resolving non-compliance
DESCRIPTION
Resolving Non-Compliance. Monitoring and Reporting. Natalie Bruner Kentucky Division of Water Compliance and Technical Assistance Section. To Protect and Enhance Kentucky’s Environment. Overview. Violation Trends Total Coliform Ground Water Disinfection Byproducts Total Organic Carbon - PowerPoint PPT PresentationTRANSCRIPT
Resolving Non-Compliance
Natalie Bruner
Kentucky Division of Water
Compliance and Technical Assistance Section
To Protect and Enhance Kentucky’s Environment
Monitoring and Reporting
Overview
• Violation Trends
• Total Coliform
• Ground Water
• Disinfection Byproducts
• Total Organic Carbon
• Lead and Copper
• Chemical
• Sanitary Survey
• Enforcement (ERP and ETT)
• Consumer Confidence Report
• Public Notification
• Monthly Operating Report
KY Public Water System Violation Trends
3
Drinking Water Compliance
Tips
• Review your copy of every compliance report prior to submittal.
• Consider using a mail delivery that provides verification of receipt by the DOW.
• Contact the Compliance and Technical
Assistance Section @ 502.564.3410
with questions.
Total Coliform
Key Items to review for on the Bacteriological Analytical Result Form (BARF):
• Dates
• Duplicate Sample numbers
• Sample Site numbers
• Electronic File Errors
Total Coliform
Ground Water Rule
• PWSID
• Free or Total Chlorine
• Monthly Minimum
• Number of lowest chlorine samples
Ground Water Rule
Ground Water Rule
Ground Water Rule and Total Coliform Rule Manager
Brian Chitti502.564.3410 Extension
Disinfection Byproducts
• The following can result in Monitoring and Reporting Violations– Missing Analysis Results– Seasonal Systems Pulling Samples Outside Their
Peak Historical Month– Missing Lab sample numbers– Dates– Missing Location Codes– Missing Method Codes
Disinfection Byproducts
– Incorrect analysis forms (Stage I & Stage II forms)– Incorrect Location Codes– Failure to Submit– Hold Time Exceedance– Sampling from Incorrect Sites (Stage II) – Not pulling at the Maximum Retention site or
Midpoint in Distribution System (Stage I DBP’s)• ¼ of samples for Stage I DBP’s must come from the Max
site.
Number of Systems with DBP Monitoring & Reporting Violations Comparison
2012• 23 Public Water Systems
with M&R Violations
• 4.85% of Water Systems in 2012 had M&R Issues
• # 1 Issue: Failure to Submit
2011• 12 Public Water Systems
with M&R Violations
• 2.53% of Water Systems in 2011 had M&R Issues
• # 1 Issue: Missing Samples
Disinfection Byproducts
Number of Systems with TOC Monitoring & Reporting Violations Comparison
2012
• 22 Public Water Systems with M&R Violations
• 4.64% of Water Systems in 2012 had M&R Issues
• Number 1 Issue: Failure to Submit
2011
• 22 Public Water Systems with M&R Violations
• 4.64 % of Water Systems in 2011 had M&R Issues
• Number 1 Issue: Failure to Submit
Total Organic Carbon Violations 2011-2012
DBP Stage II
• Incorrect Sample Sites
• Incorrect Forms
• Failure to Submit
NOTE: If PWS’s have not submitted their Specific Site Information Forms for Stage II DBP’s.
*Please complete the form prior to commencing compliance monitoring.
*This can be a Potential M&R violation for Stage II DBP’s.
DBP Stage II
Submit to DOW ASAP! See me today if you need copies.
DBP and TOC Rule Manager
Kellee’ Husband
DBP/TOC Compliance Officer
Environmental Technologist III
Phone: (502)564-3410 ext 4986
Lead and Copper
• What should be submitted to DOW to satisfy the lead/copper rule?
1) all results (based on population)
2) 1 sample copy of the results notification form
3) Lead/Copper results delivery notification form
• Only 1 commercial lab is sending in lead/copper results electronically, it is the water system’s responsibility to get those results signed and sent in.
• Your 90th percentile and range for lead/copper are required for the CCR
Lead and Copper
Lead/Copper Results Notification Form----
Must be sent to all sample sites you sampled including one sample copy to DOW.
