Surface Water Treatment Rule. Implementation Manual
(Including Appendix D)
(U.S.) Environmental Protection Agency, Washington, DC
8 Mar 90
V
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SURFACE WATER TREATMENT RULE
'LEMENTATION MANUAL
(t—l.xlUg
FINAL
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XMMMOTAYZe* KAWUAL
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INTRODUCTION
2. TIKE XtSKES
XZ. VIOIATION DBTERKXKATXON AMD FRD8 REV0KTX1I0
A. TOFXLTERED SYSTEMS THAT WILL RSHAXW UNFXUTERED
#. t»rXXASRED SYSTEMS REWIRED TO VZUBR
C. FZimSD SYSTEMS
D. OROUNONATBR tJHDER THE DIRECT ZKPLDSHCE OF SURFACE WATER
S. TODS REPORTUtO
III. STATE SPECIAL MXNfcCV REQUIREMENTS
A. STATE SPECIAL MtXMACY REQ8IREKENT 8U8HX88IQM8
9c kahsatotc stats special vmnkct requirement remissions
(PROCEDURES)
C. DISCRETIONARY STATS SPECIAL PRIMACY REQUIREMENTS
ammess
AIRRBIX A STATS PttEMfcaf mVlSlOK AmzemOK
Awaroi a mumw mmenesi
APPEMDXE C QUESTIONS AMD AKBtOBtS
"T2ZBIMS
wnou 0 ^nonafORRMo
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UFUXINIYIOII MUflNUk
TN purpose of thia document is to provide mi4M69 to
99k regiona «ndl the ftatea on implementation of the nil#.
More epecifieally, this document addreaee* violation
determination, rftOS reporting, and the ttato Primacy
Mvition Application. This document difftn (m the
"Guidance Manual for Complianca vlth tho Filtration and
Disinfection Raquiraaanta for Public Hater iyeteme isaing
Surface Vatar Sourcee", October 1919 (rafarrad to fcenamftar
aa the 8NTR Guidance Kanual) in that the S*TR guidance
Manual daals with PITS treatment techniquee and oannrananfr
aathoda rathar than priaacy and reporting raqulreaonta.
Thia docuaent la broken down into three ooetions. tho
firat praaanta tiae llnaa ahoving dataa important to tho
rula. Thaaa tiae llnaa inoluda deadlines.for eufemlsslon of
Primacy Reviaion Applicationa and alao ahov effective dataa
of varioua provialona of thr rula. The oaeond aactlon
addraaaaa violation datar&inatlon and aaaociatad reporting
raquiraaanta. Thia section includaa a limited number of
FRDS raporting raquiraaanta. Tha third aaction covara
Stata Spacial Primacy Raquiraaanta. Thia aaction teraaka
tha raquiraaanta down into thraa categories of ralativa
iaportanca. Stataa aay find thia categorization uaaful in
praparing thair applicationa for priaacy, bacauaa tho CPA
ragiona aay utilise tha catagoriaa in evaluating tha
applicationa.
Tha Appendicee of thia docuaant alao provida information
that ahould bo uaaful to Stata and ragional EPA offioaa
throughout tha priaacy application procaaa. Tha firat
appendix axplaina what ahould ba includod in a Priaacy
Staviaion Application. Tha aacond appandix containa
information on vallhaad protaction. Tha third appandix is
a liat of quaationa and raaponaaa to tho quoationa which
vara aakad at iaplaaantation vorkahopa. Tho laat appandix
containa a datailad explanation of raquiraaanta and
procoduraa for entering data into PROS. (Thia laat
appendix will ba added at a later date.)
1
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fimov st vsia um
fliU taction ot ths dooiiBSJit outlints tim fra—i tar
tha aubaisaion of Stata Priaaey Applications* this taction
•Uo wtlinN for rsporting and aonltwlM ai tfta
ruls goaa into affact.
tha Priaaey Rule, published in the Ndtril tulitir en
ao Dieubix 1989, 1«(1mS tha Priaaey Application pwrn«
Figure 1 vif developed frea the rule and is a toltf «mvi«y
of thi iflhidttli for 6tat* Priaaey Revision tolietfeiw. m
aehiduli shove «h«n Statu should mblit tbiir tppliatkm
to thsir SPA region for evaluation and mlso ihow bov long
spa rsviavs should take. states should nets that the new
Priaaey Rule contains a provision that gives ths States tbt
opportunity to hava a draft of thsir Prlsaoy tovltioa
Application officially rsvievsd by thsir rsgioasl SPA offles.
Rovevsr, vhathar ths Stats sands drsft(s) to thsir region or
only prsssnts ths final varaion, ths States should eubait
final Priaaey RavisiOn Packages by Pacsabsr 1990. Figurs a,
"Stats Prograa Revlelon Extension Procedures", givas ths tias
fraae Statss can uss should thay wish to regueet an «xtnsim
to ths priaacy rsvision proceee. Mors information concerning
ths new Priaacy Ruls is availabls in ths "Handbook for SPA
Reviav of Stats Prograa Rsvisions Dndsr Raw Privacy
Regulations".
Piguras 3, 4 and 5 ars tins linss that 8hov when
various rsporting and aonitoring raquireaents of ths ruls
bacoiM affectiva. Figurs 3 addrsssss unfiltsrsd systsas
trying to rsnain unfiltsrsd. Figurs 4 addrsssss unfiltsrsd
ayatane raquirsd to filtsr, and filtarsd systsas. Finally,
Figurs 5 daals with tias fraaee for datsnlning vhathar
ground vatar is undsr ths dirsct influancs of aurfaea vatar.
a
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9S09RP $
met mi vmmamiMm am avftra* mmm
Wk/mn action txkb mm
1«
Aula Publishsd by KPA
(Am 'It] 1
a.
*
BUtt Subaiti Draft ftosru
Rtvision Packaas Including*
• Preliminary Approval iiqiMit
- Ortft Stat* Regulations
• Regulation Crosswalk
[Xsrcto-Jun* *f0) I
3.
Regional Review of Draft
tvithin 49 days] |
4.
Stat* submits Final Prooran fDecember *90] 1
Revision Package Including: 1
- Raquaat for Approval 1
- Adopted State Regulations |
- Regulation crosswalk 1
- 142.16 Privacy Requirement Chackliat 1
- 142.10 Program Update Chackliat 1
- AG Enforceability Certification |
5.
SPA Pinal Review and Determination:
- Ragional Raviav
- Headquartere Concurranca
- Public Hotice
- Opportunity for Haaring
- EPA's Determination
(within 90 days] I
noun a
mn psmsam isvxtio* bxtsksxo* nociDuiw
l.
8tats Request should Include*
• Schedule for adoption
- <142.12(b)(2)> Deaonstration
- <142.12(b)(3)> Agreement
[Septeafeer *90)
a.
, SPA Approve I/Disapproval of Extension
(within ao days]
a
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FIGURE 3
Unfiltered Systems Trying to Avoid Filtration
(SEE SECTION II.A)
Rule
*89
Jan.
•90
July
• 90
Jan.
•91
July
•91
Jan*
•92
July
*92
*
_>ly with
currant turbidity requirements
until January 1992.
After
1990, •
and report in
accordance with the
rule. Only Monitoring rule,
and reporting including
violations can be
rule,
turbidity
remain in effect.
* Statee an*t deternina whether eyatena are required to filter
January, 1992.
4
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FIGURE 4
Unfiltered Systess Required to Filter
(SEE SECTION II.BJ
And Filtered Systea Requirement*
(SEE SECTION II.C)
Rule
Promulgated
June *99 July *93
1
¦Unfiltered System
¦Required to Filter
• Systems mist comply with current • After June, 1993 or onoe
turbidity requirements and State- filtration is installed,*
set disinfection requiresents (whichever is later)*
until July, 1993. monitoring and f-opuitlnq
should he dona in accordance
with Section II.C. All
violations can ha Incurred.
¦Filtered Systess
• Systeas nust comply with current • After Junef 1993 systems ant
turbidity requiresents until • * monitor and wpBri Ia
July, 1993. accordance with Section tl»€*
All violations can ha lima nod.
• Filtration mst be installed with 18 nonths of a State
Mmlfiitlai that a systen mat filter.
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FIGURE S
Ground Mater Under the Direct Influence of Surface Vater
(SEE SECTION II.E)
Rule
Prcaolgated
Jim
i *89 July *94 July >99
1 1
P»hhH| Water
• Statee aust deteraine • systens using ¦Mt tea direct
vhidi CHS sources are influence of surface water ant mmitniT
under the direct and report in accordance with the m&e.
influence of surface If a systea is required to filter, it
water by June 1994. nust begin following filtered ayatiiaa
requlroncnte, (Section II.V.)
252P5S12
• States aust deteraine which MCN8 sources • sjpataaa using ymwuea
are under the direct influence of uhder the AU««t
surface water by June 1999. influence of wiiBaua
water aust. awnlter aanfl
with the rato«*
T" fn^—*" within six Months of the Stat* determination that the ayrtaa to
oaia§ ground water under the direct influence of eurface water* the ajalaa wart fetgin
onfiltered aystn aonitoring. within 18 aonths of the detexaination, the State anafc
dmeidm whether the iwtai ia required to install filtration and Mmlter and to
accordance with Section n.A or II.B as appropriate.
ftgjnrtfflf within 19 aoutha of the State dateimiaation that
«W»:W*.Wt». «>» —t abid. by tlM BMittorlng Mi mWIH tli|>UIM*l
9m taction xs#B*
«
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mnvut mural asnammev •*» 9m
Thia part of tha loplaoantation Manual snmrisoo tte mmif *t*t
conatituta vioUtiono undar tbo rulo. Violations in this portion
hi aapamad into oatagorias* Tha first i« for unfiltorod
ayatana trying to avoid filtration, tHo oocond if for tnliilmd
ayatana rowirod to filtar, and tha last tvo aro for filtorod
ayatana ana for groundvatar undar tha diroot infloonoo of oorfooa
vator. Kaportlng ragulrananta aro alao addraaood. fcwwi it
ahould ba notad that tha najority of reporting viU bo tea at
tha 8tata laval only. PUDS reporting roquirooonto aro tlnlii
and aro liatad in aaotion ZZ.B balov.
<1141 •?!> A. umfzlterbd SYSTEMS (eritaria to avoid filtration)
Aa shown in Plgura 3, tha stato not «***»«»,
baforo January 1992, which aurfaoa vatar ayatana aoot
filtar and vhich may raaain unflltarad. Oooa that
datarninatlon hna baan nada, all unflltarad ayotaaa not
raquirod to filtar by tha Stato and ifltandlng to main
unflltarad nuat abida by tha eritaria in Tabla X. Tha
nuabar of violationa of tho eritaria that raquiro tha
inatallation of filtration traatnant ia alao givtn.
B. UNFILTERED SYSTEMS REQUIRED TO PSUBR
Syatana that ara raquirad to install filtration
ara bound by nonitoring and raporting raqpiroanauts
dapandant on tha atatua of tha inatallation of
filtration traatnant. Plgura 4 shows that until July,
1993 or until filtration la inatallod (vhichsvar is
latar) tha ayatan Should nonitor in accordanea vith
currant turbidity ragulrananta and atato-aat
diainfaction ragfcrananta. Aftar Juna 1903 or after
filtration ia lhatallad (vhlehavar io latar) ¦anltoting
and raporting ragulrananta ara tha nana as for flltand
ayatana. (Saction II.C)
C. FILTERED SYSTEMS
Piltorod ayatana mat bagin raporting and
nonitoring in aooordanoa with tha StfTSt few tho Mao ia
Plgura 4. Monitoring and raporting raqulraaanta tor
filtarad ayatana aro liatad in Tabla' XZ.
1
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nra x
TioLMiom HQOiiinw hitmutiox c> nvtwrum
IZfiSIfiB
sfittssum
fltTMWM tllMIM
m l»Ux Crltuli Ylftlttieu
«|141.71(a)>
<§141*71(a)>
A facal or total
colifor* occurranca
axcaading atandarda
In >10* of aaaplaa
over a roiling 6
nonth periods
A aourca vatar
turbidity avant
axcaadlng 5 HTUa.
Th« firat violation.
If all violations ara unusual
and unpradictabla (tr and U):
Tha third violation in a
rolling 12 aonth pariod, or
tha sixth violation in a 120
nonth pariod. Altamativaly:
tha firat violation net duo to
U and V circuaatancaa.
ita •pacific eritaria Violation* t Biaiafaction
<1241,71(b)>
<|141.73(a)>
<|141.72(a|>
A failura to Mat
tha raquirad daily
CT valuas «ora than
ona day in any
nonth.
Tha raaidual
dlalnfactant
cencantration
antaring tha ayataa
ia < 0.2 ag/l for
•ora than 4 houra.
Tha aaeond violation in a
rolling tvalva nonth pariod if
naithar violation vaa dua to o
or U elreuaatanoaa. Tha third
violation undar any
circuaatanoa.
Tha firat violation, unlasa e
and V.
Tha raaidual
dlalnfactant
Tha first violation, unlasa
tha failura ia not doa to a
concantration ia not daflelancy in aourea vatar
datactad in aora
than 51 of tha
aaaplaa par Math In
«ua eenaaeutlva
*
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VIMS S fe»»M
MMWW ttWIMMiWi CI
niffiffcTTM tiwmt
•it* ipaolflc eiiiirli Violitloui State DtiiniMtUii
<|141.?2(a)>
<1141*71(b)>
<§141.71(b)>
uek of
rodundant
dlsinfaetlon
eoiMMnti or the
lack of approvod
autonatle shutoff of
dolivory of vator to
tha distribution
ayatia.
*Tha datarnination
that • aystaa's
vatarshad control
prograa ii
inadaquata.
Tho first violation.
Tha first violation*
•Tha datarnination
that an on-alta
inapaction warrants
filtration.
*Tha datarnination
that a vatarborna
disaaaa outbraak
cauaad by failura of
tho troataant
systaa.
Tha first violation.
Tho first violation, sail
tho Btato datarminaa that tha
systaa has boon aodlflad to
provont a
Violations fna Othar tolas
A violation of tho
Total Colifora MCL.
k violation of tha
TTBK MCL*
Tho sacond violation In
rolling it nonth
unlaaa tha state
that a violation
eausod by aottrea
troatnant daflcianclaa.
Tha tint violation.
* Violation dotornination for thaaa provisions will bo dona if tta Stata.
-------
hot i»
flMWMD
timx
~xouniows
jgewm
VTftTATTftW WOT
1141.79
A failure to M«t turbidity Itaitf*
1141.72(b)
A failure to ant tha fel loving
diainfaction raquiranantas
• 8tata Mt diainfaction traataant
nguirananta
• Tha raaidual diainfaction concentration
antarlng tha distribution ayataa cannot
ba laaa than 0.2 ag/1 for son than
four houra
• Ilia raaidual diainfactant concentration
cannot ba undatactabla in worm than M
of tba lupin aach nonth for any two
conaacutiva uontha that tha ayataa
sarvaa vatar to tha public
D. GROUNDWATER UNDER THE DIRECT INFLUENCE OF SURFACE WATER
Stataa auat datarsina, for all of thair around vatar
aourcaa, vhathar thay ara undar tha diract influanoa of
aurfaca vatar. Figure S above that for conranity vatar
ayateaa, Stataa auat make tha determination by Juna 1M4.
For non coaaunity vatar ay at ana, Stataa mat sake tha
datanination by Juna 1999.
1. Unfiltarad Syetaaat
a. assorting requirement*: within alx aontte of • State
determination that a systoa's ground vatar is undar
tho diract influanca of aurfaea vatar, tha iyiU»
mt bagin unfiltarad ayatan monitoring in ionm(liiin>
with ooetion XX.A of thla doounant.
b. Datanination of raquiranant for filtntlMi within
eighteen months of thi Stato determination thit *
syatan usaa ground MUir undar tha diroot tetlewoo
of surfaoo vatar, tho stato wast determine wbttltasr
filtration is raguirmd*
10
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1) 12 the State determines that filtration is
required# report in accordance with section
XX.B of this document.
2) If the State determines that filtration ie not
required, report in acoordanoe with section
IX.A of this docusent.
2. Systems Requiring Filtration*
a. Within the eighteen month period immediately
following a State determination that filtration ie
required, the system must begin abiding by the
requirements of section XX.B of this dootsawat.
E. FRDS REPORTING
The approach for FRDS reporting requirements summarised
here reflects regional and State comments that were
received during implementation workshops, during the
development of this guidance, and through development of
the new SMC definition. We believe that the approach
summarized here will minimize the burden for those who
contribute data and maximize the usefulness of the data for
those who interpret it.
Appendix D of this document gives in depth explanations of
the technical side of data requirements and submittal
methods for FRDS, including specific data elements that
must be reported.
1. Inventory Information
Inventory information for the SWTR is to be entered by
source or plant as summarized below. Refer to Appendix
D for additional details.
a. Source/Plant status: For each surface source
each groundwater source that is under the direct
influence of surface water, the State should report
one of the treatment objective/process codes listed
below:
P348 - Filtered
N349 - Unfiltered and successfully avoiding
filtration
N3S0 - Unfiltered, but required to filter (Ibis
entry will be accomplished ae specified
in section IX.B*2.b*l below*)
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At the very latest, this data should be reported to
Pitoa the quarter following the dates listed below*
Surface Water Sources > December, 1991
Groundwater Under the Direct Influence of Surface
Nater Sourcesi
Community Nater Systems* June, 1994
Hon-coamunity Water Systems] June, 1999
b. Groundwater
Groundwater sources oust be reported as groundwater
under the direct influence of surface water if that
determination is made by the State. The following
FRDS source type classifications oust be used when
reporting groundwater under the direct influence of
surface water*
Y - Groundwater Under the Direct Influence of
Surface Water
Z - Purchased Groundwater Under the Direct
influence of Surface Water
At the very latest, this data must be reported to
FRDS the quarter following the dates listed below:
Community Water Systemst June, 1994
Non-coramwity Water Systems: June, 1999
Sources not under the direct influence of surface
water will remain classified as source type "G* for
non-purchased groundwater and source type "W" for
purchased groundwater.
2. Violation Reporting
a. Monitoring and Reporting Violations
All monitoring and reporting violations for the SVfTR
will be separated into two categories, one for major
and one for minor violations.
The definitions for major and minor monitoring and
reporting violations shown below are baaed upon a
percentage of monitoring which is set conducted*
Both definitions apply to unflltand and intend
sources and take into consider at ion the total number
of samples required by the SWTEU Multiple aonltoriag
requirements are lumped tog«tt»c (as daterlbed in
12
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Motions XX.B.I.b.3 (pogo 14) and (mi
X9o)) in dotontinlng whether o najor or ilnor
violation tai occurred.
Mm*** vtaUfaiw. Syitos that foil to toko at loast
90% of tho Nfttlnd oanpleo per compliance period.
Hirer Yloiltflgft Any othor violators.
This definition will apply to both unflltosod and
filtorod oourooo. Tho dofinition eonoiders oil
sanplea required by tho SWTR (lapod into ono
category — aourea water coliform and tocbldity,
disinfectant residuel, ato.)/ for eoanple, if a
ayotan io raquirad to tako a totol of 400 oanploo
month, tha ayotan would bo classified a niner H/R
violator if it took 414 oanploo. Tha eystem would bo
major M/R violator if it took 413 or fowar oanploo*
b. Unfiltarad Systems Attempting to Avoid Filtration
1) Criteria ^^lations
violations of tha criteria listed in table I will
not be reported^to frds because, in nost cases, it
is the second or third violation that triggers a
requirement to install filtration treatnent.
instead, we will requiro that onco a State hao
made a determination that the systaa snot filter,
it reports information to FBDS as au—n lied
below. Refer to Appendix 0 for additional
detaila.
• Por tha Source/Plant, tho State should
report the following trootnont
obj act iva/proceoo coda oooblnntlon for tho
aouroe that requires filtration:
N3S0 - Unfiltered, but required to fll
• Por tho ayatan (duo to tho filtration
requirement), the State must report the
information summarised belowt
(i) The date on which tho oyoton woe
officially informed of tho fogoicooant
to filter.
(11) Tho reaeon(o) that filtration io
rogoicod. tpoolfy ao any of tt»
following "cum eotei* ot to
appropriate.
1)
-------
gaura fflrtgg Crttirlranfrg ttwffltffi
21 - Source Mater Celifocw
22 - Source Water Turbidity
git« fipt^itig CriwU^^r^Irt mm
32 - Residual Disinfectant
Concentration < 0.2 ag/1
33 - Residual Disinfectant
Conoentration not Detected
34 - Lack of Redundant Disinfection
Components
35 - Watershed Control ie Inadequate
36 - On-site Inspection Warrants
Filtration
37 - Waterborne Disease Outbreak
Front Qthw Rulsi
41 - Violation of the TCR MCL
42 - Violation of the TTHM MCL
43 - Violation of Turbidity MCL
Qthw *hftn thi> flfrfly?
51 - PWS opts to install Filtration
52 - State Requires Installation (not
NPDWR)
2) Monitoring/Reporting Violations
Unfiltered system M&R violations will be lumped
into one reporting category. Violations in this
category include failure to monitor or report
violations for any of the unfiltered system
requirements — i.e., source water caliform and
turbidity monitoring/ CT value determination, and
entry point ^nd distribution system disinfectant
residual moc&£oring. Please note that a
contaminant code cannot be specified for
violations in this category.
All such M&R violations must be reported to FRDS
as summarized below. Refer to Appendix D for
additional details.
14
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Contasinant Codes Not Applicable - 09 sot wwii
Violation Typo* 31 - HIE violation for
Untutored 6yatost
Begin Dates The first day of the eoaplience
period
Durations On# month - Mo data entry
IQflUllOd l
Major Violations Y (i.e., Yea) or N (i.e#, Ho)
(Report OKLI if tbo natbmr of
*HflM required ngn taken ace
SOV reported)
Samples Required! The nostber of samples whiob men
required to be taken (iMoct
ONLY if tbo Major Violation
designation ia MOV reported)
Samples Taken: The number of eaaplos which mm
actually taken (teport OftT if
the Major Violation designation
ia MOT reported)
Only one violation per PfVS (or per source/entry
point, as appropriate) can be reported for the
sane compliance period.
c. Filtered Systems
1) Treatment Technique Violations
Filtered system treatment technique violations
will be lumped into one reporting category.
Violations in this category include failure to
meet turbidity or disinfection requirements for
filtered systems. Disinfection requirements
include CT values, and entry point and
distribution system disinfectant residual
concentrations. Please note that a contaminant
code cannot be specified for violations in this
category.
All such treatment technique violations must be
reported to FRDS as summarized below. Refer to
Appendix D for additional details.
