999
n
NJ1 107300
9999
n
F LI 464063
9999
D
PA4560305
9999
D
HOPE PROTESTANT REFORMED SCHOO
MI4 120578
9999
n
NM3590607
9999
Figure 3-3. Search for PWS - Results Screen
State Users are limited to PWSs within their jurisdiction.
From the "Search for PWS - Results" screen, you can view or edit individual PWSs. To view an individual
PWS Profile, click the hyperlinked PWS name, or select the check box to the left of the PWS Name, then
click the "VIEW/EDIT PROFILE" link located above the results table. The procedure for editing an individual
PWS Profile is described in Section 3.1.3, PWS Profile.
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USEPA User's Guide for the L T2/Stage 2 Tracking System
To view/add notifications for an individual PWS, select the check box to the left of the PWS Name and
click the "VIEW NOTIFICATIONS" link located above the results table, then click Cancel. The procedure for
adding a notification to a PWS is described in Section 3 1.7, PWS Notification Records.
For your convenience, the LT2/Stage 2 Tracking System allows you to update information for multiple
PWSs at one time; this is referred to as a batch update. To select multiple PWSs for batch update, click
the check box to the left of each PWS you would like to update.
Note: Clicking the green check box I I at the top of the check box column automatically selects all
PWSs.
To batch update Retail Population, CDS ID, and PWS Type, for multiple PWSs at one time, click the
"VIEW/EDIT PROFILE" located above the results table to access the "PWS Batch Update" screen. The
procedure for performing these batch updates is described in Section 3.1.4, PWS Batch Update. To batch
update notifications for multiple PWSs at one time, click the "VIEW NOTIFICATIONS" link located above the
results table to access the "PWS Notification Batch Entry" screen. The procedure for performing these
batch updates is described in Section 3.1.5, PWS Notification Batch Entry. To batch update or enter
submission information for multiple PWSs at one time, click the "VIEW SUBMISSION STATUS" link located
above the results table to access the "PWS Batch Submissions" screen. The procedure for performing
these batch updates is described in Section 3.1.6, PWS Batch Submissions.
3.1.3 PWS Profile
The "PWS Profile" screen allows users to edit details for a particular PWS, and to change their Stage 2 or
LT2 compliance groups and rule requirements. Figure 3-4 provides an example of the "PWS Profile"
screen.
The Stage 2 Calculated Compliance Group field is a calculated value, based on the population served by
the PWS and their CDS ID. This value is recalculated when a change is made and saved in the details
table.
The Stage 2 and LT2 Rule Requirements fields are calculated based on the PWSs Population, PWS
Type, and Source Water type. This value is recalculated when a change is made and saved in the details
table.
Existing information for each field is displayed as a value. To edit information, select a new value from the
drop-down menu or enter a value in the text entry field. Click the "SAVE" link at the bottom of the details
table to save your changes.
The user must ensure that a value exists for all required fields. Drop-down menus are provided for
selections for the PWS Type and Source Water Type fields.
The following links are provided to assist in screen navigation. To view/add notifications for an individual
PWS, click the "VIEW NOTIFICATIONS" link located at the top and bottom of the screen. To view/add
contacts for an individual PWS, click the "VIEW CONTACTS" link located at the top and bottom of the screen.
To return to your search results, click the "VIEW SEARCH RESULTS" link located at the top and bottom of the
screen. To view/add a submission record or upload a file, click "VIEW SUBMISSIONS STATUS".
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User's Guide for the L T2/Stage 2 Tracking System
:.-;IWSjl jftak* 17*
VIEW SEARCH RESULTS VIEW CONTACTS VIEW NOTIFICATIONS VIEW SUBMISSION STATUS
^PWS ID
•'f'WS Niarne
Status
*PWS Type
*Sou;ce Watm Type
'Retail Po|jy^*son
CDS ID
location Address
$ or
*
L o *z s
AL0000888
PWS Intake 17
active
r \A/S
GU
1821 j
20
1 07B WHOLESALE AVENUE
3581 1
AL 4
256-532-1659 exi.
kblanchet@fedcsc com
2005-06-15 1444 18.0
User Hams
I PHI Ennrhnt
Modified ftat?
2005-11-15 17-07:33.0
Calculated
Compliance broup 3 Q Alternative Stage 2 Schedule Approved
SAVE CANCEL
D Alternative LT2 Schedule Approved
Below is an inventory of all documents submitted by this PWS Click on the hypeilinked document name to view the actual document
Submission T^pe
Monitoring Plan
IDSE Report
LT2 Data
Document 1 ype
SMP
Distribution System Schematic
IDSE Justifications
Oa*e Rsceived
02.O8/2006
02/28/2006
02/28/2006
¥es sjjcm s-
VIEW SEARCH RESULTS VIEW CONTACTS VIEW NOTIFICATIONS VIEW SUBMISSION STATUS
Figure 3-4. PWS Profile Screen
State Users will have not have access to PWSs that fall outside of their jurisdiction.
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USEPA User's Guide for the L T2/Stage 2 Tracking System
To remove Stage 2 and/or LT2 Rule Requirements, click the "Remove Rule Requirements" check box
next to the appropriate section for Stage 2 or LT2. To reset the Stage 2 and/or LT2 Rule Requirements,
uncheck the "Remove Rule Requirements" check box. This feature was designed to remove PWSs that
have no requirements under the Stage 2 DBPR from the tracking features of the database, such as
groundwater systems that do not disinfect or deliver water that has been disinfected with something other
than UV light.
As mentioned above, the compliance schedules for each PWS is calculated according to the rule
requirements based on population and combined distribution system connections (CDS ID). As
necessary, an alternative compliance schedule can be set for PWSs. Note: This does not change the
requirements for that PWS under the Stage 2 DBPR. If a system misses the compliance deadline for
submitting an IDSE plan or report as required in the Stage 2 DBPR, the system will receive an M/R
violation. Rather, this feature is intended for instances where it is necessary to track compliance for a
PWS based on alternate dates. For example, if a PWS submits a 40/30 certification that is not approved
by the State/EPA, that PWS will then be required to submit a standard monitoring plan or a system
specific study plan. If the original compliance date for that PWS has already passed, the alternative
schedule feature in the database could be used to set a date by which this PWS must submit the new
plan. (In this instance, the PWS would not receive a violation if they submitted their 40/30 certification by
their compliance date.) To set an Alternative Stage 2 Compliance Schedule, click the "Alternative Stage 2
Schedule Approved" check box. Additional fields will appear on the screen. Select the new schedule and
enter comments regarding why the change in schedule was made. Click "SAVE" below the Stage 2
Information table to save your changes. If you select Custom as your alternative schedule, you will be
required to enter a Plan Due Date and a Report Due Date for your new schedule.
WARNING: Once you select and save an alternative schedule, you will not be able to remove it. You
may update the schedule at a later date, but you will always be assigned an alternative schedule. To
return a PWS to their original compliance schedule, you will need to select the correct schedule from the
drop down in the alternative schedule box.
To view a list of documents submitted by the PWS, scroll down to the Document Inventory portion of the
PWS profile. To view a specific document, click the hyperlinked name in the Document Type column.
To set an Alternative LT2 Compliance Group, click the "Alternative LT2 Schedule Approved" check box.
Additional fields will appear on the screen. Select the new schedule and enter comments regarding the
change in schedule. Click "SAVE" below the information table to save your changes. Note: This does not
change the requirements for that PWS under the Stage 2 DBPR. If a system misses the compliance
deadline as required in the LT2ESWTR, the system will receive a violation.
3.1.4 PWS Batch Update
The "PWS Batch Update" screen allows users to update a select amount of PWS Profile information for
multiple PWSs at one time. Existing information for each selected PWS is displayed in a table. Users may
update a PWSs Retail Population, CDS ID, and/or PWS Type. Figure 3-5 provides an example of the
"PWS Batch Update" screen.
