VOLUME A (Title 10)

Part 1 - General Provisions

Effective Date: 
Wednesday, August 6, 2014
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, Sec. 225

DEFINITIONS

Section 1.1 - Definitions

DEFINITIONS

Section 1.1 Definitions. Unless otherwise specifically provided herein, the following words and terms used in this Chapter are defined for the purposes thereof as follows:

(a) The term communicable disease means such communicable disease as may be designated in section 2.1, of this Title.

(b) The term municipality means and includes a county, part-county, city, town village, or consolidated health district or any subdivision or part of the State of New York lawfully established as a separate public health unit.

(c) The term board of health or local board of health means and includes the local board, department, or commissioner of health, or other body or official of a municipality, by whatever title the same may be known, having the usual powers and duties of the board of health of a municipality.

(d) The term health officer or local health officer means and includes the health officer, or other officer of a municipality, by whatever title he may be known, having the usual powers and duties of the health officer of a municipality.

(e) The term approved laboratory or laboratory approved for the examination shall mean a laboratory possessing a certificate of approval for the specified examination, issued by the State Commissioner of Health under the authority of section 502 of the Public Health Law.

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GENERAL POWERS AND DUTIES OF HEALTH OFFICERS

Section 1.10 - Local health officer to file monthly report

GENERAL POWERS AND DUTIES OF HEALTH OFFICERS

1.10 Local health officer to file monthly report. The local health officer of each county, part-county, and city of 50,000 population or over shall submit to the State regional health director a monthly report of activities conducted during the previous month. Except in county or part-county health districts, local health officers of towns, villages, cities of less than 50,000 population and consolidated health districts shall submit a report of activities conducted during the previous month on a form prescribed by the State Commissioner of Health to their respective district State health officer. Local health officers of cities, towns, villages and consolidated health districts serving as deputies to county or part-county health commissioners shall submit such reports to the county or part-county health commissioner as may be required by such commissioner. Monthly reports of local health officers shall be forwarded on or before the fifth day of the succeeding month.
 

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Section 1.11 - Right of entrance and inspection

1.11 Right of entrance and inspection. No person shall interfere with or obstruct the entrance to any house, building, vessel, or other premises by the State Commissioner of Health, or local health officer, or the authorized representative of either, in the discharge of his official duties; nor shall any person interfere with or obstruct the inspection or examination of any occupant of any such house, building, vessel, or other premises by the State Commissioner of Health, or local health officer, or the authorized representative of either, in the discharge of his official duties.
 

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VIOLATIONS AND PENALTIES

Section 1.20 - Interference with placards prohibited

VIOLATIONS AND PENALTIES

1.20 Interference with placards prohibited. (a) No person shall interfere with or obstruct any health authority in the posting of any placard in accordance with the requirements of the Public Health Law or this Chapter, in or on any place or premises, nor shall any person conceal, mutilate, or remove any such placard, except by direction of the health officer.

(b) In the event of any such placard being concealed, mutilated or torn down, it shall be the duty of the occupant, owner or person in charge of the premises whereon such placard was posted immediately to notify the health officer of such fact.
 

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Section 1.21 - Noncompliance or nonconformance penalties

1.21 Noncompliance or nonconformance; penalties. Noncompliance or nonconformance with any provision of this Chapter constitutes a violation punishable on conviction for a first offense by a fine not exceeding $250 or by imprisonment for not exceeding 15 days, or both; and for a second or subsequent offense by a fine not exceeding $500 or by imprisonment for not exceeding 15 days, or both.
 

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MISCELLANEOUS

Section 1.30 - Disclosure of confidential information concerning cancer, tuberculosis and venereal diseases to the medical examiner of an induction center of the armed forces authorized

MISCELLANEOUS

1.30 Disclosure of confidential information concerning cancer, tuberculosis and venereal diseases to the medical examiner of an induction center of the armed forces authorized. To facilitate the administration of the Selective Service Act, State health officers or local health officers having custody of cancer, tuberculosis and venereal disease case records may divulge to the medical examiner of an induction center of the armed forces the identity, laboratory examination results and treatment status of individuals who have been reported to them as cases of cancer, tuberculosis or venereal disease.
 

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Section 1.31 - Disclosure of confidential cancer information

1.31 Disclosure of confidential cancer information. (a) The identity of any person contained in a report of cancer made pursuant to the provisions of section 2401 of the Public Health Law, or cancer data collected for other specific research studies, shall not be disclosed except:

(1) for the purpose of scientific studies and research when the State Commissioner of Health determines that substantial knowledge may be gained by such disclosure leading toward the reduction of morbidity and mortality: or

(2) for surveillance or evaluation activities that are government sponsored at the federal, state or Canadian province level, when the State Commissioner of Health determines that the proposed activity is of significant public health importance and that release of identifiable information is necessary for the proposed activity.

The recipient shall limit the use of such information to the specific purpose for which such disclosure is made, shall not further disclose such information (except when the recipient is another cancer registry pursuant to laws applicable to such registry), and shall satisfy the State Commissioner of Health that the confidentiality of patient identity will be maintained.
(b) Criminal penalties. Criminal penalties for violations of this section are those provided for in section 229 of the Public Health Law.
(c) Civil penalties. Civil penalties for violations of this section are those provided for in section 12 of the Public Health Law.

Effective Date: 
Wednesday, August 6, 2014
Doc Status: 
Complete

Part 2 - Communicable Diseases

Effective Date: 
Wednesday, November 19, 2014
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, Section 20, 225

DESIGNATION OF CASES

Section 2.1 - Communicable diseases designated: cases, suspected cases and certain carriers to be reported to the State Department of Health

DESIGNATION OF CASES
Section 2.1.

Communicable diseases designated: cases, suspected cases and certain carriers to be reported to the State Department of Health.

(a) When used in the Public Health Law and in this Chapter, the term infectious, contagious or communicable disease, shall be held to include the following diseases and any other disease which the commissioner, in the reasonable exercise of his or her medical judgment, determines to be communicable, rapidly emergent or a significant threat to public health, provided that the disease which is added to this list solely by the commissioner’s authority shall remain on the list only if confirmed by the Public Health Council at its next scheduled meeting:

Amebiasis

Anthrax

Arboviral infection

Babesiosis

Botulism

Brucellosis

Campylobacteriosis

Chancroid

Chlamydia trachomatis infection

Cholera

Cryptosporidiosis

Cyclosporiasis

Diphtheria

E. coli 0157:H7 infections

Ehrlichiosis

Encephalitis

Giardiasis

Glanders

Gonococcal infection

Group A Streptococcal invasive disease

Group B Streptococcal invasive disease

Hantavirus disease

Hemolytic uremic syndrome

Hemophilus influenzae (invasive disease)

Hepatitis (A; B; C)

Herpes infection in infants aged 60 days or younger (neonatal)

Hospital-associated infections (as defined in section 2.2 of this Part)

Influenza (laboratory-confirmed)

Legionellosis

Listeriosis

Lyme disease

Lymphogranuloma venereum

Malaria

Measles

Melioidosis

Meningitis

           Aseptic

           Hemophilus

           Meningococcal

           Other (specify type)

Meningococcemia

Monkeypox

Mumps

Pertussis (whooping cough)

Plague

Poliomyelitis

Psittacosis

Q Fever

Rabies

Rocky Mountain spotted fever

Rubella

Congenital rubella syndrome

Salmonellosis

Severe Acute Respiratory Syndrome (SARS)

Shigellosis

Smallpox

Staphylococcal enterotoxin B poisoning

Streptococcus pneumoniae invasive disease

Syphilis, specify stage

Tetanus

Toxic Shock Syndrome

Trichinosis

Tuberculosis, current disease (specify site)

Tularemia

Typhoid

Vaccinia disease: (as defined in Section 2.2 of this Part)

Viral hemorrhagic fever

Yersiniosis

(b) Upon receipt of a report made pursuant to section 2.10, the city, county or district health officer shall retain a copy in his record of the reports of such communicable diseases as the State Commissioner of Health may direct, and shall retain these copies until their destruction is authorized by the State Commissioner of Health, and shall forward a copy of all reports immediately to the State Department of Health. In lieu of an individual report of each case, the city, county or district health officer may, with the written consent of the State Commissioner of Health, make such summarized reports as the commissioner may require.

(c) Any disease outbreak or unusual disease shall also be reported to the State Department of Health as provided in subdivision (b) of this section. Unusual disease is defined as a newly apparent or emerging disease or syndrome of uncertain etiology that a health care provider or the State Commissioner of Health has reason to believe could possibly be caused by a transmissible infectious agent or microbial toxin.

Effective Date: 
Wednesday, February 14, 2007
Doc Status: 
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Section 2.2 - Definitions

2.2 Definitions. Definitions shall include the following:

(a) For public health reporting purposes, hospital-associated infections shall include an outbreak or increased incidence of disease due to microbiological agents or their toxic products occurring in patients or persons working in the hospital. Any non-reportable hospital-associated infections must be handled nonetheless by hospitals and their infection control committees.

(b) A case is defined as a person who has been diagnosed to have a particular disease or condition. The diagnosis may be based solely on clinical judgement or solely on laboratory evidence, or on both criteria.

(c) A suspected case is defined as a person who has been diagnosed as likely to have a particular disease or condition. The suspected diagnosis may be based solely on signs and symptoms, or solely on laboratory evidence, or both criteria.

(d) An outbreak is defined as an increased incidence of disease above its expected or baseline level. As the number of cases which indicate the presence of an outbreak vary according to the infectious agent, size and type of population exposed, previous exposure or lack of exposure to the disease, and time and place of occurrence, the expected or baseline level of disease shall be assessed by hospitals and their infection control committees as directed in section 405.11 of this Title. While an outbreak usually involves several cases of illness (e.g., food-borne poisoning, influenza), it may consist of just one case for certain rare and/or serious diseases (e.g., botulism, measles).

(e) As used in this Part, local health authority is defined as the health officer of a county, part-county, city, town, village, consolidated health district, or any county or public health director having all the powers and duties prescribed in section 352 of the Public Health Law.

(f) As used in this Part, the term "approved laboratory" or "laboratory approved for the examination" shall mean, as the case may be, a laboratory possessing either a certificate of approval for the specified examination issued by the State Commissioner of Health under the authority of Title 1 of Article 5 of the Public Health Law or a permit for the specified examination issued by said Commissioner under the authority of Title 5 of said Article.

(g) As used in this part, the term vaccinia disease shall mean:

(1) persons with vaccinia infection due to contact transmission; and

(2) persons with the following complications from vaccination: eczema vaccinatum, erythema multiforme major or Stevens-Johnson syndrome, fetal vaccinia, generalized vaccinia, inadvertent inoculation, ocular vaccinia, post-vaccinial encephalitis or encephalomyelitis, progressive vaccinia, pyogenic infection of the vaccination site, and any other serious adverse events (i.e. those resulting in hospitalization, permanent disability, life-threatening illness or death).

(h) As used in this part, the term arboviral infection shall mean:

(1) persons with arthropod-borne viral infection including but not limited to the following viruses: Eastern equine encephalitis virus, Western equine encephalitis virus, West Nile virus, St. Louis encephalitis virus, dengue, Powassan virus, Jamestown Canyon virus, La Crosse virus, yellow fever virus.

Effective Date: 
Monday, January 12, 2004
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INVESTIGATIONS AND DETERMINATIONS

Section 2.5 - Physician to submit specimens for laboratory examination in cases or suspected cases of certain communicable diseases

INVESTIGATIONS AND DETERMINATIONS

Section
2.5 Physician to submit specimens for laboratory examination in cases or suspected cases of certain communicable diseases. A physician in attendance on a person affected with or suspected of being affected with any of the diseases mentioned in this section shall submit to an approved laboratory, or to the laboratory of the State Department of Health, for examination of such specimens as may be designated by the State Commissioner of Health, together with data concerning the history and clinical manifestations pertinent to the examination:

Anthrax

Babesiosis

Botulism

Brucellosis

Campylobacteriosis

Chlamydia trachomatis infection

Cholera

Congenital rubella syndrome

Conjunctivitis, purulent, of the newborn (28 days of age or less)

Cryptosporidiosis

Cyclosporiasis

Diphtheria

E. coli 0157:H7 infections

Ehrlichiosis

Giardiasis

Glanders

Gonococcal infection

Group A Streptococcal invasive disease

Group B Streptococcal invasive disease

Hantavirus disease

Hemophilus influenzae (invasive disease)

Hemolytic uremic syndrome

Herpes infection in infants aged 60 days or younger (neonatal)

Legionellosis

Listeriosis

Malaria

Melioidosis

Meningitis

Hemophilus

Meningococcal

Meningococcemia

Monkeypox

Plague

Poliomyelitis

Q Fever

Rabies

Rocky Mountain spotted fever

Salmonellosis

Severe Acute Respiratory Syndrome (SARS)

Shigellosis

Smallpox

Staphylococcal enterotoxin B poisoning

Streptococcus pneumoniae invasive

Syphilis

Tuberculosis

Tularemia

Typhoid

Viral hemorrhagic fever

Yellow Fever

Yersiniosis

Effective Date: 
Wednesday, February 14, 2007
Doc Status: 
Complete

Section 2.6 - Health officer to investigate cases of communicable disease, to ascertain sources of infection, to seek out contacts and to take other steps to reduce morbidity and mortality

2.6 Health officer to investigate cases of communicable disease, to ascertain sources of infection, to seek out contacts and to take other steps to reduce morbidity and mortality. Except for diseases for which equivalent measures of investigation and control are specifically provided in other sections of this Chapter, it shall be the duty of the health officer, either personally or through a qualified representative, immediately upon receiving a report of a case of communicable disease:

(a) to make such an investigation as the circumstances may require for the purpose of verifying the diagnosis, ascertaining the source of infection and discovering contacts and unreported cases;

(b) to collect and submit, or cause to be collected and submitted, for laboratory examination such specimens as may furnish necessary or desirable information in determining the source of infection or in assisting diagnosis; and to furnish or to cause to be furnished with the specimens pertinent data on forms prescribed by the State Commissioner of Health in regard to the history of the cases, the physical findings and the epidemiological investigation which indicate the need for the examinations requested;

(c) to instruct a responsible member of the household of the means to be taken to prevent further spread of the disease and to put into effect those other recognized measures which tend to reduce morbidity and mortality.
 

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Section 2.7 - Reported cases and suspected cases of tuberculosis to be investigated, instruction by physician

2.7 Reported cases and suspected cases of tuberculosis to be investigated; instruction by physician. (a) Upon receiving a duly signed report of a person who appears to be suffering from tuberculosis pursuant to sections 2100 and 2222 of the Public Health Law, the State or local health officer to whom such cases are reportable shall cause an examination to be made of the case if it has not been previously reported by a physician as a case of pulmonary tuberculosis and shall take such further measures as may be indicated as a result to such examination; if such a person has been reported to him previously by a physician as one suffering from pulmonary tuberculosis, the State or local health officer concerned shall ascertain promptly whether such physician is maintaining proper sanitary supervision.

(b) It shall be the duty of a physician in attendance on a person affected with active pulmonary tuberculosis to instruct such person or a responsible member of his family not to permit personal contact with non-household members or occupational contact with others until the patient is deemed to be non-infectious.
 

Effective Date: 
Wednesday, February 23, 1994
Doc Status: 
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Section 2.8 Reserved

REPORTING OF CASES; RECORDS

Section 2.10 - Reporting cases or suspected cases or outbreaks of communicable disease by physicians

REPORTING OF CASES; RECORDS 2.10 Reporting cases or suspected cases or outbreaks of communicable disease by physicians. It shall be the duty of every physician to report to the city, county or district health officer, within whose jurisdiction such patient resides, the full name, age and address of every person with a suspected or confirmed case of a communicable disease, any outbreak of communicable disease, any unusual disease or unusual disease outbreak and as otherwise authorized in section 2.1 of this Part, together with the name of the disease if known, and any additional information requested by the health officer in the course of an investigation pursuant to this Part, within 24 hours from the time the case is first seen by him, and such report shall be by telephone, facsimile transmission or other electronic communication if indicated, and shall also be made in writing, except that the written notice may be omitted with the approval of the State Commissioner of Health. When a case which is required to be reported under section 2.1 of this Part occurs in a State institution or a facility licensed under Article 28 of the Public Health Law, the person in charge of the institution or facility shall report the case to the State Department of Health and to the city, county or district health officer, in whose jurisdiction such institution is located.

Effective Date: 
Wednesday, July 6, 2011
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Section 2.11 - Reporting cases of communicable disease diagnosed after death

2.11 Reporting cases of communicable disease diagnosed after death. If a pathologist, coroner, medical examiner, or other person determines from examination of a corpse or from history of the events leading to death that at the time of death this individual apparently was affected with a communicable disease, he/she shall report the case within 24 hours to the proper health authority according to the manner indicated in section 2.10 of this Part as if the diagnosis had been established prior to death.

Effective Date: 
Wednesday, August 30, 2000
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Section 2.12 - Reporting by others than physicians of cases of diseases presumably communicable

2.12 Reporting by others than physicians of cases of diseases presumably communicable. When no physician is in attendance, it shall be the duty of the head of a private household or the person in charge of any institution, school, hotel, boarding house, camp or vessel or any public health nurse or any other person having knowledge of an individual affected with any disease presumably communicable, to report immediately the name and address of such person to the city, county or district health officer.
 

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Section 2.13 Reserved

Section 2.14 - Reporting of suspected rabid animals and persons exposed to them

2.14 Reporting of suspected rabid animals and persons exposed to them. Action to be taken by health officer.

(a) Definitions:

(1) Health care provider shall mean any person or facility which gives primary or secondary medical care to humans.

(2) Exposure shall mean introduction of the rabies virus into the body of a human or animal. Any penetration by mouth to the skin of humans or animals constitutes a bite exposure. A nonbite exposure is a scratch, abrasion, open wound, or contamination of mucous membranes with saliva or other potentially infectious material from a rabid animal.

(3) Domestic livestock shall mean sheep, horses, cattle, goats and swine.

(4) Current vaccination shall mean the administration of a rabies vaccine suitable to the species, which meets the standards prescribed by the United States Department of Agriculture for interstate sale and is administered according to the manufacturer's instructions under the direction of a duly licensed veterinarian not later than the expiration date on the package. Current vaccination shall begin 14 days following primary vaccination, and continue for the period stated in the manufacturer's instructions.

(5) Approved vaccine shall mean any rabies vaccine which meets the standards prescribed by the United States Department of Agriculture for interstate sale.

(b) It shall be the duty of every health care provider to report immediately to the local health authority having jurisdiction, the full name, age, address and telephone number of any person under his care or observation who has been exposed to any animal suspected by the health care provider of having rabies, and all pertinent facts relating to such exposure. Such notification shall occur prior to starting rabies post exposure prophylaxis, except in those cases where prior notification would compromise the health of the patient.

(c) If no health care provider is in attendance and the person exposed is a child, it shall be the duty of the parent or guardian to make such report immediately. If the person exposed is an adult, such person shall himself make the report, or, if incapacitated, it shall be made by whomever is caring for such person.

(d) It shall be the duty of every health care provider who has cause to believe that contact has occurred with a rabid animal or animal suspected of being rabid by the health care provider which requires rabies prophylaxis subsequent to the exposure to report the initiation of such prophylaxis and all pertinent facts relating to any such bite, exposure or treatment to the local health authority.

(e) It shall be the duty of every person having knowledge of the existence of an animal exhibiting clinical signs suggestive of rabies to report immediately to the local health authority the existence of such animal, the place where seen, the owner's name, if known, and the signs of infection suggesting rabies.

(f) Whenever, in accordance with this section, the local health authority is notified of a person who has been exposed to any dog, cat, ferret or domestic livestock, vaccinated or not, the local health authority may cause the animal to be confined for 10 days. Any costs associated with this confinement shall be an expense of the animal's owner. Such health authority may, subject to the approval of the owner, if known, cause the animal to be destroyed immediately and have the animal's head submitted to a laboratory approved by the State Commissioenr of Health for examination. The dog, cat, ferret or domestic livestock whose ownership cannot be determined may be confined for 10 days, under the direction of the local health authority. Any costs associated with this confinement shall be an expense of the party seeking this confinement. Confinement of the animal, in any case, shall be subject to such conditions and instructions, and under the control of such persons, including the owner if ascertainable, that the local health authority determines will reasonably assure the continued confinement of the animal for the prescribed 10-day period. Should the confined animal develop signs of rabies within the 10-day period, it shall be destroyed under the direction of the local health authority and submitted to a laboratory approved by the State Commissioner of Health for examination. In the case of a dog, cat, ferret or domestic livestock whose ownership cannot be determined, if confinement is not possible or desirable, the animal may be destroyed immediately and an appropriate specimen shall be submitted to a laboratory approved by the State Commissioner of Health for examination.

(1) Bats and any animal other than a dog, cat, ferret or domestic livestock suspected of being rabid shall not be held for observation and shall be destroyed immediately, without injury to the head, and may be submitted upon approval of the local health authority, to a laboratory approved by the State Commissioner of Health for examination.

(g) Except as hereinafter provided, any mammalian animal which has been bitten by or in direct contact with a known rabid animal or animal suspected by the local health authority of being rabid shall be destroyed unless it shall be isolated for a period of six months either in a veterinary hospital approved by the local health authority. or in a locked enclosure approved by the local health authority as being so constructed and maintained that the animal cannot escape and cannot have contact with any other animal or human except, when absolutely necessary, with the person responsible for the care of the confined animal. Quarantine of the animal, in any case, shall be subject to such conditions and instructions, and under the control of such persons, including the owner if ascertainable, that the local health authority determines will reasonably assure the continued quarantine of the animal for the prescribed six-month period. The expense of such isolation shall be borne by the owner. Any animal currently vaccinated as defined in this section, prior to exposure, may remain at large or under the owner's immediate control as may be required by local ordinance providing a booster injection of such approved vaccine is given within five days of the date of exposure.

(h) An animal under such restrictions shall not be removed from one health district into another prior to the conclusion of the prescribed isolation period except with the permission of the health officer from whose district such animal is to be removed and the permission of the health officer to whose jurisdiction such animal is to be transferred. The former shall give permission only after securing the consent of the health officer to whose jurisdiction the animal is to be transferred, except that if removal is to be to New York City or into another state, he shall give permission only after securing the consent of the Commissioner of Health of the State of New York. Such removal shall be by private conveyance, in charge of a responsible person and conducted in such a manner as to prevent the escape of the animal or its coming in contact with other animals or persons.

(i) The local health authority shall report forthwith to the State district health office or county health office having jurisdiction the name, age and address of every person exposed to any animal suspected of having rabies, any incident which requires rabies prophylaxis, and all the pertinent facts relating to any such bite, exposure or treatment.

(j) Whenever any animal that has or is suspected of having rabies dies, or is killed, the local health authority may, at his discretion, cause the head of such animal to be removed and sent immediately, properly packed, with a complete history of the case, to a laboratory approved for this purpose by the State Commissioner of Health for examination.

(k) Whenever the disease rabies is confirmed by the State Wadsworth Center for Laboratories and Research in a raccoon in any county of New York State, within 30 days of notice to the county of the confirmation, all cats residing in the county who are not then actively immunized as defined in this section, must be vaccinated as outlined below. Such notice will be sent to the county's local health officer by the Commissioner of Health. Actively immunized shall mean injection of a rabies vaccine which meets the standards prescribed by the United States Department of Agriculture for interstate sale and administered according to the manufacturer's instructions under the direction of a duly licensed veterinarian. All cats in the county, three months of age or over, are to be vaccinated to prevent rabies. This section shall not apply to cats owned by a non-resident, while passing through any town, city or village for a period not exceeding fifteen days, if entered in any exhibition at any cat show therein, and if confined and in immediate charge of the exhibitor, or to cats actually confined to the premises of incorporated societies, devoted to the care or hospital treatment of lost, strayed or homeless animals, or confined to the premises of public or private hospitals devoted to the treatment of sick animals, or confined for the purposes of research institutions, or to cats actually confined to the premises of a person, firm or corporation actually engaged in the business of breeding or raising cats for profit and are so licensed as a class A dealer under the Federal Laboratory Animal Welfare Act, or if such vaccination would adversely affect the health of the cat as determined by a duly licensed veterinarian. The veterinarian either administering the vaccine or responsible for supervising the vaccination shall give to the owner of the cat a signed statement. Such statement shall include the following information: name and address of the owner, date or dates of vaccination together with the type of vaccine injected and its duration of immunity, amount and manner of injection, name of manufacturer, lot number and expiration date of the vaccine. Or, if applicable, the veterinarian shall give the owner of the cat a signed statement verifying that the cat is exempt because such vaccination would adversely affect the health of the cat.
Compulsory vaccination shall remain in effect until the county presents evidence to the commissioner that it has been one year since the last confirmed case of rabies in a terrestrial animal specie. Proof of rabies immunization must be shown by the owner to the local health officer whenever a cat bites a person. If the owner is unable to show such proof, the local health officer must follow the procedures outlined in subdivision (f) of this section.

Effective Date: 
Wednesday, August 30, 2000
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Section 2.15 - Reporting of food poisoning

2.15 Reporting of food poisoning. (a) Every physician, visiting nurse, public health nurse or any other person having knowledge of the occurrence of illness believed to have been due to the consumption of spoiled or poisonous food, shall report the same immediately, by telephone, facsimile, other electronic communication, or in person to the city, county or district health officer in whose jurisdiction it occurred.

(b) Provided that if the cases occur in a State institution, said cases shall be reported to the State Department of Health and to the city, county or district health officer in whose jurisdiction such institution is located.
 

Effective Date: 
Wednesday, August 30, 2000
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Section 2.16 - Notification and investigation of outbreaks

2.16 Notification and investigation of outbreaks. (a) Whenever there shall occur in any municipality an outbreak of illness, it shall be the duty of the city, county or district health officer to report immediately by telephone, facsimile transmission, or other electronic communication, or in person the existence of such an outbreak to the State Department of Health. The city, county or district health officer shall exercise due diligence in ascertaining the existence of such outbreaks or the unusual prevalence of diseases, and shall immediately investigate the causes of same. A report of such investigation shall be forwarded to the Department of Health within 30 days of the end of the outbreak.

(b) Provided that when such an outbreak occurs in a State institution, the person in charge of such institution shall report the outbreak immediately by telephone, telegram or in person to the State Department of Health and to the city, county or district health officer in whose jurisdiction the institution is located.
 

Effective Date: 
Wednesday, August 30, 2000
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Section 2.17 - Reports of tuberculosis cases confidential

2.17 Reports of tuberculosis cases confidential. A State or local health officer authorized by law to receive laboratory or other reports relating to cases of tuberculosis may disclose information contained in such reports only when in his judgment it will serve the best interest of the patient or his family, or contribute to the protection of the public health. Such officer may, subject to the foregoing purposes, permit access to such reports by representatives of official or non-official agencies concerned with the control of tuberculosis.
 

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Section 2.18 - Tuberculosis records

2.18 Tuberculosis records. In any action or prosecution for violation of any of the provisions of the Public Health Law, of this Chapter, or of the ordinances or regulations of any local board of health, the person in charge of tuberculosis records or reports made in pursuance of the provisions of sections 2220 and 2221 of the Public Health Law may in obedience to a duly issued and served subpoena produce and allow to be placed in evidence the whole or any part of such records insofar as the same shall be deemed relevant by the court or by the judge presiding.
 

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ISOLATION, QUARANTINE AND RESTRICTIONS

Section 2.25 Contacts, date of last exposure, isolation and quarantine defined

ISOLATION, QUARANTINE AND RESTRICTION

2.25 Contacts, date of last exposure, isolation and quarantine defined. For the purposes of this Part:

(a) The term household contacts shall include every person in a household wherein a case of communicable disease exists. By an adult is meant an individual 15 years of age or over.

(b) The term incidental contacts shall include persons other than household contacts who have been in contact with a person infected with a communicable disease.

(c) The date of last exposure of household contacts shall be the date of the removal of such household contacts to premises other than those where the case exists, or the date of the removal of the patient to other premises, or the date of release of the patient from isolation.

(d) Isolation shall consist of the separation from other persons, in such places, under such conditions, and for such time, as will prevent transmission of the infectious agent, of persons known to be ill or suspected of being infected.

(e) Quarantine of premises, except as specifically modified in other sections of this Chapter, shall consist of:

(1) prohibition of entrance into or exit from the premises, as designated by the health officer, where a case of communicable disease exists of any person other than medical attendants and such others as may be authorized by the health officer; and

(2) prohibition, without permission and instruction from the health officer, of the removal from such premises of any article liable to contamination with infective material through contact with the patient or with his secretions or excretions, unless such article has been disinfected.

(f) Personal quarantine shall mean restricting household contacts and/or incidental contacts to premises designated by the health officer.
 

Effective Date: 
Wednesday, February 23, 1994
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Section 2.27 - Physician to isolate person with highly communicable disease and give instructions regarding prevention of spread of the disease

2.27 Physician to isolate person with highly communicable disease and give instructions regarding prevention of spread of the disease. It shall be the duty of the attending physician immediately upon discovering a case of highly communicable disease (as defined in section 2.1 of this Part) to cause the patient to be isolated, pending official action by the health officer. Such physician shall also advise other members of the household regarding precautions to be taken to prevent further spread of the disease and shall inform them as to appropriate specific preventive measures. He shall in addition furnish the patient's attendant with such detailed instructions regarding the disinfection and disposal of infective secretions and excretions as may be prescribed by the State Commissioner of Health.
 

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Section 2.28 - Persons suffering from certain communicable diseases to be isolated

2.28 Persons suffering from certain communicable diseases to be isolated. Whenever a case of measles or typhoid comes to the attention of the health officer, he/she may, according to his professional judgment, establish and maintain isolation of such case for the period specified herein; when isolation on the premises is impracticable, the health officer may cause the removal of the patient to a suitable hospital.

(a) Measles. Until recovery.

(b) Typhoid. Until recovery. The patient shall conform to the regulations for the control of typhoid carriers until three successive specimens of feces passed not less than 48 hours after the last administration of any antibiotic or chemotherapeutic agent and at an interval of not less than 24 hours shall have been examined in an approved laboratory or in the laboratory of the State Department of Health and found to be free from typhoid bacilli; a person who has recovered from typhoid shall not engage in the handling of milk, dairy products or other foods until all secondary or complicating infections incited by the agents of this disease have disappeared and until three successive specimens of feces passed not less than 48 hours after the last administration of any antibiotic or other chemotherapeutic agent and at intervals of not less than 24 hours have been examined in an approved laboratory or in the laboratory of the State Department of Health and found to be free from typhoid bacilli. Should the organism of typhoid be present one year after such person has recovered from typhoid, he shall be released from the restrictions for typhoid carriers only with the approval of the State Commissioner of Health.
 

Effective Date: 
Wednesday, August 30, 2000
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Section 2.29 - Other highly communicable diseases

2.29 Other highly communicable diseases. Whenever a case of a highly communicable disease (as defined in section 2.1 of this Part) comes to the attention of the city, county or district health officer he shall isolate such patients as in his judgment he deems necessary.
 

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Section 2.30 - Diptheria

2.30 Diptheria. (a) Isolation of case, quarantine of children of household and modified quarantine for adult household contacts. Whenever a case of diphtheria shall come to the attention of the city, county or district health officer, he/she may, according to his professional judgement, isolate the patient and establish and maintain quarantine for the periods hereinafter stated. When isolation on the premises is impracticable, the health officer may cause the removal of the patient to a suitable hospital.

(b) The patient shall be isolated until two successive cultures taken from the nose and throat at intervals of not less than 24 hours and not less than 24 hours after cessation of antimicrobial therapy, have been found free from diptheria bacilli in an approved laboratory, or in the laboratory of the State Department of Health, the first of such cultures being taken not less than one week from the day of the onset of the disease; except that if diphtheria bacilli continue to be present in cultures, the health officer in his discretion may release the patient from isolation 30 days after clinical recovery, provided the mucous membranes appear normal and there are no abnormal discharges from the nose, throat or ears or after 14 days following antibiotic treatment.

(c) Personal contact(s) of a case of diptheria whose occupation involves handling food, providing health care to patients, or close association with children, shall be prevented by exclusion from that work until bacteriological examination proves such case not to be a carrier.

Effective Date: 
Wednesday, August 30, 2000
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Section 2.31 Reserved

Section 2.32 - Reports of gonorrhea and syphilis cases confidential

2.32 Reports of gonorrhea, Chlamydia trachomatis infection and syphilis cases confidential. Records of the State Department of Health or of any local department of health or local health authority having custody of such records or of any laboratory, clinic or other institution relating to cases of gonorrhea, chlamydia trachomatis infection or syphilis shall be confidential, except that access to such records by representatives of official public agencies concerned with the control of such diseases may be permitted at the discretion of the State or local health authority having custody of such reports.
 

Effective Date: 
Wednesday, August 30, 2000
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Section 2.33 - Removal of cases of communicable diseases from one health district to another restricted

2.33 Removal of cases of communicable diseases from one health district to another restricted. Except as hereinafter provided no person affected with a highly communicable disease (as defined in section 2.1 of this Part) shall be removed from one health district into another except with the permission of the city, county or district health officer from whose district such person is removed and the permission of the city, county or district health officer to whose jurisdiction such person is to be transferred. The former shall give permission only after securing the consent of the health officer to whose jurisdiction the person is to be transferred except that the latter's permission need not be obtained if the patient is brought into a municipality solely for hospitalization in an institution approved by that municipality's health officer for admission of the type of case in question. Such removal shall be by means of a private conveyance, in charge of a responsible person and conducted in such manner as to prevent the exposure of other persons to the patient.
 

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CARRIERS AND CONTROL OF CARRIERS OF DISEASE

Section 2.40 - Carriers of disease germs defined; subject to restrictions

CARRIERS AND CONTROL OF CARRIERS OF DISEASE

2.40 Carriers of disease germs defined; subject to restrictions. (a) For the purpose of the Public Health Law and this Chapter a carrier of disease germs is a person in whose secretions or excretions the germs of a communicable disease are present but who does not present clinical evidence of such disease.

(b) A person shall be deemed a carrier of disease germs if:

(1) the germs of communicable disease are found in his secretions or excretions by an approved laboratory; or

(2) epidemiological evidence points to such person as the source of one or more cases of communicable disease and such person refuses to submit specimens of his bodily secretions or excretions for laboratory examination; or

(3) such person is reported as a carrier of disease germs to the State Department of Health by the health authorities of New York City or of any State or nation.

(c) In typhoid fever a person shall be considered a carrier who has not suffered from the disease within 10 days, provided that any person, in whose feces or urine or other discharge from the body typhoid bacilli are present, who has not suffered from typhoid fever within one year may be declared by the State Commissioner of Health to be a chronic typhoid carrier.

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Section 2.41 - Duties of health officers in relation to typhoid carriers

2.41 Duties of health officers in relation to typhoid carriers. (a) The health officer, upon the determination that a person is a typhoid carrier, shall immediately report the fact to the State Department of Health giving the full name, age, occupation and address of such carrier, together with any other information relative to possible or probable infection of others. He shall also inform such person, or in the ease of a minor, his guardian, that he is a typhoid carrier and shall give instructions in detail as to the precautions to be observed in preventing the spread of typhoid fever. Instructions given by the health officer shall include a copy of section 2.42 of this Part and directions to wash the hands thoroughly with soap and water immediately after using the toilet and to use individual towels.

(b) The health officer shall inform the head of the household in which a carrier resides that such an individual is a typhoid carrier and of the precautions to be observed, and no persons other than members of the family to which the carrier is immediately related, shall continue to be or become a member of the household in which the typhoid carrier lives, except with the permission of the health officer, and then only after the head of the household has first informed such person, or in the case of a minor, his parent or duly appointed guardian, of the presence of such carrier in the household.

(c) The health officer shall obtain a minimum of one stool culture, at least once each year, from known typhoid carriers, in order to ascertain their carrier status. A negative culture shall be followed up by referral to section 2.43 of this Part.
 

Effective Date: 
Wednesday, February 23, 1994
Doc Status: 
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Section 2.42 - Control of typhoid carriers

2.42 Control of typhoid carriers. (a) Disposition of body wastes. The urine and feces of a typhoid carrier shall be disposed of in such a manner that they will not endanger any public or private water supply or be accessible to flies.

(b) Prohibition of food handling. No typhoid carrier shall prepare or handle any food or drink to be consumed by persons other than members of the household with whom he resides.

(c) Restrictions of certain employment. No typhoid carrier shall conduct or be employed in any restaurant, hotel, or boarding house.

(d) Restrictions concerning boarding homes for children. No typhoid carrier shall reside or be employed in a boarding home for children.

(e) Restrictions of certain occupations. No typhoid carrier shall engage in the occupation of nurse, cook, waiter, nursemaid or in any other occupation involving the handling of milk, cream, milk products, or utensils used in the production thereof.

(f) Restrictions of residence where cows are kept. No typhoid carrier shall be permitted to reside on premises on which one or more cows are kept except under conditions to be prescribed by the health officer, which conditions shall include a written agreement signed by the carrier, or if the carrier be a minor, by his parent or duly appointed guardian and by the owner of the cows or his representative. Such agreement shall stipulate either:

(1) that no milk, cream or other dairy products from such premises will be sold, or given away to persons other than members of the household residing on such premises; or

(2) that milk and cream will be sold from such premises only after a special permit is issued by the local health officer and countersigned by the district State health officer and the local health officer of the jurisdiction in which the milk or cream is to be sold, provided, however, that county or part-county health commissioner or city health officer (in cities of 50,000 population or over) may issue such permit directly. Such permit and agreement shall provide that:

(i) the milk or cream be sold only to the individual or firm designated in the permit, which individual or firm restricts its output to a pasteurized product;

(ii) the carrier will not engage in any activities involving milking or the handling of milk, cream or dairy utensils, or enter the milk house or barns where the milk-producing cows are kept;

(iii) no milk or cream which is to be subsequently sold nor any utensils used in the production of milk or cream shall be brought into the house occupied by the carrier;

(iv) no changes shall be made in the source of the water supply or in the system by which it is distributed on the farm, nor in the means of sewage disposal, except with the approval of the local health officer provided, however, that a county or part-county health commissioner, or city health officer (in cities of 50,000 or over) may give such approval;

(v) all other members of the carrier's household except those who have had typhoid fever, shall have been vaccinated against typhoid fever.

(g) Notification of removal. No typhoid carrier shall change his usual place of abode without first notifying the local health officer giving the proposed new address, and the health officer shall immediately inform the State Department of Health and the health officer into whose jurisdiction such carrier is to remove.

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Section 2.43 - Release of typhoid carriers from control restrictions

2.43 Release of typhoid carriers from control restrictions. A chronic typhoid carrier may be released from restrictions only on approval of the State Commissioner of Health. A chronic carrier in whose feces typhoid bacilli have been found may be granted release only after submission of the evidence required in subdivision (a) or (b) of this section:

(a) That the gall bladder has been removed; and either:

(1) subsequent to the removal of the gall bladder, each of three specimens of the duodenal contents taken at intervals of not less than 24 hours, has been examined in an approved laboratory or in the laboratory of the State Department of Health and found to contain no typhoid bacilli; and

(2) each of at least eight successive specimens of feces and eight successive specimens of urine, taken on separate days, in a hospital or under other circumstances which do not permit of substitution, has been examined in an approved laboratory or in the laboratory of the State Department of Health and found to contain no typhoid bacilli; or

(3) subsequent to the removal of the gall bladder, each of 16 successive authenticated specimens of feces, taken at intervals of not less than 24 hours, with no more than four release specimens having been taken during any three-month period of the first post-operative year, has been examined in the laboratory of the State Department of Health and found to contain no typhoid bacilli; and

(4) each of at least eight successive specimens of urine, taken on separate days, has been examined in an approved laboratory, or in the laboratory of the State Department of Health and found to contain no typhoid bacilli.

(b) That the laboratory of the State Department of Health finds no significant Vi agglutinative properties in the blood of the carrier, and he has satisfactorily complied with the requirements for release under subdivision (a) of this section except for removal of the gall bladder.

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OTHER MEASURES FOR PUBLIC PROTECTION

Section 2.50 - Handling of food forbidden in certain cases

OTHER MEASURES FOR PUBLIC PROTECTION

2.50 Handling of food forbidden in certain cases. (a) No person who suffers from cholera, amebiasis, shigellosis, superficial staphylococcal infection, streptococcal sore throat (including scarlet fever), salmonellosis, giardiasis, infectious hepatitis, poliomyelitis, diphtheria, tuberculosis, yersiniosis, or typhoid, or is a carrier of the organisms causing amebiasis or shigellosis, salmonella infection or typhoid, or who, in the judgement of the local health officer, is suffering from acute infectious diarrhea shall serve or handle in any manner whatsoever, food intended for sale.

(b) No person shall engage in the handling of milk, dairy products or other foods until clinical recovery from salmonella or shigella infection and until two successive specimens of intestinal discharges, passed not less than one week after the week of onset and at intervals not less than 24 hours, shall have been examined in an approved laboratory or in the laboratory of the State Department of Health and no salmonella or shigella organisms shall have been found.

Effective Date: 
Wednesday, February 23, 1994
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Section 2.51 - Destruction of foods in certain cases

2.51 Destruction of foods in certain eases. When a case of diphtheria, streptococcal sore throat (including scarlet fever), superficial staphylococcal infection, amebiasis or shigellosis, salmonellosis, infectious hepatitis, poliomyelitis or typhoid exists on any farm or dairy producing milk, cream, butter, cheese, or other foods likely to be consumed raw, the State Commissioner of Health or the city, county or district health officer may destroy or order the destruction of any such foods which in his opinion may have been infected.
 

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Section 2.52 - Sale of food forbidden in certain cases

2.52 Sale of food forbidden in certain cases. When a case of diphtheria, streptococcal sore throat (including scarlet fever), shigellosis (bacillary dysentery), salmonella infection (including paratyphoid fever), or typhoid fever exists on any farm or dairy producing milk, cream, butter, cheese, or other milk products, no such substances shall be sold or delivered from such farm or dairy, except to a plant in which all the milk, cream or milk products before delivery to the consumer, are:

(a) pasteurized; or

(b) made into evaporated milk, condensed milk, dried milk, butter or cheese, in the process of which the milk or the product undergoes heating equivalent to pasteurization; or

(c) made into cheese which is allowed to ripen or cure at a temperature of not less than 35 degrees Fahrenheit for a period of not less than 60 days.
 

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Section 2.53 - Cleansing, renovation or disinfection, when required

2.53 Cleansing, renovation or disinfection, when required. Adequate cleansing, renovation or disinfection of rooms, furniture, clothing and belongings when deemed necessary by the health officer or required by the Public Health Law or by this Chapter shall immediately follow release, death or removal of a person affected with a communicable disease. Such cleansing, renovation or disinfection shall be done under the direction of the health officer. Furniture, bedding, clothing, carpets, rugs or other articles which may have been contaminated with infective material and which are of such nature or in such condition that they cannot, in the opinion of the health officer, be properly cleansed or disinfected, shall upon his order be destroyed in the manner designated by him.
 

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Section 2.54 - Duties of undertakers

2.54 Duties of undertakers. (a) It shall be the duty of every person taking charge of the preparation for burial of the body of any person to ascertain whether such person died of a communicable disease, and if such person died of plague, it shall be his duty to cause it promptly to be placed in a coffin or casket, which shall then be immediately and permanently closed. This section shall not be construed to prohibit the embalming of any such body, but if the body is to be embalmed the undertaker shall cause such embalming to be done immediately upon taking charge of the body. Immediately after the embalming he shall cause such body to be placed in a coffin or casket as hereinabove directed.

(b) After handling, embalming, or preparing for burial the body of a person dead of a communicable disease, such parts of the person's garments, and utensils or other articles of the undertaker or his assistants, as may have been liable to contamination with infective material, shall be immediately cleansed or disinfected or sterilized.
 

Effective Date: 
Wednesday, February 23, 1994
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Section 2.55 - Subcutaneous or intradermal diagnostic tests administered by individuals other than health care practitioners licensed under Title 8 of the Education Law

2.55 Subcutaneous or intradermal diagnostic tests administered by individuals other than health care practitioners licensed under Title 8 of the Education Law. (a) As part of any approved public health program, an individual other than a health care practitioner licensed under Title 8 of the Education Law may administer subcutaneous or intradermal diagnostic tests, including but not limited to tuberculin and histoplasmin tests, when so authorized by the State Commissioner of Health or local health officer.

(b) Before individuals may administer subcutaneous or intradermal diagnostic tests as provided in subdivision (a) of this section they must have received training satisfactory to the State Commissioner of Health or local health officer to include techniques, indications, precautions and contraindications in the use of the agent or agents and techniques of administration.

(c) The State Commissioner of Health or local health officer shall maintain a current list of all individuals whose training is satisfactory to him for the administration of subcutaneous or intradermal diagnostic tests under his direction.
 

Effective Date: 
Wednesday, February 23, 1994
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Section 2.56 - Immunizations administered by individuals other than health care practitioners as permitted by their license under Title 8 of the Education Law

2.56 Immunizations administered by individuals other than health care practitioners as permitted by their license under Title 8 of the Education Law.

(a) During the course or as part of any public immunization program, individuals other than health care practitioners licensed under Title 8 of the Education Law may administer immunizations involving oral, intramuscular, subcutaneous or intradermal administration, including but not limited to immunizations, against rubella, polio, pertussis, measles, diphtheria and tetanus, when so authorized by the State Commissioner of Health or local health officer.

(b) Before an individual may administer immunizations as provided in subdivision (a) of this section, he must have received training satisfactory to the State Commissioner of Health or local health officer to include indications, precautions and contraindications in the use of the agent or agents and techniques of administration.

(c) The State Commissioner of Health or local health officer shall maintain a current list of all individuals whose training is satisfactory to him for the administration of immunizations under his direction.
 

Effective Date: 
Wednesday, February 23, 1994
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Section 2.57 - Withdrawal of blood samples by individuals other than health care practitioners licensed under Title 8 of the Education Law

2.57 Withdrawal of blood samples by individuals other than health care practitioners licensed under Title 8 of the Education Law. (a) During the course or as part of any approved public health program (including but not limited to venereal disease control and lead poisoning programs), individuals other than health care practitioners licensed under Title 8 of the Education Law may withdraw a blood sample by means of skin prick or intravenous technique when so authorized by the State Commissioner of Health or local health officer.

(b) Before an individual may withdraw blood samples as provided in subdivision (a) of this section, he must have received training satisfactory to the State Commissioner of Health or local health officer to include procedures, precautions and contraindications in the use of techniques of blood withdrawal.

(c) The State Commissioner of Health or local health officer shall maintain a current list of all individuals whose training is satisfactory to him for the withdrawal of blood samples under his direction.
 

Effective Date: 
Wednesday, February 23, 1994
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Section 2.58 - Turtle-associated salmonellosis and other bacteriological contaminationwhich may cause disease in humans

2.58 Turtle-associated salmonellosis and other bacteriological contamination which may cause disease in humans. (a) On and after the effective date of this section, no person shall bring into the State of New York or sell or offer for sale or distribute at wholesale, retail, or as gifts to the public, a live turtle or turtles with a carapace length of less than four inches.

(b) The New York State Department of Health or any designated representative thereof, or any local health officer or his representative may at any time take samples of tank water or any other appropriate samples from turtles offered for sale or distribution, test the same, and order the immediate humane destruction of any lot of turtles found contaminated with salmonella or other bacteriological contamination which may cause disease in humans.

(c) The following warning must be posted conspicuously at every display of turtles for retail sale or distribution or where the public may handle turtles, unless the requirement is waived in writing by the State Commissioner of Health:

"CAUTION: Turtles may transmit bacteria causing disease in humans. It is important to wash your hands thoroughly after handling turtles or material in a turtle bowl; not to allow water or any other substance from a turtle bowl to come in contact with your food or areas where your food is prepared; and to make sure that these precautions are followed by children or others handling turtles."

(d) Pursuant to the Executive Law the Attorney General may seek injunctive relief or any other remedy therein for violation of this section.

(e) Turtles of any size may enter the State for teaching use in educational institutions, or for delivery to research institutions approved by the New York State Department of Health pursuant to the provisions of article 5 of the Public Health Law, as amended.
 

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Section 2.59 - Prevention of influenza transmission by healthcare and residential facility and agency personnel

2.59 – Prevention of influenza transmission by healthcare and residential facility and agency personnel

(a) Definitions.

(1) "Personnel," for the purposes of this section, shall mean all persons employed or affiliated with a healthcare or residential facility or agency, whether paid or unpaid, including but not limited to employees, members of the medical and nursing staff, contract staff, students, and volunteers, who engage in activities such that if they were infected with influenza, they could potentially expose patients or residents to the disease.

(2) "Healthcare and residential facilities and agencies," for the purposes of this section, shall include:

(i) any facility or institution included in the definition of "hospital" in section 2801 of the Public Health Law, including but not limited to general hospitals, nursing homes, and diagnostic and treatment centers;

(ii) any agency established pursuant to Article 36 of the Public Health Law, including but not limited to certified home health agencies, long term home health care programs, acquired immune deficiency syndrome (AIDS) home care programs, licensed home care service agencies, and limited licensed home care service agencies; and

(iii) hospices as defined in section 4002 of the Public Health Law.

(3) "Influenza season," for the purposes of this section, shall mean the period of time during which influenza is prevalent as determined by the Commissioner.

(4) “Patient or resident,” for the purposes of this section, shall mean any person receiving services from a healthcare or residential facility or agency, including but not limited to inpatients and outpatients, overnight residents, adult day health care participants, and home care and hospice patients, as well as any person presenting for registration or admission at a healthcare or residential facility or agency.

(5) “Influenza vaccine” or “vaccine,” for the purposes of this section, means a vaccine currently licensed for immunization and distribution in the United States by the Food and Drug Administration (FDA), for active immunization for the prevention of influenza disease caused by influenza virus(es), or authorized for such use by the FDA pursuant to an Emergency Use Authorization (EUA) or as an Emergency Investigational New Drug (EIND).

(b) All healthcare and residential facilities and agencies shall determine and document which persons qualify as "personnel" under this section.

(c) All healthcare and residential facilities and agencies shall document the influenza vaccination status of all personnel for the current influenza season in each individual's personnel record or other appropriate record. Documentation of vaccination must include:

(1) a document, prepared by the licensed healthcare practitioner who administered the vaccine, indicating that one dose of influenza vaccine was administered, and specifying the vaccine formulation and the date of administration; or

(2) for personnel employed by a healthcare employer other than the healthcare or residential facility or agency in which he or she is providing service, an attestation by the employer that the employee(s) named in the attestation have been vaccinated against influenza for the current influenza season, and that the healthcare employer maintains documentation of vaccination of those employees, as described in paragraph (1) of this subdivision; or

(3) for student personnel, an attestation by the professional school that the student(s) named in the attestation have been vaccinated against influenza for the current influenza season, and that the school maintains documentation of vaccination of those students, as described in paragraph (1) of this subdivision.

(d) During the influenza season, all healthcare and residential facilities and agencies shall ensure that all personnel not vaccinated against influenza for the current influenza season wear a surgical or procedure mask while in areas where patients or residents are typically present, except that:

(1) when personnel provide services outside the home of a patient or resident, and not inside a healthcare or residential facility, mask wear shall not be required by this section, provided that this paragraph shall not be interpreted as eliminating any requirement that personnel wear a mask pursuant to standard and transmission-based precautions not addressed by this section;

(2) personnel required to wear a mask by this subdivision, but who provide speech therapy services, may remove the mask when necessary to deliver care, such as when modeling speech; and

(3) for any person who lip reads, personnel required to wear a mask by this subdivision may remove the mask when necessary for communication.

(e) Upon the request of the Department, a healthcare or residential facility or agency must report the number and percentage of personnel that have been vaccinated against influenza for the current influenza season.

(f) All healthcare and residential facilities and agencies shall develop and implement a policy and procedure to ensure compliance with the provisions of this section. The policy and procedure shall include, but is not limited to, identification of those areas where unvaccinated personnel must wear a mask pursuant to subdivision (d) of this Section.

(g) Healthcare and residential facilities and agencies shall supply surgical or procedure masks required by this section at no cost to personnel.

(h) Nothing in this section shall be interpreted as prohibiting any healthcare or residential facility or agency from adopting policies that are more stringent than the requirements of this section.

Effective Date: 
Wednesday, November 19, 2014
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Part 4 - Protection Against Legionella

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, Section 225(5)(a)

Subpart 4-1 - Cooling Towers

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, Section 225(5)(a)

Section 4-1.1 - Scope

4-1.1 Scope.

All owners of cooling towers shall comply with this Subpart.
 

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-1.2 - Definitions

4-1.2 Definitions.

As used in this Subpart, the following terms shall have the following meanings:

(a) Bacteriologic culture sampling and analysis. The term bacteriologic culture sampling and analysis means the collection of a water sample for the measurement of live culture growth of the aerobic bacterial populations by heterotrophic plate count (HPC), dip slides, or similar method used by the industry and according to the manufacturer’s directions.

(b) Building. The term building means any structure used or intended for supporting or sheltering any use or occupancy. The term shall be construed as if followed by the phrase “structure, premises, lot or part thereof” unless otherwise indicated by the text.

(c) Cooling Tower. The term cooling tower means a cooling tower, evaporative condenser, fluid cooler or other wet cooling device that is capable of aerosolizing water, and that is part of, or contains, a recirculated water system and is incorporated into a building’s cooling process, an industrial process, a refrigeration system, or an energy production system.

(d) Legionella culture sampling and analysis. The term Legionella culture sampling and analysis means the collection of a water sample for the measurement of the live culture of Legionella involving the use of specialized media and laboratory methods for growth to determine the species and serogroup.

(e) Owner. The term owner means any person, agent, firm, partnership, corporation or other legal entity having a legal or equitable interest in, or control of, a cooling tower or the premises where the cooling tower is located. In all instances, the legal owner of the building shall be deemed an owner within the meaning of the Subpart. Further, where a tenant owns a cooling tower that services the tenant’s leased premises, the tenant is an “owner” within the meaning of this Subpart. Additionally, if a tenant does not own the cooling tower but has a lease or contractual arrangement to maintain the cooling tower, the tenant shall be deemed an agent having control of the cooling tower, and thus an “owner,” for purposes of this Subpart.
 

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-1.3 - Electronic registration and reporting

4-1.3 Electronic registration and reporting.

(a) Registration. All owners of cooling towers shall register such towers with the department, using a statewide electronic system designated by the department, prior to initial operation, and whenever any owner of the cooling tower changes. Such registration shall include, at a minimum, the following information:

(1) street address of the building at which the cooling tower is located, with building identification number, if any;

(2) name(s), addresses(es), telephone number(s), and email address(es) of the owner(s) of the cooling tower;

(3) name of the manufacturer of the cooling tower;

(4) model number of the cooling tower;

(5) specific unit serial number of the cooling tower, if available;

(6) cooling capacity of the cooling tower;

(7) cooling tower system volume, inclusive of all piping, basin(s), and sump;

(8) intended use of the cooling tower;

(9) whether the cooling tower operates year-round or seasonally and, if seasonally, start and end date of operation;

(10) whether systematic disinfection in accordance with section 4-1.7 of this Subpart is maintained manually, through timed injection, or through continuous delivery;

(11) whether maintenance is performed by in-house personnel, by a contractor, or by other parties; and

(12) year the cooling tower was placed into service.

(b) Reporting. Effective upon adoption of the regulation, at intervals of no more than 90 days while a cooling tower is in use, the owner of the cooling tower shall report to the department using the statewide electronic system:

(1) date of last bacteriological culture sample collection, the analysis result(s), and date of any required remedial action, pursuant to section 4-1.4(b)(1) of this Subpart;

(2) date of last Legionella culture sample collection, the analysis result(s), and date of any required remedial action, pursuant to section 4-1.4(b)(2) - (4) of this Subpart;

(3) date of last inspection, pursuant to section 4-1.8 of this Subpart;

(4) date of last certification, pursuant to section 4-1.8 of this Subpart;

(5) date of removal or permanent discontinued use of the cooling tower, if applicable; and

(6) such other information as shall be determined by the department.

(c) The department shall make data in the statewide electronic system publicly available, as appropriate. The statewide electronic system shall be made fully accessible and searchable to any local health department. Nothing in this Subpart shall preclude a local health department from requiring registration and reporting with a local system or collecting fees associated with the administration of such system.

(d) Where both a landlord and a tenant are considered “owners” of a cooling tower pursuant to Section 4-1.2 of this Subpart, either the owner or the tenant shall register the cooling tower. However, both parties are obligated to ensure that registration and reporting are completed as required by this Subpart.

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-1.4 - Maintenance program and plan

4-1.4 Maintenance program and plan.

(a) By September 1, 2016, and thereafter prior to initial start-up of a newly installed cooling tower, the owner shall obtain or update a maintenance program and plan for each cooling tower, developed in accordance with section 7.2 of Legionellosis: Risk Management for Building Water Systems (ANSI/ASHRAE 188-2015), 2015 edition with final approval date of June 26, 2015, at pages 7-8, incorporated herein by reference. The latest edition of ASHRAE 188-2015 may be purchased from the ASHRAE website (www.ashrae.org) or from ASHRAE Customer Service, 1791 Tullie Circle, NE, Atlanta, GA 30329-2305. E-mail: orders@ashrae.org. Fax: 678-539-2129. Telephone: 404-636-8400, or toll free 1-800-527-4723. Copies are available for inspection and copying at: Center for Environmental Health, Corning Tower Room 1619, Empire State Plaza, Albany, NY 12237.

(b) In addition, the maintenance program and plan shall include the following elements:

(1) a schedule for routine bacteriological culture sampling and analysis to assess microbiological activity at intervals not to exceed 30 days while the cooling tower is in use, and that requires additional bacteriological culture sampling and analysis, as needed, to validate process adjustments;

(2) a schedule for routine Legionella culture sampling and analysis within 14 days of seasonal start-up and, thereafter, at intervals not to exceed 90 days while the cooling tower is in use. Cooling towers in use year-round must sample at intervals not to exceed 90 days, and within two weeks after start-up following maintenance;

(3) in addition to the routine Legionella culture sampling and analysis required by paragraph (2) of this subdivision, conditions that require immediate Legionella culture sampling and analysis, which shall include, but are not limited to:

(i) power failure of sufficient duration to allow for the growth of bacteria;

(ii) loss of biocide treatment of sufficient duration to allow for the growth of bacteria;

(iii) failure of conductivity control, or any other control methods, to maintain proper cycles of concentration;

(iv) a determination by the department or local health department that one or more cases of legionellosis is or may be associated with the cooling tower, based upon epidemiologic data or laboratory testing; and

(v) any other conditions specified by the department or local health department.

(4) provisions requiring immediate and appropriate action, including remedial action, in response to bacteriological and Legionella culture analyses. For Legionella culture analyses, such provisions shall include, but not be limited to, taking all responsive actions required by Appendix 4-A, including contacting the local health department within 24 hours pursuant to the conditions specified in section 4-1.6 of this Subpart;

(5) provisions requiring that any and all Legionella culture analyses must be performed in accordance with section 4-1.5 of this Subpart;

(6) a shutdown and disinfection plan for removing or permanently discontinuing use of a cooling tower;

(7) provisions requiring treatment and manual or automated flushing of any piping, basin, sump, or wetted surface during idle conditions; and

(8) provisions requiring cleaning and disinfection prior to startup of a stagnant cooling tower that has been shut down without treatment and recirculation for more than five consecutive days.
 

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-1.5 - Legionella culture analysis

4-1.5 Legionella culture analysis.

All Legionella culture analyses must be performed by a laboratory that is approved to perform such analysis by the New York State Environmental Laboratory Approval Program (ELAP).

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-1.6 - Notification

4-1.6 Notification.

(a) The owner of a cooling tower shall notify the local health department within 24 hours of receipt of a Legionella culture sample result that exceeds 1,000 colony forming units per milliliter (CFU/mL). The local health department shall notify the state department of health with 24 hours of receipt of such a report.

(b) The owner shall notify the public of such test results in a manner determined by the local health department or, in the event that the department elects to determine the manner of public notification, by the department.
 

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-1.7 - Disinfection

4-1.7 Disinfection.

(a) Any person who disinfects a cooling tower shall be a commercial pesticide applicator or pesticide technician who is qualified to apply biocide in a cooling tower and certified in accordance with the requirements of Article 33 of the Environmental Conservation Law and 6 NYCRR Part 325, or a pesticide apprentice under the supervision of a certified applicator.

(b) The name and certification number of the applicator or the business name and registration number of the company providing the disinfection shall be maintained on-site in accordance with section 4-1.9 of this subpart.

(c) Only biocide products registered by the New York State Department of Environmental Conservation for use in cooling towers or pesticidal devices produced in a USEPA registered establishment may be used in disinfection.

(d) The terms “disinfect” and “disinfection” in this Part means the control of microorganisms or microbial growth. The term “disinfection” shall not include the cleaning of a cooling tower through application of detergents, penetrants, brushes or other tools, high-powered water, or any other method that does not involve the use of a pesticide, as defined in 6 NYCRR Part 325.
 

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-1.8 - Inspection and certification

4-1.8 Inspection and certification.

(a) Inspection.

(1) All owners of cooling towers shall ensure that such towers are inspected prior to seasonal start-up and at intervals not exceeding every 90 days while in use. Year-round towers shall be inspected at intervals not exceeding every 90 days and prior to start-up, following maintenance.

(2) All inspections shall be performed by a: New York State licensed professional engineer; certified industrial hygienist; certified water technologist; environmental consultant or water treatment professional with training and experience performing inspections in accordance with current standard industry protocols including, but not limited to ASHRAE 188-2015, as incorporated by section 4-1.4 of this Subpart.

(3) Each inspection shall include an evaluation of the:

(i) cooling tower and associated equipment for the presence of organic material, biofilm, algae, debris and other visible contaminants;

(ii) general condition of the cooling tower basin, remote sump, packing material, and drift eliminators;

(iii) water make-up connections and control, including backflow protection and/or airgaps as needed;

(iv) proper functioning of the conductivity control; and

(v) proper functioning of all water treatment equipment, including, but not limited to, pumps, timers, valves, and strain gauges.

(4) Any deficiencies found during inspection shall be reported to the owner for immediate corrective action. A person qualified to inspect pursuant to subdivision (a) of this section shall document all deficiencies, and all completed corrective actions.

(b) Certification. By November 1, 2016, and by November 1st of each year thereafter, the owner of a cooling tower shall obtain a certification from a person identified in subdivsion (a) of this section, that such cooling tower has a maintenance program and plan, and that all activities within that plan or required by this Subpart were implemented, including but not limited to:

(1) all bacteriological culture sampling and analysis;

(2) all Legionella culture sampling and analysis, including any immediate Legionella culture sampling and analysis performed pursuant to paragraphs (b)(3) and (b)(4) of section 4-1.4 of this Subpart;

(3) any disinfection performed pursuant to section 4-1.7 of this Subpart; and

(4) all inspections performed pursuant subdivision (a) of this section.

(c) Reporting. All inspection findings, deficiencies, and corrective actions, and all certifications, shall be reported to the owner, who shall retain such information, in accordance with section 4-1.9 of this Subpart.
 

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-1.9 - Recordkeeping

4-1.9 Recordkeeping.

The owner of a cooling tower shall maintain records for at least three years of all sampling and analyses; disinfection schedules and applications; inspection findings, deficiencies, and corrective actions; and certifications. An owner shall maintain a copy of the maintenance program and plan required by this Subpart on the premises where a cooling tower is located. Such records and plan shall be made available to the department or local health department immediately upon request.

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-1.10 - Enforcement

4-1.10 Enforcement.

(a) The department or local health department may require any owner to conduct Legionella culture sampling and analysis, following a determination, based upon epidemiologic data or laboratory testing, that one or more cases of legionellosis are or may be associated with a cooling tower.

(b) An officer or employee of the department or local health department may enter onto any property to inspect a cooling tower for compliance with the requirements of this Subpart, in accordance with applicable law, and may take water samples as part of such inspections.

(c) Where an owner does not register, have a maintenance program and plan, obtain certification, disinfect, perform or obtain culture sampling and analysis, or inspect a cooling tower within the time and manner set forth in this Subpart, the department or local health department may determine that such condition constitutes a nuisance and may take such action as authorized by law. The department or local health department may also take any other action authorized by law.

(d) A violation of any provision of this Subpart is subject to all civil and criminal penalties as provided for by law. Each day that an owner remains in violation of any provision of this Subpart shall constitute a separate and distinct violation of each such provision.
 

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-1.11 - Variances and waivers

4-1.11 Variances and waivers.

(a) Variances. In order to allow time for compliance with this Subpart, an owner may submit a written application to a local health department for a variance from any provision of this Subpart, for a period not exceeding 90 days, accompanied by an explanation of why such variance will not present a danger to public health. With the approval of the department, the local health department may approve such application for a variance in writing, subject to any conditions that the department or local health department may deem appropriate to protect public health. The local health department or department may revoke such variance upon a determination that the variance may present a danger to public health.

(b) Waivers. The department may issue a written general or specific waiver with respect to any provision of this Subpart, subject to any conditions the department may deem appropriate, where the department is satisfied that such waiver will not present a danger to public health. The department may revoke such waiver upon a determination that the waiver may present a danger to public health.
 

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-1.12 - Severability

4-1.12 Severability.

If any provisions of this Subpart or the application thereof to any person or entity or circumstance is adjudged invalid by a court of competent jurisdiction, such judgment shall not affect or impair the validity of the other provisions of this Subpart or the application thereof to other persons, entities, and circumstances.

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, section 225(5)(a)

Subpart 4-2 - Health Care Facilities

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-2.1 - Scope

4-2.1 Scope.

All general hospitals and residential health care facilities as defined in Article 28 of the Public Health Law (collectively, “covered facilities”) shall comply with this Subpart.
 

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-2.2 - Definitions

(a) Covered facilities. The term covered facilities means all general hospitals and residential health care facilities as defined in Article 28 of the Public Health Law.

(b) Legionella culture sampling and analysis. The term Legionella culture sampling and analysis means the collection of a water sample for the measurement of the live culture of Legionella involving the use of specialized media and laboratory methods for growth to determine the species and serogroup.

(c) Potable water system. The term potable water system means a building water distribution system that provides water intended for human contact or consumption.
 

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-2.3 - Environmental Assessment

4-2.3 Environmental Assessment.

(a) By September 1, 2016, all covered facilities must perform an environmental assessment of the facility using forms provided or approved by the department, unless an environmental assessment was performed on or after September 1, 2015.

(b) Environmental assessments shall be updated annually and under the following conditions:

(1) in the event that one or more cases of legionellosis are, or may be, associated with the facility;

(2) upon completion of any construction, modification, or repair activities that may affect the potable water system;

(3) expansion or relocation of a facility’s hematopoietic stem cell transplant and solid organ transplant units; or

(4) any other conditions specified by the department.

(c) The facility shall retain copies of the completed environmental assessment form in accordance with section 4-2.6 of this Subpart.

 

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-2.4 - Sampling and Management Plan

4-2.4 Sampling and Management Plan.

(a) By December 1, 2016, all covered facilities shall adopt and implement a Legionella culture sampling and management plan for their potable water systems. New covered facilities shall adopt such a plan prior to providing services. The sampling and management plan must include at a minimum:

(1) Legionella culture sampling sites as determined by the environmental assessment;

(2) provisions requiring Legionella culture sampling and analysis at intervals not to exceed 90 days for the first year following adoption of the sampling and management plan. Thereafter, the plan shall include provisions for annual Legionella culture sampling and analysis; provided that the plan shall further require that those portions of any potable water system that serve hematopoietic stem cell transplant or solid organ transplant patients shall continue to be sampled and analyzed at intervals not to exceed 90 days;

(3) provisions requiring actions in response to Legionella culture analysis results, including all responsive actions required by Appendix 4-B, and specific time frames for such actions.

(b) In addition to the sampling required by the facility’s sampling and management plan, a covered facility shall conduct Legionella culture sampling and analysis of the potable water system in a timeframe to be determined by the department upon:

(1) a determination by the department that one or more cases of legionellosis are, or may be, associated with the facility, or

(2) any other conditions specified by the department.

(c) A covered facility shall review its sampling and management plan annually and under the following conditions:

(1) in the event that one or more cases of legionellosis are, or may be, associated with the facility;

(2) upon completion of any construction, modification, or repair activities that may affect the potable water system;

(3) upon expansion or relocation of a facility’s hematopoietic stem cell transplant and solid organ transplant units; or

(4) any other conditions specified by the department.

(d) A copy of the sampling and management plan and sampling results shall be retained in accordance with section 4-2.6 of this Subpart.
 

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-2.5 - Legionella culture analysis

4-2.5 Legionella culture analysis.

All Legionella culture analyses must be performed by a laboratory that is approved to perform such analysis by the New York State Environmental Laboratory Approval Program (ELAP).

 

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-2.6 - Recordkeeping

4-2.6 Recordkeeping.

A covered facility shall maintain the environmental assessment required by section 4-2.3 and the sampling and management plan required by section 4-2.4 of this Subpart, and any associated sampling results, on the facility premises for at least three years. Such records shall be made available to the department immediately upon request.
 

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-2.7 - Enforcement

4-2.7 Enforcement.

(a) The department may conduct an assessment and/or Legionella culture sampling and analysis of the potable water system at any time.

(b) A violation of any provision of this Subpart is subject to all civil and criminal penalties as provided for by law. Each day that an owner remains in violation of any provision of this Subpart shall constitute a separate and distinct violation of each such provision.

 

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-2.8 - Variances and waivers

4-2.8 Variances and waivers.

(a) Variances. In order to allow time for compliance with this Subpart, a facility may submit a written application to the department for a variance from any provision of this Subpart, for a period not exceeding 90 days, accompanied by an explanation of why such variance will not present a danger to public health. The department may approve such application for a variance in writing, subject to any conditions that it may deem appropriate to protect public health. The department may revoke such variance upon a determination that the variance may present a danger to public health.