Contaminant Codes Not Applicable - Bo not report
Violation Type: 41 - Failure to meet turbidity
or disinfection requirements for
filtered systems.
Begin Date: The first day of the compliance
period
Durations One month - Mo data entry
required1
15
-------
Only on# viouti per (or per fowco/entry
point, as appropriate) o«n be reported far tin
st&e conpUenco period.
2) Monitoring end Reporting Violationa
Filtered mt« MAS violation* will bo lunjml into
om reporting category. Violationa in thin
category include failure to Monitor or report for
any of tho filtorod systea regnfraaent* — i.e.,
turbidity aonitoring, antry point disinfectant
roaidoal monitoring requireaents, and diatribotion
system disinfectant roaidoal aonitoring
requirements. 7laaaa noto that a oostaaiaast oodo
oannot bo apooifiod for violations la this
oatogory.
All such M4R violationa oust bo reported to PBDS
as summarized below* Refer to Appendix D for
additional details.
Contaminant Code: Mot Applicable - Do not report
Violation Type: 36 - H&R Violation for Filtered
Systems
Begin Date: The first day of the cospliance
period
Duration: One month - Bo data entry
required1
Major Violation: ¥ (i.e., Tee) or H (i.e., Ho)
(Report ORLT if the anaber of
eagles required jum taken are
HOT reported)
Samples Required: The number of samples which were
required to be taken (Report
ORLY if the Major Violation
designation is HOT reported)
Samples Taken: The number of samples vhich vera
actually taken (Report QHUT if
the Major Violation deaignati
is HOT reported)
Only one violation per PWS (or per source/entry
point, as appropriate) can be reported for the
same compliance period*
15a
-------
•sevxott mi mvs rnezu minor wammmm
This aeoond part of the Xapleaentation Manual addresses
apaoial primacy requirementa and break# them down into thro#
categories. These categories, aaotiona k, B and C, contain
primacy raquiraaenta of differing dagraaa of importance aa
explained below*
• Section A eontaina requirements that SPA faala ara vary
important to implementation of tlia rule. Adoption of
thaaa requirea tha 8tata to eubmit an explenetion of
thair method of dealing with aaoh requirement. Stat#
raaponaaa to these requirements will be reviewed
thoroughly at tha regional level.
• Stat* responaaa to aaction B raquiraaanta will not be
raviavad aa thoroughly aa thoaa of aaction A. The
aaction B raquiraaanta will ba checked by tha regions to
datarnina if tha proceduraa proposed by the State are
clear and raaaonabla.
• State reaponaaa to aaction C vill ba evaluated only to
determine whether the State hae procedures in place to
review decisions made at, at least, the level of the
aecond level supervisor.
The three categories are explained in more depth in
sectiona A, B and C below.
Part XX of Appendix A, the State Primacy Reviaion
Application, ia organized in the same manner as this section.
States may uae the categoriea in this section whan allocating
reaourcaa for development of their regulationa.
A. STATS SPECIAL PRIMACY REQUIREMENT SUBMISSIONS
This section eontaina raquiremanta that EPA feela are vary
important to implementation of the rale. Reaponaaa to
these requirements will be reviewed thoroughly at tha
regional laval. Stataa ahould anaura that thair
completely aatiafy tha requirementa of tha rule.
1. Requirementa for all Stataa
a. The method the state will uae to qualify operatore,
and the plan that the state will use to anaura that
all ayatama ara operated by qualified operatora.
Qualified operatora mat be on call for consultation,
monitoring and overnight of oparationa for each MB.
Qualified operatora do not itaoesaarily have to ba or*
l«
-------
site for day to toy operation ©t the systes.
(Station 3,3 of the SwXR Ouldenoe Manuel addressas
this subject)#
<149«l6b3lB> b. The Mthod the 8tit« will um to detev»lne whether
groundwater eouroes ir« under tho direct influoneo of
surface water. Tho State should include it# plan to
evaluate all systsM by deadlines, and proeeduree to
oonduot the evaluation*. (Section 1.4 of the rant
Guidance Manual and Appendix C of thie doeusont
provide guidance on thie iesue).
<142.ltt>2ic> c. The sethod the State vill uee to detenine whether
filtered eyeteae are achieving required Olerdle end
virus reaoval/inactivation by ooaplete treetvent
(i.e. filtration end dleinfection)» (Section 5 of
the SHTR Guidance Manual covers thie area).
2. Requirement for Stetee Requiring all Syeteas to Filter
a. The state etatute or regulation which requires
filtration.
3. Additional Requirements for States which allow Systems
to evoid Filtration
V.
<242.16b2iiA> a. The Mthod by which the Stete will determine
watershed control program adequacy. (The subject
covered in eection 3.3.1 of the SHTR Guidance Manual
and Appendix B of this docuMnt. Additionally, sawe
required eleaente ere lieted In the rule.) The State
should also specify the party that will evaluate and
approve the program.
<142.16b2iiB> b. The method by which the state will approve non-State
on-site inspectors and evaluate on-elte Inspection.
Non-State on-eite inspectors are not required. If a
state elects not to use non-State personnel. It
should have a plan to conduct all necessary
Inspections using only State pereonnel. The State
should include the procedure for approval and the
Mthod for keeping track of approved Inspeotore.
(Covered In section 3.3.a of the 8NR Guidance
Manual} alao, som required eleaente ere listed In
tho rule.) The State My also subait checklists that
inspectore will uee.
8. STATE SF8CZAL PRIMACY SKEQUXIUEHBHT 80BNZS8ZW8 (W0CWW18)
Reeponeee to requireaente In thie eection vill not be
reviewed in as such depth as those of eeotlon A. Reeponaaa
17
-------
<142.16bl>
will be checked by the regions to •lirari that the
KMidurn propoaed by thi statt »ri clear iM rMfonikU.
1. Raquireaenta for all Statea
a. (Mandatory submission) An enforceable design and
operating procedure for each filtration technology
allowed (or a perait eyatea)• EPA'a review will
anaura that raatonabla eritarla have baan adopted.
SPA doaa net intand to approva or dieapprove specific
design and oparating eritarla.
b. (Mandatory aubaission) Tha aathod the State will um
to approva partiaa to aeasure pH, temperature,
turbidity, and raaidual diainfactant.
c. (Mandatory aubaission) Tha aathod tha Stata will use
to daaignata appropriata filtration technologiaa for
varioua source water qualities. (Covered in section
4 of tha SWTR Guidanca Manual)
2. Requireaents for Stataa Choosing to Adopt Optional
Provisions
a. Tha nathod tha Stata will uaa to deteraine interim
diainfaction requireaents for systeas which auat
install filtration. Tha Stats should require
additional disinfaction and/or avidanca of tha
reliability of currant treatment techniques if there
hava baan (1) coliform MCL violations, (2) waterborne
disaasa outbreaks, or (3) poor quality aourca watar
(including tha aignificant praaanca of Giardia).
<142.16b2iE>
<142.16b2iiiC>
<242.1«b2iiiD>
<142»16b2iiiE>
<142.16b2iiir>
b. The aathod by which tha Stata will deteraine
altamata turbidity liaits for ayataaa uaing
convantional treataent, diraet filtration, or alow
aand filtration. (Covarad in tha SWTR Guidance
Manual)
c. Tha aathod tha stata will use to approva alternate
filtration tachnologiaa* (Covarad In tha BlRIt
Guidance Manual)
d. The aathod by which the state will approve alternate
analytical aathoda for chlorine, chloraninea,
chlorine dioxide and osone.
a. Tha aathod by which tha stata will approve continue*!*
turbidity aonitoring for ayataaa which do not provide
filtration. Tha validation procedure ahould be
included and ahould apecify frequency aa wall
aathod.
1»
-------
<143.ieb3ivG>
41tt.l6b2ivX>
<142.16b2ivJ>
Mdltlotval RaquiTamanti lev lt»Ui vhieh llw tystMo
to avoid Filtration
i. Tha Mthod by vhieh the state will 6et»mii» that
Situ identified ae tht soutm of e veterborno
•mm outbreak bat 1mm aodlfiid laffielmtly to
prevent raourranoa. The Stat* 91191114 iwiote a plan
to avaluata aodifioatione and epscify tba lovel of
State paraonnal that vill approve dieifloBf.
b. Tba Mthod by vhieh tba State vill approve eoaditim
(ether than tba via of published CT 99.9 valiiM) that
ehov adequate dielnfection for osona# chloraainas or
ehlorina dioxide. (Covered in 8HTR Guidance Manuel)
e. Tha Mthod by vhieh tba Stata vill determine that
certain required colifor* Monitoring is not (ufibli.
Tha State ahould includa tha approval procedure.
d. Tha method by vhieh tha stata vill determine Khtthtr
4-log inactivation of viruaaa by preformed
chloraninaa haa occurred. (Covarad in SWTR Guidance
Manual)
C. DISCRETIONARY STATE SPECIAL PRIMACY REQUIREMENTS
EPA vill raviav tha submissions for thaM special
primacy requirements to anaura that tha Stata baa a
procedure for documenting and approving tha variations.
These ara procedurea that tha Stata vill Ma to avaluata
unusual eireuMtaneaa. Sinca thaaa evaluationa vill
usually be dona on a case-by-case basis, EPA
expect tba Statas to davalop detailed technical
for tha purpose of satisfying tha priMcy raviav.
purpoae of tha priaacy raviav, tha Stata should identity
tha procaaa it vill uaa to identify, docuaent and approva
thaaa unusual circuastances. Approval procedures Mould
apacify that decisions vill ba Mda at, at least, tha leval
of tha aacond level supervisor.
As part of EPA's overeight role, during aid-year
tba Regions should spot check a few daciaiona on w
iteas to araura that tha Stata'a decisions vara not
unreasonable.
1* Requirements for Statas Choosing to Adopt Optional
Provisions
4UM«b2iii8>
a. Tba Mthod by Vhieh tba stata vill datarmina ttat
a at«m ara providing adequate dielnfection la tha
atribution ayatM vhan HPC la not tutma and
rMidual diainfaotant is not detected.
19
-------
IMUtt* b. ffc* lathod by which
distribution oyst*B ntikil dl#ii»fa«ta»t
90Mwtnti«i aaapling plan* for Dfftnf Ml# •!•©
uaa groundvatar.
o« VIM Mthod by which tha lUU will —
cartain aystaas in allowad to raduca
aonitoring.
turbidity
• Thia
U
<242.16b2ivB>
<242.16b2ivC>
<142.16b2ivD>
«l«2.16b2lvF>
d. The Mthod by which thi ititi will
to raduoa reporting for eartaia
include a plan to anaura that tha _
performing CT calculatlona correctly
a. Additional tequlrtMnti for States which
to ovoid Filtration
a* Tha Mthod by vhieh tha Stato will
aouroa vatar turbidity axoaadinoaa
unpredictable.
b. Tha Mthod by which tha 8tata will
CT violationa were unusual and unpredictable,
c. Tha aethod by which tha State will determine
violationa of residual diainf octant
requiraaanta entering tha diatribution
unusual and unpredictable.
d. The aathod by which the State will determine
violationa of diatribution system residual
disinfectant concentration raqairaaanta
to treatMnt daficienciea.
a. Tha Mthod by which the State will determine
col iform MCL violationa were cauaad by
in treatMnt.
<142•16b2ivH>
f.
The Mthod by which the State will
an unreasonable risk to health will exist
a ahutof f of water whan tha reaidual
concentration entering tha diatribution
below 0.2 ag/1.
if
10
-------
umDii &
•Utt Vrimae? uviiin IppUoakin
The purpose of this appendix is to describe the material
required to apply for primacy revision for the SVTR* Figurs X
in the manual out Una* tha time frame in which states nst
apply for privacy raviaion and Figure t addresses the time
frame for extenalon applications.
A Primacy Revision Application package should eonaiat of
tha following:
• Tha Stata Primacy Raviaion Checklist: 1142.14.
• Tha taxt of tha 8tata Regulation
• Tha crosswalk for rula 1141# completely fillad out and
annotated aa necessary.
• A chackliat identifying that Stata policiaa are
conaiatant with Federal requirements for record keeping
and reporting, rule if142.14 and 142.15.
• An explanation of how tha Stata will seat tha Special
Primacy Requireaenta from rule 1142.16.
• Stata Attorney General Statement of enforcaability.
The following paragraphs explain that tha sect Lone of this
appendix correapond to the required element* of a Primacy
Raviaion Application, listed above.
Section I ia a chackliat of program elements, taken from
S142.10, that can really be thought of as a table of contents
for the primacy raviaion application. In fact, tha new
Primacy Rule explains that: a State has primary enforcement
reaponaibility for FWSa in tha State...based upon submission
made pursuant to (142.11 and submission under 1142.12, that
such a State, pursuant to appropriate legal authority has
complied with the provisions of f 142.10. The stats should use
the checklist to indicate the program elemanta that ar* and
are not ravised in response to the revised federal ragulation
by filling out tha first blank column, indicating with a •yae*
or "Ho" answer whether program alaments have been renrised.
During tha evaluation proceas, CPA will fill out the aacond
blank column with finding and commente.
Section zz is a blank copy of tha Primacy Raviaion
crosswalk for |14l of tha SftTR. States must complete tha
crosswalk to indicate which Stata atatute or ragulation
addresses each federal requirement, if tha State's statute or
A - 1
-------
regulation differs from the federal requirement, the ittti
should explain hov theirs is "no loss stringent*" The Stat*
should not* that 1142.64, Varianess snd Exemption# ars
included in this section, and should bs dsalt with in the same
Banner as other requirements in the crosswalk.
Section ZZZ addresses State reporting and record keeping
requirements. The State should use the form to explain that
their policies are consistent with federal requiresents. If
state policies are not consistent, the State should elaborate
and show that their policies are at least as stringent as
federal requirements.
Section XV is e summary of State Special Primacy
Requiresents. This ssction is organised by the priority of
the provisions of the rule. Categories A, B and C represent
the relative Importance of the provisions. For e detailed
explanation of this categorization, see section XXX of the
manual. To complete the State Speciel Prinacy Requirements
Section, the State should fill out the first blank coition with
a "Yes" or HNoN answer, where allowed, to indicate whether
optional provisions ere being adopted at the 8tate level. The
State should describe how it will satisfy each mandatory
requirement and each optional requirement being adopted.
During the evaluation process, EPA will fill out the second
blank column with finding and comments.
Section V is s model attorney General*s Statement, which
can be utilised if the State so desires.
Further information on the primacy application process is
available in 40 CFR Parts 141 and 142, National Primary
Drinking Water regulations Implementation; Primary Enforcement
Responsibilityf Final Rule dated December 20 1989, and from
the Handbook for EPA Review of State Program Revisions Under
Hew Primacy Regulations.
A - 2
-------
imn o? mn mioei
smsxov APPLICATION
imnei nm uubatoeht sots
CONTENTS*
I 1142.10 Raquiraaanta - Checklist
II il4l Raquiraaants - Priaacy Revision crosswalk
III 11142.14 and 142.15 Reporting and Record keeping
IV |142 Stata Special Priaacy Revision Requireaents
V Attomay Ganaral Cartifieation Stataaant
Btata:
Data ApplicationBubal ttedi.
Data Raviaw Coaplatadi
SPA Region*
Reviewing Starft
-------
•nn vunn imizov eneaiif » mt
lllsvision to 8tata
1Program Yaa/ No
fPA Pindings/Coaaant*
I&4S.10 -- trisary
Boforoaaaat
S142.10(a) — Rags
no lass stringent
1142.10(b)(1) —
maintain inventory
1142.10(b)(2) —
sanitary aurv prog
1142.10(b)(3) —
lab cart prog
1142.10(b)(4) »
lab capability
1142.10(b)(5) ~
plan raviav prog
1142.10(b)(6)(i) —
auth to apply rags
1142.10(b)(6)(ii)
auth to sua
1142.10(b)(6)(iii)
right of antry
1142.10(b)(6)(iv)
auth to rag racords
1142.10(b)(6)(v)
auth to rag PN
1142.10(b)(6)(vi)
civ/cria panaltiaa
1142.10(C) —
&&int of raoords
1142.10(d) —
V/S conditions
1142.10(a) "
aaargancy plans
x - 1
-------
HUWt'VlliiVBRJWqtWWAUt-WWr
FEDERAL
REQUIREMENT
FEDERAL
ens
STAIBMRHORRY
STATVTE/REGULATION
vvmmtrnmmnM
noMffiWii
MnmcsnpiBinBRMS
WHY«wousi»imqg
-------
WUMACYtBVttKWCItOSSWALiC^rm
TOflDUL
REQUIREMENT
Sfnii
STATE AUTHORITY
gnpmiMiwwwimiiil
CRB
VTA1VIB /keoulahon
ill
if!
DEFINITIONS (cont'd)
Surface water
14L2
Waterbcroediaeaje
outbreak
1411
Virus
1411
MAXIMUM
CONTAMINANT
LEVELSFOR
TURBIDITY
Existing turbidity
requirements applicable
until Dee. 30,1991 for
systems not filtering and
sot required to filter
141.13
Existing turbidity
requirements applicable
uwU June 29,1993
for systems filtering or
required to filter
4S>>
141.13
i
TURBIDITY
SAMPLING AND
ANALYTICAL
REQUIREMENTS
9
Existing turbidity
sampling and analytical
requirements applicable
until Dec. 30.1991 for
lyiww* iw< Wwrfag «i^
not required to filler
14112
Exists t turbidity
sampling and analytical
requirements applicable
mdl June 29,1993 for
systems filtering or
required to filter
14112
D-2
-------
RURAL
WQUDtEMENT
federal
ens
ITATS AUTHORITY
STA1U1B /REGULATION
PMfm«TI*QMfSB0Ml
ICQUlREMBfT.NOIB
nnt^nsiBMP
WKVNOUSSfllDiGSCr
ONKPARATSOBBr
PUBLIC
NOTIFICATION
Rea&ements far acute
violation!; ccflwwm of
wambor^e disease
14132(1)0)00(0)
Mindatcfly health effect*
fangqaje; nortflcarkm of
niciouoioffcal.
contaminanon
14U2(e)(10)
TREATMENT TUCH.
REQUIREMENTS FOR
FILTRATION AND
DISINFECTION
Tteaaaem technique
requirement; 99.9%
removal of Gtardfo
lamblia
141.70(a)(1) *
Treatment technique
requirement; 99.99%
removal ofviroi
141.70(a)(2)
Compliance
determination; lyttems
meeting criteria to avoid
fUmtion
141.70(b)(1)
Compliance
detcRBinatkn; systems
meetinf filtration and
141.70(b)(2)
Gg^ootfqgaaB1 by
141.70(c)
CRITERIA FOR
AVOXDZNO
FILTRATION
CbopOineedttefdr
ipm wnr ijMciui v
avoid filtredoo;
Dec.30,1991
141.71
n-s
-------
WUMAI'T Kg? ION CXP5SWALK ~gWTK '
FEDERAL
REQUIREMENT
VBDBLAL
ens
8TA1B AUTHORITY
STATUTE / REGULATION
wpmnmnmmBMA
K&mMon.wn
WPWDtBIClHBtt*IXFUff
WHYKOmiSIKBWPff*
ON SEPARATE SHEET
CRITERIA FOR
AVOIDING
FILTRATION (cont'd)
Compliance date for
ground water system*©
•void filtnuion^Dec. 30,
1991 or 18 months
following* systems
determinatkm to be under
the direct influence
141.71
Somce water qualitv
conditions; fecal couforro
141.71(a)(1)
Source water quality
conditions; tumidity
141.71(a)(2)
Site ipretftr conditions
141.71(b)(l)0>
rtv^
Maintenance of a
watershed control
program
141.71(b)(2)
Annual on-site inspection
of the watershed control
program
141.71(bX3)(i).
(vii) .
System not identified as
source of wsterbocnc
fltratff outbreak
141.71(b)(4)
Compliance with the total
coUfonnMCL
141.71(b)(5)
Compliance with the
glhafamethane
irgnfrtiirnts
141.71(bX6)
Itoatment technique
violation; Mure to meet
criteria
141.71(cXl)0)
violation; ftBure to install
fihfftl^fi fry fhf
date
141.71(cXlXii)
n-4
-------
FEDERAL
HOCRAL
are
fTATO AUTHORITY
STATUTE/REGULATION
vwmmnnmmBua
wwrnmrnm
mp»m»u9
wHYnoutiiTwapir
ONtBFARAlSfiOST
CRITERIA FOR
AVOIDING
FILTRATION (coofd)
Treatment technique
violation ft* systems not
filtering; source water
turbidity exceeds five
NTU
141.71(cK2)0)
Treatment technique
violation for systems not
filtering; system it
identified as the source of
a waterboroe disease
outbreak
141.71(c)(2Kii)
DISINFECTION
Compliance date (with
i 14f.72(a)) of Dec. 30,
1991 for surface water
systems not required to
141.72
Compliance date (with
§141.72(a)) of Dec.30,
1991 or 18 months
following a ground water
systems determination to
be under the direct
Influence ~ wiwu not
required » filter
141.72
Compliance date (with
1141.72(b)) of June 29.