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USEPA
User's Guide for the L T2/Stage 2 Tracking System
Select Batch Update Type: Update F'WS Profile
To return to your previous search results click the "RETURN TO SEARCH RESULTS" link. Please note that this will return you
to the beginning of your search result list and your previous selections on the result page will be removed.
Obtain Mew CDS ID
PWS Name
PWSSD
Retail
Population
CDS ID
PWS Type
Calculated Compliance
CINCINNATI TEST SYSTEMS #1
OH313831:
58
9999
NTNCWS
Compliance Schedule 4
CINCINNATI TEST SYSTEMS #2
OH313841:
34
9999
NTNCWS
Compliance Schedule 4
CONFIRM CHANGES
RETURN TO SEARCH RESULTS
Figure 3-5. PWS Batch Update Screen
The following links are provided to assist in screen navigation. To perform a different batch update to the
selected PWSs, select the type from the Select Batch Update Type drop-down menu and click "VIEW". To
return to your search results, click the "RETURN TO SEARCH RESULTS" link located at the top and bottom of
the screen.
To edit information, select or enter a new value for the appropriate field and PWS. Click the "CONFIRM
CHANGES" link at the bottom of the details table to review a list of all changes. A "PWS Batch Update"
confirmation screen will display. You can use this screen to edit the changes you have already made.
Figure 3-6 provides an example of the "PWS Batch Update" confirmation screen.
•PWS Mam*
GREATER MANASSAS SERVICE AREA
MANASSAS PARK, CITY OF
MANASSAS, CITY OF
SAVE
- ID
VAB 153251
VA6687100
VA6685100
R«Mil Population
728900
108000
400000
CDS ID
468
468
468
Pws Ty j»«-
CWS
cws
cws
Compliance Schedule I
Compliance Group 1
Compliance Group 1
Compliance Group 1 [
BUI
Figure 3-6. PWS Batch Update - Confirmation Screen
To edit your changes, click the "EDIT" link on the confirmation screen.
Once you have confirmed your changes on the confirmation screen, click the "SAVE" link to save your
changes.
3.1.5 PWS Notification Batch Entry
The "PWS Notification Batch Entry" screen allows users to enter an existing or new notification for
multiple PWSs at one time. Prior to accessing the batch entry screen users are provided with the option
of doing a bulk update. Users will be presented with a question each time they access the View
Notifications link. If you would like to perform a bulk batch notification that allows you to update up to 500
systems at a time, click OK. If you prefer to update the PWS(s) you selected, click Cancel. Figure 3-7
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USEPA
User's Guide for the L T2/Stage 2 Tracking System
provides an example of the "Bulk Notification" question screen. Figure 3-8 provides an example of the
"PWS Notification Batch Entry" screen.
It is recommended that you perform batch notifocations per State and Compliance Schedule. Please ensure you have performed a search on state and
compliance schedule before you continue. Do you want to include all PWSs from your search results (up to 500) in your batch update? If yes, click OK,
If you prefer to enter notifications ONLY for the PWSs you selected, click Cancel to continue.
Figure 3-7. PWS Notification Bulk Screen
PWS Notification Batch Entry
Select Batch Update Type: Enter Notification
To enter a previously generated notice, select the Notice Name from the appropriate drop-down. To enter a new Notice Name, select "Other"
from the drop-down and enter a value in the provided text box
To return to your previous search results click the "RETURN TO SEARCH RESULTS" link Please note that this will return you to the beginning
of your search result list and your previous selections on the result page will be removed
If you are selecting an existing notification you may only enter a date in the Notification Sent Date field All other fields are inactive and cannot
be edited.
•Notice Name - ID
Select available notices
if other
"Letter Tjpe
•Notice Sent Bats
-^
Hie Mama' j File Date j 'Description
^j
PWS itame -PWSf)
OH3138312-CINCINNATI TEST SYSTEMS #1
PWS Name
OH3138412-CINCINNATI TEST
RETURN i TO SEARCH RESULTS CONFIRM,
rmsm
SYSTEMS #2
CHANGES
Figure 3-8. PWS Notification Batch Entry Screen
The following links are provided to assist in screen navigation. To perform a different batch update to the
selected PWSs, select the type from the Select Batch Update Type drop-down menu and click "VIEW". To
return to your search results, click the "RETURN TO PWS RESULTS" link located at the bottom of the screen.
To edit information, select or enter a new value for the appropriate field. For Notice Sent Date and File
Date, enter a date in mm/dd/yyyy format, or select a date from a calendar by clicking the calendar icon.
Click the "CONFIRM CHANGES" link at the bottom of the screen to review a list of all changes. A "PWS
Notification Batch Entry" confirmation screen will display. You can use this screen to edit the changes you
have already made. Figure 3-9 provides an example of the "PWS Notification Batch Entry" confirmation
screen.
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User's Guide for the L T2/Stage 2 Tracking System
P:\ITG\Official.doc 106/13/2005 This is the official notification
Notification_Large \ Official
The above data will be saved for the following PWS
I VA6153251-GREATER MAJxlASSAS
Nam*- PWS ff»
VA6687100-MANASSAS PARK, CITY OF
^VAE685100-MANASSAS, CITY OF
uin t» PWS Results
E.lit
Figure 3-9. PWS Notification Batch Entry - Confirmation Screen
To edit your changes, click the "EDIT" link on the confirmation screen.
Once you have confirmed your changes on the confirmation screen, click the "SAVE" link to save your
changes.
To return to your search results, click the "RETURN TO PWS RESULTS" link located at the bottom of the
screen.
3.1.6 PWS Batch Submission
The "PWS Batch Submission" screen allows users to update an existing submission record or create a
new submission for multiple PWSs at one time. PWS Batch Submission is a two-step process that allows
you to enter/update several fields of information for a PWSs submission record. Figure 3-10 and Figure
3-11 provides an example of the "PWS Batch Submission" screen.
Select Batch Update Type: Update PWS Submissions
Select Submission Type: Monitoring Plan
VIEW
To return to your previous search results click the "RETURN TO SEARCH RESULTS" link. Please note that this will return you to
the beginning of your search result list and your previous selections on the result page will be removed.
PWSNarae-PNtfSID
EDUCATIONAL TESTING
SERV-NJ1 107300
CINCINNATI TEST
SYSTEMS S2-OH31 3841 2
* Plan Type
Select
Select
* Submission States
Select ,,
Select
"Date Racstaad,
3
~BJ
Plan Copied
Select \,^
Select .
Triage Psciswd
Select
Select
CONTINUE
Figure 3-10. PWS Batch Submission Part 1 Screen
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USEPA
User's Guide for the L T2/Stage 2 Tracking System
PpSPIan Batch Update . ' • ,,, / v - \. •':.,. _.v.;.>:;.. jt ,,.•,:',.;•. . ';. ." '- •*. .^f
Name
- ID
Ogden City -
Water
Treatment
Plant-
UT490032B
Utah
Healthy
Valley
Water
Company-
UT0084113
Nada PWS-
fj\>r-<
Plan
Type
MP -
MP-
SSS-E
MP -
MP-
40/30
MP-
MP-
SSS-E
Triage
Oedsian
Complex
Simple
Simple
ASSignetJ
R«wSew»r
Select
Date Awipieii for
Ifevtew
02/1 6/2006
|_HJ
Select
Select
u
02/22/2006
Approval Status"'-
Under Consultation with PWS
Select
Under Review
Date AppHWirf •
02/1 7/2006 ~=i
Jii
02/23/2006 ~1
_fl j
CQNEIBM Hill
Figure 3-11 PWS Batch Submission Part 2 Screen
To perform a different batch update to the selected PWSs, select the type from the Select Batch Update
Type drop-down menu and click "VIEW". The "PWS Batch Submission" process defaults to "Monitoring
Plan" submissions. To perform a batch update for IDSE Reports select the "IDSE Report" option from the
"Select Plan Type" drop-down. To return to your search results, click the "RETURN TO SEARCH RESULTS" link
located at the bottom of the screen.