Lead and Copper
• Lead/Copper Results Delivery Certification:
Send this form to DOW once you have notified your customers of their results
Lead and Copper
• Examples of 90th percentile:--Systems that take 5 samples, 90th percentile is the average of the 2 highest results.
--If the result is reported as less than consider the result as zero mg/l.
Lead and Copper
Examples of 90th percentile:
--Systems that take 10 samples 90% is number of samples X .90.
• 10 X .90 = 9
• 90% for Lead is 0.006 mg/l
• 90% for Copper is 0.987 mg/l
Lead and Copper
• Examples of 90th percentile--Systems that take 20 samples, note that there are 2 high lead results but the 90th percentile result is below the action level.
Lead and Copper
• Todd says to call for:
1)Lead/copper monitoring schedule
2)Add new lead/copper sampling sites
3)Possible lead/copper exceedance
4)Other Questions???????
5)If the fish are biting
Lead and Copper Rule Manager
Todd Ritter
Division of Water
200 Fair Oaks Lane, 4th Floor
Frankfort, KY 40601
502-564-3410 ext. 4981
Chemical Rule
• Chemical Reporting Issues
• All chemicals (except some Asbestos sampling) should be taken from the plant tap (TPA, TPB, etc).
• Detects/MCLs require extra monitoring for that contaminant only. Check your results and notify your lab!
• Systems must send written request to go to reduced sampling once you’ve had a detect/MCL. Typically after a detect 2-4 consecutive quarters are required depending on type and whether you’re a GW or SW, followed by annual monitoring in the highest quarter.
• 2013 is the end of 3 year cycle, make sure you’re in good standing.
Chemical Rule
• Surface Water Basic Monitoring(Assuming you have done initial monitoring)
Asbestos – have until the end of 2013 (Plant tap or Asbestos sample site)
Inorganic Chemicals – once per year
Nitrate – once per year in your highest quarter
Nitrite – 2011-2013 have until the end of 2013 to get this one, next monitoring will be in 2020-2022.
Secondary Chemicals – once per year
Sodium – once per year
Synthetic Organic Chemicals – Population based if less than 3300 people 1 set in 3 year period. Greater than 3300 population requires 2 sets in 3 year period
Volatile Organic Chemicals – once per year
Radiologicals – call Todd because it varies upon results of the system.
Chemical Rule
• MCLs/Detects for GW systemsAsbestos – minimum of 2 consecutive quarters
Inorganic Chemicals – minimum of 2 consecutive quarters
Nitrate – If result is between 5 mg/l-10mg/l then a minimum of 4 consecutive quarters. Stay on quarterly until result is below 5 mg/l.
If result it greater than 10 mg/l confirmation sample required
Nitrite – If result is between .5 mg/l - 1mg/l then a minimum of 4 consecutive quarters. Stay on quarterly until result is below .5 mg/l.
If result it greater than 1 mg/l confirmation sample required
Secondary Chemicals – if > MCL confirmation sample required
Synthetic Organic Chemicals – detect-minimum of 2 consecutive quarters, if results are reliably below detect level, can request to go to annual sampling in highest quarter
Volatile Organic Chemicals – detect-minimum of 2 consecutive quarters, if results are reliably below detect level, can request to go to annual sampling in highest quarter
Radiologicals – if > than MCL, 4 consecutive quarters
Chemical Rule
• MCLs/Detects for SW systems:Asbestos – minimum of 4 consecutive quarters
Inorganic Chemicals – minimum of 4 consecutive quarters
Nitrate – If result is between 5 mg/l-10mg/l then a minimum of 4 consecutive quarters. Stay on quarterly until result is below 5 mg/l.
If result it greater than 10 mg/l confirmation sample required
Nitrite – If result is between .5 mg/l - 1mg/l then a minimum of 4 consecutive quarters. Stay on quarterly until result is below .5 mg/l.