(b) Waivers. The department may issue a written general or specific waiver with respect to any provision of this Subpart, subject to any conditions the department may deem appropriate, where the department is satisfied that such waiver will not present a danger to public health. The department may revoke such waiver upon a determination that the waiver may present a danger to public health.
 

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Section 4-2.9 - Severability

4-2.9 Severability.

If any provisions of this Subpart or the application thereof to any person or entity or circumstance is adjudged invalid by a court of competent jurisdiction, such judgment shall not affect or impair the validity of the other provisions of this Subpart or the application thereof to other persons, entities, and circumstances.
 

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Appendix 4-A - Interpretation of Legionella Culture Results from Cooling Towers

Appendix 4-A
 

Interpretation of Legionella Culture Results from Cooling Towers
Legionella Test Results in CFU/mL1
Response
No detection (< 20 CFU/mL) Maintain treatment program and Legionella monitoring in accordance with the maintenance program and plan.
For levels at ≥ 20 CFU/mL but < 1000 CFU/mL perform the following:

o Review treatment program.
o Institute immediate online disinfection2 to help with control
o Retest the water in 3 – 7 days.

  • Continue to retest at the same time interval until one sample retest result is < 20 CFU/mL. With receipt of result < 20 CFU/mL, resume routine maintenance program and plan.
  • If retest is ≥ 20 CFU/mL but < 100 CFU/mL, repeat online disinfection2 and retest until < 20 CFU/mL attained.
  • If retest is ≥100 CFU/mL but < 1000 CFU/mL, further investigate the water treatment program and immediately perform online disinfection 2. Retest and repeat attempts at control strategy until < 20 CFU/mL attained.

o If retest is ≥ 1000 CFU/mL, undertake control strategy as noted below.

 

For levels ≥ 1000 CFU/mL perform the following:

o Review the treatment program and provide appropriate notifications per section 4-1.6 of this Subpart.
o Institute immediate online decontamination3 to help with control
o Retest the water in 3 – 7 days.

  • Continue to retest at the same time interval until one sample retest result is < 20 CFU/mL. With receipt of result < 20 CFU/mL, resume routine maintenance program and plan.
  • If any retest is ≥ 20 CFU/mL but < 100 CFU/mL, repeat online disinfection2 and retest until < 20 CFU/mL attained.
  • If any retest is ≥ 100 CFU/mL but < 1000 CFU/mL, further investigate the water treatment program and immediately perform online disinfection.2 Re-test and repeat attempts at control strategy until < 20 CFU/mL attained.
  • If any retest is ≥ 1000 CFU/mL:
    •  carry out system decontamination4.
1 Colony forming units per milliliter.

2Online disinfection means – Dose the cooling tower water system with either a different biocide or a similar biocide at an increased concentration than currently used.

3 Online decontamination means – Dose the recirculation water with a halogen-based compound (chlorine or bromine) equivalent to at least 5 milligrams per liter (mg/L) or parts per million (ppm) free residual halogen for at least one hour.

4 System decontamination means – Maintain between 5 to 10 mg/L (ppm) free residual halogen for a minimum of one hour; drain and flush with disinfected water; clean wetted surface; refill and dose to 1 – 5 mg/L (ppm) of free residual halogen and circulate for 30 minutes. Refill, re-establish treatment and retest for verification of treatment.
For chlorine treatment the pH range should be 7.0 to 7.6; for bromine treatment the pH range should be 7.0 to 8.7. At higher pH values the treatment times may need to be extended.

NOTE: Stabilized halogen products should not be used for online decontamination or system decontamination as defined in this Appendix per footnotes 3 and 4.

 

Effective Date: 
Wednesday, July 6, 2016
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, section 225(5)(a)

Appendix 4-B - Interpretation of Routine Legionella Culture Results from Covered Facilities

Appendix 4-B

Interpretation of Routine1 Legionella Culture Results from Covered Facilities
Percentage of Positive Legionella Test Sites
Response
< 30% Maintain environmental assessment and Legionella monitoring in accordance with the sampling and management plan.
≥ 30%

o  Immediately institute short-term control measures2 in accordance with the direction of a qualified professional,3 and notify the department.

o The water system shall be re-sampled no sooner than 7 days and no later than 4 weeks after disinfection to determine the efficacy of the treatment. o For persistent results, as determined by the department, showing ≥ 30% positive sites, long-term control measures5 shall be implemented in accordance with the direction of a qualified professional3 and the department.

  • Retreat and retest. If retest is ≥ 30% positive, repeat short-term control measures.2
  • With receipt of results < 30% positive4, resume monitoring in accordance with the sampling and management plan.

o  For persistent results, as determined by the department, showing ≥ 30% positive sites, long-term control measures5 shall be implemented in accordance with the direction of a qualified professional3 and the department.

1 In the event that one or more cases of legionellosis are, or may be, associated with the facility, the sampling interpretation shall be in accordance with the direction of a qualified professional and the department.

2 Short-term control measures are temporary interventions that may include, but are not limited to, heating and flushing the water system, hyperchlorination, or the temporary installation of treatment such as copper silver ionization (CSI).

3 Control measures shall be conducted in accordance with the direction of a qualified professional. A qualified professional is a New York State licensed professional engineer; certified industrial hygienist; certified water technologist; environmental consultant or water treatment professional with training and experience performing assessments and sampling in accordance with current standard industry protocols.

4 Positive samples should be minimized.

5 Long-term control measures may include supplemental disinfection treatments.
 

 

Effective Date: 
Wednesday, July 6, 2016
Statutory Authority: 
Public Health Law, Section 225(5)(a)

Part 5 - Drinking Water Supplies

Effective Date: 
Wednesday, May 16, 2018
Doc Status: 
Complete

SubPart 5-1 - Public Water Supplies

Effective Date: 
Wednesday, May 16, 2018
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, Section 225

GENERAL PROVISIONS

Section 5-1.1 - Definitions

GENERAL PROVISIONS
Section 5-1.1 Definitions. As used in this Subpart the following words and terms shall have the stated meaning, except as otherwise specifically provided:

(a) -log treatment means the reduction of a specified proportion of viruses, bacteria, protozoa or other organisms present in drinking water expressed as factors of ten, through disinfection (inactivation) and/or removal. For example, 3-log treatment removes or inactivates 999 out of 1000 organisms or 99.9 percent.

(b) Action level means the concentration of copper or lead that when exceeded triggers actions to be taken by a water system.

Copper action level = 1.3 milligrams per liter

Lead action level = 0.015 milligrams per liter

 

(c) Approved method means an analytical method, including sample preparation, of proven reliability which has been approved, or given similar recognition by the United States Environmental Protection Agency (EPA) or a New York State regulatory program in environmental or public health protection, for the specific purpose for which the method is to be used. Methods approved by the department pursuant to section 10 NYCRR 55-2.5 shall be deemed approved methods.

(d) Auxiliary source means a source of water supply which is not normally used but which has been approved for use by the department or other State agencies having jurisdiction, and has been developed for use when the normal source or sources fail to meet the water supply requirements.

(e) Backflow means a flow condition, induced by a pressure differential, which causes the reversal of flow of water or other liquids, solids, and/or gases into the distribution pipes of a potable water supply from any source other than the intended potable water source.

(f) Backflow prevention device tester (or “tester”) means a person who has met the certification requirements and been issued a certification as specified in section 5-1.31.

(g) Bag filter means a pressure-driven separation device that removes particulate matter larger than 1 micrometer using an engineered porous filtration media. 

(h) Bank filtration means a water treatment process that uses a well to recover surface water that has naturally infiltrated into ground water through a river bed or bank(s). Infiltration is typically enhanced by the hydraulic gradient imposed by a nearby pumping water supply or other well(s).

(i) Cartridge filter means a pressure-driven separation device that removes particulate matter larger than one micrometer using an engineered porous filtration media.

(j) Clean compliance history means a record of no MCL violations for E. coli, no total coliform or E. coli monitoring violations, no treatment technique trigger exceedances, and no treatment technique violations under section 5-1.52 Table 6 of this Subpart.

(k) Coagulation means a process using coagulants and mixing by which colloidal and suspended material are destabilized and agglomerated into flocs.

(l) Combined distribution system means the interconnected distribution system consisting of the distribution systems of wholesale systems and of the consecutive systems that receive finished water.

(m) Commissioner means the Commissioner of Health of the State of New York.

(n) Community water system (CWS) means a public water system which serves at least five service connections used by year-round residents or regularly serves at least 25 year-round residents.

(o) Comprehensive Performance Evaluation (CPE) is a thorough review and analysis of a treatment plant's performance-based capabilities and associated administrative, operation and maintenance practices. For purposes of compliance with section 5-1.72(c)(2)(iv) of this Subpart, the CPE must consist of at least the following components: assessment of plant performance; evaluation of major unit processes; identification and prioritization of performance limiting factors; assessment of the applicability of comprehensive technical assistance; and preparation of a CPE report.

(p) Consecutive system means a public water system that receives some or all of its finished water from one or more wholesale systems. Delivery may be through a direct connection or through the distribution system of one or more consecutive systems.

(q) Contaminant means any physical, chemical, microbiological or radiological substance or matter in water.

(r) Conventional filtration means a series of processes including coagulation, flocculation, sedimentation and filtration.

(s) Corrective action means the action(s) taken by a water system consistent with the requirements of this code including one or more of the following: correcting significant deficiencies; providing an alternate source of water; removing source(s) of contamination; providing treatment; or other action acceptable to the State.

(t) Corrosion inhibitor means a substance capable of reducing the corrosivity of water toward metal plumbing materials, especially lead and copper, by forming a protective coating on the interior surface of these materials.

(u) Cross-connection means an actual or potential connection between a potable water system and any other source or system through which a water supply could be contaminated.

(v) CT means the product of the free residual disinfectant concentration (C) in milligrams per liter determined before or at the first customer, and the corresponding disinfectant contact time (T) in minutes, expressed by the formula (C) x (T) = CT. Disinfectant contact time (T), is the time that it takes for water to move from the point of disinfectant application or the previous point of residual disinfectant measurement to a point before or at the point where residual disinfectant concentration (C) is measured.

(w) Cyber attack means deliberate actions to target computer information systems, infrastructures, computer networks, computer controlled mechanical devices and/or personal computers by various means of malicious acts that either steal, alter, disrupt or damage a target by gaining access into a susceptible electronic or electromechanical device.

(x) Department means the New York State Department of Health.

(y) Designated representative means the health commissioner or health officer of a city of 50,000 population or over, or the health commissioner or health officer of a county or part-county health district, the state regional health director, or district director having jurisdiction; a public health director or public health engineer qualified as duly appointed pursuant to Part 11 of this Title; or a county health commissioner, or county health director having the powers and duties prescribed in section 352 of the Public Health Law, or any other individual so designated by the commissioner.

(z) Disinfection station means a facility consisting of one or more points where water is routinely treated with an oxidant for disinfection, odor control or other purposes including the inactivation of pathogenic organisms and excluding treatment on a raw water transmission main.

(aa) Distribution point means a sampling point representative of drinking water within the distribution system.

(ab) Diatomaceous earth filtration means a process resulting in substantial particulate removal which a precoat cake of diatomaceous earth filter media is deposited on a support membrane (septum), and while the water is filtered by passing through the cake on the septum, additional filter media known as body feed is continuously added to the feed water to maintain the permeability of the filter cake.

(ac) Direct filtration means a series of processes including coagulation and filtration but excluding sedimentation resulting in substantial particulate removal.

(ad) Dose equivalent means the product of the absorbed dose from ionizing radiation and such factors as account for differences in biological effectiveness because of the type of radiation and its distribution in the body as specified by the International Commission on Radiological Units and Measurements (ICRU).

(ae) Dual sample set means a set of two samples collected at the same time and same location, with one sample analyzed for total trihalomethanes (TTHM) and the other sample analyzed for haloacetic acids (five) (HAA5).

(af) Dwelling unit means one or more rooms with provisions for living, sanitary and sleeping facilities arranged for the use of one family.

(ag) Effective corrosion inhibitor residual means a concentration sufficient to form a protective coating on the interior walls of a pipe.

(ah) Emergency source means a source of water supply which is not the regular source or auxiliary source and which is developed during an emergency for temporary use.

(ai) Enhanced coagulation means the addition of sufficient coagulant for improved removal of disinfection byproduct precursors by conventional filtration treatment.

(aj) Entry point means a representative sampling location after the last point of treatment but before the first consumer connection.

(ak) Fecal indicator means a microorganism (for example a bacteriophage, coliphage, or bacterium) that is used to determine the sanitary quality of drinking water and the likelihood of the presence of pathogen contamination from the waste of warm-blooded animals. The most commonly used fecal indicator is Escherichia coli (E. coli).

(al) Filter profileis a graphical representation of individual filter performance, based on continuous turbidity measurements or total particle counts versus time for an entire filter run, from startup to backwash, that includes an assessment of filter performance while another filter is being backwashed.

(am) Filtration means a process for removing particulate matter from water by passage through porous material.

(an) Finished water means water that is introduced into the distribution system of a public water system and is intended for distribution and consumption without further treatment, except as necessary to maintain water quality in the distribution system (e.g., booster disinfection, addition of corrosion control chemicals).

(ao) First draw tap sample for lead and copper means a one liter sample of water collected from a cold water tap after the water has stood in the plumbing system for at least six hours and is collected without flushing the tap.

(ap) Flocculation means a process to enhance agglomeration or collection of smaller floc particles into larger, more easily settleable particles through gentle stirring by hydraulic or mechanical mechanisms.

(aq) GAC10 means granular activated carbon filter beds with an empty-bed contact time of 10 minutes based on average daily flow and a carbon reactivation or replacement frequency of every 180 days, except that the reactivation frequency for GAC10 used as a best available technology for compliance with total trihalomethanes (TTHM) and haloacetic acids (five) (HAA5) maximum contaminant levels (MCLs) shall be 120 days.

(ar) GAC20 means granular activated carbon filter beds with an empty-bed contact time of 20 minutes based on average daily flow and a carbon reactivation frequency of every 240 days.

(as) Gross alpha particle activity means the total radioactivity because of alpha particle emission as inferred from measurements on a dry sample.

(at) Gross beta particle activity means the total radioactivity because of beta particle emission as inferred from measurements on a dry sample.

(au) Ground water directly influenced by surface water, also known as Ground Water Under the Direct Influence of surface water, or GWUDI, means any water beneath the surface of the ground which exhibits significant and rapid shifts in water characteristics such as turbidity, temperature, conductivity or pH which closely correlates to climatological or surface water conditions and/or which contains macroorganisms, algae, large diameter (three microns or greater) pathogens or insect parts of a surface water origin.

(av) Ground water source means a source of water supply taken from a ground water aquifer and developed in accordance with section 5-1.22 of this Subpart, but shall not include an admixture of surface water or water exposed to the ground surface. Any ground water source at a system that uses surface water or ground water under the direct influence of surface water that does not receive treatment as described in subdivision 5-1.30(b) of this Subpart, prior to the first customer, is subject to all requirements applicable to ground water systems and ground water sources.

(aw) Ground water system means a public water system that uses only ground water, excluding any surface water or ground water under the direct influence of surface water.

(ax) Haloacetic acids (five) (HAA5) mean the sum of the concentrations in milligrams per liter of five specific haloacetic acid compounds, rounded to two significant figures after addition. The five haloacetic acids that comprise the HAA5 are monochloroacetic acid, dichloroacetic acid, trichloroacetic acid, monobromoacetic acid, and dibromoacetic acid.

(ay) Internal protection means isolation of a fixture, area or zone which requires backflow prevention at the source of the cross-connection or potential hazard, in accordance with the New York State Uniform Fire Prevention and Building Code and/or the local plumbing and building codes.

(az) Large water system means a water system that serves more than 50,000 persons.

(ba) Lead service line means a service line made of lead which connects the water main to the building inlet and any lead appurtenances connected to the lead service line.

(bb) Lead service line sample means a one liter sample for lead, collected after the water has stood in the service line for at least six hours. The sample must be collected directly from a tap on the service line or by calculating and wasting the amount of water in the plumbing system from the sampling point to the service line. At a single family structure, the sample may be collected by running the water until there is a significant change in water temperature.

(bc) Level 1 assessment means an evaluation to identify the possible presence of sanitary defects, defects in distribution system coliform monitoring practices, and, when possible, the likely reason that the system triggered the assessment.

(bd) Level 2 assessment means an evaluation conducted by an individual approved by the State, to identify the possible presence of sanitary defects, defects in distribution system coliform monitoring practices, and, when possible, the likely reason that the system triggered the assessment. A Level 2 assessment provides a more detailed examination of the system (including the system’s monitoring and operational practices) than a Level 1 assessment, through the use of more comprehensive investigation and review of available information, additional internal and external resources, and other relevant practices.

(be) Locational running annual average or LRAA means the average of sample analytical results during the previous four calendar quarters for samples taken at a particular monitoring location.

(bf) Man-made beta particle and photon emitters means all radionuclides emitting beta particles and/or photons, except the daughter products of thorium-232, uranium-235 and uranium-238, listed in Maximum Permissible Body Burdens and Maximum Permissible Concentration of Radionuclides in Air or Water for Occupational Exposure, National Bureau of Standards, Handbook 69, as amended August 1963, U.S. Department of Commerce. Copies of this publication are available from N.C.R.P. Publications, 7910 Woodmont Avenue, Bethesda, MD, and a copy is available for inspection and copying at the offices of the records access officer of the Department of Health, Corning Tower, Empire State Plaza, Albany, NY 12237.

(bg) Maximum contaminant level (MCL) means the maximum permissible level of a contaminant in water which is delivered to any user of a public water system. For entry point turbidity and inorganic chemicals listed in section 5-1.52 tables 1 and 2 of this Subpart, the maximum permissible level is measured at the point of entry to the distribution system. For organic chemicals with MCLs listed in section 5-1.52 table 3 of this Subpart, the MCL is measured at the individual sources, unless otherwise specified by the State. Substances added to the water by the user, and limited to the premises of the user, are excluded from this definition.

(bh) Maximum residual disinfectant level (MRDL) means a level of disinfectant measured at a consumer's tap, above which the possibility of unacceptable health effects exists.

(bi) Maximum total trihalomethane potential (MTP) means the maximum concentration of total trihalomethane produced in a given water containing a free chlorine residual after seven days at a temperature of 25 degrees Celsius or above.

(bj) Medium water system means a water system that serves greater than 3,300 and less than or equal to 50,000 persons.

(bk) Membrane filtration means a pressure- or vacuum-driven separation process in which particulate matter larger than 1 micrometer is rejected by an engineered barrier, primarily through a size-exclusion mechanism, and which has a measurable removal efficiency of a target organism that can be verified through the application of a direct integrity test. This definition includes the common membrane technologies of microfiltration, ultrafiltration, nanofiltration, and reverse osmosis.

(bl) Method Detection Limit (MDL) means the minimum concentration of a substance that can be measured and reported with 99 percent confidence that the analyte concentration is greater than zero and is determined from analysis of a sample in a given matrix containing the analyte.

(bm) Noncommunity water system (NCWS) means a public water system that is not a community water system.

(bn) Nontransient noncommunity water system (NTNC) means a public water system that is not a community water system but is a subset of a noncommunity water system that regularly serves at least 25 of the same people, four hours or more per day, for four or more days per week, for 26 or more weeks per year.

(bo) Optimal corrosion control treatment means the corrosion control treatment that reduces the lead and copper concentrations at users' taps to the lowest reasonably achievable level while insuring that the treatment does not cause the water system to violate Part 5 of the State Sanitary Code or cause adverse health or operational effects.

(bp) Person means an individual, corporation, company, association, partnership, State agency, municipality, including a county, or Federal agency.

(bq) Picocurie means that quantity of radioactive material producing 2.22 nuclear transformations per minute.

(br) Plant intake means the works or structures at the head of a conduit through which water is diverted from a source, such as a river or lake, into the treatment plant.

(bs) Potable water means a water which meets the requirements established by this Subpart.

(bt) Point of use means the free-flowing outlet of the ultimate user of a public water system.

(bu) Practical Quantitation Limit (PQL) means the practical and routinely achievable method-specific measurable concentration limit achieved by a laboratory with a high degree of certainty (>99.9 per cent confidence) in the results.

(bv) Presedimentation means a preliminary treatment process used to remove gravel, sand, and other particulate material from the source water through settling before the water enters the primary clarification and filtration processes in a treatment plant.

(bw) Principal organic contaminant (POC) means any organic chemical compound belonging to the following classes, except for trichloromethane (chloroform), dibromochloromethane, bromodichloromethane, tribromomethane (bromoform) and any other organic contaminant with a specific MCL listed in section 5-1.52 table 3 of this Subpart;

(1) Halogenated alkane: Compound containing carbon (C), hydrogen (H) and halogen (X) where X = fluorine (F), chlorine (Cl), bromine (Br) and/or iodine (I), having the general formula CnHyXz, where y + z = 2n + 2; n, y and z are integer variables; n and z are equal to or greater than one and y is equal to or greater than zero;

(2) Halogenated ether: Compound containing carbon (C), hydrogen (H), oxygen (O) and halogen X (where X = F, Cl, Br and/or I) having the general formula CnHyXzO, where y + z = 2n + 2; the oxygen is bonded to two carbons; n, y and z are integer variables; n is equal to or greater than two, y is equal to or greater than zero and z is equal to or greater than one;

(3) Halobenzenes and substituted halobenzenes: Derivatives of benzene which have at least one halogen atom attached to the ring and which may or may not have straight or branched chain hydrocarbon, nitrogen or oxygen substituents;

(4) Benzene and alkyl- or nitrogen-substituted benzenes: Benzene or a derivative of benzene which has either an alkyl- and/or a nitrogen-substituent;

(5) Substituted, unsaturated hydrocarbons: A straight or branched chain unsaturated hydrocarbon compound containing one of the following: halogen, aldehyde, nitrile, amide; and

(6) Halogenated non-aromatic cyclic hydrocarbons: A non-aromatic cyclic compound containing a halogen.

(bx) Process compliance monitoring means the State-approved measurements and records of water system operation and/or water quality parameters that demonstrate the effectiveness of the treatment process(es) employed by the public water system to achieve a treatment technique requirement.

(by) Protective device means an approved double check valve assembly, reduced pressure zone assembly, air gap or other type or method of backflow protection accepted by the department.

(bz) Public health hazard means an existing or imminent condition which can be responsible for or cause illness, injury or death and for which immediate corrective or remedial action is required. Public health hazards include, but are not limited to, the following:

(1) an Escherichia coli (E. coli) MCL violation, or failure to test for E. coliafter any repeat sample tests positive for coliform;

(2) a nitrate/nitrite MCL violation, or failure to take a confirmation sample within 24 hours for nitrate or nitrite after an initial sample exceeds the MCL;

(3) an acute MRDL violation for chlorine dioxide as specified in section 5-1.52 table 3A of this Subpart, or failure to take the required samples in the distribution system the day after the MRDL is exceeded at the entry point as specified in section 5-1.52 table 15A of this Subpart;

(4) turbidity violations or exceedances specified in paragraph 5-1.78(d)(3) of this Subpart and determined by the State to present an existing or imminent condition which can be responsible for or cause illness, injury or death and for which immediate corrective or remedial action is required;

(5) use of an unapproved or contaminated water supply source;

(6) insufficient quantity of water to meet drinking or sanitary demands;

(7) hazardous or toxic chemical contamination;

(8) disinfection which is inadequate to destroy harmful microorganisms or to maintain a specified chlorine residual;

(9) disruption of water service of four hours or more, determined by the State to present an existing or imminent condition which can be responsible for or cause illness, injury or death and for which immediate corrective or remedial action is required;

(10) cross-connections of sufficient hazard to adversely affect the health of a water consumer; and

(11) any other conditions, including a waterborne disease outbreak, determined to be a public health hazard by the commissioner.

(ca) Public notification means disseminating information about a problem with a public water system in a form and manner consistent with section 5-1.78 of this Subpart.

(cb) Public water system means a community, noncommunity or nontransient noncommunity water system which provides water to the public for human consumption through pipes or other constructed conveyances, if such system has at least five service connections or regularly serves an average of at least 25 individuals daily at least 60 days out of the year. Such term includes:

(1) collection, treatment, storage and distribution facilities under control of the supplier of water of such system and used with such system; and

(2) collection or pretreatment storage facilities not under such control which are used with such system.

(cc) Raw water means water immediately before the first or only point of disinfection or other treatment.

(cd) Regular source means a source of water supply which is normally used and is approved by the department and other State agencies having jurisdiction.

(ce) Rem means the unit dose equivalent from ionizing radiation to the total body or any internal organ or organ system.

(cf) Millirem (MREM) means 0.001 of a rem.

(cg) Reporting period means a time period designated by the State for determining maximum contaminant level compliance.

(ch) Sanitary defect means a defect that could provide a pathway of entry for microbial contamination into the distribution system or that is indicative of a failure or imminent failure in a barrier that is already in place.

(ci) Sanitary survey means an onsite review of a water system including the water source, facilities, equipment, operations maintenance, and monitoring compliance of a public water system to evaluate the adequacy of the system, its sources and operations and the distribution of safe drinking water. The survey must include evaluation of the following components: source; treatment; distribution system; finished water storage; pumps, pump facilities, and controls; monitoring, reporting, and data verification; system management and operation; and operator compliance with State requirements. Review of each of these categories of system operation need not be completed in a single visit.

(cj) Seasonal system means a non-community water system that is not operated as a public water system on a year-round basis and starts up and shuts down at the beginning and end of each operating season.

(ck) Sedimentation means a process for removal of solids before filtration by gravity or separation.

(cl) Service connection means the pertinent pipes, valves and fittings that connect a distribution system to a consumer's facility.

(cm) Service protection means the installation of a protective device or method of backflow protection at the service connection, commensurate with the degree of hazard of the consumer’s potable water system. Service protection is also known as containment.

(cn) Significant deficiency means a defect in a system's design, operation or maintenance, or a failure or malfunction of its source, treatment, storage, or distribution, that causes or is reasonably expected to cause the introduction of contamination into water delivered to consumers. Significant deficiencies also include: loss of ability to deliver an adequate quantity of water; inadequate barriers of protection including failure of monitoring; conditions that pose an obvious security risk to the water system; or any other condition with the potential to cause a future public health hazard (i.e. before the next scheduled sanitary survey).

(co) Single family structure means a building constructed as a single-family residence that is currently used as either a residence or a place of business.

(cp) Slow sand filtration means a process involving passage of raw water through a bed of sand at low velocity resulting in particulate removal by physical or biological mechanisms.

(cq) Small water system means a water system that serves 3,300 or fewer persons.

(cr) Source of water supply means any ground water aquifer, surface water body or watercourse from which water is taken either periodically or continuously for drinking, culinary or food-processing purposes, or which has been designated for present or future use as a source of water supply for domestic or municipal purposes.

(cs) State means the State Commissioner of Health, or his designated representative.

(ct) State notification means notifying the State by telephone, facsimile (FAX) copy, email or other means about the existence or potential existence of a public health hazard, or the existence of any other violation or situation that may pose a risk to public health.

(cu) Supplier of water means any person who owns or operates a public water system.

(cv) Surface water means all water open to the atmosphere and subject to surface runoff.

(cw) SUVA means the UV absorption at 254 nanometers (measured in 1/meters) divided by the dissolved organic carbon concentration (measured in mg/L). SUVA is an indicator of the humic content of water and the ability of the water to be treated for the removal of disinfection byproduct precursors.

(cx) Tier 1 notification means the category for public notifications that are required within 24 hours of learning of a public health hazard. Section 5-1.78(c) of this Subpart lists the specific requirements for Tier 1 notifications.

(cy) Tier 2 notification means the category for public notifications that are required within 30 days of learning of a violation or situation with the potential to have serious adverse effects on human health after long term exposure, such as most MCL, MRDL and treatment technique violations that are not public health hazards. Section 5-1.52 table 13 of this Subpart lists violations and situations that require Tier 2 notification; section 5-1.78(d) of this Subpart lists the specific requirements for Tier 2 notifications.

(cz) Tier 3 notification means the category for public notifications that are required within one year (30 days for transient noncommunity water systems) of learning of a less serious violation or situation that does not require a Tier 1 or Tier 2 notification, such as most monitoring violations. Section 5-1.52 table 13 of this Subpart lists violations and situations that require Tier 3 notification; section 5-1.78(e) of this Subpart lists the specific requirements for Tier 3 notifications.

(da) Total Organic Carbon (TOC) means total organic carbon in mg/L, measured by converting organic carbon to carbon dioxide, rounded to two significant figures.

(db) Total trihalomethane (TTHM) means the sum of the concentration of trichloromethane (chloroform), dibromochloromethane, bromodichloromethane and tribromomethane (bromoform).

(dc) Transient noncommunity water system (TNC) means a noncommunity water system that does not regularly serve at least 25 of the same people over six months per year.

(dd) Treatment technique means any minimum treatment or action specified by this Part or designated by the State as necessary to prevent the entry of contamination into or to reduce the level of a contaminant in drinking water delivered by a public water system.

(de) Two-stage lime softening means a process in which chemical addition and hardness precipitation occur in each of two distinct unit clarification processes in series prior to filtration.

(df) Uncovered finished water storage facility means a tank, reservoir, or other facility used to store water that will undergo no further treatment to reduce microbial pathogens except residual disinfection and is directly open to the atmosphere.

(dg) Unspecified organic contaminant (UOC) means any organic chemical compound not otherwise specified in this Subpart.

(dh) Virus means a virus of fecal origin which is infectious to humans by waterborne transmission.

(di) Violation means failure to comply with or conform to the provisions of this Subpart.

(dj) Waterborne disease outbreak means the occurrence of acute infectious illness epidemiologically associated with the ingestion of water from a public water system.

(dk) Watercourse means any surface water listed in 6 NYCRR, Chapter 10.

(dl) Water supply emergency plan means a plan approved by the State and filed with the State at such location as specified by the commissioner. The plan shall address the actions to be taken by a water supplier to anticipate water supply emergencies and the steps to be taken to ensure the delivery of potable water during a water supply emergency.

(dm) Water treatment plant means any plant or equipment which, through the addition of chemicals or through aeration, ion exchange, demineralization, coagulation, sedimentation or filtration, or through any other means or combinations of treatment, shall change the physical, chemical, radiological or microbiological quality of water.

(dn) Wholesale system means a public water system that treats source water as necessary to produce finished water and then delivers some or all of that finished water to another public water system. Delivery may be through a direct connection or through the distribution system of one or more consecutive systems.

Effective Date: 
Wednesday, May 16, 2018
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SOURCES OF WATER SUPPLY

Section 5-1.10 - Statement

SOURCES OF WATER SUPPLY

5-1.10 Statement. The rules contained in this Subpart, together with the watershed rules and regulations set forth in Parts 100 through 158 of this Title, have been promulgated to protect present or future sources of water supply.
 

Effective Date: 
Friday, June 24, 1977
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Section 5-1.11 - Applicability

5-1.11 Applicability. The provisions of sections 5-1.10 through 5-1.15 of this Subpart shall apply, throughout the State of New York, to all existing and proposed sources of water supply.

Effective Date: 
Friday, January 19, 1990
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Section 5-1.12 - Water quality for existing sources of water supply

5-1.12 Water quality for existing sources of water supply.

(a) Whenever the supplier of water determines or is advised by the State that one or more of the MCLs set forth in this Subpart are or may be exceeded; or that effectiveness of treatment processes diminishes to the extent that a violation of the treatment techniques or MCLs set forth in this Subpart may occur; or that any deleterious changes in raw water quality have occurred; or that a change in the character of the watershed or aquifer has been observed which may affect water quality; or that any combination of the preceding exists, the supplier of water shall notify the State and do the following:
(1) undertake a study to determine the cause or causes of such conditions, independent of known or anticipated treatment technology;
(2) modify existing or install treatment to comply, to the extent practicable, with sections 5-1.30, 5-1.50, 5-1.51 and 5-1.60 of this Subpart;
(3) initiate water sampling as needed to delineate the extent and nature of the cause of concern;
(4) investigate all or part of the watershed or aquifer to verify any existing or potential changes in the character of the sources of water supply; and
(5) submit a written report to the State within 30 days of the onset of the foregoing conditions summarizing the findings outlined in paragraphs (1) through (4) of this subdivision.
(b) The State may require the supplier of water to conduct sanitary surveys and to conduct water sampling related to watersheds and ground water aquifers which are sources of water supply to identify and evaluate the significance of existing and potential sources of pollution and to report the results to the State. Also, sanitary surveys shall be used to evaluate the adequacy of the public water system, the source or sources of water supply and the water treatment plant to produce a potable water.

Effective Date: 
Wednesday, May 26, 2004
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Section 5-1.13 - Sampling and analytical requirements

5-1.13 Sampling and analytical requirements. The supplier of water shall collect raw water samples at a frequency prescribed by the State and analyze such samples for contaminants using an approved method, with method exceptions as listed in the Tables in section 5-1.52 of this Subpart, and by an approved laboratory as described in section 5-1.74 of this Subpart.

Effective Date: 
Wednesday, January 17, 2018
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Section 5-1.14 - Water quality for proposed sources of water supply

5-1.14 Water quality for proposed sources of water supply. Before the approval of a source of water supply for public water system purposes, a report shall be submitted to the State. Such report shall include, but may not be limited to, all of the following:

(a) a summary of available raw water quality data for at least 10 years before the date of the report or as otherwise required by the State;

(b) a sanitary survey of the watershed or aquifer, with particular emphasis on water quality as affected by existing or potential spills, point and non-point discharges, and natural seasonal occurrences; and

(c) a description of the proposed water treatment processes.
 

Effective Date: 
Friday, January 19, 1990
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Section 5-1.15 - Limitation

5-1.15 Limitation. If the information required is already available for the same source of water supply or if an emergency exists which requires the development of an emergency source, the requirements of section 5-1.14 of this Subpart shall not apply.

Effective Date: 
Friday, June 24, 1977
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PLANNING, SITING, TREATMENT AND APPROVAL

Section 5-1.20 - Applicability

PLANNING, SITING, TREATMENT AND APPROVAL

5-1.20 Applicability. The provisions of sections 5-1.20 through 5-1.33 of this Subpart shall apply to all public water systems, provided the systems serve 15 or more service connections or serve 25 or more persons.
 

Effective Date: 
Wednesday, December 30, 1992
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Section 5-1.21 - Siting requirements

5-1.21 Siting requirements. Before a person shall enter a financial commitment for or initiate construction of a public water system, such person shall notify the State and to the extent practicable, avoid locating part or all of the public water system at a site which:

(a) is subject to a significant risk from earthquake, floods, fires or other disasters; or

(b) except for intake structures, is within the floodplain of a 100-year flood or is lower than any recorded high tide.
 

Effective Date: 
Wednesday, July 3, 1991
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Section 5-1.22 - Approval of plans and completed works

5-1.22 Approval of plans and completed works. (a) No supplier of water shall make, install or construct, or allow to be made, installed or constructed, a public water system or any addition or deletion to or modification of a public water system until the plans and specifications have been submitted to and approved by the State. Materials used in the design, construction and repair of a public water system shall be lead-free. For this Subpart, lead-free shall mean:

(1) Solder or flux which contains no more than 0.2 percent lead.

(2) Pipes, pipe fittings, plumbing fittings and fixtures which contain no more than a weighted average of 0.25 percent lead with respect to the wetted surfaces.

The weighted average lead content of a pipe, pipe fitting, plumbing fitting, or fixture shall be calculated by using the following formula: For each wetted component, the percentage of lead is multiplied by the ratio of the wetted surface area of that component to the total wetted surface area of the entire product to arrive at the weighted percentage of lead of the component. The weighted percentage of lead of each wetted component is added together, and the sum of these weighted percentages constitutes the weighted average lead content of the product. The lead content of the material used to produce wetted components is used to determine compliance with subdivision (a)(2) of this section. For lead content of materials that are provided as a range, the maximum content of the range must be used for calculating the weighted average lead content.

(b) Approval of plans and specifications for public water systems shall be based on the following standards in their entirety. The State may allow deviations from these standards in accordance with procedures established by the commissioner.

(1) "Recommended Standards for Water Works", (Appendix 5-A)

(2) Standards for Water Wells (Appendix 5-B)

(3) Special Requirements for Wells Serving Public Water Systems (Appendix 5-D)

(c) The State may approve such plans or may require such modification which is deemed necessary to protect public health or safety. Application for plan approval shall be made on a form prescribed by the department.

(d) A supplier of water shall receive the approval of the State before placing into service any public water system constructed under the requirements of this section.
 

Effective Date: 
Wednesday, January 17, 2018
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Section 5-1.23 - Reporting emergencies

5-1.23 Reporting emergencies. (a) The supplier of water shall not take, use, or cause to be taken for use water from any emergency source or stop or alter disinfection or other treatment processes without first having notified by telephone or telegram, and received the approval of, the State. On receipt of such notification, the State shall advise the supplier of water and interested local officials of the approved action or proposed action by the supplier of water to protect the public health during the emergency.

(b) The supplier of water must make State notification when he determines that the delivery of water is interrupted to a minimum of 25 individuals or 15 service connections, or to a minimum of one percent of the total number of individuals served or service connections, whichever is larger, for a period of four hours or more.

(c) A printed copy of this section shall be conspicuously posted in the office used by the supplier of water.
 

Effective Date: 
Wednesday, March 11, 1992
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Section 5-1.24 - Approval of fluoridation of public water systems

5-1.24 Approval of fluoridation of public water system. Fluorine compounds shall not be added to a public water system until a written application has been submitted to, and written approval is granted by, the State.

Effective Date: 
Sunday, April 6, 1997
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Section 5-1.25 - Disinfection/start up of facilities

5-1.25 Disinfection/start up of facilities.

(a) No spring basin, collecting basin, well, infiltration gallery, water main, pumping station, standpipe or reservoir shall be placed in service following cleaning or repairs until it has been disinfected in a manner approved by the State.

(b) For each operational period, before serving water to the public, all seasonal systems must demonstrate completion of a State approved start-up procedure.

Effective Date: 
Wednesday, May 16, 2018
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Section 5-1.26 - Dewatering trenches

5-1.26 Dewatering trenches. No repair to the public water system shall be made until the trench has been dewatered to a point below the mains, valves or other structures. Every effort shall be made to prevent the entrance of foreign material and seepage into the public water system.

Effective Date: 
Friday, January 19, 1990
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Section 5-1.27 - Adequacy of distribution system

5-1.27 Adequacy of distribution system. The public water system shall be maintained and operated by the supplier of water to assure a minimum working pressure of 20 pounds per square inch at ground level at all points in the distribution system. Measurement of pressure may be obtained from representative points of use.

Effective Date: 
Wednesday, June 24, 1981
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Section 5-1.28 - Blowoff facilities

5-1.28 Blowoff facilities. All blowoff drains or discharge pipes connected to the public water system should be terminated at points where these structures will not be subject to flooding or otherwise subject to contamination.

Effective Date: 
Friday, June 24, 1977
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Section 5-1.29 - Pumping equipment

5-1.29 Pumping equipment. Pumping equipment of a public water system, for water which is not subject to later treatment, shall be installed and operated to prevent contamination of the public water system. Whenever priming is necessary, such pump shall be primed with water meeting the requirements of sections 5-1.51 and 5-1.52 of this Subpart.

Effective Date: 
Wednesday, July 3, 1991
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Section 5-1.30 - Providing treatment for public water systems

5-1.30 Providing treatment for public water systems. The supplier of water shall provide such treatment as necessary to deliver to the consumer a water conforming to the requirements of this section and determined using an approved method, with method modifications as listed in the Tables in section 5-1.52 of this Subpart, and by an approved laboratory as described in section 5-1.74 of this Subpart.

(a) Minimum treatment for a ground water source shall be disinfection by chlorination or other microbial contaminant treatment acceptable to the State in accordance with the provisions of section 5-1.22 of of this Subpart. If chemical disinfection is used, the disinfectant residual concentration must be maintained at all times and under no circumstances shall be less than the required concentration for more than four hours. Unless other corrective action is approved by the State, any ground water source where fecal contamination has been observed, or where a significant deficiency may be causing or has the potential to cause the introduction of contamination into the water delivered to customers, must be treated to remove or inactivate 99.99% (4-log) of viruses. Continuous monitoring of active microbial treatment processes is required, except as provided in section 5-1.52 table 15 of this Subpart.

(b) Minimum treatment for surface water sources or ground water sources directly influenced by surface water shall be filtration and disinfection techniques, approved by the State in accordance with section 5-1.22 of this Subpart, capable of at least 99 percent removal of Cryptosporidium oocysts, 99.9 percent removal and/or inactivation of Giardia lamblia cysts, and 99.99 percent removal and/or inactivation of viruses, between a point where the raw water is no longer subject to recontamination by surface water runoff and a point downstream before or at the first consumer. Compliance with this treatment technique is required for surface water sources or within 18 months after ground water sources are determined to be directly influenced by surface water, unless the department determines that the supplier of water can meet specific avoidance criteria as defined in subdivision (c) of this section. Required performance monitoring shall be conducted in accordance with section 5-1.52 Table 10A of this Subpart. Compliance with these treatment technique requirements shall also include:

(1) filtration facilities designed and operated to meet performance standards in accordance with section 5-1.52 table 4A of this Subpart;

(2) For systems using chlorine, the free chlorine residual disinfection concentration in the water entering the distribution system must be at least 0.2 milligrams per liter and may not be less than the required minimum concentration for compliance for more than four hours. Systems using other chemical disinfectants shall maintain residual disinfection levels entering the distribution system comparable to requirements for systems using chlorination. Continuous monitoring is required, except as provided in section 5-1.52 table 15 of this Subpart; and

(3) By June 8, 2004, any system that recycles spent filter backwash water, thickener supernatant, or liquids from dewatering process must return these flows through the processes of a system's existing conventional or direct filtration system.

(c) A public water system that uses a surface water source or a ground water source directly influenced by surface water which fails to comply with any of the following avoidance criteria shall develop and submit to the State, within three months of such failure to comply, a written plan for installing filtration and disinfection. Also, filtration and disinfection shall be installed, in accordance with subdivision (b) of this section, within 18 months of such failure to comply.

(1) Raw water fecal coliform concentrations must be equal to or less than 20 colonies per 100 milliliters or total coliform concentration must be equal to or less than 100 colonies per 100 milliliters in at least 90 percent of measurements made over the previous six months that the system was in operation. Monitoring shall be conducted in accordance with section 5-1.52 table 11A of this Subpart. If both fecal and total coliform analyses are performed, the fecal coliform results will take precedence.

(2) Raw water turbidity levels must not exceed five nephelometric turbidity units unless the department determines that the turbidity was caused by an unusual and unpredictable event. No more than two such events in the previous 12 months or no more than five events in the previous 120 months that the system was in operation are allowed. An event means a series of consecutive days during which at least one turbidity measurement each day exceeds five nephelometric turbidity units. Monitoring is to be conducted in accordance with section 5-1.52 table 10A of this Subpart.

(3) Disinfection must be sufficient to ensure at least 99.9 percent inactivation of Giardia lamblia cysts, 99.99 percent inactivation of viruses, and 99 or 99.9 percent inactivation of Cryptosporidium (per section 5-1.83(c)(2) of this Subpart),between a point where the raw water is no longer subject to recontamination by surface water runoff and a point downstream before or at the first consumer. Actual CT values must be equal to or greater than the required values found in section 5-1.52 Tables 14A through 14I of this Subpart, except for one day in each month that the system served water to the public, or except where the State determines that an additional failure in one month in the previous twelve months was caused by circumstances that were unusual and unpredictable. The supplier of water must calculate the CT values of the system for each day the system is in operation to document satisfactory disinfection. The necessary parameters and related monitoring frequencies to conduct this evaluation include:

(i) temperature of the disinfected water measured at least once per day at each residual disinfectant concentration sampling point;

(ii) pH of the disinfected water, measured at least once per day at each chlorine residual disinfectant concentration sampling point by systems using chlorine;

(iii) the disinfectant contact time (T), determined daily during peak hourly flow; and

(iv) the residual disinfectant concentration (C), before or at the first customer, measured daily during peak hourly flow.

(4) The disinfection system must have redundant components to ensure continuous disinfection. Auxiliary power with automatic start and alarm is required at all disinfection facilities where a power outage would result in a loss or reduction in the ability of the system to maintain a disinfection concentration as required by this Subpart.

(5) For systems using chlorine, the free chlorine residual disinfection concentration in the water entering the distribution system must be at least 0.2 milligrams per liter and may not be less than the required minimum concentration for compliance for more than four hours, unless the State determines that any such failure was caused by circumstances that were unusual and unpredictable. Systems using other chemical disinfectants shall maintain residual disinfection levels entering the distribution system comparable to requirements for systems using chlorination. Continuous monitoring is required except as provided in section 5-1.52 table 15 of this Subpart.

(6) The disinfection residuals or the heterotrophic plate count results in the water in the distribution system must meet the requirements outlined in subdivision (g) of this section and section 5-1.52 table 11 of this Subpart unless the State determines that the failure to meet the requirements was not caused by a deficiency in the treatment of the source water.

(7) The watershed control program must provide natural or man made barriers to the occurrence, transport and/or survival of Cryptosporidiumoocysts, Giardia lamblia cysts and viruses. The watershed control program must include, but is not limited to the following:

(i) ownership or protective controls of the watershed, except where the supplier of water submits written justification to show that the travel time of the water to the intake is greater than 60 days under all but emergency conditions. Protective controls can include written agreements with landowners within the watershed but must include as a minimum the absence of any bathing beach as defined in Part 6-2 of this Title, except for a bathing beach owned and/or maintained by an individual for use by the individual's family or friends;

(ii) no new sewage discharges to any watercourse shall be allowed where the time of travel from the point of discharge to the intake is 60 days or less. Existing sewage discharges with a current State Pollutant Discharge Elimination System (SPDES) permit issued by the New York State Department of Environmental Conservation, where the time of travel from the point of discharge to the intake is 60 days or less, shall, as a minimum, have secondary treatment followed by sand filtration and disinfection at facilities designed to achieve 99.9 percent removal and/or inactivation of Giardia lamblia cysts and 99.99 percent removal and/or inactivation of viruses by June 29, 1993. Existing or new sewage discharges with a SPDES permit issued by the New York State Department of Environmental Conservation, where the time of travel from the point of discharge to the intake is greater than 60 days, shall, as a minimum, have secondary treatment followed by sand filtration and disinfection at facilities designed to achieve 99.9 percent removal and/or inactivation of Giardia lamblia cysts and 99.99 percent removal and/or inactivation of viruses by June 29, 1993 or a later date set forth in a plan submitted to the commissioner and approved using the criteria for the long term plan as described in section 5-1.30(c)(7)(vii) of this Subpart. The sewage treatment facilities required herein shall be operated in conformance with their design specifications and the conditions of their SPDES permit;

(iii) watershed rules and regulations promulgated and enforced in accordance with Title I of Article 11 of the Public Health Law; including as a minimum prohibition or controls on waste discharges which contain or potentially may contain Cryptosporidiumoocysts, Giardia lamblia cysts and/or viruses;

(iv) identification and evaluation of pertinent geological, hydrological and physical characteristics or features and potential conditions or activities which may influence water quality;

(v) a monitoring and surveillance program to assess water quality and water quantity trends;

(vi) an annual report submitted by the supplier of water to the department describing watershed activities, especially activities that affect water quality, identifying new and existing water quality concerns and remediation efforts taken and any other reports required pursuant to adopted watershed rules and regulations. The annual report must be submitted to the department no later than the 10th of October of each year; and

(vii) a long term plan for the implementation of the watershed control program, including a description of the commitment of human and financial resources for such program shall be submitted to the commissioner for approval from systems that serve more than 100,000 persons, obtain water from a watershed or watersheds that involve multiple political subdivisions and own less than 25_percent of the land in the watershed. The approval shall be based on the exercise of a reasonable discretion by the commissioner in reviewing and accepting the proposed levels of human and fiscal resources to be committed for successful implementation of the plan, measured by projected cost of the administration, inspection, enforcement, land acquisition, sewage treatment plant upgrading and other activities and/or services related to such watershed control program, including the resolution of inherent water quality and quantity questions and the reliability of the method of funding. Failure to obtain the approval of the long term plan or failure to secure the required human or financial resources will result in a requirement to provide filtration, in accordance with the provisions of this Subpart. The approval of the long term plan shall be for a period of ten years, subject to further review and approval for successive ten year periods. Notwithstanding any approval granted pursuant hereto, if Federal or State law or regulation shall henceforth unconditionally mandate filtration of surface water sources, then any such approvals shall forthwith cease and terminate with filtration thereafter to be provided, in accordance with the provisions of this Subpart, when reasonably feasible.

(8) The public water system must not have been identified as a source of a waterborne disease outbreak since 1980.

(9) The public water system shall comply with the trihalomethane, haloacetic acid, bromate, and chlorite maximum contaminant levels and the maximum residual disinfectant levels in accordance with section 5-1.52 of this Subpart.

(10) The public water system must not exceed a total coliform treatment technique trigger in accordance with section 5-1.52 of this Subpart in eleven months of the twelve previous months that the system served water to the public on an ongoing basis, unless the State determines that failure to meet this requirement was not caused by a deficiency in treatment of the source water.

(d) Notwithstanding anything to the contrary in sections 5-1.12, 5-1.23, 5-1.51 or 5-1.77 of this Subpart, if the public water system fails to comply with the treatment technique and/or the monitoring requirements of subdivisions (a), (b), (c) or (g) of this section, fails to install the filtration and/or disinfection treatment required by this section or fails to comply with the avoidance criteria requirements contained in subdivision (c) of this section, the system violates this Subpart and shall make State and public notification, including any required mandatory health effects language. Pursuant to subdivision (c) of this section, if at any time the raw water turbidity exceeds five nephelometric turbidity units, the system shall consult with the State within 24 hours of learning of the exceedance. Based on this consultation, the State may determine that the exceedance constitutes a public health hazard, as found in section 5-1.1(bz)(4) of this Subpart, which requires a Tier 1 notification. When consultation does not take place within the 24 hour period, the water system must distribute a Tier 1 notification no later than 48 hours after the system learns of the violation. Ground water systems that are required to provide 4-log virus treatment, surface water systems and Ground Water Under the Direct Influence of surface water (GWUDI) systems that use chemical disinfection must notify the State whenever residual disinfectant levels in the water entering the distribution system are less than the specified concentration pursuant to subdivisions (b) and (c) of this section. Any water system that uses chemical disinfection must make State notification whenever disinfectant residual levels entering the distribution system are not restored within four hours.

(e) The State may grant a waiver, on the submission of a written application, renewable for a period of up to three years, to the disinfection rule established by this section for a ground water source if:

(1) the record of the microbiological and physical characteristics for the ground water source or sources not directly influenced by surface water demonstrates that they conformed to the MCLs of this Subpart, for the 12 months immediately preceding the date of application for waiver; such record shall be established under procedures provided by the department;

(2) an environmental laboratory approved pursuant to Subpart 55-2 of this Title, is used by the supplier of water to provide monitoring of drinking water quality and delivery of drinking water in conformity with this Subpart;

(3) an active cross-connection control program to prevent the backflow or entry of undesirable and toxic substances into the water distribution system is adopted and maintained by the supplier of water, and such cross-connection control program shall include the maintenance of adequate distribution system pressures, in accordance with section 5-1.27 of this Subpart;

(4) watershed rules and regulations to protect such ground water source are adopted pursuant to the provisions of article 11 of the Public Health Law, updated as necessary, and administered by the supplier of water, or other watershed controls satisfactory to the State are adopted, updated and administered;

(5) all water storage facilities are adequately protected pursuant to section 5-1.32 of this Subpart; and

(6) all sources of the water supply are properly located, constructed and effectively protected and maintained.

(f) The State may waive the requirements of paragraphs (e)(3) through (6), of this section for a ground water source at a noncommunity water system or a community water system serving fewer than 50 dwelling units, based on periodic evaluation of a sanitary survey and the geology of the area; the chemical characteristics of the water; the location, construction and protection of the ground water source; and the method of water storage and distribution.

(g) When a chlorine-based chemical disinfectant is used, the residual disinfectant concentration in the distribution system, measured as free or combined chlorine shall be maintained at detectable concentrations at representative points in the distribution system, in accordance with the monitoring requirements in section 5-1.52 Table 11 of this Subpart. No more than five percent of the free chlorine residual samples shall be undetectable in any two consecutive months that the system serves water to the public. Chlorine residual or heterotrophic bacteria analyses shall be performed in accordance with section 5-1.52 Table 11 of this Subpart. Monitoring for heterotrophic bacteria may be substituted for free chlorine residuals. A heterotrophic plate count result equal to or less than 500 colonies per milliliter is considered to be equivalent to a measurable free chlorine residual.

Effective Date: 
Wednesday, May 16, 2018
Doc Status: 
Complete

Section 5-1.31 - Cross connection control

5-1.31 Cross connection control.

(a) The supplier of water shall implement a service protection program (also known as containment) which includes the following:

(1) requiring a protective device commensurate with the degree of hazard posed by any service connection;

(2) requiring the user of such connections to submit plans for the installation of protective devices to the supplier of water and/or the State for approval; and

(3) assuring all protective devices are inspected and tested by a certified backflow prevention device tester, as prescribed in subdivision (b) of this section, at the time of initial installation, after each repair, and annually thereafter. Records of such tests shall be made available to, reviewed by, and maintained by the supplier of water. All protective device tests and inspections shall be conducted by a certified backflow prevention device tester (“tester”).

(b) A certified backflow prevention device tester shall meet the following requirements: 

(1) Initial certification and renewal requirements. Initial and/or renewal certifications for a certified backflow prevention device tester will be issued by a department-approved entity, when the applicant provides proof of satisfactory completion of a department-approved certified backflow prevention training course. The certification shall be valid for a period of three years.

(2) Conditions of certification.

(i) Upon issuance of a certification by a department-approved entity, the tester shall inform the department and the department-approved entity, within 30 days, of any changes in address or employment.

(ii) The department has the authority to require any individual applying for certification or renewal certification as a certified backflow prevention device tester or any certified backflow prevention device tester to take a written, oral and/or practical skills validated examination, if the department deems such examination to be reasonably necessary to determine the applicant’s qualifications or to determine the certified tester’s knowledge, skills, ability and judgment. The results of the examination may be the sole basis for approval, disapproval or suspension of such certification or the basis for additional requirements, deemed appropriate by the department, before certification will be issued or reinstated.

(3) Recertification requirements.

(i) An individual that allows his or her certification renewal to lapse after the expiration date is no longer certified to test applicable protective devices as outlined in this Subpart. If the individual meets the requirements outlined in this subdivision, within one year of the expiration date, the certification will be reinstated with a renewal period starting upon the date of expiration of the original certification and ending three years later.

(ii) An individual that allows his or her certification renewal to lapse for more than one year after the expiration date will be required to repeat the initial certification requirements set forth in subdivision (b)(1) of this section.

(c) Enforcement.

Upon notice and opportunity for a hearing, a tester’s certification may be suspended or revoked. Revocation or suspension may be based on, but not limited to, fraud or misrepresentation by the certified tester; gross incompetence or gross negligence on a particular occasion; or negligence or incompetence on more than one occasion. Examples of such conduct include, but are not limited to:

(1) making false statements or notations on legal or official records required by the department; or

(2) providing misleading statements to government officials or agents of the government regarding protective device testing/certification.

(d) The supplier of water may not allow a user to establish a separate source of water. However, if a user justifies the need for a separate source of water, the supplier of water shall protect the public water system from such separate source of water by ensuring that such source does not pose a hazard in the following manner:

(1) by requiring the user to regularly examine the quality of the separate water source;

(2) by approving the use of only those separate water sources which are properly developed, constructed, protected and found to meet the requirements of sections 5-1.51 and 5-1.52 of this Subpart; and

(3) by filing such approvals with the State annually.

(e) All users of a public water system shall prevent cross-connections between the potable water piping system and any other piping system within the premises by installing internal protection in accordance with the New York State Uniform Fire Prevention and Building Code and/or the local plumbing and building codes.

(f) Any installation, service, maintenance, testing, repair or modification of a protective device shall be performed in accordance with the provisions of any relevant county, city, town or village plumbing code. All individuals who perform testing of protective devices shall be certified in accordance with subdivision (b) of this section.

 

 

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.32 - Protection of finished water storage facilities

5-1.32 Protection of finished water storage facilities. Finished water storage facilities which deliver water to the user without later treatment shall be covered, or the water from an uncovered finished water storage facility shall be continuously treated to achieve inactivation or removal of at least 99.99 percent virus, 99.9 percent Giardia lamblia, and 99 percent Cryptosporidium in a manner approved by the State, in accordance with of section 5-1.22(b) of this Subpart, before being discharged to the distribution system.

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.33 - Water supply emergency plans

5-1.33 Water supply emergency plans. 

(a) All community water systems that supply drinking water to more than 3,300 people shall submit a water supply emergency plan to the State. The plan shall identify and outline the steps necessary to ensure that potable water is available during all phases of a water supply emergency.

(b) The water supply emergency plan shall include:

(1) Procedures to notify consumers during all phases of a water supply emergency.

(2) Criteria and procedures for determining, and the subsequent reporting of, critical water levels or safe yield of the source or sources of water.

(3) The identification of existing and future sources of water available during normal nonemergency and water supply emergency conditions.

(4) The identification of all available water storage. Available water storage includes source, transmission and distribution system storage.

(5) The identification, capacity and location of existing inter-connections. Identification of additional inter-connections needed to provide potable water during a water supply emergency.

(6) A specific action plan outlining all the steps to be carried out, taken or followed during a water supply emergency. The plan shall include a process for State notification, emergency notification rosters of key water supply personnel with current telephone numbers both business and home, and details of the follow-up corrective action process to minimize the reoccurrence of an emergency.

(7) The identification and implementation of procedures for water conservation and water use restrictions to be put in place during a water supply emergency.

(8) The identification of and the procedures for prioritization of potable water users during a water supply emergency.

(9) The identification and availability of emergency equipment needed during a water supply emergency.

(10) The system's capacity and ability to meet peak water demands and fire-flow conditions concurrently during a water supply emergency.

(c) An all-hazard vulnerability analysis, including an analysis of vulnerability to terrorist attack and cyber attack, shall be performed on all components of the water system. System components include but are not limited to: the source or sources of water supply; water treatment plants; disinfection stations; pipes and valves; storage tanks; and system operations and management. The system shall take whatever steps are necessary to ensure that potable water can be and is available during a water supply emergency.

(d) Before the final submission of the water supply emergency plan to the State, the system shall publish a notice in a newspaper of general circulation in the area served by the community water system stating that the proposed water supply emergency plan is available for review and comment. The notice shall be printed at least once in each of two successive weeks. Public comment shall be accepted for at least fourteen days following the date of first publication. All public comment shall be submitted with the water supply emergency plan to the State.

(e) The water supply emergency plan shall be submitted to the State for review at least once every five years and within thirty days after major water facility infrastructure changes have been made. The system shall keep the emergency plan up to date, and shall provide updated communication and notification information to the State by December thirty-first of each year. 

(f) Community water systems that supply drinking water to 3,300 or fewer people, non-transient noncommunity water systems, and noncommunity water systems may be required to prepare, update and submit to the State, a written water supply emergency plan for providing potable water during a water supply emergency.

(g) If more than one system is responsible for providing potable water to a community water system, the water supply emergency plan shall be prepared and submitted jointly by the systems.

(h) Information shall be exempt from public disclosure for public review and comment if it is determined by the water supplier that the information will pose a security risk to the operation of the water system. Upon the Commissioner’s request, the system shall provide a copy of the exempt information and justification for why said information should not be subject to public review and comment. A person who, without authorization, discloses any such assessment or information to another person who has not been authorized to receive such assessment or information shall be subject to criminal penalties pursuant to section 1125 of the Public Health Law.
 

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

CONTROL OF COPPER AND LEAD IN DRINKING WATER

Section 5-1.40 - General Requirements and Action Levels

CONTROL OF COPPER AND LEAD IN DRINKING WATER

5-1.40 General Requirements and Action Levels.

(a) Applicability. The requirements of sections 5-1.40 through 5-1.48 of this Subpart shall apply to all community water systems and nontransient, noncommunity water systems serving 15 or more service connections or serving 25 or more persons.

(b) Lead and copper action levels.

(1)

Analyte

Action Level 1, 2

Lead

0.015 mg/L

Copper

1.3 mg/L

 Notes: 

1  Analysis of lead and copper samples must be done by an approved laboratory as prescribed in section 5-1.74(a), that demonstrates the ability to achieve a Practical Quantitation Level (PQL) for lead equal to 0.0005 milligrams/Liter (mg/L) and a PQL for copper equal to 0.050 mg/L.

2  All lead and copper levels measured between the PQL and Method Detection Level (MDL) must be either reported as measured or one-half the PQL specified in note 1. All levels below the lead and copper MDLs must be reported as zero.

  

(2) The lead action level is exceeded if the concentration of lead in more than ten percent (90th percentile) of the tap water samples collected in accordance with section 5-1.42 during any monitoring period exceeds 0.015 mg/L.  

(3) The copper action level is exceeded if the concentration of copper in more than ten percent (90th percentile) of the tap water samples collected in accordance with section 5-1.42 during any monitoring period exceeds 1.3 mg/L.

(4) The 90th percentile lead and copper levels shall be computed as follows:

(i) Place the results of all lead and copper samples taken during a monitoring period in ascending order from the sample with the lowest concentration to the sample with the highest concentration. Each sampling result will be assigned a number, ascending by single integers beginning with the number one for the sample with the lowest contaminant level. The number assigned to the sample with the highest contaminant level will be equal to the total number of samples taken.

(ii) Multiply the number of samples taken during the monitoring period by 0.9.

(iii) The contaminant concentration of the numbered sample obtained by the calculation in subdivision (b)(4)(ii) of this section is the 90th percentile contaminant level.

(iv) For water systems serving fewer than 100 people that collect 5 samples per monitoring period, the 90th percentile is computed by taking the average of the highest and second highest concentration.

(v) For a public water system that has been allowed by the State to collect fewer than five samples under section 5-1.42(a)(3), the sample result with the highest concentration is considered the 90th percentile value.

 

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.41 - Corrosion Control Treatment Steps and Requirements

5-1.41 Corrosion Control Treatment Steps and Requirements.

(a) Each system shall complete the applicable corrosion control treatment requirements found in subdivision (c) of this section unless it is deemed to have optimized corrosion control as provided under subdivision (b) of this section.

(b) Optimized corrosion control. A system is deemed to have optimized corrosion control and is not required to complete the applicable corrosion control treatment steps identified in this section if the water system satisfies the criteria specified in one of the paragraphs (1) through (3) of this subdivision. Any such system deemed to have optimized corrosion control under this subdivision, and which has treatment in place, shall continue to operate and maintain optimal corrosion control treatment and meet any requirements that the State determines appropriate to ensure optimal corrosion control treatment is maintained.

(1) Any water system that serves 50,000 or fewer people is considered to have optimal corrosion control treatment if the water system meets the lead and copper action levels during each of two consecutive six-month monitoring periods conducted in accordance with section 5-1.42.  

(2) Any water system may be deemed by the State to have optimized corrosion control treatment if the system demonstrates to the satisfaction of the State that it has conducted activities equivalent to applicable corrosion control steps. Water systems deemed to have optimized corrosion control under this paragraph shall operate in compliance with State-designated optimal water quality parameters and continue to conduct lead and copper tap and water quality parameter sampling in accordance with sections 5-1.42(b)(3) and 5-1.43(b)(3). A system shall provide information to the State to support a determination under this subdivision which includes, but is not limited to:

(i) the results of all samples collected for each of the water quality parameters in section 5-1.43; 

(ii) a report explaining the test methods used by the water system to evaluate the corrosion control treatments listed in subdivision (c)(3)(ii) of this section, the results of all tests conducted, and the basis for the system's selection of optimal corrosion control treatment;

(iii) a report explaining how corrosion control has been installed and how it is being maintained to insure minimal lead and copper concentrations at consumers' taps; and

(iv) the results of first draw lead and copper tap water samples collected in accordance with section 5-1.42 for two consecutive six-month monitoring periods after corrosion control has been installed.  

(3) A water system is deemed to have optimized corrosion control if it meets the copper action level and can demonstrate:

(i) the difference between the results of the 90th percentile tap water lead level and the highest source water lead level is less than 0.005 mg/L for two consecutive six-month monitoring periods. The 90th percentile tap water lead level shall be sampled in accordance with section 5-1.42 and source water lead level shall be sampled in accordance with section 5-1.44; and

(ii) a system’s highest source water lead level is below the Method Detection Limit, and the 90th percentile tap water lead level is less than or equal to 0.005 mg/L for two consecutive 6-month monitoring periods.

(4) Any water system deemed to have optimized corrosion control in accordance with this section shall continue monitoring for lead and copper in tap water no less frequently than once every three calendar years using the reduced number of sites specified in section 5-1.42(a)(3) and collecting the samples at times and locations specified in section 5-1.42(c), unless it meets the requirements for a nine year waiver as specified in section 5-1.42(f).

(5) Any system triggered into corrosion control because it is no longer deemed to have optimized corrosion control under this section shall implement corrosion control treatment in accordance with the deadlines in subdivision (c)(2) of this section. Any such system serving more than 50,000 persons shall adhere to the schedule specified in subdivision (c)(2) of this section for systems serving 50,000 or fewer persons, with the time periods for completing each step being triggered by the date the system is no longer deemed to have optimized corrosion control under this section.  

(6) Any water system deemed to have optimized corrosion control shall notify the State in writing, pursuant of section 5-1.48(i), of any upcoming long-term change in treatment or addition of a new source. The water system shall obtain approval from the State before implementing the addition of a new source or long-term change in water treatment. The State may require any such system to conduct additional monitoring or to take other action the State deems appropriate to ensure that such systems maintain minimal levels of corrosion in the distribution system.

(c) Corrosion control treatment steps and deadlines.

(1) A system serving more than 50,000 persons shall complete the following corrosion control treatment steps, unless it is deemed to have optimized corrosion control as provided in subdivisions (b)(2) and (b)(3) of this section:  

(i) Step 1: The water system shall conduct initial first draw lead and copper tap sampling and water quality parameter sampling in accordance with sections 5-1.42 and 5-1.43. If the lead or copper action level exceeds the 90th percentile, the water system shall conduct source water sampling in accordance with section 5-1.44 within a schedule specified by the State.

(ii) Step 2: The water system shall complete corrosion control studies as specified by the State within 18 months after the end of the monitoring period during which the system exceeds one of the action levels. 

(iii) Step 3: The water system shall install optimal corrosion control treatment within 24 months after the State designates such treatment.

(iv) Step 4: After installation of optimal corrosion control treatment, the water system shall complete first draw lead and copper tap sampling and water quality parameter follow-up sampling in accordance with sections 5-1.42(b)(2) and 5-1.43(b)(2) during the two consecutive six-month monitoring periods immediately following installation of treatment.

(v) Step 5: After State designation of water quality parameters for optimal corrosion control treatment, the water system shall operate in compliance with State-designated optimal water quality parameter values in accordance with subdivision (g) of this section; and continue to conduct first draw lead and copper tap sampling and water quality parameter sampling in accordance with sections 5-1.42(b)(3) and 5-1.43(b)(3).  

(2) Systems serving 50,000 or fewer persons. Except as provided in subdivision (b) of this section, a system that serves 50,000 or fewer persons shall complete the following corrosion control treatment steps:  

(i) Step 1: The water system shall conduct initial first draw lead and copper tap sampling in accordance with section 5-1.42 within a schedule specified by the State. If the lead or copper action level is exceeded at the 90th percentile the water system shall conduct water quality parameter sampling and source water sampling in accordance with sections 5-1.43 and 5-1.44. 

(ii) Step 2: The water system shall recommend optimal corrosion control treatment within six months after the end of the monitoring period during which the system exceeds one of the action levels. Within 12 months after the end of the monitoring period during which a system exceeds the lead or copper action level, the State may designate optimal corrosion control treatment or require the system to perform corrosion control studies. If the State requires corrosion control studies to be conducted, the water system shall complete corrosion control studies as specified in subdivision (c)(3) of this section. 

(a) Systems serving populations greater than 3,300 but less than 50,000 shall perform such studies within 18 months after the end of the monitoring period during which the system exceeds the lead or copper action level.

(b) Systems serving 3,300 or fewer persons shall perform such studies within 24 months after the end of the monitoring period during which the system exceeds the lead or copper action  level.

(iii) Step 3: The water system shall install optimal corrosion control treatment within 24 months after the State designates such treatment.

(iv) Step 4: After installation of optimal corrosion control treatment, the water system shall complete first draw lead and copper tap sampling and water quality parameter follow-up sampling in accordance with sections 5-1.42(b)(2) and 5-1.43(b)(2) during the two consecutive six-month monitoring periods immediately following installation of treatment.  

(v) Step 5: After State designation of water quality parameters for optimal corrosion control treatment, the water system shall operate in compliance with State-designated optimal water quality parameter values in accordance with subdivision (g) of this section; and continue to conduct first draw lead and copper tap sampling and water quality parameter sampling in accordance with sections 5-1.42(b)(3) and 5-1.43(b)(3).  

(3) Content of corrosion control studies. Corrosion control studies shall follow methods that include but are not limited to the following:  

(i) an evaluation of the effectiveness of each of the following treatments, and, if appropriate, combinations of the following treatments using standard engineering tests on other systems of similar size, water chemistry and distribution system configuration:

(a) alkalinity and pH adjustment;

(b) calcium hardness adjustment; and

(c) the addition of a phosphate or silicate based corrosion inhibitor at a concentration sufficient to maintain an effective residual concentration in all test tap samples;

(ii) measurements of appropriate water quality parameters to assess performance of corrosion control including: lead; copper; pH; alkalinity; calcium; conductivity; temperature; silica or orthophosphate;

(iii) an assessment of effectiveness of treatment including the potential for adverse effects on other water quality treatment processes; and  

(iv) identification of the optimal corrosion control treatment(s) for the system, including a rationale of the treatment steps for consideration by the State.