The Batch Submission page has two entry pages; existing information for each selected PWS is
displayed in a table. Users may update one or more of the following fields: Plan Type, Submission Status,
Date Received, Plan Copied, and Triage Decision on the first page. To continue to the next page click
"CONTINUE". Users may update one or more of the following fields: Assigned Reviewer, Date Assigned for
Review, Approval Status, and Date Approved. For Date fields, enter a date in mm/dd/yyyy format, or
select a date from a calendar by clicking the calendar icon.
Click the "CONFIRM" link at the bottom of the screen to continue to the next set of entry fields. Click the
"CONFIRM" link at the bottom of the screen to view a list of all changes. Figure 3-12 provides an example
of the "PWS Batch Submission" confirmation screen.
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User's Guide for the L T2/Stage 2 Tracking System
- '
PWS JO
Ogden City -
Water
Treatment
Plant-
UT4900328
Utah Healthy
Valley Water
Cornpany-
UTDQ84113
Nada PWS-
IMY23
Ptan Type
MP - MP-SSE
MP - MP-40/:
MP - MP-SS:
Submission
Status •
Received -
Complete
Pending
Receipt of
Signed copy
Received -
Complete
'-
02/24/2006
02/17,2006
02/22/2006
Plan
Copied
Y
N
Y
Triage
Peeisien
Complex
Simple
Simple
,
Reviewer
Region 1
Region 3
Region 5
w
Data .
Assigned
for Review
02/16/2006
02/17/2006
02/22/2006
Approval
Status ,
Approved
Under
Consultation
with. PWS
Approved
•Date
Approved
02/17/2006
02/23/2G06
EMI
Figure 3-12. PWS Batch Submissions - Confirmation Screen
To edit your changes, click the "EDIT" link on the confirmation screen.
Once you have confirmed your changes on the confirmation screen, click the "SAVE" link to save your
changes.
3.1.7 PWS Notification Records
The "PWS Notification Records" screen allows users to view a list of notification records that have been
sent to an individual PWS. Figure 3-13 provides an example of the "PWS Notification Records" screen.
Click the hyperlinked Notice Name to edit information for a particular notice. To add a new notice for this PWS click the Add Notice link
I at the bottom of the page.
Mottee Name -ffi
Notification Medium
Notification Medium
Letter Type
Technical
Technical
•WWfcwSent
• Date
Nov23,
2005
Sep 13,
2005
Description
This is the technical
notification.
This is the technical
notification
HeMame -}
P:\ITG\Technical.doc
P:\ITG\Technical.doc
File Date
Jun 13,
2005
Jun 13,
2005
Return to PWS Profile Return to PWS Results AtM Mew Notice
Figure 3-13. PWS Notification Records Screen
To edit an existing notification, click the hyperlinked Notice Name. To add a new notice, click the "ADD
NEW NOTICE" link located at the bottom of the screen. The "PWS Notifications Records" screen will display.
Follow the instructions in Section 3.1.8, Add/Edit Notification Record, to modify the notification.
The following links are provided to assist in screen navigation. To return to your search results, click the
"RETURN"TO PWS RESULTS" link located at the bottom of the screen. To return to the PWS Profile, click the
"RETURN TO PWS PROFILE" link located at the bottom of the screen.
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3.1.8 Add/Edit Notification Record
The "PWS Notifications Record" screen allows users to add or edit a notification for an individual PWS.
Figure 3-14 provides an example of the "Add/Edit Notification Record" screen.
*= Required Field
Please enter the following information regarding this notice.
"Notice Name
teHer Type
""Notice Seal Date
/?pr^A/**rf Iw PW\ /)/j?#»
Please select available notices
if other:
Official ",:.
Hi
""I
Returned Date
"Description
File Maine
Fife Date
Entry Date
User Name
Jil
'maximum 200 characters
~ni
Feb 18,2006
Billie Schwetz
B1IIMK.KL.NQIJ.E1CAILQMJJS.I
Figure 3-14. Add/Edit Notification Record Screen
Enter/select a value for each of the required fields on the screen; complete optional fields where
appropriate. Click "SAVE AND CONTINUE" when finished.
To return to your search results, click the "RETURN TO NOTIFICATION LIST" link located at the bottom of the
screen.
3.1.9 Submission Status
The "Submission Status" screen allows users to add or modify a submission record for an individual PWS.
Figure 3-15 provides an example of the "Submission Status" select submission screen.
Submission Status - -
Select Submision Type: Select
Figure 3-15. Submission Status - Selection Submission Screen
Select the type of submission from the "Select Submission Type" drop-down. The submission process
allows you to track the status of Monitoring Plans, IDSE Reports, and LT2 Submissions. Once you have
selected the type of submission, the submission record will be displayed. Figure 3-16 provides an
example of the "Submission Status" submission record screen.
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^i)|ph'St«ltt.:S-imin^k«-t-.W22f09tK; ,•'. • ... ' ;.;;.. :,'?;g£r^7;^' .-^-•;WS';-S-'
Select Submision Type
'= F
Mo
squired Field
nitoring Plan
"Plan Type
MP-SMP
Triage
Select
Last modified on
Monitoring
Plan
RETURN TO PROFILE
'Submission Status
Not Yet Submitted "„
"Approval Status
Select
"Date Received
02/1 0/2006 3
Oatt? Asssyued fos
Kewew
Plat,
f Of«!Bfi
Select
Assigned Reviewer
3 State
2006-02-17 15:30:52.0 by billietest
Held By
Date Approved
3
CONFIRM CANCEL
Sul
Fol
(mission History
Document Type
MP-SMP
MP-SMP
ow-up Contact
Date
Purpose
3
Submission
Status [Approval Status
Not Yet Submitted |
Not Yet Submitted (Approved - Review Period Expired
{Status
Select
Uses
Name
billietest
billietest
tUses Name
Modified Date
2006-02-17 15:30:52.0
Assigned To
[Notes
|D ate
| 2006-02-22 00:00:00.0
Purpose
Noses
SAVE
Status
Issue Resolved
|User Name
1 lr
yo
(Assigned To
j
~j
J
RETURN TO PROFILE
Figure 3-16. Submission Status - Submission Record Screen
Enter or update the fields listed under the submission selected; click "CONFIRM" to review your changes
prior to saving. The Submission History table provides a history of previous submissions for the selected
PWS. To enter follow-up contact information, enter information into the Follow-up Contact table and click
"SAVE". The Follow-up Contact table also provides a history of previous follow-up contacts.
Figure 3-17 provides an example of the "Submission Status" confirmation screen.
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User's Guide for the L T2/Stage 2 Tracking System
Submission Status - PWS Intake 1 - AK2210906
= Required Field
RETURN TO PROFILE
Monitoring Plan
|*Plau Type
; MP-SMP
linage Decision
I Simple
"Submission Status [*Date Received
Not Yet Submitted
Assigned Reviewer
State
02/10/2006
Date Assigned for Review
02/10/2006
Plan Copied JHeld By
V
"Approval Status
Under Review
gonder
Date Approved
| Last modified on 2006-02-1 7 15:30:52. 0 by biiiietest
SAVE UPLOAD CANCEL EDIT
Submission History
i Document Type
^MP-SMP
JMP-SMP
Submission Status
Not Yet Submitted
Not Yet Submitted
Approval Status
.Approved - Review Period Expired
User Name
biiiietest
biiiietest
Modified Date [
2006-02-17 15:30:52.0 1
RETURN TO PROFILE
Figure 3-17. Submission Status - Confirmation Screen
If you are entering a new submission, the system will provide you with a "SAVE/UPLOAD" link on the
confirmation screen. Select this link to save your submission and upload the file(s) associated with the
new submission.