1993 or when filtration is
installed faiywBBi
required to filter
141.72
¦otrtquiretf to titer}
99.9% removal of Oiardia
lambtia
141.72(aXl)
in mwucmun lyiiBiu
141.72(^(2)0)
n-s
-------
FEDERAL
REQUIREMENT
RD0UL
cm
STATE AUTK0K1TY
itaiute/kboulahon
vvma&tnmnmtu
HRIMfBllffUV
wmrwmmBtosxr
CM SEPARATE «HEET
DISINFECTION (cont'd)
Disinfection for systems
not required to filter;
Automatic shut-off for
water delivery
141.72(a)(2)0i)
Residual disinfectant
concentration in water
entering the distribution
system
141.72(a)(3)
Residual disinfectant
concentration in the
distribution system
141.72(a)(4Xi)
Applicability of residual
disinfectant concentration
in the distribution system-
systems unable to perform
HPC analyses
141.72(aK4)(ii)
Disinfection for systems
required to filter;
99.9% removal of Giardia
lamhlis
141.72(b)(1)
Residual disinfectant
concentration in water
entering the distribution
system
!41.72(bK2)
Pf^«|
€Ut6efi^rMdoft is the
distribution system
141.72
-------
PRIMACY *EV3 iON CROSSWALK—8WTR
FEDERAL
IBQUIRIMEOT
FEDERAL
crre
gTATBAimfOmiY
STATUTE / REGULATION
*F«FFO©ffFWHfBD0UU
REQUDtEMEMT.NOlE 1
DBTOBNCiH0»*tJ«AM
wKy*Hoiaisn«
-------
,CY REVISION CROSSWAUC-gWI*
FEDERAL
REQUIREMENT
FEDERAL
GTE
STATE AUTHORITY
STAIUTE/XEGUlAnON
VnnmfTfMMISDBMl
VfEiENCEffiXBASJOMD
wHYHoifsimwcENr
ON SEPARATE gHEET
MONITORING AND
ANALYSIS (cont'd)
pH analysis
141.74(a)(7)
Monitoring of systems
not required to filter;
Surface water systems -
begin by Dec. 31,1990
141.74(b)
Ground water systems
under the direct influence
— begin by Dec. 31,1991
or within six months of
determination to be under
the direct influence
141.74(b)
Fecal /total colifann
141.74(b)(1)
Turbidity
141.74(b)(2)
Temperature monitoring
for CT calculation
U1.74(bX3)(i>
pH monitoring for CT
calculation
141.74(b)(3)(ii)
Contact time
determination
141.74(bX3)(iii)
Residual disinfectant
141.74(b)(3)0v)
Demonstrating alternate
methods of disinfection
141.74(bX3Xv)
Calculation of
bacdvitkm ntfo; systems
applying disinfection at
oiuy one point
141.74(bX4XiXA)
A(B)
Calculation of
inactivadoo ratio; systems
applying disinfection at
multiple points
141.74(bK4)0)
n-8
-------
pmmacymbvJk^kcrqsswaijc^swtr
FEDERAL
1BQUHUBMBKT
FBOOtAL
ens
mTBAunfowiy
STATVIE/REGULATION
POnVUNTPSOMfECEJUl
DmPraCBfURSAOOUO
WHVNOUUiTKfffOBfr
ONOMMVIiBr
MONTTORINO AND
ANALYSIS (coot'd)
Monitoring ofintcim
not nquind to niter;
Oonttauous monitoring of
disinfectant
concentrations in water
entering the distribution
system
141.74(b)(5)
Residual disinfectant at
same timesfolaces as total
colifonn • Measurement
of HPC in Uea of lesidual
disinfectant
141.74^X6X0
Applicability of residual
disinfectant
concentration; systems
unable to perfona HPC
analysis
141.74(bX6)(U)
Monitoring of systems
required to fUttr;
Begin by June 29,1993 or
when filtration is installed
141.74(c)
Bufumamcr of tubidiiy
measurmem every four
hours or continuously
upon state approval
M1.74(cXl)
of
rr^fifiytini
141.74(c)(2)
Moniiortng of residual
disinfectant at same
thnesAiIacei as tottl
colifonn - measurement
of HPC to hcu of residual
disinfectant
141.74(cX3Xl)
n-9
-------
PRIMACY REVISION CROSSWALK*—5WTR
JBDOtAL
MQUDUSMENT
V80OUL
cm
ITATO AUTHORITY
STAIVn/REOUUIMN
wwrnannmnmrn
mmHBrr.mn
DtPFSXINClHDtSAnPUO
WHY*NOl«ffTM«0fr
OWSEFAIUTlfHSCT
MONTTORINO AND
ANALYSIS (contfd)
Monitoring
required to filter;
Applicability of residual
disinfectant
concentration; systems
unable to perform HPC
analysis
141.74(c)(3Xii)
REPORTING AND
RECORDKEEPING
REQUIREMENTS
Systems not required to
Surface water - begin
141.75(a)
Ground water systems
under the direct influence
—begin monthly
reporting by Dec. 31,
1990 or six months alter
determined to be under
the direct influence
141.75(a)
Source water quality
information
141.75(aKlXi)-
Ox)
141.75-
OxXB)
Watershed control
profounT
141.75(a)(3)
Oh-rfteinpecdan
141.75(aK4)
-
OBCTW^ec^aieitMue
141.75(»X5)0)
Itat&fify exceeding 5
MTU
14I,7J(iXJXH)
n»io
-------
HUMACY WVaiON CHOMWAIJC 8WTK
ISOiRAl.
•BQUDUMEKT
todul
era
miBAumauiY
ITATVIl /RBQULA110N
wpwmonnmnomAi
RBQURIMDfT.MOIS
DBTWWCIiPIIWm
WHY ¦MOWilWWgPir
0NlffAtA1BI«Er
REFORTINOAND
RECC»PKEEHNO
REQUIREMENTS
(cont'd)
9
BipoittMtbr ijrimi
not required toUtin
ftffinf belowOAng/1
141.75(aK5Xlii)
RtpoftiBf forsyttcmi
required to filter;
Begin Jose 29.1993 or
ran flhntioiJ is instilled
141.75(b)
Tarbidity mwritnring
141.73(bXl)0)-
(iH)
ylll 111 rcoop DQaSwRDg
141.75fl>X2Xi)-
Ov)
141.75(bX3)a)
Tojbidfay ncmling 5
JiTU
141.75(bX3)0i)
Disinfectant residual
iiBinibelow O^aai/l
141.75(bX3)6fi)
VARIANCES AND
WBBUNS
14164(a)
aasstf"
142.64(b)
n>ii
-------
MAT* istotfura UOOU KB1PXK9 KSeUlftSXSm - ms
Ars Stats policiss conslstsnt with fsdsral
rsquirssantt? If not, sxplain.
1141<14 «
Raoords kspt by
•tstssi Sss
Attachment A
f141.IS —
laporta toy fUt««,
rsquirsnsnts:
• annual rsport of
sources not rsq'd
to filtsr
• annual rsport of
sourcss not raq'd
to analyzs for
HPC
• Quarterly rsport
of sourcss not
rsq*d to filtsr
ZZZ - 1
-------
Amentwv a
to Section XZZ
1141.14 — Msorli kipt by lUtia
- Records to be kept for 40 yurn
• higher turbidity Halts for filtered systems
• continuous turbidity aonitoring for unflltered systeas
• disinfectant residual sanpling at alternate sites
• turbidity *nd disinfectant monitoring for filtered systems
• reduced reporting
• failure to aeet disinfectant rssidual vss U4U
• vatershed control progrsa is adequate
• qualified operator
• parties to conduct on-site inspections
• unflltered systsa is the source of a vaterborne disssss outbreak
• interia disinfection requirements
• ground water under the direct influence of surface vater
• ground vater systea is required to filter
• record analyses of contaainants other than aicrobiological
contaainants, residual disinfectant concentration, other paraaeters
necessary to dstsrains disinfectant effectiveness, and turbidity.
- Record to be kept for 10 years t
• turbidity exceeding 5 MTU vas u&u
- Records to be kept for 1 yeart
• violation of CT vas U&tf
• violation vas not caused by sourcs vater treataent deficiency
• additional colifom monitoring is not feasible
- Records to be kept until decision is rescinded
• URTK vould result froa autoaatic systea shutoff
• KPC analysis cannot be perforaed in the requisite tiae
• systsa asy use an alternate filtration technology
• chloraaines provide adequate disinfection
• systea asy use alternate CT values
ZZZ - 2
-------
IMTI lltesu VKZXXet UfiOSUMMTI • «VT»
I Applicable to
| State Yu/ No
Does the application contain!
raq'd info? If not, explain|
|14S.1« --
Special Prlaacy
Raquiraaeats
eitigoty A
1
A.l.a. qualify
operator#
Required
A.l.b* d«t«raiM
direct influence
Required
A.I.e. *chl«v*
virus and Giardia
inactivation?
Required
A.2.a. statute
r'qring filtration
A.3.a. watershed
control
A.3.b. approve on-
site inspectors
1
Category 1
1
B.l.a. enforceable
design criteria
Required
B.l.b. approve
parties to aeasure
water quality
indicators
Required
B.l.c. designate
filtration
technology
Required
B.a.e. intern
disinfection r'qats
B.a.b. alternative
turbidity Units
s
B.2.C, alternate
filtration
technology
|
IV - 1
-------
stats incm mmci ugpiuiiivyf - wn
Applicable to
State Yas/ no
Does ths application contain]
r#q»d info? It not, axpliiii
B.a.d. alternate
analytical methods
B.a.e. continuous
turbidity
monitoring
B.3.a. vaterborne
diaease outbreak
B.3.b. approve
diainfection
technology
B.3.C. coliform
sampling unfeasible
B.3.d. determine
effectiveness of
inactivation by
chloraaines
Category C
C.l.a. adequate
disinfection
C.l.b.
plans
sampling
C.l.c. reduce
turbidity
monitoring
C.l.d. reduce
reporting
C.a.a. turbidity
occurrence was U&U
C.2.b. CT
violation was UtU
C.a.e. failure to
meet residual rqmts
UftU
The State should describe how it will satisfy each mandatory
requirement and each optional requirement being adopted.
IV - 2
-------
m*S 0I1CXAL fftXMMT MQPimaiff « WW
Applicabla to
Stats Yas/ No
Doss tha application contain
raq'd info? If not, axplain
c.a.d. failura to
*aat distribution
rasidual was U4U
C.2.«. colifors
MCL violations wars
caussd by traataant
daficiancias
an URTH
vill raault from
automatic aystaa
shutoff
* Tha Stat® should dascriba how it vill satisfy each mandatory
raquiramant and aaeh optional raquiranent baing adoptad.
IV - 3
-------
MODEL ATTORNEY GENERAL'S STATEMENT
1 hereby certify, pursuant to my authority as
-------
mmxx b
wellhead vvoteotloa
This appendix contains information en wellhead protection (HHP) that
say ba valuabla to tha Stata in lap lamenting tha Surfaea Water
Treatment Rula (SWTR)• Tha appendix addraaaaa methods for
deteraination of vhathar groundwater la undar tha dlract influence of
surfaea water and watershed control. Alao included is a HHP program
summary. This appendix ie aeant to ba used in conjunction with the
SWTR Guidance Manual.
SULS BBCTZOWt 141.71(b)(2)
A watershed control program is one of the requireaente that aust be
set to avoid filtration!
At a ainiaun tha watershed control prograa must: 1) characterize
hydrology and land control* 2) identify vaterahed characteristics and
activitiee affecting eource water quality and 3) aonitor these
activities.
Under the SDWA Section 1428 (a)(1), (2), (3) and (4)# a WHP prograa
will aeet the requireaente for a waterahed control prograa for
groundwater under the direct influence of eurface water by:
1) identifying the dutiee of state and local agenciea and tha
public water eupply systeas to develop and iapleaent HHP
programs;
2) delineating the area aupplying groundwater to the public water
welle baaed on hydro-geologic and other information;
3) identifying all anthropogenic sources of contaaination which
aay have adveree public health effecte? and
4) defining a prograa of technical assistance, financial
assistance, implementation of control aaaaur**, education,
training and daaonatration projects to protect the water eupply
within the wellheed protection area (WHPA) from contaaination.
BULB SSCTXOVt 142.14(b)(2)(1)(B)
Deteraination of whieh systeas using groundwater soureee are under
the direct iaflueaee of surf see waters
Wellhead Protection prograas are required to delineate VHPAe under
SDWA Section 14aB(a) (it) using hydro-geologic and othar information.
Guidelinee fo* delineating WHFAe Include ground-water Tin^f-Trtval
(TOT) estimate*. Zf the TOT froa the surfaea water to tha water
syetea'e veil (a) is greater than 1 year, than tha ground water is not
under tha direct influence of surface water for the purpoeaa of this
rule, in this case, the SWTR would not apply to this eyetaa.
Zf the TOT froa surfaea water to well is less than 2 years, the SNA
My or aay not apply. Further analysis (s.g., particulate analysis aa
described in the SWTR Guidance Manual.) would be needed to deteralne
whether there is direet influence.
B - 1
-------
Wellhead Protection Program fluaaary
section 1438 of the safe Drinking water Act (6DWA) contain*
requireaenta for the development and implementation of State
Wellhead Protection (HHP) Programs to protect valla and wall
fields which ere used, or may be used, to provida drinking water
to public water systeas. Under Section 1428, aaeh Stata auat
adopt and submit to EPA for approval a HHP program that, at a
ainiaua:
(1) Spacifiaa the dutiaa of Stata agencies, local govarnaents
and public water systeas in the devalopaent and
lapleaentation of tha HHP prograa;
(2) For aach wellhead, determines tha vallbaad protection
area (WHPA), as defined in saction 1428(a) of SDifA, baaed on
all reaaonably available hydro*geologic information on
groundwater flow, recharge, discharge and other infornation
tha Stata daeaa neceasary to adequately determine tha WHPA;
(3) Idantifiea within aach WHPA all potential huaan aourcea
of contaminants which Bay hava any advarae health affects;
(4) Deacribaa provisions for technical assistance, financial
aaaiatanca, implementation of control meaeurea, and
education, training, and damonatration projects to protect
the water aupply within WHPAs from such contaainanta;
(5) Zncludaa contingency plana for tha location and proviaion
of alternate drinking water auppliea for aach public watar
ayatam in tha event of well or well field contamination by
auch contaminanta}
(6) Raquirea that State and local govarnmenta and public
watar ayatama conaidar all potential aourcea of huaan
contamination within tha expected wellhead area of a naw
watar wall which eervea a public watar aystam; and
(7) Raquirea public participation in developing tha HHP
prograa.
Each Stata ia to aubait • biennial atatua report to BPA on
tha State's progrees in implementing tha prograa. (Section 1428
(g)) Federal agenciea having jurisdiction over any potential
aourca of contaainanta identified by a stata prograa under this
aactlon auat coaply with all tha requlraaenta of tha Stata
prograa. (Saction 1428(h))
8DHA required all stataa to aubait a HHP prograa to SPA by
June 19, 1989, for BPA review and approval. Aa of that data, SPA
had received 29 Stata prograaa for review, other Stataa are
axpacted to aubait prograaa after that data.
B - 2
-------
kmnzs e
QuNtirai iM tamn
This appendix lists questions and ths responses that wore
aada during iapleaentatlon workshops. As this Appendix continues
to davalop through tha iapleaentatlon process, new questions and
thair ansvars will ba addad.
GENERAL
Quaation:
Could you aatinata tha nuabar of systeas affected by this
rule?
Responee:
Thara ara about 10,000 aurfaea vatar supplies, (not including
systeas vhich purchaaa thair water tram wholesalers) , of
vhleh 7,000 currantly filtar. Tha raoaindar of about 3,000
othar systems do not filter, and will ba raquirad to conform
with tha raquiraaants of tha rula to reaain unfiltarad. EPA
estiaates that about 85% of thaaa aystans will net bo abla to
Beet tha critaria and will aithar hava to install filtration,
connact with anothar systea or awitch to a groundwater
source.
EPA astimataa that approxinately 70% of •ximting filtration
ayateas ara not Basting SWTR raquiraaants and will require
upgrade of design or operation.
EPA estiaatss that tha SWTR will aliainate approxiaately
90,000 cases of disease froa aicrobiological eontaainants.
This eatiaate la baaed on a risk aodel of infection rather
than reported diaeaaa. Theee subjects are diacuaaed in tha
preaable to the rule.
Question:
I 1412(b)(7)(C)(iii) of ths SOMA requires that States sake
determinations regarding filtration for all of the public
vatar systeaa within its jurisdiction within 12 aonths of
adoption of tha rula. Doss this asan that a State which
filee for an extension and adopts tha SWTR later than
Deceabev, 1990 has extra tiae to aake these initial
filtration decisions?
Responses
No. Ths 12 aonth period specified in tha SOMA for filtration
deteraination begins at the end of the IS aonth period (alao
specified in the SWA) for rule adoption by tha State, i.e.,
for all States, ths SWTR Bust be adopted by Deceaber 1990 and
an initial filtration determination nist be aada before
January, 1992. section D. COMPLIANCE of the Preaable to the
C - 1
-------
final ml* contains aora information on this iaaua. (04 £K
37309, ooluana a and 3)
Questionj
How can ftwrtawflfUiuB bo control lad?
Raaponaat
Filtration appaara to raaova lavala of egyatMBflrM!«¦
oocyata coaparabla to tha lavala of clardia r—aval
through aiailar traataant. In fact, prallainary data
indicata that filtration say achiava slightly graatar
raaova la of oocyata than Qiardia eyata whan traataant is
optiaisad for turbidity raaoval. Parcant raaoval of partiela
aita counts (bounding tha oocyata aisa ranga of 9*10 j»)
appaara to ba a conaarvativa Indicator for tha pareant
raaoval of oocyata.
Oocyata ara auch aora rasiatant to diainfactien than fiisrdia
cyats. it appaara that, with tha poaaibla axeaption of
osona, diainfaction achiavas virtually no inactlvation of
oocyata. Thus, basad on laboratory data, it appaara that tha
only traataant barriar for oocysts which most systaas
currantly hava in placs is filtration (or control of sourca
watar contamination vhara faasibla).
Oocyst concantrationa aaong aourca vatara to drinking wator
plants appaar to vary 0-3 logs. If disinfsction achiavas no
subatantial inactivation, than systaas with protactad
watarahada aay provida aora protaction froa oocysts than
systaas with grossly pollutad aourca vatars that practice
disinfaction.
Quastiom
How should aaargancy vatar aourcas ba addraaaod in taraa of
tha raquiraaant for filtration?
Rasponaa:
This issua should ba considarad on a casa-by-casa basis by
tha Stata. Stataa should considar tha probability of vhathar
or not tha aaargancy supply will ba naadad. sinca tha rula
only appliaa to tha vatar which tha systaa is using at a
givan point in tiaa, tha rula doas not raquirs, par sa, that
tha aaargancy supply ba filtarad. (That is, aaauaiag that
tha aourca would otharwisa havs raquirad filtration.)
Zf tha aaargancy supply is usad and tha aystaa cannot aaat
tha critaria for avoiding filtration uaing thia supply, tha
systaa would ba in violation. Tha systaa could apply to tha
stata for an axaaption rathar than install filtration if tha
aourca vill not ba in uaa for an axtandad pariod of tiaa.
Onca tha aaargancy aourca la no longar baing uaad, (or tha
probability of ita rauaa bacoaaa raaota), tha application for
axaaption could ba withdrawn ainca tha systaa would ba back
in coaplianca. Whathar or not a Stata would approv* of much
a policy will dapand on tha ability of tha aystaa to onaara
c - a
-------
ainiaal risk during tha pariod that the aaargancy aourea is
In uaa.
Questioni
How it "population aarvad" defined for non-eoasunlty iy«t«u
to deteraine aonitoring fraquanciaa?
Reeponee:
Statea hava diacration in determining tha population aarvad.
Hovavar, ona aathod of dataraining population ia aa follows.
Population (P) could be dafinad aa tha aun of tha raaidanta
(r) and tha avaraga daily tranaiant population (total number
of tranaianta (t) aarvad par aonth divided by tha number of
daya (d) of tha aonth during which tha tranaianta vara
aarvad)•
P - r + t/d
Bacauaa tha calculation would raflact tha pravioua aonth'a
population aarvad and bacauaa tha populationa aarvad could
vary from aonth to aonth, influancing aonitoring
requirements, it nay ba appropriata to calculata (P) froa
pravioua yaara tha ayataa was in oparation. Tha faaaibility
of applying this concapt will dapsnd on tha.facility for
dataraining (r) or on astiaatas rather than actual count*.
Question:
Could you plaaaa addraaa conaacutiva public vatar ayataaa and
how you recoaaand thay ahould aaat tha aonitoring
raquiraaanta of tha SWTR?
Reaponae:
40 CFR f 141.29 daala with conaacutiva ayataaa. Thia aaction
givaa priaacy aganta tha option to conaldar auppliara and
conaacutiva ayataaa mm aingla ayataaa for tha purpoaaa of
aonitoring undar any of tha drinking vatar ragulatlona.
Tbarafora, a priaacy agant haa tha authority to conaldar a
auppliar and a conaacutiva ayataa aa a aingla ayataa, or aa
aeparate systasia; for purpoaaa of compliance with tha
aonitoring raquiraaanta of tha SWTR and TCR.
Tor conplianca with tha raquiraaanta of tha two rulae, it
will oftan ba appropriata for tha priaacy agant to conaldar
tha auppliar and conaacutiva ayataaa aa a aingla ayataa. Tha
raquiraaanta, undar tha SWTR, for aouroa vatar aonitoring, CT
valua dataraination, aaintananca of antry point dlalnfactant
rssiduale, dual diainfaction coaponente, watarahad control
program*} operator quallflcatlona, ate. will likely ba tha
raapcmaibllity of tha auppliar. Raquiraaanta for
diatribotlon ayataa dlalnfactant reeiduel monitoring undar
tha 5WTX and for dlatributlon ayataa coHform aonitoring
undar tha TCR will ba tha reaponeibillty of both auppliar and
conaacutiva ayataaa. Xf traatad aa ona ayataa, tha raquirad
aonitoring plan auat addraaa both tha suppliers and tha
oenaacutiva ayataa'a dlatributlon ayataa. Computation of
coupllance with tha eolifoni MCL and diainfaetant raaidual
C - 3
-------
raquiraaanta auat alto ba basad en the ooabinad raaults of
the aaapling froa both tha supplier and eonaaeutiva ayittai.
wa baliava, hovavar, that baeauaa of tha ranga of factors
involvad (a.g., tha uaa of booatar chlorination, tha posaibla
axiatanca of aaargancy aurfaea vatar aoureaa/ tha ralativa
aisaa and eapabilitiaa of tha parant and aaeondary ayataaa,
ate.) tha daeiaion of how to traat a aaeondary ayataa auat ba
aada on a caaa-by-caaa baaia, and that tha prlaaey agsnt ia
in tha baat poaition to aaka that daeiaion.
II.A. TURBIDITY VIOLATIONS
Quaation:
In an unfiltarad ayataa using aurfaea vatar or ground vatar
undar tha diract influanca of aurfaea vatar, If a eoliforn
aaapla ia takan in tha aoming, and latar in tha day tha
turbidity axeaada 1 NTU, ia tha ayataa raquirad to collaet
anothar coliform aaapla on tha aame day?
Raaponaa:
No. Only ona eoliforn aaapla ia raquirad on tha day during
vhich tha turbidity axeaada 1 NTU.
Quaation:
Will thara ba an ovarlap batvaan currant turbidity
raquiraaanta and thoaa of tha nav rula? ,
Raaponaa s 7 /
Thara vill ba an ovarlap. In (Juna iyy)t turbidity aonitoring
raquiraaanta for aourea vatar for unfiltarad ayataaa goaa
into affaet vhila tha intaria turbidity raquiraaant ia atill
in placa. Aa of Dacaabar 30, 1991, tha SWTR aourea vatar
turbidity liait takaa affaet for unfiltarad ayataaa at vhich
tiaa tha intaria atandard vill no longar apply.
Hovaver, if tha Stata datarainas that an unfiltarad ayataa
auat inatall filtration traataent, tha intaria atandard vill
raaain in placa until filtration ia inatallad, or until Juna
29, 1993," vhichavar la latar. For ayataaa vhich alraady
filtar, tha SWTR turbidity raquiraaanta bacoaa affactiva Juna
29, 1993 and tha intaria turbidity raquiraaanta raaain in
affaet until than.