If result is greater than 1 mg/l confirmation sample required
Secondary Chemicals – if > MCL confirmation sample required
Synthetic Organic Chemicals – detect-minimum of 4 consecutive quarters, if results are reliably below detect level, can request to go to annual sampling in highest quarter
Volatile Organic Chemicals – detect-minimum of 4 consecutive quarters, if results are reliably below detect level, can request to go to annual sampling in highest quarter
Radiologicals – if > than MCL, 4 consecutive quarters
Chemical Rule
• Todd says reasons to call:
1)Chemical monitoring schedule
2)Detect schedules
3)MCL of Nitrate or Nitrite
4)Other Questions???
5)I repeat….if the fish are biting
Chemical Rule ManagerTodd Ritter
Division of Water
200 Fair Oaks Lane, 4th Floor
Frankfort, KY 40601
502-564-3410 ext. 4981
Sanitary Surveys
• Results of Sanitary Survey including a Cover Letter will be sent to PWS to notify entity of any deficiencies determined during the survey.
• Sanitary Surveys require a response if deficiencies are determined:– Significant deficiencies: 45 days (SW) to respond or
provide corrective action plan. 30 days (GW)– Non-significant deficiencies: 90 days to respond or
provide corrective action plan.
Sanitary Surveys
• Failure to respond to deficiencies:– PWS will receive a Notice of violation (NOV) – Must reply to NOV within 30 days of receipt
• Failure to respond to NOV:– Referral to Division of Enforcement
Sanitary Survey Coordinator
Russell Neal
Division of Water
200 Fair Oaks Lane, 4th Floor
Frankfort, KY 40601
502-564-3410 ext.4969
Enforcement Response Policy (ERP)
• ERP was designed to identify PWS with health-based violations and those that show a history of violations across multiple rules.
• Focuses on “return to compliance” rather than simply “addressing” a violation.
• Uses an Enforcement Targeting Tool (ETT) to track priority systems.
Enforcement Targeting Tool (ETT)
• ETT prioritizes PWS by assigning each violation a “weight” based on the threat to public health.– 10 pts for each acute health-based violation– 5pts for each other health-based violations (MCL, TT,
and MRDL), including Nitrate MR and TCR MR repeats.
– 1pt for all other violations (Monitoring/Reporting, PN, CCR, etc)
• Water systems whose score is greater than or equal to 11 points will be considered a priority system and referred to Division of Enforcement.
Formal Enforcement Action
Agreed Orders: Given to systems that have
long history of non-compliance and/or re-occurring issues.
Penalties assessed (civil and/or stipulated)
Corrective Action Plan (CAP) AO will remain open until
compliance has been met for 4 consecutive quarters.
Demand Letters:Only given to systems that do not have a prior history with enforcement and have already returned to compliance by the time formal action has taken place. Penalties assessed (civil)Corrective Action Plan (CAP)Can be closed once penalties and CAP have been submitted.
Enforcement action will be required within 2 consecutive calendar quarters once PWS is identified on ETT.
Returning to Compliance
• Once formal enforcement action has taken place PWS is on the “path to compliance” and will continue to be tracked by the State and EPA until “return to compliance” is achieved.
Note: It is EPA’s goal to address issues that have the potential to affect children and the elderly as quickly as possible. All schools and senior citizen groups are always tracked regardless of 11 pt rule and asked to address issues as they arise.
Enforcement Coordinator
Linda Metts
Division of Water
200 Fair Oaks Lane, 4th Floor
Frankfort, KY 40601
502-564-3410 ext. 4984
CCR Compliance
CCR Language
PWSs Do not include or
properly word:
Definitions Violation Explanations Mandatory language
CCR Compliance
Data:• Data is incorrect or not reported correct in the table
• IDSE Reporting--Averaging Stage 1 & 2 data together
• Total Coliform & E. Coli detects not in table.