Note: You must upload a file with a new submission.
If you are updating an existing submission, the system will provide you with an option to save or upload
files. Click "SAVE" to save your changes. Click "UPLOAD" to upload additional files to associate with your
submission. See section 3.1.10 for more information regarding the "Upload Files" screen.
To edit your changes, click the "EDIT" link on the confirmation screen.
To cancel your changes, click "CANCEL".
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3.1.10 Upload Files
The "Upload Files" screen allows users to upload the files associated to their submission. Figure 3-18
provides an example of the "Upload Files" screen.
Select the File Type from the drop down of select Other arid enter a custom name. When complete click the UPLOAD F/ltES link.
* Please upload the corresponding attachments to a Plan/Report at the same time as the Plan/Report upload so thai the attachments are
associated with the appropriate Plan/Report.
The name selected from the File Name drop down will be the name entered for the file If you mould like to enter a specific name select
Other from the drop down and enter the name in the "Enter Name" text box, otherwise this box will not be available for edit.
File Type
_____„ „ ,„.
File Location
File Type
File Location
File Type
File Location
File Type
File Location
File Type
File Location
UPLOAD.
••••• B • *"" " ' j
MP-SM Enter File Name:
Browse.. !
MP-SM Enter File Name:
l
Browse... ! ,
MP-SM Enter File Name: I
i Browse... |
MP-SM Enter File Name:
Browse... ! i
)
MP-SM Enter File Name:
Browse.. |
FILES RETURN. TQ.PRQFJLE
Figure 3-18. Upload Files
The "Upload Files" screen provides you with the ability to upload up to five files at one time. To upload a
file, make a selection from the File Type drop-down. If your file category does not match one of the
options in the drop-down, click "Other" and enter a name in the Enter File Name field.
To select the actual document you wish to upload, click the "BROWSE" button and browse to the location of
the document. Click the "UPLOAD FILES" link to upload the files to the database.
You may upload up to five files at a time. If you wish to upload more than five files, do so in increments of
five by accessing the submission again and choosing "UPLOAD FILES".
To return to the PWS profile, click the "RETURN TO PROFILE" link located at the bottom of the screen.
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User's Guide for the L T2/Stage 2 Tracking System
3.2 Reports
EPA and State Users have the ability to view reports generated by the LT2/Stage 2 Tracking System
database. To access the reports, click the "REPORTS" link on the left-hand toolbar. The "Reports" screen
will display, as shown in Figure 3-19.
Reports
CDS Information
Displays CDS information for each PWS. grouped by CDS It).
Figure 3-19. Reports Screen
The reports available for EPA users are as follows:
• CDS Information - Displays CDS information for each PWS, grouped by CDS ID.
The reports that will be available in the 2nd release are as follows:
• Compliance Groups - Displays the Stage 2 PWSs that are within each of the four compliance
groups, as well as any custom compliance groups.
• IDSE Information - Displays a summary of review status per reviewer as well as a record of the
submission for each PWS.
• Notification Information - Displays a record of the notification correspondence for each PWS.
State Users have the ability to review a subset of these reports. All data displayed is applicable to PWS
utilities within their state jurisdiction. The reports available to State Users are as follows:
• CDS Information - Displays CDS information for each PWS, grouped by CDS ID.
The reports that will be available in the 2nd release are as follows:
• Compliance Groups - Displays the Stage 2 PWSs that are within each of the four compliance
groups, as well as any custom compliance groups.
• IDSE Information - Displays a summary of review statuses per reviewer as well as a record of
the submission for each PWS.
• Notification Information - Displays a record of the notification correspondence for each PWS.
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3.3 Contacts
Each organization using the LT2/Stage 2 Tracking System must have an Official Contact. The Official
Contact should be the organization's primary person that EPA will contact regarding Stage 2 issues. The
LT2/Stage 2 Tracking System allows you to search for PWS, State, or Regional contacts. Figure 3-20
displays the "Contacts" list screen.
To search for contacts, make a selection and click "View."
A complete listing of contacts tor a particular organization can be found by clicking the desired organization name. To
find more information on an individual contact, click the contact's name. Use the navigational buttons below to jump to a
different section. Clicking a letter will bring you to the first listing associated with that letter
Region
Stele
Organization Type
All
All
All
.
View
M. & 1 £ D E £ G H | j . K L M N 0 P 0 R 5 I U V
0166439 »
11 S 1A EST GOLDEN GROVE - VIDOOD052
i 0-4 '. "TEP SYSTEM - MO5Q31436
1101 PLAZA- NH0196020
PWS
PWS
PWS
PWS
PWS
PWS
PWS
PWS
PWS
Official Contact Name
Enter Enter
DAVID MILAK
HAL PIERCE
edwara ajello
ARLENE3TASCHKE
FEDERAL BAKE SHOP LIMITED
PARTNERSHIP
•Phone
352-671-
7700
999-999-
9999
203-469-
9323
203-245-
9599
860-653-
7283
914-737-
4600
646-935-
1200
573-372-
3916
802-442-
4594
999-999-
9999
Figure 3-20. Contacts List Screen
Search for contacts by selecting the Region, State, and/or Organization Type from the appropriate drop-
down menus at the top of the page, then click "VIEW" to display the list of contacts. To search the list by
Organization Name - ID, use the letters above the table to display organizations that begin with that letter.
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3.3.1 List Contacts
To display a complete listing of contacts for an organization, click the organization name. Figure 3-21
displays an example of the "Contacts" for an organization.
Note\ The LT2/Stage 2 Tracking System requires the designation of at least one Official Contact. If there
is only one contact for the organization selected, that contact will automatically be designated as the
Official Contact.
:§onta^8WrHtatti''-!HliiI ;'':';• ,V •• ^ : > ;: " "''f^T'^' '. • -" si'' , ".-••^. .^^^':-^'^^M
— — •"•— • • • - - — — • — — • '— — — — — — — — — — -..
Contact changes were successful
Stage 2 Contacts
Update the official contact by selecting the radio button next to the appropriate contact and click "Update Official Contact." If the user is
both a Stage 2 and LT2 contact, they are the official contact for both systems
i ***" **
,___
r
Urxl.W:
/
/
MM 1 Bit PI
Rose Bud Contact (555
Ull Rusty Gate contact (555
S* Red White Contact (555
Offici.i! CouUtct insert New Com
tone Number System
555-5555 BOTH "-
555-5555 STAGE2
555-5555 STAGE2
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USEPA
User's Guide for the L T2/Stage 2 Tracking System
associated to Stage 2 as well as LT2. Note that she is now shown under Stage 2 Contacts with "BOTH"
displayed under the System column.
'^iliii;iai^*aH;.*ir , vn:.. v; •. • ; : ; . "' •;.:.• • : " '•/ - : . • ^^^yfii-^-W' ^rv:^# • -4 • ; M
Contact successfuly deleted
Stage 2 Contacts
Update the official contact by selecting the radio button next to the appropriate contact and click "Update Official Contact." If the user is
both a Stage 2 and LT2 contact, they are the official contact for both systems.
Official
Contact
Edit fteiete
/ Rose Bud
/' 53 Violet Flowers
/" S Rusty Gate
# Slf 1 Red White
i
Contact
Contact
contact
Contact
Update Official Contact Insert New
LT2 Contacts
Phone Number
(555) 555-5555
(555) 555-5555
(555) 555-5555
(555) 555-5555
System
BOTH
BOTH
STAGE2
STAGE2
Contact Search Official Contacts
There are no LT2 Only contacts associated to this organization.