(4) Conditions for ceasing treatment steps. Any water system that serves 50,000 or fewer people. and that is required to complete the corrosion control steps due to its exceedance of the lead or copper action level, may cease completing the treatment steps whenever the water system meets both action levels during each of two consecutive six-month monitoring periods. The lead and copper results from both monitoring periods shall be submitted to the State for approval for ceasing treatment steps. If an action level is exceeded in a later monitoring period the water system shall complete the remaining applicable treatment steps.

(d) Designation of optimal corrosion control treatment. Based upon consideration of available information including, where applicable, corrosion control studies performed under subdivision (c) of this section and a system's proposed treatment alternative, the State will either:

(1) approve the corrosion control treatment option recommended by the system; or

(2) require alternative corrosion control treatment(s) as specified by the State. The State may also ask for additional information or modifications.

(e) Installation of optimal corrosion control. Each system shall properly install and operate throughout its distribution system the optimal corrosion control treatment(s) approved by the State under subdivision (d) of this section.

(f) State review of treatment and designation of optimal water quality control parameters. Based upon a review of the results of lead and copper tap water samples and water quality parameter samples submitted to the State by the water system from both before and after the installation of optimal corrosion control treatment, the State shall determine whether the system has properly installed and operated the optimal corrosion control treatment, and designate water quality parameter values, or a range of values, within which the system must operate. Such water parameters shall include:

(1) A minimum value or a range of values for pH measured at each entry point to the distribution system;

(2) A minimum pH value, measured in all tap samples. Such value shall be equal to or greater than 7.0, unless the State determines that meeting a pH level of 7.0 is not technologically feasible or is not necessary for the system to optimize corrosion control;

(3) If a corrosion inhibitor is used, a minimum concentration or a range of concentrations for the inhibitor, measured at each entry point to the distribution system and in all tap samples, that the State determines is necessary to form a passivating film on the interior walls of the pipes of the distribution system; 

(4) If alkalinity is adjusted as part of optimal corrosion control treatment, a minimum concentration or a range of concentrations for alkalinity, measured at each entry point to the distribution system and in all tap samples; and 

(5) If calcium carbonate stabilization is used as part of corrosion control, a minimum concentration or a range of concentrations for calcium, measured in all tap samples.

The values for the applicable water quality control parameters listed above shall be those that the State determines to reflect optimal corrosion control treatment for the system. The State may designate values for additional water quality control parameters determined by the State to reflect optimal corrosion control for the system. The State shall notify the system in writing of these determinations and explain the basis for its decisions.  

(g) Continued operation and maintenance.

(1) All systems optimizing corrosion control shall continue to operate and maintain optimal corrosion control treatment, including maintaining water quality parameters at or above minimum values or within ranges designated by the State under subdivision (f) of this section for all samples collected in accordance with section 5-1.43(b)(3) and section 5-1.43(c). Compliance with the requirements of this paragraph shall be determined every six months, as specified in section 5-1.42(b)(3).  A water system is out of compliance with the requirements of this paragraph if it has excursions for any State-designated parameter on more than nine (9) days during any six-month period. An excursion occurs whenever the daily value for one or more of the water quality parameters measured at a sampling location is below the minimum value or outside the range designated by the State. The State has the discretion to delete results of obvious sampling errors from this calculation.  Daily values are calculated as follows:

(i) On days when more than one measurement for the water quality parameter is collected at the sampling location, the daily value shall be the average of all results collected during the day regardless of whether they are collected through continuous monitoring, grab sampling, or a combination of both.  

(ii) On days when only one measurement for the water quality parameter is collected at the sampling location, the daily value shall be the result of that measurement.

(iii) On days when no measurement is collected for the water quality parameter at the sampling location, the daily value shall be the daily value calculated on the most recent day on which the water quality parameter was measured at the sample site.

(2) Modification of State treatment decisions. A water system may request a modification of its State designated optimal corrosion control treatment. The request shall be submitted in writing and include the reason for the modification along with supporting data.

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.42 - Monitoring requirements for lead and copper in tap water.

5-1.42 Monitoring requirements for lead and copper in tap water.

(a) Sample Requirements.

(1) Sample site location.

(i) Each water system shall complete a materials evaluation of its distribution system in order to identify a pool of targeted sampling sites that meets the requirements of this section, and which is sufficiently large to ensure that the water system can collect the number of lead and copper tap samples required in subdivision (a)(3) of this section. All sites from which first draw samples are collected shall be selected from this pool of targeted sampling sites. Sampling sites may not include faucets that have point-of-use or point-of-entry treatment devices designed to remove inorganic contaminants.

(ii) The public water system shall review sources of information listed below in order to identify a sufficient number of sampling sites. In addition, the system shall seek to collect such information, where possible, in the course of its normal operations (e.g., checking service line material when reading water meters or performing maintenance activities):

(a) All plumbing codes, permits, and records in the files of the building department(s) which indicate the plumbing materials that are installed within publicly and privately owned structures connected to the distribution system;

(b) All inspections and records of the distribution system that indicate the material composition of the service connections that connect a structure to the distribution system; and

(c) All existing water quality information which includes the results of all prior analyses of the system or individual structures connected to the system indicating locations that may be particularly susceptible to high lead or copper concentrations.

(iii) The pool of targeted sampling sites for community water systems shall consist of:

(a) Structures containing lead pipes, copper pipes with lead solder installed after 1982; and/or served by a lead service line. Sampling sites shall be selected from the following building types, in this order, until each building type is exhausted before moving to the next building type:

(1) residential single family (Tier 1 sample sites);

(2) multiple-family residence where at least 20 percent of the structures served by the water system are multiple-family residences (Tier 1 sample sites);

(3) any community water system with insufficient tier 1 sampling sites shall complete its sampling pool with “Tier 2 sampling sites”, consisting of buildings, including multiple-family residences that contain copper pipes with lead solder installed after 1982 or lead pipes; and/or served by a lead service line: (Tier 2 sample sites).

(b) Where insufficient sites are available meeting the criteria of clause (a), the sampling pool shall be completed using single family residences that contain copper pipes with lead solder installed before 1983 (Tier 3 samples sites).

(c) Where insufficient sampling sites are available meeting the criteria of clauses (a) and (b), the sampling pool shall be completed using representative sites that contain plumbing materials commonly found throughout the water system’s distribution system.

(d) Any water system whose distribution system contains lead service lines shall draw 50 percent of the samples it collects during each monitoring period from sites that contain lead pipes, or copper pipes with lead solder, and 50 percent of the samples from sites served by a lead service line. A water system that cannot identify a sufficient number of sampling sites served by a lead service line shall collect first-draw samples from all of the sites identified as being served by such lines.

(iv) The pool of targeted sampling sites for a nontransient noncommunity water system shall consist of structures that:

(a) contain copper pipes and leaded solder joints installed after 1982 or contain lead pipes; and/or

(b) are served by a lead service line. 

(v) A nontransient noncommunity water system with insufficient Tier 1 sampling sites shall complete its sampling pool with sampling sites having copper pipes with lead solder joints installed before 1983. If additional sites are needed to complete the sampling pool, the nontransient non-community water system shall use representative sites throughout the distribution system.

(2) Sample collection methods.

Samples shall be collected in a manner that will reasonably reflect potential lead levels delivered to user taps in accordance with 40 CFR 141.86(b)(2).

(i) All samples for lead and copper shall be collected from user taps and shall be first draw samples with the following exceptions: lead service line samples collected under section 5-1.45(b)(2); or, if a system meets the criteria in section 5-1.47(g) (e.g., prisons and hospitals).

(ii) Each first-draw tap sample for lead and copper shall be one liter in volume and have stood motionless in the plumbing system of each sampling site for at least six hours. First-draw samples from residential housing shall be collected from the cold water kitchen tap or bathroom sink tap. First-draw samples from a nonresidential building shall be one liter in volume and shall be collected at an interior tap from which water is typically drawn for consumption. Non-first-draw samples collected in lieu of first-draw samples pursuant to subdivision (a)(2)(iii) of this section shall be one liter in volume and shall be collected at an interior tap from which water is typically drawn for consumption. First-draw samples may be collected by the system or the system may allow residents to collect first-draw samples after instructing the residents of the sampling procedures specified in this paragraph. To avoid problems of residents handling nitric acid, acidification of first-draw samples may be done up to 14 days after the sample is collected. After acidification to resolubilize the metals, the sample must stand in the original container for the time specified in the approved EPA method before the sample can be analyzed. If a system allows residents to perform sampling, the system may not challenge, based on alleged errors in sample collection, the accuracy of sampling results.

(iii) Each service line sample shall be one liter in volume and have stood motionless in the lead service line for at least six hours. Lead service line samples shall be collected in one of the following three ways:

(a) At the tap after flushing the volume of water between the tap and the lead service line. The volume of water shall be calculated based on the interior diameter and length of the pipe between the tap and the lead service line;

(b) Tapping directly into the lead service line; or

(c) If the sampling site is a building constructed as a single-family residence, allowing the water to run until there is a significant change in temperature which would be indicative of water that has been standing in the lead service line.

(iv) A water system shall collect each first draw tap sample from the same sampling site from which it collected a previous sample. If, for any reason, the water system cannot gain entry to a sampling site to collect a follow-up tap sample, the system may collect the follow-up tap sample from another sampling site in its sampling pool as long as the new site meets the same targeting criteria, and is within reasonable proximity of the original site.

(v) A non-transient non-community water system, or a community water system that meets the criteria of 40 CFR 141.85(b)(7), that does not have enough taps that can supply first draw samples, as defined in 40 CFR 141.2, may apply to the State in writing to substitute non-first-draw samples. Such systems must collect as many first-draw samples from appropriate taps as possible and identify sampling times and locations that would likely result in the longest standing time for the remaining sites. The State has the discretion to waive the requirement for prior State approval of non-first-draw sample sites selected by the system, either through State regulation or written notification to the system.

(3) Number of samples. A water system conducting standard monitoring shall collect at least one lead and copper tap sample during each monitoring period specified in subdivision (b) of this section from the number of sampling sites listed in the table below under “Standard Monitoring.” A water system conducting reduced monitoring shall collect at least one lead and copper tap sample during each monitoring period specified in subdivision (c) of this section from the number of sampling sites listed in the table below under “Reduced Monitoring.” Such reduced monitoring sites shall be representative of the sites required for standard monitoring. 

If a public water system has fewer than five drinking water taps that can be used for human consumption and that meet the sample site criteria of subdivision (a)(1)(iii) of this section to reach the required number of sample sites listed in the following table, the system may collect at least one sample from each tap and then collect additional samples from those taps on different days during the monitoring period to meet the required number of sites; or, with written State approval, collect fewer samples provided that all taps that can be used for human consumption are sampled. The State must approve this reduction of the minimum number of samples in writing based on a request from the system or onsite verification by the State. The State must specify sampling locations when a system is conducting reduced monitoring.  A public water system may also apply to the State in writing to substitute non-first-draw samples. Such systems must collect as many first-draw samples from appropriate taps as possible and identify sampling times and locations that would likely result in the longest standing time for the remaining sites.

 

 

Population Served

Standard Monitoring

Reduced Monitoring

 

Number of Sites

Number of Sites

>100,000

100

50

10,001 to 100,000

60

30

3,301 to 10,000

40

20

501 to 3,300

20

10

101 to 500

10

5

≤100

5

5

 

 

(b) Standard Monitoring. Required samples shall be collected during six-month monitoring periods, beginning January 1 or July 1 of each calendar year.

(1) All systems shall monitor during each six-month monitoring period until:

(i) the system exceeds the lead or copper action level and is therefore required to implement the corrosion control treatment requirements under section 5-1.41, in which case the system shall continue standard monitoring; or

(ii) the system is deemed to have optimized corrosion control in accordance with section 5-1.41(b) in which case the system may reduce monitoring in accordance with subdivision (c) of this section. 

(2) Monitoring after installation of corrosion control and/or source water treatment. Any system which installs corrosion control treatment or source water treatment shall monitor during each six-month monitoring period following the installation of treatment with the first monitoring period to begin either January 1 or July 1, whichever comes first.

(i) Any system which installs source water treatment pursuant to section 5-1.45(a)(2)(i) shall monitor during two consecutive six-month monitoring periods by the date specified in section 5-1.45(a)(2)(ii).

(3) Monitoring after State designates water quality parameter values for optimal corrosion control. After the State designates the values for water quality parameters under section 5-1.41(f), the system shall monitor during each six-month monitoring period following designation of water quality parameter values with the first monitoring period to begin either January 1 or July 1, whichever comes first.

(c) Reduced monitoring. 

(1) A system serving 50,000 or fewer persons that meets the lead and copper action levels during each of two consecutive six-month monitoring periods may reduce the number of samples in accordance with subdivision (a)(3) of this section, and reduce the frequency of sampling to once per year. A system serving 50,000 or fewer persons that meets the lead and copper action levels during three consecutive years under reduced monitoring may reduce the frequency of monitoring for lead and copper from annually to once every three years. Samples collected during the initial two six-month monitoring periods may be accepted as monitoring for the first year of a three-year reduced monitoring frequency. A system serving 50,000 or fewer persons collecting fewer than five samples as specified in subdivision (a)(3) of this section that meets the lead and copper action levels during each of two consecutive six-month monitoring periods may reduce the frequency of sampling to once per year. The system may not reduce the number of samples required to below the minimum of one sample per available tap. This sampling shall begin during the calendar year immediately following the end of the second consecutive six-month monitoring period. 

(2) Any water system that has optimal corrosion control treatment installed that meets the lead action level and maintains the range of values for optimal corrosion control treatment during each of two consecutive six-month monitoring periods may reduce the frequency of monitoring to once per year and reduce the number of lead and copper samples in accordance with subdivision (a)(3) of this section if it receives written approval from the State. This sampling shall begin during the calendar year immediately following the end of the second consecutive six-month monitoring period. Samples collected during the initial two six-month monitoring periods can be applied to the first year of a three-year reduced monitoring frequency.

Upon written approval from the State, any water system that has optimal corrosion control treatment installed that meets the lead action level and maintains the range of values for the water quality control parameters reflecting optimal corrosion control treatment during three consecutive years of monitoring may reduce the frequency of monitoring for lead and copper from annually to once every three years. Samples collected once every three years shall be collected no later than every third calendar year.

(3) A water system on a reduced monitoring schedule shall collect these samples from representative sites included in the pool of targeted sampling sites identified in subdivision (a) of this section. Systems sampling annually or less frequently shall conduct the lead and copper tap sampling during the months of June, July, August, or September unless the State has approved a different sampling period in accordance with subdivision (c)(3)(i) of this section.

(i) The State, upon request by a water system, may approve a different period for conducting the lead and copper tap sampling for systems on a reduced monitoring schedule. Such a period shall be no longer than four consecutive months and shall represent a time of normal operation where the highest levels of lead are most likely to occur. This sampling shall begin during the calendar year immediately following the end of the second consecutive six-month monitoring period for systems initiating annual monitoring and during the three-year period following the end of the third consecutive calendar year of annual monitoring for systems initiating triennial monitoring.

(ii) Systems monitoring annually, that have been collecting samples during the months of June through September and that receive State approval to alter their sample monitoring period under subdivision (c)(3)(i) of this section, shall collect their next round of samples during a time period that ends no later than 21 months after the previous round of sampling. Systems monitoring triennially that have been collecting samples during the months of June through September, and receive State approval to alter the sampling collection period as per subdivision (c)(3)(i) of this section, shall collect their next round of samples during a time period that ends no later than 45 months after the previous round of sampling. Subsequent rounds of sampling shall be collected annually or triennially, as required by this section. Water systems with waivers that serve 50,000 or fewer persons that have been collecting samples during the months of June through September and choose to alter their sample collection period under subdivision (c)(3)(i) of this section shall collect their next round of samples before the end of the 9 year period.

(4) Any water system that demonstrates for two consecutive 6-month monitoring periods that the tap water lead level is less than or equal to 0.005 mg/L and the tap water copper level is less than or equal to 0.65 mg/L, at the 90th percentile calculated in accordance with section 5-1.41(c), may reduce the number of samples in accordance with subdivision (a)(3) of this section and reduce the frequency of sampling to once every three calendar years.

(5) Conditions requiring a return to standard monitoring.

(i) A system serving 50,000 or fewer persons subject to reduced monitoring that does not have corrosion control treatment installed and that exceeds the lead or copper action level shall resume standard monitoring at the standard number of sampling sites every six months in accordance with subdivision (b) of this section. Such a system shall also conduct water quality parameter monitoring in accordance with section 5-1.43(b). This monitoring shall begin during the six-month monitoring period immediately following the lead or copper action level exceedance with the first monitoring period to begin either January 1 or July 1, whichever comes first. Any such system may resume reduced monitoring if it meets the reduced monitoring criteria as specified in subdivision (c)(1) of this section. 

(ii) Any water system that has optimal corrosion control treatment installed that fails to meet the lead action level during any four-month monitoring period, or that fails to operate at or above the minimum value or within the range of values for the water quality parameters specified by the State under section 5-1.41(f) for more than nine days in any six-month monitoring period specified in section 5-1.43(b)(3) shall resume standard monitoring at the standard number of sampling sites every six months in accordance with subdivision (b) of this section, and resume standard monitoring for water quality parameters in accordance with section 5-1.43(b). This standard monitoring shall begin during the six-month monitoring period immediately following the water quality parameter excursion or lead action level exceedance with the first monitoring period to begin either January 1 or July 1, whichever comes first. Any such system may resume reduced monitoring if it meets the reduced monitoring criteria as specified in subdivision (c)(1) of this section.

(6) Any water system subject to reduced monitoring that either adds a new source of water or changes any water treatment shall notify the State in writing within 60 days of any proposed changes. The State may require any system that makes treatment or source changes to resume standard monitoring in accordance with subdivision (b) of this section or take other appropriate steps such as increased water quality parameter monitoring or re-evaluation of its corrosion control treatment given the potentially different water quality considerations. Any proposed changes to add a new source or long-term change in treatment must be consistent with section 5-1.22(a) and approved by the State prior to implementation.

(d) Additional monitoring by systems. The results of any monitoring conducted in addition to the minimum requirements of this section shall be considered by the system and the State in making any determinations (i.e., calculating the 90th percentile lead or copper level) under sections 5-1.40 through 5-1.48.  

(e) Invalidation of lead or copper tap water samples. The State may invalidate a lead or copper tap water sample if one of the following conditions is met. 

(1) The laboratory establishes that improper sample analysis caused erroneous results.

(2) The State determines that the sample was taken from a site that did not meet the site selection criteria of this section.

(3) The sample container was damaged in transit.

(4) There is substantial reason to believe that the sample was subject to tampering.

If a sample is invalidated, it does not count toward determining lead or copper 90th percentile levels or toward meeting the minimum monitoring requirements for that system. To invalidate a sample, the decision and the rationale for the decision must be documented in writing.

The system shall submit to the State, for invalidation determination, the results it believes should be invalidated along with supporting documentation and the rationale for supporting invalidation of the samples. If after invalidation of sample results, the system has too few samples to meet minimum sampling requirements, replacement samples shall be taken as soon as possible, but no later than 20 days after invalidation or by the end of the applicable monitoring period, whichever is later. Replacement samples apply only to the monitoring period associated with the original sample, and shall be taken from the same location. If resampling from the same location is not possible or the sample site was invalidated, the resample may be taken from other sites in the sampling pool not already used for sampling during that monitoring period. 

(f) Monitoring waivers for systems serving 3,300 or fewer persons. Any water system that serves 3,300 or fewer persons and meets the criteria in this subdivision may be eligible for a waiver to reduce monitoring of lead and copper to once every nine years (“full waiver”), or only for lead, or only for copper (“partial waiver”).  The system must demonstrate that its distribution system and service lines and all drinking water supply plumbing, including plumbing conveying drinking water within all residences and buildings connected to the system, are free of lead-containing materials and/or copper-containing materials as those terms are defined as follows: 

(1) Lead. To qualify for a full waiver or a waiver of the tap water monitoring requirements of lead (i.e. a “lead waiver”), the water system must provide certification and supporting documentation to the State that the system is free of all lead-containing materials, as follows:

(i) It contains no plastic pipes which contain lead plasticizers, or plastic service lines which contain lead plasticizers; and

(ii) It is free of lead service lines, lead pipes, lead soldered pipe joints, and leaded brass or bronze alloy fittings and fixtures, unless such fittings and fixtures meet the specifications of any standard established pursuant to section 5-1.22(a) (Approval of Plans and Completed Works).

(2) Copper. To qualify for a full waiver or a waiver of the tap water monitoring requirements of copper (i.e. a “copper waiver”), the water system must provide certification and supporting documentation to the State that the system contains no copper pipes or copper service lines.

(3) Approval of waiver application.  The system will be notified of the State’s determination in writing, setting forth the basis for its decision and any condition of the waiver. The System may be required to perform specific activities (e.g., limited monitoring, periodic outreach to customers to remind them to avoid installation of materials that might void reduced monitoring) to avoid the risk of lead or copper concentration of concern in tap water. A system serving fewer than 3,300 persons must continue monitoring for lead and copper at the tap as required in subdivision (f)(1)-(4) of this section, as appropriate, until it receives written notification that the reduced monitoring has been approved.

(4)       Monitoring frequency for systems with waivers.

(i) A system with a full waiver must conduct tap water monitoring for lead and copper in accordance with subdivision (c)(4) of this section at the reduced number of sampling sites identified in subdivision (a)(3) of this section at least once every nine years and provide the materials certification specified in subdivision (f) of this section for both lead and copper to the State along with the monitoring results.  Samples collected every nine years must be collected no later than every ninth calendar year.

(ii) A system with a partial waiver monitoring for a single contaminant must conduct tap water monitoring for that contaminant in accordance with subdivision (c)(4) of this section at the reduced number of sampling sites specified in subdivision (a)(3) of this section at least once every nine years and provide the materials certification specified in subdivision (f) of this section pertaining to the contaminant along with the monitoring results. Such systems must also continue to monitor for the contaminant not on reduced monitoring in accordance with requirements of subdivisions (b)(1) through (b)(3) and (c) of this section, as appropriate.

(iii) Any water system with a full or partial wavier must notify the State in writing in accordance with section 5-1.48(a)(3) of any upcoming long-term change in treatment or addition of a new source. The State must review and approve the addition of a new source or change in water treatment before it is implemented by the water system. The State has the authority to require the system to add or modify waiver conditions (e.g., require recertification that the system is free of lead-containing and/or copper-containing materials require additional round(s) of monitoring), if it deems such modifications are necessary to address treatment or source water changes at the system.

(iv) If a system with a full or partial waiver becomes aware that it is no longer free of lead-containing or copper-containing materials, as appropriate, (e.g., as a result of new construction or repairs), the system must notify the State in writing no later than 60 days after becoming aware of such a change.

(5) Continued eligibility.  Systems may continue to be eligible for a waiver, and such waiver will renew automatically, unless any of the conditions listed in subparagraphs (i)-(iii) of this paragraph occurs.  If a waiver is not renewed, the system shall meet the requirements for action level exceedances or for the three-year reduced monitoring cycle, as appropriate.  A system whose waiver has been revoked may re-apply for a waiver at such time as it again meets the appropriate materials and monitoring criteria of subdivisions (f)(1) and (f)(2) of this section.

(i) A system with a full waiver or a lead waiver no longer satisfies the materials criteria of subdivision (f)(1)(i) of this section or has a 90th percentile lead level greater than 0.005 mg/L.

(ii) A system with a full waiver or a copper waiver no longer satisfies the materials criteria of subdivision (f)(2) of this section or has a 90th percentile copper level greater than 0.65 mg/L.

(iii) The State notifies the system, in writing, that the waiver has been revoked, setting forth the basis of its decision.

(6) Requirements following waiver revocation. A system whose full or partial waiver has been revoked by the State is subject to the corrosion control treatment and lead and copper tap water monitoring requirements, as follows:

(i) If the system exceeds the lead and/or copper action level, the system must implement corrosion control treatment as specified in section 5-1.41(c)(2), and any other applicable requirements.

(ii) If the system meets both the lead and the copper action level, the system must monitor for lead and copper at the tap no less frequently than once every three years using the reduced number of sample sites specified in section 5-1.43(a)(2).

(7) Any water system with a full or partial waiver shall notify the State in writing of any upcoming long-term change in treatment or addition of a new source, consistent with section 5-1.22(a) and approved by the State prior to implementation. The State must review and approve the addition of a new source or long-term change in water treatment before it is implemented by the water system. The State may require the system to add or modify waiver conditions (e.g., require recertification that the system is free of lead-containing and/or copper-containing materials, require additional round(s) of monitoring), if it deems such modifications are necessary to address treatment or source water changes at the system.

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.43 - Monitoring requirements for water quality parameters

5-1.43 Monitoring requirements for water quality parameters.

All systems serving over 50,000 persons and systems that exceed the lead or copper action level shall monitor water quality parameters in addition to lead and copper in tap water in accordance with this section. 

(a) Sample requirements.

(1) Sample collection method.

(i) Distribution system (tap) samples shall be representative of water quality throughout the distribution system, taking into account the number of persons served, the different sources of water, the different treatment methods employed by the system, and seasonal variability.  Distribution system sampling under this section is not required to be conducted at taps targeted for lead and copper sampling under section 5-1.42(a).

(ii) Entry point samples to the distribution system shall be from locations representative of each source after treatment. If a system draws water from more than one source and the sources are combined before distribution, the system shall sample at entry point(s) representative of normal operating conditions.

(2) Number of samples. 

(i) A water system conducting standard monitoring shall collect two samples for applicable water quality parameters during each monitoring period specified in subdivision (b) of this section from the number of distribution system sampling sites listed in the table below under “Standard Monitoring.” A water system conducting reduced monitoring shall collect two samples for applicable water quality parameters during each monitoring period specified in subdivision (c) of this section from the number of distribution system sampling sites listed in the table below under “Reduced Monitoring.” Such reduced monitoring sites shall be representative of the sites required for standard monitoring.

 

 

Population Served

Standard Monitoring

Reduced Monitoring

          (Sample Sites)

(Sample Sites)

>100,000

25

10

10,001 to 100,000

10

7

3,301 to 10,000

3

3

501 to 3,300

2

2

101 to 500

1

1

<101

1

1

 

 

(ii) A water system conducting monitoring in accordance with subdivision (b)(1) of this section shall collect two entry point samples for each applicable water quality parameter at each entry point to the distribution system during each six-month monitoring period. A water system conducting monitoring in accordance with subdivisions (b)(2), (b)(3), and (c) of this section shall collect one entry point sample for each applicable water quality parameter at each entry point to the distribution system, or each applicable entry point in accordance with subdivision (b)(2)(iii), at the frequency specified in subdivision (b)(2)(ii).

(b) Standard Monitoring. Required samples shall be collected during six-month monitoring periods, beginning January 1 or July 1 of each calendar year.

(1) Initial sampling. All systems serving more than 50,000 persons shall measure the applicable water quality parameters during each six-month monitoring period specified in section 5-1.42(b)(1). All systems serving 50,000 or fewer persons shall measure the applicable water quality parameters during each six-month monitoring period during which the system exceeds the lead or copper action level. Applicable water quality parameters at taps and entry points include: pH; alkalinity; conductivity; water temperature; calcium; and orthophosphate or silica, as appropriate to the corrosion control treatment used.

(2) Monitoring after installation of corrosion control. Any system which installs optimal corrosion control treatment shall measure the water quality parameters at the locations and frequencies specified below during each six-month monitoring period specified in section 5-1.42(b)(2).

(i) two samples shall be collected at taps in the distribution system for the following parameters:  pH; alkalinity; calcium; and orthophosphate or silica, as appropriate to the corrosion control treatment used.

(ii) one sample shall be collected at each entry point: Except as provided in subdivision (b)(2)(iii) of this section, at least one sample no less frequently than every two weeks (biweekly) for pH; alkalinity (and a reading of the dosage rate of the chemical used to adjust alkalinity, when alkalinity is adjusted); calcium; orthophosphate or silica, as appropriate to the corrosion control treatment used; and a reading of the dosage rate of the corrosion control treatment chemical used. 

(iii) A ground water system may limit entry point sampling described in subdivision (b)(2)(ii) of this section to those entry points that are representative of water quality and treatment conditions throughout the system. If water from untreated ground water sources mixes with water from treated ground water sources, the system shall monitor for water quality parameters both at representative entry points receiving treatment and representative entry points receiving no treatment. Prior to the start of any monitoring under this paragraph, the system shall provide to the State written information identifying the selected entry points and documentation, including information on seasonal variability, sufficient to demonstrate that the sites are representative of water quality and treatment conditions throughout the system.

(3) Monitoring after State specifies water quality parameter values for optimal corrosion control. After the State specifies the values for applicable water quality control parameters reflecting optimal corrosion control treatment, all systems serving more than 50,000 persons and any system serving 50,000 or fewer persons that has optimal corrosion control treatment installed shall measure the applicable water quality parameters during each six-month monitoring period specified in section 5-1.42(b)(3), in accordance with subdivisions (b)(2)(i)-(iii) of this section, and determine compliance with the requirements of section 5-1.41(g) during each six-month monitoring period specified in section 5-1.42(b)(3).

(c) Reduced monitoring. 

(1) Reducing the number of sampling sites. Any water system that maintains the range of State specified values for the water quality parameters reflecting optimal corrosion control treatment during each of two consecutive six-month monitoring periods under subdivision (b)(3) of this section shall continue monitoring at the entry point(s) to the distribution system as specified in subdivision (b)(2)(ii)-(iii) of this section. Such system may collect two distribution system samples for applicable water quality parameters from the reduced number of sites in accordance with subdivision (a)(2)(i) of this section during each six-month monitoring period.

(2) Reducing sampling frequency.

(i) Any water system that maintains the range of State-specified values for the water quality parameters reflecting optimal corrosion control treatment during three consecutive years of monitoring in accordance with subdivision (c)(1) of this section may reduce the frequency with which it collects the number of distribution system samples for applicable water quality parameters specified in subdivision (c)(1) of this section from every six months to annually. This sampling shall begin during the calendar year immediately following the end of the monitoring period in which the third consecutive year of six-month monitoring occurs. Any water system that maintains the range of State-specified values for the water quality parameters reflecting optimal corrosion control treatment during three consecutive years of annual monitoring under this paragraph may reduce the frequency with which it collects the number of distribution system samples for applicable water quality parameters specified in subdivision (c)(1) of this section from annually to every three years. 

(ii) A water system may reduce the frequency with which it collects the number of distribution system samples for applicable water quality parameters specified in subdivision (c)(1) of this section to every three years if it demonstrates during two consecutive monitoring periods that its tap water lead level at the 90th percentile is less than or equal to the PQL for lead specified in section 5-1.40(b)(1), that its tap water copper level at the 90th percentile is less than or equal to 0.65 mg/L for copper, and that it also has maintained the range of values for the water quality parameters reflecting optimal corrosion control treatment specified by the State under section 5-1.41(f).

(iii) Monitoring conducted every three years shall be done no later than every third calendar year.

(3) A water system that conducts reduced sampling frequency shall collect these samples evenly throughout monitoring period in which samples are taken so as to reflect seasonal variability.

(4) Any water system subject to the reduced monitoring frequency that fails to operate at or above the minimum value or within the range of values for the water quality parameters specified by the State under section 5-1.41(f) for more than nine days in any six-month period shall resume distribution system tap water sampling in accordance with the number and frequency requirements in subdivision (b)(3) of this section. The water system may resume annual monitoring for water quality parameters at the tap at the reduced number of sites specified in subdivision (a)(2)(i) of this section after it has completed two subsequent consecutive six-month rounds of monitoring that meet the criteria of that subdivision and/or may resume triennial monitoring for water quality parameters at taps in the distribution system at the reduced number of sites after it demonstrates through subsequent rounds of monitoring that it meets the criteria of either subdivision (c)(2)(i) or (c)(2)(ii) of this section.

(d) Additional monitoring by systems. The results of any monitoring conducted in addition to the minimum requirements of this section shall be considered by the system and the State in making any compliance determinations (i.e., determining concentrations of water quality parameters).

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.44 - Monitoring Requirements for Lead and Copper in Source Water

5-1.44 Monitoring Requirements for Lead and Copper in Source Water.

A water system that exceeds the lead or copper action level based on first draw tap water samples collected in accordance with section 5-1.42 shall collect lead and copper source water samples in accordance with the following requirements: 

(a) Sample Requirements. 

(1) Water systems shall take a minimum of one sample at every entry point to the distribution system which is representative of each source after treatment. The system shall collect each sample at the same sampling point unless conditions make another sampling point more representative of each source or treatment plant. If a system draws water from more than one source and the sources are combined before distribution, the system shall sample at entry point(s) to be representative of normal operating conditions, when water is representative of all sources being used.

(2) The State may reduce the total number of samples which shall be analyzed by allowing the use of compositing. Compositing of samples shall be done by certified laboratory personnel. Composite samples from a maximum of five samples are allowed, provided that the method detection limit (MDL) for lead of 0.001 mg/L is achieved. If the lead concentration in the composite sample is greater than or equal to 0.001 mg/L, or the copper concentration is greater than or equal to 0.160 mg/L, then either:

(i) A follow-up sample shall be taken and analyzed within 14 days at each sampling point included in the composite; or

(ii) If duplicates of or sufficient quantities from the original samples from each sampling point used in the composite are available, the system may use these instead of resampling.

(3) Where the results of sampling indicate an exceedance of State-specified maximum permissible source water levels established under section 5-1.45(a)(4), the State may require that one follow-up sample be collected as soon as possible after the initial sample was taken (but not to exceed two weeks) at the same sampling point. If a State-required follow-up sample is taken for lead or copper, then the results of the initial and follow-up samples shall be averaged to determine compliance with the State-specified maximum permissible levels. Any sample value below the detection limit shall be considered to be zero. Any value above the detection limit but below the practical quantitation limit (PQL) shall either be considered as the measured value or be considered one-half the PQL.

(b) Standard Monitoring.

(1) Monitoring frequency after system exceeds tap water action level. Any system which exceeds the lead or copper action level shall collect one source water sample from each entry point to the distribution system no later than six months after the end of the monitoring period during which the lead or copper action level was exceeded. For monitoring periods that are annual or less frequent, the end of the monitoring period is September 30 of the calendar year in which the sampling occurs, or if the State has established an alternate monitoring period, the last day of that period.

(2) Monitoring frequency after installation of source water treatment. Any system which installs source water treatment pursuant to section 5-1.45 shall collect an additional source water sample from each entry point to the distribution system during the two consecutive six-month monitoring periods immediately following the installation of treatment with the first monitoring period to begin either January 1 or July 1, whichever comes first.

(3) Monitoring frequency after State specifies maximum permissible source water levels or determines that source water treatment is not needed. 

(i) A system shall monitor at the frequency specified below in cases where the State specifies maximum permissible source water levels or determines that the system is not required to install source water treatment under section 5-1.45.

(a) A water system using only ground water shall collect samples once every three years with the first three year monitoring period to begin January 1 of the year in which the State determination is made under subdivision (b)(3)(i) of this section. Such systems shall collect samples once during each subsequent compliance period. Triennial samples shall be collected in the third calendar year.

(b) A water system using surface water (or a combination of surface and ground water) shall collect samples once during each calendar year with the first annual monitoring period to begin January 1 of the year in which the applicable State determination is made under subdivision (b)(3)(i) of this section.

(ii) A system is not required to conduct source water sampling for lead and/or copper if the system meets the action level for the specific contaminant in tap water samples during the entire source water sampling period applicable to the system under subdivision (b)(3)(i)(a) or (b) of this section.

(c) Reduced monitoring.

(1) A water system using only ground water may reduce the monitoring frequency for lead and copper in source water to once every nine-years provided that the samples are collected no later than every ninth calendar year and the system meets one of the following criteria:

(i) The system demonstrates that finished drinking water entering the distribution system has been maintained below the maximum permissible lead and copper concentrations specified by the State under section 5-1.45(a) during at least three consecutive years in which sampling was conducted under subdivision (b)(3)(i) of this section; or

(ii) The State has determined that source water treatment is not needed and the system demonstrates that the concentration of lead in source water was less than or equal to 0.005 mg/L and the concentration of copper in source water was less than or equal to 0.65 mg/L during at least three consecutive applicable monitoring periods in which sampling was conducted under subdivision (b)(3)(i) of this section. 

(2) A water system using surface water (or a combination of surface water and ground water) may reduce the monitoring frequency for lead and copper in source water to once during each nine-year compliance cycle provided that the samples are collected no later than every ninth calendar year and if the system meets one of the following criteria:

(i) The system demonstrates that finished drinking water entering the distribution system has been maintained below the maximum permissible lead and copper concentrations specified by the State for at least three consecutive years; or

(ii) The State has determined that source water treatment is not needed and the system demonstrates that, during at least three consecutive years, the concentration of lead in source water was less than or equal to 0.005 mg/L and the concentration of copper in source water was less than or equal to 0.65 mg/L.

(3) A water system that uses a new source of water is not eligible for reduced monitoring for lead and/or copper until concentrations in samples collected from the new source during three consecutive monitoring periods in accordance with subdivision (b)(2) or (3) of this section are below the maximum permissible lead and copper concentrations specified by the State.

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.45 - Source Water Treatment Requirements

5-1.45 Source Water Treatment Requirements.

A water system that exceeds the lead or copper action level based on first draw tap water samples collected in accordance with section 5-1.42 shall complete the applicable source water monitoring and treatment requirements and operate appropriate treatment to maintain lead and copper below levels specified by the State in accordance with the following requirements.

(a) Source water treatment requirements.

(1) A water system exceeding the lead or copper action level shall complete required lead and copper source water monitoring in accordance with section 5-1.44(b)(1) and make an appropriate treatment recommendation to the State no later than 180 days after the end of the monitoring period during which the system exceeds the lead or copper action level. A system may recommend that no treatment be installed based upon a demonstration that source water treatment is not necessary to minimize lead and copper levels at users' taps.

(2) Based on an evaluation of the results of all required source water sampling, the State shall make a determination if source water treatment is necessary and may require:

(i) source water treatment as recommended by the system; or

(ii) alternative source water treatment that would minimize lead and copper levels at user’s taps.  Completion of proper installation and operation of the State specified source water treatment shall occur within 24 months of State determination and notification of the specified treatment to the water system.

(3) The water system shall complete standard monitoring for tap water in accordance with section 5-1.42(b) and source water in accordance with subdivision (b)(2) of this section following installation of source water treatment.

(4) Based on a review of the source water samples taken by the water system both before and after the system installs source water treatment, the State shall:

(i) determine whether the system has properly installed and operated the source water treatment designated by the State; and

(ii) specify maximum permissible source water concentrations for water entering the distribution system. Such levels shall reflect the contaminant removal capability of the treatment when properly operated and maintained.

(b) Operation and maintenance requirements.

(1) Each water system shall operate in a manner that minimizes lead and copper levels at user’s taps by maintaining lead and copper levels below State-specified maximum permissible concentrations at each of the required source water sampling locations in accordance with section 5-1.44. The system is out of compliance with this paragraph if the level of lead or copper at any sampling point is greater than the State-specified maximum permissible concentration.

(2) The State may modify its determination of the source water treatment under subdivision (a)(2) of this section, or maximum permissible lead and copper concentrations for finished water entering the distribution system under subdivision (a)(4) of this section where it concludes that such change is necessary to ensure that the system continues to minimize lead and copper concentrations in source water.

 

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.46 - Lead Service Line Replacement

5-1.46 Lead Service Line Replacement.

(a) Water systems that fail to meet the lead action level in tap samples collected after installing corrosion control treatment and/or source water treatment (whichever occurs later) shall replace lead service lines in accordance with the requirements of this section. Water systems that fail to install optimal corrosion control treatment in accordance with section 5-1.41(c) or source water treatment in accordance with section 5-1.45(a)(2) by the date(s) specified by the State may be required to begin replacement of lead service lines.

(b) Determining number of lead service lines for replacement.

(1) A water system shall replace annually at least 7 percent of the initial number of lead service lines in its distribution system. The initial number of lead service lines is the number of lead lines in place at the time the replacement program begins. The system shall identify the initial number of lead service lines in its distribution system, including an identification of the portion(s) owned by the system, based on materials evaluation, including the evaluation required under section 5-1.42(a) and relevant legal authorities (e.g. contracts, local ordinances) regarding the portion owned by the system. The first year of lead service line replacement shall begin on the first day following the end of the monitoring period in which the action level was exceeded in tap sampling referenced in subdivision (a) of this section. If monitoring is required annually or less frequently, the end of the monitoring period is September 30 of the calendar year in which the sampling occurs. If an alternate monitoring period applies, then the end of the monitoring period will be the last day of that period.  

(2) A water system is not required to replace an individual lead service line if the results of all samples representative of water in the lead service line, collected in accordance with section 5-1.42(a)(2)(iii) of this Subpart, are less than or equal to 0.015 mg/L.  

(3) The total number of lines replaced, either entirely or partially per subdivision (c) of this section, shall equal at least 7 percent of the initial number of lead lines identified under subdivision (b)(1) of this section or the percentage specified by the State as per subdivision (d) of this section.  

(4) Any water system resuming a lead service line replacement program after the cessation of its lead service line replacement program as allowed by subdivision (f) of this section shall update its inventory of lead service lines to include those sites that were previously determined not to require replacement through the sampling provision under subdivision (c) of this section. The system will then divide the updated number of remaining lead service lines by the number of remaining years in the program to determine the number of lines that shall be replaced per year (7-percent lead service line replacement is based on a 15-year replacement program). For those systems that have completed a 15-year lead service line replacement program, the State will determine a schedule for replacing or re-testing lines that were previously tested under the replacement program if the system re-exceeds the action level.

(c) A water system shall replace the portion of the lead service line that it owns. In cases where the system does not own the entire lead service line, the system shall notify the owner of the line, or the owner’s authorized agent, that the system will replace the portion of the service line that it owns and shall offer to replace the owner’s portion of the line. A system is not required to bear the cost of replacing the privately-owned portion of the line, where the owner chooses not to pay the cost of replacing the privately-owned portion of the line, or where replacing the privately- owned portion would be precluded by State, local or common law. A water system that does not replace the entire length of the service line also shall complete the following tasks:

(1) At least 45 days prior to commencing with partial replacement of a lead service line, the water system shall provide notice to the resident(s) of all buildings served by the line explaining that they may experience a temporary increase of lead levels in their drinking water, along with guidance on measures consumers can take to minimize their exposure to lead. The State may allow the water system to provide notice of less than 45 days prior to commencing partial lead service line replacement, if such replacement is done in conjunction with emergency repairs. In addition, the water system shall inform the resident(s) served by the line that the system will, at the system’s expense, collect a sample from each partially-replaced lead service line that is representative of the water in the service line for analysis of lead content, as prescribed in section 5-1.42(a)(2)(iii) of this Subpart, within 72 hours after the completion of the partial replacement of the service line. The system shall collect the sample and report the results of the analysis to the owner and the resident(s) served by the line within three business days of receiving the results. Mailed notices post-marked within three business days of receiving the results shall be considered “on time.”

(2) The water system shall provide the information required by subdivision (c)(1) of this section to the residents of individual dwellings by mail or by other methods approved by the State. In instances where multi-family dwellings are served by the service line, the water system shall have the option to post the information at a conspicuous location.

(d) The State shall require a system to replace lead service lines on a shorter schedule than that required by this section, taking into account the number of lead service lines in the system, where a shorter replacement schedule is feasible. The State shall make this determination in writing and notify the system of its finding within 6 months after the system is triggered into lead service line replacement based on monitoring results referenced in subdivision (a) of this section.

(e) Any water system may cease replacing lead service lines whenever first draw tap water samples meet the lead action level during each of two consecutive six-month monitoring periods. If subsequent rounds of first draw tap water sampling exceed the lead action level the water system shall recommence replacing lead service lines in accordance with subdivision (b) of this section.

(f) To demonstrate compliance with subdivisions (a) through (d) of this section, a system shall report to the State the information specified and no later than the schedule described in 40 CFR 141.90(e).

 

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.47 - Notification and Public Education Requirements

5-1.47 Notification and Public Education Requirements.

(a) Notification of results to consumers. All water systems shall provide notice of the individual tap results from lead tap water monitoring carried out under the requirements of section 5-1.42 to the persons served by the water system at the specific sampling site from which the sample was taken (i.e., the occupants of the residence where the tap was tested). Water systems that exceed the lead action level shall sample the tap water of any customer who requests it in accordance with subdivision (i) of this section.

(1) Notice shall be provided as soon as practical, but no later than 30 days after the system learns of the tap monitoring results.

(2) Notice shall be provided either by mail or by another method approved by the State.

(3) Notice shall include the lead levels for the tap that was tested, an explanation of the health effects of lead, a list of steps consumers can take to reduce exposure to lead in drinking water, and contact information for the water utility. The notice shall also provide the maximum contaminant level goal and the action level for lead and the definitions for these two terms from section 5-1.72(f).

(b) Public education material content and delivery. A water system that exceeds the lead action level based on tap water samples collected in accordance with section 5-1.42 shall deliver public education materials in accordance with paragraphs (1) and (2) of this subdivision.

(1) Content of public education materials.

(i) Community water systems and nontransient noncommunity water systems. Water systems shall include the following elements in printed materials (e.g., brochures and pamphlets) in the same order as listed below. In addition, language in subdivision (b)(1)(i)(a) through (b) and (b)(1)(i)(f) of this section shall be included in the materials, exactly as written, except for the text in brackets in these clauses for which the water system shall include system-specific information.  Any additional information presented by a water system shall be consistent with the information below and be in plain language that can be understood by the general public. Water systems shall submit all written public education materials to the State for approval prior to delivery.  

(a) IMPORTANT INFORMATION ABOUT LEAD IN YOUR DRINKING WATER. [Insert Name of Water System] found elevated levels of lead in drinking water in some homes/buildings. Lead can cause serious health problems, especially for pregnant women and young children. Please read this information closely to see what you can do to reduce lead in your drinking water.

(b) Health effects of lead. Lead can cause serious health problems if too much enters your body from drinking water or other sources. It can cause damage to the brain and kidneys, and can interfere with the production of red blood cells that carry oxygen to all parts of your body. The greatest risk of lead exposure is to infants, young children, and pregnant women. Scientists have linked the effects of lead on the brain with lowered IQ in children. Adults with kidney problems and high blood pressure can be affected by low levels of lead more than healthy adults. Lead is stored in the bones, and it can be released later in life. During pregnancy, the child receives lead from the mother’s bones, which may affect brain development.

(c) Provide information on sources of lead.  

(1) Explain what lead is.  

(2) Explain possible sources of lead in drinking water and how lead enters drinking water.  Include information on home/building plumbing materials and service lines that may contain lead.

(3) Discuss other important sources of lead exposure in addition to drinking water (e.g., lead-based paint).

(d) Discuss the steps consumers can take to reduce their exposure to lead in drinking water.

(1) Encourage running the water to flush out lead.

(2) Explain concerns with using hot water from the tap and specifically caution against the use of hot water for preparing baby formula.

(3) Explain that boiling water does not reduce lead levels.

(4) Discuss other options consumers can take to reduce exposure to lead in drinking water, such as alternative sources or treatment of water.

(5) Suggest that parents have their child’s blood tested for lead.

(e) Explain why there are elevated levels of lead in the system’s drinking water (if known) and what the water system is doing to reduce the lead levels in homes/buildings in this area.

(f) For more information call us at [Insert Your Number] [(If Applicable), or visit our website at [Insert Your website Here]]. For more information on reducing lead exposure around your home/building and the health effects of lead, visit EPA’s website at http://www.epa.gov/lead or contact your health care provider.

(ii) Community water systems. In addition to including the elements specified in subdivision (b)(1) of this section, community water systems shall:

(a) Tell consumers how to get their water tested.

(b) Discuss lead in plumbing components, the difference between low lead and lead free, the requirement to use lead-free materials, and the standards that materials shall meet in order to be considered lead free.

(iii) Each water system required to deliver public education materials through additional means specified in subdivision (b)(2)(i) through (ii) of this section shall include additional content as determined in consultation with the State. 

(2) Delivery of public education materials.

(i) For public water systems serving a large proportion of non-English speaking consumers, as determined by the State, the public education materials shall contain information in the appropriate language(s) regarding the importance of the notice or contain a telephone number or address where persons served may contact the water system to obtain a translated copy of the public education materials or to request assistance in the appropriate language.

(ii) A community water system that exceeds the lead action level and that is not already conducting public education tasks under this section, shall conduct the following public education tasks within 60 days after the end of the monitoring period in which the exceedance occurred. For systems that are required to conduct monitoring annually or less frequently, the end of the monitoring period is September 30 of the calendar year in which the sampling occurs or, if the State has established an alternate monitoring period, the last day of that period:

(a) Deliver printed materials meeting the content requirements of subdivision (a) of this section to all bill paying customers.

(b) Contact consumers who are most at risk by delivering education materials that meet the content requirements of subdivision (a) of this section as follows:

(1) Contact the State for information regarding community based organizations serving target populations and deliver education materials to all appropriate organizations along with an informational notice that encourages distribution to all the organization’s potentially affected customers or community water system’s users as determined in consultation with the State. 

(2) Contact customers who are most at risk by delivering materials to the following organizations that are located within the water system’s service area, along with an informational notice that encourages distribution to all the organization’s potentially affected customers or community water system’s users:

(i) Public and private schools or school boards.

(ii) Women, Infants and Children (WIC) and Head Start programs.

(iii) Public and private hospitals and medical clinics.

(iv) Pediatricians.

(v) Family planning clinics.

(vi) Local welfare agencies.

(3) Make a good faith effort to locate the following organizations within the service area and deliver materials, along with an informational notice that encourages distribution to all potentially affected customers or users. The good faith effort to contact at-risk customers may include requesting a specific contact list of these organizations from the State:

(i) Licensed childcare centers.

(ii) Public and private preschools.

(iii) Obstetricians-Gynecologists and Midwives.

(c) No less often than quarterly, provide information on or in each water bill as long as the system exceeds the action level for lead. The message on the water bill shall include the following statement exactly as written except for the text in brackets for which the water system shall include system-specific information: [Insert Name of Water System] found high levels of lead in drinking water in some homes. Lead can cause serious health problems. For more information please call [Insert Name of Water System] [or visit (Insert Your website Here)]. The message or delivery mechanism can be modified in consultation with the State; specifically, the State may allow a separate mailing of public education materials to customers if the water system cannot place the information on water bills.

(d) Post material meeting the content requirements of subdivision (a) of this section on the water system’s website if the system serves a population greater than 100,000 or if the water system maintains a publicly accessible website.

(e) Submit a press release to newspaper, television and radio stations.

(f) In addition to the other requirements of this section, systems shall implement at least three activities from one or more categories listed below. The educational content and selection of these activities must be determined in consultation with the State.

(1) Public service announcements.

(2) Paid advertisements.

(3) Public area informational displays.

(4) E-mails to customers.

(5) Public meetings.

(6) Household deliveries.

(7) Targeted individual customer contact.

(8) Direct material distribution to all multi-family homes and institutions.

(9) Other methods approved by the State.

(c) As long as a community water system exceeds the action level, it shall repeat the activities pursuant to subdivision (c)(1) through (4) of this section.

(1) A community water system shall repeat the tasks contained in subdivisions (a), (b) and (f) of this section every 12 months.

(2) A community water system shall repeat tasks contained in subdivision (c) of this section with each billing cycle.

(3) A community water system serving a population greater than 100,000 shall post and retain material on a publicly accessible website pursuant to subdivision (d) of this section.

(4) The community water system shall repeat the tasks in subdivision (b)(2)(ii)(a),(b) and (d) of this section twice every 12 months on a schedule agreed upon with the State. The State may allow activities in subdivision (b)(2)(ii)(b) of this section to extend beyond the 60-day requirement if needed for implementation purposes on a case-by-case basis; however, this extension must be approved in writing by the State in advance of the 60-day deadline.

(d) A nontransient noncommunity water system that exceeds the lead action level and that is not already conducting public education tasks under this section shall conduct the following public education tasks within 60 days after the end of the monitoring period in which the exceedance occurred. For systems that are required to conduct monitoring annually or less frequently, the end of the monitoring period is September 30 of the calendar year in which the sampling occurs or, if the State has established an alternate monitoring period, the last day of that period:

(1) post informational posters on lead in drinking water in a public place or common area in each of the buildings served by the system; and

(2) distribute informational pamphlets and/or brochures on lead in drinking water to each person served by the nontransient noncommunity water system. The State may allow the system to utilize electronic transmission in lieu of or combined with printed materials as long as it achieves at least the same coverage.

(e) A nontransient noncommunity water system shall repeat the tasks contained in subdivision (d) of this section at least once during each calendar year in which the system exceeds the lead action level. The State may allow activities in this section to extend beyond the 60-day requirement if needed for implementation purposes on a case-by-case basis; however, this extension must be approved in writing by the State in advance of the 60-day deadline.

(f) A water system may discontinue delivery of public education materials if the system has met the lead action level during the most recent six-month monitoring period. Such a system shall recommence public education in accordance with this section if it exceeds the lead action level during any subsequent monitoring period.

(g) A community water system may use only the text specified in subdivisions (b)(1)(i) and (b)(1)(ii) of this section in lieu of the text in subdivisions (b)(1)(i) through (b)(1)(iii) of this section, and to perform the tasks listed in subdivisions (d) and (e) of this section in lieu of the tasks in subdivisions (b)(2)(ii) and (b)(3) of this section if:

(1) the system is a facility, such as a prison or a hospital, where the population served is not capable of or is prevented from making improvements to plumbing or installing point of use treatment devices;  

(2) the system provides water as part of the cost of services provided and does not separately charge for water consumption; and

(3) the State has not directed the water system to conduct broader distribution of education material as needed if in its judgment education materials are not reaching the system’s consumers.

(h) A community water system serving 3,300 or fewer people may limit certain aspects of their public education programs as follows:

(1) With respect to the requirements of subdivision (b)(2)(ii)(f) of this section, a system serving 3,300 or fewer shall implement at least one of the activities listed in that clause.

(2) With respect to the requirements of subdivision (b)(2)(ii)(b) of this section, a system serving 3,300 or fewer people may limit the distribution of the public education materials required under that clause to facilities and organizations served by the system that are most likely to be visited regularly by pregnant women and children.

(3) With respect to the requirements of subdivision (b)(2)(ii)(e) of this section, the State may waive this requirement for systems serving 3,300 or fewer persons as long as system distributes notices to every household served by the system.

(i) Consumer requests for lead sampling. A water system that fails to meet the lead action level on the basis of tap samples collected in accordance with section 5-1.42 shall provide assistance in determining lead levels at the tap of any customer who requests it. Systems may collect and analyze the samples, but are not obligated to incur expenses. Systems are also not obligated to collect and analyze samples itself, but shall provide information about laboratories providing this service.

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.48 - Reporting and Record Keeping Requirements

5-1.48 Reporting and Record Keeping Requirements.

(a) Reporting requirements for tap water monitoring for lead and copper and for water quality parameter monitoring.  

(1) Unless the State has specified a more frequent reporting requirement, a water system shall report the following information for all tap water samples specified in section 5-1.42 and for all water quality parameter samples specified in section 5-1.43 to the State within the first ten days following the end of each applicable monitoring period; for monitoring periods with a duration of less than six months, the end of the monitoring period is the last date samples can be collected during that period as specified in sections 5-1.42 and 5-1.43:

(i) results of all first draw lead and copper tap samples collected in accordance with section 5-1.42, including site locations and the criteria used in selecting the site in accordance with section 5-1.42(a)(1);

(ii) documentation for each tap water lead or copper sample for which the water system requests invalidation in accordance with section 5-1.42(e);

(iii) the 90th percentile lead and copper concentrations measured from among all lead and copper tap water samples collected during each monitoring period and calculated in accordance with section 5-1.41(c), unless the State calculates the system’s 90th percentile under subdivision (h) of this section;

(iv) with the exception of initial tap sampling conducted pursuant to section 5-1.42(b)(1)-(3), the system shall identify any site which was not sampled during previous monitoring periods, and include an explanation of changes in sampling sites if any; and

(v) the results of all tap samples for applicable water quality parameters collected in accordance with section 5-1.43(b)-(d).

(vi) The results of all samples collected at the entry point(s) to the distribution system for applicable water quality parameters under section 5-1.43(b)-(d).

(2) For a nontransient noncommunity water system, or a community water system meeting the criteria of section 5-1.47(b)(2)(g) that does not have enough taps that can provide first-draw samples, the system shall provide written documentation to the State identifying standing times and locations for enough first-draw samples to make up its sampling pool by the start of the first applicable monitoring period in accordance with section 5-1.42(a)(3) or, identify in writing, each site that did not meet the six-hour minimum standing time and the length of time for that particular substitute sample collected, and include this information with the lead and copper tap sample results that are required to be submitted pursuant to subdivision (a)(1)(i) of this section.

(3) At a time specified by the State, or if no specific time is designated by the State, then as early as possible prior to the addition of a new source or any long-term change in water treatment, a water system deemed to have optimized corrosion control, a water system subject to reduced monitoring pursuant, or a water system subject to a monitoring waiver pursuant, shall submit written documentation to the State describing the change or addition as required under section 5-1.22(a). A water system shall obtain approval from the State before implementing the addition of a new source or long-term change in water treatment. Examples of long-term treatment changes include the addition of a new treatment process or modification of an existing treatment process. Examples of modifications include switching secondary disinfectants, switching coagulants (e.g., alum to ferric chloride), and switching corrosion inhibitor products (e.g., orthophosphate to blended phosphate). Long-term changes can include dose changes to existing chemicals if the system is planning long-term changes to its finished water pH or residual inhibitor concentration. Long-term treatment changes would not include chemical dose fluctuations associated with daily raw water quality changes.

(4) Any system serving 3,300 or fewer persons applying for a monitoring waiver pursuant to section 5-1.42(f), shall provide the following information to the State in writing by the specified deadline:

(i) By the start of the first applicable monitoring period, any system serving 3,300 or fewer persons applying for a monitoring waiver shall provide the documentation required to demonstrate that it meets the requirements of section 5-1.42(f).

(ii) No later than nine years after the monitoring previously conducted pursuant to section 5-1.42(b) or (c), each system serving 3,300 or fewer persons desiring to maintain its monitoring waiver shall provide the information required by section 5-1.42(f)(1)-(3).

(iii) No later than 60 days after it becomes aware that it is no longer free of lead-containing and/or copper containing material, as appropriate, each system serving 3,300 or fewer persons with a monitoring waiver shall provide written notification to the State, stating the circumstances resulting in the lead-containing and/or copper-containing materials being introduced into the system and what corrective action, if any, the system plans to remove these materials.

(4) Each ground water system that limits water quality parameter monitoring to a subset of entry points under section 5-1.43(b)(2)(iii) shall provide by the commencement of such monitoring, written correspondence to the State that identifies the selected entry points and includes information sufficient to demonstrate that the sites are representative of water quality and treatment conditions throughout the system.

(b) Source water monitoring reporting requirements.

(1) A water system shall report the sampling results for all source water samples collected in accordance with section 5-1.44 within the first 10 days following the end of each source water monitoring period.

(2) With the exception of the first round of source water sampling conducted, the system shall specify any site which was not sampled during previous monitoring periods, and include an explanation of why the sampling point has changed.

(c) Corrosion control treatment reporting requirements. By the applicable dates under section 5-1.41(c) or a date specified by the State, systems shall report the following:

(1) For systems demonstrating that they have already optimized corrosion control, information required in section 5-1.41(b).

(2) For systems required to optimize corrosion control, their recommendation regarding optimal corrosion control treatment in accordance with section 5-1.41(c)(3).

(3) For systems required to evaluate the effectiveness of corrosion control treatments, the information required for corrosion control studies in accordance with section 5-1.41(c)(3).

(4) For systems required to install optimal corrosion control designated by the State, a letter certifying that the system has completed installing that treatment in accordance with section 5-1.41(e).

(d) Source water treatment reporting requirements. In accordance with section 5-1.45, systems shall report the following:

(1) For systems required to make a source water treatment recommendation in accordance with section 5-1.45(a)(1), the information required by that section.

(2) For systems required to install source water treatment in accordance with section 5-1.45(a)(2), a letter certifying that the system has completed installing the treatment designated by the State within 24 months after the State designated the treatment.

(e) Lead service line replacement reporting requirements. Water systems subject to the requirements of section 5-1.46 shall report the following to demonstrate compliance with that section:

(1) No later than 12 months after the end of a monitoring period in which a system exceeds the lead action level in sampling referred to in section 5-1.46(a), the system shall submit written documentation to the State of the material evaluation conducted as required in section 5-1.42(a), identify the initial number of lead service lines in its distribution system at the time the system exceeds the lead action level, and provide the system’s schedule for annually replacing at least 7 percent of the initial number of lead service lines in its distribution system.  

(2) No later than 12 months after the end of a monitoring period in which a system exceeds the lead action level in sampling referred to in section 5-1.46(a), and every 12 months thereafter, the system shall demonstrate to the State in writing that the system has either:

(i) replaced in the previous 12 months at least 7 percent of the initial lead service lines in its distribution system; or

(ii)  conducted sampling which demonstrates that the lead concentration in all service line samples from an individual line(s), meeting the requirements of section 5-1.46(b)(2), is less than or equal to 0.015 mg/L. In such cases, the total number of lines replaced and/or which meet the criteria in section 5-1.46(b)(2) shall equal at least 7 percent of the initial number of lead lines identified under subdivision (e)(1) of this section or the percentage specified by the State under section 5-1.46(d).

(3) The annual letter submitted to the State under subdivision (e)(2) of this section shall contain the following information:

(i) the number of lead service lines replaced during the previous year of the system’s replacement schedule;

(ii) the number and location of each lead service line replaced during the previous year of the system’s replacement schedule; and

(iii) if measured, the lead concentration in the water and the location of each lead service line sampled, the sampling method, and the date of sampling.

(4) Any system which collects lead service line samples following partial lead service line replacement in accordance with section 5-1.46(c)(1) shall report the results to the State within the first ten days of the month following the month in which the system receives the laboratory results, or as specified by the State. Systems shall also report any additional information as specified by the State, and in a time and manner prescribed by the State, to verify that all partial lead service line replacement activities have taken place.

(f) Public education reporting requirements. Water systems shall report the following to demonstrate compliance with requirements of section 5-1.47:

(1) Each system shall mail a sample copy of the consumer notification of tap results to the State along with a certification that the notification has been provided no later than 3 months following the end of the monitoring period.

(2) Any water system that is subject to the public education requirements under section 5-1.47 shall, within ten days after the end of each period in which the system is required to perform public education, send written documentation to the State that contains:

(i) a demonstration that the system has delivered the public education materials that meet the content requirements in section 5-1.47(b)(1) and the delivery requirements in section 5-1.47(b)(2); and

(ii) a list of all newspapers, radio stations, television stations, and facilities and organizations to which the system delivered public education materials during the period in which the system was required to perform public education tasks.

(3) Unless required by the State, a system that previously has submitted the information required by subdivision (f)(2)(ii) of this section need not resubmit the information required, as long as there have been no changes in the distribution list and the system certifies that the public education materials were distributed to the same list submitted previously.

(g) Reporting of additional monitoring data. Any system which collects sampling data in addition to that required by this sections 5-1.40 through 5-1.48, including data collected in accordance with section 5-1.41(b)(6), and sections 5-1.42(d), and 5-1.43(d), shall report the results to the State within the first ten days following the end of the applicable monitoring period during which the samples were collected.

(h) Reporting the 90th percentile lead and copper concentration where the State calculates a system’s 90th percentile concentrations. A water system is not required to report the 90th percentile lead and copper concentration measured from among all lead and copper tap water samples collected during each monitoring period, as required by subdivision (a)(1)(iii) of this section if:

(1) The State has previously notified the water system that it will calculate the water system’s 90th percentile lead and copper concentrations, based on the lead and copper tap results submitted pursuant to subdivision (h)(2)(i) of this section, and has specified a date before the end of the applicable monitoring period by which the system shall provide the results of lead and copper tap water samples; and

(2) The system has provided the following information to the State by the date specified in subdivision (h)(1) of this section:

(i) the results of all tap samples for lead and copper including the location of each site and the criteria under section 5-1.42(a)(1)(iii)-(iv) under which the site was selected for the system's sampling pool, pursuant to subdivision (a)(1)(i) of this section; and

(ii) an identification of sampling sites utilized during the current monitoring period that were not sampled during previous monitoring periods, and an explanation why sampling sites have changed; and

(3) The State has provided the results of the 90th percentile lead and copper calculations, in writing, to the water system before the end of the monitoring period.

(i) Prior to the addition of a new source or any long-term change in water treatment, a water system deemed to have optimized corrosion control under section 5-1.41(b), a water system subject to reduced monitoring under section 5-1.42(c), or a water system subject to a monitoring waiver under section 5-1.42(f) shall submit written documentation to the State describing the proposed change or addition within a timeframe specified by the State, or if no specific time is designated by the State, then as early as possible.

(j) Recordkeeping requirements. Any system subject to the requirements of sections 5-1.40 through 5-1.48 shall retain on its premises original records of all sampling data and analyses, reports, surveys, letters, evaluations, schedules, State approvals and determinations, and any other information required by section 5-1.41 through 5-1.48. Each water system shall retain the records required by this section for no fewer than 12 years.

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

PUBLIC WATER SYSTEMS; MAXIMUM CONTAMINANT LEVELS; MONITORING REQUIREMENTS; NOTIFICATION REQUIREMENTS

Section 5-1.50 - Applicability and responsibility

PUBLIC WATER SYSTEMS; MAXIMUM CONTAMINANT LEVELS;

MONITORING REQUIREMENTS; NOTIFICATIONS REQUIRED

5-1.50 Applicability and responsibility. The provisions of this section and sections 5-1.51 through 5-1.52 of this Subpart shall apply to all public water systems. The supplier of water of a public water system is responsible for completion of the monitoring requirements set forth in such sections and for performing all analyses in accordance with the analytical requirements set forth in Appendix 5-C of this Subpart. At the discretion of the State, analyses performed by the State may be used for monitoring purposes.

Effective Date: 
Wednesday, December 30, 1992
Doc Status: 
Complete

Section 5-1.51 - Maximum contaminant levels, maximum residual disinfectant levels and treatment technique requirements

5-1.51 Maximum contaminant levels,maximum residual disinfectant levels and treatment technique requirements.

(a) The maximum contaminant levels, maximum residual disinfectant levels and treatment technique requirements are listed in section 5-1.52 tables 1 through 7 of this Subpart. In the case where an MCL, MRDL, or treatment technique requirement is exceeded, notwithstanding anything to the contrary contained in section 5-1.12 of this Subpart, the supplier of water will take the necessary steps to comply with this section, to ensure the protection of the public health, including the undertaking of remedial feasibility studies and the installation of a suitable treatment process. Compliance with the MCLs, MRDLs and treatment technique requirements shall be determined by the procedures contained in section 5-1.52 tables 1 through 7 of this Subpart.

(b) The minimum monitoring requirements for each contaminant are listed in section 5-1.52 tables 8A through 12 and 15A of this Subpart, except for public water systems with fewer than 15 service connections and which serve fewer than 25 persons, where monitoring will be at State discretion. For this section, State discretion shall mean requiring monitoring when the State has reason to believe an MCL, MRDL, or treatment technique requirement has been violated, the potential exists for an MCL, MRDL, or treatment technique violation or a contaminant may present a risk to public health.

(c) Each system shall develop and implement a monitoring plan that includes all monitoring requirements specified in this Subpart. The system shall maintain the plan and make it available for inspection by the State and the general public. After review, the State may require changes in any plan elements. Failure to monitor in accordance with the monitoring plan is a monitoring violation. Systems may only use data collected in accordance with the monitoring plan to qualify for reduced monitoring. The monitoring plan shall include at least the following elements, as applicable:

(1) specific locations and schedules for collecting samples for all applicable parameters listed in section 5-1.42, section 5-1.43, Tables 8A-12, 15 and 15A of section 5-1.52, section 5-1.61, and section 5-1.81 of this Subpart;

(2) how the system will calculate compliance with MCLs, MRDLs, and treatment techniques;

(3) if the system is a consecutive system, or it is providing water to a consecutive system, and has been approved for modified monitoring under the provisions of section 5-1.76 of this Subpart, the sampling plan must reflect the entire distribution system for any analytes approved for modified monitoring;

(4) consecutive ground water systems must define and implement a protocol for notifying the system from which they receive water of any total coliform positive samples so the source can be tested for fecal contamination, unless the wholesale ground water system provides 4-log virus treatment at peak flow before or at the first customer as confirmed through process compliance monitoring.

(5) Disinfection Byproduct Monitoring.

(i) The following requirements of this subdivision apply to community and nontransient noncommunity water systems that use or deliver water that has been treated with a primary or residual disinfectant other than ultraviolet light, provided they serve 15 or more service connections or serve 25 or more persons:

(a) if a new community or nontransient noncommunity water system begins operation, or an existing community or nontransient noncommunity water system begins using a disinfectant other than ultraviolet light, the system shall consult with the State to identify compliance monitoring locations for disinfection byproducts to include in the system’s monitoring plan, consistent with the requirements in 40 CFR 141.601 and 141.602, and for new systems that need an Initial Distribution System Evaluation (IDSE), consistent with 40 CFR 141.605; and

(b) if a community or nontransient noncommunity water system adds or removes compliance monitoring locations, the system shall identify additional locations by alternating selection of locations representing high TTHM levels and high HAA5 levels until the required number of compliance monitoring locations have been identified, as specified in section 5-1.52 Table 9A. Systems shall also provide the rationale for identifying the locations as having high levels of TTHM or HAA5.