• Lead and Copper Reported Wrong
• 90th Percentile is Reported Wrong
• Lead Not Reported in Parts Per Billion (PPB)
• Missing Lead Language
CCR Compliance
Other CCR Issues:• Violations for the year not listed
• Wrong Calendar Year Listed for CCR
• Incorrect PWSID
• No CCR Certification
• Late Submissions or No Submission
• Secondary Contaminants
– List in Main Table
CCR Compliance
e-CCR Possible Issues:
• Required Notification Language is Missing or Not Used
• URL Address/ Link Does Not Take Customer Directly to CCR
• Secondary Distribution Method Requirements Not Met
PN Compliance
Public Notice Certification Form:
• Missing Primary and Secondary Distribution Dates (these dates are important when closing the PN portion of the NOV)
• Failure to list Secondary method
• Failure to perform Secondary Distribution
• No signature
• Date certification was signed
• Failure to complete and submit PN Certification
• Usually occurs when a PN is performed in a CCR
PN Compliance
Most Commonly Missed Mandatory Language:
We are required to monitor your drinking water for specific contaminants on a regular basis. Results of regular monitoring are an indicator of whether or not our drinking water meets health standards. During [compliance period] we [‘did not monitor or test’ or ‘did not complete all monitoring or testing’] for [contaminant(s)] and therefore cannot be sure of the quality of your drinking water during that time
Standard Distribution Language:
Please share this information with all the other people who drink this water, especially those who may not have received this notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can do this by posting this notice in a public place or distributing copies by hand or mail.
PN Compliance
• Mandatory language missing/deficient
• Dates not listed for when violation occurred
• Date distributed missing on PN
• Wrong PWSID listed on PN (this is important for scanning)
• PN was not performed within required time frame
• Secondary distribution not performed or was deficient.
PN Compliance
Other PN issues:
• PN was not performed or submitted
• Sent PN to customers but not to DOW
• Envelope sent containing more than one NOV
-PNs for all NOV in envelope are over looked
• NOV are returned to DOW.• Seasonal Facility Water Systems
– Campgrounds, Golf Courses, Race tracks and Etc
CCR and PN Rule Manager
Rodney Ripberger
200 Fair Oaks Lane, 4th Floor
Frankfort, Kentucky 40601
502.564.3410 Ext: 4579
MOR compliance: Identifying and improving reoccurring problems
MOR compliance: Frequent violations
• MOR• Did not submit (Surface Water): 3 violations, MOR submittal, chlorine residuals, and turbidity
• Did not submit (all other systems): 2 violations, MOR submittal and chlorine residuals
• Chlorine Residuals at plant tap and throughout distribution • Did not submit: one violation for either plant tap or distribution or both
• Not reporting daily: one violation for either or both
• Greater than 5% below limit (free Cl 0.2mg/L, total Cl 0.5mg/L): one violation for either or both
• Turbidity (Surface Water)• Did Not Submit
• Insufficient number of samples
• Greater than 5% of samples exceeded 0.3 NTU
• Turbidity level exceeded 1 NTU
• Did not submit Individual Filter Effluent exceedance report
MOR compliance: Potential violations
MOR compliance: Improving reporting
The best method to avoid violations, improve accuracy, and ensure legibility:
Complete the MOR using the Microsoft Excel template
Available through DOW website or MOR compliance officer:
Website: http://water.ky.gov/DrinkingWater/Pages/Forms.aspx
Compliance officer: Eileen Burk, [email protected]
MOR compliance: Improving common problems
• Do Not Handwrite• Illegible
• Error prone
• Use Microsoft Excel• Calculations are completed automatically
• Errors easily identified and corrected
• Computer access is available to everyone• Administrative offices
• Public Libraries
• Create redundancy in training• Valuable experience and knowledge is lost if a system fails to train replacements before staff
leave
• Ensure multiple individuals are trained to complete compliance obligations
• If responsible party is absent, retires, or unexpectedly leaves, there should always be another individual trained and readily available to complete required duties
MOR compliance: Improving common problems
Always enter the PWSID as KY
followed by the 7 digit ID number
KY1234567Water producers enter plant
ID as A, B, C, etc. If only one plant enter A
Enter the report date as the relevant monitoring period for the data as MM/YYYY,
not the current month(if submitting in March, the monitoring
period would be February)
MOR Compliance
MOR page 5 Water QualityPlant Tap/Entry Point Chlorine
Residuals
All water producers must report the lowest amount of chlorine leaving the plant and entering the distribution system everyday
of plant operation
Use either an online chlorine analyzer OR a
grab sample
Report free chlorine for all disinfectants
except chloramine.