Search Official Contacts
Figure 3-22. Contacts - No LT2 Contacts Example Screen
Note: LT2 contacts are not required in the LT2/Stage 2 Tracking System. If there are no LT2 only
contacts for the organization selected, a screen similar to Figure 3-21 will display. In the LT2 Contacts
section, the message "There are no LT2 Only contacts associated to this organization." will display.
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User's Guide for the L T2/Stage 2 Tracking System
3.3.2 Display Contact Information
To display the complete information for a contact, click on the contact name. Figure 3-23 displays an
example of the "Contacts" - information screen.
LT2 Com
Rose
Bud
Rosie
technical
Stage 2 Contact Type
Department
Title
Mailing Address
M^iliiid AiMips^?
Chf
State
Zip Cede
Phontt Number
Fax Nuntbei
Email Address
Comments
administrator
Contact
15000 Conference Center Drive
Honolulu
ill
Ml
96815
(555i 55s-5555
nomail@teststage2.com .
Figure 3-23. Contacts - Information Screen
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3.3.3 Add Contact
To add a new contact, click the "INSERT NEW CONTACT" link. Figure 3-24 displays the "Contacts" - add
screen.
Please enter/edit information about the contact below. To designate the contact as a LT2 and/or Stage 2 contact, select the appropriate
contact type from the associated drop-down. If "Not Applicable" is selected, you are stating that this individual is not a contact for the
particular system.
iHlekNantt
liJ2
I Department
Titte
Mailing A»W«» 2
State
'Zip Cod*
Phone Numb«i
Fax Hu rait 81
Not Applicable j^
Not Applicable jj
Ext.!
Figure 3-24. Contacts - Add Screen
Enter or select values for all required fields. Enter optional fields as appropriate. Fields marked with an
asterisk ("*") are required.
When you have finished entering the information, click "SAVE" to add the contact. To clear this screen of
any information entered prior to saving; click "RESET ENTIRE FORM". To exit this screen without adding the
contact, click "RETURN TO LIST".
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User's Guide for the L T2/Stage 2 Tracking System
3.3.4 Edit Contact
To edit contact information, click the pencil icon ^ next to the contact name in the Edit column. Figure
3-25 displays an example "Contacts" - edit screen.
Please enter/edit information about the contact below. To designate the contact as a LT2 and/or Stage 2 contact, select the appropriate
contact type from the associated drop-down. If "Not Applicable" is selected, you are stating that this individual is not a contact for the
particular system
"First Name
last Name
Niddiante
L"I2 Contact 1yp«
Stage 2 Contact Type
Department
"Title
*M ailing Address
Mall ing Address 2
"City
"State
•"Zip Codte
Phone Number
fax Humber
*Ert»lt Adiiress
Comments
Rose
Bud
Rosie
Technical
Administrator
Contact
15000 Conference Center Drive
Honolulu
HI
96815
(555) 555-5555 Ext.
nomail@teststage2 .com
Figure 3-25. Contacts - Edit Screen
Make the necessary edits and click "SAVE" to return to the Contacts listing. To exit this screen without
updating the contact information, click "RETURN TO LIST".
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User's Guide for the L T2/Stage 2 Tracking System
3.3.5 Delete Contact
To delete a contact, click the trashcan icon
next to the contact name in the Delete column. A
confirmation box will display, as shown in Figure 3-26. Click "OK" to confirm the deletion.
Contacts for Hawaii -HI
[Stage 2 Contacts
Update the official contact by selecting the radio button next to the appropriate contact and click "Update Official Contact." If the user is
both a Stage 2 and LT2 contact, they are the official contact for both systems.
| TT^ I T~
M-iiiriNVrt
I . r
c
UuiLilfi-
LT2 Contacts
1 I I
|l|Mirm<;nff Internet Fxplorer
n
s £j Are you sure you would like to delete this user f rom your organization?
.
OK | Cancel j
ff \ LILT IK'ea VVnile COni'SCT " [ISBSJbbb-b
Hinbet
S5
555
555
555
i
Spawn j
{
BOTH
BOTH '
STAGE2
STAGE2 |
OWki.tl < iint/tc! liiswit Mew Cont.ivt Se.nel) Offici.iKV>nt,-Kts
Theie are no contacts associated to this organization.
Se
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USEPA
User's Guide for the L T2/Stage 2 Tracking System
3.4 Select Application
The Select Application function is intended as a shortcut enabling LT2/Stage 2 Tracking System users to
access their application list in order to jump to either LT2 Data Collection System or IDSE Plan/Report
Entry. Upon selecting Select Application, the system presents a screen listing all of the applications that
you have access to. Figure 3-27 provides an example of the "Select Application" screen.
The system recognizes you as an approved user for the following applications, please select a st/stern to launch..
LT2 Data Collection System
Launches the LT2 Data Collection System for the submission and review of samples
LT2/Stage2 Tracking System
Launches the LT2/Stage 2 Tracking System for compliance tracking, notification tracking, astti reports
iPSE Plan/Report Entry
Launches IDSE Plan/Report Entry, which will lead you throunh filling out and submitting your IDSE Plan or Report
Figure 3-27. Select Application Screen
The system will display a list of applications available to you; select the application for which you would
like to access.
Click "LOGOUT" to return to the login page.
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User's Guide for the L T2/Stage 2 Tracking System
3.5 State Profile
The "State Profile" screen allows users to view and/or modify information related to a state. Figure 3-28
provides an example of the "State Profile" screen.
Note: State Users are only allowed to view the profile for their designated state.
Available States:
New Jersey
State Name
Statt Cote
Region
Agreement Type
Agreement Date Signed
Agreement Date Effecfwe
40/30 Gert Policy
User Ha»e
IteififisfJ Date
New Jersey
NJ
2
YES
09/25/2003 2il
10/20/2005 2:1
'ves
Kern Bianchet
02/13/2006
Figure 3-28. State Profile Screen
EPA users must select a state from their Available States drop-down menu and click "GO" to view the
profile for a state. For State Users, the profile for their state will automatically display.
Several fields of information are available for the user to update, including Agreement Type, Agreement
Date Signed, Agreement Date Effective, and 40/30 Cert Policy. Users may make a selection using the
drop-down menu. For the Agreement Date Signed and Agreement Date Field, enter a date in mm/dd/yyyy
format or select a date from a calendar by clicking the calendar icon.
Click "SAVE" to complete the changes.
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3.6 Submit Comments
Users are encouraged to provide EPA with feedback about the LT2/Stage 2 Tracking System. This
screen provides a forum in which user feedback will be collected. Figure 3-29 provides an example of the
"Submit Comments" screen.
Feedback - LT2 Data Collection System (LT:
We welcome your feedback and suggestions. Please enter your contact information and comments below, click SUBMIT COMMENTS to
send your comments to the System Administrator.
First Name*:
Last Name*:
Organization*:
Phone Number:
E-mail Address*:
Type of Comment: | Clarification Needed _^
Module:
Browser:
Description*:
Change Active Organizatio
Figure 3-29. Submit Comments Screen
The fields followed by an asterisk ("*") are required in order to submit a comment.
The user is encouraged to enter the optional information where applicable.
Enter your name, organization, phone number, and email address.
Select whether your comment is being entered for additional clarification, an enhancement, a functional
error, or if it is a general comment.
Select the screen/module in which you are working. This identifying information can be found at the top of
the screen in the blue bar.
Select the Web browser you are using, and enter the version with which you are working (for example,
Internet Explorer 5.5).
Enter a description for the problem, providing as much information as possible. Be sure to reference the
sequence of events leading to any system bugs, as well as the values you entered when the bug
occurred.
To submit your entry, click the "SUBMIT COMMENTS" link. The page will refresh and display a confirmation
message.