(ii) Systems shall revise monitoring plans to reflect changes in treatment, distribution system operations and layout (including new service areas), other factors that may affect TTHM or HAA5 formation or upon consultation with the State. 

(a) If a system changes monitoring locations, it shall replace existing compliance monitoring locations with the lowest LRAA with new locations that reflect the current distribution system locations with expected high TTHM or HAA5 levels. 

(b) The State may require modifications in the monitoring plan.

(c) Surface water or GWUDI systems serving more than 3,300 people shall submit a copy of their modified monitoring plan to the State prior to the date they are required to comply with the revised monitoring plan. 

(iii) A system is in violation of the monitoring requirements for each quarter that a monitoring result would be used in calculating a LRAA if the system fails to monitor.

(d) The notification requirements for each contaminant are listed in section 5-1.52 table 13 of this Subpart.

(e) The CT values for inactivation of Giardia lamblia cysts by free chlorine at various pH and temperature levels are listed in section 5-1.52 Tables 14A through 14F of this Subpart. The CT values for inactivation of Giardia lamblia cysts by chlorine dioxide and ozone at various temperature levels are listed in section 5-1.52 Table 14G of this Subpart.  The CT values for inactivation of Giardia lamblia cysts by chloramines at various temperature levels are listed in section 5-1.52 Table 14H of this Subpart. The CT values for inactivation of Cryptosporidium by chlorine dioxide at various temperature levels are listed in section 5-1.52 Table 14I. The CT values for inactivation of Cryptosporidium by ozone at various temperature levels are listed in section 5-1.52 Table 14J. The UV doses for Cryptosporidium, Giardia lamblia, and virus inactivation credit are listed in section 5-1.52 Table 14K.

(f) The alternative disinfection monitoring frequency requirements using grab samples instead of continuous chlorine concentration monitoring is listed in section 5-1.52 table 15 of this Subpart.

(g) Monitoring and reporting frequencies for specific contaminants may be established at State discretion whenever the State believes that a potential exists for an MCL or MRDL violation or a contaminant may present a risk to public health.

(h) Notwithstanding anything to the contrary in subdivision (a) of this section, the Commissioner may recommend values lower than the MCLs if sufficient valid information based on commonly accepted scientific standards and principles demonstrates an increased public health concern. Within one year from the date of such recommendation, the State shall hold a public hearing regarding the justification for the lower value, and whether a new MCL is warranted.

(i) Notwithstanding anything to the contrary in section 5-1.52 table 3 the Commissioner may in specific cases except specific organic chemicals from the MCLs for general organic chemicals if the supplier of water can demonstrate that sufficient valid scientific information exists to show that the organic chemical does not pose an unreasonable risk to human health, the organic chemical is present at a level and under circumstances not indicative of contamination, and the cost of compliance is unreasonable in light of the risk to human health.

(j) Notwithstanding anything to the contrary in section 5-1.52 table 3 of this Subpart, the Commissioner may, based on receipt and review of a justification submitted by the supplier of water, allow a higher MCL for a period of up to 60 days following application of a paint or lining to a potable water structure, if he determines that an unreasonable risk to human health does not exist.

(k) Notwithstanding anything to the contrary in section 5-1.52 table 3A of this Subpart, systems may increase residual disinfectant levels of chlorine or chloramines (but not chlorine dioxide) in the distribution system to a level and for a time necessary to protect public health, to address specific microbiological contamination problems caused by circumstances such as, but not limited to, distribution line breaks, storm run-off events, source water contamination events, or cross-connection events.

(l) A system that is installing granular activated carbon (GAC) or membrane technology to comply with the trihalomethane and haloacetic acid MCLs listed in section 5-1.52 table 3 may apply to the State for an extension of up to 24 months past the compliance dates for those MCLs. Systems must comply with any interim measures and schedules of compliance set by the State.

(m) Each public water system must certify annually in writing to the State that when Acrylamide and Epichlorohydrin are used in drinking water systems, the combination (or product) of dose and monomer level does not exceed the levels specified as follows:

Acrylamide = 0.05% dosed at 1 ppm (or equivalent)

Epichlorohydrin = 0.01% dosed at 20 ppm (or equivalent)

Certification can rely on manufacturers or third parties, as approved by the State.

(n) For microbiological analysis, a standard sample size of 100 milliliters shall be used.

(o) Disinfection Byproduct Monitoring. The requirements of this subdivision apply to community and nontransient noncommunity water systems that use a primary or residual disinfectant other than ultraviolet light, or deliver water that has been treated with a primary or residual disinfectant other than ultraviolet light in accordance with monitoring requirements in Table 9A of section 5-1.52.

(1) Systems required to conduct quarterly monitoring shall calculate compliance at the end of each quarter or earlier if the LRAA calculated based on fewer than four quarters of data would cause the MCL to be exceeded regardless of the monitoring results of subsequent quarters in accordance with Table 3 of section 5-1.52.

(2) Systems required to conduct monitoring at a frequency that is less than quarterly shall monitor in the calendar month identified in the monitoring plan developed under subdivision (c) of this section. Compliance calculations shall be made beginning with the first compliance sample taken after the compliance date.

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.52 - Tables

5-1.52 Tables. To access tables click on the following link. If you have any problems, please contact the New York State Department of Health, Bureau of Public Water Supply Protection, Corning Tower, Empire State Plaza, Albany, NY 12237 at (518) 402-7650. https://www.health.ny.gov/regulations/nycrr/title_10/part_5/docs/subpart_5-1_tables.pdf

Effective Date: 
Wednesday, May 16, 2018
Doc Status: 
Complete

MONITORING AND CONTROL OF DISINFECTION BYPRODUCTS AND DISINFECTION BYPRODUCT PRECURSORS

Effective Date: 
Wednesday, January 17, 2018

Section 5-1.60 - Applicability

MONITORING AND CONTROL OF DISINFECTION BYPRODUCTS AND DISINFECTION BYPRODUCT PRECURSORS

5-1.60 Applicability.

Surface water systems or systems using ground water under the direct influence of surface water that are community or nontransient noncommunity water systems, serve 15 or more service connections or serve 25 or more persons, and use conventional filtration treatment shall operate with enhanced coagulation to achieve the total organic carbon (TOC) percent removal levels specified in section 5-1.63 of this Subpart, unless the system meets the alternative compliance criteria described in section 5-1.62 of this Subpart.

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.61 - Monitoring requirements for disinfection byproduct precursors

5-1.61 Monitoring requirements for disinfection byproduct precursors.

Monitoring for Disinfection byproduct precursors shall be in accordance with the following table.

 

Monitoring Requirements for Disinfection Byproduct Precursors

 

Source

Type

System Type

Filtration

Type

Sampling location at each plant

Routine

Reduced1

Monitoring requirements

Frequency2

Running annual

average

TOC

results

Frequency

Surface water

and

GWUDI

Community and NTNC

Conventional

Combined

Filter effluent3

TOC4

Monthly

<2.0 mg/L for two consecutive years or

<1.0 mg/L for one year

1 TOC

(paired) per plant/quarter

Raw

TOC4

Monthly

Alkalinity

Monthly

All other types

Raw

TOC

Monthly

≤4.0 mg/L

1 TOC

quarterly

 

 

1Routine monitoring shall begin in the month following the quarter when the running annual average TOC is ≥2.0 mg/L for systems using conventional filtration and >4.0 mg/L for systems using all other types of filtration

2 TOC monitoring for disinfection precursors for both treated and source water shall be collected at the same time. These samples (source water and treated water) are referred to as paired samples

3Samples collected for TOC shall be collected no further downstream than point of combined filter effluent turbidity monitoring and representative of treated water.

4Systems shall take one paired TOC sample and one source water alkalinity sample per month per plant at a time representative of normal operating conditions and influent water quality. The alkalinity sample shall be collected at the same time as the source water TOC sample.

 

 

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.62 - Alternative compliance criteria for enhanced coagulation

5-1.62 Alternative compliance criteria for enhanced coagulation. Systems may use one of the following alternative compliance criteria instead of enhanced coagulation.  Systems using the alternative compliance criteria shall still comply with the monitoring requirements stated in section 5-1.61 of this Subpart.

 

Water Type

Parameter

Concentration

Calculation Frequency

Source water

TOC

≤2.0 mg/L

Quarterly RAA

Treated water

TOC

≤2.0 mg/L

Quarterly RAA

Source water1,2

SUVA

≤2.0 L/mg-m

Quarterly RAA

Treated water2

SUVA

≤2.0 L/mg-m

Quarterly RAA

Source water

TOC

<4.0 mg/L

Quarterly RAA

Alkalinity (as CaCO3)

>60 mg/L

Quarterly RAA

TTHM

≤0.040 mg/L

LRAA of all sites

HAA5

≤0.030 mg/L

LRAA of all sites

Treated water in the distribution system3

TTHM

≤0.040 mg/L

LRAA of all sites

HAA5

≤0.030 mg/L

LRAA of all sites

 

 

1Prior to any treatment

2Measured monthly

3System uses only chlorine for primary disinfection and maintains a residual in the distribution system.

 

 

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.63 - Enhanced coagulation performance requirements

5-1.63 Enhanced coagulation performance requirements. Systems must achieve the percent reduction of TOC specified in subdivision (a) of this section (Step 1) between the source water and the combined filter effluent, unless the State approves a system's request for alternate minimum TOC removal (Step 2) requirements, which are provided in subdivision (d) of this section.

(a) Required (Step 1) TOC reductions, which are provided in the following table, are based upon specified source water TOC and alkalinity levels:

 

 

(Step 1) Required Removal of TOC by Enhanced Coagulation for Surface Water Systems or Systems Using Ground Water Under the Direct Influence of Surface Water that Use Conventional Filtration Treatment

 

 

Source Water TOC (mg/L)

 

 

Source Water Alkalinity

 

 

0–60 mg/L as CaCO3

(percent removal required)

 

>60–120 mg/L as CaCO3

(percent removal required)

 

>120 mg/L as CaCO3

(percent removal required)

>2.0 – 4.0

35.0

25.0

15.0

>4.0 – 8.0

45.0

35.0

25.0

>8.0

50.0

40.0

30.0

 

 

(b) Systems that must comply with the requirements contained in subdivision (a) of this section must calculate compliance using the method provided in either paragraph (1) of this subdivision or the applicable provisions of paragraph (2) of this subdivision.

(1) Systems must calculate compliance quarterly, beginning after the system has collected 12 months of data, by determining an annual average using the following method:

(i) Determine actual monthly TOC percent removal, equal to: (1 – (treated water TOC/source water TOC)) X 100.

(ii) Determine the required monthly TOC percent removal from either subdivision (a) or (d) of this section.

(iii) Divide the value in subparagraph (i) of this paragraph by the value in subparagraph (ii) of this paragraph.

(iv) Add together the results of subparagraph (iii) of this paragraph for the last 12 months and divide by 12.

(v) If the value calculated in subparagraph (iv) of this paragraph is less than 1.00, the system is not in compliance with the TOC percent removal requirements.

(2) Systems may use the provisions in subparagraphs (i) through (iii) of this paragraph instead of the calculations in paragraph (1) of this subdivision to determine compliance with TOC percent removal requirements.

(i) In any month that the system's treated or source water TOC level is less than or equal to 2.0 mg/L, the system may assign a monthly value of 1.00 (instead of the value calculated in paragraph (1) of this subdivision) when calculating compliance under the provisions of subdivision (a) of this section.

(ii) In any month that the system's source water SUVA, prior to any treatment, is less than or equal to 2.0 L/mg-m, the system may assign a monthly value of 1.00 (instead of the value calculated in paragraph (1) of this subdivision) when calculating compliance under the provisions of subdivision (a) of this section.

(iii) In any month that the system's finished water SUVA is less than or equal to 2.0 L/mg-m, the system may assign a monthly value of 1.00 (instead of the value calculated in paragraph (1) of this subdivision) when calculating compliance under the provisions of subdivision (a) of this section.

(c) Systems that cannot achieve the (Step 1) TOC removals required by subdivision (a) of this section due to water quality parameters or operational constraints must apply to the State, within three months of failure to achieve the TOC removals required by (Step 1), for approval of alternate minimum TOC removal (Step 2) requirements, described in subdivision (d) of this section. Until the State approves the alternate minimum TOC removal (Step 2) requirements, the system must meet the (Step 1) TOC removals contained in subdivision (a) of this section.

(d) Alternate minimum TOC removal (Step 2) requirements. Applications made to the State by enhanced coagulation systems for approval of alternate minimum TOC removal (Step 2) requirements must include, as a minimum, results of bench- or pilot-scale testing conducted using the methodology prescribed in paragraph (1) of this subdivision to determine the alternate enhanced coagulation level. Applications for alternate minimum TOC (Step 2) requirements must be approved by the State before they can replace the previous (Step 1) TOC removal requirements. The alternate TOC removal is determined by the method described in paragraphs (1) through (5) of this subdivision.

(1) The alternate minimum TOC removal is the percentage of TOC removed at the point where an incremental addition of 10 mg/L of alum, or equivalent amount of iron coagulant (ferric salt), results in a TOC removal of ≤0.3 mg/L. This TOC removal percentage is then defined as the minimum TOC removal required for the system. Once approved by the State, this minimum TOC removal requirement supersedes the minimum TOC (Step 1) removal required by the table in subdivision (a) of this section. This requirement will be effective until such time as the State approves a new value based on the results of a new bench- and pilot-scale test. Failure to achieve State-set alternative minimum TOC removal levels is a violation.

(2) Bench- or pilot-scale testing of enhanced coagulation must be conducted by using representative water samples and adding 10 mg/L increments of alum, or equivalent amounts of iron coagulant, until the pH is reduced to a level less than or equal to the enhanced coagulation (Step 2) target pH shown in the following table:

Enhanced Coagulation Step 2 Target pH
Alkalinity (mg/L as CaCO3)
Target pH
0 – 60
5.5
60 – 120
6.3
120 – 240
7.0
>240
7.5

(3) For waters with alkalinities of less than 60 mg/L for which addition of small amounts of alum or equivalent addition of iron coagulant drives the pH below 5.5 before significant TOC removal occurs, the system must add necessary chemicals to maintain the pH between 5.3 and 5.7 in samples until the TOC removal of 0.3 mg/L per 10 mg/L alum added, or equivalent addition of iron coagulant, is reached.

(4) The system may operate at any coagulant dose or pH necessary (consistent with the State Sanitary Code) to achieve the minimum TOC percent removal approved under paragraph (1) of this section.

(5) If the TOC removal is consistently less than 0.3 mg/L of TOC per 10 mg/L of incremental alum dose at all dosages of alum (or equivalent addition of iron coagulant), the water is deemed to contain TOC not amenable to enhanced coagulation. The system may then apply for a waiver of enhanced coagulation requirements.

Effective Date: 
Wednesday, May 26, 2004
Doc Status: 
Complete

Section 5-1.64 - Operational Evaluation Levels

5-1.64 Operational Evaluation Levels.

(a) If a system exceeds the operational evaluation level at any monitoring location when the sum of the two previous quarters’ TTHM results plus twice the current quarter’s TTHM result, divided by 4 to determine the average, exceeds 0.080 mg/L, or when the sum of the two previous quarters’ HAA5 results plus twice the current quarter’s HAA5 result, divided by 4 to determine the average, exceeds 0.060 mg/L.

(b) If a system exceeds the operational evaluation level, it shall conduct an operational evaluation and submit a written report of the evaluation to the State no later than 90 days after being notified of the analytical result that caused the exceedance of the operational evaluation level. The written report shall be made available to the public upon request.

(c) The operational evaluation shall include an examination of the operational practices for system treatment(s) and the distribution system, including storage tank operations, excess storage capacity, distribution system flushing, changes in sources or source water quality, and treatment changes or problems that may contribute to TTHM and HAA5 formation and what steps could be considered to minimize future exceedances.

(1) A system may request, and the State may allow, limiting the scope of the evaluation if the system is able to identify the cause of the operational evaluation level exceedance.

(2) The request to limit the scope of the evaluation does not extend the schedule in subdivision (b) of this section for submitting the written report. The State shall approve this limited scope of evaluation in writing, and the system shall keep that approval with the completed report.

 

 

Effective Date: 
Wednesday, January 17, 2018

Section 5-1.65 - Best Available Technologies (BATs) for Disinfection Byproduct Control

5-1.65 Best Available Technologies (BATs) for Disinfection Byproduct Control

 

The following is a table of the best available technology, treatment techniques, or other means available for achieving compliance with the maximum contaminant levels for Bromate, Chlorite, TTHM and HAA5, for public water systems that disinfect their source water. 

 

Water system type

Source type

Disinfection byproduct

Best available technology1

All systems that disinfect their source water

GW; SW;

GWUDI

Bromate

Control of ozone treatment process to reduce production of bromate

Chlorite

Control of treatment processes to reduce disinfectant demand and control of disinfection treatment processes to reduce disinfectant levels

All systems that disinfect their source water

GW; SW;

GWUDI

Total

trihalomethanes

(TTHM);

Haloacetic acids

(five) (HAA5)

Enhanced coagulation or enhanced softening, plus GAC10; or nanofiltration with a molecular

weight cutoff ≤1000 Daltons; or

GAC20

Consecutive systems:

applies only to the disinfected water that consecutive systems buy or otherwise receive

GW; SW;

GWUDI

Total

trihalomethanes

(TTHM);

Haloacetic acids

(five) (HAA5)

Systems serving ≥10,000:

Improved distribution system and storage tank management to reduce residence time, plus the use of chloramines for disinfectant residual maintenance

Systems serving <10,000:

Improved distribution system and storage tank management to reduce residence time

 

1 Softening that results in removing at least 10 mg/L of magnesium hardness (as CaCO3), measured monthly and calculated quarterly as a running annual average can be the best available technology for controlling disinfection byproduct precursors.

 

Effective Date: 
Wednesday, January 17, 2018

OPERATION AND QUALITY CONTROL

Section 5-1.70 - Applicability

OPERATION AND QUALITY CONTROL

5-1.70 Applicability. Sections 5-1.70 through 5-1.79 of this Subpart shall be applicable to all public water systems, provided the systems serve 15 or more service connections or serve 25 or more persons. Subdivisions 5-1.71 (c) and (d), subdivision 5-1.72 (c), and paragraph 5-1.78(a)(4) apply to all public water systems.
 

Effective Date: 
Wednesday, November 9, 2011
Doc Status: 
Complete

Section 5-1.71 - Protection and supervision of public water systems

5-1.71 Protection and supervision of public water systems. (a) The supplier of water and the person or persons operating a public water system shall exercise due care and diligence in the maintenance and supervision of all sources of the public water systems to prevent, so far as possible, their pollution and depletion.

(b) The supplier of water and the person or persons operating a water treatment plant or distribution system shall exercise due care and diligence in the operation and maintenance of these facilities and their appurtenances to ensure continued compliance with the provisions of this Subpart. Facilities approved by the State shall be operated in accordance with their design unless otherwise authorized under the provisions of sections 5-1.22, 5-1.23 or 5-1.24 of this Subpart.

(c) If the State notifies the supplier of water that a significant deficiency exists, the supplier of water shall consult with the State within 30 days regarding corrective action. Within 120 days of being notified that a significant deficiency exists (or earlier if the State determines that action is necessary to protect public health), the supplier of water shall correct the significant deficiency or be in compliance with a corrective action plan to correct the deficiency. The corrective action plan must specify appropriate modifications and/or improvements to the existing system or facility as may be necessary to fully conform to the requirements of this Subpart.

(d) Any significant deficiency that is not corrected or where correction has not begun according to a corrective action plan prepared to meet the requirements of this code, within 120 days, or as directed by the State, is a treatment technique violation and must be addressed in accordance with the requirements in section 5-1.12. If the deficiency is a public health hazard, the deficiency must be addressed as directed or approved by the State and Tier 1 notification is required.

(e) Public water systems shall correct sanitary defects found through a Level 1 or 2 assessment. For corrections that have not been completed at the time that the assessment form is submitted the system shall complete the corrective action(s) within 120 days of identifying the sanitary defect or be in compliance with a timeframe approved by the State in consultation with the system.  The system shall notify the State when each scheduled corrective action is complete.

Effective Date: 
Wednesday, May 16, 2018
Doc Status: 
Complete

Section 5-1.72 - Operation of a public water system

5-1.72 Operation of a public water system. (a) The supplier of water and the person or persons in charge of the operation of a public water system shall operate and maintain the public water system in such a manner to meet the requirements of this Subpart.

(b) The person or persons in charge of operation of a public water system shall be certified pursuant to Subpart 5-4 of this Part.

(c) Complete records shall be kept of the operation of a public water system.

(1) A copy of daily operation records in a format provided or approved by the State shall be sent to the State by the 10th calendar day of the next reporting period. These records shall include the results of all tests, measurements or analysis required to be made by this Subpart or as requested by the State. All operational records shall be available to the State either upon request or in conjunction with periodic sanitary surveys conducted by the State.

(2) Systems using conventional filtration treatment or direct filtration must conduct continuous turbidity monitoring for each individual filter, as described in section 5-1.52 table 10A. Systems must record the results of individual filter monitoring every 15 minutes. Systems must maintain individual filter monitoring results for at least three years. Systems must report to the State that they have conducted individual filter turbidity monitoring within 10 days after the end of each month the system serves water to the public. Systems must report to the State individual filter turbidity measurement results within 10 days after the end of each month the system serves water to the public only if measurements demonstrate one or more of the following conditions, except that systems serving fewer than 10,000 persons are not required to comply with subparagraph (ii) of this paragraph:

(i) For any individual filter that has a measured turbidity level of greater than 1.0 Nephelometric Turbidity Units (NTU) in two consecutive measurements taken 15 minutes apart, the system must report the filter identification number, the turbidity measurement, and the date(s) on which the exceedance occurred. In addition, the system must either produce a filter profile for the filter within seven days of the exceedance (if the system is not able to identify an obvious reason for the abnormal filter performance) and submit the profile to the State, or report the obvious reason for the exceedance.

(ii) For any individual filter that has a measured turbidity level of greater than 0.5 NTU in two consecutive measurements taken 15 minutes apart at the end of the first four hours of continuous filter operation after the filter has been backwashed or otherwise taken offline, the system must report the filter number, the turbidity, and the date(s) on which the exceedance occurred. In addition, the system must either produce a filter profile for the filter within seven days of the exceedance (if the system is not able to identify an obvious reason for the abnormal filter performance) and submit the profile to the State, or report the obvious reason for the exceedance.

(iii) For any individual filter that has a measured turbidity level of greater than 1.0 NTU in two consecutive measurements taken 15 minutes apart at any time in each of three consecutive months, the system must report to the State the filter number, the turbidity measurement, and the dates on which the exceedance occurred. In addition, the system must conduct a self-assessment of the filter within 14 days of the exceedance and submit the self-assessment to the State. The self-assessment must consist of at least the following components: assessment of filter performance; development of a filter profile; identification and prioritization of factors limiting filter performance; assessment of the applicability of corrections; and preparation of a filter self-assessment report.

(iv) For any individual filter that has a measured turbidity level of greater than 2.0 NTU in two consecutive measurements taken 15 minutes apart at any time in each of two consecutive months, the system must report to the State the filter number, the turbidity measurement, and the dates on which the exceedance occurred. In addition, the system must arrange for the conduct of a comprehensive performance evaluation (CPE) by the State or a third party approved by the State no later than 30 days following the exceedance, and have the evaluation completed and submitted to the State no later than 90 days following the exceedance.

(3) Systems using conventional filtration treatment or direct filtration treatment must notify the State in writing by December 8, 2003, if the system recycles spent filter backwash water, thickener supernatant, or liquids from dewatering processes. This notification must include, at a minimum, the following information:

(i) A plant schematic showing the origin of all flows which are recycled (including, but not limited to, spent filter backwash water, thickener supernatant, and liquids from dewatering processes), the hydraulic conveyance used to transport them, and the location where they are reintroduced back into the treatment plant.

(ii) Typical recycle flow in gallons per minute (gpm), the highest observed plant flow experienced in the previous year (gpm), design flow for the treatment plant (gpm), and the State-approved operating capacity for the plant where the State has made such determinations.

(4) Ground water systems and ground water sources that are required to conduct process compliance monitoring to assure the achievement of 4-log virus treatment, must record the lowest treatment performance each day and record the date and duration of any failure to achieve 4-log virus treatment for a period of more than four hours. In the event of failure to achieve required virus treatment, the system shall continue to monitor treatment performance every four hours until the system returns to compliance with minimum performance requirements. The State must be notified of any failure to meet process compliance monitoring requirements as well as any failure to achieve 4-log virus treatment, as soon as possible, but no later than the end of the next business day.

(5) Surface water systems and ground water systems under the direct influence of surface water that are required to provide enhanced filtration and disinfection for Cryptosporidium, shall report to the State in accordance with the treatment and/or management options used to comply with the treatment requirements under section 5-1.83(b) or (c) of this Subpart, as applicable. Alternatively, the State may approve a system to certify operation within required parameters for treatment credit, rather than reporting monthly operational data. The applicable treatment compliance dates are found in section 5-1.83(d) of this Subpart.

(i) For systems using the watershed control program option, notice of intention to develop a new or continue an existing watershed control program shall be submitted no later than two years before the treatment compliance date. The watershed control plan shall be submitted no later than one year before the treatment compliance date. The annual watershed control program status report shall be submitted every 12 months. For community water systems, the watershed sanitary survey report shall be submitted every three years. For noncommunity water systems, the watershed sanitary survey report shall be submitted every five years.

(ii) For systems using the alternative source/intake management option, verification that the system has relocated the intake or adopted the intake withdrawal procedure, reflected in monitoring results, shall be submitted.

(iii) For systems using the presedimentation option, monthly verification of the following shall be submitted within 10 days after the month in which the monitoring was conducted: continuous basin operation; treatment of 100 percent of the flow; continuous addition of coagulant; and at least 0.5-log mean reduction of influent turbidity or compliance with alternative State-approved compliance criteria.

(iv) For systems using the two-stage lime softening option, monthly verification of the following shall be submitted within 10 days after the month in which the monitoring was conducted: chemical addition and hardness precipitation occurred in two separate and sequential softening stages prior to filtration; and both stages treated 100 percent of the plant flow.

(v) For systems using the bank filtration option, initial demonstration of the following shall be submitted no later than treatment compliance date: aquifer shall be unconsolidated sand containing at least 10 percent fines; and setback distance of at least 25 feet (0.5-log credit) or 50 feet (1.0-log credit). If the monthly average of daily maximum turbidity is greater than 1 NTU, then the system shall report the result and submit an assessment of the cause within 30 days after the month in which the monitoring was conducted, beginning on the applicable treatment compliance date.

(vi) For systems using the combined filter performance option, monthly verification of the following shall be submitted within 10 days following the month in which the monitoring was conducted: combined filter effluent (CFE) turbidity levels less than or equal to 0.15 NTU in at least 95 percent of the four-hour CFE measurements taken each month.

(vii) For systems using the individual filter performance option, monthly verification of the following shall be submitted within 10 days following the month in which the monitoring was conducted: individual filter effluent (IFE) turbidity levels less than or equal to 0.15 NTU in at least 95 percent of sample each month in each filter; and no individual filter greater than 0.3 NTU in two consecutive readings 15 minutes apart.

(viii) For systems using the demonstration of performance option, the results from testing following a State-approved protocol shall be submitted no later than the treatment compliance date. Monthly verification of operation within the conditions of State approval for demonstration of performance credit, may be required to be submitted within 10 days after the month in which the monitoring was conducted, beginning on the applicable treatment compliance date.

(ix) For systems using the bag filter and cartridge filter option, demonstration that the following criteria are met shall be submitted no later than the treatment compliance date: the process meets the definition of bag or cartridge filtration; and the removal efficiency established through challenge testing that meets criteria approved by the State. Monthly verification that 100 percent of the plant flow was filtered shall be submitted within 10 days after the month in which monitoring was conducted, beginning on the applicable treatment compliance date.

(x) For systems using the membrane filtration option, results of verification testing demonstrating the following shall be submitted no later than the treatment compliance date: removal efficiency established through challenge testing that meets criteria approved by the State; and integrity test method and parameters, including resolution, sensitivity, test frequency, control limits, and associated baseline. A monthly report summarizing the following shall be submitted within 10 days after the month in which monitoring was conducted: all direct integrity tests above the control limit; and, if applicable, any turbidity or alternative State-approved indirect integrity monitoring results triggering direct integrity testing and the corrective action that was taken.

(xi) For systems using the second stage filtration option, monthly verification that 100 percent of flow was filtered through both stages, and that the first stage was preceded by a coagulation step, shall be submitted within 10 days after the month in which monitoring was conducted.

(xii) For systems using the slow sand filtration (as secondary filter) option, monthly verification that both a slow sand filter and a preceding separate stage of filtration treated 100 percent of surface water flow shall be submitted within 10 days after the month in which monitoring was conducted.

(xiii) For systems using the chlorine dioxide option, a summary of CT values for each day shall be submitted within 10 days after the month in which monitoring was conducted.

(xiv) For systems using the ozone option, a summary of CT values for each day shall be submitted within 10 days after the month in which monitoring was conducted.

(xv) For systems using the UV option, validation test results demonstrating operating conditions that achieve the required UV dose shall be submitted no later than the treatment compliance date. A monthly report, summarizing the percentage of water entering the distribution system that was not treated by UV reactors operating within validated conditions for the required dose shall be submitted within 10 days after the month in which monitoring was conducted.

(6) Within 10 days of the end of any quarter in which monitoring of disinfection byproducts (DBP) and/or disinfection byproduct precursors (DBPP) is required under section 5-1.52 Table 9A and/or sections 5-1.60 and 5-1.61, the following must be reported to the State:

(i) Number of DBP and DBPP samples taken during the quarter.

(ii) Date and results of each DBP and DBPP sample taken during the last quarter.

(iii) The arithmetic average of DBP quarterly results for the last four quarters for each monitoring location (LRAA).  If the LRAA calculated based on fewer than four quarters of data would cause the MCL to be exceeded regardless of the monitoring results of subsequent quarters, the system must report this information to the State as part of the first report due following the end of the quarter or anytime thereafter that this determination is made.  If the system is required to conduct monitoring at a frequency that is less than quarterly, the system must make compliance calculations beginning with the first compliance sample unless the system is required to conduct increased monitoring under section 5-1.52 Table 9A or 5-1.51.

(iv) Whether the MCL for Total Trihalomethanes (TTHM) and/or Halo Acetic Acids (5) (HAA5) was violated at any monitoring location.

(v) Any operational evaluation levels that were exceeded during the quarter and, if so, the location and date, and the calculated TTHM and HAA5 levels.

(vi) If the system is a surface water system or a system using a source of ground water under the direct influence of surface water, and seeking to qualify for or remain on reduced TTHM/HAA5 monitoring, source water Total Organic Carbon (TOC) information must be reported for each treatment plant that treats surface water or ground water under the direct influence of surface water, as follows:

(a) The number of source water TOC samples taken each month during last quarter.

(b) The date and result of each TOC sample taken during last quarter.

(c) The quarterly average of monthly TOC samples taken during the last quarter.

(d) The running annual average (RAA) of quarterly TOC averages from the past four quarters.

(e) Whether the TOC RAA exceeded 4.0 mg/L.

 

(d) Any supplier of water of a public water system, subject to the provisions of this Subpart, shall retain at a convenient location the following records:

(1) Records of microbiological analyses made pursuant to this Subpart shall be retained for at least five years and records of chemical and turbidity analyses made pursuant to this Subpart shall be retained for at least ten years. Actual laboratory reports may be kept, or data may be transferred to tabular summaries, if the following information is included:

(i) the date, place and time of sampling, and the name of the person who collected the sample;

(ii) identification of the sample whether it was a routine distribution point sample, check sample, raw or process water sample or other special purpose sample;

(iii) date of analyses;

(iv) laboratory and person responsible for performing the analysis;

(v) the analytical technique or method used; and

(vi) the results of the analyses.

(2) All Level 1 and Level 2 assessment forms, documentation of corrective actions completed as a result of such assessments, and any other summary documentation of sanitary defects and corrective actions, shall be retained for at least five years.

(3) All records of repeat samples that are taken for the purpose of obtaining an extension of the 24-hour period for collecting such repeat samples shall be retained for at least five years.

(4) Records of corrective actions taken by the supplier of water to correct significant deficiencies and/or violations of the requirements of this Subpart shall be retained for at least ten years.

(5) Copies of any written reports, including summaries or communications relating to sanitary surveys of the public water system shall be retained for at least 10 years.

(6) Records concerning a variance or exemption granted to the public water system shall be retained for at least five years following the expiration of such variance or exemption.

(7) Copies of the records or data summaries shall be provided to any consumer of the public water system within 15 days on written request by a consumer. The supplier of water may require prepayment of a fee to cover the cost of handling and reproduction of the records and data summaries requested.

(8) The supplier of water must provide the State with copies of all repeat or special total coliform sample results and all Escherichia coli (E. coli) sample results, within five days of receipt.

(9) Beginning June 8, 2004, systems using conventional filtration treatment or direct filtration that recycle spent backwash water, thickener supernatant or liquids from the dewatering processes must collect the following recycle flow information:

(i) Copy of the recycle notification and information submitted to the State in accordance with paragraph (3) of subdivision (c) of this section;

(ii) List of all recycle flows and the frequency with which they are returned;

(iii) Average and maximum backwash flow rate through the filters and the average and maximum duration of the filter backwash process in minutes;

(iv) Typical filter run length and a written summary of how filter run length is determined;

(v) The type of treatment provided for the recycle flow; and

(vi) Data on the physical dimensions of the equalization and/or treatment units, typical and maximum hydraulic loading rates, type of treatment chemicals used and average dose and frequency of use, and frequency at which solids are removed, if applicable.

(10) For surface water systems and ground water systems under the direct influence of surface water, the following records shall be maintained:

(i) Systems shall keep results from the initial round of source water monitoring under section 5-1.81(a)(1) of this Subpart and the second round of source water monitoring under section 5-1.81(a)(2) of this Subpart until three years after bin classification under section 5-1.83(a) of this Subpart for filtered systems, or determination of the mean Cryptosporidium level under section 5-1.83(c) of this Subpart for unfiltered systems for the particular round of monitoring.

(ii) Systems shall keep any notification to the State that they will not conduct source water monitoring due to meeting the criteria of section 5-1.81(a)(4) of this Subpart for three years.

(iii) Systems shall keep the results of treatment monitoring associated with Cryptosporidium and with uncovered finished water storage facilities under section 5-1.32 of this Subpart for three years.

(e) Each community water system which serves 15 or more service connections used by year-round residents or regularly serves at least 25 year-round residents shall prepare and provide an annual water supply statement (report) to the customers it serves. The report must contain information on the quality of the water delivered by the system and characterize the risks (if any) from exposure to contaminants detected in the drinking water in an accurate and understandable manner. For the purpose of this subpart, customers are defined as billing units or service connections to which water is delivered by a community water system.

(f) The report shall contain such information as is required in this subdivision and any additional information required by the State, except that paragraph (7) and paragraph (13) subparagraphs (vii) through (xi) of this subdivision shall not apply to systems serving fewer than 1,000 service connections. The information required to be included in the report is described below.

(1) Information on the source of the water delivered. The report must identify the source(s) of the water delivered by the community water system by providing information on:

(i) the type of the water source (e.g., surface water, ground water); and

(ii) the commonly used name (if any) and location of the body (or bodies) of water or aquifer(s).

If the State has completed a source water assessment, the report must notify consumers of the availability of this information and the means to obtain it. The report must include a brief summary of the system's susceptibility to potential sources of contamination, using language provided by the State.

(2) Definitions for Maximum Contaminant Level, Maximum Contaminant Level Goal, Maximum Residual Disinfectant Level, and Maximum Residual Disinfectant Level Goal. Each report must include the definitions set forth using the following language:

(i) Maximum Contaminant Level Goal (MCLG): The level of a contaminant in drinking water below which there is no known or expected risk to health. MCLGs allow for a margin of safety.

(ii) Maximum Contaminant Level (MCL): The highest level of a contaminant that is allowed in drinking water. MCLs are set as close to the MCLGs as feasible.

(iii) Maximum Residual Disinfectant Level (MRDL): The highest level of a disinfectant that is allowed in drinking water.

(iv) Maximum Residual Disinfectant Level Goal (MRDLG):The level of a drinking water disinfectant below which there is no known or expected risk to health. MRDLGs do not reflect the benefits of the use of disinfectants to control microbial contaminants.

(3) Definitions for variances and exemptions. A report for a community water system operating under a variance or an exemption issued under sections 5-1.90-5-1.96 of this Subpart must include the following language: Variances and Exemptions: State permission not to meet an MCL or a treatment technique under certain conditions.

(4) Definitions for action level and treatment technique. A report that includes information on a contaminant that is regulated as a Treatment Technique (i.e., turbidity) or Action Level (i.e., lead, copper) must include one or both of the following statements:

(i) Treatment Technique (TT): A required process intended to reduce the level of a contaminant in drinking water.

(ii) Action Level (AL): The concentration of a contaminant which, if exceeded, triggers treatment or other requirements which a water system must follow.

(5) Information on detected contaminants from sampling used to determine compliance. For the purpose of this subdivision (except Cryptosporidium, Giardia,and radon monitoring), detected means: at or above the contaminant's method detection limit (MDL), as defined in section 5-1.1(bl), or as prescribed by the State. Any contaminants specified in sections 5-1.41 (lead and copper) and 5-1.51 of this Subpart and section 5-1.52 Tables 8A, 8B, 8C, 8D, 9A, 9B, 9C, 9D, 10, 10A, 11, 11A, 11B, 12, 16 and 17 of this Subpart that are detected during compliance monitoring shall be displayed in one table or in several adjacent tables. Additionally, the report shall include detected monitoring results for samples collected and analyzed by the State and/or detected monitoring results of additional samples required by the State. If a system is allowed to monitor for specific contaminants less often than once a year, the table shall include the date and results of the most recent sampling and the report shall include a brief statement indicating that the data presented in the report are from the most recent testing done in accordance with the regulations. No data older than five years need be included. For the contaminants listed in section 5-1.52 tables 8A, 8B, 8C, 8D, 9A, 9B, 9C, 9D, 10, 10A, 11, 11B, 12, 16 and 17 of this Subpart the table(s) shall contain:

(i) the State MCL for that contaminant expressed as a number equal to or greater than 1.0;

(ii) the MCLG (as prescribed by the State) for that contaminant expressed in the same units as the MCL;

(iii) if there is no MCL for a detected contaminant, the table must indicate that there is a treatment technique, or specify the action level, applicable to that contaminant, and the report must include the definitions for treatment technique and/or action level, as appropriate, specified in paragraph 4 of this subdivision;

(iv) for contaminants subject to a MCL, except turbidity and total coliforms, the highest contaminant level used to determine compliance with this Subpart 1and the range of detected levels, as follows:

(a) when compliance with the MCL is determined annually or less frequently: the highest detected level at any sampling point and the range of detected levels expressed in the same units as the MCL.

(b) when compliance with the MCL is determined more frequently than annually: the highest average of any of the sampling points used to determine compliance and the range of all sampling points expressed in the same units as the MCL;

(c) when compliance with the MCL is determined by calculating a running annual average of all samples taken at a monitoring location: the highest average of any of the monitoring locations used to determine compliance and the range of all sampling points expressed in the same units as the MCL. For the MCLs for TTHM and HAA5, systems shall include the highest locational running annual average for TTHM and HAA5 and the range of individual sample results for all monitoring locations expressed in the same units as the MCL. If more than one location exceeds the TTHM or HAA5 MCL, the system shall include the locational running annual averages for all locations that exceed the MCL; and

(d) when compliance with the MCL is determined on a system-wide basis by calculating a running annual average of all samples at all sampling points the report must include: the average used to determine compliance and the range of detection expressed in the same units as the MCL.

Footnote to subparagraph (iv) of this subdivision: 1When rounding of results to determine compliance with the MCL is allowed by the regulations, rounding should be done prior to converting the results to the same units presented for the MCL, TT or AL.

(v) surface water and groundwater under the direct influence systems are required to include information from turbidity monitoring in the report.

(a) turbidity reported pursuant to the requirements of sections 5-1.30 and 5-1.52 table 10 of this Subpart (for systems that must install filtration but have not) include the highest monthly average. The report should include health effects language prescribed by the State;

(b) turbidity reported pursuant to the requirements of subdivision (c) of section 5-1.30 and section 5-1.52 table 10A of this Subpart (for systems that have met the criteria of avoiding filtration) include the highest single measurement found in any one month. The report should include an explanation of the reasons for measuring turbidity; and

(c) turbidity reported pursuant to sections 5-1.30 and 5-1.52 table 10A of this Subpart (for systems that filter and use turbidity as an indicator of filtration performance) include the highest single measurement and the lowest monthly percentage of samples meeting the turbidity limits specified in section 5-1.52 table 4A of this Subpart for the filtration technology being used. The report should include an explanation of the reasons for measuring turbidity.

(vi) for lead and copper: the 90th percentile value of the most recent round of sampling, the range of detections, and the number of sampling sites exceeding the AL.

(vii) for total coliform:

(a) the highest monthly number of positive samples for systems collecting fewer than 40 samples per month; or

(b) the highest monthly percentage of positive samples for systems collecting at least 40 samples per month.

(viii) for E. coli: detected in the distribution system: the total number of positive samples; and

(ix) the likely source(s) of detected contaminants (as prescribed by the State) shall be reported.

If a community water system distributes water to its customers from multiple hydraulically independent distribution systems that are fed by different raw water sources, the report shall include data from each separate distribution system. Alternatively, systems could produce separate reports tailored to include data for each service area. The table(s) must clearly identify any violations of MCLs or TTs and the report must contain a clear and readily understandable explanation of the violation including: the duration of the violation, the potential adverse health effects, and actions taken by the system to address the violation. To describe the potential health effects, the system must use language prescribed by the State.

(6) Information on non-detected contaminants from sampling used to determine compliance. Analytical test results for the contaminants listed in section 5-1.52 tables 8A, 8B, 8C, 8D, 9A, 9B, 9C, 9D, 10, 10A, 11, 12, 16 and 17 of this Subpart or additional monitoring required by the State which are not detected shall be:

(i) described in the report in a brief narrative; or

(ii) presented in the report as a separate table or list.

(7) Analytical results for source water samples not used to determine compliance. If the analytical results for samples of source(s) of water supply, other than those for Cryptosporidium or Giardia;used to determine compliance; or listed in section 5-1.52 tables 16 and 17 of this Subpart, are not included in the report, they shall be placed in a supplement to the report.

(8) Information on Cryptosporidium, Giardiaand radon. If the system has performed any monitoring for Cryptosporidium, Giardiaor radon, which indicates that Cryptosporidiumor Giardiamay be present in the source water or the finished water or that radon may be present in finished water, the report must include:

(i) a summary of the following: sampling sites; number of tests per year; testing results; and actions taken in response to those results; and

(ii) an explanation of the significance of the results.

(9) Compliance with the State Sanitary Code. The report must note any violation that occurred during the year covered by the report of a requirement listed below, and include a clear and readily understandable explanation of the violation, any potential adverse health effects related to the violation, and the steps the system has taken to correct the violation.

(i) monitoring and reporting and recordkeeping of compliance data;

(ii) filtration and disinfection prescribed by sections 5-1.30 and 5-1.32 of this Subpart. For systems which have failed to install adequate filtration or disinfection equipment or processes, or have had a failure of such equipment or processes which constitutes a violation, the report must include language prescribed by the State.

(iii) lead and copper control requirements. The report shall include health effects language specified in 40 CFR 141.54(d) for lead, copper, or both for systems which fail to take one or more actions prescribed by sections 5-1.40 through 5-1.48 of this Subpart.

(iv) the report must include health effects language prescribed by the State for systems which violate the TTs specified in section 5-1.51 of this Subpart for Acrylamide and Epichlorohydrin; and

(v) violation of the terms of a variance, an exemption, or an administrative or judicial order.

(10) Variances and exemptions. If a system is operating under the terms of a variance or an exemption issued under sections 5-1.90-5-1.96 of this subpart the report must contain:

(i) an explanation of the reasons for the variance or exemption;

(ii) the date on which the variance or exemption was issued;

(iii) a brief status report on the steps the system is taking to install treatment, find alternative sources of water, or otherwise comply with the terms and schedules of the variance or exemption; and

(iv) a notice of any opportunity for public input in the review, or renewal, of the variance or exemption.

(11) Educational information. The report must contain the language of subparagraph (i) of this paragraph or alternative language approved by the State. The report also must include the language of subparagraph (ii) through (iv)of this paragraph.

(i) the sources of drinking water (both tap water and bottled water) include rivers, lakes, streams, ponds, reservoirs, springs, and wells. As water travels over the surface of the land or through the ground, it dissolves naturally-occurring minerals and can pick up substances resulting from the presence of animals or from human activities. Contaminants that may be present in source water include: microbial contaminants; inorganic contaminants; pesticides and herbicides; organic chemical contaminants; and radioactive contaminants.

(ii) in order to ensure that tap water is safe to drink, the State and the EPA prescribe regulations which limit the amount of certain contaminants in water provided by public water systems. The State Health Department's and the FDA's regulations establish limits for contaminants in bottled water which must provide the same protection for public health.

(iii) drinking water, including bottled water, may reasonably be expected to contain at least small amounts of some contaminants. The presence of contaminants does not necessarily indicate that water poses a health risk. More information about contaminants and potential health effects can be obtained by calling the Environmental Protection Agency's Safe Drinking Water Hotline (800-426-4791).

(iv) some people may be more vulnerable to disease causing microorganisms or pathogens in drinking water than the general population. Immuno-compromised persons such as persons with cancer undergoing chemotherapy, persons who have undergone organ transplants, people with HIV/AIDS or other immune system disorders, some elderly, and infants can be particularly at risk from infections. These people should seek advice from their health care provider about their drinking water. EPA/CDC guidelines on appropriate means to lessen the risk of infection by Cryptosporidium, Giardiaand other microbial pathogens are available from the Safe Drinking Water Hotline (800-426-4791).

(12) Additional health effects statements for arsenic, nitrate, lead, total trihalomethanes, and fluoride.

(i) a system which detects arsenic at levels above 5 ug/l, but less than or equal to the MCL must include in its report a short informational statement about arsenic, using language prescribed by the State.

(ii) a system which detects nitrate at levels above 5 mg/l, but below the MCL must include a short informational statement about the impacts of nitrate on children using language prescribed by the State.

(iii) a system which detects lead above the action level in more than 5%, and up to and including 10% of the sites sampled (or for systems sampling less than 20 sites and even one sample is above the action level) must include a short informational statement about the special impact of lead on children using language prescribed by the State.

(iv) a system using only ground water or using surface water as its source and serving less than 10,000 persons, which detects TTHMs above 80 ug/l, but below 100 ug/l, as an annual average, monitored and calculated as described in section 5-1.52 table 3 of this Subpart, must until January 1, 2004, include health effects language prescribed by the State.

(v) a system which detects fluoride at levels above 2mg/l, but below the MCL must include in its report an informational statement about fluoride, using language prescribed by the State.

(13) Additional information. Each report must also include the items listed below.

(i) the name and address of the community water system and the public water system identification number;

(ii) the name and telephone number of the owner, operator, or designee of the community water system as a source of additional information concerning the report;

(iii) the telephone number of the county or district health department office which has jurisdiction over the water system;

(iv) information (e.g., time and place of regularly scheduled board meetings) about opportunities for public participation in decisions that may affect the quality of the water;

(v) a brief statement explaining the number of people served by the community water system;

(vi) a brief description of the types of treatment that the water received before entering the distribution system;

(vii) for systems that calculate water use of all customers with meters, an accounting of the total annual amount of water withdrawn, delivered, and lost from the system;

(viii) a brief description of any water source restricted, removed from service, or otherwise limited in its use and any actions taken to secure new supplies or replace lost capacity;

(ix) water conservation measures customers can take such as, but not limited to, retrofitting plumbing fixtures, altering irrigation timing, using irrigation sensors, leak detection, proper use of water conserving appliances, daily conscientious use of water, and the estimated savings in water and energy or money from the use of such measures;

(x) a description of any major modification completed by the water system during the reporting period to include a brief description of each and its effect on the water system, and a discussion of capital improvements needed or planned;

(xi) for systems that bill their customers, the report shall include the annual average charge for water, either in annual charge per average resident user or annual charge per one thousand gallons of water delivered; and

(xii) systems may also include such additional information as they deem necessary for public education consistent with, and not detracting from, the purpose of the report.

(14) Information for non-English speaking residents. In communities with a large proportion of non-English speaking residents, as determined by the State, the report must contain information prescribed by the State in the appropriate language(s) expressing the importance of the report.

(15) Information on unregulated contaminants. If the system was required to monitor for contaminants listed in section 5-1.52 Table 16, the report must identify a person and provide the telephone number to contact for information on the monitoring results.

(16) Water systems are required to include information regarding significant deficiencies as follows:

(i) any significant deficiency that remains uncorrected at the end of the year (December 31) or any other significant deficiency as directed by the State. A description of the significant deficiency must include: the date the significant deficiency was identified by the State; status of corrective action; the completion date if corrective action has been completed; and if corrective action has not been completed, the reason why it has not been completed. Uncorrected significant deficiencies must be reported each year until the annual report documents that corrective action is completed; and

(ii) any failure to take corrective action to correct a significant deficiency in system facilities or operation, including a description of the significant deficiency, the date the significant deficiency was identified by the State, and the reason why corrective action has not been taken.

(17) Ground water systems and systems with ground water sources are also required to include information regarding source sampling and process compliance monitoring as follows:

(i) Report of fecal indicator positive ground water source sample, including: the date the fecal contamination of the source was identified; the likely source of the contamination, if known; the date(s) and status of any corrective action; and potential health effects language prescribed by the State;

(ii) If required to perform 4-log virus treatment, failure to provide the treatment must be described including date(s) of failure and whether 4-log virus treatment has resumed; and

(iii) If required to perform 4-log virus treatment, failure to meet process compliance monitoring requirements must be described including date(s) of failure and whether the required process compliance monitoring has resumed.

(g) Report delivery and record keeping. (1) Report distribution to consumers.

(i) each community water system must mail or otherwise directly deliver one copy of the report to each bill-paying customer by the date specified in subdivision (h).

(ii) the system must make a good faith effort to reach consumers who do not get water bills, using methods prescribed by the State.

(iii) each community water system serving 100,000 or more people must post the current year's report to a publicly-accessible site on the Internet.

(iv) each community water system must make its reports available to the public upon request.

(v) if a supplement is prepared in accordance with subdivision (f) paragraph (7) of this section, the report must contain a statement that describes that the analytical results for source water samples not used to determine compliance are contained in a supplement and that the supplement is available to the customer on request. The supplement shall also be:

(a) published in a notice at least one-half page in size, in one newspaper of general circulation within the water district;

(b) made available on the Internet, along with supplements from the two prior years, if such prior supplements exist, and notice of the availability of such information on the Internet shall be clearly provided on the report and on each billing statement; or

(c) made available at all New York state documents information access centers, documents reference centers, documents depository libraries and documents research depository libraries within the water district and if no such libraries exist within the water district at a public library within the water district, and notice of the availability of the supplement at such library or libraries shall be clearly provided on the report and on each billing statement.

Such supplement need not be included in the copy of the report mailed or directly delivered to each bill-paying customer.

(2) Report distribution to state agencies: (i) no later than the date the system is required to distribute the report to its customers, each community water system must mail one copy of the report and one copy of the supplement, if prepared, to the Commissioner of the State Health Department and the county or district health department office which has jurisdiction over the water system. The system must also deliver (by the first of September) to these two agencies a certification that the report has been distributed to customers, and that the information is correct and consistent with the compliance monitoring data previously submitted to the state.

(ii) no later than the date the system is required to distribute the report to its customers, each community water system serving 1,000 or more service connections must deliver a copy of the report and a copy of the supplement, if prepared to the Commissioner of Environmental Conservation.

(iii) investor-owned community water systems regulated by the Public Service Commission (PSC) shall also deliver a copy of the report and a copy of any supplement prepared, to that agency.

(3) Recordkeeping requirements. Any system subject to this subpart must retain copies of the report for no less than three years.

(h) Applicable dates. (1) All community water systems must deliver a copy of the report, to its bill-paying customers and take good faith efforts to reach consumers who do not get water bills on or before the thirty-first day of May of each year.

(2) each community water system serving 100,000 or more people must post their current year's report on a publicly accessible site on the Internet by the thirty-first day of May of each year.

(3) All community water systems must deliver a copy the report and a copy of the supplement, if prepared, to the required regulatory agencies on or before the thirty-first day of May of each year.

(4) A new community water system, must deliver its first report to its customers and a copy of the report and the supplement, if prepared to the required regulatory agencies by the thirty-first day of May of the year after its first full calendar year in operation and annually thereafter.

(5) A community water system that sells water to another community water system, must deliver the applicable information required in paragraphs (f)(1), (5)-(10) and (13) of this section to the buyer system:

(i) by the first of April of each year; or

(ii) on a date mutually agreed upon by the seller and the purchaser, and specifically included in a contract between the parties.

(6) By the first of September, each community water system must mail a copy of the certification form to the State Health Department and the county or district health department office which has jurisdiction over the water system.

 

Effective Date: 
Wednesday, May 16, 2018
Doc Status: 
Complete

Section 5-1.73 - Water treatment plant laboratory

5-1.73 Water treatment plant laboratory. Every supplier of water shall provide or have available environmental laboratory facilities approved by the New York State Environmental Laboratory Approval Program (ELAP). Tests for the control of the operation of such public water system shall be made daily or more frequently as required by the State. The results of such tests shall be recorded on forms pursuant to section 5-1.72(d) of this Subpart.

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.74 - Approved laboratories

5-1.74 Approved laboratories. (a) For determining compliance with this Subpart, results of analyses, except for parameters listed in section 5-1.74(b), may be considered only if they have been performed by an environmental laboratory approved in accordance with Subpart 55-2 of this Title (10 NYCRR Part 55, Subpart 55-2). 

(b) Measurements for pH, temperature, conductivity, turbidity, disinfectant residual, alkalinity, calcium, orthophosphate, bromide, chlorite, total organic carbon (TOC) concentration, dissolved organic carbon concentration, ultraviolet (UV) absorption, and silica may be performed by any person with a demonstrated ability to perform these analyses. These analyses shall be conducted in accordance with 40 CFR Part 141. All necessary documentation required by the approved methods shall be retained by the water system conducting the analyses for a period of ten years.

(c) The owner of a water system shall ensure the approved environmental laboratory performing the analyses sends laboratory results to the department in a manner prescribed by the department.

 

Effective Date: 
Wednesday, January 17, 2018
Doc Status: 
Complete

Section 5-1.75 - Additional sampling requirements

5-1.75 Additional sampling requirements. (a) Additional water samples for any contaminant shall be collected and analyzed from any public water system by the supplier of water as may be required by the State, to assure control of the quality of the public water system.

(b) The State may collect and analyze water samples from any public water system at any time, either by its own personnel or by contract with others.
 

Effective Date: 
Wednesday, July 3, 1991
Doc Status: 
Complete

Section 5-1.76 - Consecutive public water systems

5-1.76 Consecutive public water systems.

(a) When a public water system supplies water to one or more consecutive public water systems, the State may modify the monitoring requirements of this Subpart when the circumstances justify treating them as a single system for monitoring purposes. Any modified monitoring shall be conducted pursuant to a schedule approved by the State, in accordance with the provisions of sections 5-1.51 and 5-1.52 of this Subpart.

(b) Consecutive systems must follow section 5-1.52 Table 11B of this Subpart in the event of a total coliform positive sample from their distribution system. When a consecutive system that receives ground water from a wholesale system is notified of a positive total coliform sample result, the consecutive system must, within 24 hours, notify the State, the wholesale system and any other wholesale system that owns and/or operates ground water sources that provides water used by the consecutive system. If all the water provided by the consecutive system has been subject to 4-log virus treatment and process compliance monitoring, notification by the consecutive system about the total coliform sample is not required.

After notification, the wholesaler must, within 24 hours, test its raw water source(s) for fecal indicator organism(s) in accordance with section 5-1.52 Table 11B of this Subpart at the location(s) specified in the monitoring plan described in section 5-1.51 of this Subpart.

Effective Date: 
Wednesday, November 9, 2011
Doc Status: 
Complete

Section 5-1.77 - State notification

5-1.77 State notification. (a) The supplier of water shall make State notification within 24 hours of learning of the existence or potential existence of a public health hazard, or within 48 hours for any other violation or situation that may pose a risk to public health. Section 5-1.52 table 13 of this Subpart lists violations and situations that require State notification.
(b) The information provided in a State notification shall include, but not be limited to the following:

(1) a description of the violation or situation, including the contaminant of concern, and (as applicable) the contaminant level;

(2) when the violation or situation occurred;

(3) what the system is doing to correct the violation or situation; and

(4) when the water system expects to return to compliance.

(c) Ground water systems and ground water sources that complete corrective action to correct significant deficiencies or address fecal contamination of a ground water source must notify the state within 30 days of the completion of the action.

Effective Date: 
Wednesday, November 9, 2011
Doc Status: 
Complete

Section 5-1.78 - Public notifications

5-1.78 Public Notification

(a) General public notification requirements. Each owner or operator of a public water system must provide public notification for public health hazards, and for all MCL, MRDL, treatment technique, monitoring and testing procedure violations, and for other situations posing a risk to public health. Public notification requirements are divided into three tiers to take into account the seriousness of the violation or situation and any potential adverse health effects that may be involved. The form, manner, frequency, and other requirements for each tier are described in subdivisions (c)-(e) of this section. Section 5-1.52 table 13 of this Subpart lists the required public notification (Tier 1, Tier 2, or Tier 3) for specific violations and other situations posing a risk to public health.

(1) Public water systems that sell or otherwise provide drinking water to other public systems (i.e. to consecutive systems) are required to give public notice to the owner or operator of the consecutive system; the consecutive system is responsible for providing public notification to the persons it serves.

(2) If a public water system can show that a violation in a portion of the distribution system is physically or hydraulically isolated from other parts of the distribution system, then with written permission from the State the system may limit the notice to only persons served by that portion of the system that is out of compliance.

(3) The public water system, within 10 days of completing the public notification requirements under this Subpart for the initial public notification and any repeat notices, must submit to the State a certification that it has fully complied with the public notification regulations. The public water system must include with this certification a representative copy of each type of notice distributed, published, posted, and made available to the persons served by the system and to the media. Copies of public notices and certificates issued pursuant to this paragraph must be kept by the supplier of water for three years after issuance.

(4) Public notification is required when a significant deficiency is identified at a public water system that is not required to prepare an annual water supply statement (report), as directed in sections 5-1.72 (e) and (f) of this subpart. If the water system has been notified by the State of a significant deficiency and it has not been corrected as directed or approved by the State, the system must notify its customers in a format prescribed or approved by the State. Notice must be provided if any significant deficiency has not been corrected within 12 months of State notification or as otherwise directed by the State. The system must continue to inform the public until the significant deficiency is corrected.

(b) Content, presentation, and standard language requirements for all public notifications.

(1) When a public water system has a violation or a situation posing a risk to public health, other than operating under a variance or exemption, the public notification must include the following elements:

(i) a description of the violation or situation, including the contaminant of concern, and (as applicable) the contaminant level;

(ii) when the violation or situation occurred;

(iii) any potential adverse health effects from the violation or situation, including the standard language under subparagraph (b)(4)(i) or (b)(4)(ii) of this section, whichever is applicable;

(iv) the population at risk, including subpopulations particularly vulnerable if exposed to the contaminant in their drinking water;

(v) whether alternative water supplies should be used;

(vi) what actions consumers should take, including when they should seek medical help, if known;

(vii) what the system is doing to correct the violation or situation;

(viii) when the water system expects to return to compliance;

(ix) the phone number of the water system owner, operator, or designee of the public water system as a source of additional information concerning the notice;

(x) the phone number of the county or district health department which has jurisdiction over the water system; and

(xi) a statement included in notices distributed by mail or direct delivery to encourage the notice recipient to distribute the public notice to other persons served, using the standard language under subparagraph (b)(4)(iii) of this section.

(2) When a public water system operates under a variance or exemption, each public notice must include the following elements:

(i) an explanation of the reasons for the variance or exemption;

(ii) the date on which the variance or exemption was issued;

(iii) a brief status report on the steps the system is taking to install treatment, find alternative sources of water, or otherwise comply with the terms and schedules of the variance or exemption; and

(iv) a notice of any opportunity for public input in the review of the variance or exemption.

(3) Notice presentation. Each public notice required by this section:

(i) must be displayed in a conspicuous way (where applicable);

(ii) must not contain overly technical language or very small print;

(iii) must not be formatted in a way that defeats the purpose of the notice;

(iv) must not contain language which nullifies the purpose of the notice; and

(v) must contain information for non-English speaking consumers, where appropriate. For systems serving a large proportion of non-English speaking consumers, as determined by the State, the notice must contain information prescribed by the State in the appropriate language(s) expressing the importance of the notice.

(4) Standard Language.

(i) Mandatory health effects language must be included in the notification for MCL and MRDL violations, treatment technique violations, and violations of the condition of a variance or exemption. The mandatory health effects language will be developed by the Department and provided to the supplier of water by the State.

(ii) Standard language for monitoring and testing procedure violations. Public water systems must include the following language in their notice, including the language necessary to fill in the blanks, for all monitoring and testing procedure violations listed in section 5-1.52 table 13: 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 your 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.

(iii) Standard language to encourage distribution of the public notice to all persons served, when the notice is distributed by mail or direct delivery: 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.

(iv) Standard language for repeated failure to conduct Cryptosporidium monitoring: We are required to monitor the source of your drinking water for Cryptosporidium. Results of the monitoring are to be used to determine whether water treatment at the (treatment plant name) is sufficient to adequately remove Cryptosporidium from your drinking water. We are required to complete this monitoring and make this determination by (required bin determination date). We “did not monitor or test” or “did not complete all monitoring or testing” on schedule, and therefore, we may not be able to determine by the required date what treatment modifications, if any, shall be made to ensure adequate Cryptosporidium removal. Missing this deadline may, in turn, jeopardize our ability to have the required treatment modifications, if any, completed by the deadline required, (date). For more information, please call (name of water system contact) of (name of water system) at (phone number).

(v) Standard language for failure to determine bin classification or mean Cryptosporidium level: We are required to monitor the source of your drinking water for Cryptosporidium in order to determine by (date) whether water treatment at the (treatment plant name) is sufficient to adequately remove Cryptosporidium from your drinking water. We have not made this determination by the required date. Our failure to do this may jeopardize our ability to have the required treatment modifications, if any, completed by the required deadline of (date). For more information, please call (name of water system contact) of (name of water system) at (phone number).

(c) Tier 1 notification requirements (public health hazards, as defined in subdivision 5-1.1(bz) of this Subpart, require Tier 1 notification). The supplier of water shall:

(1) provide public notification no later than 24 hours after the system learns of a public health hazard;

(2) initiate consultation with the State no later than 24 hours after the public water system learns of the public health hazard, and comply with any additional notification requirements established as a result of the consultation (including using additional forms of delivery for the initial notification, the duration of the posted notices, or any repeat notices);

(3) notify by telephone the chief administrative or elected official of the city, village or town, wherein the public water system is located, and the local law enforcement department having jurisdiction in the area served by the public water system, that a public health hazard exists. If there is a potential for the public health hazard to cross political boundaries, all potentially impacted chief administrative or elected officials and local law enforcement departments in the political subdivisions, served by the public water system, must also be notified; and

(4) provide the notice in a form and manner reasonably calculated to reach all persons served (including residential, transient, and non-transient users) in the required time period. Water systems are to use one or more of the following forms of delivery:

(i) appropriate broadcast media (such as radio and television);

(ii) posting of the notice in conspicuous locations throughout the area served by the water system;

(iii) hand delivery of the notice to persons served by the water system; or

(iv) another delivery method approved in writing by the State.

(d) Tier 2 notification requirements (section 5-1.52 table 13 of this Subpart lists violations and situations that require Tier 2 notification).

(1) The supplier of water must provide public notification no later than 30 days after the system learns of a violation or situation that requires Tier 2 notification. If the public water system corrects the violation within 30 days, the State may allow additional time for the initial notice of up to three months from the date the system learns of the violation.

(2) The supplier of water must repeat the notice every three months as long as the violation or situation persists. If the public notice is posted, the notice must remain in place as long as the violation or situation persists, but in no case less than seven days.

(3) The supplier of water must provide the notice in a form and manner reasonably calculated to reach all persons served in the required time period.

(i) Unless directed otherwise by the State in writing, community water systems must provide notice by: mail or other direct delivery to each customer receiving a bill, and to other service connections to which water is delivered by the public water system; and by any other method reasonably calculated to reach other persons regularly served by the system if they would not normally be reached by mail or direct delivery.

(ii) Unless directed otherwise by the State in writing, non-community water systems must provide notice by posting the notice in conspicuous locations, and by any other method(s) reasonably calculated to reach other persons served by the system if they would not normally be reached by posting.

(4) For the turbidity violations or exceedances specified in subparagraphs (i)-(iii) of this paragraph, the supplier of water must consult with the State no later than 24 hours after the public water system learns of the violation or exceedance to determine whether a Tier 1 notification is required to protect public health. When consultation does not take place within the 24 hour period, the water system must distribute a Tier 1 notification no later than 48 hours after the system learns of the violation or exceedance. Consultation with the State is required for:

(i) a violation of the two day average maximum allowable turbidity at the entry point pursuant to section 5-1.52 table 4 of this Subpart;

(ii) a violation resulting from a single exceedance of the maximum allowable turbidity for filter effluent pursuant to section 5-1.52 table 4A of this Subpart; and

(iii) a single raw water turbidity exceedance of 5 NTU for systems operating under the avoidance criteria in subdivision 5-1.30(c) of this Subpart.

(5) Consultation with the State is required within 24 hours after a ground water system or ground water source learns of any of the following:

(i) A fecal indicator positive sample from the source(s) as specified in section 5-1.52 table 6 of this subpart;

(ii) A significant deficiency that is considered to constitute a public health hazard; or

(iii) Failure of 4-log virus treatment by the water system that is not resolved within four hours.

The State will determine whether Tier 1 notification is required to protect public health. When consultation does not take place within the 24-hour period, the water system must distribute Tier 1 notification no later than 48 hours after the system learns of the violation or exceedance.

(6) For repeated failure to conduct Cryptosporidium monitoring, failure to determine bin classification, or failure to calculate mean Cryptosporidium, each notification shall also include a description of what the system is doing to correct the violation and when the system expects to return to compliance or resolve the situation.

(e) Tier 3 notification requirements (section 5-1.52 table 13 of this Subpart lists violations and situations that require Tier 3 notification).

(1) The supplier of water for community and non-transient noncommunity water systems must provide public notification no later than one year after the system learns of a violation or situation that requires Tier 3 notification. The supplier of water for transient noncommunity water systems must provide public notification no later than 30 days after the system learns of a violation or situation that requires Tier 3 notification. If the public water system operates seasonally, the public notification must also be provided before the system closes for the season.

(2) The supplier of water must repeat the notice annually for as long as the violation or situation persists. If the public notice is posted, the notice must remain in place as long as the violation or situation persists, but in no case less than seven days.

(3) The supplier of water may use a single public notice for multiple violations or situations that require Tier 3 notification, as long as the timing requirements of paragraph (1) of this subdivision are met. Community water systems may use the annual water supply statement (report) (see subdivisions 5-1.72(e) – (h) of this Subpart) to provide Tier 3 notification.

(4) The supplier of water must provide the initial notice and any repeat notices in a form and manner reasonably calculated to reach all persons served in the required time period.

(i) Unless directed otherwise by the State in writing, community water systems must provide notice by: mail or other direct delivery to each customer receiving a bill, and to other service connections to which water is delivered by the public water system; and by any other method reasonably calculated to reach other persons served by the system if they would not normally be reached by mail or direct delivery.

(ii) Unless directed otherwise by the State in writing, non-community water systems must provide notice by posting the notice in conspicuous locations, and by any other method(s) reasonably calculated to reach other persons served by the system if they would not normally be reached by posting.

(f) Notice to new billing units or new customers. Community water systems must give a copy of the most recent public notice for any continuing violation, the existence of a variance or exemption, or other ongoing situations requiring a public notice to all new billing units or new customers prior to or at the time service begins.

(g) Information on unregulated contaminants. Nontransient noncommunity water systems that are required to monitor for contaminants listed in section 5-1.52 table 16, must post a notice that identifies a person and telephone number to contact for information on the monitoring results. The notice must be posted in conspicuous locations and no later than 12 months after the results are known.

(h) Notice by the State on behalf of the public water system. The State may make public notification if the State determines that the public's interest will be best served, or if the State determines that the supplier of water is not acting or cannot act in a timely manner. The State may charge and collect from the supplier of water the cost of making such notification. However, the supplier of water remains legally responsible for ensuring that the requirements of this section are met.

Effective Date: 
Wednesday, May 16, 2018
Doc Status: 
Complete

Section 5-1.79 - Multiple distribution systems

5-1.79 Multiple distribution systems. A water supply system or facility with multiple distribution systems on separate sources of water supply shall be considered a single public water system if all the following conditions are met:

(a) The separate sources are the same source type, with:

(1) the ground water sources located in the same aquifer area; or

(2) the surface water intakes located in the same water body and the intakes at the same approximate depth and location.

(b) The water supply system or facility is owned and operated by the same person(s);

(c) The water supply system or facility is operated for the same purposes and for the same time period; and

(d) The water supply system or facility serves 25 or more people or 15 or more service connections.
 

Effective Date: 
Wednesday, January 6, 1993
Doc Status: 
Complete

ENHANCED TREATMENT FOR CRYPTOSPORIDIUM

Effective Date: 
Wednesday, January 17, 2018

Section 5-1.80 - Applicability

ENHANCED TREATMENT FOR CRYPTOSPORIDIUM

5-1.80 Applicability. 