Quaation:
Could you axplain how tha uppar nuaarical liait for turbidity
ahould ba intarpratad?
Raaponaat
Tha rula raquiraa aourea vatar colifora aaapling on days tha
aourea vatar turbidity ia graatar than 1 NTU. Tha 1 MTU
liait can ba Intarpratad aa up to 1.5 MTU bacauaa of
significant figuras. Siailarly, tha uppar turbidity limit of
5 NTU can ba intarpratad up to 5.5 NTU bacausa of significant
figursa.
-------
Questions
In systeas using continuous aonitoring for source vittr tur-
bidity, what values should bo ussd to datsraine coapllanes?
Response:
Thoso oystoM should record aeasureaents at losst every 4
hours, st equal intorvsls. In this vsy dots recorded Is
eonsistont with data obtsinod through grab saapling.
Question:
For slow sand and othar filtration technologies, how can
States allow aeasureaents of up to 5 NTU in 99% of the
aeasureaents and no tiae exceeding 5 MTU?
Responset
- As e practical setter, these requlreaents cannot be ast coin-
cidental ly. soae level < 5 NTU oust be set for 93% of the
aeasureaents. Exceedance of 5 MTU is a treataent technique
violation.
II.A. SITE SPECIFIC CRITERIA
Question:
Please define an unusual and unpredictable event.
Response:
Exaaples are: earthquakes, hurricanee and tornados. If the
State is unsure whether an event is unusual, the ellowance of
not aore than 5 events in 10 years, or 2 events in l year Is
by default the definition. Unpredictable Beans that one
cannot predict the occurrence of the event. A predictable
event aight be a recurring or foreseeable event which night
cause turbidity, for example, to exceed S NTU.
II.A. DISINFECTION
Question:
Does lias softening provide inactivation?
Response:
Liae softening is not expected to significantly increase
Inactivation unless the pH exceeds 10.5. Mo additional
credit should be given unless the eystea can demonstrate tbe
levels of Inactivation for pH operating conditions above 9
for chlorine and chloraaines. Appendix 0-2 of the 8WZR
Guidance Manual indicates how such a deaonstretion can be
aade. Data established for one eyetea can be used ea en
Indicator for other systeas with siailar operating
conditions.
Question:
Can systsas using liae for water softening purposes end using
chloraaines in pre treataent receive CT credit when tha pH
exceeds 9?
-------
Jtaaponaai
IPA has no data for chloraain. inactivation of cysts
above a pH of 9. However, tha effecta of high pH on
chloraaine dieinfaction it not oxpactad to roduca its
inaotivation offioianey, Therefore, if a lyitta filters and
has problems with praeuraora to diainfoction by-products, and
ia using chloraainas to control for TTHM formation until tho
Disinfection By-Products Rulo ia proaulgated, it ia
roaaonabla to allov tho credit.
Onea tha Diainfoction By-Products Rulo ia pronulgatad, it
vill become apparant which diainfoction treatment option* ara
appropriate to aaat both rulaa. Also, data for Oiardia
Inactivation at higher pH valuaa ahould bo availabla at that
- latar data.
Queetion:
Can ayeteae gat mora disinfection cradit for uaing chlorina
raaidual concantrationa highar than thoaa citad in tha rulo?
(i.e. chlorina raaiduala highar than 3.0 mg/1)
Response:
No. Diainfaction cradit vill only ba grantad within the
concentration ranga citad in tha rule. Mot enough ia known
about inactivation efficiency for chlorina at higher residual
concentrations. Thus, if a system haa a raaidual of 4 sg/1
for a given contact tine it can only use tha maximum
concentration (3.0 mg/1) given in the CT Tables for
detemining the percent inactivation.
Question:
Ara there any cases whera a system vill not hava to aoot tha
disinfectant residual or HPC roquiraaanta?
Response:
Yes, but only in spacial instances. Snail ayatems which
cannot feasibly monitor for HPC and want to ainimiza tha
raaidual in tha diatribution ayatan in ordar to reduc*
disinfection byproducts or for aasthatic or raligious reasons
say not b« required to monitor for residual if the Stata
determines that tha ayataa provides adequato diainfaction in
tha diatribution ayataa. Systems falling into thia catagory
atill hava to meat tha requirement for aaintaining a
disinfectant raaidual antarino tha diatribution ayataa.
System* not aaintaining a raaidual in tha diatribution ayataa
and not abla to monitor for HFC ahould hava a croee-
connection control program and demonatratad means for
maintaining positive preasure.
c - e
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Quaationi
Do all systaas aaploying tha sum taehnology hava to
daaonatrata ita ramoval/inactivation?
Sasponsa:
Mo. Syataas using tha a ana procasa and having siailar sourca
vatar quality naad not radaaonatrata tha procaas
affactivanaaa.
II.x CT
Quaations
Could you say a littla bit about tracar studios in tho
dataraination of CT valuos?
Rasponsa:
" flyatana with tha axpartisa and raaourcas should bo raquirad
to do traoar studiaa. For aaallar systaas, tho 8tata can uso
tha rula of thuab aultiplisrs in Tabla C-5 of Appandix C to
tha SWTR Guidanca Manual to dataraina approxiaata *,. valuas
as a function of tha hydraulic diaplacaaant tiro and
hydraulic configuration of tha disinfactant "chaabar.
Rydxaulie diaplacaaant tina (T) ia datarainad by dividing tha
voluaa of vatar in tha diainfaction chanbar(a) by tha flow
rata; tha calculation should ba aada during pe*k hourly flow.
Onca T is datarainad, Tu could ba calculatad by dividing *
by tha factor givan in Tabla C-5. Tha CT would ba calculatad
by using tha T10, i.a., CT-CT10. Xdaally tha systaa would
davalop curvaa plotting flov rata varaus T. Using this tool,
tha syataa could datarnina T by aaraly aaasuring flow and
dataraining tha corraaponding T froa tha curva.
Pra-tracar study plans, approvad by tha Stats, will ba vary
usaful in ensuring that tha ayataa ia acquiring tha
appropriate data. This can also ba a roans for tha Stata to
judge vhathar paraonnal ara adaquataly qualified to conduct
tha tracar study.
Quastion:
Is it trua that filtarad systaaa which hava aora than
adaquata tiaa to naat CT don't nacassarily havs to
daaonstrata that thay ara baing aat on a daily basis?
Responses
Yes, as long as an adaquata disinfactant raaidual is prasant
vfcich assuras an adaquata CT at tha usual point of
aeasuratoent for tha c uaad in tha CT. Zf T (or rathar Tu)
is known to always ba abova sons valua, than only C would
naad to ba aaasurad and ba abova aoaa valua, to ansura that
tho CTtt is abovo that roquirad to achiava a apaoific laval
of inaetivation.
C - 7
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Question!
How is the first customer defined and is the plant included?
Reeponse:
The first service connection is dsfinsd as tbs first service
connection outside of the plant.
II.A. RESIDUAL DISINFECTANT
Question:
Can systems serving sore than 3300 persons use grab sampling
every two hours for recording disinfectant residuals as an
alternative to continuous aonitoring?
Response!
No. All systeas serving sore than 3300 persons aust conduct
continuous sonitoring of the dieinfectant residual. Xn eases
of equipment failure, grab saapling every four hours say be
substituted for up to 5 working days.
Question:
Under what circumstances would an exemption'be granted from
the requirement to aaintain a disinfectant residual of a 0.2
ag/1 entering the distribution systea?
Response:
None* Exemptions cannot be granted froa this requireaent.
Question:
Must e eystea inetell filtration in all oaaea if the residual
requireaent of i 0.2 ag/1 is not aet for aore then four
hours?
Rssponse:
Yes, however the State Bay determine that unueual and
unpredictable circumstances exieted and allow the systea to
continue opereting as an unfiltered supply. EPA expects this
provision to be used sparingly.
21.A. REDUNDANT DISINFECTION COMPONENTS
Question:
Plsase clarify the requirement for redundant diainfeetlon
equipaent.
Response:
Unfiltered systems have until Deceaber 1991 to install
redundant disinfection or automatic ehutoff if the residual
disinfsMnt concentration falls below 0.2 ag/1. Guidance
for def&ing redundant diainfaction equipaent is available in
the 8VTX Ooidance Manual. Following December, 1B91, if
redundancy is not maintained, filtration suit be installed,
once this provision has been violated, filtration vust be
installed. If backup equipment is under repair, or it backup
equipaent is used temporarily while the aain lias equipaent
is under repair, a violation will not be incurred. However,
c - 8
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an extended period of time with redundant coaponsnto cut of
service, during which no attempt has ban ud« to repair or
replace thea, eonatitutee a violation.
II.A. WATERSHED CONTROL PROGRAM
Queetion:
What are the waterahed control requireaents?
Response:
Syateaa aust, through ownership, written agreement or other
aeana, control human activitiea that —v mv> ma***-**
on the water aystem. For example, a systea uy own 10%, have
written agreeaente with 20% and have no control over the
remaining 70% of the watershed if that 70% did not appear to
have a significant iapaot on the aicrobiological quality of
the source water.
Queation:
How do you deternine if an area will have a eignifleant
impact en the eource water?
Responset
syateaa could aonitor the source water quality criteria
around the drainage areaa of intereet. For Instance, syateaa
could perfora colifora aonitoring (and fllardla cyat and virus
aonitoring, where reaources are available, e.g. by largo
aysteaa) around the runoff areae entering a vaterahed. If
the levels are low (i.e., colifora levele are below the
oouree water Halt, ciardia cyat levele are on average
(geoaetric aean) leaa than 1/100 1, and virus levels are lees
than 1/1000 1), the State could aaauae the activity would not
have a significant iapaot. The only lesue, then. Is the
potential for change in activity in that particular area.
Question:
Is a two alls protective radiua around the Intake prohibiting
recreational activities, boating, sviaaing, fishing,...
adequate if the source water turbidity and colifora levels
remain low?
Response:
Maybe. Activitiea sueh aa swimming should only be allowed
(If at all) at distances from the intake auch greater than
the two alio protective liait. Additionally, eye teas
generally having turbidities which at tiaea approach the 5
MTU liall, and periodic high collfom levels are of aore
concern than in aysteaa having high oollfOni levele and
generally low turbidities, (e.g. loss than 0.3 MW). Also,
the nature of the turbidity, whether It It mostly organic or
inorganic (not aa significant) is iaportant. Areaa with high
turbidities (over 1 MTU), which is aostly organic and With
high total colifora counta, (e.g. at tiM near too or
greater p«r 100 al), should be eonaidered aa possible areas
of adverse iapact. if there ie any disinfection in the
-------
reservoir prior to the intake, the significance of total
coliform or t«o«l coliform counts m hi indicator of focal
contamination (and possible viral occurrence) io
significantly decreased. This is bacauao conforms aro much
mora sensitive to disinfection than viruses*
Question:
If a sewage treatment plant(s) discharges into tbo watershed,
hov do you know vhathar or net this is significant*
Bftaponat)
Any savaga discharge poses significant concern* This is
because pathogens say be present in the fecal matter (an
occurrence which could vary elcmificantly at times, depending
on infection within the community) - which then may bo
shielded by other organic matter or consumed by macro-
organisms and subsequently shielded from disinfection.
However/ depending upon the dilution of the sewage relative
to the total volume of source water, the significence of
sewage discharge can be eubstantially mitigated. The system
could monitor for coliforms, clardl* cysts, and virusae in
the water immediately downstream from the sewage discharge
points, to evaluate the effectiveness of the eewage
treatment, and at pointe closer to the source water intake to
evaluate the effects of dilution and die off from trensport.
Zf Qiardla cyst and virue concentrations are generally lese
and on average (geometric mean) less than 1 cyst/100 liters
and 1/1000 liters respectively, at the source water intake,
then the sewage discharge is probably not significant,
relative to virue and clardla cyst contamination. Monitoring
for Cryptosporidium is also recommended if resources are
available, if any sewage diaCharge is present, monitoring
should be performed on e regular basis, (e.g., onee e week),
to treck variations in discharges which could occur from
infection within the community which le the source of the
discharge. Additionally, States should consider watershed
hydrology. The possibility that a ten year flood might
introduce contaminants from sources such as flooded septic
tank areas ia a serious disease threat.
Question:
What would be a Watershed Control Program violation?
Response)
This is s State determination. The program must include a
liet of activities in the watershed, their impacts, and
actions that will be taken to control them. Zf a State
determined that aotione taken by a system were inadequate,
the system will be in violation. Xn some cases additional
source water quality monitoring may be appropriate within the
watershed to ascertain the impact of certain activities. The
State could require such monitoring. Xf the monitoring was
not conducted, the State could considsr the syetesm to be in
violation.
C - 10
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Questioni
What level Of alardla It acceptable in the vatarahed?
Raaponse:
Zf concentration# are en average (geometric moan) less than 1
cyst/100 liters near or at the aource vater intake, than tha
ayetem could ba considered to have an adequately protected
vatarahed regarding Glardla. For example, if a system has 3*
log inactivation of olardla cyata, aa required by tha rule,
and a concentration of leaa than 1 cyst/100 1, tha expected
infection rate from Glardla ahould ba lass than 1 in 10,000
paraona par year. SPA considers thia an acceptable minimum
level of public health protection.
Question:
Could you pleaaa elaborate on vatarahed control prograna and
talk about intake location aa a factor in determining tha
adequacy of vatarahed control?
Response:
For systems to avoid filtration they muet aaet all the
criteria in S141.71 of tha aurface vater treatment rule
(swtr). epa cannot allov exceptiona to any of these
criteria) accordingly# systems must meet all of the
requirements of S141.71(b), including the watershed control
requirement. However, the vatarahed control requirement
allova for conaiderable discretion by the State in making the
determination of adequacy of each system's vatershed control
program.
Tha State can take into account factora auch aa aource vater
intake location in its evaluation of the adequacy of the
vatarahed control program. For example, if the intake vere
deep and significantly distant from sourcea of fecal
contamination, and if diachargea from boats or other related
reaervoir uaa vaa prohibited, than tha use of land in the
vatarahed for houaing and hotela vith appropriate vaata
diapoaal controla might be allowed vithin the context of a
vatarahed control program.
One way to determine the adequacy of location of an intake
relative to the activitiaa vithin the reaervoir vould be to
monitor for Giardia and viruaaa in tha aource vater prior to
disinfection (in addition to tha coliform and turbidity
aource vater monitoring required under the 8WTR). under auch
a acenario Oiardia cyat lavela ahould be at leaet comparable
to those found in aource vatera of eyetema vith protected
vatereheda (geometric means of laaa than 1 eyet/ioo liters)
and antero viruaaa ahould ba virtually absent (laaa than
l/iooo litara vould anaure very low risk of infection to the
conaumer if tha ayatea achieves 4 logo of inactivation). a
reasonable eampling frequency to enaura tracking of poaaJLble
perturbations vithin the vatarahed vould be bi-weekly for at
leaat a year vith minimum aample volumes of 400 liters. The
eampling frequency could than ba reduced or discontinued if
C - 11
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tha monitoring resulta indicate very stable data, and
ahoreline reservoir and activities within the reservoir
remain ralativaly constant.
For analysis of virus**, the procaduras described in the 17th
adition of standard Hathoda (9510 C) ahould be followed. For
analysis of Giardla tha procadura by 8auch, J. P. daacribad in
J. Applied Microbiology, Vol 52, ppl434-1438, 1985, "Use of
Immunofluoreacence and Phaee Contrast Microscopy for
Dataction and Identification of Giardla cysts in water
samplea", should ba used. Note: This method la now being
modified into a combination method for Cryptoaporidium and
Giardla. For further information on this method, contact Walt
Jakuboveki of EKSL, EPA, Cine, at 513-569-7385 (FT8 684-
7385}.
II.A. ON-SITE INSPECTION WARRANTS FILTRATION
Question:
Who conducts on-site inspections?
Response:
On-site inspections can be conducted by tha State or
qualified peraonnel approved by the State. An employee of
the system, if approved by the State, may conduct on-aita
inspections.
Question:
What is involved in an on-aite inspection?
Response:
This is an annual event that ia different from the aanitary
survey in that it deals with the reliability of disinfection
and the adequacy of the watershed control program. It ia
recommended that all ayatama also have a sanitary eurvey, on
a lass frequent baals, to evaluate the other aapecta of the
ayatem, including the diatribution ayatea. me SWTR Guidance
Manual addreaaea thia subject in detail.
Question:
Is it reasonable to suggest, on a case-by-case basia, that
unfiltered ayatama conduct aanitary surveys in tha naar
• future to datarmine what may ba needed, or if it ia likaly to
be possible, to meet the requlrementa of the upcoming
diainfection byproduct rulea?
Rasponaat
Yea. This may be appropriate in many caaes. Such systems
could experiment with alternative flow regimes to increaae
contact time, rathar than juat increase the disinfectant
dose. Alternatively, it may be feaaible to switch to other
diainfactanta. Such switchea ahould not generally be
conaidared until the criteria of the Diainfection By-Product
regulations become more apparent. It is important to notify
systems of the upcoming regulations for disinfection by-
c - 12
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product*, especially for full •ysteas which already erased
the exiating THM MCL and hava no Mans of complying unlm
they switch to filtration.
II.A. KATERBORNE DISEASE OUTBREAK
Questions
Which ayateas are required to notify the public of weterborne
dieeaae outbreaks?
Response:
Sine* outbreaks only considarad a violation to a
treatment technique requirement for unfiltarad systems, only
thaaa systems aria required to raport vatarboma disease
outbreaks to tha public. If an outbreak occurs in a filtorad
system, it is axpactad that tha Stata will raquira public
notification, although tha fadaral regulations do not raquira
this, ainca outbraaka in filtarad systeas ara not defined as
violationa. EPA did not define outbreaks in filtered systems
as violationa since the systen is doing all that is required
of it by complying with the rule, including'the added
assurance of having filtration in place. EPA does not expect
outbreaks to occur if systems comply with the SWTR criteria,
especially for filtered systems, but this nevertheless is
possible due to unforseen circumstances or etiologic factors
not yet identified.
II.A. TTHM MCL VIOLATION
Question:
How should States address THM requirements which currently
don't apply to systems serving less than 10,000 people?
Responset
Recently EPA discovsred a ayatam serving fewer than 10,000
persons which had TTHM levela greater than 1 mg/1 during
unregulated contaminant monitoring, with this in mind.
States may wiah to evaluate eouree water characteristics
(e.g., TOCs over 5 mg/1 in the same water, depending on the
treatment and disinfection in place, could cause generation
of significant THKs) to determine if they wish to require
seme further monitoring for THKa in small syetams. Zf THKs
are high, it may not be appropriate for aystams to remain
unfiltered even if they ara aaating all the other criteria to
avoid filtration. Without TTHX monitoring, systems may
inveat large amounts in disinfection equipment only to find
that thef ara in groaa violation of the expected by-product
regulations (or even tha current TTHM MCL), and be required
to install filtration at that later date.
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XI.9 UHFXLTERED SYSTEMS REQUIRED TO FILTER
Queation:
Should the Statee prioritise the filtration option*
available?
Reeponae:
For at leaat sob* aystans, aapaeially aaaller ayatema, tha
Stata could recommend tha moat appropriate filtration
technology for tha requireaenta of tha SWTR. Koat ayatama
have e variaty of filtration optiona, aorne of which will be
more coat effective than othera. Xt ia important to
communicate choice of technology to the ayatea, hut alao the
criteria that the State vanta the ayetem to Beet for each
technology, and the likelihood of eoneietently being able to
seet the criteria, depending on the technology.
Queation:
what can you aay about cartridge filtration?
Reaponae:
Cartridge filtration, depending upon ita deeign, can
effectively renove clardla cyata. Xt ia eaaential that the
ayatea provide data to the State (or that tha State obtain
auch data from other ayataaa) which deaonatratea the filter1a
effectiveneaa for the variety of aourca water conditiona
anticipated. Deaonatration of the effectiveneaa of cartridge
filtration can entail particle aiza removal (i.e., percent
particle counte removed in the 5*15 pm range) or removal of
glaaa beada. Cartridge filtera ehould not be expected to
remove any viruaee. All of the virua removal/inactivation
can be deaonatratad by applying the CT concept to the
diainfection conditiona for the ayatea. (i.e., the era
ahould indicate that at leaat a 4-log inactivation of viruaee
ia achieved for the renge of water teaperaturea and flow
conditiona anticipated by the ayatem.
Quaetion»
When ahould the State notify ayatema that they will be
required to inatall filtration?
Reaponees
Formal notification ahould be given at or before the
deadline. The deadline for determining if eurface water
aourcea auat filter ia December 31r 1991. The deadline for
thia determination for ground water aourcea under the direct
influence of aurface water la IS montha after the State maXee
tha determination that the aource ia under the direct
influence of aurface water. At the lateet thia can be
December 31# 1996 for CWSa and December 31, 3000 for NCWSe.
Queationt
By what date auat be filtration be inatailed?
Reaponaai
According to the compliance datee eatabliahad in the 8WTR,
unflltered aurface water ayatema required to filter muet
c - 14
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install filtration by 6/29/93 ec within 19 months of the
State determination that filtration traataant Bust be
installed, whichever ia latar. EPA expects an extensive use
of tha provision in tha rula for extsnding tha tise allowed
for installing filtration. Tha Statee nay grant extensions
baaed on coapelling factors, which nay includa aconoaic
hardahip and anginaaring faaaibility for having construction
coapleted within tha spacifiad pariod. Hovavar, thara Bust
ba no unraaaonabla riak to haalth during tha pariod tha
extension la grantad.
II.C FILTERED SYSTEMS
Question:
Do systaas hava to aaaaura turbidity at aach filtar?
Response:
No, but it is racoanandad. It ia only required to ba
aaaaurad of tha conpoaita filtarad watar. Monitoring should
occur aa cloaa aa poaaibla to tha point following filtration.
Altamativaly, ayataas could aonitor immediately aftar aach
filtar and calculata tha avaraga of all auch aaasuraaants to
dataraina tha valua for avaluating coaplianca.
Quaation:
Ara filtarad ayataaa raquirad to raport CT?
Response:
No, auch reporting ia not raquirad by tha rula. However, tha
Stata auat dataraina how tha ayataa will daaonstrata that tha
raquirad disinfaction is achieved. Thia aay includa CT
aaaauraaanta. Ultimately, Stataa will naad to uaa tha CT
concept for dafining tha paraaatara (a.g., disinfactant
concantration) to anaura that adaquata diainfaction is baing
achiavad.
II.D GROUNDWATER
Question:
Nov should tha Stata dataraina whathar groundwater is undar
tha diract influence of aurfaca watar?