For chloramine report total
chlorineEnter the lowest sample reported each day. Enter only
one value per line. Do not enter zero for no production days, either leave blank or
write closed
Ensure the summary numbers are complete and
accurateIf your system uses
chloramines enter Y. Otherwise enter N
MOR Compliance
MOR page 7 DistributionDistribution System Chlorine Residuals
Community Systems: Must report
at least one chlorine residual everyday
*Non-Community Systems: Must report at least one chlorine residual everyday the system is open and serving water to the
public
A system with multiple plants will have the same distribution chlorine residuals for
both plants’ MORs
If a system purchases both chlorine and chloramine within the same month,
report total chlorine for all samples
Community: Total days of distribution must equal the number of days in the month
Non-Community: Total days system was open and serving water to the public
Ensure the summary numbers are complete
and accurate
Enter at least one chlorine sample everyday.* Reporting multiple daily samples will
ensure full coverage and help avoid instances of
missing data. Skipping a day will result in a violation
Free chlorine must be reported for all disinfectants except chloramine. For chloramine report total chlorine
For months with less than
31 days, write NA
If your system uses chloramines enter Y. Otherwise enter
N
MOR Compliance: Examples
Minimal acceptable
reporting for distribution
chlorine residuals
GoodAdequate
Two daily samples create
redundancy and avoids missing
data from skipped samples
MOR Compliance: Examples
Better Best
Two or more daily samples including both total and free chlorine create an
accurate representation of the distribution
system
Thorough sampling creates a
comprehensive representation of the distribution
system to pinpoint weaknesses and
determine necessary
improvements
MOR Compliance
If using excel, cells will auto-populate from preceding data pages, except Y/N questions
Transfer MOR page 7 data to distribution summaryCompliance is primarily determined based on the summary pages. It is imperative that the summary pages are complete and accurate
MOR Compliance
MOR page 8 Turbidity ReportPlant Tap Turbidity Readings
All surface water producers and groundwater under the influence of surface water must report turbidity every 4 hours
of plant operation
Record hours of plant operation everyday. If there
is any plant downtime, adjust hours appropriately
Number of samples required is determined
by the number of hours operated divided by 4, and rounded up
to the next whole number
Ensure the summary numbers are complete
and accurate
If total samples reported is less than 95% of total samples required
a system will receive a violation
MOR Compliance
Transfer MOR page 8 data to plant summaryCompliance is primarily determined based on the summary pages. It is imperative that the summary pages are complete and accurate
If using excel, cells will auto-populate
from preceding data pages, except Y/N
questions
MOR Compliance
Plant Summary
All water producers must complete the plant
summary
If using excel, cells will auto-populate from
preceding data pages, except Y/N questions
Once all data is complete and accurate, sign and
date
SW and GUI systems must complete the
turbidity boxes
Plant ID must be A, B, C,
etc. If only one
plant, enter A
MOR Compliance
Distribution Summary
All systems must complete the distribution summary
Once all data is complete and accurate, sign and date
Enter water transactions using the appropriate PWSID (KY, TN, WV, or OH followed by
the 7 digit ID number KY1234567)
NOT the system name
Enter the total gallons as 1,234,567
NOT 1.23 M.G.
Ensure the summary data is complete and
accurate, as previously described
MOR Compliance: Final reminders
• Review all data before signing and dating the MOR
• Your signature acknowledges that all data within the MOR is true, accurate, and complete
• The MOR must arrive to the DOW within 10 days after the monitoring period
• Mail certified to guarantee delivery. A failure to submit violation will not be rescinded unless the water system has proof of delivery (certified mail receipt)
• Mail to:
CTAB, 4th Floor
Division of Water
200 Fair Oaks Lane
Frankfort, KY 40601
• If any errors are found after submitting to the state, notify the compliance officer immediately and send a correction
MOR Rule Manager
Eileen Burk
200 Fair Oaks Lane, 4th Floor
Frankfort, KY 40601
502.564.3410 Ext: 4842
Natalie Bruner
Environmental Control Supervisor
Drinking Water Compliance and
Technical Assistance Section
200 Fair Oaks Lane 4th Floor
Frankfort, Kentucky 40601
502.564.3410 Ext: 4987