(a) The provisions of this section, and sections 5-1.81 through 5-1.83 apply to all public water systems supplied by a surface water source(s) or ground water source(s) directly influenced by surface water, provided the system serves 15 or more service connections or serves 25 or more persons. The requirements in this section for filtered systems apply to any system with a surface water or GWUDI source that is required to provide filtration, regardless of whether the system is currently operating a filtration system. All treatment must comply with the requirements of the Microbial Toolbox Components as described in 40 CFR 141.715 through 40 CFR 141.720.  Any unfiltered systems that are in compliance with the filtration avoidance criteria in section 5-1.30(c) of this Subpart, are subject to the requirements in sections 5-1.80 through 5-1.83 pertaining to unfiltered systems. Wholesale system compliance with sections 5-1.81 through 5-1.83 is based on the population of the largest system in the combined distribution system. The above systems shall comply with the following requirements: (a) Systems shall conduct an initial and a second round of source water monitoring for each plant that treats water from a surface water source or ground water source directly influenced by surface water. This monitoring may include Cryptosporidium, E. coli, and turbidity, as described in section 5-1.81(a) through (d) of this Subpart, to determine what level, if any, of additional Cryptosporidium treatment shall be provided.  Cryptosporidium monitoring shall be done using an approved method. The following method modifications must also be followed:

(1) Samples must be at least 10 liters (L) or a packed pellet volume of at least 2 milliliters (mL) must be used. If a 10 L sample cannot be processed, as much sample volume as can be filtered by two filters, as described in 40 CFR 141.704(a)(1), must be processed, up to a packed pellet volume of at least 2 mL.

(2) The method-required matrix spike (MS) samples must be spiked and filtered by a laboratory certified for the method.

(3) If the volume of the MS is greater than 10 L, the volume greater than 10 L may be filtered in the field, and the filtered sample may be shipped with the 10 L sample to the laboratory where the 10 L sample is spiked and filtered through the filter that was used to collect the balance of the sample in the field.

(4) Flow cytometer-counted spiking suspensions must be used for MS samples and ongoing precision and recovery samples.

(b) Systems that plan to make a significant change to their disinfection practice shall develop disinfection profiles and calculate disinfection benchmarks, as described in section 5-1.82 of this Subpart. 

(c) Filtered systems shall determine their Cryptosporidium treatment bin classification, as described in section 5-1.83(a) of this Subpart, and provide additional treatment for Cryptosporidium, if required, as described in section 5-1.83(b) of this Subpart. All unfiltered systems shall determine their mean Cryptosporidium level and provide treatment for Cryptosporidium as described in section 5-1.83(c) of this Subpart. Systems shall implement Cryptosporidium treatment according to the schedule in section 5-1.83(d) of this Subpart.

Effective Date: 
Wednesday, January 17, 2018

Section 5-1.81 - Source Water Monitoring Requirements at Systems using Surface Water and Ground Water under the Direct Influence of Surface Water (GWUDI) Sources

5-1.81 Source Water Monitoring Requirements at Systems using Surface Water and Ground Water under the Direct Influence of Surface Water (GWUDI) Sources.

(a) Source Water Monitoring.

(1) Initial round of source water monitoring. Systems shall conduct the following monitoring, based on the monitoring schedule prescribed in paragraph (3) of this subdivision, unless they meet the monitoring exemption criteria in paragraph (4) of this subdivision:

(i) Filtered systems serving at least 10,000 people shall sample their source water for Cryptosporidium, E. coli, and turbidity at least monthly for 24 months.

(ii) Unfiltered systems serving at least 10,000 people shall sample their source water for Cryptosporidium at least monthly for 24 months.

(iii) Filtered systems serving fewer than 10,000 people:

(a) shall sample their source water for E. coli and use an approved method to enumerate the presence of E. coli at least once every two weeks for 12 months;

(b) may avoid E. coli monitoring if the system notifies the State that it will monitor for Cryptosporidium as described in subparagraph (iv) of this paragraph. The system shall notify the state no later than three months prior to the date the system is otherwise required to start E. coli monitoring under paragraph (3) of this subdivision; and 

(c) shall sample their source water for Cryptosporidium at least twice per month for 12 months, or at least monthly for 24 months, if, based on monitoring conducted under subparagraph (iii) of this paragraph, they meet one of the following criteria: 

(1) the annual mean E. coli concentration is greater than 10 E. coli/ 100 mL; or 

(2) the system does not conduct E. coli monitoring at least once every two weeks for 12 months.

(3) The State may approve an alternative to the E. coli concentration specified in subdivision (a)(1)(iii)(c)(1) of this section to trigger Cryptosporidium monitoring. This approval by the State will be provided to the system in writing and will include the basis for the State’s determination that the alternative trigger concentration will provide a more accurate identification of whether a system will exceed the Bin 1 Cryptosporidium level specified in section 5-1.83(a)(2) of this Subpart.

(iv) Unfiltered systems serving fewer than 10,000 people shall sample their source water for Cryptosporidium at least twice per month for 12 months or at least monthly for 24 months.

(v) Systems may sample more frequently than required under this section if the sampling frequency is evenly spaced throughout the monitoring period.

(2) Second round of source water monitoring. Systems shall conduct a second round of source water monitoring that meets the requirements for monitoring parameters, frequency, and duration described in paragraph (1) of this subdivision, unless they meet the monitoring exemption criteria in paragraph (4) of this subdivision. Systems shall conduct this monitoring on the schedule in paragraph (3) of this subdivision.

(3) Monitoring schedule. Systems shall comply with the monitoring schedule prescribed in 40 CFR 141.701(c).

(4) Monitoring avoidance. 

(i) Filtered systems are not required to conduct source water monitoring under this section if the system will provide a total of at least 5.5-log of treatment for Cryptosporidium, equivalent to meeting the treatment requirements of Bin 4 in section 5-1.83(b) of this Subpart.

(ii) Unfiltered systems are not required to conduct source water monitoring under this section if the system will provide a total of at least 3-log Cryptosporidium inactivation, equivalent to meeting the treatment requirements for unfiltered systems with a mean Cryptosporidium concentration of greater than 0.01 oocysts/L in section 5-1.83(c) of this Subpart.

(iii) If a system chooses to provide the level of treatment in subparagraph (i) or (ii) of this paragraph, as applicable, rather than start source water monitoring, the system shall notify the State in writing no later than the date the system is otherwise required to submit a sampling schedule for monitoring under subdivision (b) of this section. Alternatively, a system may choose to stop sampling at any point after it has initiated monitoring if it notifies the State in writing that it will provide this level of treatment. Systems shall install and operate technologies to provide this level of treatment by the applicable treatment compliance date in section 5-1.83(d) of this Subpart.

(5) Plants operating only part of the year. Systems with surface water sources or ground water sources directly influenced by surface water and with plants that operate for only part of the year shall conduct source water monitoring in accordance with this section and section 5-1.80 of this Subpart, but with the following modifications:

(i) Systems shall sample their source water only during the months that the plant operates unless the State specifies another monitoring period based on plant operating practices.

(ii) Systems with plants that operate less than six months per year and that monitor for Cryptosporidium shall collect at least six Cryptosporidium samples per year during each of two years of monitoring. Samples shall be evenly spaced throughout the period the plant operates.

(6) New sources. 

(i) A system that begins using a new source of surface water or ground water directly influenced by surface water after the system is required to begin monitoring under paragraph (3) of this subdivision shall monitor the new source on a schedule approved by the State. Source water monitoring shall meet the requirements of this section. The system also shall meet the bin classification of section 5-1.83(a) and Cryptosporidium treatment requirements of section 5-1.83(b) or 5-1.83(c) of this Subpart, as applicable, for the new source on a schedule approved by the State.

(ii) The requirements of this paragraph also apply to new systems that use surface water or ground water directly influenced by surface water, that begin operation after the monitoring start date applicable to the system’s size under paragraph (3) of this subdivision.

(iii) The system shall begin a second round of source water monitoring no later than six years following initial bin classification or determination of the mean Cryptosporidium level, as applicable.

(b) Sampling Schedules. 

(1) Systems required to conduct source water monitoring under this section shall submit a sampling schedule that specifies the calendar dates when the system will collect each required sample. Systems shall submit sampling schedules to the State no later than three months prior to any applicable date referenced in subdivision (a)(3) of this section. If the State does not respond to a system regarding its sampling schedule, the system shall sample at the reported schedule. 

(2) Systems shall collect samples within two days before or two days after the dates indicated in their sampling schedule, unless one of the following conditions applies:

(i) If an extreme condition or situation exists that may pose danger to the sample collector, or that cannot be avoided and causes the system to be unable to sample in the scheduled five-day period, the system shall sample as close to the scheduled date as is feasible, unless the State approves an alternate sampling date. The system shall submit an explanation for the delayed sampling date to the State concurrent with the shipment of the sample to the laboratory.

(ii) If a system is unable to report a valid analytical result for a scheduled sampling date due to equipment failure, loss of or damage to the sample, failure to comply with the analytical method requirements, including the quality control requirements in subdivision (d) of this section, or the failure of an approved laboratory to analyze the sample, then the system shall collect a replacement sample. The replacement sample shall be collected no later than 21 days after receiving information that an analytical result cannot be reported for the scheduled date, unless the system demonstrates that collecting a replacement sample within this time frame is not feasible, or the State approves an alternative resampling date. The system shall submit an explanation for the delayed sampling date to the State concurrent with the shipment of the replacement sample to the laboratory.

(3) Systems that fail to meet the criteria of paragraph (2) of this subdivision for any source water sample required under subdivision (a) of this section shall revise their sampling schedules to add dates for collecting all missed samples. Systems shall submit the revised schedule to the State for approval prior to when the system begins collecting the missed samples.

(c) Sampling Locations.

(1) Systems required to conduct source water monitoring under subdivision (a) of this section shall collect samples for each plant that treats a surface water or GWUDI source.

Where multiple plants draw water from the same influent, such as the same pipe or intake, the State may approve one set of monitoring results to be used to satisfy the requirements for all plants.

(2) Systems shall collect source water samples prior to chemical treatment, such as coagulants, oxidants, and disinfectants, unless the State determines that collecting a sample prior to chemical treatment is not feasible for the system and that the chemical treatment is unlikely to have a significant adverse effect on the analysis of the sample.

(3) Systems that recycle filter backwash water shall collect source water samples prior to the point of filter backwash water addition.

(4) Bank filtration.

(i) Systems that receive Cryptosporidium treatment credit for bank filtration, as applicable, shall collect source water samples in the surface water prior to bank filtration.

(ii) Systems that use bank filtration as pretreatment to a filtration plant shall collect source water samples from the well (i.e., after bank filtration). Use of bank filtration during monitoring shall be consistent with routine operational practice. Systems collecting samples after a bank filtration process may not receive treatment credit for the bank filtration.

(5) Multiple sources. Systems with plants that use multiple water sources, including multiple surface water sources and blended surface water and ground water sources, shall collect samples as specified in subparagraph (i) or (ii) of this paragraph. The use of multiple sources during monitoring shall be consistent with routine operational practice.

(i) If a sampling tap is available where the sources are combined prior to treatment, systems shall collect samples from that tap.

(ii) If a sampling tap where the sources are combined prior to treatment is not available, systems shall collect samples at each source near the intake on the same day and select one of the following options for sample analysis;

(a) Systems may composite samples from each source into one sample prior to analysis. The volume of sample from each source shall be weighted according to the proportion of the source in the total plant flow at the time the sample is collected; or

(b) Systems may analyze samples from each source separately and calculate a weighted average of the analysis results for each sampling date. The weighted average shall be calculated by multiplying the analysis result for each source by the fraction the source contributed to total plant flow at the time the sample was collected and then summing these values.

(6) Additional Requirements. Systems shall submit a description of their sampling location(s) to the State at the same time as the sampling schedule. This description shall address the position of the sampling location in relation to the system’s water source(s) and treatment processes, including pretreatment, points of chemical treatment, and filter backwash recycle. If the State does not respond to a system regarding sampling location(s), the system shall sample at the reported location(s).

(d) Reporting source water monitoring results. 

(1) Systems shall report results from the source water monitoring no later than 10 days after the end of the first month following the month when the sample is collected. 

(2) Systems shall report the following information, as applicable, for the source water monitoring samples required under subdivision (a) of this section.

(i) Systems shall report the following data elements for each Cryptosporidium analysis: PWS ID; facility ID sample collection date sample type (field or matrix spike); sample volume filtered (in liters, to the nearest 0.25 liter); confirmation that 100 percent of filtered volume was examined; and the number of oocysts counted.

(a) For matrix spike samples, systems shall also report the sample volume spiked and estimated number of oocysts spiked. These data are not required for field samples. 

(b) For samples in which less than 10 liters are filtered or less than 100 percent of the sample volume is examined, systems shall also report the number of filters used and the packed pellet volume. 

(c) For samples in which less than 100 percent of sample volume is examined, systems shall also report the volume of resuspended concentrate and volume of this resuspension processed through immunomagnetic separation.

(ii) Systems shall report the following data elements for each E. coli analysis: PWS ID; facility ID; sample collection date; analytical method number; method type; source type; E. coli/100 mL; and turbidity. Systems serving fewer than 10,000 people that are not required to monitor for turbidity are not required to report turbidity with their E. coli results.

 

Effective Date: 
Wednesday, January 17, 2018

Section 5-1.82 - Requirements when making a significant change in disinfection practice

5-1.82 Requirements when making a significant change in disinfection practice.

(a) Following the completion of initial source water monitoring under section 5-1.81(a)(1) of this Subpart, a system that plans to make a significant change to its disinfection practice, as defined in subdivision (b) of this section, shall develop disinfection profiles and calculate disinfection benchmarks for Giardia lamblia and viruses, in accordance with 40 CFR 141.709. Prior to changing the disinfection practice, the system shall notify the State and shall include in this notice the following information:

(1) A completed disinfection profile and disinfection benchmark for Giardia lamblia and viruses prepared as described in 40 CFR 141.709.

(2) A description of the proposed change in disinfection practice.

(3) An analysis of how the proposed change will affect the current level of disinfection.

(b) Significant changes to disinfection practice are defined as follows:

(1) Changes to the point of disinfection;

(2) Changes to the disinfectant(s) used in the treatment;

(3) Changes to the disinfection process; or

(4) Any other modification identified by the State as a significant change to disinfection practice.

 

 

Effective Date: 
Wednesday, January 17, 2018

Section 5-1.83 - Treatment Technique Requirements

5-1.83 Treatment Technique Requirements.

(a) Bin classification for filtered systems.

(1) Following completion of the initial round of source water monitoring under section 5-1.81(a)(1) of this Subpart, filtered systems shall calculate an initial Cryptosporidium bin concentration for each plant for which monitoring was required, such calculation shall be done in accordance with 40 CFR 141.710(b)(1) through 40 CFR 141.710(b)(5). Calculation of the bin concentration shall use the Cryptosporidium results reported under section 5-1.81 of this Subpart.

(2) Filtered systems shall determine their initial bin classification from the following table and using the Cryptosporidium bin concentration calculated under paragraph (1) of this subdivision:

 

                 BIN CLASSIFICATION TABLE FOR FILTERED SYSTEMS

System

Characteristic

Cryptosporidium Concentration1

Bin  Classification 

Required to monitor for Cryptosporidium

Cryptosporidium <0.075 oocyst/L

 

Bin 1

0.075 oocysts/L < Cryptosporidium <1.0 oocyst/L

 

Bin 2

1.0 oocyst/L < Cryptosporidium <3.0 oocysts/L

 

Bin 3

Cryptosporidium >3.0 oocysts/L

 

Bin 4

Serving fewer than

10,000 people and NOT required to monitor for

Cryptosporidium

Not Applicable

Bin 1

1Based on calculations in paragraph (1) or (4) of this subdivision, as applicable.

 

(3) Following completion of the second round of source water monitoring required under section 5-1.81(a)(2) of this Subpart, filtered systems shall recalculate their Cryptosporidium bin concentration using the Cryptosporidium results reported under section 5-1.81(a)(2) of this Subpart, and following the procedures in 40 CFR 141.710(b)(1) through 40 CFR 141.710(b)(4). Systems shall then reevaluate their bin classification using the bin concentration from the second round of monitoring and the table in paragraph (2) of this subdivision.

(4) (i) Filtered systems shall report their initial bin classification under paragraph (2) of this subdivision to the State for approval no later than six months after the system is required to complete initial source water monitoring based on the schedule referenced in section 5-1.81(a)(3) of this Subpart.

(ii) Systems shall report their bin classification under paragraph (3) of this subdivision to the State for approval no later than six months after the system is required to complete the second round of source water monitoring based on the schedule referenced in section 5-1.81(a)(3) of this Subpart.

(iii) The bin classification report to the State shall include a summary of source water monitoring data and the calculation procedure used to determine bin classification.

(b) Filtered system additional Cryptosporidium treatment requirements.

(1) Filtered systems shall provide the level of additional treatment for Cryptosporidium specified in this paragraph based on their bin classification as determined under subdivision (a) of this section and according to the schedule in subdivision (d) of this section.

 

 

System

Classification

If the system uses the following filtration treatment in full compliance with

section 5-1.30(b) of this Subpart (as applicable), then the additional Cryptosporidium treatment requirements are:

Conventional

Filtration Treatment

(including softening)

Direct Filtration

Slow Sand or

Diatomaceous

Earth Filtration

Alternative

Filtration

Technologies

Bin 1

No additional

No additional

No additional

No additional

Bin 2

1-log

1.5-log

1-log

(1)

Bin 3

2-log

2.5-log

2-log

(2)

Bin 4

2.5-log

3-log

2.5-log

(3)

1As determined by the State such that the total Cryptosporidium removal and inactivation is at least 4.0-log. 

2As determined by the State such that the total Cryptosporidium removal and inactivation is at least 5.0-log. 

3As determined by the State such that the total Cryptosporidium removal and inactivation is at least 5.5-log.

 

(2)(i) Filtered systems shall use one or more of the treatment and management options, as approved by the State, to comply with the additional Cryptosporidium treatment required in paragraph (1) of this subdivision.

(ii) Systems classified in Bin 3 and Bin 4 shall achieve at least 1-log of the additional Cryptosporidium treatment required under paragraph (1) of this subdivision using either one or a combination of the following, as approved by the State: bag filters, bank filtration, cartridge filters, chlorine dioxide, membranes, ozone, or UV.

(3) Failure by a system in any month to achieve treatment credit at least equal to the level of treatment required in paragraph (1) of this subdivision is a violation of the treatment technique requirement.

(4) If the State determines during a sanitary survey or an equivalent source water assessment that, after a system completed the monitoring conducted under section 5-1.81(a)(1) or (2) of this Subpart, significant changes occurred in the system’s watershed that could lead to increased contamination of the source water by Cryptosporidium, the system shall take actions specified by the State to address the contamination. 

(c) Unfiltered system Cryptosporidium treatment requirements.

(1) Determination of mean Cryptosporidium level.

(i) Following completion of the initial source water monitoring required under section 5-1.81(a)(1) of this Subpart, unfiltered systems shall calculate the arithmetic mean of all Cryptosporidium sample concentrations reported for such monitoring. Systems shall report this value to the State for approval no later than six months after the month the system is required to complete initial source water monitoring based on the schedule referenced in section 5-1.81(a)(3) of this Subpart.

(ii) Following completion of the second round of source water monitoring required under section 5-1.81(a)(2) of this Subpart, unfiltered systems shall calculate the arithmetic mean of all Cryptosporidium sample concentrations reported under that monitoring.  Systems shall report this value to the State for approval no later than six months after the month the system is required to complete the second round of source water monitoring based on the schedule referenced in section 5-1.81(a)(3) of this Subpart.

(iii) If the monthly Cryptosporidium sampling frequency varies, systems shall first calculate a monthly average for each month of monitoring. Systems shall then use these monthly average concentrations, rather than individual sample concentrations, in the calculation of the mean Cryptosporidium level in subparagraphs (i) or (ii) of this paragraph.

(iv) The report to the State of the mean Cryptosporidium levels calculated under subparagraphs (i) and (ii) of this paragraph shall include a summary of the source water monitoring data used for the calculation.

(2) Cryptosporidium inactivation requirements. Unfiltered systems shall provide the level of inactivation for Cryptosporidium specified in this paragraph, based on their mean Cryptosporidium levels as determined under paragraph (1) of this subdivision and according to the schedule in subdivision (d) of this section.

(i) Unfiltered systems with a mean Cryptosporidium level of 0.01 oocysts/L or less shall provide at least 2-log Cryptosporidium inactivation.

(ii) Unfiltered systems with a mean Cryptosporidium level of greater than 0.01 oocysts/L shall provide at least 3-log Cryptosporidium inactivation.

(3) Inactivation treatment technology requirements. Unfiltered systems shall use chlorine dioxide, ozone, or UV to meet the Cryptosporidium inactivation requirements of this section.

(4) Use of two disinfectants. Unfiltered systems shall meet the combined Cryptosporidium inactivation requirements of this section and Giardia lamblia and virus inactivation requirements of section 5-1.30(c)(3) of this Subpart using a minimum of two disinfectants, and each of two disinfectants must separately achieve the total inactivation required for either Cryptosporidium, Giardia lamblia, or viruses. Systems that fail to install a second disinfectant to treat for Cryptosporidium are in violation of the treatment technique requirement.

(d) Schedule for compliance with Cryptosporidium treatment requirements.

(1) Following initial bin classification under subdivision (a) of this section, filtered systems shall provide the level of treatment for Cryptosporidium required under subdivision (b) of this section, on a schedule approved by the State.

(2) Following initial determination of the mean Cryptosporidium level under subdivision (c)(1)(i) of this section, unfiltered systems shall provide the level of treatment for Cryptosporidium required under subdivision (c).

(3) If the bin classification for a filtered system changes following the second round of source water monitoring, as determined under subdivision (a)(3) of this section, the system shall provide the level of treatment for Cryptosporidium required under subdivision (b) of this section on a schedule approved by the State.

(4) If the mean Cryptosporidium level for an unfiltered system changes following the second round of monitoring, as determined under subdivision (c)(1)(ii) of this section, and if the system shall provide a different level of Cryptosporidium treatment under subdivision (c) of this section due to this change, the system shall meet this treatment requirement on a schedule approved by the State.

 

 

Effective Date: 
Wednesday, January 17, 2018

VARIANCES AND EXEMPTIONS

Section 5-1.90 - Variance from a maximum contaminant level

VARIANCES AND EXEMPTIONS

5-1.90 Variance from a maximum contaninant level. (a) The supplier of water may request, and the department may grant, one or more variances from an MCL contained in sections 5-1.51 and 5-1.52 tables 1, 3, 5 and 7 of this Subpart to any public water system based on a finding that:

(1) because of characteristics of the raw water sources which are reasonably available to it, the public water system cannot meet the requirements respecting such MCL despite application of the best available technology, treatment techniques or other means which are generally available, taking costs into consideration; and

(2) the granting of a variance will not result in an unreasonable risk to health.

(b) At the time of the granting of the variance, the department shall prescribe, and the supplier of water shall follow, a schedule for:

(1) compliance, including increments of progress, to meet each MCL covered by the variance; and

(2) implementation of such control measures as the department may require.
 

Effective Date: 
Wednesday, May 16, 2018
Doc Status: 
Complete

Section 5-1.91 - Variance from required use of any specified treatment technique

5-1.91 Variance from required use of any specified treatment technique.

(a) The supplier of water may request, and the department may grant, one or more variances from any treatment technique requirement, except filtrationand disinfection, in accordance with section 5-1.30(b), (c) and (g) of this Subpart on a finding that such treatment technique is not necessary to protect the health of persons served by the public water system because of the raw water source or sources of such system.

(b) As a condition to the granting of a variance under subdivision (a) of this section, the supplier of water shall perform monitoring and other requirements as prescribed by the department.

(c) Notwithstanding subdivisions (a) and (b) of this section, section 5-1.30 of this Subpart shall govern the conditions under, and the manner which, a waiver of mandatory disinfection treatment for a ground water source may be granted.

(d) The technologies listed in this section are the best technology, treatment techniques, or other means available for achieving compliance with the maximum contaminant levels for organic chemicals listed in section 5-1.52 table 3 of this Subpart:

BEST AVAILABLE TECHNOLOGIES (BATs)

Best Available Technologies

Contaminant
PTA1 GAC2 OX3
Benzene X X
Carbon tetrachloride X X
1,2-Dichloroethane X X
Trichloroethylene X X
para-Dichlorobenzene X X
1,1-Dichloroethylene X X
1,1,1-Trichloroethane X X
Vinyl chloride X
cis-1,2-Dichloroethylene X X
1,2-Dichloropropane X X
Ethylbenzene X X
Monochlorobenzene X X
o-Dichlorobenzene X X
Styrene X X
Tetrachloroethylene X X
Toluene X X
trans-1,2-Dichloroethylene X X
Xylenes (total) X X
Alachlor X
Aldicarb X
Aldicarb sulfoxide X
Aldicarb sulfone X
Atrazine X
Carbofuran X
Chlordane X
Dibromochloropropane X X
2,4-D X
Ethylene dibromide X X
Heptachlor X
Heptachlor epoxide X
Lindane X
Methoxychlor X
PCBs X
Pentachlorophenol X
Toxaphene X
2,4,5-TP X
Benzo(a)pyrene X
Dalapon X
Dichloromethane X
Di(2-ethylhexyl)adipate X X
Di(2-ethylhexyl)phthalate X
Dinsoeb X
Endothal X
Endrin X
Glyphosate x
Hexachlorobenzene X
Hexachlorocyclopentadiene X X
Oxamyl (Vydate) X
Picloram X
Simazine X
1,2,4-Trichlorobenzene X X
1,1,2-Trichloroethane X X
2,3,7,8-TCDD (Dioxin) X
TTHM, HAA5, Bromate, Chlorite4  
   

 

1Packed Tower Aeration

2Granular Activated Carbon

3Oxidation (Chlorination or Ozonation)

4For surface water systems or ground water systems influenced by surface water, GAC10, as defined in section 5-1.1 of this Subpart, is the BAT for compliance with the TTHM and HAA5 MCL as a Running Annual Average (RAA). The other BAT for RAA compliance is enhanced coagulation for TTHM and HAA5 precursor removal, as described in section 5-1.60 of this Subpart. For compliance with the MCLs for TTHM and HAA5 as LRAAs, the following are the BATs: enhanced coagulation or enhanced softening, plus GAC10; GAC20, as defined in section 5-1.1 of this Subpart; or nanofiltration with a molecular weight cutoff less than or equal to 100 Daltons. Refer to section 5-1.65 of this Subpart for BATs for TTHM, HAA5, Bromate, and Chlorite.

 

(e) The following are the best technologies, treatment techniques, or other means available for achieving compliance with the maximum contaminant levels for the inorganic chemicals and radionuclides listed in section 5-1.52, Tables 1 and 7 of this Subpart:

 

Technologies for Achieving MCL Compliance

Chemical Name

Best Available Technologies

Antimony

2,7

Arsenic5

1,2,5,6,7,9,136

Asbestos

2,3,8

Barium

5,6,7,9

Beryllium

1,2,5,6,7

Cadmium

2,5,6,7

Chromium

2,5,62,7

Cyanide

5,7,10

Fluoride

1,7

Mercury (Hg)

21,4,61,71

Nickel

5,6,7

Nitrate

5,7

Nitrite

5,7, 9

Selenium

1,23,6,7,9

Thallium

1,5

Gross alpha (excluding radon and uranium)

7

Combined radium (226 and 228)

5,6,7

Uranium

5,6,7,124

Beta particle and photon radioactivity

5,7

 

1BAT only if influent Hg concentrations <10 µg/L.

2BAT for Chromium III only.

3BAT for Selenium IV only.

4Assumes that the system already has coagulation/filtration in place.

5BATs for Arsenic V. Pre-oxidation may be required to convert Arsenic III to Arsenic V.

6To obtain high removals, iron to arsenic ratio must be at least 20:1.

 

Key to Best Available Technologies (BATs) in Table

1   =  Activated Alumina

2   =  Coagulation/Filtration (not BAT for systems < 500 service connections)

3   =  Direct and Diatomite Filtration

4   =  Granular Activated Carbon

5   =  Ion Exchange

6   =  Lime Softening (not BAT for systems < 500 service connections)

7   =  Reverse Osmosis

8   =  Corrosion Control

9   =  Electrodialysis

10 =  Chlorine

11 =  Ultraviolet

12 =  Enhanced coagulation/filtration

13 = Oxidation/Filtration

 

(f) The following are the affordable technologies, treatment techniques, or other means available to systems serving 10,000 persons or fewer for achieving compliance with the MCL for arsenic as listed in section 5-1.52 Table 1 of this Subpart:

 

Technology for Arsenic MCL Compliance at Systems Serving ≤10,000

Small system compliance technology1

Affordable for listed small  system categories

Activated Alumina (centralized)

All Systems Serving 25-10,000

Activated Alumina (Point-of-Use)2

All Systems Serving 25-10,000

Coagulation/Filtration3

Systems Serving 501-10,000

Coagulation-assisted Microfiltration

Systems Serving 501-10,000

Electrodialysis reversal4

Systems Serving 501-10,000

Enhanced coagulation/filtration

All Systems Serving 25-10,000

Enhanced lime softening (pH > 10.5)

All Systems Serving 25-10,000

Ion Exchange

All Systems Serving 25-10,000

Lime Softening3

Systems Serving 501-10,000

Oxidation/Filtration5

All Systems Serving 25-10,000

Reverse Osmosis (centralized)4

Systems Serving 501-10,000

Reverse Osmosis (Point-of-Use)2

All Systems Serving 25-10,000

 

1Small System Compliance Technologies for Arsenic V. Pre-oxidation may be required to convert

Arsenic III to Arsenic V.

2When point-of-use or point-of-entry devices are used for compliance, programs to ensure proper longterm operation, maintenance, and monitoring must be provided by the water system to ensure adequate performance.

3Unlikely to be installed solely for arsenic removal. May require pH adjustment to optimal range if high removals are needed.

4May not be appropriate for areas where water quantity may be an issue.

5To obtain high removals, iron to arsenic ratio must be at least 20:1.

 

(g) The community water systems and nontransient noncommunity water systems must install and/or use any treatment method identified in subdivisions (d) and (e) of this section as a condition for granting a variance except as provided in subdivision (h) of this section. If after the system's installation of the treatment method, the system cannot meet the MCL, that system shall be eligible for a variance.

(h) If a system can demonstrate through comprehensive engineering assessments, which may include pilot plant studies, that the treatment methods identified in subdivisions (d) and (e) of this section would only achieve a de minimis reduction in contaminants, the State may issue a schedule of compliance that requires the system being granted the variance to examine other treatment methods as a condition of obtaining the variance.

(i) If the State determines that a treatment method identified in subdivision (g) of this section is technically feasible, the State may require the stem to install and/or use that treatment method in connection with a compliance schedule. The State's determination shall be based upon studies by the system and other relevant information.

Effective Date: 
Wednesday, January 17, 2018
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Section 5-1.92 - Exemption from a maximum contaminant level or any treatment technique requirement

5-1.92 Exemption from a maximum contaminant level or any treatment technique requirement. (a) The supplier of water may request, and the department may grant, one or more exemptions from any treatment technique requirement, except for disinfection of a surface water source, and/or any MCL, except for Escherichia coli (E. coli). Exemptions may be granted to any public water system based on a finding that:

(1) because of compelling factors which may include economic factors, the public water system is unable to comply with such MCL or treatment technique requirement;

(2) the public water system was in operation on the effective date of such MCL or treatment technique requirement; and

(3) the granting of an exemption will not result in an unreasonable risk to health.

(b) Exemptions, if granted, will be issued with a mandatory compliance strategy to include but not be limited to the following:

(1) a specific time which to achieve compliance, including increments of progress to meet the MCL or treatment technique covered by the exemption;

(2) control measures as the department may require to ensure the public health; and

(3) appropriate modifications and/or improvements to the existing system or facility as may be necessary for the system or facility to fully conform to the requirements of this Subpart.

(c) Such schedule prescribed by the department pursuant to subdivision (b) of this section shall require compliance with each MCL or treatment technique requirement no later than twelve months after the issuance of the exemption.

 

(d) The final date for compliance provided in any schedule in the case of any exemption may be extended by the State for a period not to exceed three years after the date of the issuance of the exemption if the public water system establishes that:

(1) The system cannot meet the standard without capital improvements which cannot be completed within the period of such exemption;

(2) In the case of a system which needs financial assistance for the necessary improvements, the system has entered into an agreement to obtain such financial assistance; or

(3) The system has entered into an enforceable agreement to become a part of a regional public water system and the system is taking all practical steps to meet the standard.

(e) In the case of a system which serves a population of no more than 3,300 and which needs financial assistance for the necessary improvements, an exemption granted under subdivision (a) (1) or (2) of this section may be renewed for one or more additional two-year periods, not to exceed six years, if the system establishes that it is taking all practical steps to meet the requirements of subdivision (a) of this section.

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Wednesday, May 16, 2018
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Section 5-1.93 - Variance or exemption requests

5-1.93 Variance or exemption requests. (a) All requests for a variance or an exemption shall be in a form prescribed by and submitted in writing to the department. Suppliers of water may submit a joint request for variances or exemptions when they seek similar variances or exemptions under similar circumstances. The department shall act on any request for a variance or an exemption submitted pursuant to section 5-1.90, 5-1.91 or 5-1.92 of this Subpart within 90 days of receipt of the request.

(b) Requests for exemptions to the filtration requirements outlined in section 5-1.30(b) of this Subpart must be made by June 29, 1992, except for systems with ground water sources determined to be directly influenced by surface water. For systems with ground water sources directly influenced by surface water the request for an exemption must be submitted no later than six months after notification of the determination of direct influence. Before an exemption to a filtration requirement can be granted, the supplier of water must demonstrate to the department that the granting of the exemption will not pose an unreasonable risk to public health and that the system is in compliance with of sections 5-1.30(c)(5), (c)(8), (g) and 5-1.52 tables 3, 6, 9, and 11 of this Subpart.

(c) Systems with unfiltered surface water sources or ground water sources directly influenced by surface water must have a disinfection capability that achieves at least 99 percent inactivation of Giardia lamblia cysts before an exemption to a filtration requirement can be granted.

Effective Date: 
Wednesday, March 11, 1992
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Section 5-1.94 - Notice and opportunity for public hearing

5-1.94 Notice and opportunity for public hearing. (a) Before a variance proposed to be granted by the department under section 5-1.90 or 5-1.91 of this Subpart may take effect, the department shall provide notice and opportunity for public hearing on the proposed variance. A notice given pursuant to the preceding sentence may cover the granting of more than one variance and a hearing held pursuant to such notice shall include each of the variances covered by the notice.

(b) Before a compliance or implementation schedule prescribed by the department pursuant to the granting of a variance under section 5-1.90 of this Subpart or an exemption under section 5-1.92 of this Subpart may take effect, the department shall provide notice and opportunity for public hearing on the proposed compliance or implementation schedule, or both. A notice given pursuant to the preceding sentence may cover the proposal of more than one such schedule and a hearing held pursuant to such notice shall include each of the schedules covered by the notice.

(c) Public notice of an opportunity for hearing pursuant to subdivision (a) or (b) of this section shall be circulated in a manner designated to inform potentially interested persons of the proposed action. Requests for hearing shall be submitted to the department within 30 days after issuance of such public notice.

(d) Notice of public hearings to be held pursuant to request submitted by an interested person or on the department's own motion shall be given not less than 15 days before the time scheduled for the hearing, in a form and manner to be prescribed by the department. Notices of public hearing shall be circulated in a manner designed to inform interested persons of the hearing.

(e) If no timely request for hearing is submitted and the department does not determine to hold a public hearing on his own motion, the proposed variance or schedule prescribed pursuant to the granting of a variance or exemption shall become effective 30 days after notice of opportunity for hearing is given pursuant to subdivision (c) of this section. If a public hearing is held, the department shall take an action with respect to such proposed variance or schedule within 30 days after the end of the public hearing.

Effective Date: 
Wednesday, January 17, 2018
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Section 5-1.95 Reserved

Reserved

Section 5-1.96 - Enforceability of final schedule prescribed pursuant to granting of variance or exemption

5-1.96 Enforceability of final schedule prescribed pursuant to granting of variance or exemption. Once a schedule prescribed pursuant to the granting of a variance under section 5-1.90 of this Subpart or an exemption under section 5-1.92 of this Subpart has become final pursuant to section 5-1.94(e) of this Subpart, the conditions or requirements of any such schedule shall be enforceable, on the application of the commissioner, by any court of competent jurisdiction in the same manner as an order of the commissioner under section 1107 of the Public Health Law.

Effective Date: 
Wednesday, May 27, 1998
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SEPARABILITY

Section 5-1.100 - Separability

5-1.100 Separability. If any provisions of this Part are held invalid, such invalidity shall not affect other provisions which can be given effect without the invalid provisions.

Effective Date: 
Friday, June 24, 1977
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APPENDICES

Appendix 5-A - Recommended Standards for Water Works: 2012 Edition

APPENDIX 5-A

RECOMMENDED STANDARDS FOR WATER WORKS, 2012 EDITION

 
 
“Recommended Standards for Water Works, 2012 edition” reported by the Water Supply Committee of the Great Lakes-Upper Mississippi River Board of State and Provincial Public Health and Environmental Managers. Available online at http://10statesstandards.com/ and is available for viewing at the Department of State, One Commerce Plaza, 99 Washington Avenue, Albany, NY 12231 and the Bureau of Water Supply Protection, Department of Health, Corning Tower, Empire State Plaza, Albany, NY 12237.

 

Effective Date: 
Wednesday, January 17, 2018
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Appendix 5-B - Standards for Water Wells

Appendix 5-B
Standards for Water Wells
(Statutory Authority: Public Health Law 206(18))

http://www.health.state.ny.us/nysdoh/water/part5/appendix5b.htm

Effective Date: 
Wednesday, November 23, 2005
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Appendix 5-C - Acceptable Methods for the Analysis of Contaminants in Water

To access Appendix 5-C please us the following link:

https://www.health.ny.gov/regulations/nycrr/title_10/part_5/docs/appendix_5c.pdf

NOTE: If you any assistance and/or copying please contact the NYS Department of Health, Bureau of Public Water Supply Protection, Corning Tower, Empire State Plaza, Albany, NY 12237. (518) 402-7650

Effective Date: 
Wednesday, January 17, 2018
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Appendix 5-D - Special Requirements for Wells Serving Public Water Systems

Appendix 5-D

Special Requirements for Wells Serving Public Water Systems

NOTE: Due to possible difficulties viewing the tables below, Appendix 5-D is available for inspection and/or copying at the NYS Department of Health, Bureau of Public Water Supply Protection, Flanigan Square, 547 River Street,Troy, NY. (518) 402-7650
http://www.health.state.ny.us/nysdoh/water/part5/appendix5d.htm

Effective Date: 
Wednesday, November 23, 2005
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SubPart 5-2 - Water Well Construction

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Section 5-2.1 - Statement

Section 5-2.1 Statement. The improper construction, operation, maintenance or abandonment of water wells and the improper installation of water well pumps and pumping equipment represent a potential hazard to public health and safety. More than two million people in New York State depend upon private or individual water well supplies as their only sources of drinking water because public water supply systems are not available to serve them. To assure such consumers that the ground waters available to them will be reasonably and sanitary for drinking, culinary or food processing purposes, the following regulations for water well construction have been promulgated.

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Section 5-2.2 - Scope

5-2.2 Scope. Minimum requirements are hereby prescribed governing the location, construction and abandonment of water wells used for drinking, culinary and food processing purposes other than municipal or public sources, together with procedures relating thereto, in implementation of this Subpart. No person shall construct or abandon or cause to be constructed or abandoned, any water well, nor shall any person install or cause to be installed, any pump or pumping equipment contrary to this Subpart. Distribution of water beyond the point of discharge from the storage or pressure tank, or beyond the point of discharge from the pump if no tank is employed and to wells used or intended to be used as a source of water supply for public water supply systems, or to any pump, well, or other equipment used temporarily for de-watering purposes shall comply with all other applicable State and local regulations.

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Section 5-2.3 - Definitions

5-2.3 Definitions. As used in this Subpart:

(a) Abandoned well means a well whose use has been permanently discontinued. A well shall be deemed abandoned if it is in such a state of disrepair that continued use for the purpose of obtaining a satisfactory ground water supply is impracticable.

(b) Applicant means the owner, lessee or other person having the possession and control of property on which a well is to be constructed or abandoned.

(c) Construction of water wells means all acts necessary to obtain ground water by wells, including the location and excavation of the well.

(d) Permit-issuing official means the health commissioner or health officer of a city of 50,000 population or over, the health commissioner or health officer of a county or part-county health district, the State regional health director or area director having jurisdiction, a grade I or grade II public health administrator qualified and appointed pursuant to Part 11 of this Title, or any county health director having all the powers and duties prescribed in section 352 of the Public Health Law. The health commissioner or health officer of a city of 50,000 population or over, or the health commissioner or health officer of a county or part-county health district, or such grade I or grade II public health administrator or county health director may designate the director of environmental health of such district; and the State regional health director or area director may designate the district sanitary engineer as additional persons authorized to issue the permits required by this Part.

(e) Installation of pumps and pumping equipment means the procedure employed in the placement, protection and preparation for operation of pumps and pumping equipment, including all construction involved in making entrance to the well and establishing seals.

(f) Person means any individual, public or private corporation, political subdivision, government agency, municipality, industry, copartnership, association, firm, trust, estate or any other legal entity.

(g) Pumps and pumping equipment means any equipment or materials utilized or intended for use in withdrawing or obtaining ground water for any use; including, without limitation, seals and tanks, together with fittings and controls.

(h) Yield means the quantity of water per unit of time which may flow or be pumped from a well at a stabilized drawdown water level.

(i) Specific capacity means the rate of yield of well per unit drawdown expressed either as gallons per minute per foot or as liters per minute per meter.

(j) Water well contractor means any person, firm or corporation engaged in the business of constructing water wells.

(k) Well means any excavation that is drilled, cored, bored, washed, driven, dug, jetted, or otherwise constructed when the intended use of such excavation is for the location or acquisition of ground water, but such term does not include an excavation made for the purpose of obtaining or for prospecting for oil, natural, gas, minerals, or products of mining or quarrying, or for inserting media to repressure oil or natural gas-bearing formation or for storing petroleum, natural gas or other products.
 

Effective Date: 
Wednesday, November 23, 2005
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Section 5-2.4 - Need for permit

5-2.4 Need for permit. No person shall construct or abandon any water well unless a permit has first been secured from the permit issuing official.

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Section 5-2.5 - Applications

5-2.5 Applications. Applications for a permit to construct or abandon a water well shall be directed to the permit issuing official by the applicant or his agent and shall be on a form prescribed by the State Department of Health.

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Section 5-2.6 - Permit

5-2.6 Permit. The permit issuing official shall issue a permit whenever he finds that an application is in proper form and contains required information, provided that on the basis of the information therein contained, the proposed location, construction, abandonment or installation will not be contrary to applicable law, rules or regulations. Such permit, may, at the discretion of the permit issuing official, direct the applicant to file a "compliance notice" as hereinafter provided.

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Section 5-2.7 - Notice of disapproval and appeal

5-2.7 Notice of disapproval and appeal. The permit issuing official shall issue a "notice of disapproval" whenever he finds that an application fails to meet the requirements for issuance of a permit as hereinabove provided. Such notice shall:

(a) state the grounds for disapproval, and

(b) be served upon the applicant or his agent, provided, however, that such notice shall be deemed to be properly served upon such applicant or agent, if a copy thereof is sent by registered or certified mail to his last known address, or if he is served by such other methods as are, or may be authorized, under the laws of this State governing personal service of process upon individuals. Such notice may state any remedial action which, if taken, will effect compliance with this Subpart and permit approval of the application.
 

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Section 5-2.8 - Application to construct a water well

5-2.8 Application to construct a water well. An application for permission to construct a water well shall be submitted by the applicant or his agent and contain the following information:

(a) name and address of the applicant;

(b) legal or other description adequate to locate the property and the well;

(c) name and address of the water well contractor;

(d) estimated depth in feet and method of construction;

(e) purpose for which well is to be used and desired yield;

(f) proposed diameter of the well and drillhole in inches;

(g) type and depth of the proposed well casing;

(h) approximate distance and relative elevation to well of any potential sources of ground water pollution which may be located within 200 feet of such well including, without limitation, the following: privy, sewage seepage pit, sewage filter bed, sewage disposal field, underground sewers, septic tank, storm water drain, building foundation drain, milk house drain outlet, manure pile, barn gutter, silo, abandoned well, other well, sink hole, cow yard, hog lot, chicken yard, other animal yard, stone quarry, mine, rock outcrop, rain water cistern, solid waste disposal site, calcium or salt piles;

(i) distance to well from existing and proposed structures, as well as property lines located within 100 feet;

(j) statement of whether site is subject to flooding; and

(k) statement regarding the availability of a public water supply.

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Section 5-2.9 - Completed works

5-2.9 Completed works. Within 30 days of the completion of water well construction, the applicant or his agent shall:

(a) pump the well until the water is clear;

(b) disinfect the well in accordance with the requirements of the permit issuing official; and

(c) submit a well log to the permit issuing official. Such well log shall specify the well location, depth and diameter, formations penetrated, casing length, extent and nature of grouting, well output tests and associated water levels, and any other information required by the permit issuing official. In addition, analytical data of the water quality associated with such well shall be submitted when available.
 

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Section 5-2.10 - Certificate or letter of compliance

5-2.10 Certificate or letter of compliance. Upon satisfactory completion of the requirements of the permit issuing official as contained in sections 5-2.9 and 5-2.13 of this Subpart, a certificate of compliance will be issued to the applicant.
 

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Section 5-2.11 - Notification of abandonment of a water well

5-2.11 Notification of abandonment of a water well. Every abandoned well shall be sealed or closed so as to protect the aquifer from pollution and to prevent a hazard to life or property. If such well is to be sealed or closed the owner of the property shall make application of notification to abandon such water well and provide the following information:

(a) name and address of the applicant;

(b) legal or other description adequate to locate the property and the well;

(c) name and address of the water well contractor employed to perform the work herein required for abandonment;

(d) type and description of well;

(e) reason for abandonment; and

(f) description of work to be performed to effect abandonment.
 

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Section 5-2.12 - Variance

5-2.12 Variance.

(a) Where the permit-issuing official finds that compliance with all requirements of this Subpart would result in undue hardship, a variance from any one or more such requirements may be granted by the State Department of Health to the extent necessary to ameliorate such undue hardship and to the extent such variance can be granted without impairing the intent and purpose of this Subpart.

(b) An application for a variance shall be submitted to the permit-issuing official by the applicant including any requested additional information concerning the application.

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Section 5-2.13 - General provisions

5-2.13 General provisions.

Provisions and standards applicable to the construction and location of all water wells, and the installation of all pumps and pumping equipment contained in Appendix 5-B, Standards of Water Wells of this Title shall be used as the basis for issuing or denying a permit.

Effective Date: 
Wednesday, November 23, 2005
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Section 5-2.14 Applicability

5-2.14 Applicability. The requirements of this Subpart shall:

(a) Apply within a county health district, a part-county health district, and a city having a city health department, when adopted by the appropriate local authority.

(b) Apply in those State district health areas designated by the State Commissioner of Health.
 

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SubPart 5-3 - RESERVED

Effective Date: 
Tuesday, February 9, 2016

SubPart 5-4 - Classification and Certification of Community and Nontransient Noncommunity Water System Operators

Effective Date: 
Wednesday, February 14, 2001
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Statutory Authority: 
Public Health Law, section 225

Section 5-4.1 - Definitions

Section 5-4.1 Definitions.

As used in this Subpart, the following words and terms shall have the stated meanings except as otherwise provided:

(a) Available means a certified operator must be on site or able to be contacted within one hour to initiate the appropriate action.

(b) Clarification means a treatment process that includes rapid mix, flocculation and sedimentation.

(c) Community water system (CWS) means a public water system which serves at least five service connections used by year-round residents or regularly serves at least 25 year-round residents.

(d) Continuing education unit (CEU) means 10 hours of personal participation in an organized continuing education course, training meeting, workshop, etc. approved by the New York State Department of Health.

(e) Department means the New York State Department of Health.

(f) Distribution system means any combination of pipes, tanks, etc. which delivers potable water from the source(s) and/or treatment plant(s) to the consumer’s service connection.

(g) Distribution system operator means the certified person in responsible charge of the operation and maintenance of the distribution system at a community water system or a nontransient noncommunity water system.

(h) Dwelling unit means one or more rooms with provisions for living, sanitary and sleeping facilities arranged for the use of one family.

(i) Filtration means the process for removing particulate matter from water by the passage through porous materials or other processes determined to be acceptable under the provisions of section 5-1.22 of this Part.

(j) Grandparenting means an exemption for the existing system operator(s) in responsible charge, effective February 14, 2001, from meeting the initial education and/or examination requirements for the class of certification the system requires.

(k) Ground water directly influenced by surface water means any water beneath the surface of the ground which exhibits water characteristics such as turbidity, temperature, conductivity or pH that closely correlates to climatological or surface water conditions and/or which contain significant occurrence of macroorganisms, algae, organic debris, large-diameter pathogens, or insect parts of a surface water origin.

(l) Ground water source means a source of water supply taken from a ground water aquifer and developed in accordance with section 5-1.22 of this Part, but shall not include an admixture of surface water or water exposed to the ground surface.

(m) Noncommunity water system (NCWS) means a public water system that is not a community water system.

(n) Nontransient noncommunity water system (NTNC) means a public water system that is not a community water system but is a subset of a noncommunity water system that regularly serves at least 25 of the same persons, four hours or more per day, for four or more days per week, for 26 or more weeks per year.

(o) Operating experience means the time spent working at a water treatment plant in the satisfactory performance of operational duties or working on a distribution system in the satisfactory performance of operational and maintenance duties. Water plant design experience does not qualify as operating experience.

(p) Operation means the time during which the system (water treatment plant and/or distribution system) is functioning with the intent to produce potable water for human consumption.

(q) Operator in responsible charge means the person(s) designated by the owner of the system to be the certified water treatment operator(s) who makes decisions regarding the daily operational activities of a public water system, water treatment facility and/or distribution system that will directly impact the quality and/or quantity of drinking water.

(r) Public water system means either a community or noncommunity water system which provides piped water to the public for human consumption, if such system has at least five service connections or regularly serves an average of at least 25 individuals at least 60 days out of the year. Such term includes:

(1) collection, treatment, storage and distribution facilities under control of the supplier of water of such system and used with such system; and

(2) collection or pretreatment storage facilities not under such control which are used with such system.

(s) Purchasing water system means a distribution system which purchases all or part of its water from another system, and which is wholly or partially outside of the normal service area or political jurisdiction of the other system, and neither provides additional treatment nor sells water to another system(s).

(t) Service connection means the pertinent pipes, valves and fittings that connect a distribution system to a consumer’s facility.

(u) State means the State Commissioner of Health, or his/her designated representative.

(v) Surface water means all water open to the atmosphere and subject to surface runoff.

(w) Validated examination means an exam that is independently reviewed by subject matter experts to ensure that the exam is based on job analysis and related to the classification of the system or facility.

(x) Water treatment operator means the certified person responsible for the operation of the water treatment plant at a community or a nontransient noncommunity water system.

(y) Water treatment assistant operator means a person who, under the direction of a certified water treatment operator in responsible charge, is involved in the day to day operation of a water treatment plant or a major segment of a water treatment plant at a community water system or nontransient noncommunity water system.

(z) Water treatment plant means any plant or equipment which, through the addition of chemicals or through granular activated carbon, aeration, ion exchange, demineralization, coagulation, sedimentation or filtration, or through any other means or combinations of treatment, shall change the physical, chemical, radiological or microbiological quality of water.

Effective Date: 
Wednesday, February 14, 2001
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Section 5-4.2 - Certification required

5-4.2 Certification required.

5-4.2 Certification required. 

(a) Certification required. 

(1) Sections 5-4.1 through 5-4.8 shall be applicable to all CWS and NTNC, provided the system serves 15 or more service connections or serves 25 or more persons.

(2) Owners of all CWS and NTNC are required to place the direct supervision of their water system, including each treatment plant and/or the distribution system, under the responsible charge of a water treatment operator(s) holding a valid certification equal to or greater than that required for the classification of the treatment plant and/or distribution system as set forth below in Table 5-4.2. (Population figures will be based on an average of four residents per dwelling unit, unless otherwise demonstrated by the supplier of water.) The owner is required to indicate to the State, within three months of the effective date of this regulation, who the operator(s) in responsible charge is for their facility. If this designation changes, the owner is required to submit written notification to the State within a period not to exceed one month with the information regarding the new operator(s) in responsible charge. 

(3) All operating personnel making process control/system integrity decisions about water quality or quantity that effect public health must be appropriately certified as set forth below and be under the direction of an operator in responsible charge. 

Table 5-4.2 - Plant Classification/Operator Requirements All water treatment processes must be in accordance with the acceptable methods of treatment outlined in sections 5-1.22 and 5-1.30 of this Part.

 

Plant type System complexity System classification Required minimum grade
Operator/ Assistant operator
Water treatment plant with facilities for filtration which is designed to treat over 2.5 MGD (million gallons per day) Surface water or ground water systems under the direct influence of surface water that provides filtration.

IA

IA IIA

Water treatment plant with facilities for filtration which is designed to treat 2.5 MGD or less Surface water or ground water systems under the direct influence of surface water that provides filtration.

IIA

IIA IIA

Water treatment plant which is designed to treat over 2.5 MGD Groundwater (excluding ground water under the direct influence of surface water) or Surface water systems with filtration avoidance without facilities for clarification.

IB

IB IIB

Water treatment plant which is designed to treat 2.5 MGD or less Groundwater (excluding ground water under the direct influence of surface water) or Surface water systems with filtration avoidance without facilities for clarification.

IIB

IIB C

Water treatment plant and/or distribution system that is designed to serve 1,000 people or less Systems with facilities for basic treatment (including bag, cartridge, pressure and/or other basic filtration as outlined in sections 5-1.22 and 5-1.30 of this Part), and/or pressure zones, booster stations, storage tanks, fire protection, disinfection, non-residential consumers, cross-connection potential, demand variations, etc.

C

C none required

Distribution system serving greater than 1,000 people and/or purchasing water system. Pressure zones, booster stations, storage tanks, fire protection, disinfection, non-residential consumers, cross-connection potential, demand variations, etc.

D

D none required

(4) A designated certified operator must be available during plant operation. 

(5) The only grades certified to operate distribution systems are Grade C for a distribution system that serves 1,000 people or less and Grade D for distribution systems that serve greater than 1,000 people and/or purchasing water systems with responsibility for distribution of water only. 

(b) Certification procedures.

(1) Any person seeking certification shall submit an application on a form prescribed by the Department including all of the information outlined in section 5-4.3. Upon approval, the Department will issue a certificate that specifies the operator grade consistent with the operator’s qualifications as outlined in Table 5-4.3.

(2) Certificates shall be valid for a period of three years unless revoked by the Department prior to that time. 

(3) Upon issuance of a certificate, the certified operator must inform the department, within 30 days, of any changes in address or employment.

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Section 5-4.3 - Qualifications required

5-4.3 Qualifications required.

(a) Preliminary qualifications.

(1) An applicant for certification as a water treatment operator, water treatment assistant operator or distribution system operator must satisfactorily complete training courses or demonstrate equivalent training, education, experience, and take and pass a validated examination, under the requirements of section 5-4.4 and section 5-4.5 of this Subpart.

(2) An applicant for certification as a water treatment operator or water treatment assistant operator must be able to demonstrate the ability to make all operational and water quality tests necessary for the operation of a water treatment plant, such as, but not limited to, chlorine residual, color, pH, turbidity, bacteriological sampling techniques and fluoride when fluoridation is provided.

(b) Required experience and education/training. Table 5-4.3 provides the requisite experience, education, training, and examination for each grade of water treatment operator, water treatment assistant operator and distribution system operator.

Table 5-4.3 - Required Experience, Education, Training and Examination

 

Grade Experience Education Training and Examination
IA Ten years of operating experience; with at least one year operating experience at a grade IA water treatment plant and one year at a minimum of a grade IIA water treatment plant. Minimum of a High school diploma or New York State Equivalency Diploma. · Grade I Course - Minimum 60 Hours
· Grade A Course - Minimum 60 Hours
· Validated examination for grade IA as outlined in section 5-4.5
· And/or the requirements of section 5-4.4 of this Subpart.
IIA One year of operating experience at a water treatment plant with facilities for filtration. Minimum of a High school diploma or New York State Equivalency Diploma. · Grade A Course - Minimum 60 Hours
· Validated examination for grade IIA as outlined in section 5-4.5
· And/or the requirements of section 5-4.4 of this Subpart.
IB Ten years of operating experience at a water treatment plant, with two years operating experience at a minimum of a grade B water treatment plant. Minimum of a High school diploma or New York State Equivalency Diploma. · Grade 1 Course - Minimum 60 Hours
· Grade B Course - Minimum 30 Hours
· Validated examination for grade IB as outlined in section 5-4.3(d)
· And/or the requirements of section 5-4.4 of this Subpart.
IIB One year of operating experience at a water treatment plant. Minimum of a High school diploma or New York State Equivalency Diploma. · Grade B Course - Minimum 30 Hours
· Validated examination for grade IIB as outlined in section 5-4.5
· And/or the requirements of section 5-4.4 of this Subpart.
C Six months of operating experience at a minimum of a grade C water treatment plant. Minimum of a High school diploma or New York State Equivalency Diploma. · Grade C Course - Minimum 18 Hours
· Validated examination for grade C as outlined in section 5-4.5
· And/or the requirements of section 5-4.4 of this Subpart.
D One year of operating and maintenance experience in a distribution system serving 1,000 people or more. Minimum of a High school diploma or New York State Equivalency Diploma. · Grade D Course - Minimum 15 Hours
· Validated examination for grade D as outlined in section 5-4.5
· And/or the requirements of section 5-4.4 of this Subpart.

 

(1) The Department will require proof of education to be submitted with the initial application. This proof will include;

(i) A copy of the high school diploma, or general equivalency diploma, and/or

(ii) A copy of a college diploma and transcripts duly signed, notarized or sealed by the individual that has the authority to issue such transcripts must be submitted for all education, experience, and/or training substitutions as outlined in Section 5-4.4 of this Subpart.

Effective Date: 
Wednesday, February 14, 2001
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Section 5-4.4 - Education, experience, and/or training substitutions

5-4.4 Education, experience, and/or training substitutions. The Department will allow education, experience and/or training substitutions in lieu of the requirements outlined in section 5.4-3(b). Experience that is used to meet the experience requirement for any grade of certification may not be substituted for education. Education that is used to meet the education requirement for any grade of certification may not be substituted for experience. Experience and education may not be used more than once as a substitution. The following substitutions may be accepted:

(a) A New York State professional engineer’s license, or a bachelor’s degree in engineering, natural science or a related field from an accredited or New York State registered college or university, may be substituted for eight years of experience. A minimum of two years operating experience, at the level described in Table 5-4.3, must be obtained if this substitution is used.

(b) An associate degree in applied science, with at least a one semester course in water treatment plant operations, from an accredited or New York State registered college or university, may be substituted for six years of experience. A minimum of two years (four years for Grade(s) IA and IB) operating experience, at the level described in Table 5-4.3, must be obtained if this substitution is used.

(c) An associate degree in applied science, from an accredited or New York State registered college or university, may be substituted for four years of experience. A minimum of two years (six years for Grade(s) IA and IB) operating experience, at the level described in Table 5-4.3, must be obtained if this substitution is used.

(d) Experience and/or relevant training may be substituted for a high school diploma or GED for grades C and D.

Effective Date: 
Wednesday, February 14, 2001
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Section 5-4.5 - Validated examinations

5-4.5 Validated examinations. The department will require any person applying for certification as a water treatment operator, water treatment assistant operator or distribution system operator to take a written, oral and/or practical skills validated examination to determine the applicant’s skills, knowledge, ability and judgement. The results of the examination, and the requirements of section 5-4.3 and/or 5-4.4 of this Subpart, will serve as the basis for approval or disapproval of such application.

Effective Date: 
Wednesday, February 14, 2001
Doc Status: 
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Section 5-4.6 - Grandparenting

5-4.6 Grandparenting.

(a) Water systems which will be required to have an operator for the first time because of the requirements of Subpart 5-4 dated February 5, 2001, may be granted a transition period to continue to retain their currently employed operators in responsible charge through grandparenting. Grandparenting will be based on factors such as system compliance history, operator experience and knowledge, system complexity, and level of treatment.

(b) Grandparenting is permitted only to existing operator(s) in responsible charge of existing systems. Operators that are New York State Department of Health certified before February 5, 2001 will retain his/her certification as originally granted.

(c) The system owner must apply for grandparenting for the operator(s) in responsible charge within two years of the effective date of this regulation or by

February 5, 2003. Applications must be submitted to the department on forms prescribed by the department. Applications will be approved based on system compliance history, operator experience and knowledge, system complexity, and level of treatment. Upon approval, the operator in responsible charge will be grandparented.

(d) The certification for grandparented operators will be site-specific and non-transferable to other operators.

(e) Each grandparented operator must meet the renewal requirements outlined in section 5-4.8 no later than three years after his/her effective date of certification for grandparenting.

(f) The certification for a grandparented operator will no longer be valid if the classification of the plant or distribution system changes to a higher level.

(g) Grandparented operators that choose to work for a different water system must meet the initial certification requirements for that system.

Effective Date: 
Wednesday, February 14, 2001
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Section 5-4.7 - Enforcement

5-4.7 Enforcement.

(a) Upon notice and opportunity of a hearing, the Department may suspend or revoke a certificate of an operator. Revocation or suspension will be based on fraud or misrepresentation by the certified operator; gross incompetence or gross negligence on a particular occasion or negligence or incompetence on more than one occasion; or mental or physical incapacity of the operator to perform his or her operating duties.

(1) Suspension of Certificate

(i) Grounds for Suspension - A suspendable offense may include but is not limited to:

(a) Selective sampling - Operator intentionally alters sampling period, in an attempt to collect samples that are not truly representative.

(b) Sabotage of equipment - Intentional misuse or impairment of equipment necessary to maintain treatment and/or distribution.

(c) Bribery or extortion - Operator accepts or offers bribes related to plant operations or uses his/her position as an operator to extort money or services from others.

(d) Dangerous acts - Failure to take appropriate actions necessary to provide a safe and healthful workplace or directs staff to perform activities without proper safety equipment or training.

(e) Misleads -Operator gives misleading statements to government officials relative to the operation of the treatment facilities and/or distribution system.

(f) Lack of Maintenance - Failure to maintain the treatment facilities and/or distribution system to an acceptable level despite having the resources and the means to properly maintain the facility and/or distribution system.

(g) Lack of Process Control - Failure to utilize knowledge of process control techniques to optimize the operation of the treatment facility.

(h) Unauthorized Modification of a Facility and/or Distribution System - Failure to contact the State and obtain approval when any modification of the facility and/or distribution system is made.

(ii) Suspension Term - A suspension term will last for a period not to exceed three years and will be based on factors such as: number of acts committed, degree of physical or environmental harm resulting from acts, degree of cooperation and other relevant information. Three suspensions in any three-year period, time period starting with the effective date of the first suspension, will result in an automatic revocation.

(iii) Conditions of Reinstatement - A certificate may be reinstated upon request from the suspended operator after the operator serves his/her suspension period and has completed necessary training and/or other suspension conditions prescribed by the State.

(2) Revocation of Certificate

(i) Grounds for Revocation - A revocable offense may include but is not limited to:

(a) Falsifying Reports - Making false statements or notations on legal or official records required by the Department.

(b) Illegal Bypassing - Bypassing the entire treatment facility and sending untreated water to the distribution system, without prior approval by the State.

(c) Sample Tampering - Knowingly collecting, preparing, or analyzing a sample that will yield results that are not representative of the actual water quality.

(d) Coercion - The operator uses his/her position to force another employee to undertake an inappropriate or illegal act relating to treatment plant operation and/or distribution system.

(e) Plant Related Criminal or Civil Charges - The operator pleads or is found guilty of criminal or civil charges related to the operation of the treatment facility and/or distribution system.

(f) Equipment Damage and Harm to Public - The operator operates the facility in such a manner as to cause harm to equipment or the public that the operator had reasonably available means to avoid.

(ii) Condition of reinstatement - A certificate may be reinstated upon request from the revoked operator after the operator serves his/her revocation period and has met the requirements outlined in sections 5-4.3, 5-4.5, and other revocation conditions prescribed by the department.

Effective Date: 
Wednesday, February 14, 2001
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Section 5-4.8 - Renewal/recertification requirements

5-4.8 Renewal/recertification requirements.

(a) Renewal requirements.

(1) A request for renewal of a certificate must be submitted, by each operator, to the department, on a form prescribed by the department, at least one month before the certificate expiration date. All operators will have a fixed renewal cycle of three years.

(2) All renewal requests from grandparented operators may be approved after the operator has completed the required renewal training, as set forth below in Table 5-4.8; satisfactorily operated his/her facility during each three-year grandparenting period; and all other renewal conditions prescribed by the Department.

(3) To qualify for renewal, a grade A, B, C, or D water treatment operator, water treatment assistant operator, or distribution system operator must have successfully completed the following equivalent Continuing Education Unit (CEU)training requirements, as set forth below in Table 5-4.8, within the previous three years. All renewal training courses must be approved by the Department.

(4) The Department may require any person applying for renewal of certification as a water treatment operator, water treatment assistant operator or distribution system operator to take a written, oral and/or practical skills validated examination to determine the applicant’s skills, knowledge, ability and judgement. The results of the examination, and the requirements of section 5-4.8, will serve as the basis for approval or disapproval of such application.

Table 5-4.8 – Renewal Requirements

Grade CEU Equivalent Type of Training
IA and IIA
3.0
  • .5 CEU’s required from a laboratory course
  • Remaining 2.5 CEU’s must come from the following list of acceptable training:
  • Science of Water
  • Source water protection
  • Mathematics
  • Treatment
  • Operation & Maintenance
  • Regulations
  • Safety
IB and IIB
3.0
  • All CEU’s must come from the following list of acceptable training:
  • Laboratory
  • Science of Water
  • Source water protection
  • Mathematics
  • Treatment
  • Operation & Maintenance
  • Regulations
  • Safety
C
1.5
  • All CEU’s must come from the following list of acceptable training:
  • Laboratory
  • Science of Water
  • Source water protection
  • Mathematics
  • Treatment
  • Operation & Maintenance
  • Distribution Systems
  • Regulations
  • Safety
D
1.5
  • The following is a list of acceptable training:
  • Distribution Systems
  • Mathematics
  • Operation & Maintenance
  • Regulations
  • Safety

(5) If dual certification is held, then the operator must obtain the number of CEU’s corresponding to the highest grade of certification held, as outlined in Table 5-4.8.

(b) Recertification requirements.

(1) An individual that allows his or her certification renewal to lapse after the expiration date is no longer certified to operate a water treatment plant and/or distribution system. When the individual meets the requirements outlined in section 5-4.8(a), the certification will be reinstated.

(2) An individual who allows his or her certification renewal to lapse, for more than one year, will be required to repeat the type and amount of experience, training and validated examination as contained in sections 5-4.3(b) and 5-4.5 of this Subpart.

Effective Date: 
Wednesday, February 14, 2001
Doc Status: 
Complete

SubPart 5-5 - Water Quality Treatment Districts

Effective Date: 
Wednesday, July 3, 1991
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, Section 225

Section 5-5.1 - Purpose

5-5.1 Purpose. The rules contained in this Subpart have been promulgated to provide protection for persons served by nonpublic water supplies, and to conform to the requirements of the County Law and the Town Law.

Effective Date: 
Wednesday, July 3, 1991
Doc Status: 
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Section 5-5.2 - Applicability and scope

5-5.2 Applicability and scope. This Subpart sets the requirements for State approval relating to the formation and operation of water quality treatment districts within New York State.

Effective Date: 
Wednesday, July 3, 1991
Doc Status: 
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Section 5-5.3 - Definitions

5-5.3 Definitions. As used in this Subpart, the following words and terms shall have the indicated meaning, except as otherwise specifically provided:

(a) Nonpublic Water System means any water supply serving less than 25 individuals on a daily basis and having less than five service connections.

(b) Point-of-use treatment means any type of chemical added to the water or any type of treatment device or system of devices installed on a water line within the property line of a consumer or on a nonpublic water source to improve water quality.

(c) Service Connection means the pertinent pipes, valves and fittings that connect a distribution system to a consumer's facility.

(d) State means the State Commissioner of Health, or his designated representative.

(e) Water quality treatment district means a district established under applicable provisions of the County Law and the Town Law which allow county or town ownership and operation of point-of-use treatment systems.

Effective Date: 
Wednesday, July 3, 1991
Doc Status: 
Complete

Section 5-5.4 - Submission for approval

5-5.4 Submission for approval. Maps, plans and specifications submitted to the State for approval shall be signed and sealed by an engineer licensed to practice in New York State. Approval will be based on completeness of submission, appropriate treatment for the contaminants, demonstrated effectiveness of treatment units, provision for adequate installation, operation and maintenance of treatment units and protection of the occupants and operators. Submissions shall include, but are not limited to, the following items:

(a) A map of the proposed water quality treatment district. The map or maps shall include:

(1) location of district boundaries;

(2) existing public water system boundaries adjacent to or within the proposed water quality treatment district;

(3) sites of proposed installation of point-of-use treatment systems;

(4) sites of samples collected to determine water quality. Number and distribution shall be adequate to determine extent and degree of contamination; and

(5) sites of existing installations of point-of-use treatment systems.

(b) Plans and specifications of the proposed point-of-use treatment systems.

(c) Plans and specifications of typical installations.