Reaponaet
EPA reeoaaends that tha approach laid out in tha SWTR
Ouidanca Manual ba followed. Particulate analyais (PA)
should only ba used as a laat raaort. Tha probability of tha
occurrence of fecal eontaaination in the area can be
considered whan interpreting PA data (i.e., use a aore
conservative interpretation whan there ia a significant
probability of fecal eontaaination, e.g., colifora occurrence
versus no occurrence). The AWWARF ia funding a research
project to establiah aore objective criteria for using PA
data for defining groundwater under tha direct influence of
aurfaca watar. Thia project ahould be coaplete within a few
C - 15
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years and veil within the deadline by which States must maka
decisions for all systems. EPA ration X is also attempting
to rafina PA oritaria. SPA will update ita guidance as data
from ration X and the AWWARF become available*
Question:
Can tha atata allow ground watar ayataaa under tha direct
influence of eurface watar to substitute a wellhead
protection program for a filtration plant?
Response:
Information gathered under the wellhead protection program
can be uaad to determine if ground water is under the direct
influanca of aurfaca water and to determine tha adequacy of
watarahad control programs, if a ayataa ia defined aa having
a protected wellhead, in moat cases this will alao mean that
there ia no direct influence of aurfaca watar. If a ayatem
doaa not hava a protected wellhead, the ayatem say atill not
ba under tha direct influence of aurfaca watar. If tha
ayataa ia under the direct influence of aurfaca water, tha
watershed control program must be adequate in order to avoid
filtration.
QUALIFIED OPERATOR
Question:
By what dataa must oparatora be qualified?
Responae:
Qualified operatora ahould ba in place by the following
dataa.
Unfiltered Syetemei December 30, 1991
Filtered Syatema: June 29, 1993
Tor syetems uaing ground water under tha direct influence of
aurfaca watar, oparatora ahould ba in place when appropriata
treatment ia inatallad.
Question:
What qualificationa muat amployeea of a watar ayatem hava?
Ra&ponae:
Each ayatem muat ba run by at laaat one qualified operator.
Oparatora will ba qualified by the State. All amployeea of
tha water ayatem need not be qualified. Stataa may wiah to
axamina exiating certification programa to determine whether
they are adequate for tha previaiona of thie rula.
Specifically, do they addraaa tha iaauaa of knowing hew to
adequately operate filtration and diainfaction procaaaaa?
Assume compliance with tha SWTR? Additionally, the
qualifleatione for pereonnel will vary for each ayatem.
Larger ayatama will require more pereonnel with greater skill
and knowledge than emaller ayatama.
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Question*
Oe mall ayatess have to have a qualified operator?
Reaponaet
Small eysteaa aay hava a circuit ridar progras vhara by they
aay group together and hava ona qualified person "consult" to
aaaure the adequacy of disinfaction and filtration procaaaaa.
A contract could ba drawn up to bold thia "consultant*
raaponaibla for periodically ensuring that the treatment
procaaaaa ara maintained and working proparly. Another
auggaation vaa to hava tha qualifiad oparator ba ldantifiad
on tha reports, to deteraine vho ia doing what. iba State
ahould look at oparator involvement.
GENERAL MONITORING
Question:
How do you deteraine how many ciardla cyata ara in aourca
watar?
Response:
Through aonitoring. High coliform numbers (geoaetrlc aaan of
3,000-10,000 ) yiald higher probabilitiaa of high clardlm
concantrationa. Aa tha concentration of ciardla increases,
it ia reasonable to require incraaaad inactivation/removal.
Quaations
What can ba dona about systems that fail to aaapla to avoid
KCL violationa?
Response:
Tha Stata could write into ita law that aonitoring violations
above sons frequency be equivalent to an MCL violation.
Alternatively, tha Stata could eacalate rapidly to formal
enforcement for mcr'toring and raporting violations.
EXEMPTIONS
Quaation:
Under what cireuaatancaa ahould syataaa ba allowad to reduce
turbidity aonitoring to once par day?
Reaponaa:
Tha State aay allow saall ayataas that filter to raduca their
aonitoring frequency to once par day, if it deterainas that
laas frsquent aonitoring ia aufficiant to indicate effective
filtration parforaanca. Also, tha Stata aay allow systaaa of
any aise, uaing alow sand filtration or an approved alternate
dieinfeetlon technology, to reduce turbidity aonitoring to
once per day. States should consider the variability of
turbidity in the aourca water, reliability of autoaatle
backwash, (or oparator undaratanding of when to trigger
thia), as a function of turbidity occurrence, in assessing
C - 17
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vhathsr raduoad turbidity Bonitoring is appropriate. m
strongly recoaaenda oontinuoua turbidity aonltorlng for aaefc
filter within tha ayataa. At • ainiaua, Ititu should
require ayatama to astabliah • high frequency turbidity
Muuruint baselins prior to allowing a aaapling reduction,
to ensure that turbidity ia fairly atable.
Quaation*
Should • fiald engineer b« allowed to tpprov* a reduction in
turbidity aonltorlng?
Reaponae:
If thara ia aubatantial evidence, tha field engineer eould
sake a recoaaandation that turbidity aonitoring frequency ba
raduead. Tha aaeond laval auparviaor would than rule an tha
* racoaaandation.
Quaation*
Whan ara exaaptiona givan?
Response:
Exceptions ara granted baaad on econoaic hardship. To gat an
axaaption fron filtering, EPA raeoaaanda that at laaat a 2.0
log inactivation of Glardla ba achieved, (baaad on
application of tha CT concept), that a disinfectant residual
or HPC counts of laaa than 500/al ba aaintained in the
distribution systsa and that tha systsa be in coapliance with
tha colifora rula. Exaaptiona ara only a tine delay.
However, for ayataaa eerving leas than 500 service
connections, exaaptiona can ba reiaeued beyond the aaxiaua
three year liait apecified in SDHA 11416(b), on s bi-annual
baaia.
PUBLIC NOTIFICATION
Quaation:
la public notification required when the State deterainea
that a ayataa ia not required to filter?
Reaponae:
Public consent suet ba aolicitad and ia required to ba
subaittsd in a report to EPA. The State aust require the
systsa (under SWA 11412(b) (7) (C) (ii)) to provide notice and
opportunity for public hearing on tha dataraination of
whether filtration la required.
C - 18
-------
nuts reporting
Quaations
Zf a Stata raquiraa its systoas to moat tha mv turbidity
Mfiirnanti prior to tha data roquirod by tho rulo, cm
information bo roportod to ntos in acoordaneo with tho nov
rulo?
Raaponaa:
Raporting undor tho now rulo vill bo poooiblo through TttD8 by
1 January 1991. BFA vill ondoavor to aako dual raporting
poaaibla prior to that data. Tho ability to ontor undor both
tho now and old roporting roquiroaonts vill bo in plaeo aftor
that data for tho purpoao of roviaing data.
Quoatiom
what is raportod'to PROS?
Raaponso;
Raporting to FRDS for tho nav rulo addroaaoa vary broad
catagorioa. Thaaa catagorioa ara axplainod in dotail in
soction II.E of tha body of this docuaont.
Quaations
Hov dooa tho rulo doal vith ayataas that fail to saaplo?
Roaponao:
In FRDS, auch violationa vill bo conaidorod only monitoring
and raporting violationa. Tha SWTR dooa not roquiro tho
installation of troataant for ayataas vbich fail to tako
saaplaa.
Sf a ayataa is unabla to aoot tho aourco vator quality
criteria, thay may aiaply discontinuo sampling rathwr than
baing in noncompliance and naoding to inatall filtration. A
possible option for allaviating this probloa ia for tho Stats
to eonaidar a failuro to aanplo at a roquirod frequency as
oquivalant to tho oaapla axcaading tho standard.
C - 19
-------
Surface Water Treatment Rule (SWTR)
Implementation Manual
Appendix D
FRDS Reporting
-------
Table of Contents
Eosa-I
Part A - Document and Code Value Summary D - 1
1. Introduction D - 2
2. Code Value Summary D - 4
A. FRDS-II Code Table ID03, Combined Treatment Objective
and Treatment Process Codes ...... D - 4
B. FRDS-II Code Table ID04, Treatment Process Codes • D - 4
C. FRDS-II Code Table ID06, Contaminant Identification
Codes .................D-4
D. FRDS-II Code Table ID08, Violation Type Codes . . D - 4
E. FRDS-II Code Table ID10, Combined Source/Bntity
Record Type and Source/Bntry Point/Plant Type CodesD - 5
F. FRDS-II Code Table 0119, Primary Source Type Codes D - 5
6. FRDS-II Code Table 0407, Source/Bntry Point/Plant
Type Codes D - 5
H. FRDS-II Code Table 3005, Variance/Exemption/Other
Record Type Codes . . . D - 5
I. FRDS-II Code Table 3011, Variance/Exempt.ion/Other
Status Codes D - 5
J. FRDS-II Code Table 3019, Variance/Exemption/Other
Reason Codes D - 6
K. FRDS-II Code Table 3103, Variance/Exemption/Other
Schedule Action Codes D - 6
L. FRDS 1.5 "Other Treatment" Codes (C1237, PWS-TRMT-
OTHER) D - 6
Part B - Detailed FRDS Reporting Requirements for the SWTR D - 7
1. Inventory Information D - 8
A. Source/Plant Treatment Applied D - 8
1. FRDS-II DTF Input Format D - 9
2. FRDS 1.5 Card 16 Input Format D - 14
B. Groundwater Source Classification D - 19
1. FRDS-II DTF Input Format D - 19
2. FRDS 1.5 Card 16 Input Format D — 23
2. Violation Reporting D - 26
A. Monitoring and Reporting Violations D - 26
B. Unfiltered Systems Attempting to Avoid Filtration D - 27
1. Criteria Violations D - 28
a. FRDS-II DTF Input Format D - 29
2. Monitoring and Reporting Violations D - 33
a. FRDS-II DTF Input Format D - 34
b. FRDS 1.5 Card 45 Input Format D - 36
C. Filtered Systems D - 38
1. Treatment Technique Violations D - 39
a. FRDS-II DTF Input Format D - 40
b. FRDS 1.5 Card 45 Input Format D - 42
2. Monitoring and Reporting Violations D - 44
a. FRDS-II DTF Input Format D - 45
b. FRDS 1.5 Card 45 Input Format D - 47
Part C - Examples D - 49
1. Examples of Inventory Updates . . D - SO
A. Source/Plant Treatment Applied D - 50
i
-------
Table of Contents
•
B. Groundwater Source Classification and Source/Plant
Treatment Applied D - 50
Examples of Violations for Unfiltered Systems Attempting
to Avoid Filtration D - 51
A. Examples of Criteria Violations ........ 0-51
1. Criteria and Treatment Technique Violations
trigger requirement to install filtration -
Filtration requirement event reported to FRDS D - 51
2. Criteria Violations trigger requirement to install
filtration - Filtration requirement event reported
to FRDS D - 52
B. Examples of Monitoring and Reporting Violations D - S3
1. Major Violation (No Monitoring Conducted) . . D - 53
2. Minor Violation (Insufficient Monitoring
Conducted) D - 54
Examples of Violations for Filtered Systems .... D - 55
A. Examples of Treatment Technique Violations ... D - 55
1. System fails to meet Turbidity Requirements . D - 55
2. System fails to meet Disinfection Requirements D - 56
B. Examples of Monitoring and Reporting Violations D - 57
1. Major Violation (System fails to meet Turbidity
and Entry Point Disinfectant Residual M6R
Requirements) D - 57
2. Minor Violation (System fails to meet Disinfection
M&R Requirements) D - 58
ii
-------
1
2
3
4
5
/
6
7
8
9
10
11
List of Figure*
RqucrApUgn UOMJL
Inventory Information, Source/Plant Treatment
Applied - FRDS-II Data Capture Form (Source/Plant
Filtering) - 11
Inventory Information, Source/Plant Treatment
Applied - FRDS-II DTF Transactions (Source/Plant
Filtering) o - 11
Inventory Information, Source/Plant Treatment
Applied - FRDS-II Data Capture Form {Source/Plant
not Filtering and PWS Successfully Avoiding
Filtration) D - 12
Inventory Information, Source/Plant Treatment
Applied - FRDS-II DTF Transactions (Source/Plant
not Filtering and PWS Successfully Avoiding
Filtration) D - 12
Inventory Information, Source/Plant Treatment
Applied - FRDS-II Data Capture Form (Source/Plant
not Filtering, but PWS Required to Filter) D - 13
Inventory Information, Source/Plant Treatment
Applied - FRDS-II DTF Transactions (Source/Plant
not Filtering, but PWS Required to Filter) D - 13
Inventory Information, Source/Plant Treatment
Applied - FRDS 1.5 Card 16 Data Entry Form
(Source/Plant Filtering) D - 16
Inventory Information, Source/Plant Treatment
Applied - FRDS 1.5 Card 16 Transaction (Source/Plant
Filtering) D - 16
Inventory Information, Source/Plant Treatment
Applied - FRDS 1.5 Card 16 Data Entry Form
(Source/Plant not Filtering and PWS Successfully
Avoiding Filtration) D - 17
Inventory Information, Source/Plant Treatment
Applied - FRDS 1.5 Card 16 Transaction (Source/Plant
not Filtering and PWS Successfully Avoiding
Filtration) - 17
Inventory Information, Source/Plant Treatment
Applied - FRDS 1.5 Card 16 Data Entry Form
(Source/Plant not Filtering, but PWS Required to
Filter) D - 18
iii
-------
12
13
14
IS
16
17
18
19
20
21
22
23
List of Figures
Inventory Information, Source/Plant Treatment
Applied - FRDS 1.5 Card 16 Transaction (Source/Plant
not Filtering, but PWS Required to Filter) D - 10
Inventory Information, Groundwater Source
Classification - FRDS-II Data Capture Form (Updating
an existing source record) D - 21
Inventory Information, Groundwater Source
Claesification - FRDS-II DTF Transactions (Updating
an existing source record) D - 21
Inventory Information, Groundwater Source
Classification - FRDS-II Data Capture Form (Adding a
new source record) D - 22
Inventory Information, Groundwater Source
Classification - FRDS-II DTF Transactions (Adding a
new source record) D - 22
Inventory Information, Groundwater Source
Classification - FRDS 1.5 Card 16 Data Entry Form
(Updating an existing source record) D - 24
Inventory Information, Groundwater Source
Classification - FRDS 1.5 Card 16 Transaction
(Updating an existing source record) D - 24
Inventory Information, Groundwater Source
Classification - FRDS 1.5 Card 16 Data Entry Form
(Adding a new source record) D - 25
Inventory Information, Groundwater Source
Classification - FRDS 1.5 Card 16 Transaction (Adding
a new source record) .
Unfiltered Systems Attempting to Avoid Filtration
Criteria Violation - FRDS-II Data Capture Forms
Unfiltered Systems Attempting to Avoid Filtration
Criteria Violation - FRDS-II DTF Transactions
Unfiltered Systems Attempting to Avoid Filtration
Monitoring and Reporting Violation - FRDS-II Data
Capture Form
Unfiltered Systems Attempting to Avoid Filtration
Monitoring and Reporting Violation - FRDS-II DTF
Transactions
D - 25
D - 31
D - 32
D - 35
D - 35
iv
-------
List of Figures
flflt PCflCEtoUon EflSfi-t
25 Unfiltered Systems Attempting to Avoid Filtration,
Monitoring and Reporting Violation - FRDS 1*5 Card
45 Data Entry Porn « . . .0-37
26 Unfiltared Systems Attempting to Avoid Filtration,
Monitoring and Reporting Violation - FRDS 1*5 Card
45 Transaction ... D - 37
27 Filtered Systems, Treatment Technique Violation -
FRDS-II Data Capture Form D - 41
28 Filtered Systems, Treatment Technique Violation -
FRDS-II DTF Transactions ... D - 41
29 Filtered Systems, Treatment Technique Violation -
FRDS 1.5 Card 45 Data Entry Form D - 43
30 Filtered Systems, Treatment Technique Violation -
FRDS 1.5 Card 45 Transaction D - 43
31 Filtered Systems, Monitoring and Reporting Violation
- FRDS-II Data Capture Form D - 46
32 Filtered Systems, Monitoring and Reporting Violation
- FRDS-II DTF Transactions D - 46
33 Filtered Systems, Monitoring and Reporting Violation
- FRDS 1.5 Card 45 Data Entry Form . D - 48
34 Filtered Systems, Monitoring and Reporting Violation
- FRDS 1.5 Card 45 Transaction ...........D-48
v
-------
Part A - Document and Code Value Summary
D - 1
-------
1. Introduction
This Appendix is divided into three parts. Part A
consists of this Introduction and a comprehensive list of all new
code values that have been defined as a result of the Surface
Water Treatment Rule and the Total Coliform Rule implementation»
Part B contains a description of the technical side of the
Federal Reporting Data System (FRDS) data requirements and
submission methods. Part C contains additional guidance on
compliance determination and reporting SWTR related data to PROS.
Section II, violation Determination and FRDS Reporting, of
the SWTR Implementation Manual summarizes inventory ehangee/ the
event8 which constitute a violation, and other data which must be
reported to FRDS under the SWTR (See note tl, page D - 3), and
discusses FRDS reporting requirements in general terms. This
Appendix enhances the FRDS Reporting discussion in the
implementation manual by identifying specific data elements and
codes that must be reported, and by giving examples of completed
data capture forms.
Under the SWTR, Two (2) types of inventory changes, three
(3) distinct violation types, and one (1) filtration requirement
event (generally, after one or more violations have triggered the
requirement to install filtration) are to be reported to FRDS by
primacy agencies under the SWTR.
Of the two (2) types of inventory changes that are to be
reported to FRDS, the first is to correctly classify groundwater
and purchased groundwater sources that have been determined to be
under the direct influence of surface water. The second type of
inventory change is to specify the type of treatment applied
(i.e., filtering or not filtering) to surface, purchased surface,
groundwater under the direct influence (UDI) of surface water,
and purchased groundwater UDI sources.
Of the three (3) violation types that must be reported to
FRDS, one (1) type is a treatment technique violation, and the
remaining two (2) types are monitoring and reporting violations.
Finally, the one (1) filtration requirement event that
must be reported to FRDS documents the reason(s) (e.g., the types
of criteria violations) for which an unfiltered system is
required to install filtration.
This Appendix contains the following for each type of SWTR
related data reported to FRDS:
A general discussion of the inventory, violation, or
other SWTR related data that is to be reported (i.e.,
what must be reported to FRDS and what is optional to
report);
D - 2
-------
* A completed FRDS-II Data Capture Corn and a coopleted
FRD8 1.5 Data Entry Form (See note #2, page D - 4) to
Illustrate the infornation that must be reported to
FRDS; and
The physical format that must be used to input the
inventory, violation, and other SWTR related data to
PROS (i.e., the FRDS-II Data Transfer Foraat (DTP)
transactions or the appropriate FRDS 1.5 f onset
transactions (See note #2, page D - 4)).
This Appendix should be used in conjunction with the FRDS-
II Data Element Dictionary, the FRDS-II Data Entry Instructions/
and the FRDS 1.5 Data Entry documentation. Updates to the two
FRDS-II documents as a result of the SWTR implementation are
forthcoming.
Motes:
1 - It is important to note that the requirements
established under the SWTR (and thus the reporting of
SWTR related data referenced in this document) do not
become effective immediately.
Unfiltered systems attempting to avoid filtration that
use surface water must meet all of the source water
(§141.71 (a)) and site specific criteria ($141.71 (b)),
and are subject to treatment technique violations
($141.71 (c)) after December 30, 1991, unless the State
has determined in writing that filtration is required.
Unfiltered Systems attempting to avoid filtration that
use groundwater under the direct influence (UDI) of
surface water must meet all of the source water and
site specific criteria, and are subject to treatment
technique violations beginning 18 months after the
State has made the UDI determination, or after December
30, 1991, whichever is later, unless the State has
determined in writing that filtration is required.
Unfiltered systems required to install filtration and
filtered systems that use surface water or groundwater
under the direct influence (UDI) of surface water must
meet the disinfection (§141.72 (b)) and turbidity
criteria (§141.73 (a), (b), (c), or (d)) after June 29,
1993, or beginning 18 months after the determination
that the system must install filtration, whichever is
later.
D - 3
-------
2 - Until December 31, 1991, both PROS 1.9 And FRD6-IX
input formats are acceptable for reporting SWTR related
inventory and violation data to FRDS* SWTR related
filtration requirement events can be reported in the
PRD8-IX DTP foraat only. After December 31, 1991, only
the FRDS-II DTP input format will be acceptable for
reporting SWTR related inventory and violation data to
FRDS.
2. Code Value Summary
A. FRDS-II Code Table lD03r Combined Treatment Objective and
Treatment Process Codes
Rule Code PgBCSteUPTl
SWTR N349 Unfiltared, Avoiding Filtration
SWTR N350 Unfiltered, Must Install Filtration
SWTR P348 Filtered
B. FRDS-II Code Table ID04, Treatment Process Codes
Rule Code PgECEiptjon
SWTR 348 Filtered
SWTR 349 Unfiltered, Avoiding Filtration
SWTR 350 Unfiltered, Must Install Filtration
C. FRDS-II Code Table ID06, Contaminant Identification Codes
Rule Code Description
TCR 3000 Coliform (Pre-TCR) Description Change Only
TCR 3100 Coliform (TCR)
D. FRDS-II Code Table ID08, Violation Type Codes
Rule Code Description
TCR 21 MCL, Acute (TCR)
TCR 22 MCL, Monthly (TCR)
TCR 23 Monitoring, Routine Major (TCR)
TCR 24 Monitoring, Routine Minor (TCR)
TCR 25 Monitoring, Repeat Major (TCR)
TCR 26 Monitoring, Repeat Minor (TCR)
TCR 28 Sanitary Survey (TCR)
SWTR 31 Monitoring, Routine/Repeat (SWTR-Unfilt.)
SWTR 36 Monitoring, Routine/Repeat (SWTR-Filter.)
SWTR 41 Treatment Technique (SWTR)
D - 4
-------
E. FRDS-II Code Table 1010, Combined Source/Entity Record
Type and Source/Entry Point/Plant Type Codes
fiula Sfidfi DtnifislpUon
SWTR SY Groundwater (UDI)
SWTR SZ Groundwater (UDI), Purchased
F. FRDS-II Code Table 0119, Primary Source Type Codes,
Bala £fids Pflggrlptlgn
SWTR Y Groundwater (UDI).