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USEPA User's Guide for the L T2/Stage 2 Tracking System
Section 4. Legal and Security Considerations
This section focuses on legal and security considerations for all users to ensure security and reliability of
the user accounts and data submitted through the LT2/Stage 2 Tracking System. Maintaining Stage 2
information electronically using a Web interface reduces the burden on responsible State and EPA Users
for entering, maintaining, and disseminating this information on paper. The reduced burden is a result of
eliminating labor, time, and other costs associated with submitting data on paper. It is important to note,
however, that electronic reporting does not alleviate or alter a user's responsibilities or liabilities.
4.1 Application Location
The LT2/Stage 2 Tracking System is hosted on USEPA's Research Triangle Park (RTP) database and
Internet Web servers. All users access the LT2/Stage 2 Tracking System directly through the USEPA
servers via their Internet connection and Web browser. The LT2/Stage 2 Tracking System is hosted within
a secure environment and monitored by USEPA's National Technology Services Division (NTSD). The
LT2/Stage 2 Tracking System was designed and developed in accordance with all USEPA policies and
procedures for public access databases intended for release into the central environment.
4.2 User Responsibilities
The USEPA relies on all LT2/Stage 2 Tracking System users to ensure the data are protected from loss,
misuse, and unauthorized access or modification. Users are required to behave in an ethical and
trustworthy manner. Users should not attempt to perform actions or processing for which they do not have
authorization. Actions related to LT2/Stage 2 Tracking System database administration are tracked using
audit trails.
Update authority for State and EPA Users is controlled by the responsible organizations. Enforcement of
security for non-EPA users is not an EPA responsibility. All LT2/Stage 2 Tracking System users are
responsible and accountable for the use of the data either through direct access or via applications the
users develop.
4.3 Passwords
Each individual is responsible for maintaining the integrity of his/her own User Name and Password.
Transactions made with your User Name and Password are considered approved and submitted by you.
If you believe your User Name or Password has been compromised contact the CDX helpdesk at (888)-
890-1995.
Users can help ensure the integrity of their passwords by taking the following precautions:
• Change your passwords every 30 days.
• Use passwords containing at least eight characters, including letters and numbers.
• Do not use family names, birthdays, words describing personal interests or facets of your life that
could be guessed, or actual words found in a dictionary.
• Use a different password than those used within the last eight versions of your password.
• Control access to your PC workstation and log out whenever leaving your machine.
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USEPA User's Guide for the L T2/Stage 2 Tracking System
Appendix A. Frequently Asked Questions
REGISTRATION/USER ROLES
What happens if I forgot my User Name? Should I create a new one?
No, contact the CDX helpdesk if you have forgotten both your User Name and Password.
Why must my organization have an Official Contact?
Every organization must have one Official Contact designated as the main contact for all USEPA
correspondence. USEPA will contact this person if they have a question.
GENERAL
Why can't I select PWSs from multiple screens in the search results?
Due to the large amount of possible information in the search results list, users are limited to the set of 25
displayed on the screen at all times. Users are not able to select PWSs from multiple result sets. We
recommend limiting your search criteria as much as possible in order for you to return a more
concentrated set of results.
Why am I forced to select a state when I selected Region as my filter criteria on a report?
Due to the amount of possible information the system must process and display, you are limited to one
state at a time.
Why can't I delete a contact?
The Delete function is only available if there is more than one contact listed for the organization. Also,
users are not able to delete Official Contacts.
Why did the calculated compliance group change?
The calculated compliance group field is based on a PWSs retail population and CDS ID. If either of these
values changes, the calculated compliance group will be updated
Is it safe to use my browsers' back button?
We recommend that users avoid using their browsers' Back button for navigational purposes as it may
affect the flow of the application. Users should use the navigation menus built into the application for
navigation from screen to screen.
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USEPA User's Guide for the L T2/Stage 2 Tracking System
Appendix B. Glossary
40/30 Cert Policy - In the View/Edit State Profile page. Indicates whether the state adopts a blanket
policy for how to grant 40/30 certification. Field is a "Y" or "N" selection.
Agreement Date Effective - In the View/Edit State Profile page. Reflects the date when a partnership
agreement will be made effective.
Agreement Date Signed - In the View/Edit State Profile page. Reflects when the partnership agreement
was signed. Field is a date selection.
Agreement type - In the View/Edit State Profile page. Indicates whether there is a partnership agreement
between the State and EPA
Alternative LT2 Compliance Schedule - In the View/Edit PWS Profile page. Indicates that EPA or State
has approved and designated an alternative LT2 compliance schedule for the PWS.
Alternative Stage2 Compliance Schedule - In the View/Edit State Profile page. Indicates that EPA or
State has approved and designated an alternative Stage 2 compliance schedule for the PWS.
Approval Status - In the View/Edit Submission Status page. Indicates the current approval status of a
submission. Selections are: Under review, Under consultation with PWS, Approved and Approved -
Review Period Expired. By default, all submissions are entered as Under Review when they are
automatically routed to the Tracking System. Submissions are automatically marked as Approved -
Review Period Expired if the default review period has ended based on the compliance schedule for the
PWS.
Assigned Reviewer - In the View/Edit Submission Status page. Indicates the organization responsible
for reviewing the submission. Selections are: EPA HQ, State, and Regions 1-10.
Assigned To - Name of person whom is responsible for the assigned follow-up with a PWS.
Calculated Stage 2 Compliance Schedule - The compliance schedule is calculated based off of
predetermined parameters when the PWSs were populated into the Tracking System. Some PWS
schedules were modified and if prompted by the system (by clicking save) a true calculated schedule will
appear in this field.
CDS ID - Combined Distribution System ID is a number used by EPA to associate PWSs in combined
distribution systems. 9999 is used to indicate that the PWS is not in a CDS.
City - The mailing address city for the PWS.
Compliance Schedule - Schedule assigned to a PWS based on the systems population. This schedule
is a calculated value and is used to determine due dates for particular rule deadlines. There are four
possible compliance schedules that a system may be assigned.
Contact Name - First and Last name of a designated contact person for a PWS.
Date Approved - In the View/Edit Submission Status page. Date submission type was approved.
Date Assigned for Review - In the View/Edit Submission Status page. Date submission type was
assigned for review.
Date Received - In the View/Edit Submission Status page. Date submission type was received. If
different than current date, enter the date the file was actually received.
Department - In the Contacts page. Official title of the contacts department.
Description - In the View/Edit Notifications page. It is a text field, Varchar (maximum 200). Enter a
description of the notification.
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Document Type - In the View/Edit Submission Status page. Displays the type of submission previously
entered.
Email Address - In the View/Edit PWS Profile page. Enter/view the E-mail address of the point of contact
for a PWS. It is a text field, Varchar (maximum 50).
Entry Date - In the View/Edit Submission Status. Display only. Not displayed during reentry. Value is
generated by system with current system date upon entry of a submission into the system.
Fax Number - In the View/Edit PWS Profile page. Enter/view the fax number associated to a point of
contact for a PWS. Text field with a maximum of 15 characters.
File Date - In the View/Edit Notifications page. Enter the location of the file used for the notification. It is a
display for existing notices and can be edited for new notices. It is a date selection.
File Name - In the View/Edit Notifications page. Enter the name of the file used for the notification. It is a
text field, Varchar (maximum 100). It is a display for existing notices and can be edited for new notices.
Held by - In the View/Edit Submission Status page. Enter/view the name of the person who has
possession of the hardcopy for the submission being entered. This is a text entry. Displayed for
Contractor role only; shows the person who has the document.
Include Closed Systems - Search filter that when checked, will include PWSs with a system status of
Closed.
Letter Type - In the View/Edit Notification Records. Select the type of notice that is being entered. Drop
down list for new entries and display for existing. Drop down contains: Official, Technical, and Notice.