(d) An engineering report detailing the following items:

(1) test results of sampling conducted to determine water quality at water sources within the proposed district;

(2) alternate non point-of-use treatment solutions considered;

(3) alternate types of point-of-use treatment considered;

(4) results of pilot studies;

(5) recommended alternative showing the type and location of proposed point-of-use treatment systems;

(6) evaluation of existing point-of-use treatment systems and necessary improvements;

(7) operation and maintenance of the point-of-use treatment installations;

(8) operator qualifications and training;

(9) administration and financing of the water quality treatment district. If all or part of the water quality treatment district services are to be subcontracted to another agency, private company or individual by the county or town, the qualifications and responsibilities of the subcontractor shall be included;

(10) monitoring (parameters and frequency) of the point-of-use treatment systems and sources within the water quality treatment district; and

(11) disposal of waste water and materials.
 

Effective Date: 
Wednesday, July 3, 1991
Doc Status: 
Complete

Section 5-5.5 - Amendments and modifications

5-5.5 Amendments and modifications. All amendments to water quality treatment district plans and modifications to the approved plan of operation must be submitted to the State for approval before adoption.

Effective Date: 
Wednesday, July 3, 1991
Doc Status: 
Complete

Section 5-5.6 - Water quality.

5-5.6 Water quality. Treated water quality must meet all applicable water quality standards or guidelines for community water systems as defined by Subpart 5-1 of this Part.

Effective Date: 
Wednesday, July 3, 1991
Doc Status: 
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Section 5-5.7 - District operation

5-5.7 District operation. The water quality treatment district shall comply with all conditions detailed in the written approval from the State, and all provisions of this Subpart.

(a) All treatment systems in the water quality treatment district shall be under responsible charge of an operator with demonstrated knowledge and experience with the type of treatment systems in use in the district, as determined by the State.

(b) The water quality treatment district shall monitor treated and untreated water for the parameters and at the frequency stated in the written approval. Samples taken to demonstrate compliance with water quality standards or guidelines shall be analyzed in an approved laboratory as defined by section 5-1.74 of this Part. Analysis of operational samples shall be made by an analyst with demonstrated competence using appropriate equipment, as determined by the State.

(c) The water quality treatment district shall report all available sample results to the State quarterly within 15 days of the end of a quarter, except when treated water exceeds a standard or guideline requiring State notification. Results exceeding a standard or guideline requiring State notification shall be reported to the State and to the impacted consumers in the water quality treatment district within 48 hours of learning the results.

(d) The water quality treatment district shall submit an annual report covering the previous calendar year to the state on or before July 1 each year. The annual report shall contain but not be limited to the following applicable items:

(1) number, type and location of treatment systems in service, and the number and type of treatment systems added or deleted during the year;

(2) effective life of units;

(3) treatment system failures;

(4) maintenance problems;

(5) operational problems;

(6) supply problems;

(7) changes in types of treatment devices in service;

(8) consumer complaints;

(9) summary and trends in monitoring test results;

(10) changes in water quality treatment district boundary;

(11) changes in water quality treatment district operational and/or administrative procedure; and

(12) list of names, addresses and telephone number of administrators and operators of the water quality treatment district.

Effective Date: 
Wednesday, July 3, 1991
Doc Status: 
Complete

SubPart 5-6 - Bottled and Bulk Water Standards

Effective Date: 
Wednesday, June 19, 1991
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, Section 225

Section 5-6.1 - Applicability

5-6.1 Applicability. The provisions of sections 5-6.2 through 5-6.18 of this Subpart shall apply to bottled and bulk water produced, used and/or sold in New York State.

Effective Date: 
Monday, November 28, 1988
Doc Status: 
Complete

Section 5-6.2 - Distribution of bottled or bulk water

5-6.2 Distribution of bottled or bulk water. No person shall sell, offer for sale or deliver bottled or bulk water for human consumption, food preparation or culinary purposes unless certified by the commissioner in accordance with the requirements of this Subpart.

Effective Date: 
Wednesday, June 19, 1991
Doc Status: 
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Section 5-6.3 - Definitions

5-6.3 Definitions. As used in this Subpart, the following words or terms shall have the indicated meaning, except as otherwise specifically provided:

(a) Approved laboratory shall mean a laboratory approved and certified by the New York State Department of Health's Environmental Laboratory Approval Program.

(b) Approved source shall mean the source of water from a spring, artesian well, drilled well, municipal water supply or any other source which has been evaluated and found to be of satisfactory sanitary quality as determined by the State.

(c) Artesian well water shall mean water that comes from a deep well where water is forced up by underground pressure.

(d) Bottled water shall mean any product, including natural spring or well water taken from municipal or private utility systems or other water, distilled water, deionized water or any of the foregoing to which chemicals may be added, which are put into sealed bottles, packages or other containers, to be sold for domestic consumption or culinary use, involving a likelihood of such water being ingested by human beings.

(e) Bottled and Bulk Water Standards shall mean this Subpart.

(f) Bulk water shall mean water intended for potable uses which is transported by tank trucks.

(g) Commissioner shall mean the Commissioner of Health of the State of New York.

(h) Department shall mean the New York State Department of Health.

(i) Food and Drugs 21 CFR shall mean the Code of Federal Regulations, Title 21, Food and Drugs, as published in the Federal Register, Volume 42, Page 14355, March 15, 1977, as amended by Volume 44, Page 12175, March 6, 1979 and found in 21 CFR, Part 129 - Processing and Bottling of Bottled Drinking Water, pages 137 through 141, revised as of April 1, 1988. A copy is available for public inspection at the offices of the Records Access Officer of the Department of Health, Empire State Plaza, Corning Tower, Albany, New York 12237.

(j) Maximum contaminant level (MCL) shall mean the maximum permissible level of a physical, chemical, radiological or microbiological substance in water.

(k) Multi-use containers shall mean those containers which are intended by the bottler for more than one use.

(l) Nontoxic materials shall mean materials, used in transporting, storing and packaging of bottled or bulk water, which are free of substances which may render the water harmful to health or which may adversely affect the flavor, color, odor, or microbiological or chemical quality of the finished product.

(m) Person shall mean an individual, corporation, company, association, partnership, State agency, municipality, County or Federal agency.

(n) Person in charge shall mean the designated employee or employees who are appointed and in responsible charge of the bottling facility and who are present at all times during the bottling operation.

(o) Principal organic contaminant (POC) shall mean any organic chemical compound belonging to the following classes, except for trichloromethane (chloroform), dibromochloromethane, bromodichloromethane, tribromomethane (bromoform) and any other organic chemical contaminant with a specific MCL listed in section 5-6.11 of this Subpart:

(1) Halogenated Alkane.

(2) Halogenated Ether.

(3) Halobenzenes and Substituted Halobenzenes.

(4) Benzene and Alkyl- or Nitrogen-Substituted Benzenes.

(5) Substituted, Unsaturated Hydrocarbons.

(6) Halogenated Nonaromatic Cyclic Hydrocarbons.

(p) Production line shall mean an assemblage of water bottling equipment which shares product water contact surfaces and may be used to fill one or more container types/sizes or product types.

(q) Recommended Standards for Water Works shall mean the New York State Health Department publication, 1987 edition, published by Health Research, Inc., P.O.Box 7126, Albany, NY 12224. A copy is available for public inspection at the offices of the Records Access Officer of the Department of Health, Empire State Plaza, Corning Tower, Albany, New York 12237.

(r) Rural Water Supply shall mean the New York State Department of Health publication as copyrighted in 1966 and reprinted in 1988. A copy is available for public inspection at the offices of the Records Access Officer of the Department of Health, Empire State Plaza, Corning Tower, Albany, New York 12237.

(s) Spring water shall mean water derived from an underground formation from which water flows naturally to the surface of the earth.

(t) State shall mean the State Commissioner of Health or his designated representative.

(u) Total trihalomethane (TTHM) shall mean the sum of the concentration of trichloromethane (chloroform), dibromochloromethane, bromodichloromethane and tribromomethane (bromoform).

(v) Unspecified organic contaminant (UOC) shall mean any organic chemical compound not otherwise specified in this Subpart.

(w) Violation shall mean the failure to comply with or conform to the provisions of this Subpart. (x) Well water shall mean water that is taken from below the ground through piping or similar installed device using external force or vacuum.
 

Effective Date: 
Wednesday, June 19, 1991
Doc Status: 
Complete

Section 5-6.4 - Sources of water

5-6.4 Sources of water. All sources of water must be approved before use.

(a) The sources of all bulk or bottled drinking water located in New York State must be approved by the State. Sources of all bulk or bottled drinking water located outside New York State must be approved by the agency having jurisdiction.

(b) Sources shall, at a minimum, meet the following requirements:

(1) All sources shall be developed in conformity with up-to-date sanitary engineering practices as set forth in Rural Water Supply and Recommended Standards for Water Works.

(2) All sources shall be located, developed and protected so they are not subject to natural or artificial contamination.

(c) All spring sources shall, at a minimum, meet the following requirements:

(1) A watertight wall shall completely surround the spring, not less than 12 inches above the highest point of ground and extend down through the overburden to the water-bearing stratum. On rock, such walls shall be keyed and sealed with cement grout to the rock. The top of the wall shall be level to accommodate a cover.

(2) A tight-fitting, locked cover shall be installed on the top of the encircling wall. The cover shall be constructed to provide reliable protection against contamination by animals or humans.

(3) Where the spring is protected by a spring house, the building shall be verminproof and shall be kept locked.

(4) A ditch or berm shall be constructed and routinely maintained to divert surface drainage away from the spring.

(5) Spring water shall be collected only at the natural orifice of the spring or through a bore hole that is adjacent to the natural orifice. Spring water collected with the assistance of external force or through a bore hole or through a spring head that is otherwise altered to protect the water source shall retain all the physical properties of and be of the same composition and quality as the water that flows naturally to the surface of the earth.

(d) All drilled wells shall, at a minimum, meet the following requirements:

(1) A watertight casing shall be installed to the depth necessary to prevent surface contamination and to seal contamination of undesirable strata. The casing shall be sealed by filling the annular opening between the casing and the earth with cement or cement-sand grout or other approved sealant, at least 1 1/2 inches thick. This seal shall extend from ground surface to a point not less than six inches below groundwater level.

(2) A permanent casing shall be installed to at least 12 inches above the pump house floor or concrete apron surface and at least 18 inches above final ground surface.

(3) Wells shall be located on sites not subjected to flooding or be provided with an earth berm surrounding the casing and terminating at an elevation at least two feet above the highest known flood elevation or have other suitable protection as determined by the State.

(4) Wells shall be equipped with an approved pitless adaptor unit installed at the joint where the discharge pipe passes through the well casing.
 

Effective Date: 
Wednesday, June 19, 1991
Doc Status: 
Complete

Section 5-6.5 - Required treatment

5-6.5 Required treatment. All bottled water facilities packaging water for distribution in New York State must provide satisfactory treatment of each water supply source used.

(a) Minimum treatment of each water supply source used shall be disinfection by chlorination, ozonation, ultraviolet radiation or other disinfection methods as protective of the public health as the above.

(b) The commissioner may, when requested in writing, grant a waiver which is renewable annually, to the disinfection requirement for groundwater sources, if:

(1) The record of the bacteriological characteristics for each groundwater source demonstrates conformance to the maximum contaminant levels for microbiological contaminants in section 5-6.11 of this Subpart, for the 12 months immediately preceding the date of application for waiver; such record shall be established under procedures provided by the commissioner.

(2) A laboratory, as described in section 5-6.13 of this Subpart is used by the bottling facility to provide monitoring of source and finished product water quality.

(c) Where treatment is provided, all equipment must meet, as a minimum, the standards outlined in Recommended Standards for Water Works.
 

Effective Date: 
Wednesday, June 19, 1991
Doc Status: 
Complete

Section 5-6.6 - Bottling plant facilities

5-6.6 Bottling plant facilities. Bottling plants must be constructed to facilitate cleanliness and be maintained to maximize sanitation and public health protection.

(a) Buildings and rooms shall be of sufficient size to allow for the proper installation of equipment and to allow for movement of personnel during operation.

(b) The bottle filling operations shall be separated from other plant operations or storage areas by tight walls, ceilings and self-closing doors or other appropriate barriers to isolate these areas and provide protection against incidental contamination. Conveyor openings shall not exceed the size required to permit passage of containers.

(c) Plant buildings shall be verminproof.

(d) Walls and ceilings shall be smooth, light color, washable and kept in good repair. Overhead structures, fixtures, ducts and pipes shall not be suspended over working areas so that drip or condensate may contaminate products or product contact surfaces.

(e) Floors shall be smooth, nonabsorbent and verminproof. Floors are to be graded to adequate drains equipped with traps and grills.

(f) Doors and windows to outside areas shall be adequately screened and/or otherwise protected against entry of vermin, airborne contamination, and particulates.

(g) All rooms are to be provided with sufficient ventilation to keep them free of excessive heat, steam, condensation, vapors, odors and fumes.

(h) Lighting, either natural or artificial, shall be provided in all rooms where bottled or packaged waters are produced. An intensity of not less than 50 foot-candles shall be provided in inspection areas; 30 foot-candles in work spaces and 5 foot-candles in storage areas. Light bulbs, fixtures, skylights or other glass suspended over exposed production areas shall be of the safety type or otherwise protected from breakage to prevent finished product contamination.

(i) Washrooms shall be convenient, separate and apart from any room or rooms where bottled or packaged water is processed and from areas where bottles and packages are sanitized. Toilets, urinals and wash basins shall be provided, as appropriate, for the number of employees. Washrooms shall be equipped with self-closing doors and fitted with windows or separate ventilation to the outside. Signs shall be posted directing employees to wash their hands after using the toilet.

(j) Clean, dry storage facilities shall be provided for finished product containers and packaging materials.

(k) Dressing rooms shall be provided for changing and hanging street apparel and shall be apart and separate from work areas.

(l) Wastewater disposal shall be provided and have discharge to a municipal wastewater system or a State approved individual wastewater disposal system.
 

Effective Date: 
Wednesday, June 19, 1991
Doc Status: 
Complete

Section 5-6.7 - Production, equipment and packaging

5-6.7 Production, equipment and packaging. All bottled water production, including transporting, packaging and storage, shall be conducted under such conditions and controls as are necessary to minimize the potential for chemical contamination, undesirable bacterial or other microbiological growth, toxic formation, deterioration or contamination of the finished product.

(a) Bottles must be mechanically filled and closed.

(b) Fillers, piping, pumps and other process equipment used in the production of bottled water products may not be used for the production of milk, and/or dairy products. Other beverage production that may impart deleterious substances to bottled water produced in the same equipment or cause microbiological contamination of the bottled water, may also be prohibited when the contamination is confirmed by two documented cases.

(c) All equipment shall be of sanitary design and shall be constructed of nontoxic, nonabsorbent material which will not impart flavor, color or odor to the bottled water. All equipment shall be installed and maintained to facilitate the cleaning of equipment and of all adjacent spaces. All material used in the design, construction and repair of the water transmission and/or production piping in a bottled or bulk water facility must be lead free. For this Subpart, lead free shall mean solder or flux which contains no more than 0.2 percent lead and pipes, pipe fittings and any appurtenances which contain no more than eight percent lead.

(d) Storage tanks used for bottled water production shall be:

(1) Tightly closed to exclude all foreign matter and vented through inverted air filters.

(2) Without connections to sources of water not approved in writing, by the State or the governmental regulatory agency having jurisdiction over facilities located outside the State.

(3) Protected from cross connection and equipped with backflow prevention devices approved by the State or the governmental regulatory agency having jurisdiction over facilities located outside the State.

(4) Equipped with linings or coatings conforming to the listing of acceptable linings for process and potable water tanks from the State or the governmental regulatory agency having jurisdiction over facilities located outside the State.

(5) Used only for water and not for storage of any other food product or non-food substance.

(e) There shall be no cross connections between finished product water lines and any other water pipelines.

(f) Hoppers shall be provided with covers.

(g) Fillers shall have the inlet so designed as to prevent the entrance of condensation. Filling valves shall be equipped with a condensation diverting apron.

(h) Containers and packaging shall, at a minimum, meet the following requirements:

(1) Packaging processes and materials shall not transmit contaminants, or objectionable toxic or deleterious substances to the bottled water.

(2) Containers and closures for bottled water shall be in compliance with those requirements contained in Food and Drugs 21 CFR.

(3) Only sanitary, nontoxic lubricants shall be used on container contact surfaces.

(4) Bottles shall be provided with a tamper-evident seal or cap.

(5) Screw, snap and crown caps shall be new.

(6) Screw, snap and crown caps must be sanitized unless protected and received clean and kept free from bacterial contamination.

(7) When sanitized bottles cannot be filled immediately, they shall be closed or covered immediately when removed from packages. When they are to be filled, such closed bottles shall be opened, resanitized, filled and closed immediately in one continuous operation.

(8) All cleaned bottles shall be protected from dust, dirt, insects, debris and other forms of contamination.

(9) Each container of bottled drinking water shall be identified by a clear and conspicuous production code indicating, in English, the day, month and year of production. The production code shall identify a particular batch or segment of a continuous production run. The plant shall record and maintain information as to the kind of product, volume produced, date produced, production code used and the distribution of the finished product to wholesale and retail outlets to which the plant directly supplies product.

(10) Multi-use containers shall have the production date code affixed to the primary container. Cap coding is not acceptable unless the dispenser system retains the cap with the multi-use container, after opening.

(i) The plant shall have on file a written recall plan which shall detail procedures for recall of any particular batch as identified by the production code.
 

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Section 5-6.8 - Sanitation and maintenance

5-6.8 Sanitation and maintenance. Buildings, fixtures and other physical facilities of the plant shall be kept in good repair and shall be maintained in a sanitary condition. Cleaning operations shall be conducted in such a manner as to minimize the danger of contamination of product and product contact surfaces. Detergents, sanitizers and other materials used in cleaning and sanitizing procedures shall be free of chemical or microbiological contamination and shall be safe and effective for their intended use. Only such materials as required to maintain sanitary conditions, for use in laboratory testing procedures, for plant and equipment maintenance and operation or used in manufacturing or processing operations, shall be stored in the plant. These materials shall be identified and used only in such manner and conditions that will be safe for their intended use.

(a) Storage tanks shall, at a minimum, meet the following requirements:

(1) Inspected for cleanliness on a monthly basis and kept free of scale, evidence of oxidation and residue.

(2) Cleaned on a monthly basis by sanitizing with one of the following and flushing with finished water product:

(i) chlorine water solution of 200 parts per million (ppm) for a minimum of five minutes;

(ii) spray wet surface with 200 ppm chlorine water solution. This is to be used on surfaces that are not reached by the above soaking treatment;

(iii) bactericides, such as organic chlorine compounds and bactericidal agents containing iodine or bromine; and

(iv) 0.1 ppm ozone water solution for not less than ten minutes contact time.

(b) Product water pipelines shall, at a minimum, meet the following requirements:

(1) Kept free of scale, evidence of oxidation and residue.

(2) Cleaned on a daily basis by sanitizing with one of the following:

(i) water containing at least 200 ppm of chlorine for a minimum of five minutes, followed by flushing with finished product water; or

(ii) the continuous recirculation of at least 0.1 ppm ozonated water.

(c) Product equipment shall, at a minimum, meet the following requirements:

(1) Cappers shall be kept free of residue and sanitized on a daily basis.

(2) Hoppers shall be kept covered, free of residue and sanitized on a daily basis.

(3) Ozone mixing tanks and equipment, soft water tanks and other associated equipment shall be inspected on a monthly basis, disassembled if necessary, cleaned and sanitized as needed.

(4) Bottle washing equipment shall be kept free of paper residue and substances which may interfere with proper operation of jets. Internal sprays shall be checked daily to assure proper timing and adequate washing of bottles.

(5) Fillers shall be kept free from scale, evidence of oxidation and residue and shall be sanitized on a daily basis. Filling and capping operations shall be so conducted as to prevent contamination of water being bottled. The filler reservoir shall be kept covered at all times.

(d) Personnel shall, at a minimum meet the following requirements:

(1) Employees shall wear clean outer garments and caps while bottling, packaging water or sanitizing bottles and packages.

(2) Expectorating is prohibited, except into receptacles for wastewater or sewage.

(3) Before starting work and immediately after visiting a toilet, smoking, eating, drinking or any other activity that soils the hands, every person shall wash his hands and forearms with soap and warm water and thoroughly rinse them in clean water.

(4) No person affected by disease in a communicable form or while a carrier of such disease or while affected with boils, sores, infected wounds or other abnormal sources of microbiological contamination, shall knowingly be permitted to work in a bottled water plant in any capacity, if there is a reasonable possibility of finished product water becoming contaminated by such person or of disease being transmitted by such persons or other individuals.

(5) Tobacco shall not be used in any product-processing room.

(6) Eating and drinking is prohibited in product-processing rooms.

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Section 5-6.9 - Sanitizing bottles

5-6.9 Sanitizing bottles. The bottles shall be properly sanitized before use by using approved methods and approved sanitizing agents.

(a) Before filling, all multi-use containers shall be thoroughly washed in an effective cleansing agent and water solution, having a temperature not less than 120 degrees Fahrenheit, followed by application of a bactericidal solution and the inside rinsed with finished product water to remove traces of sanitizing agents.

(b) The bactericidal procedure for the inside of bottles, as a minimum, shall be one of the following:

(1) Sanitize with 100 ppm chlorine water solution at 75 degrees Fahrenheit for not less than 30 seconds.

(2) Sanitize with a 2 1/2 percent caustic solution at a minimum temperature of 120 degrees Fahrenheit followed by a rinse containing not less than 10 ppm free chlorine. Note: When caustic is discharged by high-velocity jets, this procedure shall be considered to satisfy both cleaning and bactericidal requirements.

(3) Sanitize with water at an inside bottle temperature of not less than 170 degrees Fahrenheit for not less than 15 seconds.

(4) Sanitize by exposing all surfaces to a 3 percent caustic solution at a minimum temperature of 120 degrees Fahrenheit for five minutes -- by automatic bottle washers using high-velocity, hydro-type jets or by soaker washers -- followed by a rinse containing not less than 10 ppm free chlorine.

(5) Other methods equally protective of public health as the above, when approved by the State, may be used.

(c) Single-use bottles or containers, which are free of all bacteria, dust or other contamination, need not comply with the above sanitizing requirement before filling.
 

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Section 5-6.10 - Maximum contaminant levels

5-6.10 Maximum contaminant levels. The MCLs listed in section 5-6.11 of this Subpart shall not be exceeded.

(b) The owner or operator of the bottled or bulk water facility is responsible for completion of the sampling and analytical requirements set forth in this Subpart. At the discretion of the State, analyses performed by the State may be used for monitoring purposes.

(c) If the result of a monitoring sample analysis exceeds the MCL for a physical contaminant, except for turbidity or an inorganic chemical contaminant, except for nitrate, the owner or operator of the bottled or bulk facility shall collect and analyze three more samples from the same production run, when feasible, but no later than 24 hours of learning of a potential violation. An MCL violation occurs when the average, rounded to the same number of significant figures as the MCL in question, of the four results exceeds the MCL. For nitrate, the owner or operator of the bottled or bulk water facility shall collect and analyze one more sample from the same production run, when feasible, but no later than 24 hours of learning of a potential violation. An MCL occurs when the average of the two results exceeds the MCL.

(d) If the result of a monitoring sample analysis exceeds the MCL for the general organic chemical contaminants, the owner or operator of the bottled or bulk facility shall collect and analyze one to three more samples from the same production run, when feasible, but no later than 24 hours of learning of a potential violation. An MCL violation occurs when at least one of the confirming samples is positive and the average of the initial sample and all the confirming samples exceeds the MCL.

(e) The commissioner may exempt bottled water from the chemical and radiological MCLs based on justification, submitted by the owner or operator of the bottled water facility, that granting of the exemption would not result in public health hazard. If an exemption is granted, an appropriate label, approved by the commissioner, shall be conspicuously placed on all bottles and/or containers of such exempted bottled water produced, distributed and/or sold within New York State in accordance with section 5-6.12(b) of this Subpart.

(f) All analyses for general organic chemicals must be performed in accordance with the U.S. Environmental Protection Agency (EPA) Methods 502.1, 503.1, 524.1, 524.2 or 502.2, at a detection limit not to exceed 0.0005 milligrams per liter. If the State has reason to believe that an MCL has been violated, the potential exists for an MCL violation or the contaminant may present a risk to public health, principal organic contaminant analyses shall also include EPA Methods 504, 625, 604, 605, 608, 609, 611 or 612, as appropriate. EPA Methods 502.1, 503.1, 524.1, 524.2, 502.2 and 504 mean, respectively, "Volatile Halogenated Organic Compounds in Water by Purge and Trap Gas Chromatography;" "Volatile Aromatic and Unsaturated Organic Compounds in Water by Purge and Trap Gas Chromatography;" "Volatile Organic Compounds in Water by Purge and Trap Gas Chromatography/Mass Spectrometry;" "Volatile Organic Compounds in Water by Purge and Trap Capillary Column Gas Chromatography/Mass Spectrometry," "Volatile Organic Compounds in Water by Purge and Trap Capillary Gas Chromatography with Photoionization and Electrolytic Conductivity Detectors in Series;" and "Measurement of 1.2-Dibromoethane (EDB) and 1.2-Dibromo-3-chloropropane (DBCP) in Drinking Water by Microextraction and Gas Chromatography." These methods are contained in "Methods for Determination of Organic Compounds in Finished Drinking Water and Raw Source Water," September 1986. Copies of this publication can be obtained from Environmental Monitoring and Support Laboratory, EPA, Cincinnati, Ohio 45268, and a copy is available for inspection and copying at the offices of the Records Access Officer of the Department of Health, Corning Tower, Empire State Plaza, Albany, NY 12237. EPA Methods 604, 605, 608, 609, 611, 612 and 625 mean respectively "Methods for Organic Chemical Analysis of Municipal and Industrial Wastewater; Method 604 - Phenols; Method 605 - Benzidines; Method 608 - Organochlorine Pesticides and PCBs; Method 609 - Nitroaromatics and Isophorone; Method 611 - Haloethers; Method 612 - Chlorinated Hydrocarbons; and Method 625 - Base/Neutrals and Acids. These methods are contained in 40 CFR Part 136 as published in the Federal Register, Volume 49, page 43250, No. 209, Friday, October 26, 1984. Copies of this publication are available from U.S. Environmental Protection Agency, Public Information Reference Unit, 401 M Street, S.W., Washington, D.C. 20460 and a copy is available for inspection and copying at the offices of the Records Access Officer of the Department of Health, Corning Tower, Empire State Plaza, Albany, NY 12237.

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Section 5-6.11 - Tables.

5-6.11 Tables.

NOTE: For Table 1 (Bottled Water Sampling Requirements) and Table 1A (Microbiological Sampling Frequency), see pages 66.2Z and 66.2Z1 respectively of Official Compilation dated 11/30/88.

TABLE 1B - PRINCIPAL ORGANIC CHEMICALS - Contact the Office of Public Water Supply Protection at (518) 402-7650 for a copy of this table.

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Section 5-6.12 - Labeling

5-6.12 Labeling. Each bottle or container shall bear a label, to be affixed to each bottle or container before it leaves the plant. Wording shall be printed in English, in legible type which shall be in contrast by typography, layout, or color, with other printed matter on the label, cap, or container.

(a) Each label shall show:

(1) The type of source water:

(i) For water coming from springs: "Spring Water."

(ii) For artesian or pumped water taken from the ground, from drilled wells or approved dug wells: "Well Water."

(iii) For a municipal water supply source, the name of the municipal supply, such as "New York City Public Water Supply", "Buffalo City Public Water Supply", etc.

(iv) For bottled waters identified on the label as being distilled, the type of source water does not need to be shown.

(2) Address and location of the bottling facility or corporate offices.

(3) Net contents and/or capacity of the container.

(4) The assigned New York State Health Department certificate number. Abbreviations are limited to "NYSHD Cert. #000."

(5) Where sodium content information is provided, a statement of the number of milligrams of sodium in a specified serving and the net quantity (measure) of each serving shall be placed on the label.

(b) In all situations where the commissioner has exempted a bottled water from the inorganic chemical and/or radiological maximum contaminant levels, an appropriate label, approved by the commissioner, shall be conspicuously placed on all bottles or containers of such exempted water manufactured, distributed or sold at retail within the State of New York. The label shall contain the statement:

"This water contains levels of minerals* in excess of standards for drinking water established by the New York State Commissioner of Health and, therefore, should not be used as a principal or sole source of drinking water."

*The specific minerals in excess of standards may be placed anywhere on the bottle.
 

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Section 5-6.13 - Sampling, methods and recordkeeping

5-6.13 Sampling, methods and recordkeeping. (a) Bottled water shall be sampled at the frequency and analyzed for the water quality parameters outlined in section 5-6.11 of this Subpart.

(b) Samples for any water quality parameter not specified in section 5-6.11 of this Subpart shall be collected and analyzed as may be required by the State.

(c) Sampling methods and analyses shall, at a minimum, meet the following requirements:

(1) Source water samples shall be taken from each approved source.

(2) Finished product water samples shall be taken from a batch or segment of a continuous production run for each type of bottled water produced during a day's production. The representative sample shall consist of a primary container of the finished product.

(3) All required finished product water quality analyses must be performed by an approved laboratory.

(4) All required source water quality analyses must be performed by an approved laboratory.

(5) Analyses shall be conducted by the analytical requirements set forth in Standard Methods for the Examination of Water and Wastewater, current edition, or alternate methods approved by the department's Environmental Laboratory Approval Program.

(d) Container sampling for each container size shall, at a minimum, meet the following requirements:

(1) Containers and closures shall be inspected to verify that they are free from contamination.

(2) At least once every three months, a total coliform swab and/or rinse count should be made from at least four containers and closures selected just before filling and sealing. No more than one of the four samples may exceed more than one bacteria per milliliter of capacity or one colony per square centimeter of surface area. All samples shall be free of coliform organisms. The procedure and apparatus for these total coliform tests shall be in conformance with those recognized by the State. Tests shall be performed by qualified plant personnel or an approved laboratory.

(e) Record retention and reporting shall, at a minimum, meet the following requirements:

(1) Records shall be kept of all inspections, cleaning and sanitizing operations and bottling production. Records of all microbiological and chemical testing must also be maintained by owners and operators of bottled and bulk water facilities and shall be available to the State for the most recent five year period for microbiological analyses and ten years for chemical analyses.

(2) Monthly operating reports for bottlers operating in New York State shall be submitted to the State. Reports shall include the total monthly production including specific production figures for finished product intended for distribution and sale in New York State and all physical, chemical, radiological and microbiological analytical results for that month; the treatment processes and chemicals used; sources of water; and other pertinent data. Form GEN 221, Report on Bottled Water Operation or a form containing equivalent information shall be used for this purpose. Failure to submit these reports shall be cause for suspension and/or revocation of the certificate of approval.

(3) Out-of-state bottlers shall submit their monthly operating reports no later than the 10th of the month following the month of the reporting period. The annual inspection report performed by the government agency having jurisdiction shall be submitted each year. The monthly operating reports and annual inspection report are to be sent directly to:

New York State Department of Health
Bureau of Public Water Supply Protection
Two University Place
1215 Western Avenue, Room 406
Albany, New York 12203-3313

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Section 5-6.14 - Notification

5-6.14 Notification. Any person who owns or operates a bottled or bulk water facility must notify the State by telephone, facsimile (FAX) copy or other means when feasible, but no later than 24 hours of learning of the existence or potential existence of a violation of section 5-6.11 of this Subpart.

Effective Date: 
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Section 5-6.15 - Bulk water

5-6.15 Bulk water. All bulk water sources and facilities must be approved and maintained for sanitary quality at all times.

(a) All sources of water for bulk water shipment must be approved by the New York State Health Department and must meet the source requirements outlined in section 5-6.4 of this Subpart and the treatment requirements outlined in section 5-6.5 of this Subpart.

(b) All water storage facilities must be maintained clean and sanitary at all times and must meet the requirements outlined in section 5-6.8 of this Subpart.

(c) Tank trucks, loading and unloading facilities, and other equipment used to transport bulk water shall be maintained clean and sanitary at all times. Tanks previously used to transport toxic materials, petroleum products or other deleterious substances shall not be used to haul drinking water.

(d) Bulk transport and transfer procedures shall, at a minimum, meet the following requirements:

(1) Before filling, tank interior shall be cleaned, flushed with potable water, sanitized with not less than 100 ppm chlorine water solution for a contact period of not less than 20 minutes and rinsed with potable water.

(2) Tanks also used for the transport of dairy products must have the interior of the tank inspected with an ultraviolet lamp by the hauler each time water is to be transported. Tanks shall be rejected for use when odors or contaminants are found. The dome cover shall be closed immediately after inspection.

(3) All hoses, connections and fittings shall be sanitized with a concentrated solution of chlorine, 3 ounces of 5 1/4 percent household bleach to 2 gallons of water, by brushing solution on all exposed parts.

(4) The cover shall not be opened after sanitizing.

(5) Notwithstanding the above, the frequency of tank sanitization may be reduced, on approval by the State, based on satisfactory demonstration of sanitary handling for bulk tanks used solely for potable water transport.

(6) Tank trucks or tank trailers may be filled through the fitting on the inner dome cover when the tail pipe cannot be used.

(7) Water quality in the tank, after 20-30 gallons have been delivered into the tank, shall be checked as follows:

(i) stop filling;

(ii) have discharge valve opened;

(iii) inspect water as it discharges. If water has unpleasant odor and/or looks dirty, it shall be rejected for use; and

(iv) when these checks show satisfactory water quality, proceed to fill the tank.

(8) The dome cover shall be closed and sealed after filling to volume desired.

(9) The tank discharge valve cover shall be closed and sealed after filling.

(10) When a fill connection is used, it shall be constructed in a manner to prevent contamination and shall be capped at all times when not in use.

(e) The number and type of samples, frequency and points of sampling shall be in accordance with requirements outlined in section 5-6.11 of this Subpart or a program approved or directed by the State.

(f) Analysis of the samples must be performed for the plant by an approved laboratory as outlined in section 5-6.13 of this Subpart.

(g) Records shall, at a minimum:

(1) include the number of gallons delivered daily, cleansing and sanitizing methods used for tank truck and tank trailer interiors, risers, connections, hoses, etc.;

(2) include date, time and location of delivery, concentration of solution, time of contact when applicable, and water quality analysis results as evidence of compliance with the sampling requirements of this Subpart; and

(3) be submitted on a monthly basis to the State.
 

Effective Date: 
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Section 5-6.16 - Certification procedures

5-6.16 Certification procedures. All bottled or bulk water products sold or distributed in New York State must be certified. The following procedures must be met to apply for certification:

(a) Any person applying for bottled water certification shall, at a minimum, meet the requirements listed below:

(1) Complete and submit a signed application form, GEN 222 Application for Certification of Approval for Distribution of Bottled or Bulk Water.

(2) Submit a statement from the appropriate regulatory agency of the state or country having jurisdiction over the bottling operation, indicating that the facility has been approved to bottle or package water for human consumption. This approval may be a copy of a certificate, license, permit or a letter of approval from the agency. A copy of the laws and regulations on bottled water processing from the regulatory agency having jurisdiction must also be submitted. When another state or country has no program for inspection and approval of bulk or bottled water facilities, the commissioner may make a determination based on an inspection and evaluation by an independent individual or organization knowledgeable in bulk or bottled water handling practices.

(3) Submit an engineering report, plans and specifications for the proposal prepared by a registered professional engineer licensed to practice in New York State or in the state which the facility is located. This submittal must include, but not be limited to, the development of the source, methods used in the bottling operation, the water treatment used and laboratory control of water quality provided and a flow diagram from source through the bottling opera tion. The report submitted with the application must show compliance with the requirements of this Subpart.

(4) Submit two caps and two labels for each container size of the bottled water product that is to be certified.

(5) Submit complete inorganic chemical, organic chemical, microbiological and radiological analyses for contaminants listed in section 5-6.11 to this Subpart for each source and each finished bottled water product type to be distributed in New York State. Results of these analyses must be submitted with the application. Additional analyses may be required, if in the judgment of the commissioner they are needed to determine the acceptability of the source or treatment provided. All analyses must be performed by an approved laboratory and in accordance with the sampling methods as outlined in section 5-6.13 of this Subpart. All analyses must have been performed within the last six months from the date of the application for certification, except for the microbiological analyses which must have been performed within 30 days from the date of the application for certification.

(6) Submit a list of names, addresses and telephone numbers of those who are now or are expected to be distributing the product in New York State.

(7) Submit a recall plan in accordance with the requirements as outlined in section 5-6.7 of this Subpart.

(b) Any person applying for a maximum contaminant level exemption of a bottled water product shall, at a minimum, meet the requirements listed below:

(1) An exemption request must be submitted with the above certification data for each chemical or radiological contaminant that exceeds the MCL. No exemption will be given for microbiological or organic chemical MCLs.

(2) The request must include documentation that the contaminant exceeding the MCL will not constitute an unreasonable health risk. The documentation must include:

(i) the identification of the contaminant or contaminants exceeding the MCL;

(ii) the concentration level in milligrams per liter of the contaminant, including the maximum, minimum and average value found in the product;

(iii) the target consumer group;

(iv) the consumption pattern in milliliters per day of the consumers based on estimated or actual market surveys; and

(v) the health significance of the higher contaminant concentration level.

(c) Any person applying for bulk water certification shall, at a minimum, meet the requirements listed below:

(1) Complete and submit a signed application form, GEN 222 Application for Certification of Approval for Distribution of Bottled or Bulk Water.

(2) Submit a statement from the appropriate regulatory agency of the state having jurisdiction over the bulk water operation indicating that an inspection of the water source, transporting vehicles and sanitation procedures has been made and is in conformance with the appropriate minimum standards as outlined in this Subpart. When another state has no program for inspection and approval of bulk water operators, the commissioner may make a determination based on an inspection and evaluation by an independent individual or organization knowledgeable in bulk water handling practices.

(3) Submit a report that includes the procedures used in the sanitizing of the tank interior, the name and location of the source water, source treatment, other uses of the tank truck, frequency and type of water quality analyses performed, quantities and frequencies of shipments, primary use of potable water shipped and loading and unloading procedures.

(4) Submit complete inorganic chemical, organic chemical, microbiological and radiological analyses for contaminants as listed in section 5-6.11 of this Subpart for each source to be used. Results of these analyses must be submitted with the application. Additional analyses may be required if, in the judgment of the commissioner, they are needed to determine the acceptability of the source or treatment provided. All analyses must be performed in accordance with the sampling methods as outlined in section 5-6.13 of this Subpart. All analyses must have been performed within the last six months from the date of the application for certification, except for the microbiological analyses which must have been performed within 30 days from the date of the application for certification.

(d) The following conditions must be met to maintain certification approval:

(1) Each year, a statement must be submitted from the appropriate regulatory agency of the state or country having jurisdiction over the bottling facility indicating that the facility has been inspected and approved to bottle or package water for human consumption.

(2) Each month, a form, GEN 221 Report on Bottled Water Operation, must be completed and submitted no later than the 10th of the month following the month of the reporting period. The microbiological sample results on source and finished products must conform to the requirements of sections 5-6.10, 5-6.11 and 5-6.13 of this Subpart. Results of each analysis must be entered on the GEN 221 opposite the date the sample was collected. The quantity of water shipped for distribution in New York State must be entered on the GEN 221 in the daily product column opposite the date of actual shipment.

(3) The required organic chemical, inorganic chemical and radiological analyses on the source and finished water product, must be completed for the calendar year as required in section 5-6.11 of this Subpart.

(4) Any interruption or change in the operation or treatment, or a change of source shall be reported immediately to the State. Submission of plans or an engineering report may be required.

(5) All exemptions requests must be submitted by July 1 for the calendar year. The required annual water quality monitoring data will be reviewed along with any other available data. Besides the submission of data for maintaining approval, the data as outlined in subdivision (b) of this section must also be submitted.

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Section 5-6.17 - Violations

5-6.17 Violations. Violations of this Subpart may subject the owner or operator of the bottled or bulk water facility to civil penalties of up to $2,000 per violation, revocation of their certificate of approval to distribute bottled or bulk water within New York State and/or a recall of all products on the market in New York State.
 

Effective Date: 
Wednesday, June 19, 1991
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Section 5-6.18 - Separability

5-6.18 Separability. If any provision of this Part are held invalid, such invalidity shall not affect other portions which can be given effect without the invalid provisions.

Effective Date: 
Monday, November 28, 1988
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Part 6 - Swimming Pools, Bathing Beaches and Recreational Aquatic Spray Grounds

Effective Date: 
Wednesday, July 6, 2011
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SubPart 6-1 - Swimming Pools

Effective Date: 
Wednesday, July 6, 2011
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GENERAL PROVISIONS

Section 6-1.1 - Purpose

GENERAL PROVISIONS

Section 6-1.1 Purpose. The purpose of this Subpart is to assure a sanitary, healthful and safe environment for the public when using swimming pools.
 

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Section 6-1.2 - Definitions

6-1.2 Definitions. (a) Swimming pool shall mean a structure, together with buildings and appurtenances used in connection therewith, intended for bathing, swimming or diving purposes, made of concrete, masonry, metal, or other impervious material, located either indoors or outdoors.

(b) Wading pool shall mean a swimming pool that contains water a maximum of two feet deep.

(c) Spa pool shall mean a swimming pool, primarily designed for therapeutic use or relaxation, which is normally not drained, cleaned or refilled for each individual. It may include, but is not limited to, hydrojet circulation, hot water, cold water, mineral bath, air induction, bubbles or any combination thereof. Spa pools are shallow in depth and are not designed for swimming or diving.

(d) White-water slide shall mean a swimming pool consisting of a starting platform, one or more flumes, and a plunge pool.

(e) Wave pool shall mean a swimming pool of special shape and design, with water-wave-making machinery.

(f) Special-purpose pool shall mean a swimming pool of special design primarily for use by persons with physical disabilities.

(g) Movable-bottom pool shall mean a swimming pool with a hydraulic lift arrangement for floor movement and a jet water self-cleaning system.

(h) Permit-issuing official (PIO) shall mean the State Commissioner of Health, the health commissioner or health officer of a city of 50,000 population or over, the health commissioner or health officer of a county or part-county health district, the State regional health director or district director having jurisdiction, or any county or public health director having all the powers and duties prescribed in section 352 of the Public Health Law. The permit-issuing official may designate additional persons to act in his behalf to issue permits required by this Subpart.

(i) Bathing shall mean to become partially or totally immersed in water.

(j) Adequate shall mean sufficient to accomplish the purposes for which something is intended, and to such a degree that no unreasonable risk to health or safety is presented. An item installed, maintained, designed and assembled, an activity conducted or act performed, in accordance with generally accepted standards, principles or practices applicable to a particular trade, business, occupation or profession, is adequate within the meaning of this Subpart.

(k) Uniform Code shall mean the New York State Uniform Fire Prevention and Building Code, 9 NYCRR Subtitle S, Chapter I.

(l) Qualified swimming pool treatment operator shall mean an individual possessing evidence of the successful completion of either of the following courses:

(1) a New York State Department of Health Water Treatment Plant Operator Certification Course Type A or B; or

(2) an adequate course of instruction regarding the safe and effective operation and maintenance of pool treatment equipment.

(m) Aquatic supervisory staff shall mean, effective May 15, 1993, an individual possessing the qualifications as found in section 6-1.31 of this Subpart for Supervision Levels II, III or IV and section 6-2.20(a) of this Part for Supervision Level I.

(n) Effective May 15, 1993, supervising lifeguard shall mean, an individual at least 18 years of age, who possesses as minimum qualifications Supervision Level IIb, and has at least two seasons of adequate lifeguarding experience.

(o) Homeowner swimming pool means a swimming pool owned and operated by a condominium (i.e., property subject to the Article 9-B of the Real Property Law, also known as the Condominium Act), a property commonly known as a cooperative, in which the property is owned or leased by a corporation, the stockholders of which are entitled, solely by reason of their ownership of stock in the corporation, and occupy apartments for dwelling purposes, provided an "offering statement" or "prospectus" has been filed with the Department of Law, or an incorporated or unincorporated property association, all of whose members own residential property in a fixed or defined geographical area with deeded rights to use, with similarly situated owners, a defined swimming pool, provided such swimming pool is used exclusively by members of the condominium, cooperative apartment project or corporation or association, and their family and friends.

Effective Date: 
Wednesday, November 15, 2000
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Section 6-1.3 - Application

6-1.3 Application. (a) The requirements of this Subpart shall apply to all swimming pools except:

(1) a swimming pool, or other bathing facility, owned and/or maintained by an individual for the use of his family and friends;

(2) spa pools used under medical supervision or associated with hospitals; and

(3) float tank or relaxation tank used for solitary body immersion in skin-temperature salt water.

(b) Section 6-1.5 of this Subpart shall not apply to swimming pools maintained and operated in connection with a temporary residence or children's camp subject to the regulations of Subpart 7-1 or 7-2 of this Title.

Effective Date: 
Wednesday, November 15, 2000
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Section 6-1.4 - Enforcement

6-1.4 Enforcement. (a) Permits and placarding.

(1) Operation of a swimming pool without a permit is a violation of this Subpart. The permit-issuing official may order any swimming pool operating without a permit to close and remain closed until the facility has obtained and displays a valid permit.

(2) The enforcement procedures delineated in sections 12, 12-a, 12-b, 16, 308, 309, 1303-1305 and 1308 of the Public Health Law may be used, as appropriate. Where a public health hazard is found, the pool shall be placarded to prohibit use until the hazard is corrected in order to protect the public health or safety of bathers. When a placard is used, it shall be conspicuously posted at each entrance leading to the pool. The placard shall state the authority for its placement and indicate that concealment, mutilation, alteration or removal of it by any person without permission of the permit-issuing official shall constitute a violation of this Chapter and the Public Health Law.

(3) Within 15 days of placarding of a facility, the operator of such facility shall be provided with an opportunity to be heard and present proof that continued operation of the facility does not constitute a danger to the public health. The hearing shall be conducted by the permit-issuing official or his designated hearing officer.

(4) The permit-issuing official or his designated representative shall inspect the premises, within two working days of notification that the hazard has been eliminated, to remove the placards after verifying correction.

(b) Public health hazards. Any of the following violations are public health hazards which require the permit-issuing official or designated representative to order immediate correction or to immediately institute action as provided in the law and in this Subpart:

(1) failure to provide adequate supervision of the swimming pool as prescribed in section 6-1.23 of this Subpart;

(2) failure to provide the minimum disinfectant residual levels listed in various sections of this Subpart;

(3) failure to continuously operate the swimming pool's filtration and disinfection equipment;

(4) use of an unapproved or contaminated water supply source for potable water use;

(5) overhead electrical wires within 20 feet horizontally of the swimming pool;

(6) unprotected electrical circuits or wiring within 10 feet of the swimming pool;

(7) failure to maintain emergency lighting source as required in section 6-1.17(h) of this Subpart;

(8) absence of all lifesaving equipment on swimming pool deck;

(9) swimming pool bottom not visible;

(10) absence of or improper depth markings at a swimming pool;

(11) plumbing cross-connections between the drinking water supply and swimming pool water or between sewerage system and the swimming pool's filter backwash facilities;

(12) failure to provide and maintain an enclosure around the swimming pool area that will prevent access to the swimming pool during the hours in which the pool is not open for use;

(13) use of unapproved chemicals or the application of chemicals by unapproved methods to the swimming pool water;

(14) broken or missing main drain grate in the swimming pool;

(15) overcrowding of the swimming pool that results in poor supervision of bathers;

(16) glass or sharp objects in swimming pool or on deck area; or

(17) any other item determined to be a public health hazard by the permit-issuing official.

(c) Other violations. Violations of other sections of this Subpart or of other Parts of this Chapter are also subject to a penalty upon conviction.

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Section 6-1.5 - Permit for operation

6-l.5 Permit for operation. (a) No municipality, school district, person, group of persons, firm, corporation, association, organization or institution shall operate or maintain or permit the use of any swimming pool and other related facilities without a permit from the permit-issuing official to be issued subject to the provisions of this Chapter and such additional sanitary or safety safeguards as may be required by the permit-issuing official. The permit shall be posted conspicuously at the facility.

(b) Application for a permit shall be made to the permit-issuing official at least 30 days before the expiration of a permit or at least 30 days before the opening of any swimming pool.
 

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Section 6-1.6 - Variance and waivers

6-1.6 Variance and waivers. (a) Variance. The permit-issuing official may, on written application and after review, grant a variance from a specific provision of this Subpart, subject to appropriate conditions which shall include a time schedule for compliance when such variance is in harmony with the general purposes and intent of this Part, and when there are practical difficulties or unnecessary hardship in complying with such provision.

(b) Waiver. The permit.issuing official may waive, in writing, any of the requirements of this Subpart, and include the waiver as a condition of the permit to operate, when it reasonably appears that the public health will not be endangered by granting of such waiver and adequate alternative provisions have been made to protect the safety of the bathers and the public. A copy of the waiver and description of the alternative provisions shall be submitted by the permit-issuing official to the State Commissioner of Health at the time of issuance. Such waiver shall remain in effect for a period of time concurrent with the operating permit, unless sooner revoked for cause.
 

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Section 6-1.7 - Injury and illness incident reporting

6-1.7 Injury and illness incident reporting. A full report of any injury or illness incident occurring at a swimming pool shall be reported by the pool owner/operator to the permit-issuing official within 24 hours of its occurrence, and a notation recorded in a log book. This shall include all incidents occurring at a bathing facility which: (a) result in death; (b) require resuscitation; (c) require referral to a hospital or other facility for medical attention; or (d) is a bather illness associated with bathing water quality.
 

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CONSTRUCTION

Section 6-1.8 - Approval of plans

CONSTRUCTION

6-1.8 Approval of plans. (a) No municipality, school district, person, group of persons, firm, corporation, association, organization or institution shall install or construct a swimming pool, or make any addition or modification to an existing swimming pool, until plans and specifications receive the approval of the permit-issuing official. All plans shall be prepared by a person licensed by the State of New York to practice engineering or architecture. The permit-issuing official may require, when granting this approval, such modifications or conditions as the public health or safety may require.

(b) Design standards for swimming pools (see section 6-1.29 of this Subpart) shall be the basis upon which all plans for swimming pools shall be reviewed, approved and constructed.

(c) Plans for any potable water treatment or sewage treatment facilities to be constructed onsite at swimming pools shall be approved prior to construction, by the permit-issuing official or such agency having jurisdiction for such plan approval.
 

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Section 6-1.9 - Construction compliance certificate

6-1.9 Construction compliance certificate. The operator shall submit, prior to public use of new facilities or equipment, a construction compliance certificate to the permit-issuing official. This certificate shall be prepared and signed by a professional engineer or architect licensed to practice in New York State. The certificate shall include a statement that the pool and the appurtenances have been constructed in accordance with approved plans and specifications.

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OPERATION, SUPERVISION AND MAINTENANCE

Section 6-1.10 - Pool operation

OPERATION, SUPERVISION AND MAINTENANCE

6-1.10 Pool operation. (a) Every swimming pool shall be maintained and operated in a clean, safe and sanitary manner at all times. Swimming pool recirculation and disinfection equipment shall be operated continuously.

(b) Swimming pool equipment and appurtenances shall be operated and maintained in accordance with approved plans and specifications.

(c) Cracks in the pool walls, floors, perimeter overflow systems, and decks shall be repaired when determined to be potential leakage or tripping hazards.

(d) A four-inch stripe of contrasting color shall be provided and maintained at the slope breakpoint or five-foot depth point on the pool bottom, and at submerged step edges and ledges. Plainly visible depth markings shall also be provided and maintained in accordance with the provisions of section 6-1.29, item 6.1.1, of this Subpart. A floating line shall be provided at the slope breakpoint or five-foot depth point.

(e) Main drain grates shall be secured in place at all times. Broken or missing main drain grates shall be repaired or replaced before the pool is used.

(f) Inlets shall be adjusted to produce uniform circulation of water and to facilitate the maintenance of a uniform disinfectant residual throughout the swimming pool.

(g) The overflow system shall be maintained to continuously remove floating matter and surface water.

(h) Skimmer weirs and throttle valves shall be maintained in working order and the skimmer covers shall be secure. Skimmer baskets shall be cleaned at least daily.

(i) The water level in the swimming pool shall be maintained to provide: (1) adequate skimming of the entire pool surface; and (2) required depths in areas for diving as set forth in this section.

(j) The deck shall be unobstructed for at least a five-foot width around the entire pool. The deck shall be kept clean and free of puddled water. Glass containers are prohibited from the swimming pool and all deck areas.

(k) The pool walls and bottom shall be vacuumed or brushed daily or as needed to remove visible settleable material. Ladders, handrails, diving equipment, lifeguard chairs, slides and other deck equipment shall be kept firmly secured to the deck, and maintained in good repair. A minimum of one ladder or set of steps shall be provided in any pool over two feet deep.

(l) Diving depth requirements:

(1) Swimming pools equipped with diving boards prior to the effective date (March 30, 1988) of this Subpart shall meet the minimum water depth and swimming pool and diving board dimensions listed in Columns (1) to (4) in the following table:
 
 

 

Board Height above water

(1)

Minimum Board Overhang Over Water

(2)

Minimum Water Depth In diving Area

(3)

Minimum Diving Area Forward of board tip:

(4)

Maximum Slope to 5' Water depth

      Width                                     Length  
Up to 24" 2'6"  8' 4'                                              13'6" 1:3
*24" - 26" 2'6" 8 1/2' 8'                                               10' 1:3
*26" - 30" 3' 9'  16'                                             10' 1:3
*30" - 1 meter 4' 11' 16'                                             20' 1:2
  or 4' 11' 16'                                             16' 1:3
 *1 meter - 3 meter 6' 12' 20'                                              20' 1:2

 

* = Greater Than.

(2) Diving boards shall be prohibited in all pools in existence prior to the effective date of this Subpart that do not meet the criteria in paragraph (1) of this subdivision except one meter boards used only for competitive use and training and/or used in physical education instruction at schools. Such one meter diving boards must meet criteria in Columns 2, 3 and 4 for 26"-30" boards listed in paragraph (1) of this subdivision.

(3) Swimming pools equipped with diving boards after the effective date of this Subpart must meet the criteria reflected in Table 1 of section 6-1.29 of this Subpart.

(4) Head first diving from the pool deck is prohibited in water depths less than eight feet except during competitive swimming or swimmer training activities.

Effective Date: 
Wednesday, October 7, 1992
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Section 6-1.11 - Treatment

6-1.11 Treatment. All swimming pools shall be equipped with a recirculation system which includes filtration and disinfection facilities to provide water quality consistent with the bacteriological, chemical and physical standards required in section 6-1.19 of this Subpart.

(a) Turnover rate. The entire volume of pool water must be recirculated and treated in six hours. Pools constructed prior to March 31, 1973 may have an eight-hour turnover rate. Pools with approved design rate of less than six hours shall be operated at the design rate.

(b) Filtration. (1) Sand filters.

(i) Gravity and pressure-type sand filters shall be operated at a filter rate not to exceed three gallons per minute per square foot (gpm/sf). High-rate sand filters (pressure or vacuum) can be operated at a filter rate up to 15 gpm/sf.

(ii) Filter air release valves shall be opened daily, or more frequently if necessary to remove air which collects in the filters.

(iii) Sand filters shall be backwashed at a flow rate of 12 to 15 gpm/sf or at the design rate recommended by the manufacturer.

(2) Diatomaceous earth filters. (i) Diatomaceous earth filters shall be properly maintained and operated according to the manufacturer's instructions and at a filter rate not to exceed two gpm/sf with body feed or 1.5 gpm/sf without body feed.

(ii) Diatomaceous earth filter backwash water must discharge to the sewer system through a separation tank. The separation tank sludge shall be disposed of or treated as a solid waste material in accordance with local and State laws, rules and regulations.

(3) Cartridge filters. (i) Cartridge filters shall be operated at a filter rate not to exceed the design rate or a maximum of 0.375 gpm/sf.

(ii) Cleaning of cartridge filters must be in accordance with the manufacturer's recommendations. One complete spare set of cartridges shall be available at all times to facilitate cleaning.

(4) Flow measurement. All flow meters shall be maintained in accordance with provisions in section 6-1.29, item 9.8, of this Subpart.

(c) Disinfection. (1) Disinfection with chlorine. When chlorine gas, calcium hypochlorite or sodium hypochlorite is used to disinfect a swimming pool and the pool water pH is less than or equal to 7.8, the dose of chlorine or chlorine compound shall be sufficient to maintain a concentration of at least 0.6 mg/l free chlorine throughout the swimming pool. When the pH is between 7.8 and 8.2, a concentration of at least 1.5 mg/l free chlorine residual shall be maintained. A free chlorine residual of 5.0 mg/l or a pH of 8.2 shall not be exceeded in any swimming pool during use. All chlorine solutions shall be added to the pool water by chemical feed equipment conforming with standards contained in Section 6-1.29, Item 11.1 of this Subpart.

(i) Handling of chlorine gas. When chlorine gas is used as a disinfectant, the chlorinators and any cylinders containing chlorine gas used therewith shall be housed in an enclosure separated from other equipment rooms, including the swimming pool, corridors, dressing rooms and other space used by the bathers, by a tight partition wall or by a tight partition wall with a door so installed as to prevent gas leakage and equipped with an inspection window. Chlorine cylinders shall be secured from falling and cylinders in use shall be secured on a suitable platform scale. A separate vent opening to the exterior shall be provided. An electric motor-driven fan shall take suction from near the floor level of the enclosure and discharge at a suitable point to the exterior above the ground level. The fan switch shall be able to be operated from outside of the enclosure. All pools using chlorine gas shall be equipped with a self-contained breathing apparatus which is kept in a closed cabinet, outside of the room in which the chlorinator is maintained. The breathing apparatus shall be maintained in working order and checked monthly. Additional precautions shall be taken in the handling and storage of chlorine gas at pools as required by the permit-issuing official to safeguard public health. Any person who operates such chlorinating equipment shall be familiar with the use of self-contained breathing apparatus.

(ii) Handling of calcium hypochlorite. When calcium hypochlorite is used as a disinfectant, extreme caution must be taken in the handling and mixing of the chemical to avoid possible fire and explosion hazards. A dry, aboveground, locked storage area shall be provided. Clean inert materials shall be used, and mixing must be by pouring the chemical into water and never by pouring water into the chemical.

(2) Disinfection with bromine. When bromine is used as the disinfectant, the following shall be followed:

(i) Bromine shall be fed on a continuous basis.

(ii) The pool pH shall be maintained between 7.2 and 7.8.

(iii) A concentration of at least 1.5 mg/l bromine residual shall be maintained throughout the pool water at all times. A maximum of six mg/l bromine residual shall be permitted in any swimming pool during use.

(iv) Solid-stick or tablet-type bromine (brom-chlor-dimethyl-hydantoin) shall be used with feed equipment conforming to the standards contained in section 6-1.29, item 11.4, of this Subpart.

(3) Other disinfectants. Disinfectants other than those listed above may be used only if the State Commissioner of Health determines they are safe and effective when used in accordance with the manufacturer's directions.

(4) Use of cyanuric acid-based chlorine (or any other chlorine stabilizer) is prohibited. Pools found using or containing any cyanuric compound shall be closed, drained and refilled prior to continued use.

(5) Test kits/testing. DPD test kits with reagents no more than one year old capable of measuring pH and chlorine or bromine residuals, shall be available at each pool. Tests shall be conducted and recorded for pH and free and total chlorine or bromine residual at the beginning, during, and at the end of each swimming period. Where required, r eagents for alkalinity and hardness tests shall be available. Where ozone generating equipment is installed, ozone testing shall be conducted in accordance with section 6-1.29, Item 11.5.1 of this Subpart.

(d) Chemicals. When the permit-issuing official determines that pH is not consistently maintained within the required limits, positive feed equipment shall be used to maintain the pH at levels required in this section. The methods for addition of pool water treatment chemicals must be specified and approved in the safety plan. The method of chemical addition must protect the bather from contact with concentrated chemicals. The method must provide adequate distribution of the chemical throughout the pool and distribution must be verified by pool water testing prior to bather exposure. Only chemicals approved for water supply use by the U.S. Environmental Protection Agency, as food additives by the U.S. Food and Drug Administration, or by the State Commissioner of Health, shall be used in swimming pools. Where equipment for chemical addition is required, it shall be installed and operated in accordance with section 6-1.29, item 11.0 of this Subpart. All chemical containers, including those used with chemical feeders, must be clearly labeled regarding their contents.

Effective Date: 
Wednesday, July 15, 1998
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Section 6-1.12 - Water supply

6-1.12 Water supply. The water supply serving all plumbing fixtures, including drinking fountains, lavatories and showers, shall, after treatment, meet the applicable requirements of Part 5 of this Title.

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Section 6-1.13 - Sewage system

6-1.13 Sewage system

(a) All waste water from a swimming pool shall be discharged in such a manner that waste water cannot be siphoned, flooded or otherwise discharged into the pool.

(b) The sanitary sewer serving the swimming pool shall discharge to a public sewer system or other approved disposal system.
 

 

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Section 6-1.14 - Garbage; refuse

6-1.14 Garbage; refuse. Garbage and refuse shall be collected, handled and disposed of in a sanitary manner.

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Section 6-1.15 - Bathhouse and toilet facilities

6-1.15 Bathhouse and toilet facilities. (a) General. Toilet facilities and lavatories shall be provided at a swimming pool, except when such facilities are available within 300 feet of the pool or within one floor level above or below the swimming pool area.

(b) Walls and floors of the bathhouse shall be kept clean and free from cracks or open joints. The floors shall be well drained.

(c) All fixtures within the bathhouse shall be maintained in a clean and sanitary condition at all times.

(d) All toilet facilities and dressing rooms shall be ventilated and maintained.

(e) Showers, when provided, shall be supplied with water at a temperature of at least 90^F and no more than 110^F at a rate of at least 1.5 gallons per minute per shower head. Thermostatic, tempering or mixing valves shall be kept in good operation to prevent scalding of the users. Shower curtains shall be kept clean. Soap shall be provided.

(f) All lavatories shall be provided with soap, paper towels or electrical hand-drying units, and covered waste receptacles. Suitable sanitary napkin receptacles shall be provided in toilet facilities used by females.

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Section 6-1.16 - Fencing

6-1.16 Fencing.

(a) All swimming pools shall be enclosed within a fence or other barrier, at least four feet high, which can only be entered by bathers through self-closing and positive self-latching doors or gates. The knob or handle controlling the latch shall be at least 40 inches above grade. The gate or door shall be locked and access to pool prevented when the pool is not supervised.

(b) Swimming pool fences constructed after the effective date of this Subpart [March 30, 1988] shall meet the requirements of the Uniform Code. For existing swimming pool fences, no opening shall exceed four inches.
 

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Section 6-1.17 - Lighting and electrical requirements

6-1.17 Lighting and electrical requirements. (a) Lighting or other electrical circuits provided in the pool area must be protected by ground-fault circuit interrupters in accordance with the Uniform Code. These devices may be required at an existing pool constructed prior to March 31, 1973, when the permit-issuing official determines it is necessary to protect the safety of bathers.

(b) Defects in the electrical system, including underwater lights, overhead lights and their respective lenses, shall be immediately repaired.

(c) Portable electrical devices, such as announcing systems and radios within the reach of bathers, shall be prohibited.

(d) Windows and lighting equipment shall be adjusted to prevent glare and excessive reflection on the pool surface. Illumination levels must be maintained in accordance with provisions in section 6-1.29, item 7.0, of this Subpart.

(e) Underwater lights shall allow an observer on the pool deck to clearly see all portions of the pool, including the bottom.

(f) When underwater lighting is not provided and night swimming is permitted, surface lighting shall be adequate to allow an observer on the pool deck to clearly see the pool bottom.

(g) Operators of existing pools shall possess a certificate of electrical compliance with the Uniform Code issued by the New York Board of Fire Underwriters or equivalent certifying agency.

(h) Adequate emergency lighting shall be provided at swimming pools where night swimming is allowed and indoor pools where no natural light is present. For outdoor pools, a portable battery powered artificial light source is acceptable and shall be adequate and maintained to facilitate swimming pool evacuation.

(i) No overhead electrical wiring shall pass within 20 feet horizontally of the swimming pool.
 

Effective Date: 
Wednesday, October 7, 1992
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Section 6-1.18 - Ventilation

6-1.18 Ventilation. All indoor swimming pools shall be adequately ventilated, either by natural or mechanical means.

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Section 6-1.19 - Water quality

6-1.19 Water quality. (a) Sample collection and analysis. Microbiological samples shall be collected from swimming pools when determined by the permit-issuing official to be necessary to evaluate water quality, and be examined in laboratories approved by the New York State Department of Health.

(b) Microbiological quality. Coliform bacteria levels should not exceed 4 per 100 milliliters in more than one sample examined each month. When the membrane filter technique is used, or when the fermentation tube method is used, coliform bacteria shall not be present in more than 10 percent of portions analyzed in any month; also, total bacteria shall not exceed 200 per milliliter.

(c) Chemical quality. (1) The chemical quality of water in the pool shall not cause irritation to the eyes or skin of the bathers or have other objectionable physiological effects on bathers.

(2) The total alkalinity of the pool water shall be maintained within the range of 80 to 120 mg/l.

(3) The pool water shall be chemically balanced. The permit-issuing official may require that the operator determine the saturation index (see section 6-1.30 of this Subpart) monthly or at any other frequency required to maintain pool clarity, proper disinfection, alkalinity, and pH levels.

(d) Cleanliness. (1) The bottom and sidewalls of swimming pools shall be kept free of sediment and visible soil, and the pool water surface shall be kept free of visible floating matter.

(2) The water in a swimming pool shall be sufficiently clear to permit a white and black object four inches in diameter, placed at any location on the bottom of the swimming pool, to be clearly visible from the sides of the swimming pool at all times.
 

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Section 6-1.20 - Maximum permissible bather use

6-1.20 Maximum permissible bather use. (a) The maximum number of bathers permitted in a swimming pool at one time shall not exceed the design bather capacity. This capacity is calculated based on section 6-1.29, item 3.0, of this Subpart.

(b) The pool operator shall be responsible for controlling the number of bathers so that the maximum capacity is not exceeded.

(c) A sign shall be conspicuously posted in the pool are stating:

(1) the maximum number of bathers who may use the swimming pool at one time;

(2) the hours that a swimming pool is open; and

(3) that pool use is prohibited at any other time.
 

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Section 6-1.21 - Operator and operating records

6-1.21 Operator and operating records. (a) Each swimming pool shall be maintained by a pool operator familiar with its equipment. The pool operator shall comply with the regulations in this Subpart and any conditions of the permit.

(b) All pools larger than 3,000 square feet in surface area, or pools disinfected using gas chlorine, shall be maintained by a qualified swimming pool water treatment operator within one year of the effective date of this section [March 30, 1988].

(c) Complete daily operation records shall be kept of the operation of each swimming pool on forms approved or furnished by the State Commissioner of Health. Upon completion, a copy of such records shall be maintained at the facility for 12 months. The permit-issuing official may require submission of reports at periodic intervals.
 

Effective Date: 
Wednesday, December 6, 1995
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Section 6-1.22 - Inspections

6-1.22 Inspections. The permit-issuing official and his designated representatives shall have the right of entrance and inspection of any swimming pool facility as authorized under section 1.11 of this Title. The most recent report of inspection shall be available at every pool.

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Section 6-1.23 - Supervision

6-1.23 Supervision.

(a) Personnel. The requirements of this subdivision do not apply to pools described in section 6-1.2(o) of this Subpart.

(1)(i) When a swimming pool, spa pool, or wading pool is part of a temporary residence or a campground, as defined in Part 7 of this Title, the operator must provide either Supervision Level IIa, IIb, III, or IV aquatic supervision. When Supervision Level III or IV is selected, on-premise CPR certified staff is not required. The temporary residence or campground operator must notify the permit-issuing official in writing of the supervision level selected and at least 15 days before making any subsequent changes to the supervision level selected for each swimming pool.

(ii) The operator of a temporary residence or campground bathing facility described in paragraph (1)(i) of this subdivision shall not allow the use of the temporary residence or campground bathing facility by persons other than registered overnight patrons of the temporary residence or campground and their guests when Supervision Level III or IV is selected.

(2) The supervision level required at each swimming pool, other than those described in paragraph 1 of this subdivision, will be determined based on the following:

(i) Supervision Level IIa or IIb is required for all white water slides, wave pools or aquatic amusements and when any of the following are present: water depth is five feet or greater; diving boards; flotation devices (other than those bearing a U.S. Coast Guard Type I-III Label); pool deck slides; surface area of the pool exceeds 2,000 square feet.

(ii) Supervision Level III is required at spa and wading pools.

(iii) Supervision Level IV is required when the water depth is less than five feet and the surface area of the pool is less than or equal to 2,000 square feet.

(3) Aquatic supervisory staff must meet the requirements of section 6-1.31 of this Subpart or section 6-2.20(a) of this Part. When a facility voluntarily provides aquatic supervisory staff or a Supervision Level exceeding those required by this Section, all the requirements of this subpart relative to supervision are applicable.

(4)(i) At least one aquatic supervisory staff of at least the required Supervision Level shall be provided for each 3,400 square feet of pool surface area or fraction thereof at pools required to use Supervision Levels II-III personnel. When pools exceed 3,400 square feet of pool surface area at least one additional aquatic supervisory staff shall be provided when the number of bathers exceeds or is likely to exceed 50 percent of the pool bather capacity, based on 25 square feet of pool surface area per bather. Pool operators may limit the portions of the pool open to bathers and provide the required aquatic supervisory staff consistant with the pool area open.

(ii) Adequate aquatic staff (Level II-III) must be provided for visual surveillance of the entire pool area(s) that are open to bathing.