SWTR Z Groundwater (UDI), Purchased
G. FRDS-II Code Table 0407, Source/Entry Point/Plant Type
Codes
Rule Code Description
SWTR Y Groundwater (UDI)
SWTR Z Groundwater (UDI), Purchased
H. FRDS-II Code Table 3005, Variance/Exemption/Other Record
Type Codes
Rule Cfigfi
SWTR FR Filtration Requirement (SWTR)
I. FRDS-II Code Table 3011, Variance/Exemption/Other Status
Codes
Rule Code PftftSrjlpUQn
SWTR Additional codes may be assigned, as required, to
accurately reflect the status of the effort to
install filtration
D - 5
-------
J. FRDS-II Code Table 3019, Variance/Exemption/Other Beacon
Codes
Sola code Pflgcrigtlgn
Sourea Water Criteria undar the SWTOl
SWTR 21 Source Water Coliform
SWTR 22 Source Hater Turbidity
Site-specific Criteria under the SWTRi
SWTR 31 Failure to Meet Daily CT
SWTR 32
SWTR 33
SWTR 34
SWTR 35
SWTR 36
SWTR 37
Failure to Meet Daily CT
Residual Disinfectant < 0.2 mg/1
Residual Disinfectant Mot Detected
Lack of Redundant Disinfection Equipment
Watershed Control is Inadequate
On-site Inspection Warrants Filtration
Waterborne Disease Outbreak
Violations of Other Rules fSWTR related1:
SWTR 41 MCL, Monthly/Acute (TCR)
SWTR 42 MCL, TTHM
SWTR 43 MCL, Turbidity
QtilSE
SWTR 51
SWTR 52
PWS opts to Install Filtration
State Requires Installation (not NPDWR)
K. FRDS-II Code Table 3103, Variance/Exemption/Other Schedule
Action Codes
Rule Code Description
SWTR Additional codes may be assigned, as required, to
accurately reflect the events associated with the
effort to install filtration
L. FRDS 1.5 "Other Treatment" Codes (C1237, PWS-TRMT-OTHER)
Rule Code Peg
-------
Part B - Detailed FRDS Reporting Requirements for the SffTB
-------
I, liV/antory Information
Two types of inventory changes are to fee reported to
under the Stmt. They arei
• Source/Plant Treataent Applied * So specify the type of
treataent applied (i.e., filtering or not filterlogI to
surface, purchased surface, groundwater under the direct
influence (DDI) of surface water, and purchased
groundwater UDI sources; and
• Groundwater Sourca Classification * To correctly
classify groundwater and purchased groundwater sources
that have been determined to be under the direct
influence of surface water.
The technical details of reporting theee two inventory
changed ire presented in sub-sections l.A and i.B below.
A. Source/Plant Treatment Applied
The SWTR applies to public water systeae (PHSs) that have
surface, purchased surface, groundwater under the. direct
influence (UDI) of surface water, and purchased groundwater
UDI sources. For each of these sources of water, the priaacy
agency should report one of the following treataent
designations to FEDS:
Filtered (See note #1, page D - 10);
Unfiltered and successfully avoiding filtration; or
Unfiltered, but required to install filtration.
D - 8
-------
1. FRDS-II DTP Input Format
When reporting to FRDS in DTP format, the primacy agency
must provide the following datai
Ha* Wftffo Pgiicriptign /"SiSL
C101 PWS-ID The PHS ZD number
C401 PWS-SE-ID The source/pleat ID #
C481 PWS-SE-TREATHEHT-ID An ID for the treat sent
Plus, report one of the treatment objective/process
combinations listed below, dependent upon the applicable
scenario:
If the source is filtered (See note #1, page D - 10),
report:
C483 PWS-SE-TREATMENT-OBJECTIVE Particulate Removal p
C485 PWS-SE-TREATMENT-PROCESS Filtered 348
If the source is unfiltered and the PMS is successfully
avoiding filtration, report:
C483 PWS-SE-TREATMENT-OBJECTIVE No treatment at source H
C485 PWS-SE-TREATMENT-PROCESS Unfiltered, avoiding 349
If the source is unfiltered, hut the PW8 is required to
install filtration (See note #2, page D - 10), report:
C4.83 PWS-SE-TREATMENT-OBJECTIVE No treatment at source N
C485 PWS-SE-TREATMENT-PROCESS Unfiltered, must filter 350
The following figures illustrate completed FRDS-II data
capture forms and their equivalent FRDS-II DTP transactions based
upon which scenario applies:
Scenario
Filtered
Unfiltered,
Unfiltered,
successfully avoiding
required to filter
Completed
FRDS-II Data
Capture Form
Figure 1
Figure 3
Figure S
Equivalent
FRDS-1I DTF
Figure 2
Figure 4
Figure 6
D - 9
-------
Objective HP" (i.e., Particulate Removal) in
conjunction with Process "348" (i.e., Filtered) doe*
not need to be reported to PROS if one or aore of the
following treatments is already recorded in the FRDS
Data Base for the sourcet
Qbi«K?Uvg Pyrew Description
P 341 Filtration, Cartridge
F 342 Filtration, Diataaaceoas Berth
P 344 Filtration, Pressure Sand
P 345 Filtration, Rapid Sand
P 346 Filtration, Slow Sand
P 347 Filtration, Ultrafiltration
If Objective "N" (i.e., Ho Treatment at Source) is
reported to FRDS in conjunction with Process "350"
(i.e., Unfiltered, Must Install Filtration), the
primacy agency must also report a filtration
requirement event to FRDS (i.e., a Filtration
Requirement record to specify the reason(s) for which
filtration is required). See page D - 27 for details.
D - 10
-------
g
i>Tn9l9,3.l/7,/lri
Public Wat rSystem
Data Capture Form B
MM 0
12
TREATMENT DATA
MO
1MA1UMT
O
1WATUCMT
10101/1
fckfl/l
El
wm
1II1
1 i i l
U
Mil
1II1
nil
U
mi
llll
llll
U
mi
(III
-------
\7
Public Water System
Data Capture Form B
Wf 0
Acnoneoot
[Zj
AMBVOMr
^i^r/19:/.
12&2R1
LLU
l i i l
LLU
LLLl
|C«OM
TREATMENT DATA
TWATMCWT
LLU
LLU
U±J
LLU
£«•«)
tsd
U
U
U
U
M
LLU
LLU
LLU
LLU
Figure 3: Inventory Information, Source/Plant Treatment Applied
- FRDS-II Data Capture Form (Source/Plant not
Filtering and PWS Successfully Avoiding Filtration)
. . .05. . .10...15...20...25...30...35...40...45...50...55...60...65...70...75...80
B2VT9921418002 001 IC0483N 040191
B2VT9921418002 001 IC0485349 040191
Figure 4: Inventory Information, Source/Plant Treatment Applied
- FRDS-II DTF Transactions (Source/Plant not
Filtering and PWS Successfully Avoiding Filtration)
D - 12
-------
0k
9
Public Water System
Data Capture Form B
term
-@S
12 —
SOURCE / ENTITY DATA
MHWAUf
\&V\S!/i fl/i
ElTITll
«ani
-------
2. FRDS 1.5 Card 16 Input Focnat
When reporting to FRDS in l.S Card 16 format, the
primacy agency auat provide the following data:
Cart Fqnn Name Poiltlgnp flfrwrtrt (
PUS-ID 1-7
Card Code 8-9 16
Source Hame 12 - 26
Source Code 27 - 27 S, P, Y, Z
Other Treatment 68-68 1,8,#
State 72 - 73
Action Code 80 - 80 2, 3
If the source is filtered (See note llr page D - 15),
report:
CftTfl 16 ypEff PMW PPffAUPIW Comment / Value
Other Treatment 68-68 I
If the source is unfiltered and the PMS is successfully
avoiding filtration, report:
16 FoyM flape position? Comment / Value
Other Treatment 68-68 €
If the source is unfiltered, but the PWS is required to
install filtration (See note t2, page D - 15report:
Card 16 Form Name Positions Comment / Value
Other Treatment 68-68 #
The following figures illustrate completed FRDS 1*5 data
entry forms and their equivalent FRDS 1.5 Card 16 transactions
based upaa which scenario applies:
Completed Equivalent
FRDS 1.5 Card Card 16
16 Input Form Transaction
Filtered Figure 7 Figure 8
Unfiltered, successfully avoiding Figure 9 Figure 10
Unfiltered, required to filter Figure 11 Figure 12
D - 14
-------
Notesi
1 - An exclamation point (I) (i.e., Filtered) does not need
to be reported to FRDS if one or more of the following
treatments are already recorded in the FRDS Data Base
for the sources
OfrlWft&Yf Process Description
F 341 Filtration, Cartridge
F 342 Filtration, Di.atomaceous Earth
P 344 Filtration, Pressure Sand
P 345 Filtration, Rapid Sand
P 346 Filtration, Slow Sand
P 347 Filtration, Ultrafiltration
2 - If a pound sign (#) (i.e., Unfiltered, Must Install
Filtration) is reported to FRDS, the primacy agency
must also report a filtration requirement event to FRDS
(i.e., a Filtration Requirement record to specify the
reason(s) for which filtration is required). See page
D - 27 for details.
D - 15
-------
Public Water Syatem
FROS 1.5 Source Treatment Data
CARD 16
_PWS-
life
1-7
CARD
CODE
IIM
8-8
OCCURRENCE
IJJ
10-11
SOURCE
SOURCE NAME CODE
61
12-26 27
NO. OF
WELL 3
LU
28-29
AVAIL.
LI
30
PWS-ID
(PURCHASED)
LUJJJJJ
49-55
RIVER
BASIN NO.
UJJJ
31-34
AERATION
IJ
56
LATITUDE
LONGITUDE
DEO MM 8ECS
LUJJJJJ
35-41
PRE
CHLORINATION
IJ
57
DEO MM
LUJJJJJ
42-48
COAGULATION
LI
58
SEDIMENTATION
IJ
59
FILTRATION
60
CORROSION
CONTROL
LI
61
SOFTENING
IJ
62
TASTE
OOOR
u
63
IRON FLUORIDE OTHER
REMOVAL AMMONIATION ADJUSTMENT DISINFECTION TREATMENT
LI LI LI LI III
64 65 66 67 68
BATCH DATE ACTION
STATE YY MM OD CODE
\l\L\ LLLLLLI lil
72-73 74-79 80
Figure 7: Inventory Information, Source/Plant Treatment Applied
- FRDS 1.5 Card 16 Data Entry Form (Source/Plant
Filtering)
... 05 ... 10 ... IS ... 20...25 ... 30 ... 35...40... 45 ... 50... 55...60...65...70...75... 80
+ + ~ +~~~ + +*.+ + + + +++.4.4.4.4 + + V
992141816 CONNECTICUT R. S ! VT 2_
Figure 8: Inventory Information, Source/Plant Treatment Applied
- FRDS 1.5 Card 16 Transaction (Source/Plant
Filtering)
D - 16
-------
Public Witir System
fros 1.5 Source Treatment tot*
CARD 16
PWS-ID
1-7
NO. OF
WELLS
LIJ
28*29
CARO
CODE
\IM
8*9
OCCURRENCE
IJJ
10-11
RIVER
AVAIL. BASIN NO.
IJ IJJJJ
30 31-34
PWS-ID
(PURCHASED)
LLLLLIJJ
49-55
SEDIMENTATION
LI*
59
SOURCE NAME CODE
wayyjfliujjjjjjj w
12*96 27
LATITUDE
LONGITUDE
AERATION
u
56
FILTRATION
IJ
60
DEO MM sees
LLLLLIJJ
39*41
PRE
CHLORINATION
IJ
57
CORROSION
CONTROL
IJ
61
D80
LLLLLIJJ
42*48
COAGULATION
LI
58
SOFTENING
IJ
62
TASTE
OOOR
U
63
IRON
REMOVAL
IJ
64
AMMONIATION
IJ
65
FLUORIOE
ADJUSTMENT
IJ
66
DISINFECTION
U
67
OTHER
TREATMENT
68
STATE
IYIH
72-73
BATCH DATE
YY MM DO
LLLLLLI
74-79
ACTION
CODE
121
80
Figure 9: Inventory Information, Source/Plant Treatment Applied
- FRDS 1.5 Card 16 Data Entry Form (Source/Plant not
Filtering and PWS Successfully Avoiding Filtration)
. . .0r,. . . 10. . .15. . .20. . .25. . .30. . .35. . .40. . .45. . .50. . .55. . .60. . .65. . .70. . .75. - .80
4 f f +++++ ~»+++++++++++ ~ ~ ~
0921418X62 WELL 1*1 Y CI VT 2_
Figure 10: Inventory Information, Source/Plant Treatment Applied
- FRDS 1.5 Card 16 Transaction (Source/Plant not
Filtering and PWS Successfully Avoiding Filtration)
0-17
-------
- r-vwHv-vmw jymm"" "
FRDS 1.8 Source Triotmint tots
CARD 13
1-7
NO. OF
WELLS
UJ
28-29
CARD
CODE
m
8-9
AVAIL.
IJ
30
PWS-ID
(PURCHASED)
LLLLLLIJ
49-55
OCCURRENCE
IJJ
10-11
SOURCE
SOURCE NAME CODE
myiuJAiujjjjjjj W
12-26 2T
RIVER
BASIN NO.
LIJJJ
31-34
AERATION
IJ
56
LATITUDE
OEQ MM SECS
LLLLLLIJ
35-41
PRE
CHLORINATION
IJ
57
LONGITUDE
DEO MM 8CC8
LUJJJJJ
42-48
COAGULATION
U
56
SEDIMENTATION
IJ
59
FILTRATION
IJ
60
CORROSION
CONTROL
IJ
61
SOFTENING
IJ
62
TASTE
ODOR
U
63
IRON
REMOVAL
LI
64
AMMONIATION
IJ
65
FLUORIOE
ADJUSTMENT
LI
66
DISINFECTION
U
67
OTHER
TREATMENT
m
68
STATE
\m
72-73
BATCH DATE
YY MM DO
LLLLLIJ
74-79
ACTION
CODE
\l\
80
Figure 11: Inventory Information, Source/Plant Treatment Applied
- FRDS 1.5 Card 16 Data Entry Form (Source/Plant not
Filtering, but PWS Required to Filter)
. . .05...10...15.. .20. . .25.. .30...35.. .40. . .45. . .50. ..5S...60. ..65...70...75. ..40
~ ~ 4 ~ * + ~ ~ ~ * 1
992141016 WEM, 82 V fl VT 2_
Figure 12: Inventory Information, Source/Plant Treatment Applied
- FRDS 1.5 Card 16 Transaction (Source/Plant not
Filtering, but PWS Required to Filter)
D - 10
-------
B. Groundwater Source Closiifioation
The primacy agency nu»t determine which groundwater
souroes are under the direct influence (UDI) of surface water
by June 29, 1994 for CWSs and by June 29, 1999 for IfCffSe.
For each eource that has beon determined to be groundwater
UDI, the primacy agency must report the new source type
claeeification to PROS (See notes #1 and #2 on page 0 - 20).
1. FRDS-II DTP Input Format
when reporting to FRDS in DTF format, the p.imacy
agency must provide the following data:
Data Element "¦"¦¦¦¦¦¦ Comment
PffffPffilpUftn /Value
C101 PWS-ID The PWS ID number
C401 PWS-SE-ID The source/plant ID I
C407 PWS-SE-CODE The source code Y (Gff UDI)
Z (Purch.
GH UDI)
If inserting a new source record, report:
C405 PWS-SE-RECORD-TYPE Type of record S (Source)
The primacy agency may optionally report the following
data:
Data Element *»
C403 PWS-SE-NAME
C409 PWS-SE-AVAILABILITY
C411 PWS-SE-SELLER-ID
C415 PWS-SE-LATITUDE
C417 PWS-SE-LONGITUDE
C418 PWS-SE-MERIDIAN-HAHE
C419 PWS-8B-TOWNSHIP
C421 PWS-SB-RANGE
C423 PWS-SB-SECTION
C425 PWS-SE-QTR-SECTION
C426 PWS-SE-QTR-QTR-SECTION
C427 PWS-SE-RIVER-REACH-NUM
C429 PWS-SE-ON-REACH
C431 PWS-SE-REACH-MILES
Description
Comment
/ Value
The source name
How source used
Seller PWS ID
Source Latitude
Source Longitude
Meridian name
Township
Range
Section
Qtr Section
Qtr-Qtr Section
River reach number
Source on defined reach
Miles from downstream end
If Purchased
D - 19
-------
The following figures illustrate completed PRDS-XI data
capture forma and their equivalent FRDS-II DOT transaction s)
baaed upon which aeenario appliesi
Scenario
Updating an existing source
Inserting a new source
Completed
FRDS-II Data
in f«a
Caatm
Pigui
Pigure 13
Figure 15
Equivalent
PRDS-IX DTP
ZSKflfflfittid&llJL
Pigure 14
Figure 16
Refer to the FRDS-II Data Entry Instructions docunentation
for further details.
Notes:
1 - The primacy agency should also report one of three
specific treatment designations for the source or plant
to FRQS. See page D - 8 for details.
2 - With the addition of a totally new classification of
source water (i.e., groundwater UDI), a new procedure
will be utilized in determining a system's primary
source, as follows:
1. Initially, only permanently available sources are
examined;
2. If a non-purchased surface source is encountered, the
system is considered to be a surface water system,
and the determination process is complete;
3. If a purchased surface source is encountered, the
system is considered to be a purchased surface water
system, and the determination process is complete;
4. If a non-purchased groundwater UDI source is
encountered, the system is considered to be a
groundwater UDI system, and the determination process
is complete;
5. If a purchased groundwater UDI source is encountered,
the system is considered to be a purchased
groundwater UDI system, and the determination process
is complete;
6. If a non-purchased groundwater source is encountered,
the system is considered to be a groundwater system,
and the determination process is complete;
7. If a purchased groundwater source is encountered, the
system is considered to be a purchased groundwater
system, and the determination process is complete;
8. If there are no permanently available sources, all
sources are treated equally, regardless of their
availability, and steps 2 through 7 are repeated.
D - 20
-------
A Public Water System
Data Capture Form B
MS e ACnOWOMK
DJ
lM/lflJtJhSVl^l |£2] fm^rn tf
<6100
SOURCE/ENTITY DATA
bT| i i i i i i t i t i i i i i i t t i t i i t i ij jg y
¦aifliMBB urmoi tflwawup*
cuii eww on mm mo no mm «e
I I I I I I 1 I II I i I i I i in i I ' I ' I
-------
Public Water System
Oata Capture Form B
AcnoNooo*
0 . idKlidKhf./t
"E£! SOURCE/ENTITY DATA « -
QSfcff/1 'J,1 1 1 1 1 1 1 1 I » I I I 1 i iSi g y
unwie ¦ una mi—hum
«T t II I 1 I I 1 iTlT Mil H iTlTl
**»)
-------
2. FRDS 1.5 Card 16 Input Format
When reporting to FRDS in 1.5 Card 16 format, the
primacy agency must provide the following data*
CftSfl WWW PQBiUsng Comment / Vaiua
PWS-ID 1-7
Card Code
8-9
16
Source Name
12 - 26
Source Code
27 - 27
*, 2
State
72 - 73
Action Code
80 - 80
2, 3
The primacy agency may optionally report the following
data:
Card 16 Form Name
P
-------
PuW/c Water Syatem
FROS 1.8 Source Treatment Data
CARD 19
_ PWS-ID
ftlZlMiiliffl
1-7
NO. OF
WELLS
UJ
28-29
CARO
CODE
m
8-9
AVAIL.
IJ
30
PWS-ID
(PURCHASED)
IJJJJJJJ
49-55
SEDIMENTATION
IJ
59
OCCURRENCE
LU
10-11
. . SOURCE NAME CO0E
12-26 27
SOURCE
FILTRATION
60
RIVER
BASIN NO.
UJJJ
31-34
AERATION
IJ
56
LATITUDE
DEO IMN 8ECS
LLLLLLLI
35-41
PRE
CKLOR1NATION
IJ
57
CORROSION
CONTROL
IJ
61
LONGITUDE
DEO ION 8ECS
LLLLLLLI
42-48
COAGULATION
LI
58
SOFTENING
IJ
62
TASTE
ODOR
u
63
IRON
REMOVAL
IJ
64
AMMONIATION
IJ
65
FLUORIDE
ADJUSTMENT
LI
66
DISINFECTION
LI
67
OTHER
TREATMENT
IJ
68
STATE
Iffltt
72-73
BATCH DATE
YY MM DD
LIJJJJJ
74-79
ACTION
CODE
Bl
80
Figure 17: Inventory Information, Groundwater Source
Classification - FRDS 1.5 Card 16 Data Entry Form
(Updating an existing source record)
. . .05...10...15. . .20. . .25. . .30...35...40...45...SO...55...60.. .05...70...75...80
+ ++ «•»+~ + ~~~~~~~ 4 ~~~«- ~ ~ ~ ~
822812316 WELL Ml Y MY £_
Figure 18: Inventory Information, Groundwater Source
Classification - FRDS 1.5 Card 16 Transaction
(Updating an existing source record)
D - 24
-------
• ¦ r» .r water System
FRDS 1.5 Source Treatment Data
card 1$
_ PWS-10
tfaijiates
1-7
CARD ftOtJffffl
CODE OCCURRENCE SOURCE NAME CODE
m UJ ffi
8-9 10-11 1l-» Zf
NO. OF RIVER
WELLS AVAIL. BASIN NO.
IJJ LI LLLLI
26-29 30 31-34
LATITUDE
OEti KIN SECS
LUJJJJJ
35-41
LONGITUDE
DEO MM SECS
LUJJJJJ
42*48
PWS-ID
(PURCHASED)
LLLUJJJ
49-55
AERATION
IJ
56
PRE
CHLORINATION
IJ
57
COAGULATION
LI
58
SEDIMENTATION
LI
59
FILTRATION
LI
60
CORROSION
CONTROL
IJ
61
SOFTENING
IJ
62
TASTE
OOOft
u
63
IRON
REMOVAL
IJ
64
AMMONIATION
IJ
65
FLUORIDE
ADJUSTMENT DISINFECTION
IJ LI
66 67
OTHER
TREATMENT
IJ
68
STATE
\m
72-73
BATCH DATE
YY MM DD
LI LI 1 LI
74-79
ACTION
CODE
121
80
Figure 19: Inventory Information, Groundwater Source
Classification - FRDS 1.5 Card 16 Data Entry Form
(Adding a new source record)
...05...10...15...20...25.. .30. . .35...40...45...50...55...60...65...70..,7b...80
4 + + ~ ~ ~ ~ ~ I4 ~ *
R22012316 JONES WATER CO 7. »Y 2_
Figure 20: Inventory Information, Groundwater Source
Classification - FRDS 1.5 Card 16 Transaction (Adding
a new source record)
D - 25
-------
2. violation Reporting
A. Monitoring and Reporting violations
All monitoring and reporting violations for the SWTR will
be eeparated into two categories, ona for aajor and ma for
minor violations.