Location Address - In the View/Edit PWS Profile page. Enter/View the current address for a PWS. Text
field with a maximum of 50 characters
Location State - Region - In the View/Edit PWS Profile page, Display only. View the region name the
PWS falls under
Location Zip Code - In the View/Edit PWS Profile page. Enter/View the current zip code for a PWS. Text
field with a maximum of 10 characters
LT2 Compliance Schedule - Schedule assigned to a PWS based on the systems population. This
schedule is a calculated value and is used to determine due dates for particular rule deadlines. There are
four possible compliance schedules that a system may be assigned.
LT2 Rule Requirements - Calculated rule requirement based on a system's population and source
water type. This option indicates whether or not a system as LT2 rule requirements. If so, it designates
the type of requirement a system will have.
LT2 Late - LT2 Late Only means systems that must meet only the uncovered finished water reservoir
notification and treatment requirements of the rule. LT2 Late Only basically means that you have to
cqmply with the LT2 rule but you don't need to do source water monitoring. This group includes the SWP
and GUP systems.
Modified Date - In the View/Edit Notifications page. This is a display only. This is the date that the
record was updated. It is auto-updated upon save.
Nick Name - In the View/Edit contacts. 30 characters. (Varchar)
Notice Name - In the View/Edit Notifications page. Field is a drop down selection for existing notices. If
the notice is new, select Other from the drop down and enter the field name. If it is an existing notice it is
selected from a drop down.
Notice Sent Date - In the View/Edit Notifications page. Enter/View date the notification was sent. Field is
a date selection.
Office Telephone Number - In the View/Edit PWS Profile. Enter/view the telephone number for the
point of contact of the PWS. Text field with a maximum of 15 characters
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Official Contact - Name of person designated as the official contact for a PWS. This user is typically the
admin of the system and controls all access requests.
Phone Number - Enter/View the 10-digit phone number.
Plan Type - Select/view the plan type associated to the submission entry.
Purpose - In the View/Edit Submission Status page. Enter/view a brief (less than 50 character)
description of the purpose for the follow-up request. This is a field displayed for follow-up contact entry.
PWS ID - The PWS ID is the public water system ID, which is comprised of a two-letter state code
followed by a seven digit number.
PWS Name - ID - The PWS Name is the name of the public water system associated with the PSW ID
selected.
PWS Plan Status - Submission Type - In the Batch PWS page. Select the type of batch submission
you wish to perform. You may perform a batch submission for Monitoring Plans and IDSE Reports.
Displays items available to be edited.
PWS Type - Designated type of a utility.
Received by PWS Date - In the View/Edit Notifications page field is a date selection. Enter/view the date
the notification was received by the PWS.
Retail Population - In the View/Edit PWS Profile page. Enter/view the current retail population for your
system. Field is a number maximum ten digits.
Returned Date - In the View/Edit Notifications page field is a date selection Enter/view the date the
notification was returned to EPA.
Source Water Type - In the View/Edit PWS Profile page. Designated list of codes that represent the a
systems source water type.
Stage2 Rule Requirements - Calculated rule requirement based on a system's population. This option
indicates whether or not a system as LT2 rule requirements. If so, it designates the type of requirement a
system will have.
State - In the find PWS page. Filed is a drop down that lists all 50 states as well as territories. The field
will be filtered based on the selection. For example if Region 1 is selected the drop down will only display
the states in Region 1.
State Code - In the View/Edit State Profile page. US Postal two letter code referencing a specific State.
Field is display only.
State Name - In the View/Edit State Profile page. Name of the State. Field is display only
Status - In the PWS Proflie page. Displays the current status of a system: Closed, Active or Inactive
based on the facilities status.
Submission Name - In the View/Edit Submission Status page. Select the type of submission you wish to
search on.
Title - In the View/Edits Contacts page. Enter your official title. Text field maximum 30 (Varchar).
Triage Decision - In the View/Edit Submission Status page. Select/view the initial category of a
submission type's level of difficulty for review. Drop down values the user may select: Simple or Complex.
User Name - In the View/Edit Notifications page. It is a display field only. The user who made the last edit
appears as the First Name Last Name. It is auto-updated upon save.
Version # - Number associated to a file that has been re-submitted. The file with the late test version is
the most current file.
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Appendix I
Guidance for Reviewing
Extension Requests under
1412(b)(10)oftheSDWA
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FINAL
Guidance For Reviewing Extension Requests Under 1412(b)(10)
Of The Safe Drinking Water Act
PURPOSE
This document provides guidance concerning how EPA interprets the authorities and limitations of Section
1412(b)(10) of the Safe Drinking Water Act (SDWA). For the purpose of this document State refers to EPA
Regions and States exercising primary enforcement responsibility under the SDWA. Under certain conditions,
this provision allows States to provide up to a two year extension of the date by which public water systems must
comply with a new or revised National Primary Drinking Water Regulation. It also provides recommendations to
State Directors on the procedures they may want to follow in using this authority.
The SDWA provisions and EPA regulations described in this document contain legally binding
requirements. This document does not substitute for those provisions or regulations, nor is it a regulation itself.
Thus, it does not impose legally-binding requirements on EPA, States, or the regulated community, and may not
apply to a particular situation based upon the circumstances. EPA and State decision makers retain the discretion
to adopt approaches on a case-by-case basis that differ from this guidance where appropriate. Any decisions
regarding a particular facility will be made based on the applicable statutes and regulations. Therefore, interested
parties are free to raise questions and objections about the appropriateness of the application of this guidance to a
particular situation, and EPA will consider whether or not the recommendations or interpretations in the guidance
are appropriate in that situation. EPA may change this guidance in the future.
BACKGROUND
The SDWA, as amended in 1996, generally requires compliance with national primary drinking water regulations 3
years after promulgation. The Amendments also allow compliance deadlines to be extended for up to an
additional 2 years if it is determined that additional time is needed for capital improvement projects to comply with
a maximum contaminant level (MCL) or treatment technique (TT). This is specified in Section 1412 (b)(10) of
the SDWA:
"A national primary drinking water regulation promulgated under this section (and
any amendment thereto) shall take effect on the date that is 3 years after the date on
which the regulation is promulgated unless the Administrator determines that an earlier
date is practicable, except that the Administrator, or a State (in the case of an
individual system), may allow up to 2 additional years to comply with a maximum
contaminant level or treatment technique if the Administrator or State (in the case of an
individual system)determines that additional time is necessary for capital
improvements."
1412(b)( 10) Guidance
Page 1 of 6
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Furthermore, the responsibilities of the States have been further explained in the legislative history' for this
provision:
• "The Administrator may establish an earlier date for compliance as part of the regulation, if an extended
period is not necessary for design and construction. The Administrator is also authorized to extend the
compliance period for an additional 2 years (up to a total of 5 years) in the promulgated regulation where
the additional period is necessary for construction activities that may be necessary to comply."[bold
added]
"In addition to the Administrator's authority to extend the period beyond the 3 years by rule, a State may
extend the compliance period for particular public water systems in that State that need up to an
additional 2 years for the design and construction of treatment facilities or alternative water supplies to
comply." [bold added]
• "The Administrator is authorized to provide case-by-case extensions for particular systems in States that
do not have primary enforcement responsibility under section 1413."[bold added]
A State may grant extensions to an MCL or TT under 1412(b)(10) on a case-by-case basis only when additional
time has not been incorporated into the rule. Under the authority of this provision, compliance with a regulation
may not be extended to beyond five years after the rule publication. In other words, a system's application for an
extension would only apply to those rules with a compliance deadline of less that 5 years from promulgation (e.g.,
Interim Enhanced Surface Water Treatment Rule). Additional extensions may be granted through the exemption
provision of Section 1416. States are granted authority to issue extensions by the federal law and do not need a
parallel State statute or regulation.