(5) Additional aquatic supervisory staff may be required by the permit issuing official whenever it is necessary for the protection of the pool patrons (bathers). Factors, including but not limited to, pool shape, diving board use, patron decorum, patron alcohol consumption; and, bathing facilities used primarily for the developmentally disabled may be the basis for increased coverage.

(6) The aquatic supervisory staff shall be at pool side, providing direct supervision of the pool patrons, except at pools requiring Supervision Level IV and spa pool facilities. At spa pools the Supervision Level III aquatic staff shall be on premises and shall provide periodic supervision as specified in the safety plan. Aquatic supervisory staff on duty shall be engaged only in activities that involve the direct supervision of bathers. When instructional activities occur, including but not limited to learn to swim programs, physical education classes and swim team activities, and the supervisory staff required by paragraphs (4) and (5) of this subdivision provide the instruction, at least one additional staff meeting at least Supervision Level III must be provided for each aquatic supervisory staff engaging in instructional activities. When a Supervision Level III staff is utilized to assist a Supervision Level II staff with direct supervision of bathers during instruction, the Supervision Level III staff must possess certification in aquatic injury prevention and emergency response as specified in Section 6-1.31(c)(2) of this Title. The written safety plan must describe the duties, positioning at pool side and interaction between the Supervision Level II and III staff which ensures adequate bather supervision and emergency response.

(7) At wave pool facilities, a minimum of three aquatic staff of Supervision Level II, two of whom are in lifeguard chairs equipped with equipment that will immediately stop the wave-making machine, shall be present whenever the wave-making machine is in operation.

(8) Swimming pools required to have Supervision Level II aquatic staff shall provide a supervising lifeguard when the facility is required to provide three or more aquatic staff.

(9) The facility operator shall be responsible for verification of aquatic supervisory staff qualifications. Copies of the certificates or other documents showing possession of such qualifications shall be kept on file at the site and made available to the permit issuing official upon request.

(10) A swimming pool permitted to use Supervision Level IV, shall comply with the following pool use rules:

(i) Two or more adults, 18 years of age or older, must be present at the pool when the bathing facility is in use, with at least one adult on the pool deck.

(ii) Supervision Level IV facility personnel shall be on premises at all times the pool is in use and will conduct at least one visual check daily, prior to operation/use. The visual check shall confirm the pool is in compliance with the requirements of this Subpart, including safety equipment and water quality. Upon completion of these inspections, the personnel signs the log, and records the time of inspection and number of persons using the pool. A log is to be provided and maintained by the facility operator to record time of the periodic inspection(s) and other required information.

(iii) Children less than 16 years of age must at all times be accompanied by a parent or guardian or similar adult who is responsible for their safety and behavior while at the pool.

(iv) A free telephone conveniently located must be provided at the facility with posted numbers for the nearest emergency service (police, fire department, ambulance, hospital).

(v) Required safety equipment must be provided at poolside unless otherwise specified in the safety plan.

(vi) Warning signs of a minimum 36" x 24" size with safety conditions and methods for summoning CPR certified individual, when CPR trained staff is required, must be posted. The warning sign must state:

o Two or more adults, 18 years of age or older, must be present at the pool when the bathing facility is in use, with at least one adult on the pool deck.

o Children less than 16 years of age must at all times be accompanied by an adult responsible for their safety and behavior while at the bathing facility.

o Shallow Water - No Diving (for pools with water depths less than 8 feet).

o Method of summoning on-premise CPR staff (only where CPR trained staff is required).

o Location of free telephone and numbers to contact.

(vii) The bathing facility operator shall provide to all patrons a written statement or brochure. Only patrons who have received this statement may use the bathing facility. The brochure or statement must state at least the following:

o NEVER SWIM ALONE. A minimum of two adults, 18 years of age or older, must be present whenever this swimming facility is in use, with at least one adult remaining on the pool deck.

o THERE IS NO SUBSTITUTE FOR ADEQUATE SUPERVISION. Children under 16 years of age must be accompanied to the bathing facility by a parent or guardian, (an adult who is responsible for the children and their behavior.)

o IN AN EMERGENCY, NOTIFY THE FACILITY OPERATOR AND CONTACT HELP AS SOON AS POSSIBLE. A free telephone is provided at this facility (describe location). Telephone numbers for the nearest emergency medical service are posted.

o Only use this facility during posted hours of operation.

o Don't drink alcohol and swim.

(b) Lifesaving equipment. (1) Required lifesaving equipment shall be readily accessible near the swimming pool deck at all swimming pools, and kept in good repair. Minimum equipment shall include:

(i) A first aid kit, which may be any commercially prepared 24 unit kit or a supply of band aids, bandage compresses and self adhering gauze bandages; and a pocket face mask or face shield with a one way valve to assist with CPR;

(ii) At Supervision Level IIa or IIb swimming pools; one rescue tube with an attached line for each lifeguard required by this section; one reaching pole at least 15 feet long; and a full size commercially available spine board or a spine board six feet long and a minimum sixteen inches wide provided with straps to aid in immobilization of a victim and hand holds; and

(iii) At Supervision Level IV swimming pools, temporary residence swimming pools using Supervision Level III in accordance with section 6-1.23(a)(1)(ii), or homeowner swimming pools as defined in section 6-1.2(o): two U.S. Coast Guard approved ring buoys at least 18 inches in diameter fitted with a quarter inch diameter line a length of 1.5 times the maximum width of the pool or 50 feet whichever is less, and a reaching pole at least 15 feet long.

(2) Elevated lifeguard chairs shall be provided at all pools greater than 2000 square feet that utilize Supervision Level IIa or IIb aquatic supervisory staff.  One elevated lifeguard chair is required for each 3,400 square feet of pool surface area or fraction thereof. The chairs shall be located so as to provide a clear, unobstructed view of the pool bottom in the pool area under surveillance and be in compliance with section 6-1.29, Item 6.2 of this Subpart.

(c) Safety plan. Operators of swimming pools must develop, update and implement a written safety plan, consisting of procedures for daily bather supervision, injury prevention; reacting to emergencies, injuries and other incidents, providing first aid and summoning help. The safety plan shall be approved by the permit-issuing official and kept on file at the pool. Approval will be granted when all the components of this section are addressed so as to protect the health and safety of the bathers, and the plan sets forth procedures to insure compliance with this Subpart.

Effective Date: 
Wednesday, November 7, 2007
Doc Status: 
Complete

Section 6-1.24 - General requirements

6-1.24 General requirements. (a) Care of suits and towels. All bathing suits and towels furnished or rented shall be washed with a detergent in hot water, rinsed and thoroughly dried after each use.

(b) Pollution of swimming pool prohibited. Urinating, discharge of fecal matter, expectorating or blowing the nose in any swimming pool is prohibited.

(c) Posting regulations. Placards reciting the contents of subdivisions (b), (d) and (e) (where applicable), inclusive, of this section shall be posted conspicuously at the swimming pool or enclosure and in the dressing rooms and offices of all swimming pools.

(d) Deck slides. (1) Sliding shall not occur in water less than four feet deep.

(2) Sliding shall be performed only in a feet forward position.

(e) Starting blocks. Use of starting blocks is prohibited except during competitive swimming or swimmer-training activities.
 

Effective Date: 
Wednesday, October 7, 1992
Doc Status: 
Complete

Section 6-1.25 - Spa pools; additional requirements

6-1.25 Spa pools; additional requirements.

(a) Spa pools shall be operated to meet the specific requirements listed in this section, in addition to other applicable sections of this Subpart.

(b) The maximum water temperature for spa pools shall not exceed 104 degrees Fahrenheit. A thermostatic control for the water shall be provided. An audible alarm system shall be installed and maintained to warn of any temperature over 104 degrees Fahrenheit.

(c) (1) The pH of water in the spa pool shall be maintained between 7.2 and 7.8, and a minimum free residual chlorine of 1.5 mg/l shall be provided. Spa pools shall be chlorinated to 10 mg/l at least once a week when the pool is not in use. A maximum of 5.0 mg/l of free chlorine residual shall be permitted during use.

(2) Where bromine is used as the disinfectant, a minimum bromine residual shall be maintained between 3 mg/l and 6 mg/l, and the pH shall be maintained between 7.2 and 7.8.

(d) Spa pools shall be drained and cleaned when needed, and at least once every two weeks.

(e) A warning sign with an area of at least three square feet, stating the six caution statements contained in section 6-1.29, item 14.13, of this Subpart, shall be conspicuously posted in the immediate vicinity of the spa pool.

Doc Status: 
Complete

Section 6-1.26 - Special-purpose pools

6-1.26 Special-purpose pools. Pools for persons with physical disabilities shall provide safe entry and exit from the pool. All surfaces shall be free of sharp edges. These pools shall be operated and maintained in accordance with the requirements specified in section 6-1.29, item 15.3, of this Subpart.

Doc Status: 
Complete

Section 6-1.27 - Movable-bottom pools

6-1.27 Movable-bottom pools. Movable-bottom floor pools shall be operated and maintained in accordance with special requirements specified in section 6-1.29, item 15.4, of this Subpart.

Doc Status: 
Complete

Section 6-1.28 - White-water slides

6-1.28 White-water slides. (a) White-water slides shall be operated to meet the specific requirements listed below, in addition to other applicable sections of this Subpart.

(b) Supervision shall be provided at the top and bottom of each white-water slide, as required in section 6-1.23 of this Subpart.

(c) Use of white-water slides shall prohibit the following practices:

(1) Chain-riding or stopping in flumes.

(2) Standing or kneeling in flumes.

(3) Sliding shall be performed only in a feet forward position.

(d) Warning signs shall be posted stating the above prohibitions.
 

Effective Date: 
Wednesday, October 7, 1992
Doc Status: 
Complete

Section 6-1.29 - Swimming pool design standards

6-1.29 Swimming pool design standards.
1.0 Definitions.

1.1 Swimming pool shall mean a man-made structure, together with
buildings and appurtenances used in connection therewith, intended for
bathing, swimming or diving purposes, made of concrete, masonry, metal
or other impervious material, located either indoors or outdoors, and
provided with a controlled water supply.

1.2 Spa pool shall mean a swimming pool, primarily designed for
therapeutic use or relaxation, which is normally not drained, cleaned or
refilled for each individual. It may include, but is not limited to,
hydrojet circulation, hot water, cold water, mineral bath, air
induction, bubbles or any combination thereof. Spa pools are shallow in
depth and not designed for swimming or diving use.

1.3 Uniform Code shall mean the New York State Uniform Fire Prevention
and Building Code, 9 NYCRR Subtitle S, Chapter I.

1.4 Adequate shall mean sufficient to accomplish the purpose for which
something is intended, and to such a degree that no unreasonable risk to
health or safety is presented. An item installed, maintained, designed
and assembled, an activity conducted or act performed, in accordance
with generally accepted standards, principles or practices applicable to
a particular trade, business, occupation or profession, is adequate
within the meaning of this Subpart.

2.0 Submission of plans.

2.1 General. All plans shall be prepared by a person licensed by the
State of New York to practice engineering or architecture. All
construction shall comply with the requirements of the Uniform Code. It
is desirable that preliminary plans, specifications and an engineer's
design report be submitted for review prior to the preparation of final
plans. Plans, specifications and reports submitted for formal approval
must contain sufficient information to demonstrate to the reviewing
authority that the proposed swimming pool, or improvements thereto, will
meet the standards contained herein and shall include, but not be
limited to, those factors hereinafter set forth in items 2.2.1 through 2.2.7, inclusive.

2.2 Basis of design report.

2.2.1 Swimming pool perimeter, area and volume.

2.2.2 Flow rate, turnover and filtration rate.

2.2.3 Anticipated swimmer load (maximum and average).

2.2.4 Source, quality, quantity available and characteristics of water
supply, including alkalinity, pH, iron and manganese.

2.2.5 Detailed description of filtration, recirculation equipment and
chemical feed equipment.

2.2.6 Hydraulic computations including head loss in all piping and
recirculation equipment.

2.2.7 Pump curves, showing that the proposed recirculation pump can
adequately pump proposed flows.

2.3 Plans and specifications.

2.3.1 General layout plan.

2.3.1.1 Name and address of the proposed facility and the name and
address of the owner.

2.3.1.2 Scale, north point and direction of prevailing wind.

2.3.1.3 Date, address, name, professional seal and signature of the
designing engineer or architect.

2.3.1.4 A plot plan of the property to be used, indicating the
topography, the arrangement and location of present and proposed
structures, and the location of present and proposed swimming pool.

2.3.2 Detailed plans. All detailed plans shall be drawn to a suitable
scale and include the following information:

2.3.2.1 Complete construction details, including dimensions,
elevations and appropriate cross-sections.

2.3.2.2 Schematic diagrams and plan and elevation views of the pool
water treatment and recirculation system.

2.3.2.3 Size and location of all piping, including elevations.

2.3.3 Specifications. Complete, detailed specifications for the
construction of the swimming pool, bathhouse, recirculation system,
filtration facilities, disinfection equipment and all other
appurtenances shown on detailed plans shall be submitted.

3.0 Patron use.

3.1 Designation of areas. For purposes of computing patron use within
the pool enclosure, those portions of the swimming pool five feet or
less in depth shall be designated the "shallow area." Those portions of
the swimming pool over five feet in depth shall be designated the "deep
area."

3.2 Design bather capacity.

3.2.1 Shallow area. Fifteen square feet of pool water surface area
shall be provided for each patron.

3.2.2 Deep area. Twenty-five square feet of pool water surface area
shall be provided for each patron.

3.2.3 Diving area. Three hundred square feet of pool water surface
area shall be reserved around each diving board or diving platform, and
this area shall not be included in computing the permissible patron use.

3.2.4 Spa pools. Ten square feet per person shall be provided for each
patron.

3.3 Excess deck allowance. Additional allowance will be made on the
basis of one additional patron allowed per each 50 square feet of pool
deck in excess of the minimum area of deck required in item 5.9 of this
section.

4.0 Construction material.

4.1 Materials. Swimming pools shall be constructed of materials which
are inert, stable, nontoxic, watertight and enduring. Sand or earth
bottoms or unlined wooden tubs are not permitted.

4.2 Corners. All corners formed by intersection of pool walls and
floor shall be rounded.

4.3 Finish. Pool bottom and sides must be white or a light color with
a smooth and easily cleanable surface.

5.0 Design, detail and structural stability. All swimming pools shall
be designed and constructed to withstand all anticipated loading for
both full and empty conditions. A hydrostatic relief valve and/or a
suitable underdrain system shall be provided. The designing architect or
engineer shall be responsible for certifying the structural stability
and safety of the pool during full and empty conditions.

5.1 Shape. The shape of any swimming pool shall be such that the
circulation of pool water and control of swimmers' safety are not
impaired. There shall be no underwater or overhead projections or
obstructions which would endanger patron safety or interfere with pool
operation.

5.2 Minimum depth. The minimum depth of water in the pool shall be
three feet, except for special-purpose and wading pools.

5.3 Bottom slope. The bottom of the pool shall slope toward the main
drain. The slope in water depths less than five feet shall not exceed 1
foot vertical to 12 feet horizontal.

5.4 Area marked. The boundary line between the shallow and deep areas
shall be marked with a four-inch stripe of contrasting color on the
floor and walls of the pool, and by a safety rope and floats equipped
with float keepers. Ledges and step edges shall also be marked with a
four-inch stripe of contrasting color.

5.5 Pool walls. Walls of a swimming pool shall be either: (1) vertical
for a distance of at least six feet; or (2) vertical for a distance of
at least three feet below the water level; below which the wall may be
curved to the bottom with a radius not greater than the difference
between the depth at that point and three feet; provided that vertical
is interpreted to permit slopes not greater than one foot horizontal for
each five feet of depth of sidewall (11 degrees from vertical).

5.5.1 Ledges. Ledges shall not extend into the pool unless they are
essential for support of the upper wall construction.

5.6 Diving areas. The minimum dimensions of the swimming pool and
appurtenances in the diving area shall conform to Table 1 of this
section. Pools designed for competitive diving can upon application
utilize nationally recognized competitive design standards.

TABLE 1

MINIMUM DIMENSIONS FOR POOLS WITH DIVING EQUIPMENT

______________________________________________________________

COPY OF TABLE 1 
MAY BE OBTAINED FROM: 
NYS LEGISLATIVE BILL DRAFTING COMMISSION 
CONTACT: LEGISLATIVE RETRIEVAL SYSTEM'S HELPLINE
____________________________________________________________

Note: Minimum depth of five feet must be maintained when a wall
terminates pool area opposite diving boards. Otherwise, the specified
shallow area floor slope may be used to shallow end.

 

   

Minimum

dimensions

   

Max. board height
over water

Max. diving board

D

L1

L2

Pool Width

26"(2/3 meter)

10'

8'6"

2'6"

10'0"

20'0"

30"(3/4 meter)

12'

9'0"

3'0"

10'0"

20'0"

1 meter

16'

11'0"

4'0"

20'0"

20'0"

3 meters

16'

12'0"

6'0"

20'0"

24'0"

 

Placement of boards shall observe the following minimum dimensions.
With multiple-board installations, minimum pool widths must be increased
accordingly.

1 meter or less--Board to pool side 10'0"

3 meters--Board to pool side 12'0"

Distance between adjacent boards 10'0"

5.6.1 Headroom. There shall be a completely unobstructed clear
distance of 16 feet above the diving board, measured from the center of
the front end of the board. This area shall extend at least eight feet
behind, eight feet to each side, and 16 feet ahead of the measuring
point.

5.6.2 Diving boards and platforms. The use of diving boards and
platforms in excess of three meters in height must be based on a design
that adequately addresses the special safety considerations associated
with such devices.

5.6.3 Steps and guardrails for diving boards. Supports, platforms and
steps for diving boards shall be of substantial construction and of
sufficient structural strength to safely carry the maximum anticipated
loads. Steps shall be of corrosion-resistant material, easily cleanable
and of nonslip design. Handrails shall be provided at all steps and
ladders leading to diving boards one meter or more above the water. The
guardrails shall be 30 inches high, extending at least to the edge of
the water.

5.7 Deck slides. All swimming pool slides, which may be installed at a
swimming pool, shall be labeled to show compliance with the requirements
of the U.S. Consumer Product Safety Commission or other generally
acceptable standards that will provide adequate protection for public
health and safety.

5.7.1 Depth. The bottom of any slide must discharge into a minimum
water depth of four feet.

5.8 Ladders, recessed steps and stairs.

5.8.1 Location. Recessed steps, ladders or stairs shall be provided at
the shallow and deep ends. Recessed steps or ladders shall be provided
in the deep portion. If the pool is over 30 feet wide, such steps,
ladders or stairs shall be installed on each side.

5.8.2 Ladders. Pool ladders shall be corrosion-resistant and shall be
equipped with nonslip treads. All ladders shall be so designed as to
provide a handhold. There shall be a clearance of not more than six
inches nor less than three inches between any ladder and the pool wall.

5.8.3 Recessed steps. Recessed steps shall be readily cleanable and
shall be arranged to drain into the pool. Recessed steps shall have a
minimum tread of 5 inches and a minimum width of 14 inches.

5.8.4 Handrails. Where recessed steps or ladders are provided, there
shall be a handrail at the top of each side thereof extending over the
coping or edge of the deck.

5.8.5 Stairs. Where stairs are provided, they shall be located
diagonally in a corner of the pool or be recessed. They shall be
equipped with a handrail. Stairs shall be of nonslip design, have a
minimum tread of 12 inches and a maximum rise of 10 inches.

5.9 Decks. A continuous clear deck shall surround the entire pool
perimeter. It shall be not less than five feet wide. The deck shall be
of a uniform, easily cleaned, impervious material and be protected from
surface runoff. Where diving boards or slides are installed, a clear
deck of not less than five feet shall be provided behind the diving
boards or slides.

5.9.1 Slope. The deck shall be sloped at least one-fourth inch per
foot to deck drains or grades.

5.9.2 Drainage. Deck drains, when used, shall be spaced and arranged
so that not more than 400 square feet of area is tributary to each
drain, and drains shall not be spaced more than 25 feet apart. There
shall be no direct connection between the pool deck drains and the
sanitary sewer system, or the pool gutter or recirculation system.

5.9.3 Roll-out gutters. If the pool is equipped with roll-out deck
level gutters, not more than five feet of deck shall be sloped toward
the gutters.

5.9.4 Carpeting. Carpeting shall not be permitted on pool decks unless
the carpet contains a label indicating it complies with the National
Sanitation Foundation Standards or other standards that will provide
adequate protection for public health and safety.

5.9.5 Hose bibbs. Hose bibbs shall be provided to facilitate flushing
of the deck areas and shall be provided with antisiphonage devices.

5.9.6 Spectator areas. There shall be an effective separation between
spectator areas and swimmer areas.

5.9.7 Food concessions. There shall be a separation between areas
where food and drink are served and areas used by pool patrons.

5.10 Fencing. All swimming pools, including wading pools, shall be
provided with an enclosure which shall comply with the following:

5.10.1 Shall be at least four feet in height and have a maximum
vertical clearance to grade of two inches.

5.10.2 Where a picket-type fence is provided, horizontal openings
between pickets shall not exceed 4 inches.

5.10.3 Where a chain-link fence is provided, the openings between
links shall not exceed 3/8 inches.

5.10.4 Enclosure shall be constructed so as not to provide footholds.

5.10.5 Pickets and chain-link twists shall extend above the upper
horizontal bar.

5.10.6 Such enclosure shall have railings and posts within the
enclosure, which shall be capable of resisting a minimum lateral load of
150 pounds applied midway between posts and at top of posts,
respectively. Enclosures, fence material or fabric shall be capable of
withstanding a concentrated lateral load of 50 pounds applied anywhere
between supports on an area 12 inches square, without failure or
permanent deformation. Gates provided in the enclosure shall be
self-closing and self-latching, with the latch handle located within the
enclosure and at least 40 inches above grade.

5.10.7 A wall of a multiple dwelling is permitted to serve as part of
the enclosure, provided that there is no direct access from the dwelling
to the pool.

6.0 Safety requirements.

6.1 Depth markings.

6.1.1 Location of depth markings. Depth of water shall be plainly
marked at or above the water surface on the vertical pool wall and/or on
the edge of the deck at maximum and minimum points and at break between
the deep and shallow portions, and at intermediate two-foot increments
of depth, spaced at not more than 25-foot intervals. Markings shall be
on both sides and ends of the pool. Where depth markings cannot be
placed on the vertical walls above the water level, other means shall be
used so that the markings will be plainly visible to persons in the
pool. Water depth shall be measured at a point three feet from the pool
wall.

6.1.2 Size of depth markings. Depth markings shall be in numerals of
four-inch minimum height, followed by the words "foot depth" or "feet
deep," and with color contrasting with background. Depth markers must be
of durable material and permanently installed.

6.2 Lifeguard chairs. Elevated lifeguard chairs shall be provided at
all pools having an area greater than 2,000 square feet that provide
Supervision Level IIa or IIb aquatic supervisory staff. One elevated
lifeguard chair is required for each 3, 400 square feet of pool surface
area or fraction thereof. Chairs should be placed in locations which
will minimize sun glare on the water, and in positions which will give
complete coverage of the pool area under surveillance.

6.3 Lifesaving Equipment. Lifesaving equipment shall be provided as
required in section 6-1.23(b) of this Subpart.

6.3.1 Units required. One unit of lifesaving equipment shall be
provided for each 2,000 square feet of water surface area or fraction
thereof. A minimum of two units must be provided.

6.4 First aid room. Swimming pools with a surface area in excess of
4,000 square feet shall have a readily accessible room or area
designated and equipped for emergency care.

6.5 Emergency exit. An emergency exit from the pool room shall be
provided. All exits should be clearly marked.

7.0 Lighting, electrical, ventilation requirements.

7.1 Lighting. Artificial lighting shall be provided at all swimming
pools which are to be used at night, or which do not have adequate
natural lighting, so that all portions of the pool, including the
bottom, may be readily seen without glare.

7.1.1 Water surface. Overhead illumination on the water surface shall
be a minimum of 30 foot-candles when underwater lighting as specified in
item 7.1.2 is provided. Without underwater lighting, a minimum
illumination of 50 foot-candles on the water surface shall be provided.

7.1.2 Underwater. When underwater lighting is used, not less than 0.5
watt per square foot of swimming pool water surface shall be provided.

7.1.3 Decks. A minimum of 50 foot-candles should be provided at deck
level of competition pools.

7.1.4 Emergency lighting. All indoor pools where night swimming is
permitted, and indoor pools where no natural light is present shall be
provided with an adequate emergency lighting service. For outdoor
pools, a portable battery-powered light source is acceptable and shall
be adequate and maintained to facilitate swimming pool evacuation.

7.1.5 Equipment rooms. All swimming pool equipment and chemical
storage rooms shall be provided with artificial lighting sufficient to
illuminate all equipment and supplies.

7.2 Electrical.

7.2.1 Wiring shall conform to the Uniform Code and the requirements of
the appropriate regulatory agency. A certificate shall be submitted for
all new electrical work.

7.2.1.1 Overhead clearance. No electrical wiring shall pass overhead
within a 20-foot horizontal distance of the pool.

7.2.2 Electrical receptacles. Ground-fault circuit interrupters shall
be provided on all pools, for all lighting and other electrical circuits
in the area of the pool. These devices may be required in an existing
pool, when the permit-issuing official determines it is necessary to
protect the safety of bathers.

7.2.3 Grounding. Each underwater light shall be individually grounded
by means of an adequate ground-wire screwed or bolted connection to the
metal junction box from which the branch circuit to the individual light
proceeds. Such junction boxes shall not be located in the swimming pool
deck within four feet of the pool wall.

7.3 Ventilation.

7.3.1 Room ventilation. Bathhouses, mechanical equipment rooms,
storage areas and indoor swimming pool enclosures shall be ventilated,
either by natural or mechanical means. Room ventilation shall prevent
direct drafts on swimmers and shall minimize condensation. A minimum of
two air changes per hour shall be provided for indoor pool areas. A
heating unit shall be kept from contact with swimmers. Fuel-burning
heating equipment shall be installed and vented to the outdoors in
accordance with the Uniform Code.

8.0 Water supply and wastewater disposal.

8.1 Water supply. The source and quality of the water supplied to the
pool and all plumbing fixtures, including drinking fountains, lavatories
and showers, shall after treatment meet the applicable requirements of
Part 5 of the State Sanitary Code (10 NYCRR Part 5) for potable water.

8.2 Cross-connection control. All portions of the water distribution
system serving the swimming pool and auxiliary facilities shall be
protected against backflow and back-siphonage. Water introduced into the
pool, either directly or to the recirculation system, shall be supplied
through an air gap or by another method which will prevent backflow and
back-siphonage.

8.3 Fill spout. When a fill spout is used to introduce water into the
swimming pool, it shall be shielded so as not to create a hazard. The
open end of the fill spout shall have no sharp edges, shall not protrude
more than two inches beyond the edge of the pool and shall be at least
six inches above the deck level. If the swimming pool is equipped with a
diving board, consideration shall be given to locating the fill spout
under the diving board.

8.4 Sanitary wastes. Sanitary sewage shall be disposed of through a
municipal sanitary sewerage system. If a private subsurface disposal
system or other system must be used, approval of the system must be
obtained from the appropriate regulatory agency.

8.5 Pool waste water. Pool waste water shall be discharged to the
sewer system or storm drain through a suitable air gap so as to preclude
the possibility of backup of sewage or waste water into the swimming
pool piping system. Approval of the system must be obtained from the
appropriate regulatory agency.

8.6 Drinking fountains. Drinking fountains shall be of slanting
jet-type with a surrounding guard and nonsubmersible opening. They shall
be located at a convenient point and be supplied with adequate water
pressure.

9.0 Recirculation systems and equipment. A recirculation system
consisting of pumps, piping, filters, water conditioning and
disinfection equipment, and other accessory equipment, shall be provided
which will clarify, chemically balance and disinfect the swimming pool
water. A minimum turnover of the entire volume in six hours (four times
in 24 hours) is required, except that the recirculation rate shall be
increased to provide a two-hour turnover for wading pools, and as set
forth in item 15.0 of this section for special-purpose pools.

9.1 Equipment approval. Equipment used or proposed for use in swimming
pools shall be of proven design and construction and be tested as
follows: (1) tested and listed by the National Sanitation Foundation
(NSF) or another testing laboratory under standards promulgated by NSF;
or (2) use-tested in New York or another state in at least 10 pools of
comparable design for a period of at least 60 days, with engineering
reports on results of use submitted; or (3) pilot-plant testing of at
least 90 days, with formal submission of an operational report prepared
by the design engineer or architect; or (4) a combination of use and
testing or a trial use period approved by the permit-issuing official
and the State Commissioner of Health.

9.2 Piping.

9.2.1 Materials. The recirculating piping and fittings shall be of
nontoxic material, resistant to corrosion, and able to withstand
operating pressures. Acceptable materials for pool recirculation
systems are plastic, copper, stainless steel, asbestos cement, aluminum,
cast iron or other material suitable for water supply use.

9.2.2 Velocities. The pipes, fittings and valves of the pool
recirculation system shall be sized so that velocities do not exceed 6
feet per second under suction, 10 feet per second under pressure and 3
feet per second in gravity flow.

9.3 Drainage and installation. All equipment and piping shall be
designed and fabricated to drain completely by use of drain plugs, drain
valves or other means. All piping shall be supported continuously or at
sufficiently close intervals to prevent sagging. All suction piping
shall be sloped in one direction, preferably toward the pump. All supply
and return pipelines to the pool shall be provided with insertable plugs
or valves to allow the piping to be drained to a point below the frost
line. Provision shall be made for expansion and contraction of pipes.

9.4 Color coding. All exposed piping should be color-coded in
accordance with the following table:

 

Piping

Color code

Waste lines

Color code

       

Potable water lines

Dark blue

Backwash waste

Dark brown

Filtered water

Aqua

Sewer (sewer or other)

Dark gray

Skimmer or gutter return

Olive green

Deck drains

Light brown

Main drain

Black

   

Alum

Orange

Other

 

Chlorine (gas/solution)

Yellow

Compressed air

Dark green

Soda ash

White

Gas

Red

Acid

Pink

   

 

Where two colors do not have sufficient contrast to easily differentiate
between them, a six-inch band of contrasting color should be painted on
one pipe at approximately 30-inch intervals. The name of the liquid or
gas, and arrows indicating direction of flow, should be shown on the
pipe.

9.5 Overflow systems. All pools shall be designed to provide
continuous skimming (removal of surface water). Make-up water supply
equipment shall be provided to maintain continuous skimming.

9.5.1 Gutters (perimeter overflow systems). The overflow shall extend
completely around the pool. It shall be level within a tolerance of plus
or minus one-eighth inch. Piping connections shall be provided to permit
water to flow from overflows to the recirculation system.

9.5.1.1 Size and shape. The gutter system shall be designed for
continuous removal of water from the pool's upper surface at a rate of
at least 100 percent of the recirculation rate. The gutter shall be
designed to serve as a handgrip and to prevent entrapment of arms and
legs. It shall permit ready inspection, cleaning and repair.

9.5.1.2 Outlets. Drop boxes, converters, return piping or flumes used
to convey water from the gutter shall be designed to handle 100 percent
of the recirculation rate. Drainage shall be sufficient to minimize
flooding and prevent backflow of skimmed water into the pool.

9.5.1.3 Surge capacity. All overflow systems shall be designed with an
effective surge capacity of not less than one gallon for each square
foot of pool surface area. Surge shall be provided within a surge tank,
in the gutter or filter above the normal flow line, or elsewhere in the
system. Surge tanks, gutters and filter tanks should have overflow
pipes to convey excess water to waste. Surge tanks shall be provided
with means for complete draining.

9.5.2 Skimmers. The use of skimmers shall be limited to pools with
widths of 30 feet or less and a water surface area less than 1,600
square feet.

9.5.2.1 Number. In pools where skimmers are used, one skimmer for
each 400 square feet of surface area or fraction thereof shall be
provided. Additional skimmers may be required to achieve effective
skimming.

9.5.2.2 Location. Skimmers shall be so located as to provide effective
skimming of the entire water surface with minimum interference and
short-circuiting.

9.5.2.3 Flow rate. Skimmers shall be designed for a flow-through rate
of at least 30 gallons per minute or 3.75 gallons per minute per lineal
inch of weir. The swimming pool recirculation rate is determined by the
total of: design flow rate required by the number of skimmers, and the
flow through the main drain system, as specified in Item 9.6.4, and must
supply the minimum turnover rate required by Item 9.0.

9.5.2.4 Control. Skimmers shall have weirs that adjust automatically
and operate freely and continuously with variations of at least four
inches in water level. All skimmed water shall pass through an easily
removable and cleanable basket or screen before encountering control
valves or entering the pump suction line. Each skimmer shall be equipped
with a device to control flow. Skimmers shall include a device to
prevent an air lock in the suction line. If equalizer pipes are used,
they shall pass an adequate amount of water to meet pump suction
requirements should pool water drop below the weir level. The equalizer
pipes shall be located at least one foot below the lowest overflow level
of the skimmer. A valve or equivalent device that will remain tightly
closed under normal operating conditions, but automatically open when
the water level drops below the minimum operating level of the skimmer,
shall be provided on each equalizer pipe.

9.5.2.5 Construction. Skimmers shall be installed in the pool walls,
be sturdy and be constructed of corrosion-resistant materials. Surface
skimmers shall be of a type the permit-issuing official determines as
adequate and suitable for such purpose.

9.5.2.6 Handgrips. Bull-nosed coping not more than two inches thick or
other handgrip adjacent to the pool wall shall be provided. The handgrip
shall not be more than nine inches above the minimum skimmer operating
level. When the handgrip is formed by the pool deck, it shall slope away
from the pool with a one-inch drop in a one-foot distance.

9.5.3 Testing. Flotation testing should be performed to determine and
adjust the recirculation system for optimum skimming.

9.6 Main drain system. Two main drain suction outlets shall be
installed in the pool floor at the deepest point with a separation
distance of three feet or more provided. If the floor of a spa pool is
insufficient for a separation distance of three feet, then the
separation distance shall be as great as possible. The suction outlets
shall be connected to a single main suction pipe by branch lines and the
branch lines shall not be valved so as to be capable of operating
independently.

9.6.1 Spacing. The drains shall not be greater than 20 feet on centers
and the drain outlets shall be provided not more than 15 feet from each
side wall.

9.6.2 Grating. The main drain suction outlet shall be protected by
antivortex covers or gratings. The open area shall be large enough to
assure the velocity does not exceed 1-1/2 feet per second through the
grating. Openings in grates shall not be over one-half inch wide.
Gratings or drain covers shall not be removable without the use of
tools.

9.6.3 Piping. The branch pipe from each main drain suction outlet
shall be designed to carry 100 percent of the recirculation rate. The
suction velocity in the pipe shall not exceed six feet per second. The
single main suction pipe to the pump shall be equipped with a valve to
control total main drain flow.

9.6.4 Minimum flow. At least 30 percent of the total recirculation
rate should flow through the main drain.

9.7 Pumps and strainers.

9.7.1 Strainers. Strainers shall be provided through which all water
shall pass before entering the pump. The strainers shall be of rigid
construction, fabricated of corrosion-resistant material and
sufficiently strong to prevent collapsing when clogged. The openings
shall be no greater than one-eighth inch in any dimension. The total
clear area of all openings shall be at least four times the area of the
connecting pipe. The strainer shall have a quick-opening cover. Spare
strainer baskets shall be provided. In systems where the filter is
located on the suction side of the pump, strainers are not required.

9.7.2 Pumping equipment. The recirculation pump shall have adequate
capacity to meet the design requirements of the pool, including filter
backwashing. It shall be of a self-priming type if installed above the
hydraulic gradient. A gauge which indicates both pressure and vacuum
shall be installed on the pump suction header and a pressure gauge shall
be installed on the discharge side of the pump.

9.8 Flow measurement and control.

9.8.1 Flow measurement. A means of continuously measuring rate of flow
shall be provided in the recirculation system. For sand filters, the
flow-measuring equipment shall be located where the backwash flow rate
can also be determined. The indicator shall be capable of measuring at
least 1-1/2 times the design flow rate and shall be accurate within 10
percent of true flow. The indicator shall have a range of readings
appropriate for the anticipated flow rates, and be installed where it is
readily accessible for reading and maintenance, and with straight pipe
upstream and downstream of any fitting or restriction in accordance with
the manufacturer's recommendation.

9.8.2 Flow regulation. An automatic device for regulating the rate of
flow shall be provided in the recirculation pump discharge piping. Where
multiple pumps or filters are provided, each unit shall have a
flow-regulating device installed.

9.9 Inlets.

9.9.1 Number. Wall inlets shall be spaced not over 20 feet apart, with
one inlet within five feet of each corner of the pool and one in each
recessed step area.

9.9.2 Location. Wall inlets shall be located at least 12 inches below
the design water surface. Bottom inlets shall be uniformly spaced with a
separation distance of no greater than 20 feet and with rows of inlets
within 15 feet of each side wall. In any pool over 60 feet in width,
bottom inlets should be provided. These must be flush with the floor.

9.9.3 Type. Inlet fittings shall be of the adjustable rate-of-flow
type. Directional flow inlets shall be used with skimmer-type pools.
Inlets shall not extend from the floor or wall to create a hazard.

9.9.4 Testing. Dye testing (crystal violet or equivalent) should be
performed to determine and adjust the recirculation pattern.

10.0 Filtration (general). A swimming pool water treatment system
shall have one or more filters. It shall be installed with adequate
clearance and facilities for ready and safe inspection, maintenance,
disassembly and repair.

10.1 Sand filters. The design filtration rate of rapid sand filters
shall not exceed three gallons per minute per square foot of filter
area. High-rate sand filters (pressure or vacuum) shall not exceed a
filtration rate of 15 gallons per minute per square foot of filter area.
For multiple-cell rapid sand filters, the rate of filtration shall not
exceed 3 gpm per square foot of filter area. For multi-cell high-rate
sand filters, filtration rate shall not exceed 5 gpm per square foot of
filter area. The sand filter system shall be equipped to backwash each
filter at a rate of 12 to 15 gallons per minute per square foot of
filter bed area, or as recommended by the manufacturer. The backwash
water shall be discharged to waste through a suitable air gap.

10.1.1 Filter media. Sand or other media shall be carefully graded and
meet the manufacturer's recommendation for pool use.

10.1.2 Accessories shall include influent pressure gauge, effluent
pressure gauge, backwash sight glass and air relief valve.

10.2 Diatomaceous earth. The design filtration rate for pressure or
vacuum filters shall be no greater than 1.5 gallons per minute per
square foot of effective filter area, except that a maximum filtration
rate of 2.0 gallons per minute per square foot may be allowed where
continuous "body feed" is provided. The filter and all component parts
shall be of such materials, design and construction to withstand normal
continuous use without significant deformation, deterioration, corrosion
or wear which could adversely affect filter operation.

10.2.1 Precoating. The filter piping shall be designed to refilter or
waste the effluent until a uniform body coat is applied. For
pressure-type filters, precoat feed equipment shall be provided to apply
not less than 0.1 pound of diatomaceous earth per square foot of filter
area.

10.2.2 Body feed equipment. Body feed equipment capable of applying
not less than 0.1 pound of diatomaceous earth per square foot of filter
area per 24 hours should be provided.

10.2.3 Regenerative-type filters. Regenerative type of filters shall
meet the same standards as pressure filters. Pumping by air or manual
means must be provided for, and provision for visual inspection of
elements shall be provided.

10.2.4 Accessories. Accessories for vacuum filters shall include a
vacuum gauge and a vacuum limit switch interconnected with the pump.
Pressure filters require a backwash sight glass, influent pressure
gauge, effluent pressure gauge and air relief valve.

10.2.5 Backwash. Diatomaceous earth filter backwash water must
discharge to the sewer system through a separation tank. The separation
tank sludge shall be disposed of in an approved solid waste disposal
facility.

10.3 Cartridge filters: filter rate. The design filtration rate for
cartridge filters shall not exceed 0.375 gallon per minute per square
foot of filter media.

10.3.1 Cartridges. A complete extra set of filter cartridges must be
on hand at user's location.

10.3.2 Accessories shall include influent pressure gauge, effluent
pressure gauge and air relief valve.

11.0 Disinfection. Swimming pools shall be designed to provide for
continuous disinfection of the pool water with a chemical which is an
effective disinfectant and which imparts an easily measured, active
residual.

11.1 Disinfectant feeders. An automatic feeder which is easily
adjustable shall be provided for the application of disinfectant.

11.1.1 Construction. Feeders shall be of sturdy construction and
materials which will withstand wear, corrosion or attack by disinfectant
solutions or vapors, and which are not adversely affected by repeated,
regular adjustments or other normal use conditions.

11.1.2 Maintenance. Feeders shall be capable of being easily
disassembled for cleaning and maintenance.

11.1.3 Operation. The design and construction shall minimize stoppage
from chemicals intended to be used or foreign materials that may be
contained therein.

11.1.4 Safeguards. The feeders shall incorporate antisiphon safeguards
so that the disinfectant cannot continue to feed into the swimming pool,
the pool piping system or the swimming pool enclosure if any type of
failure of the pool equipment occurs.

11.1.5 Capacity. Feeders shall be capable of supplying disinfectant to
the pool in the range up to 10 mg/1 chlorine or equivalent.

11.2 Gas chlorination. When compressed chlorine gas is used, the
following features shall be provided. Gas chlorine should not be used at
pools in densely populated areas.

11.2.1 Location. The chlorinator room shall be located on the opposite
side of the pool from the direction of the prevailing winds. Chlorine
storage and chlorinating equipment shall be in a separate room. This
room shall be at or above grade.

11.2.2 Venting. The chlorine room shall have a ventilating fan with an
airtight duct beginning near the floor and terminating at a safe point
of discharge to the out-of-doors. A louvered air intake shall be
provided near the ceiling. The ventilating fan shall provide one air
change per minute and operate from a switch located outside the door.

11.2.3 Door. The door of the chlorinator room shall not open to the
swimming pool, and shall open outward directly to the exterior of the
building. The door shall be provided with a shatterproof inspection
window and should be provided with "panic hardware."

11.2.4 Chlorine cylinders. Chlorine cylinders shall be anchored. The
cylinders in use shall stand on a scale capable of indicating gross
weight with one-half pound accuracy. Storage space shall be provided so
that chlorine cylinders are not subjected to direct sunlight. Storage
space shall be in an area inaccessible to the general public.

11.2.5 Injection location. Mixing of chlorine gas and water shall
occur in the chlorine room, except where vacuum-type chlorinators are
used.

11.2.6 Backflow. The chlorinators shall be designed to prevent the
backflow of water or moisture into the chlorine gas cylinder.

11.2.7 Breathing apparatus. A self-contained breathing apparatus
designed for use in a chlorine atmosphere (and of a type approved by the
appropriate regulatory agency) shall be provided. A closed cabinet shall
be provided to house the breathing apparatus. It shall be located
outside of the chlorinator room.

11.2.8 Leak detection. A plastic bottle of ammonia for leak detection
shall be provided.

11.3 Hypochlorinators. Where hypochlorinators are used, the following
requirements shall apply:

11.3.1 Feed. Feed shall be continuous under all conditions of pressure
in the recirculation system without constriction of the recirculation
pump suction.

11.3.2 Solution tanks. If calcium hypochlorite is used, two solution
tanks, each with minimum capacity of one-day supply, should be provided.
All chemical containers, including those used with chemical feeders,
must be clearly labeled regarding their contents.

11.4 Disinfection with bromine. Where bromine is used as a
disinfectant, the permit-issuing official shall first approve use of
solid stick-type bromine and the equipment provided for feeding on a
continuous basis.

11.5 Chemical feed equipment. Equipment and piping used to apply
chemicals to the water shall be of such size, design and material that
they may be cleaned. All material used for such equipment and piping
shall be resistant to action of chemicals to be used therein.

11.5.1 Ozone generating equipment (OGE) is acceptable only as a
supplement to a chlorine or bromine disinfection system. When OGE is
installed, the following design performance standards must be met:

11.5.1.1 Ozone concentration in the pool water shall not exceed 0.1
mg/l. Off-gassing of ozone shall not result in ozone levels in the
equipment room or in the pool area exceeding 0.1 ppm. At the time the
OGE is installed and annually thereafter the air space within 6 inches
of the pool water level and air in the equipment room shall be tested to
determine compliance with this requirement.

11.5.1.2 All corona discharge OGEs must be vacuum systems.

11.5.1.3 Backflow of pool water into the OGE shall not occur.

11.6 pH adjustment. Mechanical feed equipment for the purpose of
adding a chemical for pH adjustment shall be provided, except where pH
can be maintained within the required limits without the use of positive
feed equipment. The methods for addition of chemicals must be specified
in the safety plan. The method of chemical addition must protect the
bather from contact with concentrated chemicals. The method must provide
adequate distribution of the chemical throughout the pool and
distribution must be verified by pool water testing prior to bather
exposure.

11.6.1 Where carbon dioxide (CO2) is used as a method of pH control,
the following features shall be provided:

11.6.1.1 CO2 shall be injected into the recirculation pipe at the same
point where pH adjustment solutions (i.e., acid) would normally be
added. The recirculation pipe shall be of sufficient size and length to
provide a minimum of five seconds contact time prior to bather contact.

11.6.1.2 CO2 cylinders shall be anchored to prevent damage. Cylinders
shall be inaccessible to the general public.

11.6.1.3 The manufacturer's instructions shall be followed for
installation and operation of cylinders. The units shall be operated by
the designated persons listed in the safety plan.

11.6.1.4 CO2 cylinders should be stored in a protective enclosure at
the exterior of occupied structures. If CO2 cylinders are provided in
the interior of occupied structures, they shall be placed in a
ventilated enclosure. A louvered fresh air intake shall be provided near
the ceiling. Mechanical exhaust ventilation shall be provided near at
the rate of one air change every three minutes and take suction near the
floor as far as practical from the door and fresh air intake. Exhausted
air shall be ducted to the exterior of the building through a continuous
pipe of at least 1-1/2 inches in diameter with the point of discharge so
located as not to contaminate air inlets to any rooms or structures.

11.7 An automatic device shall be provided to deactivate chemical
feeders when there is no flow in the recirculation system.

11.8 Test kit. Colorimetric test kits shall be provided for the
determination of free disinfectant residual, pH of the pool water and,
where necessary, total alkalinity and calcium hardness. A supply of
appropriate reagents for making each type of test shall be provided.
Color standards shall be furnished for each of the tests, that allow an
accurate comparison of the sample to be tested, both from the standpoint
of color and density, and shall be reasonably permanent and nonfading.
Electronic residual and pH monitoring devices may be used in addition to
the test kit.

11.8.1 Standards. A DPD (Diethyl-P-Phenylene Diamine) test kit with
the following increments: 0.2, 0.4, 0.6, 0.8, 1.0, 1.5, 2.0 and 3.0, as
a minimum, shall be provided to measure the chlorine residual. If other
halogens are used, an appropriate scale shall be provided.

11.8.2 pH kit. A pH test kit with a range from 6.8 to 8.2, accurate to
the nearest 0.2 pH unit, shall be provided.

12.0 Bathhouse.

12.1 General. Adequate dressing rooms and sanitary facilities shall be
provided for all swimming pools. Omission of part or all of the poolside
toilet facilities may be approved when such facilities are available
within 300 feet and no more than one floor level above or below the
swimming pool.

12.2 Location. The bathhouse shall be located so that the patrons must
pass through the bathhouse to enter the pool. The layout of the
bathhouse shall be such that the patrons on leaving the dressing room
pass the toilets, then the showers, en route to the swimming pool.

12.3 Bathhouse design. Floors of the bathhouse shall be of
smooth-finished material with nonslip surfaces, impervious to moisture,
easily cleanable and sloped at least one-fourth inch per foot to drains.
Carpeting shall not be permitted in shower and toilet areas. Junctions
between walls and floors shall be coved and of smooth, impervious
materials, free from cracks or open joints. Partitions between dressing
cubicles shall terminate at least 10 inches above the floor, or shall be
placed on continuous raised masonry or concrete bases at least four
inches high. Lockers shall be set either on solid masonry or concrete
bases at least four inches above the floor. Lockers shall be vented.

12.4 Fixture requirements. An adequate number of toilet and
handwashing facilities shall be provided.

12.4.1 Fixtures. Plumbing fixtures and installations shall be in
accordance with the Uniform Code.

12.5 Suits and towels. Where towels and/or swimming suits are
provided, facilities shall be provided to adequately launder, store and
sanitize these items after each usage.

12.6 Foot baths. The use of foot baths is prohibited.

12.7 Hose bibbs. Hose bibbs shall be provided within the bathhouse to
enable the entire area to be flushed with a 50-foot hose. Hose bibbs
shall be provided with antisiphonage devices.

13.0 Miscellaneous.

13.1 Pool cleaning system. A cleaning system shall be provided to
remove dirt from the bottom of the pool. When a vacuum system is used as
an integral part of the recirculation system, connections shall be
located in the walls of the swimming pool at least eight inches below
the waterline, and at such points that the floor of the pool can be
cleaned with not more than 50 feet of suction hose. Nothing in this
section shall prohibit the use of surface skimmers for vacuum cleaning
purposes.

13.2 Manual. A manual for operation of the pool shall be provided. It
shall include instructions for each filter, pump or other piece of
equipment, drawings, illustrations, charts, operating instructions and
parts list, to permit installation, operation, winterization and
maintenance.

14.0 Spa pools. Spa pools shall comply with the following special
requirements, in addition to other applicable requirements contained in
these design standards.

14.1 Construction material. The construction material shall comply
with the requirements of item 4.0 of this section. Use of unlined wood
tanks is prohibited.

14.2 Dimensional design.

14.2.1 The maximum water depth shall be 4'0" measured from the
waterline. Exceptions may be made for spas designed for a special
purpose, such as instruction, treatment, swimming and therapy.

14.2.2 The maximum depth of any seat shall be 2'0", measured from the
waterline.

14.2.3 Spas shall be provided with a suitable handhold around their
perimeter in areas where water depths exceed 3'6". Handholds shall be
provided no further apart than 4'0", and may consist of any one or a
combination of the following:

14.2.3.1 Coping, ledges, raised flanges, or decks along the immediate
top edge of the spa shall provide a suitable slip-resistant handhold
located not over 12 inches above the waterline.

14.2.3.2 Ladders, steps or seat ledges.

14.2.3.3 A railing, placed at or not over 12 inches above the
waterline, fastened to the wall.

14.3 Steps. Design of steps shall conform to the following:

14.3.1 Step treads shall have a minimum unobstructed horizontal tread
depth of 10 inches for a minimum continuous width of 12 inches.

14.3.2 Riser height shall not be less than 7 inches nor greater than
12 inches. When the bottom tread serves as a bench or seat, the bottom
riser may be a maximum of 14 inches.

14.3.3 Step treads shall have slip-resistant tread surfaces.

14.3.4 Each set of steps shall be provided with at least one handrail
to fully serve all treads and risers.

14.3.5 Seats or benches may be provided as part of the steps.

14.4 Ladders. Ladders shall conform to the requirements of item 5.8.2
of this section.

14.5 Recessed steps. Recessed steps shall conform to item 5.8.3.

14.6 Decks. Decks shall conform to the requirements set forth in item
5.9, with the exception that, at spa pools, decks may be waived for 50
percent of the pool perimeter. Placement of chairs or other furniture
shall be prohibited within three feet of the edge of any spa pool.

14.7 Heater and temperature requirements.

14.7.1 Heaters shall comply with the standards contained in the
Uniform Code.

14.7.2 The maximum temperature of the spa water shall be 104?F. A
thermostatic control for the water shall be required. An alarm system
set to ring a bell or buzzer shall be installed to warn of any
temperature over 104?F. The alarm shall ring in the spa area as well as
at the attendant's normal work station. A manual timer shall be
installed that will require resetting after 15 minutes. This timer will
ring a warning bell and may control the agitation pump.

14.8 Circulation systems. The equipment for circulation and filtration
shall be sized to turn over the entire spa water capacity at least once
every 30 minutes, and shall be capable of returning the spa water to a
turbidity of less than 0.50 NTU within four hours following the peak
bather load.

14.8.1 Overflow system. An overflow system shall be provided. It shall
be designed and constructed so that the water level of the spa is at the
operating level of the rim or weir device during use and nonuse of the
spa. When surface skimmers are used, one surface skimmer shall be
provided for each 100 square feet or fraction thereof of spa surface
area. Recirculation through the skimmer shall be at least 30
gpm/skimmer. When two or more skimmers are used in a spa, they shall be
located to maintain effective skimming action over the entire surface
area of the spa. Skimmers shall be approved, as set forth in item 9.0 of
this section.

14.9 Filters. Filters shall be designed to maintain spa water under
anticipated operating conditions in accordance with item 14.8 of this
section. The requirements specified in item 10.0 shall apply.

14.10 Pumps and strainers. The recirculation pump and strainer shall
comply with the requirements of item 9.7.

14.11 Air induction systems. An air induction system shall be designed
to prevent water backup that could cause electrical shock hazards. Air
intakes shall not induce contaminants (such as deck water, dirt, etc.)
into the spa.

14.12 Disinfection. The requirements specified in item 11.0 shall
apply. Equipment shall be designed to provide a minimum free residual
chlorine of 1.5 mg/l at all times and capable of superchlorination at 10
mg/l to minimize problems with combined chlorine build-up.

14.13 Safety. A warning sign with an area of at least three square
feet, stating the following caution statements, shall be conspicuously
posted in the vicinity of the spa.

CAUTION

1. Elderly persons, and those suffering from heart disease, diabetes,
high or low blood pressure, should be prohibited from using the spa
pool.

2. Unsupervised use by children is prohibited.

3. Do not use while under the influence of alcohol, anticoagulants,
antihistamines, vasoconstrictors, vasodilators, stimulants, hypnotics,
narcotics or tranquilizers.

4. Do not use alone.

5. Observe a reasonable time limit (e.g., 15 minutes), then shower,
cool down and, if you wish, return for another brief stay. Long exposure
may result in nausea, dizziness or fainting.

6. Help can be obtained by using the telephone and posted emergency
telephone numbers for police, fire department, physician, ambulance and
hospital.

15.0 Special-purpose pools. This item covers additional special
requirements applicable to special-purpose pools. The design engineer
shall consult with the department prior to preparation and submission of
engineer's plans and specifications for special-purpose pools.

15.1 White-water slides. A white-water slide facility shall consist of
one or more flumes, plunge pool, recirculation and chemical treatment
facilities.

15.1.1 Water depth. The minimum plunge pool operating water depth
shall be three feet. This depth should be maintained in front of the
flume for a distance of at least 20 feet.

15.1.2 Slide flume terminus. The slide flume terminus shall be at a
minimum depth of six inches below the plunge pool operating water
surface level, at water surface level or up to a maximum of two inches
above the water surface level. The flume shall be perpendicular to the
plunge pool wall for at least 10 feet from its end.

15.1.2.1 The distance between the side of a flume exit and a plunge
pool side wall should be at least five feet. The distance between sides of
adjacent flume terminuses should be at least six feet.

15.1.3 Pump reservoir. A pump reservoir shall be provided for the
slide pump intakes. It shall be connected to the plunge pool by a weir.
The minimum reservoir volume shall be equal to twice the combined flow
rate in gallons per minute of all filters and slide pumps.

15.1.4 The flume shall be designed to prevent users from becoming
airborne while in the ride.

15.1.5 Recirculation rate. The recirculation-filtration system of
water slides shall recirculate and filter a water volume equal to the
total volume of the facility in a period of one hour or less.

15.2 Wave pools. Wave pools shall be of such shapes and design as to
be operated and maintained in a safe and sanitary manner.

15.2.1 The recirculation-filtration system of wave pools shall be
capable of one turnover every two hours. The recirculation system shall
be operated continuously 24 hours a day.

15.2.2 A perimeter overflow gutter shall be provided. The gutter may
be interrupted in the area where the water is less than two feet deep.

15.3 Special-purpose pools. Facilities for persons with physical
disabilities shall be designed to provide safe entry and exit from the
pool and sanitary conditions. Facilities for parking, path of travel,
walks, ramps, drinking fountains, telephone, toilets and showers shall
comply with the requirements of Part 1100 of the Uniform Code.

15.3.1 Pool entry. Access for persons with physical disabilities shall
be at the shallow end of the pool. Pool entry should be an 18-inch-high
block of steps followed by a normal set of pool steps. As an alternate,
hoists or ramps are acceptable. Where removable ramps or steps are
provided, the area beneath the ramp or steps shall be protected to
prevent access to swimmers.

15.3.2 Steps and handrails. Stair steps should have risers 5-3/4
inches and a tread 12 to 18 inches wide to allow for sitting. A handrail
32 inches high, extending 18 inches beyond top and bottom steps, must be
provided. A 22-inch handrail must be provided for children. A six-inch
handrail will aid entry for those who cannot stand.

15.3.3 Wheelchairs, if immersed in pool, must be safe, waterproof and
designed for use in the pool environment.

15.3.4 The recirculation-filtration system shall be capable of one
turnover every four hours. The recirculation systems shall be operated
continuously 24 hours a day.

15.4 Movable-bottom pools. Hydraulic-lift swimming pool floors, where
provided, shall be safe and maintenance-free.

15.4.1 Inlets. A jet-water self-cleaning system should be provided so
that the entire pool is self-cleaning. Two sets of return inlets located
at two different heights should be provided to obtain adequate mixing at
all times when the pool is shallow or deep.

15.4.2 Floor movement. Floor movement shall be designed to minimize
turbulence and provide safe entry and exit by persons with physical
disabilities.

15.4.3 Depth signs. A sign for pool water depth in use shall be
provided and clearly lit and visible. "NO DIVING" sign shall also be
provided. The control panel for changing water depth must be located in
a safe place, accessible only to lifeguards and pool operator.

15.4.4 Diving boards. For depths other than design diving depth, the
diving board must be in an upright position and chained or secured to
stop use.

15.4.5 The recirculation-filtration system shall be capable of one
turnover every four hours. The recirculation system shall be operated
continuously 24 hours a day.

15.5 Rolling bulkheads. Rolling bulkheads, when used, shall be
provided with traction wheels running on the pool floor or alternatively
in the overflow gutter. When not in use, these should be stored in a
safe manner. The design should be such that the bathers are not
entrapped under the bulkhead.

15.6 Starting Blocks. Starting blocks, when provided, shall be
designed according to nationally recognized competitive design
standards. These blocks shall be installed over a minimum water depth of
six feet. Starting blocks shall only be used during supervised practices
or swim meets.

Effective Date: 
Wednesday, July 15, 1998
Doc Status: 
Complete

Section 6-1.30 - Saturation index for swimming pools

6-1.30 Saturation index for swimming pools. Saturation index is equal to the pH plus a temperature factor, plus a calcium hardness factor, plus an alkalinity factor, minus the constant 12.1.

S.I. = pH + TF + CF + AF - 12.1

The optimum saturation index is zero.

Tolerance limits are plus or minus 0.5.

If the index is positive (+), the water is super-saturated with CaCO3 and may deposit a protective coating or scale in the pipeline, particularly metal filters, valves and pumps.

If the index is negative (-), water will dissolve CaCO3 and may be corrosive.

 

Temp. (in degrees F)

 

TF

Calcium

hardness

 

CF

 

Total alkalinity

 

AF

32

0.0

5

0.3

5

0.7

37

0.1

25

1.0

25

1.4

46

0.2

50

1.3

50

1.7

53

0.3

75

1.5

75

1.9

60

0.4

100

1.6

100

2.0

66

0.5

150

1.8

150

2.2

76

0.6

200

1.9

200

2.3

84

0.7

300

2.1

300

2.5

94

0.8

400

2.2

400

2.6

105

0.9

800

2.5

800

2.9

128

1.0

1000

2.6

1000

3.0

 

Example: Given temperature 68 degrees, total hardness 200 mg/l, total alkalinity

                20 mg//l, CaCO 3and pH = 7.8

                S.I. = pH + TF + *CF + AF - 12.1 *(Calcium hardness –

                0.70 x 200 = 140 mg/l.)

                S.I. = 7.8 + 0.52 + 1.76 + 1.22 - 12.1 = (-)0.8

                Therefore, the water is corrosive.

Note: Saturation index must be maintained slightly on the positive side within the tolerance limits.

Normal Control Levels:

pH: 7.4-7.8

free chlorine: 0.6 (minimum)

temperature: 78 - 80 degrees (indoor)

saturation index: (-)0.5 - (+)0.5

total alkalinity: 80 - 120/mg/1

calcium hardness:  180 - 250 mg/1

 

 

Alkalinity control:

to increase - 1-1/2 lb of sodium bicarbonate NaHCO 3baking soda will raise the alkalinity of 10,000 gallons of water by 10 mg/l.

to lower - add muriatic acid no more than one pint (1/8 gallon) per 5,000 gallons of pool water will lower alkalinity by 12 mg/l (or, add 1.25 lb of sodium bisulfate).

pH:

to increase - use soda ash.

to decrease - muriatic acid or sodium bisulfate.

Hardness Control: Calcium hardness is assumed to be 70% of total hardness. to increase - 1 lb of calcium chloride will raise the calcium hardness of 10,000 gallons of water by 11 mg/l. It should be added in small amounts. to lower, dilute with soft water.

Doc Status: 
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Section 6-1.31 - Aquatic supervisory skill requirements

6-1.31 Aquatic supervisory skill requirements: The New York State Department of Health is responsible for review of training courses and/or certification programs to determine acceptability.

(a) SUPERVISION LEVEL IIa - POOL LIFEGUARD ONLY

(1) The requirements of this subdivision shall take effect May 15, 1993.

(2) No person shall be qualified under this subdivision unless such person:

(i) has a minimum age of 16 years (15 years is acceptable if employed at a facility where a supervisory lifeguard is present); and

(ii) possesses a Current A.R.C Basic Life Support for the Professional Rescuer, C.P.R. or equivalent certification; the certification period must not exceed one year; and

(iii) demonstrates a current ability to Swim 300 yards non-stop using various strokes in good form; surface dive to minimum 9 foot depth and bring a 10 lb. object to surface; and tread water for one minute; and

(iv) possesses a current certificate from a recognized certifying agency acceptable to the State Health Commissioner, or has within not more than a consecutive three year period of time completed a minimum of 15 hours (19 hours if first aid skill are included) of training acceptable to the Commissioner covering those items set forth below (Time periods do not include final examination time or conditioning swims):

The training course and recertification program will be determined to be acceptable if, after a review, all the materials submitted by the program sponsor are determined to be complete and substantially meet the requirements of this section. Instructors shall have sufficient experience and knowledge in lifeguarding to effectively communicate the subject matter required by this section.

(a) program goals and objectives;

(b) preventive lifeguarding;

(c) victim recognition;

(d) equipment:

(1) rescue (buoys, tubes, reach pole);

(2) lifeguarding;

(3) safety;

(4) personal;

(e) types of emergencies:

(1) life threatening;

(2) nonlife threatening;

(f) spinal injury management;

(g) special situations:

(1) hypothermia;

(2) heat emergencies;

(3) seizures;

(h) communication systems;

(i) emergency action plans;

(j) physical fitness concepts;

(k) weather and environmental conditions;

(l) records and reports;

(m) skills practice;

(1) water entry;

(2) approaches;

(3) moving victim to safety;

(4) equipment use (reach poles, buoys, tubes);

(5) surface diving and under water swimming;

(6) under water search;

(7) lifts and assists;

(8) reaching assists;

(9) throwing assists;

(10) equipment extension;

(11) rescue breathing with flotation;

(12) rescue breathing without flotation;

(13) defense;

(14) escapes;

(15) multiple victim rescues;

(16) spinal injury, shallow water;

(17) spinal injury, deep water;

(n) *First Aid and Emergency Care *(Possession of a valid American Red Cross Standard First Aid or equivalent certification may be substituted for this segment):

(1) bleeding and shock;

(2) choking;

(3) temperature extremes;

(4) spinal injuries;

(5) diabetic emergencies;

(6) seizures;

(7) heart attack and strokes;

(8) fractures, dislocations, sprains and strains;

(9) burns;

(10) eye and nose injuries;

(11) alcohol and drug overdoses;

(v) such person must:

(a) correctly answer at least 80 percent of the questions on a written and/or oral test on theory and knowledge; and

(b) successfully perform/demonstrate skills; and

(c) successfully:

(1) demonstrate knowledge of:

(i) approaches;

(ii) escapes;

(iii) carries/tows;

(iv) spinal (shallow water) entry, approach, turn and support victim;

(v) spinal (deep water) entry, approach, turn and move victim to poolside or shallow end;

(vi) rescue tube swim/use;

(vii) surface dive and underwater swim.

(b) SUPERVISION LEVEL IIb - POOL & BEACH LIFEGUARD

(1) The requirements of this Subdivision shall take effect on May 15, 1993.

(2) No person shall be qualified under this Subdivision unless such person:

(i) has a minimum age of 16 years (15 years is acceptable if a supervisory lifeguard is present); and

(ii) has a current A.R.C basic life support for the professional rescuer, CPR or equivalent certification; the certification period must not exceed one year; and

(iii) demonstrates a current ability to swim 300 yards non-stop using various strokes in good form; and surface dive to minimum 9 foot depth and bring a 10 lb. object to surface; and tread water for one minute; and (iv) Possesses a current certification from a recognized certifying agency acceptable to the State Health Commissioner or has within not more than a consecutive three year period of time, completed a minimum of 20 hours (24 hours if first aid skills are included) of training acceptable to the Commissioner covering those items outlined below (Time periods do not include final examination time or conditioning swims);

The training course and recertification program will be determined to be acceptable if, after a review, all the materials submitted by the program sponsor are determined to be complete and substantially meet the requirements of this section. Instructors shall have sufficient experience and knowledge in lifeguarding to effectively communicate the subject matter required by this section.

(a) program goals and objectives;

(b) preventive lifeguarding;

(c) victim recognition;

(d) equipment:

(1) rescue (buoys, tubes, reach pole, surf board, backboard, boat, mask, fins, snorkel);

(2) safety/lifeguarding (lifelines, lifeguards stands);

(3) Personal (Uniform/clothing, whistle, sunglasses, binoculars, sunscreen);

(e) orientation;

(f) in-service training

(g) types of emergencies:

(1) life threatening;

(2) nonlife-threatening;

(h) spinal injury management;

(i) special situations:

(1) hypothermia;

(2) heat emergencies;

(3) seizures;

(j) communication systems;

(k) emergency action plans;

(l) waterfront areas;

(m) search & recovery equipment & operations;

(n) physical fitness concepts;

(o) weather & environmental conditions;

(p) records & reports;

(q) *First Aid and Emergency Care *(Possession of a valid American Red Cross Standard First Aid or equivalent certification may be substituted for this segment):

(1) bleeding and shock;

(2) choking;

(3) temperature extremes;

(4) spinal injuries;

(5) diabetic emergencies;

(6) seizures;

(7) heart attacks and strokes;

(8) fractures, dislocations, sprains and strains;

(9) burns;

(10) eye and nose Injuries;

(11) alcohol and drug overdoses;

(r) skills practice:

(1) water entry;

(2) moving victim to safety;

(3) equipment use (buoys, tubes, poles, rescue board, back board, boat, mask, fins, snorkel);

(4) surface dive and underwater swimming;

(5) underwater search;

(6) search & recovery;

(7) lifts & assists;

(8) throwing assists;

(9) reaching assists;

(10) equipment extension;

(11) rescue breathing with flotation;

(12) rescue breathing without flotation;

(13) defense;

(14) escapes;

(15) multiple victim rescues;

(16) spinal injury, shallow water;

(17) spinal injury, deep water;

(v) such person must:

(a) correctly answer at least 80 percent of the questions on a written and/or oral test on theory and knowledge; and

(b) successfully perform/demonstrate all skills; and

(c) successfully:

(1) complete a 25 yard freestyle swim in 20 seconds; and

(2) perform a shallow dive, sprint 25 yards, recover 10 lb. object from pool edge or gutter, then return 25 yards supporting 10 pound object; and

(3) demonstrate knowledge of:

(i) approaches;

(ii) escapes;

(iii) carries/tows;

(iv) spinal (shallow water) entry, approach, turn and support victim;

(v) spinal (deep water) entry, approach, turn and move victim to poolside or shallow end;

(vi) rescue tube swim/use;

(vii) surface dive and underwater swim;

(viii) tread water for one minute holding a diving brick with both hands.

(c) SUPERVISION LEVEL III

(1) No person shall be qualified under this Subdivision unless such person:

(i) has a minimum age of 18 years; and

(ii) possesses a current ARC community CPR or equivalent certification; the certification period must not exceed one year; and

(iii) is competent to:

(a) understand and apply the rules and regulations of this part and implement the safety plan, and

(b) evaluate environmental hazards; and

(c) use lifesaving equipment and facility; and

(d) undertake bather/crowd control.

(2) The requirements of this paragraph shall take effect on January 1, 2008. When a Supervision Level III staff assists a Supervision Level II staff with direct supervision of bathers during instruction as specified in Section 6-1.23(a)(6) of this Chapter, the Supervision Level III staff shall possess certification in aquatic injury prevention and emergency response. No person shall be qualified under this paragraph unless such a person possesses certification in Lifeguard Management issued by the American Red Cross or a certificate issued by a certifying agency determined by the State Commissioner of Health to provide an adequate level of training in aquatic injury prevention and emergency response. Certifications shall be valid for the time period specified by the certifying agency, but may not exceed a consecutive three-year period from course completion.

(d) SUPERVISION LEVEL IV

(1) The requirements of this subdivision shall take effect on May 15, 1993.

(2) No person shall be qualified under this subdivision unless such person:

(i) is at least 18 years of age; and

(ii) possesses a current ARC community C.P.R. or equivalent certification; the certification period must not exceed one year.

(e) Lifeguard Supervision and Management

(1) No person shall be qualified under this subdivision unless such person:

(i) Possesses current certification issued by a certifying agency determined by the State Department of Health to provide an adequate level of training in lifeguard supervision and management covering those items set forth below. Certification shall be valid for the time period specified by the certifying agency, but may not exceed a consecutive three-year period from course completion.