Tha definitions for aajor and minor sonitoring ami
reporting violations are based upon a percentage of
monitoring which is not conducted. Both definitions apply to
unfiltared and filtered sources and take into consideration
the total number of samples required by the SWTS.
A major violation is incurred when a system fails to take
at least 90% of the required samples per compliance period,
(i.e., the system fails to take more than or equal to l0.it)
of all required samples1.
A minor violation is incurred when a system fails to take
101 or fewer of all required samples1, but 100% of all
required samples are not taken.
M&R violations related to the SWTR and reported to FRDS
cannot have a contaminant ID specified (it is not
applicable), and do not need to have a compliance period
duration specified, since all SWTR violations are assumed to
have a compliance period duration of one month.
M&R violations are applicable to all Surface, Purchased
Surface, Groundwater under the direct influence (UDI) of
surface water, and Purchased Groundwater UDI PWSs.
1 The phrase "all required samples" means the sum of the
individual number of samples required for multiple monitoring
requirements, as follows:
Unfiltared svstsms ner 1141.74 (bWH. fbW2>. m.
fbWai. and (hi (61
• Source water colifora;
• source water turbidity;
• CT value determination;
• Disinfectant residual entering the distribution system;
and
Dieinfectant residual within the distribution system.
Plltarad avetems per 1141.74 feWll. fcWai. feWH
• Finished water turbidity;
• Disinfectant residual entering the distribution system;
and
• Disinfectant residual within the diatribution system.
D - 26
-------
B. Unfiltered Systems Attempting to Avoid Filtration
Unfiltered systems attempting to avoid filtration are
subject to criteria violations and M&R violations.
Individual 8NTR criteria violations1 are not reported to
PUDS. They are reported to the primacy agency only. The
individual violations are events which contribute to, and may
trigger, the requirement for filtration to be installed. It
the number and type(s) of criteria violations (or momrn otter
event) result in a determination that the system mast install
filtration, a filtration requirement ovent (i.e., the
reason(s) for which the filtration requirement has been
triggered) must be reported to FRDS.
Also, individual SHTR MtR violations (i.e., failure to
collect the required number of source water coliform or
turbidity samples, failure to perform daily CT
determinations, failure to perform continuous monitoring of
the residual disinfectant entering the distribution system,
and failure to collect the required number of distribution
system residual disinfectant samples) are not reported to
FRD8. Instead, M&R violations for the individual unfiltered
system monitoring requirements are lumped together. A.
systems' failure to monitor or report for any of these
requirements for ths sasa compliance period must be reported
to PROS as a single violation.
If both a filtration requirement event and an MtR
violation are incurred by the same PHS within the same
compliance period, each must be reported to FRDS.
M&R violations related to the SWTR, and reported to FRDS,
do not need to have a compliance period duration specified,
since all SWTR violations are assumed to have a compliance
period duration of one month.
The technical details of reporting these two types of
actions are presented in sub-sections 2.B.1 and 2.B.2 below.
1 Criteria violations consist of source water criteria
violations, site-specific criteria violations (disinfection), and
site-specific criteria violations (State determinations). Criteria
violations do not include violations of other rules (i.e., TCRf
TTHM, and Turbidity). See Section II, Table I, of the SIRR
Implementation Manual for additional details.
D - 27
-------
1. Criteria Violations
Individual 8MTR criteria violation* for usfilterod
systems (see previous page) are not reported to PSM«
They are reported to the primacy agency only. The
individual violations are events which contribute to, and
may trigger, the requirement for filtration to be
installed. Zf the number and type(s) of violations (or
bom other event) result in a determination that the
system must install filtration, one (1) inventory change
should be reported to FR08, and one (1) filtration
requirement event must be reported1 to PROS, as follows *
An inventory update transaction to designate that
the source/plant is unfiltered, but required to
install filtration (See page D - 8 for details);
and
A "filtration requirement" record as described
beginning on the next page.
Per the final Significant Non-Complier (SMC) definition
relating to the SWTR, States can "address" SNCs (after the
18 month deadline to install filtration has passed2) by
using timely and appropriate enforcement actions within 6
months of the system becoming an SMC. SNCs for systems
serving 10,000 persons or fewer can be addressed by use of
a Bilateral Compliance Agreement (BCA)3. Although a
system failing to meet the 18 month deadline will continue
to be considered an SMC, the SNC will be considered to be
"addressed." In any case, the State should report the BCA.
and/or other enforceaent action taken to PROS.
1 States that choose to require all surface and/or
groundwater UDI systems of like characteristics to install
filtration (e.g., all systems serving more than a specific number
of people), can avoid repetitive data entry on a system specific
basis. To do so, the State must notify their EPA Regional office
in writing, and provide the following information, at a minimum:
A characterization of the type(s) of systems covered;
The date on which the systems were informed of the State's
decision to require installation of filtration; and
The reason(s) for which the State is requiring filtration.
2 In no case should the State change the date by which
filtration is required to be installed, as recorded in the PROS
filtration requirement (i.e., FR) variance/exemption/other record.
3 BCAs can be put into place before the 18 month deadline has
expired.
D - 28
-------
a« FRDS-II DTP Input Format
When reporting to FRDS in DTF fornat, the primacy
agency must provide the following data1 for each
reason for which the PWS is being required to filterx
¦¦¦ Data Element
K&f BfiSfi
C101 PWS-ID
C3001 VE-ID
C3005 VB-RECORD-TYPB
C3007 VB-BFFECTIVB-DATB
C3019 VB-REASON-CODB
PftffCElftUgn
The PffS ID number
An ID for the Filtration
Requirement record
Type of record
Date PWS informed of
requirement to filter
Reason filtration is
required (See note #1,
page D - 30, for
definitions)
/ Yftlat
PR
mnddyy
21-22,
31-37,
41-43,
51-52
The primacy agency may optionally report the
following data for each filtration requirement record:
amwtmmmmmm Data Element ¦rnummmwmm Comment
No- Name pqsgrjptjLgn / Value
C3009 VE-EXPIRATION-DATE Date by which filtration
is to be installed mrnddyy
C3011 VE-STATUS-CODE Current status See note
#2, page
D - 30
C3031 VE-SE-ID Source/Plant ID
Additionally, the primacy agency may optionally
report multiple scheduled actions (i.e., the following
data) for each filtration requirement record:
1 Filtration Requirement events cannot be reported using the
FRDS 1.5 Card 31 format. Only the FRDS-II DTF format can be used.
D - 29
-------
Data Element
Bfe MflSS.
C3101 VE-SCHBD-ID
C3103 VB-SCHED-ACTION
C31Q5 VE-SCHED-DATE
C3107 VE-SCHED-ACCOMP-DATE
Description
An id for tbe action
Action to be taken
( Vftlttf
See not*
#2 btlow
Target date for action aaddyy
Date action completed —liljjji
Figure 21 illustrates two completed FRDS-II data capture
forms for reporting two related filtration requireaent records*
The illustration depicts a situation in which a PW8 is required
to install filtration for two separate reasons. Figure 22
illustrates the FRDS-II DTP transactions which equate to the two
completed data capture forms. Refer to the FRDS-II Data Entry
Instructions documentation for further details.
Notes:
1 - Definitions for Filtration Requirement Reason Codes
Source Water Criteria
21 » Source Hater Coliform
22 ** Source Water Turbidity
Site Specific Criteria
31 » Failure to Meet Daily CT
32 ¦ Residual Disinfectant < 0.2 mg/1
33 " Residual Disinfectant Mot Detected
34 ¦ Lack of Redundant Disinfection Equipment
35 « Watershed Control is Inadequate
36 * On-site Inspection Warrants Filtration
37 » Waterborne Disease Outbreak
From Other Rules
41 » MCL, Monthly/Acute (TCR)
42 » MCL, TTHM
43 ® MCL, Turbidity
Other than the above
91 ¦ PWS opts to Install Filtration
52 ¦ State Requires Installation (not NPDWR)
2 - Additional codes (over and above those presently
defined) to reflect the current status (i.e., for
C3011, VE-STATUS-CODE) and the scheduled action to be
taken (i.e., for C3103, VE-SCBED-ACTION) may be
assigned, as required.
D - 30
-------
|^| Public Water System
\# Data Capture Form F
SCTKMCoot
igAna.iV.'^.yi [Q iftftfi/,*,,
VARIANCES, EXEMPTIONS * OTHER RELATED DATA
ED
wo moan pwiwmii bpmmbwomk ium
ifeK.JiO.il ,77-., lik idSlSF/wTa 1T1T1 ? ¦ u
IBaowj Mm w icjow) mm (cantt
mooted ne*iMO(r alkivute iTJSmSii
i 111111 n 1111111ii ¦ mi i i n^TiiiiTTii 7',
«an«
-------
.. .05. . .10...15. . .20.. .25...30...35...40...45...50...55...60...65...70...75.. .80
~ ~+ + ~~~ ~~
F1PA724632592G0001 IC3005FR 040192
F1PA724632592G0001 IC3007030192 040192
P1PA72463259260001 IC3019022 040192
F1PA724632592G0002
F1PA724632592G0002
P1PA724632592G0002
IC3005PR
IC3007030192
IC3019033
040192
040192
040192
Figure 22: Unfiltered Systems Attempting to Avoid Filtration,
Criteria Violation - FRDS-II DTF Transactions
D - 32
-------
2. Monitoring and Reporting Violations
Individual SWTR Nil violations for mfilttcid ijfitiw
attempting to avoid filtration ami not reported to FSM*,
Instead, the five (5) individual unfiltered system
monitoring requirements are lumped together# A systestt'
failure to monitor or report for any of these rsipilra—nla
for the same compliance period must be reported to FSM am
a aiagle violation.
The unfiltered system M&R requirements lumped together
are:
Source water coliform;
Source water turbidity;
CT value determination;
Entry point disinfectant residual; and
• Distribution system disinfectant residual.
The technical details of reporting an M&R violation for
an unfiltered system attempting to avoid filtration are
presented in sub-sections 2.B.2.a and 2.B.2.b below.
1 Unfiltered systems attempting to avoid filtration are
subject to the Turbidity M&R requirements established in $141.22 of
the NPDWR until December 30, 1991. Thus, systems subject to the
provisions of §141.22 that incur Turbidity M&R violations must
continue to report them to FRDS using contaminant identification
code 0100, and violation type 03 or 04, as appropriate, until
12/30/91.
D - 33
-------
a. FRDS-II DTP Input 7oraat
When reporting to FRDS in OTP format, the priaacy
agency muat provide the following data*
mmmmmmmmm Data Element mmmmmmmmm CflMMttt
tife— flfloa Poffcriptign i
C101 PHS-ID The PWS id noaber
CHOI VIO-ID An ID for the violation
CI 105 VIO-TYPE The violation type 31
C1107 VIO-COMP-PERIOD-BEGIH-DATE The date the compliance
period began enddyy
CI 127 VIO-SAMPLBS-REQUIRED1 Number samples req'd
CI129 VIO-SAMPLBS-TAKEN1 Nuober samples taken
C1131 VIO-HAJOR-VIOIATIOH-F1AG' Major Violation Y or N
The primacy agency nay optionally report the
following data:
mmmmmmmmm Data Element mmmmmmmmm Cnrnmmm¥
Mass Description f Value
C1143 VIO-SE-ID Source/Plant ID
If C1109 is reported, it must be exactly one month
beyond the compliance period begin date:
CI 109 VIO-COMP-PERIOD-END-DATE The date the compliance
period ended nuaddyy
If Cllll is reported, it must indicate one month:
CI111 VI0-C0MP-PERI0D-M0NTHS The duration of the
compliance period in
months l
Figure 23 illustrates a completed FRDS-II data capture form
for reporting a monitoring and reporting violation. Figure 24
illustrates the FRDS-II DTF transactions which equate to the
completed data capture form. In this illustration, the number of
samples required and taken were reported instead of the major
violation designation. Refer to the FRDS-II Data Entry
Instructions documentation for further details.
1 Report ONLY if C1131 is NOT reported.
2 Report ONLY if C1127 and C1129 are DOT reported
D - 34
-------
s»
Public Wat r System
Data Captur FormO
lAiUlfci^i/itfiVi? i&l
(tW)
IXJ
ED
VIOLATION DATA
VOAIBN
ftl&n&gitfl/l I I I l I
IBnnt mm
MB
I DAT!
HO 0*r
LLLI 1111111
iciMa
•cut*
&Ma
«o Mr mi
1 i 1 I 1 I 1
OR
I i 11
mm
•••• v
lO0DMIf0iPOIMinilOM
1 11 1
1 1 1 1 - LI -3
OR
MMOMUUeONTMMMMr IjMl MOLATON*
mmlvm result
I I.I I 11 I I I II I.I i I I I I I 11 11 i i i i i I.I i i i n I H
icuitt iciua
(Citffl
Figure 23: Unfiltered Systems Attempting to Avoid Filtration,
Monitoring and Reporting Violation - FRDS-II Data
Capture Form
.05. . . 10...15...20.. .25...30...35...10...iS...50...55. . .60...65...70. . .75. . .80
01AL62154069200001
1)1 AL6 2154869266001
1)1 AL6 2154869200001
D1AL621S48692G0001
IC110531
IC11P7020192
IC1127400
IC1129380
031592
031592
031592
031592
Figure 24: Unfiltered Systems Attempting to Avoid Filtration,
Monitoring and Reporting Violation - FRDS-II DTF
Transactions
D - 35
-------
b. PROS 1.5 Card 45 Input Format
When reporting to PROS in 1.5 Card 45 format/ the
primacy agency roust provide thr following data:
Card 45 Form Name
Positions
Comment / Valu*
State
1-2
Card Code
3-4
45
PWS-ID
5-11
Action Code
17 - 17
2
Vio. Type
18 - 19
31
Vio. Date
24 - 29
yymmdd
Sampling
Major/Minor1
33 - 33
1 (Maj) or 2
(Min)
Required2
34 - 36
Taken2
37 - 39
FY
73 - 74
The primacy agency may optionally report the
following data:
Card 45 Form Name
Positions
Cwwwnt / vaJLii*
Vio. ID
12 - 16
Duration Months
30 - 32
1 (if entered)
Follow-up Actions (6x1)
55 - 55
56 - 56
57 - 57
58 - 58
59 - 59
60 - 60
Enf. Action Date
61 - 66
yymmdd
Batch Date
75 - 80
yymmdd
Figure 25 illustrates a completed FRDS 1.5 Card 45 data entry
form for reporting a monitoring and reporting violation.
Figure 26 illustrates the FRDS 1.5 Card 45 transaction which
equates to the completed data entry form. In this illustration,
the number of samples required and taken were reported instead of
the major/minor designation.
1 Report ONLY if Required and Taken are HOT reported.
2 Report ONLY if Major/Minor is NOT reported.
D - 36
-------
Public Water System
FRDS 1.5 VIOLATION ENFORCEMENT DATA
CARD 45
STATE
CODE
idy
1-2
CARD
CODE
lilSI
3-4
-oar
5«11
VIO-ID
111
12-16
ACTION
CODE
121
17
VK>
TYPE
m
18-19
COMTAM
20*23
VIO. DATE
YY MM DO
24-29
DURATION
MONTHS
IJJJ
30-32
MAJOR
MINOR
u
33
SAMPLES
REQUIRED
IJJJ
34-36
SAMPLES
TAKEN
37-39
ANALYSIS
METHOD
IJJJ
40-42
ANALYSIS
RESULT
IJJJJJ
43-47
ANALYSIS
DECIMAL
IJ
48
VIOLATED
IJJJJJ
49-53
MCL VIO.
OECIMAL
IJ
54
FOLLOW-UP.
ACTION
IJJJJJJ
55-60
ENF. ACTION
DATE
YY MM DD
IJJJJJJ
61-66
AWARENESS
DATE
YY MM DD
IJJJJJJ
67-72
APPLICABLE
FY
\im
73-74
BATCH
DATE
YY MM DO
IJJJJJJ
75-80
Figure 25: Unfiltered Systems Attempting to Avoid Filtration,
Monitoring and Reporting Violation - FRDS 1.5 Card 45
Data Entry Form
. . .05. . .10. . .15-. . .20. . .25. . .30. . .35 - . .40. . .-15. . .50. . .55. . .60. . .65. . .70. . .75. - - 60
f « 4 4 ~~~~ »«<¦~~~ + ~ «¦ «.
AL4S621S486 231 920201 400380 92
Figure 26: Unfiltered Systems Attempting to Avoid Filtration,
Monitoring and Reporting Violation - FRDS 1.5 Card 45
Transaction
D - 37
-------
C. Filtered Systems
Filtered systems are subject to treatment technique
violations and M&R violations.
Individual SWTR treatment technique violations (i.e., the
turbidity and disinfection requirements) are net reported to
FRD8. Instead, all of the filtered system performance
standard requirements are lumped together, h systems1
failure to meet the performance standards for ray or all of
these requirements for the same compliance period must be
reported to FKD8 as a single violation.
Likewise, individual SWTR MR violations are not reported
to FRD8. Again, all of the filtered system monitoring
requirements are lumped together, k systems' failure to
monitor or report for any or all of these requirements for
the same compliance period must be reported to FROS as a
single violation.
If both a treatment technique violation and an M&R
violation are incurred by the same PWS within the same
compliance period, each violation type must be reported to
FRDS.
Treatment technique and M&R violations related to the
SWTR, and reported to FROS, do not need to have a compliance
period duration specified, since all SWTR violations are
assumed to have a compliance period duration of one month.
The technical details of these two types of violations sure
presented in sub-sections 2.C.1 and 2.C.2 below.
D - 38
-------
1. Treatment Technique violations
Individual 8WTR treatment technique violet ions for
filtered eyeteas are not reported to FRDS* Instead, four
individual performance criteria requirements are lumped
together. A cystoma* failure to meet any of these
perfonumce criteria requirements for the ease eompliaaee
period muet be reported to PROS as a single violation.
The filtered system performance criteria lumped
together are:
Filtered water turbidity level, dependent upon the
type of filtration in use (See note below);
3-log inactivation/removal of Giardia lamblia and
4-log inactivation/removal of virueee (determined
based upon CT value determination and filtration
inactivation credit);
Entry point disinfectant residual concentration of
at least 0.2 mg/1 every four hours; and
Distribution system disinfectant residual levels
detectable in 95% or more of the samples for any
two consecutive months in which the system serves
water to the public.
The technical details of reporting a treatment
technique violation for a filtered system are presented in
sub-sections 2.C.l.a and 2.C.l.b below.
Note: Unfiltered systems that are required to filter are subject
to the Turbidity M&R requirements established in S141.22
of the NPDWR until June 29, 1993, or until filtration is
installed, whichever is later. Likewise, filtered systems
are subject to the Turbidity M&R requirements established
in §141.22 of the NPDWR until June 29, 1993. Thus,
systems subject to the provisions of §141.22 that incur
Turbidity M&R violations must continue to report them to
FRDS using contaminant identification code 0100, and
violation type 03 or 04, as appropriate, until 6/29/93, or
until filtration is installed, whichever is later.
D - 39
-------
a. FRDS-II DTF Input Fosnat
The primacy agency must report the following data*
maaaMM Data Element «—»¦"»¦¦ ContDt
Ha* Haass Pwrlptlon / vein*
C101 PWS-ID The PUS ID number
CHOI VIO-ID An ID for the violation
C1105 VIO-TYPE The violation type 41
CI 107 VIO-COMP-PERIOD-BBGIH-DATE The date the canpliaace
period began raddyy
The primacy agency aay optionally report the
following data:
No- i&ES Description / Value
CI 143 VIO-SE-ID Source/Plant ID
If C1109 is reported, it must be exactly one nonth
beyond the compliance period begin dates
CI 109 VIO-CQMP-PERI0D-END-DATE The date the compliance
period ended mmddyy
If Cllll is reported, it must indicate one nonth:
CI111 VIO-COMP-PERIOD-MONTHS The duration of the
compliance period in
months 1
Figure 27 illustrates a completed FRDS-II data capture form
for reporting a treatment technique violation. Figure 28
illustrates the FRDS-II DTF transactions which equate to the
completed data capture form. Refer to the FRDS-II Data Entry
Instructions documentation for further details.
D - 40
-------
4BI Public Water System
Data Capture Form D
tetoo
MICMAtfV
/i7i2j^i.^L-fiVl |Z| - IdlfoiXfifat
[El
VIOLATION DATA
vbutono
VOUTBN
CONTIMNINT TTP«
II Ml \4\!\ riWr/ifelniTni
ICH01)
fBiwq (C1KH)
OA
"'I
<91111)
AMMDCM Mil
MO DAY YN
LLU 1111111
pi US)
eiuf)
MownqwoMcwuwiwa wouiwwi
NMIMPIU
1 1 1 1
iciun
MOUHW
1 1 1 1 O" u «*•»
Ixm
OR
HAXMUMQOMTiNMNT IXVB.WOUTONS
ANALYSIS
MflMOO
ANALYSIS RfSULT
MaWJUTO
I I I I I I I I I I I I.I I I I I I I I I t I I I II I I.I I I I I I I II
(C1121} mm
Cll»
Figure 27: Filtered Systems, Treatment Technique Violation -
FRDS-II Data Capture Form
- ¦ - 05. . . 10. . .15. . .20. . .25. . .30. . .35. . .40. . . .50. . .55. . .60. . .65. . .70. . .75. . .80
~ 4
D1NM17253549300490 IC110541
D1NM17263549300490 IC1107080193 093093
Figure 28: Filtered Systems, Treatment Technique Violation -
FRDS-II DTP Transactions
D - 41
-------
b. FRDS 1.5 Card 45 Input Format
When reporting to FRDS in 1.5 Card 45 fornat, the
primacy agency must provide the following datat
Card 45 Form Name Poaitiona frf fit I Valua
State
1
-
2
Card Code
3
-
4
45
PWS-ID
5
-
11
Action Code
17
-
17
2
Vio. Type
18
-
19
41
Vio. Date
24
-
29
yymmdd
FY
73
-
74
The primacy agency nay optionally report the
following data:
CMTd 4? PPCT
Vio. ID
Duration Months
Follow-up Actions (6x1)
Enf. Action Date
Batch Date
Poaitiona
12 - 16
30 - 32
55 - 55
56 - 56
57 " 57
58 - 58
59 - 59
60 - 60
61 - 66
75 - 80
Comment / Value
1 (if entered)
yymmdd
yymmdd
Figure 29 illustrates a completed FRDS 1.5 Card 45 data entry
form for reporting a treatment technique violation. Figure 30
illustrates the FRDS 1.5 Card 45 transaction which equates to the
completed data entry form.