EPA Regions will provide case-by-case extensions for individual systems in States that do not have primacy or
interim primacy (a state has interim primacy if they have submitted a complete primacy application package).
The extension only applies to a time frame for compliance with an MCL or TT. A system is still obligated to
comply with all other provisions of the regulation such as monitoring and reporting.
As new regulations are promulgated, systems will begin to evaluate the adequacy of their treatment processes to
determine if they will satisfy compliance requirements for these rules. During the evaluation process some
systems will conclude that, despite best efforts to do so, they will not be able to satisfy compliance requirements
(i.e., meet an MCL or TT) and submit applications to their State for extensions under 1412(b)(10).
1 Report of the Committee on the Environment and Public Works United States Senate on S. 1316, 104th
Congress - 1s1 Session, pg. 49
1412(b)( 10) Guidance Page 2 of 6
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HYPOTHETICAL EXAMPLE - ABC SYSTEM
ABC System is seeking an extension to comply with the new HAAS MCL set by the Stage 1
Disinfectant/Disinfection Byproducts Rule (Stage 1 DBPR).
ABC System uses surface water as a source and serves 10,000 or more people. Note: For the Stage 1
DBPR, only Subpart H systems (systems using surface water or ground water under the direct influence
of surface water) that serve 10,000 or more people may apply for an extension, since all other affected
systems have up to five years to comply.
GUIDANCE
Three general areas the State should consider when reviewing requests for extensions are:
4 qualification criteria,
4 conditions of the extension, and
4 interim treatment measures
Before a system may be granted an extension it should satisfy the qualification criteria and agree to the
conditions and measures deemed necessary by the State.
QUALIFICATION CRITERIA
To qualify for an extension, a water system should meet the following criteria:
4 Demonstrate a need for an extension.
* The system should show that without an extension they would not be able to meet a new MCL or
TT specified in the regulation.
* The proposed capital improvement should facilitate compliance.
* . An additional aspect is to allow systems to be progressive (e.g., forethought to design with future
rules in mind).
System performed a study over an 1 8-month period and found while operating under optimum
onditions they could not meet the new standards (0.060 mg/L) for the group of five haloacetic acids
HAAS), on a consistent basis.
1412(b)(10) Guidance Page 3 of 6
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The system should document their "Good Faith" efforts to meet the original compliance date of
the regulation.
4 A system should demonstrate that they initiated steps towards compliance in a reasonable period
of time after the promulgation date of the rule. A reasonable period can include time for a system
to discuss their options with the State prior to initiating any activities. Additionally, when
evaluating a system's "Good Faith" effort toward compliance, the State may wish to consider
other factors such as compliance history.
4 A system which did not take steps towards compliance, or has only started to do so in the months
immediately preceding the compliance date has not demonstrated a "good faith" effort.
In February 1999, shortly after rule publication, ABC System evaluated their plant and determined it
would not satisfy new regulations. ABC based the determination on monitoring done after optimization
of current processes. Therefore, in January 2000, in good faith ABC initiated renovation and upgrade
activities on an expedited time line.
V
Demonstrate that the scope and/or complexity of the capital improvements warrant the length
of the extension.
4 Extensions should be granted for only the period necessary to complete the required capital
improvements. While 1412(b)(10) allows for extensions of up to two years, extensions for the full
time should only be granted where the scope of the proposed improvements justifies the length of
the time requested.
ABC System initiated construction activities to upgrade their plant to incorporate granular activated
carbon (GAC) treatment to reduce HAA5 levels. Although ABC System began construction in January
2000 (two full years prior to the initial compliance deadline for Stage 1 DBPR), construction would not be
completed until April 2003. Thus, ABC System requested an.extension for compliance with the HAAS
MCL. Through the negotiation process with the State, ABC Systems received a 1.5 year extension.
EXTENSION CONDITIONS
Systems will likely propose a plan that includes critical milestones and a time-line with a final compliance date.
Often these conditions will be refined through negotiations with the State. The State may wish to consider
documenting the conditions of the extension through a memorandum of understanding signed by both parties or by
signing-off on the system's plan once negotiations are completed. The conditions of an extension should, at a
minimum, contain:
1412(b)( 10) Guidance
Page 4 of 6
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Compliance schedules with critical milestones.
4 A system should present a realistic construction schedule to complete their capital improvement
efforts. Schedules should be based upon the scope/complexity of the capital improvement.
Critical milestones are those which would indicate that significant progress towards construction
goals are being realized.
4 While developing the compliance schedule, the State and system should discuss and document the
implications of missed milestones (e.g. violation of National Primary Drinking Water Regulation)
and remedies for the delay.
Progress reports corresponding to critical milestones.
4 The State should request progress reports as frequently as is necessary to perform oversight of
the system. We do not intend to create any undue reporting burden by requesting information that
is not critical to determining the system's compliance with the negotiated compliance schedule.
The ABC System proposed the following eritical milestone to discuss in their progress reports during
the extension period:
4 Groundbreaking for the GAC system
4 50% building completion
4 GAC installed - to include results of pilot test run
4 Building construction complete, and
4 Plant operating with GAC system fully operational
V
Compliance with interim measures for public health protection as determined by the State.
4 During the extension period the system should make reasonable efforts to meet the intent of the
provisions established in the rule. Measures that can be taken within the scope of the system's
current operation should be established and complied with to provide a level of public health
protection while capital improvements are on ongoing. Interim measures are discussed further in
the following section.
Provide an opportunity for a system's customers to respond/comment to a notice of an
extension.
4 It is important that the public which is served by the system is informed of the purpose of the
extension and has an opportunity to provide input to the system and the State.
4 The system should consider publishing a "Notice of Availability" of a public hearing as an
opportunity to explain and receive feedback on the extension.
Notice of the extension in the annual Consumer Confidence Report (CCR) |note: applies only
to community water systems (CWSs)|.
4 A CWS should explain to their customers the reason they pursued an extension.
4 The notice should explain the issues surrounding the extension and the interim measures the
system will take to ensure that the quality of service will not be compromised.
1412(b)( 10) Guidance Page 5 of 6
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ABC System agreed to notify their customers of the extension to the HAAS compliance date in their
annual CCR. Note: The system would not be in violation of the MCL/TT or be required to report
the Public Notification Rule, but they are required to report any compliance monitoring results in
CCR (if they area CWS).
eir •
under •
the I
4 The CWS is required to publish their compliance monitoring results in the CCR.
The State may wish to have a system issue a Public Notice, or a statement in the CCR if the
MCL or TT for which the extension was granted is exceeded.
* A system is not required to issue a public notice during the extension period for an exceedence of
an MCL or TT. The State may wish to encourage the system to notify their customers of any
exeedences as part of the system's responsibility to keep the public informed of any issues related
to public health and the water supply.
For ABC System, conditions of an extension include submitting quarterly sample data and notifyi
the public if the annual average for HAAS exceeds 0.060 mg/L.
ying V
INTERIM MEASURES
EPA believes that it is important to consider each system's potential for achieving meaningful overall risk
reduction through reasonable interim treatment requirements. Some possibilities the States may wish to consider
include the following:
Change the treatment process, type of treatment, or point of treatment.
[ ABC System will optimize treatment in their plant to improve precursor removal and minimize the
I formation of disinfection byproducts.
V
Implement a main flushing program in areas with high detention times and/or biofilm problems.
Minimize the use of certain sources.
Provide alternate solutions for sensitive populations (e.g., bottled water, point-of-use, or point-
of-entry devices).
In all cases, EPA believes that it is essential to evaluate all potential interim treatment requirements in terms of
their impact on disinfection byproduct formation, microbial protection, corrosion control, and other public health
issues. States should consider the net gain in public health protection when establishing interim treatment
requirements.mike.price@crowncork.com
1412(b)( 10) Guidance Page 6 of 6
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