D - 42
-------
Public Water System
FRDS 1.5 VIOLATION ENFORCEMENT DATA
CARD 45
STATE
COOE
@81
1-2
CARD
g .nBBfa
3-4 5*11
VIO-IO
mm
12-16
ACTION
COOE
m
17
VK>
TYPE
W
19-19
COMTAM
COOE
Mill
20-23
VIO. DATE
YY MM 00
24-29
DURATION
MONTHS
LUJ
30-32
MAJOR
MINOR
IJ
33
SAMPLES
REQUIRED
LLU
34-36
SAMPLES
TAKEN
LLU
37-39
ANALYSIS ANALYSIS ANALYSIS MCL MCL VIO. FOLLOW-UP.
METHOD RESULT DECIMAL VIOLATED DECIMAL ACTION
LLU LUJJJ IJ LLLLLI U 1 I 1 I I M
40-4 2 43-47 48 49-53 54 55-60
ENF. ACTION
DATE
YY MM DO
LLLIJjj
61-66
AWARENESS
DATE
YY MM DD
LLLLLU
67-72
APPLICABLE
i£l
73-74
BATCH
OATE
YY MM DD
L.JJJJJ
75-80
Figure 29: Filtered Systems, Treatment Technique Violation -
FRDS 1.5 Card 45 Data Entry Form
.05...10...15. . .20...25...30...35...40...45...50...55. . .60. . .65...70...75...80
NM4S17263S4
241
930801
93
Figure 30: Filtered Systems, Treatment Technique Violation -
FRDS 1.5 Card 45 Transaction
D - 43
-------
2. Monitoring and Reporting Violations
Individual SWTR M4R violations for filtered lyitni ar*
not reported to FRDS (See note below). Instead, three
individual filtered system monitoring requirements are
lumped together. A systems' failure to monitor or report
for any of these requirements for the same compliance
period must be reported to FRDS as a single violation.
The filtered system M&R requirements lumped together
are:
Filtered water turbidity (See note below);
Entry point disinfectant residual; and
Distribution system disinfectant residual.
The technical details of reporting an M&R violation for
a filtered system are presented in sub-sections 2.C.2.a
and 2.C.2.b below.
Note: Unfiltered systems that are required to filter are
subject to the Turbidity M&R requirements
established in S141.22 of the NPDWR until June 29,
1993, or until filtration is installed, whichever
is later. Likewise, filtered systems are subject to
the Turbidity M&R requirements established in
§141.22 of the NPDWR until June 29, 1993. Thus,
systems subject to the provisions of §141.22 that
incur Turbidity M&R violations must continue to
report them to FRDS using contaminant
identification code 0100, and violation type 03 or
04, as appropriate, until 6/29/93, or until
filtration is installed, whichever is later.
D - 44
-------
a. FRDS-II DTF Input Format
When reporting to FRDS in DTF format/ the primacy
agency must provide the following data*
Data Blement mmmmmmmmm COOBMOt
1iflfflfi Description / Vain*
ClOl FWS-ID The PWS 10 number
C1101 VIO-ID An ID for the violation
CI105 VIO-TYPE The violation type 36
C1107 VIO-COHP-PERIOD-BEGIN-DATB The date the compliance
period began mmddyy
C1127 VIO-SAMPLES-REQOIRED1 Number samples req'd
CI129 VIO-SAMPLES-TAKEN1 Number sample* taken
C1131 VIO-MAJOR-VIOLATION-FIAG2 Major Violation Y or H
The primacy agency may optionally report the
following data*
sansMsasa Data Element ¦¦¦¦ ¦«¦¦!¦¦ Comment
Bfij MfiSS / Value
C1143 VIO-SE-ID Source/Plant ID
If C1109 is reported, it must be exactly one month
beyond the compliance period begin date:
CI 109 VIO-COMP-PERIOD-END-DATE The date the compliance
period ended mmddyy
If Cllll is reported, it must indicate one month:
Cllll VI0-C0MP-PERI0D-M0NTHS The duration of the
compliance period in
months l
Figure 31 illustrates a completed FRDS-II data capture form
for reporting a monitoring and reporting violation. Figure 32
illustrates the FRDS-II DTF transactions which equate to the
completed data capture form. In this illustration, the major
violation designation was reported instead of the number of
samples required and taken. Refer to the FRDS-II Data Entry
Instructions documentation for further details.
1 Report ONLY if C1131 is NOT reported.
2 Report ONLY if C1127 and C1129 are NOT reported.
D - 45
-------
Public Water Syst m
Data Capture Form D
jcnoNom
13 1/TflliT^i^faf
[pTl violation data
««««.« WUWON Of
W*1WB C0NTMUMMT TKPt
i&i&iiSMaisi iii ii ti\i\ I
gs
XPnooMw
DAY V*
I$/I9l3l
n w M
1 l 1 l 1 l 1
OR
1 1 t 1
leim mm etm) |
mm
(CWI)
KB
MMPMI DM*
MO OA* VR
I I I I I I I I I I I
pi«j £"0
WNRHMMmMMWUlM
umiwa
UNO
1 1 1 1
pnn
MMMMnn wm
T«m woumm
| | | | « U '•£
fBiun «"*>
OR
VUMUMCONTMMANT LEW. VOUkTONt
4NN.TSS
UC1MO
ANM.VMRCM.T MCL TOUTED
1 1 1 1 1 1 1 1
II 1 M t 11 II i M 1 1 1 1 1 1 1 I.I 1 1
iiiiiI
(cmi) man
•
ICIia)
Figure 31: Filtered Systems, Monitoring and Reporting Violation
- FRDS-II Data Capture Form
. . .OS...10...15...20. ..25...30...35. . .40. ..45...SO...SS...60...65...7 0.. .75. . .60
D1M091827 369 3G0005 IC110536 103093
D1M0918273693G0005 IC1107090193 103093
D1M0918273693G0005 IC1131Y 103093
Figure 32: Filtered Systems, Monitoring and Reporting Violation
FRDS-II DTF Transactions
D - 46
-------
b. FRDS 1.5 Card 43 Input Format
When reporting to PROS in l.S Card 45 format, the
primacy agency must provide the following datai
Card 45 torn ttant
Penitent
CWMtlft / Vlttt
State
Card Code
PWS-ID
Action Code
Vio. Type
Vio. Date
Sampling
Major/Minor1
(Min)
Required2
Taken2
FY
1-2
3-4
5-11
17 - 17
18 - 19
24 - 29
45
2
36
yymmdd
33 - 33
34 - 36
37 - 39
73 - 74
1 (Maj) or 2
The primacy agency may optionally report the
following data:
Card 45 Form Name
Vio. ID
Duration Months
Follow-up Actions (6x1)
Enf. Action Date
Batch Date
12 - 16
30 - 32
55 - 55
56 - 56
57 - 57
58 - 58
59 - 59
60 - 60
61 - 66
75 - 80
1 (if entered)
yymmdd
yymmdd
Figure 33 illustrates a completed FRDS 1.5 Card 45 data entry
form for reporting a monitoring and reporting violation. Figure
34 illustrates the FRDS 1.5 Card 45 transaction which equates to
the completed data entry form. In this illustration, the
major/minor designation was reported instead of the number of
samples required and taken.
1 Report ONLY if Required and Taken are NOT reported.
2 Report ONLY if Major/Minor is MOT reported.
D - 47
-------
Public Water System
FRDS 1.5 VIOLATION ENFORCEMENT OATA
CARD 45
STATE
CODE
m
1-2
CARD
CODE
11151
3-4
. PW3-ID .
rtiifltttfaifa
5-11
ViOHO
II I I II
12-19
ACTION
COOS
13
17
VIO
TYPE
m
18>19
VIO. DATE
YY MM DD
mmm\
24-29
DURATION
MONTHS
IJJJ
30-32
MAJOR
MINOR
IJ
33
SAMPLES
REQUIRED
LLU
34-36
TAKEN
LLU
37-39
ANALYSIS
METHOD
IJJJ
40-42
ANALYSIS
RESULT
IJJJJJ
43-47
ANALYSIS
DECIMAL
IJ
48
MCL
VIOLATED
IJJJJJ
49-53
MCL VIO.
DECIMAL
U
54
FOLL0K-UP.
ACTION
I I II \ I I
ENF. ACTION
DATE
YY MM DD
IJJJJJJ
61-66
AWARENESS
DATE
YY MM DD
IJJJJJJ
67-72
APPLICABLE
>&,
73-74
8ATCH
DATE
YY MM QO
iinni
75-80
Figure 33; Filtered Systems, Monitoring and Reporting
Violation - FRDS 1.5 Card 45 Data Entry Form
. . .05. . . 10...15...20...25...30...35...40...45...50...55...60...65...70...75.. .80
< ~ « ~ »~~~ ~~~~~«¦ ~~
M0459182736 236 930901 1 93
Figure 34: Filtered Systems, Monitoring and Reporting
Violation - FRDS 1.5 Card 45 Transaction
D - 48
-------
Part C - Bxaaples
D - 49
-------
1. Examples of Inventory Updates
A. Source/Plant Treatment Applied
?WS ChflEflstqrAtftUgn?
System Is classified as a surface water PffS
System has 3 sources of water
Source 1 is a surface source that is subjected to
filtration only. The type of filtration applied
has not been previously reported to FRDS
Source 2 is a groundwater source that is not
treated
Source 3 is a purchased groundwater source that is
not treated
* All sources are used permanently (i.e.. Year-round)
State Actions:
The State should report to FRDS the treatment
applied to the surface water source (source 1) to
designate that it is filtered
The treatment objective reported to FRDS would be
"Pu (i.e., Particulate removal)
The treatment process reported to FRDS would be
"348" (i.e., Filtered)
B. Groundwater Source Classification and Source/Plant
Treatment Applied
PWS Characterization:
System is classified as a groundwater PWS
System has 2 sources of water
Source 1 is a groundwater source that is not
treated
Source 2 is a purchased groundwater source that is
not treated
All sources are used permanently (i.e.. Year-round)
The State determines that Source 1 is under the
direct influence (UDI) of surface water. In
response, the system opts to avoid the installation
of filtration
State Actions'.
The State must report to FRDS the change in
classification of Source l from type "G" (i.e..
Groundwater) to type "Y" (i.e., Groundwater UDI)
The State should also report the treatment applied
to Source 1 to designate that it is unfiltered,
attempting to avoid
The treatment objective reported to FRDS would be
"N" (i.e., No treatment at source)
D - 50
-------
The treatment process reported to FRDS would be
"349" (i.e., Unentered, attempting to avoid)
2* Examples of Violations for Unfiltered Systems Attempting to
Avoid Filtration
A. Examples of Criteria violations
l. Criteria and Treatment Technique Violations trigger
requirement to install filtration - Filtration
requirement event reported to PROS
PWS Characterization:
System is a community PWS
System has 1 groundwater source of water
* The State determined the Groundwater source to be
under the direct influence (UDI) of surface water
in June, 1992
• The State reported a groundwater source
classification of "Y" (i.e.. Groundwater UDI), a
treatment objective of »N" (i.e., Not Treated at
source), and a treatment process of "349" (i.e.,
Unfiltered, attempting to avoid) to FRDS in July,
1992
System has six (6) "start-up" months1 (i.e.,
between July, 1992, and December, 1992) during
which time the Unfiltered system M&R requirements
are not yet applicable
System has eighteen (18) "start-up" months2
(i.e., between June, 1992, and December, 1993)
during which time the treatment technique
requirements are not yet applicable. During this
time the State is required to determine whether
the system must install filtration
The State concludes that the system can remain
unfiltered after completing its determination
All required monitoring is conducted between
January, 1993, and June, 1994, and all results
obtained are within acceptable ranges
Between July, 1994, and June, 1995, however, the
system fails to meet the required CT values for
more than one day in three separate months (i.e.,
in: 9/94; 4/95; and 6/95). The April, 1995,
occurrences are determined to be unusual and
unpredictable (i.e., U and U), and as a result do
1 Per $141.74 (b), Monitoring requirements for systems that
do not provide filtration
2 Per $141.71, Criteria for avoiding filtration
D - 51
-------
not trigger the requirement to install filtration.
The third month in which daily CT values are not
net, however, triggers the requirement to install
filtration, regardless of whether or not the
occurrences are U and 0
Additionally, during June, 1995, the system
experiences three turbidity treatment technique
violations (Note: these violations are not
reported to FRDS). This event also triggers the
requirement to install filtration
« The State notifies the system of the requirement
to install filtration on July IS, 1994
State ftct:
The State must report a filtration requirement
(FR) event to FRDS
Since there are twc reasons for which the eystem
is required to install filtration, the State must
report two (2) "FR" (i.e.. Filtration requirement)
records to FRDS. For each of the two:
- The Record type reported to FRDS would be
"FR"
- The Date the system was notified of the
requirement to install filtration would
be "071594"
For the first of the two "FR" records, the Reason
reported to FRDS would be "22" (i.e.. Source water
turbidity)
For the second of the two "FR" records, the Reason
reported to FRDS would be "31" (i.e., Failure to
meet daily CT)
2. Criteria Violations trigger requirement to install
filtration - Filtration requirement event reported to
FRDS
PWS Characterization:
System is a community PWS
System has 1 surface source of water
The State reported a treatment, objective of "N"
(i.e., Not Treated at source), and a treatment
process of "349" (i.e., Unfiltered, attempting to
avoid) to FRDS in June, 1992
System experiences a waterborne disease outbreak
in August, 1993. As a result, the State performs
an on-site inspection. The inspection reveals
inadequacies in the watershed control program, and
that the redundant disinfection equipment is not
operational. (These events (i.e., the disease
outbreak, the inadequacy of the watershed control
program, the condition of the redundant
D - 52
-------
disinfection equipment, and the overall result* of
the on-site inspection, itself) trigger the
requirement to install filtration)
The State notifies the system of the requirement
to install filtration on Septenber 1, 1993.
AffUgngj
The State must report a filtration requirement
(FR) event to FRDS
Since there are four reasons for which the system
is required to install filtration, the State must
report four (4) "FR" (i.e., Filtration
requirement) records to FRDS. For each of the
four:
- The Record type reported to FRDS would be
-FR"
- The Date the system was notified of the
requirement to install filtration would
be "090193"
For the first of the four FR records, the Reason
reported to FRDS would be "34" (i.e., Lack of
Redundant Disinfection Equipment)
For the second of the four FR records, the Reason
reported to FRDS would be "35" (i.e., Watershed
Control is Inadequate)
For the third of the four FR records, the Reason
reported to FRDS would be "36" (i.e., On-site
Inspection Warrants Filtration)
For the fourth of the four FR records, the Reason
reported to FRDS would be "37" (i.e., Waterborne
Disease Outbreak)
B. Examples of Monitoring and Reporting Violations
1. Major Violation (No Monitoring Conducted)
PWS Characterization:
System is a community PWS
System has 1 surface source of water
The State reported a treatment objective of "N"
(i.e., Not Treated at source), and a treatment
process of "349" (i.e., Unfiltered, attempting to
avoid) to FRDS in June, 1991
System conducts no monitoring for the compliance
period 03/01/92 - 03/31/92. That is, no samples
for any of following parameters were collected:
source water coliform or turbidity; CT value
determination; entry point or distribution system
disinfectant residual
D - 53
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• Th* state oMgt report on* (and only one)
monitoring nid reporting violation tor the ayataa
(i.e., fos^iailure to conduct any monitoring).
Sinca no samples are taken, a major MR violation
is incurred
• A contaminant cod* la intentionally not reported
to frds ; (i.e., a oontaminant soda oannot be
reported to riN for any SWTft related violation)
• The violation type reported to PROS would be "31"
(i.e., M4R Violation by an Unfiltared Syatea)
The Compliance period begin date reported to FRDS
would be "030192"
• The compliance period duration la intentionally
not reported to FRDS (i.e., all SVT& violations
have compliance period duration* that are as Bused
to b* on* month - no data entry is required)
• The major violation designation1 reported to FRDS
would be nY" (i.e., Yes, a major violation
occurred)
2. Minor Violation (Insufficient Monitoring Conducted)
PWS CharacterlSfltiqn;
System is a community PWS
system has l surface source of water vhich is
subjected to chlorine disinfection
The State reported a treatment objective of "N"
(i.e., Hot Treated at source), and a treatment
process of *349" (i.e., Unfiltared, attempting to
avoid) to FRDS in June, 1991
• In a month the system should have taken 400
samples
• System conducts some monitoring for the compliance
period 04/01/92 - 04/30/92. The system collects
387 (96.8%) of the 400 samples required
Stfttg Actions;
The State must report one (and only one)
monitoring and reporting violation for the system.
Since 96.8% of the required samples are taken, the
system incurs a minor K6R violation
• A contaminant code is intentionally not reported
to FRDS (i.e., a contaminant code cannot be
r*port*d to TRDS for any 8WTR r*lat*d violation)
1 The State can report the number of samples required and the
number of samples taken instead of the major violation designation,
if desired.
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The violation typo roportad to FR08 would bo *JlK
(i.e., MIR Violation by an Unfiltered System)
Tho compliance poriod bogin dato roportad to PROS
would be "040192"
Tho compliance poriod duration is intentionally
not roportod to FROS (i.o., all MT1 violations
have compliance poriod durations that aro assumed
to bo one month - so data ontry io required)
The number of samples required* roportod to PROS
would be "400"
The number of samples taken1 reported to FROS
would be "387"
3. Examples of Violations for Filtered Systems
A. Examples of Treatment Technique Violations
l. System fails to meet Turbidity Requirements
PWS Characterization;
System is serving 250 persons every day
System has l surface source of water
The state reported a treatment of objective of "P"
(i.e., Particulate removal), and a treatment
process of "348" (i.e., Filtered) to FROS in
September, 1991
The state has reduced the turbidity sampling
frequency to once per day (per $141.74 (c)(1))
System performs daily finished water turbidity
determinations for the compliance period
09/01/93 - 09/30/93
• Of the 30 turbidity determinations, 27 results are
less than or equal to the turbidity limit and 3
results exceed the allowable turbidity. Thus,
fewer than 95% of the results (30 samples x 95% «
28.5 samples) had less than or equal to 1 NTU.
Or, stated in other words, more than 5% of the
results (30 samples x 5% - 1.5 samples) exceed 1
NTU.
State Actional
The State must report a treatment technique
violation for the system (i.e., for failing to
meet the turbidity requirements)
1 The can report^the major violation designation instead
of the number of samples required and the number of samples taken,
if desired.'
D - 55
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• A COntAOinant coda is intentionally net reported
to FIU3S (i.e., * contaminant oode otasoi fro
reported to ros for tar WT» r«UM violation)
• The violation type reported to PROS would bo *41*
(i.e., Treatment Technique Violation)
The compliance period begin date reported to PROS
would be "090193"
• The compliance period duration If intent tonally
net reported to frds (i.e., ell sm violations
have compliance period docitiou that arm mmmammd.
to toe one aontn - no data entry is required)
2. System fails to meet Disinfection Requiresents
PffS Characterization;
system has l surface source of water
The State reported a treatment of objective of MPtt
(i.e., Particulate removal), and a treatment
process of (i.e., Filtered) to PROS in
October, 1991
on October 12, 1993, the system fails to maintain
at least 0.2 mg/1 residual disinfectant
concentration entering its distribution system for
12 hours due to equipment failure
State Actions;
• The State must report a treatment technique
violation for the system (i.e., for failing to
meet the residual disinfectant requirements)
A contaminant code is intentionally not reported
to FRDS (i.e., a contaminant code cannot be
reported to raos for any 8WTR related violation)
The violation type reported to FRDS would be N41N
(i.e.. Treatment Technique Violation)
The compliance period begin date reported to FRDS
would be ¦100193"
The compliance period duration is intentionally
not reported to FRDS (i.e., all sera
have oeapiia&oe period durations that are assumed
to be one month - no date entry is required)
B. Examples of Monitoring and Reporting violations
l. Major violation (System fails to meet Turbidity and
Entry Point Disinfectant Residual M&R Requirements)
PWS Characterization:
system is a community PWS
• System is serving 2,700 people every day
D - 56
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• system has l surface source of water which is
subjected to slow sand filtration
The Stata reported a treatment objective of "P"
(i.e., Partieulata removal), and a treatment
proeaaa of "348" (i.a., Flltarad) to PROS in
September, 1991
• Tha stata haa raducad tha PffSs turbidity sailing
frequency to once per day
Monitoring required for a 30-day month totals 153
samplea.
• Tha operator fails to collect 25 of tha required
samples in September. In othar words, tha aystca
collects 128 (83.6%) of tha 153 samples required.
State Actions;
• The State must report one (and only one)
monitoring and reporting violation for the system.
Since 83.6% of the required samples are taken, the
system incurs a major M&R violation
A contaminant code is intentionally not reported
to FRDS (i.e., a contaminant code cannot be
reported to FRD8 for any 8VTR related violation)
• The violation type reported to PROS would be "36"
(i.e., M&R Violation by a Filtered System)
• The compliance period begin date reported to FRDS
would be "090193"
• The compliance period duration is intentionally
not reported to FRDS (i.e., all 8WTR violations
have compliance period durations that are assumed
to be one month - no data entry is required)
• The number of samples required* reported to FRDS
would be "153"
• The number of samples taken1 reported to FRDS
would be "128"
2. Minor Violation
PWS Characteri z at ion;
• Syatam haa 1 surface source of water
Syetem is serving 2,000 persons every day
• The state reported a treatment objective of "P"
(i.e., Particulate removal), and a treatment
process of "348" (i.e., Filtered) to FRDS in
September, 1991
• Monitoring required in a 30-day month totals 302
samplea.
1 The State can report the major violation deaignation instead
of tha number of aamples required and the number of semples taken,
if desired.
D - 57
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• A technician fails to conduct a single
distribution systea residual disinfectant analysis
November 8, 1993, (ha forgot his DPD kit) whan a
routine total colifors sample is collected. All
other analyses are conducted as required, in
summary, the system collects 301 (99.7%) of the
302 samples required
State Actional
• The State must report one monitoring end reporting
violation for the systea (i.e., for failing to
. conduct the distribution systea residual
disinfectant analysis at the same time total
coliforas is sampled). Since 99.7% of the
required samples are taken, the systea incurs a
ainor MiR violation
• A contaminant code is intentionally not reported
to frds (i.e., a contaminant code cannot be
reported to PROS for any SWTR related violation
The violation type reported to FRDS would be "36"
(i.e., M&R violation by a Filtered systea)
The compliance period begin date reported to FRDS
would be "110193"
• The compliance period duration is Intentionally
not reported to FRDS (i.e., all 8WTO violations
have oomplianoe period durations that are assumed
to be one month - no data entry is required)
The major violation designation1 reported to FRDS
would be "N" (i.e., No, a major violation did not
occur)
1 The state can report the number of samples required and the
number of samplea taXen instead of the major violation designation,
if desired.
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