The training course will be determined to be acceptable if, after a review, all the materials submitted by the program sponsor are determined to be complete and meet the requirements of this section. Instructors shall have sufficient experience and knowledge in lifeguard supervision and management to effectively communicate the subject matter required by this section:

(a) Program Goals and Objectives

(b) Lifeguard and Lifeguard Supervisor Duties and Responsibilities

(c) Injury Prevention and Preventative Lifeguarding

(1) Communication Systems

(2) Patron Surveillance

(i) Victim Recognition

(ii) Effective Scanning

(iii) Lifeguard Positioning and Rotation

(iv) Lifeguard Breaks

(3) Surveillance for Groups

(i) Instruction Programs

(ii) Large Groups and Children's Camps

(a) Coordinating Large Groups and Pre-arrangements

(b) Buddy and Board Systems

(c) Swimming Ability Assessment

(d) Swimming Area Selection

(iii) Competitive Events

(4) Facility Operation and Management

(i) Safety Equipment

(ii) Hazards

(iii) Weather Conditions

(d) Types of Emergencies and Emergency Action Plans (EAP)

(e) Lifeguard Preparedness

(1) Staff Orientation and Training

(2) In-service Training

(f) Risk Management

(ii) Such person must correctly answer at least 80 percent of the questions on a written and/or oral test on theory and knowledge.

Effective Date: 
Wednesday, July 6, 2011
Doc Status: 
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SubPart 6-2 - Bathing Beaches

Effective Date: 
Wednesday, July 6, 2011
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, Section 225

GENERAL PROVISIONS

Section 6-2.1 - Purpose

GENERAL PROVISIONS
Section 6-2.1 Purpose. The purpose of this Subpart is to assure a sanitary, healthful and safe environment for the public when using bathing beaches.

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Section 6-2.2 - Definitions

6-2.2 Definitions. (a) Bathing beach shall mean a bathing place, together with any buildings and appurtenances, and the water and land areas used in connection therewith, at a pond, lake, stream or other body of fresh or salt water which is used for bathing or swimming with the express or implied permission or consent of the owner or lessee of the premises or which is operated for a fee or any other consideration or which is openly advertised as a place for bathing or swimming.

(b) Sanitary survey shall mean a survey and an evaluation of the contributory water-shed and bathing area for existing and potential sources of pollution and safety hazards, including but not limited to soil conditions, underwater topography, water movement, submerged and other hazardous objects, water depth in diving area; seasonal or anticipated water level variations, and water quality.

(c) Permit-issuing official shall mean the State Commissioner of Health, the health commissioner or health officer of a city of 50,000 population or over, the health commissioner or health officer of a county or part-county health district, the State regional health director or district director having jurisdiction, or any county public health director having all the powers and duties prescribed in section 352 of the Public Health Law. The permit-issuing official may designate additional persons to act in his behalf to issue permits required by this Subpart.

(d) Bathing shall mean to become partially or totally immersed in water and shall include swimming, wading and diving, but shall exclude fishing, scuba diving and surfboarding.

(e) Adequate shall mean sufficient to accomplish the purpose for which something is intended, and to such a degree that no unreasonable risk to health or safety is presented. An item installed, maintained, designed and assembled, an activity conducted or act performed, in accordance with generally accepted standards, principles or practices applicable to a particular trade, business, occupation or profession, is adequate within the meaning of this Subpart.

(f) Uniform Code shall mean the New York State Uniform Fire Prevention and Building Code, 9 NYCRR Subtitle S, Chapter 1.

(g) Aquatic supervisory staff shall mean, effective May 15, 1993, an individual possessing the qualifications, as found in section 6-2.20, for Supervision Levels I, II, III or IV.

(h) Effective May 15, 1993, supervising lifeguard shall mean an individual, at least 18 years of age, who possesses as minimum qualifications, Supervision Level IIb, and has at least two seasons of adequate lifeguarding experience.

(i) Public Access Defibrillation (PAD) program shall mean a program that complies with Section 3000-b of the Public Health Law, including the availability of an automated external defibrillator, the identification of an emergency health care provider, the development of a collaborative agreement and successful staff completion of training in the operation of an automated external defibrillator.

Effective Date: 
Wednesday, April 21, 2010
Doc Status: 
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Section 6-2.3 - Application

6-2.3 Application. (a) The requirements of this Subpart shall apply to all bathing beaches, except:

(1) those owned and/or maintained by an individual for the use of family and friends; and

(2) those, excluding ocean beaches in Nassau County, Suffolk County, and New York City, that are owned and operated by a condominium (i.e., property subject to the Article 9-B of the Real Property Law, also known as the Condominium Act), a property commonly known as a cooperative, in which the property is owned or leased by a corporation, the stockholders of which are entitled, solely by reason of their ownership of stock in the corporation, and occupy apartments for dwelling purposes, provided an "offering statement" or "prospectus" has been filed with the Department of Law, or an incorporated or unincorporated property association, all of whose members own residential property in a fixed or defined geographical area with deeded rights to use, with similarly situated owners, a defined bathing beach, provided such bathing beach is used exclusively by members of the condominium, cooperative apartment project or corporation or association and their family and friends.

(b) Section 6-2.5 of this Subpart shall not apply to bathing beaches maintained and operated as part of a temporary residence or children's camp property subject to the regulations of Subpart 7-1 or 7-2 of this Title.
 

Effective Date: 
Wednesday, April 21, 2010
Doc Status: 
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Section 6-2.4 - Enforcement

6-2.4 Enforcement. (a) Permits and placarding.

(1) Operation of a bathing beach without a permit is a violation of this Subpart. The permit-issuing official may order any bathing beach operating without a permit to close and remain closed until the facility has obtained and displays a valid permit.

(2) The enforcement procedures delineated in sections 12, 12-a, 12-b, 16, 308, 309, 1303-1305 and 1308 of the Public Health Law may be used, as appropriate. Where a public health hazard is found, the bathing beach shall be placarded to prohibit use until the hazard is corrected in order to protect the public health or safety of bathers. When a placard is used, it shall be conspicuously posted at all entrances leading to the bathing beach. The placard shall state the authority for its placement and indicate that concealment, mutilation, alteration or removal of it by any person without permission of the permit-issuing official shall constitute a violation of this Chapter and the Public Health Law.

(3) Within 15 days of placarding of a facility, the operator of such facility shall be provided with an opportunity to be heard and present proof that continued operation of the facility does not constitute a danger to the public health. The hearing shall be conducted by the permit-issuing official or his designated hearing officer.

(4) The permit-issuing official or his designated representative shall inspect the premises, within two working days of notification that the hazard has been eliminated, to remove the placards after verifying the correction.

(b) Public health hazards. Any of the following violations are public health hazards which require the permit-issuing official or designated representative to order immediate correction or to immediately institute action as provided in the law and in this Subpart:

(1) failure to provide adequate supervision of the beach as prescribed in section 6-2.17 of this Subpart;

(2) overhead electrical wires within 20 feet horizontally of the bathing beach;

(3) failure to provide all lifesaving equipment at beach;

(4) use of unapproved or contaminated water supply sources for potable water use;

(5) failure to meet water quality standards contained in section 6-2.15 of this Subpart;

(6) the existence of sewage and waste-water discharges in the bathing area;

(7) failure to properly delineate swimming area boundaries;

(8) failure to provide signs indicating swimming is prohibited when the bathing beach is closed or unsupervised; and

(9) any other condition determined to be a public health hazard by the permit-issuing official.

(c) Other violations. Violations of other sections of this Subpart or of other Parts of this Chapter are also subject to a penalty.

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Section 6-2.5 - Permit for operation

6-2.5 Permit for operation. (a) No municipality, person, group of persons, firm, corporation, association, organization or institution shall operate or maintain or permit the use of any bathing beach without a permit from the permit-issuing official issued subject to the provisions of this Chapter and such additional sanitary or safety safeguards as may be required by the permit-issuing official. The permit shall be posted conspicuously at the facility.

(b) Application for a permit shall be made to the permit-issuing official at least 30 days before the expiration of a prior permit or at least 30 days before the opening of any bathing beach.
 

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Section 6-2.6 - Variance and waivers

6-2.6 Variance and waivers.

(a) Variance. The permit-issuing official may, on written application and after review, grant a variance from a specific provision of this Subpart subject to appropriate conditions which shall include a time schedule for compliance where such variance is in harmony with the general purposes and intent of this Subpart, and where there are practical difficulties or unnecessary hardship in complying with such provision.

(b) Waiver. The permit-issuing official may waive, in writing, any of the requirements of this Subpart, and include the waiver as a condition of the permit to operate, when it reasonably appears that the public health will not be endangered by granting of such waiver and adequate alternative provisions have been made to protect the safety of the bathers and the public health. A copy of the waiver and description of the alternative provisions shall be submitted by the permit-issuing official to the State Commissioner of Health at the time of issuance. Such waiver shall remain in effect for a period of time, concurrent with the operating permit, unless sooner revoked for cause by the permit-issuing official.
 

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Section 6-2.7 - Injury and illness incident reporting

6-2.7 Injury and illness incident reporting. A full report of any injury or illness incident occurring at a bathing beach shall be reported by the owner/operator to the permit-issuing official within 24 hours and recorded in a logbook. This shall include all incidents occurring at a bathing facility which: (a) result in death; (b) require resuscitation; (c) require referral to a hospital or other facility for medical attention; or (d) is a bather illness associated with bathing water quality.

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SITE DEVELOPMENT, CONSTRUCTION AND MAINTENANCE

Section 6-2.8 - Approval of plans

SITE DEVELOPMENT, CONSTRUCTION AND MAINTENANCE

6-2.8 Approval of plans.

(a) No municipality, person, group of persons, firm, corporation, association, organization or institution shall establish or construct or physically modify a bathing beach until plans and specifications are submitted to, and receive the approval of, the permit-issuing official. All plans shall be prepared by a person licensed by the State of New York to practice engineering or architecture.

(b) Bathing beach design standards, as contained in section 6-2.19 of this Subpart, shall be the basis upon which all plans for bathing beaches are reviewed and approved.

(c) Plans for any potable water treatment or sewage treatment facilities to be constructed at a bathing beach shall be approved prior to construction by the permit-issuing official or such agency having jurisdiction for such plan approval.
 

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Section 6-2.9 - Construction compliance certificate

6-2.9 Construction compliance certificate. The operator shall submit, prior to opening new facilities or equipment, a construction compliance certificate to the permit-issuing official. This certificate shall be prepared and signed by a professional engineer or architect licensed to practice in New York State. The certificate shall include a statement that the bathing beach, the buildings and all appurtenances have been constructed in accordance with approved plans and specifications.

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Section 6-2.10 - Approved bathing waters

6-2.10 Approved bathing waters. (a) Natural or artificially formed bathing areas must meet the following conditions:

(1) A sanitary survey verifies that the watershed for the beach water is free of sewage and untreated sewage discharges, or that known waste-water discharges or other contamination is determined to not adversely impact water quality or beach use based upon an historical water quality model for rainfall and bacteriological quality.

(2) A bathing beach located on the watershed of a lake, reservoir, stream or other body of water used as a source of public water supply shall be so operated as not to pollute or contaminate such supply and shall comply with all watershed rules or local regulations in effect.

(3) Water quality standards specified in section 6-2.15 of this Subpart.

(4) The swimming and bathing areas are provided with float lines to clearly designate the perimeter, the separation of shallow and deep areas, the wading area, the diving area and dropoffs, radical changes in slope or underwater obstructions. This requirement is not applicable at beaches located on the shore of Lake Erie, Lake Ontario, Long Island Sound or the Atlantic Ocean, unless required by the permit-issuing official.

(b) Use of impoundments less than four acres in area for bathing purposes shall be prohibited unless: (1) the operator can document compliance with subdivision (a) of this section; or (2) a minimum of 100 gallons per person per day of dilution water meeting the standards contained in section 6-2.15 of this Subpart is added to or flows through the swimming and bathing area.
 

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Section 6-2.11 - Water supply

6-2.11 Water supply. The water supply serving all plumbing fixtures, including drinking fountains, lavatories and showers, shall, after treatment, meet the applicable requirements of Part 5 of this Title.

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Section 6-2.12 - Garbage; refuse

6-2.12 Garbage refuse. Adequate and sanitary facilities shall be provided for the storage and disposal of garbage and refuse. Sanitary methods shall be used for the collection, temporary storage, handling and disposal of garbage and refuse.

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Section 6-2.13 - Bathhouse and toilet facilities

6-2.13 Bathhouse and toilet facilities.

(a) General. Adequate toilet and and handwashing facilities must be provided for all bathing beaches. In determining the location of toilet and handwashing facilities for ocean beaches, factors which shall be considered include, but are not limited to, susceptibility of the area to the flooding, groundwater depth in the area, and potential for shifting of sand dunes and erosion.

(b) Walls and floors of the bathhouse shall be free from cracks or open joints. The floors should be well drained.

(c) All toilet facilities and dressing rooms shall be adequately lighted, ventilated and maintained.

(d) When showers are provided, they shall be supplied with water at a temperature of at least 90 degrees Fahrenheit and no more than 110 degrees Fahrenheit at a rate of at least 1.5 gallons per minute per shower head. Thermostatic, tempering or mixing valves shall be kept in good operation to prevent scalding of the bathers.

(e) All toilet facilities shall be provided with soap, paper towels or electrical hand-drying units, and covered waste receptacles. Suitable sanitary napkin receptacles shall be provided in toilet facilities used by females.

(f) Care of suits and towels. All bathing suits and towels furnished or rented shall be washed with a detergent in hot water, rinsed and thoroughly dried after each use.
 

Effective Date: 
Wednesday, July 15, 1998
Doc Status: 
Complete

OPERATION AND SUPERVISION

Section 6-2.14 - Operator responsibility

OPERATION AND SUPERVISION

6-2.14 Operator responsibility.

The operator of the bathing beach shall be responsible for:

(a) sample collection and analysis of bathing waters, when required by the permit-issuing official, and assuring a safe water quality;

(b) controlling the decorum and activities at the bathing site;

(c) supplying adequate supervisory personnel;

(d) reporting injuries, deaths and communicable disease; and (e) maintaining physical facilities.
 

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Section 6-2.15 - Water quality monitoring

6-2.15 Water quality monitoring.

(a) No bathing beach shall be maintained or operated on any body of water when the water quality is determined by the permit-issuing official to constitute a potential hazard to health if used for bathing. To determine if the water quality constitutes a potential hazard to health requiring closure of the beach, the permit-issuing official shall consider one or a combination of any of the following items: results of a sanitary survey; historical water quality model for rainfall and other factors; verified spill or discharge of contaminants affecting the bathing area; and water quality indicator levels specified in this section.

(b) Sample collection and analysis when required for surveillance or design purposes shall be in accordance with the frequency, locations and procedures specified by the permit-issuing official. All samples collected from bathing beaches shall be examined in laboratories possessing State Department of Health certification for water supplies.

(c) Bacteriological Quality. The following bacteriological indicator levels shall be used when determining acceptability of water quality for bathing beaches.

(1) Based on a single sample, the upper value for the density of bacteria shall be:

(i) 1,000 fecal coliform bacteria per 100 ml; or

(ii) 61 enterococci per 100ml for freshwater; or

(iii) 104 enterococci per 100ml for marine water; or

(iv) 235 E.coli per 100ml for freshwater (E.coli is not to be used as an indicator in marine water).

(2) Based on the mean of the logarithms of the results of the total number of samples collected in a 30 day period, the upper value for the density of bacteria shall be:

(i) 2,400 total coliform bacteria per 100ml; or

(ii) 200 fecal coliform bacteria per 100ml; or

(iii) 33 enterococci per 100ml for freshwater; or

(iv) 35 enterococci per 100ml for marine water; or

(v) 126 E.coli per 100ml for freshwater (E.coli is not to be used as an indicator in marine water).

(3) When the above described levels are exceeded, the permit-issuing official shall cause an investigation to be made to determine the source or sources of pollution and, along with other factors described in Section 6-2.15(a) determine if the beach shall be closed.

(d) Chemical quality. The water shall be free of chemical substances capable of creating toxic reactions, skin or membrane irritations to the general public.

(e) Physical quality. Physical inspection shall verify that the water is free of deposits, growths, oils, greases or other substances in the water capable of creating a health or safety hazard.

(f) Biological quality. Algae and aquatic vegetation shall be controlled so that no hazard to bathers result. Any chemical used to control vegetation and algae shall not be capable of creating toxic reactions, skin or membrane irritations when the beach is in operation.

Effective Date: 
Wednesday, June 23, 2004
Doc Status: 
Complete

Section 6-2.16 - Control of beach and water use

6-2.16 Control of beach and water use. (a) All areas of an operator's property that are adjacent to the designated public beach area and are accessible to the public for entry into the water for bathing shall be supervised or patrolled during hours of operation. Bathing shall be prohibited where required supervision is not provided.

(b) Operators must maintain signs stating the hours during which public bathing is allowed, and that bathing at other times is prohibited.

(c) No motorized vehicles except emergency and maintenance vehicles shall be permitted on the beach.

(d) No boating, water skiing, fishing, or surfboarding shall be permitted in the bathing area during the hours bathing is allowed. Separate areas for the above activities may be designated by floating lines and buoys.

(e) Bathing at night or during electrical thunderstorms is prohibited.

(f) Clearly visible depth markings shall be provided at all diving boards, platforms, piers, floats and similar facilities. Warning signs stating "No Diving" shall be provided where water depths are less than eight feet.

(g) Diving shall not be permitted unless minimum depths in accordance with provisions in section 6-2.19, item 4.8.2, of this Subpart are provided.

(h) All plug-in electrical devices, such as portable announcing systems and radios, are prohibited within 20 feet of the water.

(i) Bather use. (1) The maximum number of bathers permitted in the bathing waters of a bathing beach shall not exceed one bather per 25 square feet of water surface. In areas of water depth greater than four feet, at least 75 square feet per bather shall be provided.

(2) The operator shall be responsible for restricting usage so that the maximum capacity is not exceeded.

(3) A sign stating the maximum number of persons who may use the bathing beach at any one time shall be posted in a conspicuous place.

(j) Glass containers shall not be permitted on the beach.
 

Effective Date: 
Wednesday, June 23, 2004
Doc Status: 
Complete

Section 6-2.17 - Supervision--personnel and equipment

6-2.17 Supervision--personnel and equipment. (a) Personnel.

(1)(i) When a bathing beach is part of a temporary residence or a campground, as defined in Part 7 of this Title, the operator must provide either Supervision Level I, IIb, III, or IV aquatic supervision. Supervision Level I must be provided at temporary residence ocean surf beaches. When Supervision Level III or IV is selected, on-premise CPR certified staff is not required. The temporary residence or campground operator must notify the permit-issuing official in writing of the supervision level selected and at least 15 days before making any subsequent changes to the supervision level selected for each bathing beach.

(ii) When Supervision Level III or IV is selected, the operator of a temporary residence or campground bathing facility described in paragraph (1)(i) of this subdivision shall not allow the use of the temporary residence or campground bathing facility by persons other than registered overnight patrons of the temporary residence or campground and their guests.

(2) The Supervision Level required at each bathing beach, other than those described in paragraph 1 of this subdivision, will be determined based on the following:

(i) Supervision Level I is required at ocean surf beaches.

(ii) Supervision Level IIb is required when any of the following are present: water depth within the designated bathing area is five feet or greater; diving boards; flotation devices (other than those bearing a U.S. Coast Guard Type I-III label); bottom conditions hazardous to bathers; aquatic amusements; bathing area perimeter is 50 feet or more from shore; beach bottom slope is steeper than 1:8; slides that discharge into the water.

(iii) Supervision Level IV is required when the water depth within the designated bathing area is less than five feet and the bathing area perimeter is less than 50 feet from the shore.

(3) Aquatic supervisory staff must meet the requirements of Section 6-2.20 of this Subpart. When a facility voluntarily provides supervisory staff or a Supervision Level exceeding those required by this Section, all the requirements of this Subpart relative to supervision are applicable.

(4) At least one aquatic supervisory staff person having at least the required supervision level shall be provided for each 50 yards of beach front or fraction thereof at bathing beaches required to use Supervision Levels I and II. Sufficient aquatic supervisory staff must be provided for visual surveillance of the entire bathing area(s) open for swimming.

(i) At ocean surf beaches, at least one Supervision Level I aquatic supervisory staff possessing a current certificate of training in the operation and use of an automated external defibrillator approved by a nationally-recognized organization or the state emergency medical services council shall be present at all hours of beach operation. Records of the training shall be maintained available for review during inspections.

(5) Additional aquatic supervisory staff may be required by the permit issuing official whenever it is necessary for the protection of the beach patrons (bathers). Factors, including but not limited to: beach shape; diving board use; patron decorum, patron alcohol consumption; and, bathing facilities used primarily for the developmentally disabled may be the basis for increased coverage.

(6) The aquatic supervisory staff at beaches required to have Supervision Levels I-III shall be at the beachfront, providing direct supervision of the bathers.

(7) The aquatic supervisory staff shall be engaged only in activities that involve direct supervision of bathers. When instructional activities occur and the aquatic supervisory staff is also providing the instruction, additional staff meeting at least Supervision Level III requirements must be provided when the instructional activities may be reasonably expected to distract required aquatic supervisory staff from direct supervision of all bathers.

(8) Beaches required to use Supervision Levels I and II aquatic supervisory staff shall provide a supervising lifeguard when the facility is required to provide three or more aquatic supervisory staff.

(9) The facility operator shall be responsible for verification of aquatic supervisory staff qualifications. Copies of the certifications or other document(s) showing possession of such qualifications shall be kept on file at the site and made available to the Department upon request.

(10) A bathing beach permitted to use Supervision Level IV shall comply with the following bathing beach use rules:

(i) Two or more adults (18 years of age or older) must be present at the beach when the bathing facility is in use, with at least one adult on the beachfront.

(ii) Supervision Level IV Bathing Beach Personnel shall be on premise at all times the beach is in use and will conduct at least one visual beachfront check prior to operation/use. The visual check shall confirm the beach is in compliance with the requirements of this Subpart, including safety equipment and water conditions. Upon completion of these inspections the personnel signs or initials the log, and records the time of inspection and number of persons using the facility. A log is to be provided and maintained by the facility operator to record the time of periodic inspection(s) and other required information.

(iii) Children less than 16 years of age must at all times be accompanied by a parent or guardian or similar adult who is responsible for their safety and behavior while at the bathing facility.

(iv) A free, conveniently located telephone must be provided at the facility with posted numbers for the nearest emergency service (police, fire department, ambulance, hospital).

(v) Required safety equipment must be provided at site.

(vi) Warning signs of a minimum 36" x 24" size with safety conditions and methods for summoning CPR certified individual, when CPR trained staff is required, must be posted. The warning sign must state:

Two or more adults (18 years of age or older) must be present at the beach when the bathing facility is in use, with at least one adult on the beachfront.

Children less than 16 years of age must at all times be accompanied by and adult responsible for their safety and behavior while at the bathing facility.

Swim only within the designated bathing area.

Method of summoning on-premise CPR staff (only where CPR trained staff is required).

Location of free telephone and numbers to contact.

(vii) The bathing facility operator shall provide to all patrons a written statement or brochure. Only patrons who have received this statement may use the bathing facility. The brochure or statement must state at least the following:

NEVER SWIM ALONE. A minimum of two adults, 18 years of age or older, must be present whenever this swimming facility is in use.

THERE IS NO SUBSTITUTE FOR ADEQUATE SUPERVISION. Children under 16 years of age must be accompanied by a parent or guardian.

IN AN EMERGENCY, NOTIFY THE FACILITY OPERATOR AND CONTACT HELP AS SOON AS POSSIBLE. A free telephone is provided at this facility (define location). Telephone numbers for the nearest emergency medical service are posted.

Only use this facility during posted hours of operation and swim only in the designated bathing area.

Don't drink alcohol and swim.

(b) Lifesaving equipment and safety lines. (1) Lifesaving equipment shall be readily accessible at all bathing beaches. Minimum equipment shall include:

(i) A first aid kit, which may be any commercially prepared 24-unit kit or, a supply of bandaids, bandage compresses and self-adhering gauze bandages; and a pocket face mask or face shield with a one way valve to assist with CPR;

(ii) At Supervision Level I and IIb bathing beaches; one rescue tube or a torpedo buoy with an attached line for each lifeguard required by this section; a rescue board or lifeboat in compliance with section 6-2.19, item 6.2.1 (board/boat specifications) of this Subpart and a full size commercially available spine board or a spine board six feet long and a minimum of 16 inches wide provided with straps to aid in immobilization of a victim and hand holds; and

(a) At ocean surf beaches, at least one automated external defibrillator shall be provided by the operator and maintained on-site. The beach operator shall implement a PAD program as defined in Section 6-2.2(i) of this Subpart and maintain the following records on-site for inspection:

(1) a copy of the collaborative agreement between an emergency health care provider and the ocean surf beach operator;

(2) a copy of the notification to the regional emergency medical services council of the existence, location, and type of automated external defibrillator; and

(3) the records of automated external defibrillator maintenance and testing specified by the manufacturer's standards.

(iii) At Supervision Level IV bathing beaches or temporary residence bathing beaches using Supervision Level III in accordance with section 6-2.17(a)(1) (ii) of this Subpart: One U.S. Coast Guard approved ring buoys at least 18 inches in diameter fitted with a quarter-inch diameter line a length of 50 feet, and a reaching pole, 15 feet long.

(2) Each lifeguard stand shall be equipped with a whistle or megaphone, and an umbrella or sunshade.

(3) Elevated lifeguard chair(s) shall be provided at all Level I and IIb beaches. A minimum of one chair is required for each 50 yards of supervised beach front or at locations described in the approved safety plan as required by subdivision (c) of this section. Elevated lifeguard chairs shall be located to provide a clear unobstructed view of the bathing area. Where swimming or diving is permitted more than 150 feet from the shoreline, lifesaving patrol boats or offshore lifesaving stations shall be provided.

(4) Safety equipment shall have its function plainly marked, and shall be kept in ready condition.

(5) Floating lines shall mark the boundaries of the swimming, wading and diving areas in accordance with the provisions of section 6-2.19, item 4.7, of this Subpart. Swimming shall be prohibited outside the marked area.

(6) A bathing beach with consistent actual bather use of 500 or more bathers shall have and maintain a readily accessible building for emergency care. This building shall be equipped with an advanced first aid kit and a resuscitator.

(c) Safety plan. Operators of bathing beaches must develop, update and implement a written beach safety plan, consisting of: procedures for daily bather supervision, injury prevention, reacting to emergencies, injuries and other incidents, providing first-aid and summoning help. At ocean surf beaches, the safety plan shall be developed in consultation with an individual having adequate ocean surf lifeguarding experience. The safety plan shall be approved by the permit-issuing official and kept on file at the beach. Approval will be granted when all the components of this section are addressed so as to protect the health and safety of the bathers, and the plan sets forth procedures to insure compliance with this Subpart.

Effective Date: 
Wednesday, April 21, 2010
Doc Status: 
Complete

Section 6-2.18 - Operator and operating records

6-2.18 Operator and operating records.

(a) Each bathing beach shall be under the supervision of a competent operator who shall require the careful observance of sanitary regulations prescribed in this Part and the requirements of the permit issued for such bathing beach.

(b) The bathing beach operator shall maintain daily records indicating the daily number of bathers using the beach, number of lifeguards on duty, weather conditions, water clarity, the results of any water quality laboratory reports, and reported rescues, injuries and illnesses. Upon completion, the records shall be maintained at the facility for 12 months. The permit-issuing official may require submission of reports at periodic intervals.
 

Effective Date: 
Wednesday, December 6, 1995
Doc Status: 
Complete

Section 6-2.19 - Bathing beach design standards

6-2.19 Bathing beach design standards.

0.0 Introduction. These standards are to be used by public health officials, design engineers and architects, and the owners and operators of bathing beaches for the design of new or modified bathing beaches regulated by this Subpart. These standards are enacted to ensure adequate design and establishment of bathing beaches, reflecting current safety and sanitary requirements. These standards are applicable to all bathing beaches located on ponds, lakes, streams or other bodies of water in the State.

1.0 Definitions.

1.1 Bathing beach shall mean a bathing place, together with any buildings and appurtenances, and the water and land areas used in connection therewith, at a pond, lake, stream or other body of fresh or salt water which is used for bathing or swimming with the express or implied permission or consent of the owner or lessee of the premises or which is operated for a fee or any other consideration or which is openly advertised as a place for bathing or swimming.

1.2 Uniform Code shall mean the New York State Uniform Fire Prevention and Building Code, 9 NYCRR Subtitle S, Chapter I.

1.3 Adequate shall mean sufficient to accomplish the purpose for which something is intended, and to such a degree that no unreasonable risk to health or safety is presented. An item installed, maintained, designed and assembled, an activity conducted or act performed, in accordance with generally accepted standards, principles or practices applicable to a particular trade, business, occupation or profession, is adequate within the meaning of this Subpart.

2.0 Submission of plans.

2.1 General. Preliminary plans and the engineer's report should be submitted for review prior to the preparation of final plans. No approval for construction shall be issued until final, complete, detailed plans and specifications have been submitted to the permit-issuing official (PIO) and are approved. Documents submitted for formal approval shall contain sufficient information to demonstrate to the permit-issuing official that the proposed bathing beach, or improvements thereto, will meet the design standards specified in this section, and shall include, but not be limited to:

2.1.1 Detailed description of the watershed, with location and identification of all potential sources of contamination, including any anticipated future development.

2.1.2 Location of access roads, parking, buildings, water supplies, sanitary and storm sewers, electrical and telephone services and the proposed facilities relative to existing facilities.

2.1.3 Date, address, name, professional seal, and signature of the designing engineer or architect.

2.1.4 Location relative to nearest population center with service facilities, such as medical, fire protection and communication.

2.1.5 Maximum and average attendance and swimmer loads.

2.1.6 Source, quality, quantity and characteristics of water.

2.1.7 Area designations, bottom slopes and materials.

3.0 Sanitary survey report. A report reflecting the results of a sanitary survey shall include the following information:

3.1 Watershed supplying bathing area. A map shall depict the watershed, including but not limited to existing waste-water discharges, landfills or other facilities that may have an impact on water quality, adjacent land use and major physical contours, highways, etc. The extent of the watershed to be mapped should be based upon knowledge of the characteristics of the watershed. All potential sources of pollution and waste-water discharges must be shown.

3.2 Plot maps. A map drawn to scale, showing the actual bathing beach location, dimensions, contours, existing land use and waste-water discharges within 10,000 feet of the proposed beach, unless otherwise required by the PIO.

3.3 Water level. Seasonal or anticipated water level variations.

3.4 Sources of contamination. Listing of type and size of existing and potential sources of contamination, volume, occurring only with specific weather conditions, and the concentration of the materials in the effluent that might adversely affect the bathing beach water. The potential for contamination during and after storm events must be included.

3.5 Weather and topographical influences. Prevalent wind direction during bathing season, rainfall, current measurement, topography, or unusual factors.

3.6 Bathing beach water quality. A history of the bacteriological quality, pH, and the turbidity of the proposed body of water shall be researched from all possible sources. The results of at least one set of representative bacterial samples, pH tests, and turbidity tests each week for a period of eight weeks shall be included. Eight sets of samples shall include at least one set after heavy rains consisting of daily samples for a five-day period.

3.7 Physical and chemical. The physical and chemical quality of bathing water, including objectionable color, odor, taste and other substances capable of producing unusual quality problems. A history of any unusual quality problems encountered in the bathing water should be included.

3.8 Biological. The biological quality of bathing area water, including objectionable vegetation, infectious snails, and poisonous or dangerous aquatic organisms, shall be discussed.

3.9 Fishing, boating or canoeing. Location of boat traffic, marinas or boat dockage area, any canoeing activity or fishing.

3.10 Auxiliary water source. Location, flow rate of auxiliary water source to augment low flow.

4.0 Design. The following criteria shall be used for establishing a bathing beach:

4.1 Location. The suitability of the site shall be established by a sanitary survey.

4.2 Area. The water surface area of the body of water where the beach is developed shall be at least one acre. When the area is less than four acres and 100 gallons per bather per day of natural flow-through in the bathing area is lacking, a source of dilution water of at least 100 gallons per bather per day must be provided with minimum water quality meeting the provisions of section 6-2.15 of this Subpart.

4.3 Bather use. A minimum of 25 square feet of water surface per bather shall be provided. At least 75 square feet per bather must be provided in the area over four feet deep.

4.4 Land area. At least 35 square feet of land area per bather should be provided.

4.5 Bottom slopes. For depths up to four feet, the slope shall be uniform and not exceed 1:10. For greater depths, the slope should not exceed 1:3.

4.6 Bottom materials. The bottom up to a water depth of six feet shall consist of sand, pea gravel or other similar material.

4.7 Area designations.

4.7.1 Location of lines. Marker lines with buoys shall be provided at all beaches, except Great Lakes or ocean beaches, to designate the perimeter, the separation of shallow and deep-end areas at a depth of three to four feet, the diving area, and dropoffs, radical changes in slopes or underwater obstructions. A separate wading area up to two feet deep, designated by lines, should be provided.

4.7.2 Installation. Lines shall have floats at five-foot intervals and be securely anchored, and have buoys no more than 25 feet apart and at points where lines are joined.

4.7.3 Depth markers. Clearly visible depth markers shall be provided at all the diving boards, platforms and similar facilities, together with warning signs stating "No Diving" where depth is less than eight feet.

4.8 Diving facilities.

4.8.1 Platforms. Floating diving piers and fixed platforms shall be constructed with a visible 12-inch air space under maximum feasible load. There shall be as little underwater construction as is consistent with adequate support. All braces and struts shall be designed to prevent entrapment of bathers. For solid floatation devices such as foam blocks, no air space is required.

4.8.2 Depths. Diving from rafts, piers or other platforms shall be prohibited, unless a minimum water depth of eight feet is provided and maintained for a distance of at least ten feet forward of the diving direction. For a diving board or other device three or less feet above the water, the depth at the end of it, and for 12 feet beyond it, shall be 10 feet. For heights above water greater than three feet, the depths at those locations shall be 12 feet and twenty feet beyond it. No diving device more than 10 feet above water shall be installed.

4.9 Water currents. Water currents in the bathing area shall not exceed three feet/second.

4.10 Sewage discharges. No waste-water discharges from sewage treatment plants, combined sewers or other sources shall be permitted within 750 feet of the bathing beach.

4.11 Water quality. Bathing beaches shall meet the water quality criteria for bacteriological, physical and chemical quality specified below.

4.11.1 Bacteriological quality. Based on the mean of the logarithms of the results of 5 or more samples collected in a 30 day period, the upper value for the density of bacteria shall be:

4.11.1.1 2,400 total coliform bacteria per 100 ml; or

4.11.1.2 200 fecal coliform bacteria per 100 ml; or 4.11.1.3 33 enterococci per 100 ml for freshwater; or 4.11.1.4 35 enterococci per 100 ml for marine water; or 4.11.1.5 126 E.coli per 100 ml for freshwater (E.coli is not to be used as an indicator in marine water.

4.11.2 Chemical quality. The water shall be free of chemical substances capable of creating toxic reactions, skin or membrane irritations to the general public.

4.11.3 Physical quality--water clarity. In all bathing areas, except the Great Lakes or ocean beaches, it shall be possible to see an eight-inch black-and-white disk in four feet of water. Clarity tests should be performed at a four foot depth in the bathing area at a minimum of three different locations. A map depicting test locations, dates of sampling and current conditions should be submitted.

4.12 Electrical requirements. 4.12.1 Wiring shall conform to the New York State Uniform Fire Prevention and Building Code, 9 NYCRR Subtitle S, Chapter I, and the requirements of the appropriate regulatory agency. A certificate shall be submitted for all new electrical work.

4.12.2 Overhead clearance. No overhead electrical wiring shall pass within 20 feet horizontally of the bathing beach water line.

5.0 Bathhouse.

5.1 General. Adequate toilet and handwashing facilities shall be provided for all bathing beaches.

5.2 Bathhouse design. Floors of the bathhouse shall be of smooth-finished material with nonslip surfaces, impervious to moisture, cleanable and sloped at least one-fourth inch per foot to drains. Carpeting shall not be permitted in shower and toilet areas or other areas receiving bathers. Junctions between walls and floors shall be coved. Walls and partitions shall be of smooth, impervious materials, free from cracks or open joints. Partitions between dressing cubicles shall terminate at least 10 inches above the floor or shall be placed on continuous raised masonry or concrete bases at least four inches high. Lockers shall be set either on solid masonry or concrete bases at least four inches high or on legs with bottom of locker at least 10 inches above the floor. Lockers shall be vented.

5.3 Fixture requirements. An adequate number of toilet and handwashing facilities shall be provided. 5.3.1 Fixtures. Plumbing fixtures and installations shall be in accordance with the Uniform Code.

5.4 Water supply. The source and quality of water supply serving the plumbing fixtures, including drinking fountains, lavatories and showers, shall after treatment meet the applicable requirements of Part 5 of this Title for potable water.

5.5 Drinking fountains. Where drinking fountains are provided, at least one drinking fountain for each 500 feet distance or for every 1,000 users or fraction thereof should be provided. The drinking fountains shall be of slanting jet type with surrounding guard, nonsubmersible opening. These shall be located at a convenient point and shall be supplied with a minimum of 20 psi adequate water pressure.

5.6 Waste-water disposal. Waste-water from a bathhouse or related facilities shall be discharged to a municipal sewerage system, when available. If not available, the substitute system shall be approved by the State Commissioner of Health or such other agency having jurisdiction over sewage plan approval.

5.7 Suits and towels. Where towels and/or swimming suits are provided, facilities shall be provided to launder, store and sanitize these items after each usage.

5.8 Hose bibbs. Hose bibbs with vacuum breakers must be provided within the bathhouse to enable the entire area to be flushed with a 50-foot hose.

5.9 Ventilation. All enclosed places, dressing rooms, shower rooms and toilets shall be ventilated by natural or mechanical means to provide a minimum of two air changes per hour.

6.0 Safety provisions.

6.1 Signs. For beaches using Supervision Level I or IIb aquatic supervision, when no lifeguard is on duty at a beach, a legible sign or signs stating "No Lifeguard on Duty--Swimming Prohibited" shall be posted. The sign shall be a minimum 36" x 24" in size, with letters at least two inches high. "No Swimming" signs shall be posted at areas not permitted/approved for bathing on property adjoining the designated bathing area that is owned or under the control of the permit holder.

6.2 Lifesaving equipment. Lifesaving equipment shall be provided as required in section 6-2.17(b) of this Subpart.

6.2.1 Boats/Boards. An adequate rescue board or an adequate boat shall be provided at all beaches where Supervision Level I or IIb aquatic supervision is required. 6.2.1.1 Where b athing is permitted more than 150 feet from the bathing shoreline, llifesaving patrol boats or offshore lifesaving stations shall be provided. Each such boat shall be at least 12 feet long, equipped with pin oars, one life pole or shepherd's crook type of pole having blunt ends, and one ring or torpedo buoy or rescue tube and life vests. Such boats shall be used for patrol, search and rescue purposes only.

6.2.2 Equipment at lifeguard station.

6.2.2.1 Elevated lifeguard chairs shall be located as close as practicable to the bathing area shoreline to provide a clear, unobstructed view of the bathing area.

6.2.2.2 A rescue tube or torpedo buoy with six feet of line, or a rescue can with 500-foot hauling line.

6.2.3 Maintenance. Safety equipment shall have its function plainly marked, and shall be kept in good repair and in ready condition. Bathers or others shall not be permitted to tamper with or use such equipment for any other than its intended use, or remove it from its established location.

6.3 Communication. A telephone(s) or other means of communication, with numbers posted of nearest squad, physician, ambulance, police agency and hospital, shall be provided at each beach.

6.4 Emergency care room. Every bathing beach capable of accommodating 500 swimmers and bathers shall have a readily accessible room or area designated and equipped for emergency care. Such room shall be equipped with at least the following: running potable water, a cot or bed, with blankets and sheets, advanced first aid supplies at least equivalent to 24 units, and resuscitation equipment.

6.5 Solid waste. An adequate number of leak-proof solid waste receptacles with self-closing lids shall be placed in the beach area.

6.6 Dangerous objects on beach. Glass containers shall not be permitted on the beach.

 

 

Effective Date: 
Wednesday, June 23, 2004
Doc Status: 
Complete

Section 6-2.20 - Aquatic supervisory skill requirements

6-2.20 Aquatic supervisory skill requirements. The New York State Department of Health is responsible for review of training courses and/or certification programs to determine acceptability.

(a) SUPERVISION LEVEL I - SURF LIFEGUARD

(1) The Supervision Level requirements for this level shall take effect May 15, 1994.

(2) No person shall be qualified under this subdivision unless such person:

(i) has a minimum age of 16 years; and

(ii) possesses a current A.R.C. Basic Life Support for the Professional Rescuer C.P.R. or equivalent certification; the certification period must not exceed one year; and

(iii) has a minimum of 20 hours (24 hours if first aid skills are included) of training acceptable to the Commissioner covering those items set forth in this subdivision (stated time periods do not include final examination time or conditioning swims). Such training and ocean testing must be satisfactorily completed prior to assignment at ocean front and the certification period of training and testing must not exceed three years.

The training course and recertification program will be determined to be acceptable if, after a review, all the materials submitted by the program sponsor are determined to be complete and substantially meet the requirements of this section. Instructors shall have sufficient experience and knowledge in lifeguarding to effectively communicate the subject matter required by this section.

(a) Lifeguard Orientation:

(1) Program Goals and Objectives;

(2) Chain of Command;

(3) Introduction to Job of a Lifeguard;

(4) Introduction to Lifesaving Equipment and Facilities;

(b) Preventive Lifeguarding:

(1) Rules and Regulations;

(2) Victim Recognition;

(i) Distressed Situation;

(ii) Drowning Situation (active vs. passive);

(3) Bather Supervision:

(i) Areas of Responsibility;

(ii) Visual Surveillance;

(iii) Lifeguard Stations;

(iv) Lifeguard Rotation and Relief;

(4) Causes of Incidents/Injuries;

(5) Recognition of Hazards;

(c) Environmental Hazards;

(d) Communications:

(1) Basic Systems:

(i) Between Guards;

(ii) Whistle System;

(iii) Radio/Phone, If Applicable;

(iv) Flag System For Informing of Water Conditions, If Applicable;

(2) Emergency Procedures:

(i) Emergency Action Plans;

(ii) Emergency Medical Service (EMS) Response;

(3) Public Communication:

(i) Warnings;

(ii) Dangerous Conditions;

(iii) Lost Person;

(e) Rescue Techniques and Procedures:

(1) Victim Detection/Recognition;

(2) Front and Back Escapes (Front Head Hold, Rear Head Hold Escapes, Blocks);

(3) Rescues With Equipment (Buoys, Tubes, Rescue Boards);

(4) Rescues Without Equipment;

(5) Multiple Rescues;

(6) Lost Bather Drill/Plan/Practice (Surface Dive in Nine Feet of Water and Retrieve Object From Bottom);

(7) Removal From Water;

(i) Carries;

(ii) Care of Back and Neck Injuries;

(f) First Aid and Emergency Care (possession of a valid American Red Cross Standard First Aid or Equivalent Certification may be substituted for this segment.)

(1) Bleeding and Shock

(2) Choking

(3) Temperature Extremes

(4) Spinal Injuries (Management in Aquatic Environment)

(5) Diabetic Emergencies

(6) Seizures

(7) Heart Attacks and Strokes

(8) Fractures, Dislocation, Sprains and Strains

(9) Burns

(10) Eye and Nose Injuries

(11) Alcohol and Drug Overdoses

(g) Records and Reports

(iv) Such person must:

(a) Correctly Answer at Least 80 percent of the questions in a written and/or oral test on Theory and Knowledge; and

(b) Successfully perform/demonstrate all skills; this evaluation may be based upon observance of such person throughout the training program, and complete a 50 Yard Crawl in 35 Seconds or Less (unless the individual possesses Level II certification); and

(c) Such person must complete a skills test to be conducted in the ocean, consisting of:

(1) A 300 Yard Crawl endurance swim; and

(2) A 50 yard swim to victim, carrying needed equipment, followed by a carry to shore and removal of victim from water.

(b) SUPERVISION LEVEL IIb - POOL & BEACH LIFEGUARD

(1) The requirements of this Subdivision shall take effect on May 15, 1993

(2) No person shall be qualified under this Subdivision unless such person:

(i) Has a Minimum Age of 16 years (15 years is acceptable if a supervisory lifeguard is present); and

(ii) Has a Current A.R.C Basic Life Support for the Professional Rescuer, CPR or equivalent certification; the certification period shall not exceed one year; and

(iii) Demonstrates a current ability to swim 300 yards non-stop using various strokes in good form; and surface dive to minimum 9 foot depth and bring a 10 lb. object to surface; and tread water for one minute; and

(iv) Possesses a current certification from a recognized certifying agency acceptable to the State Health Commissioner or has within not more than a consecutive three year period of time, completed a minimum of 20 hours (24 hours if first aid skills are included) of training acceptable to the Commissioner covering those items outlined below (Time periods do not include final examination time or conditioning swims):

The training course and recertification program will be determined to be acceptable if, after a review, all the materials submitted by the program sponsor are determined to be complete and substantially meet the requirements of this section. Instructors shall have sufficient experience and knowledge in lifeguarding to effectively communicate the subject matter required by this section.

(a) Program Goals and Objectives;

(b) Preventive Lifeguarding;

(c) Victim Recognition;

(d) Equipment:

(1) Rescue (buoys, tubes, reach pole, surf board, backboard, boat, mask, fins, snorkel);

(2) Safety/Lifeguarding (Lifelines, Lifeguards stands);

(3) Personal (Uniform/clothing, whistle, sunglasses, binoculars, sunscreen);

(e) Orientation;

(f) In-service Training;

(g) Types of Emergencies:

(1) Life Threatening;

(2) Non-Life-threatening;

(h) Spinal Injury Management;

(i) Special Situations;

(1) Hypothermia;

(2) Heat Emergencies;

(3) Seizures;

(j) Communication Systems;

(k) Emergency Action Plans;

(l) Waterfront Areas;

(m) Search & Recovery Equipment & Operations;

(n) Physical Fitness Concepts;

(o) Weather & Environmental Conditions;

(p) Records & Reports;

(q) First Aid and Emergency Care (Possession of a valid American Red Cross Standard First Aid or equivalent certification may be substituted for this segment):

(1) Bleeding and Shock;

(2) Choking;

(3) Temperature Extremes;

(4) Spinal Injuries;

(5) Diabetic Emergencies;

(6) Seizures;

(7) Heart Attacks and Strokes;

(8) Fractures, Dislocations, Sprains and Strains;

(9) Burns;

(10) Eye and Nose Injuries;

(11) Alcohol and Drug Overdoses;

(r) Skills Practice:

(1) Water Entry;

(2) Moving Victim to Safety;

(3) Equipment Use (buoys, tubes, poles, rescue board, back board, boat, mask, fins, snorkel);

(4) Surface Dive and underwater swimming;

(5) Underwater Search;

(6) Search & Recovery;

(7) Lifts & Assists;

(8) Throwing Assists;

(9) Reaching Assists;

(10) Equipment Extension;

(11) Rescue Breathing with Flotation;

(12) Rescue Breathing without Flotation;

(13) Defense;

(14) Escapes;

(15) Multiple Victim Rescues;

(16) Spinal Injury, Shallow Water;

(17) Spinal Injury, Deep Water;

(v) Such person must:

(a) Correctly answer at least 80 percent of the questions on a written and/or oral test on theory and knowledge; and

(b) Successfully perform/demonstrate all skills; and

(c) Successfully:

(1) Complete a 25 yard freestyle swim in 20 seconds; and

(2) Perform a shallow dive, sprint 25 yards, recover 10 pound object from pool edge or gutter, then return 25 yards supporting 10 pound object; and

(3) Demonstrate knowledge of:

(i) Approaches

(ii) Escapes

(iii) Carries/Tows

(iv) Spinal (Shallow Water) Entry, approach, turn and support victim

(v) Spinal (Deep Water) Entry, approach, turn and move victim to poolside or shallow end

(vi) Rescue Tube Swim/Use

(vii) Surface Dive and Underwater Swim

(viii) Tread water for one minute holding a diving brick with both hands.

(c) SUPERVISION LEVEL III

(1) The requirements of this Subdivision shall take effect on May 15, 1993.

(2) No person shall be qualified under this Subdivision unless such person:

(i) Has a Minimum Age of 18 years; and

(ii) Possesses a Current ARC Community C.P.R. or Equivalent Certification; the certification period must not exceed one year; and

(iii) Is competent to:

(a) Understand and apply the Rules and Regulations of this part and implement the safety plan, and (b) Evaluate Environmental Hazards; and

(c) Use Lifesaving Equipment and Facility; and

(d) Undertake Bather/Crowd Control.

(d) SUPERVISION LEVEL IV

(1) The requirements of this Subdivision shall take effect on May 15, 1993.

(2) No person shall be qualified under this Subdivision unless such person:

(i) Is at least 18 years of age; and

(ii) Possesses a Current ARC Community C.P.R. or equivalent certification.

(e) Lifeguard Supervision and Management

(1) No person shall be qualified under this subdivision unless such person:

(i) Possesses current certification issued by a certifying agency determined by the State Department of Health to provide an adequate level of training in lifeguard supervision and management covering those items set forth below. Certification shall be valid for the time period specified by the certifying agency, but may not exceed a consecutive three-year period from course completion.

The training course will be determined to be acceptable if, after a review, all the materials submitted by the program sponsor are determined to be complete and meet the requirements of this section. Instructors shall have sufficient experience and knowledge in lifeguard supervision and management to effectively communicate the subject matter required by this section:

(a) Program Goals and Objectives

(b) Lifeguard and Lifeguard Supervisor Duties and Responsibilities

(c) Injury Prevention and Preventative Lifeguarding

(1) Communication Systems

(2) Patron Surveillance

(i) Victim Recognition

(ii) Effective Scanning

(iii) Lifeguard Positioning and Rotation

(iv) Lifeguard Breaks

(3) Surveillance for Groups

(i) Instruction Programs

(ii) Large Groups and Children's Camps

(a) Coordinating Large Groups and Pre-arrangements

(b) Buddy and Board Systems

(c) Swimming Ability Assessment

(d) Swimming Area Selection

(iii) Competitive Events

(4) Facility Operation and Management

(i) Safety Equipment

(ii) Hazards

(iii) Weather Conditions

(d) Types of Emergencies and Emergency Action Plans (EAP)

(e) Lifeguard Preparedness

(1) Staff Orientation and Training

(2) In-service Training

(f) Risk Management

(ii) Such person must correctly answer at least 80 percent of the questions on a written and/or oral test on theory and knowledge.

Effective Date: 
Wednesday, July 6, 2011
Doc Status: 
Complete

SubPart 6-3 - Recreational Aquatic Spray Grounds

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, Section 225

GENERAL PROVISIONS

Section 6-3.1 - Purpose

Section 6-3.1 Purpose.

The purpose of this Subpart is to assure a sanitary, healthful and safe environment for the public when using recreational aquatic spray grounds.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.2 - Definitions

6-3.2 Definitions.

(a) Adequate shall mean sufficient to accomplish the purposes for which something is intended, and to such a degree that no unreasonable risk to health or safety is presented. An item installed, maintained, designed and assembled, an activity conducted or act performed, in accordance with generally accepted standards, principles or practices applicable to a particular trade, business, occupation or profession, is adequate within the meaning of this Subpart.

(b) Foot shower shall mean a shower head or similar water fixture for use in rinsing debris from patrons’ feet.

(c) Patrons shall mean those individuals utilizing the spray grounds.

(d) Permit-issuing official (PIO) shall mean the State Commissioner of Health, the health commissioner or health officer of a city of 50,000 population or over, the health commissioner or health officer of a county or part-county health district, the State regional health director or district director having jurisdiction, or any county or public health director having all the powers and duties prescribed in section 352 of the Public Health Law. The permit-issuing official may designate additional persons to act in his/her behalf to issue permits required by this Subpart.

(e) Qualified swimming pool water treatment operator shall mean an individual who has successfully completed an adequate course of instruction regarding the safe and effective operation and maintenance of pool water treatment equipment.

(f) Recreational aquatic spray grounds, also known as “spray grounds”, are the buildings and appurtenances used in conjunction with a spray pad in which sprayed water is continually drained and collected in a treatment and recirculation system.

(g) Spray features shall mean the devices and plumbing used to convey the treated water to the spray pad to spray the patrons.

(h) Spray pad shall mean the specific area consisting of the play surface, spray features, and drains, upon which the patrons stand and are sprayed with water.

(i) Spray pad treatment system shall mean the equipment and processes used to filter, disinfect and circulate the water used for the spray pad and spray features.

(j) Spray pad treatment tank shall mean the vessel used to collect the water that has been sprayed on the spray pad and returned through the spray pad drains.

(k) Supervisory staff shall mean individuals responsible for supervising the patrons to ensure compliance with regulations for use, and trained in the operation and maintenance of the spray pad treatment system.

(l) Uniform Code shall mean the 19 NYCRR Chapter XXXIII, Subchapter A - State Uniform Fire Prevention and Building Code.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.3 - Application

Section 6-3.3 Application.

(a) The requirements of this Subpart shall apply to all spray grounds except:

(1) A facility owned and/or maintained by an individual for the use of his family and friends;

(2) A facility that uses water that complies with Subpart 5-1 or equivalent standards that discharges to waste without impoundment or recirculation of the water;

(3) Where spray features are installed in a swimming pool, wading pool, wave pool or other pool regulated under Subpart 6-1.

(b) Section 6-3.5 of this Subpart shall not apply to spray grounds maintained and operated in connection with a temporary residence, children's camp or campground subject to the regulations of Subpart 7-1, 7-2 or 7-3 of this Title.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.4 - Enforcement

Section 6-3.4 Enforcement.

(a) Permits and placarding.

(1) Operation of a spray ground without a permit is a violation of this Subpart. The permit-issuing official may order any spray ground operating without a permit to close and remain closed until the facility has obtained and displays a valid permit.

(2) The enforcement procedures delineated in sections 12, 12-a, 12-b, 16, 308, 309, 1303-1305 and 1308 of the Public Health Law may be used, as appropriate. Where a public health hazard is found, the spray ground shall be placarded to prohibit use until the hazard is corrected in order to protect the public health or safety of the patrons. When a placard is used, it shall be conspicuously posted at each entrance leading to the spray ground. The placard shall state the authority for its placement and indicate that concealment, mutilation, alteration or removal of it by any person without permission of the permit-issuing official shall constitute a violation of this Chapter and the Public Health Law.

(3) Within 15 days of placarding of a facility, the operator of such facility shall be provided with an opportunity to be heard and present proof that continued operation of the facility does not constitute a danger to the public health.

(4) The permit-issuing official or his/her designated representative shall inspect the premises, within two working days of notification that the hazard has been eliminated, to remove the placards after verifying correction.

(b) Public health hazards. Any of the following violations are public health hazards which require the permit-issuing official or his/her designated representative to order immediate correction or to immediately institute action as provided in the law and in this Subpart:

(1) Failure to provide adequate supervision of the spray ground as prescribed in Section 6-3.22 of this Subpart;

(2) Failure to provide the minimum ultraviolet light dosage and/or absence of a residual of the required chemical disinfectant;

(3) Failure to continuously operate the spray ground’s filtration and disinfection equipment;

(4) Use of an unapproved or contaminated water supply source for potable water use;

(5) Overhead electrical wires within 20 feet horizontally of the spray pad;

(6) Unprotected electrical circuits or wiring within 10 feet of the spray pad;

(7) Plumbing cross-connections between the drinking water supply and spray pad treatment system or between sewerage system and the spray pad’s filter backwash facilities;

(8) Use of unapproved chemicals or the application of chemicals by unapproved methods to the spray pad water;

(9) Broken or missing drain grates on the spray pad;

(10) Glass or sharp objects on the spray pad or deck area;

(11) Apparent contamination of the spray pad and/or spray pad treatment tank by a potentially toxic chemical or a bacteriological substance that could present a hazard to patrons; or

(12) Any other condition which the permit-issuing official determines creates an immediate threat to public health.

(c) Other violations. Failure to comply with other sections of this Subpart or of other Parts of this Chapter are also subject to a penalty.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.5 - Permit for operation

Section 6-3.5 Permit for operation.

(a) No municipality, school district, person, group of persons, firm, corporation, association, organization or institution shall operate or maintain or permit the use of any spray ground and other related facilities without a permit from the permit-issuing official to be issued subject to the provisions of this Chapter and such additional sanitary or safety safeguards as may be required by the permit-issuing official. The permit shall be posted conspicuously at the facility.

(b) Application for a permit shall be made to the permit-issuing official at least 45 days before the expiration of a permit or at least 45 days before the opening of any spray ground. Such application shall include a written safety plan as described in Section 6-3.22(c).

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.6 - Variance and waivers

Section 6-3.6 Variance and waivers.

(a) Variance. In order to allow time to comply with certain provisions of this Subpart, an operator may submit a written request to the permit-issuing official for a variance from a specific provision(s) when the health and safety of the public will not be prejudiced by the variance, and where there are practical difficulties or hardships in immediate compliance with the provision. An operator must meet all terms of an approved variance including the effective date, the time period for which the variance is granted, the requirements being varied and any special conditions the permit-issuing official specifies.

(b) Waiver. In order to obtain a waiver permitting alternative arrangements that do not meet the provisions of this Subpart but do protect the health and safety of the occupants and the public, an operator may submit a written request to the permit-issuing official for a waiver from a specific provision of this Subpart. Such request must demonstrate that the alternate arrangements provide adequate protection of the health and safety of the patrons and public. The permit-issuing official shall obtain and be guided by the recommendation of the State Department of Health prior to granting or denying a waiver. An operator must meet all terms of an approved waiver. A waiver will remain in effect indefinitely unless revoked by the permit-issuing official or the facility changes operators.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.7 - Injury and illness incident reporting

Section 6-3.7 Injury and illness incident reporting.

A full report of any injury or illness incident occurring at a spray ground shall be reported by the owner/operator to the permit-issuing official within 24 hours of its occurrence, and a notation recorded in a log book. This shall include all incidents occurring at a spray ground facility which: (a) result in death; (b) require resuscitation; (c) require referral to a hospital or other facility for medical attention; or (d) is an illness alleged to be associated with the spray ground water quality.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

CONSTRUCTION

Section 6-3.8 - Approval of plans and reports

Section 6-3.8 Approval of plans and reports.

6-3.8 Approval of plans and reports.

(a) New construction.

(1) No municipality, school district, person, group of persons, firm, corporation, association, organization or institution shall install or construct a spray ground, or make any addition or modification to an existing spray ground, until plans and specifications receive the approval of the permit-issuing official. All plans shall be prepared by a person licensed by the State of New York to practice engineering or architecture. The permit-issuing official may require, when granting this approval, such modifications or conditions as the public health or safety may require.

(2) Design standards for spray grounds (see Section 6-3.24 of this Subpart) shall be the basis upon which all plans for spray grounds shall be reviewed, approved and constructed.

(3) Plans for any potable water treatment or sewage treatment facilities to be constructed on-site at spray grounds shall be approved prior to construction, by the permit-issuing official or such agency having jurisdiction for such plan approval.

(b) Spray grounds constructed prior to the effective date of this Subpart.

(1) The owner/operator of a spray ground constructed prior to the effective date of this Subpart must submit a report addressing all of the design criteria specified in Section 6-3.24. This report shall be prepared by a New York State licensed professional engineer and must be submitted to the permit-issuing official at least 90 days prior to the proposed opening date. The report must evaluate the spray ground’s compliance with this Subpart and identify each aspect of non-compliance and include recommendations for compliance. The permit-issuing official shall obtain the approval of the State Department of Health prior to granting or denying approval of alternative provisions recommended by the professional engineer as providing an equivalent level of protection for compliance with design criteria in Section 6-3.24. Waivers for those alternative provisions shall be issued in accordance with Section 6-3.6(b).

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.9 - Construction compliance certificate

Section 6-3.9 Construction compliance certificate.

The operator shall submit, prior to public use of new facilities or equipment, a construction compliance certificate to the permit-issuing official. This certificate shall be prepared and signed by a professional engineer or architect licensed to practice in New York State. The certificate shall include a statement that the spray ground and the appurtenances have been constructed in accordance with approved plans and specifications.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

OPERATION, SUPERVISION AND MAINTENANCE

Section 6-3.10 - Spray ground operation and maintenance

Section 6-3.10 Spray ground operation and maintenance.

(a) Every spray ground shall be maintained and operated in a clean, safe and sanitary manner at all times. Spray ground recirculation and chemical disinfection equipment shall be operated continuously. Ultraviolet light disinfection units shall be operated in accordance with approved plans and specifications.

(b) Spray ground equipment and appurtenances shall be operated and maintained in accordance with approved plans and specifications.

(c) Cracks in the spray pad and/or decking shall be repaired when they may be a potential for leakage, present a tripping hazard, a potential cause of lacerations, or impact the ability to properly clean and maintain the spray pad area.

(d) Drain grates shall be secured in place at all times. Broken or missing drain grates shall be repaired or replaced before the spray pad is used.

(e) Inlets shall be adjusted to produce uniform circulation of water and to facilitate the maintenance of a uniform disinfectant residual throughout the spray pad treatment tank.

(f) The water level in the spray pad treatment tank shall be maintained continuously by an automatic level control system.

(g) The deck shall be kept clean and free of puddled water. Glass containers are prohibited from the spray pad and all deck areas.

(h) Foot showers shall be kept clean and free of puddled water.

(i) At the beginning of each day prior to use and at other times when needed, the spray pad must be adequately cleaned and flushed to remove any materials or contaminants on the surface of the spray pad. The water must be flushed to waste and not discharged into the spray pad treatment tank. Flushing may be accomplished by use of a hose supplied with potable water or by operation of the spray features providing it adequately flushes the entire pad surface and is discharged to waste.

(j) The spray pad treatment tank shall be completely drained and cleaned at a frequency necessary to maintain water quality.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.11 - Treatment

Section 6-3.11 Treatment.

All spray grounds shall be equipped with a recirculation system which includes filtration and disinfection facilities to provide water quality consistent with the bacteriological, chemical and physical standards required in Section 6-3.19 of this Subpart. The filtration and chemical treatment systems for the spray pad treatment tank must operate 24 hours a day.

(a) Recirculation rate. The spray pad treatment tank water must be re-circulated and treated in accordance with the approved design rates.

(b) Filtration.

(1) Sand filters.

(i) High-rate sand filters (pressure or vacuum) can be operated at a filter rate up to 15 gallons per minute (gpm)/square foot (sf).

(ii) Filter air release valves shall be opened daily or more frequently if necessary to remove air, which collects in the filters.

(iii) Sand filters shall be backwashed at a flow rate of 12 to 15 gpm/sf or at the design rate recommended by the manufacturer.

(2) Diatomaceous earth filters.

(i) Diatomaceous earth filters shall be properly maintained and operated according to the manufacturer's instructions and at a filter rate not to exceed two gpm/sf with body feed or 1.5 gpm/sf without body feed.

(ii) Diatomaceous earth filter backwash water must discharge to the sewer system through a separation tank. The separation tank sludge shall be disposed of or treated as a solid waste material in accordance with local and State laws, rules and regulations.

(3) Cartridge filters.

(i) Cartridge filters shall be operated at a filter rate not to exceed a maximum of 0.375 gpm/sf.

(ii) Cleaning of cartridge filters must be in accordance with the manufacturer's recommendations. One complete spare set of cartridges shall be available at all times to facilitate cleaning.

(4) Flow measurement. All flow meters shall be maintained in accordance with provisions in Section 6-3.24(f)(8) of this Subpart.

(c) Disinfection/Chemical treatment. An automatic controller is required for monitoring and adjusting the level of free residual disinfectant and pH in the spray pad treatment tank. The following chemical disinfectants have been approved for use in spray grounds:

(1) Disinfection with chlorine. When calcium hypochlorite or sodium hypochlorite are used to disinfect a spray pad and the spray pad treatment tank the dose of chlorine or chlorine compound shall be sufficient to maintain a concentration of at least 2.0 mg/l free chlorine throughout the system including the treatment tank and water emanating from the spray features. A free chlorine residual of 10.0 mg/l shall not be exceeded in any spray pad treatment tank during use. All chlorine solutions shall be added to the spray pad water by chemical feed equipment conforming with standards contained in Section 6-3.24(h)(1) of this Subpart.

(i) Handling of calcium hypochlorite. When calcium hypochlorite is used as a disinfectant, extreme caution must be taken in the handling and mixing of the chemical to avoid possible fire and explosion hazards. A dry, aboveground, locked storage area shall be provided. Clean inert materials shall be used, and mixing must be by pouring the chemical into water and never by pouring water into the chemical.

(2) Disinfection with bromine. When bromine is used as the disinfectant, the following shall be followed:

(i) Bromine shall be fed on a continuous basis.

(ii) A concentration of at least 4.4 mg/l bromine residual shall be maintained throughout the system including the spray pad treatment tank water and water emanating from the spray features.

(iii) Solid-stick or tablet-type bromine (brom-chlor-dimethyl-hydantoin) shall be used with feed equipment conforming to the standards contained in Section 6-3.24(h)(iv) of this Subpart.

(3) Disinfection with ultraviolet light. Ultraviolet light disinfection is required in addition to an approved chemical disinfectant listed in this Section and shall be used as follows, unless another treatment process has been approved in accordance with Section 6-3.24(h)(3)(i):

(i) Ultraviolet light shall be used to disinfect water provided to the spray pad in accordance with the approved plans and specifications;

(ii) Ultraviolet light disinfection systems shall have a properly calibrated light intensity meter, automatic water flow shutoff in the event the light intensity decreases below the manufacturer’s recommended level for the flow rate and an alarm to advise the attendant of a system malfunction;

(iii) The ultraviolet light units shall be cleaned in accordance with the manufacturer’s recommendations;

(iv) The ultraviolet light unit’s ultraviolet light intensity meter reading shall be monitored and recorded at least two times daily. When the output intensity falls below the setpoint intensity, conditions causing decreased ultraviolet light intensity at the sensor shall be evaluated and corrected. The ultraviolet lamp(s) shall be replaced when the decreased ultraviolet light intensity is due to lamp failure;

(v) An operation log shall be maintained at the facility and entries shall be made for dates and type of maintenance and repair, including cleaning, lamp replacement, etc;

(vi) Lamps shall be replaced in accordance with manufacturer’s recommendations.

(4) Positive feed equipment shall be provided for pH control and the spray pad treatment tank water pH shall be maintained between 7.2 and 7.8.

(5) Other disinfectants. Disinfectants other than those listed above may be used only if the State Commissioner of Health determines they are safe and effective when used in accordance with the manufacturer's directions.

(6) Test kits/Testing. DPD test kits with reagents no more than one year old capable of measuring pH and chlorine or bromine residuals, shall be available at each spray ground. Tests shall be conducted and recorded for pH and free and total chlorine or bromine residual at the beginning, during, and at the end of each use period. Where required, reagents for alkalinity and hardness tests shall be available. Where ozone generating equipment is installed, ozone testing shall be conducted in accordance with Section 6-3.24(h)(5)(i) of this Subpart.

(d) Chemicals. Only chemicals approved for water supply use by the U.S. Environmental Protection Agency, as food additives by the U.S. Food and Drug Administration, or by the State Commissioner of Health, shall be used in spray grounds. Where equipment for chemical addition is required, it shall be installed and operated in accordance with Section 6-3.24 (h) of this Subpart. All chemical containers, including those used with chemical feeders, must be clearly labeled regarding their contents.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.12 - Water Supply

Section 6-3.12 Water supply.

The water supply serving all plumbing fixtures, including drinking fountains, lavatories and showers, shall, after treatment, meet the provisions required for a public water system as defined in Subpart 5-1 of the State Sanitary Code. A spray ground with an on-site water supply that does not meet the definition of a public water system must comply with the standards established in Subpart 5-1 for a non-community water system.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.13 - Sewage System

Section 6-3.13 Sewage system.

(a) All waste water including filter backwash water from a spray ground shall be discharged in such a manner that waste water cannot be siphoned, flooded or otherwise discharged into the spray pad treatment tank.

(b) Waste water from the spray ground shall discharge to a public sewer system or other approved sewage disposal system.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.14 - Garbage; refuse

Section 6-3.14 Garbage; refuse.

Garbage and refuse shall be collected, handled and disposed of in a sanitary manner.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.15 - Bathhouse and toilet facilities

Section 6-3.15 Bathhouse and toilet facilities.

(a) General. Toilet facilities and lavatories including diaper changing areas shall be maintained and conveniently located at a spray ground.

(b) Walls and floors of the bathhouse shall be kept clean and free from cracks or open joints. The floors shall be well drained.

(c) All fixtures within the bathhouse shall be maintained in a clean and sanitary condition at all times.

(d) All toilet facilities and dressing rooms shall be ventilated and maintained.

(e) Showers, when provided, shall be supplied with water at a temperature no more than 110ºF. Thermostatic, tempering or mixing valves shall be kept in good operation to prevent scalding of the users. Shower curtains shall be kept clean.

(f) All lavatories shall be provided with soap, paper towels or electrical hand-drying units, and covered waste receptacles. Suitable sanitary napkin receptacles shall be provided in toilet facilities used by females.

 

 

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.16 - Fencing/enclosures

Section 6-3.16 Fencing/enclosure.

(a) All spray pads shall be enclosed within a fence or other barrier to prevent access by patrons and animals when the spray pad is not supervised. Access to the spray pad shall be prevented when the spray pad is not supervised.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.17 - Lighting and electrical requirements

Section 6-3.17 Lighting and electrical requirements.

(a) Lighting or other electrical circuits provided in the spray pad area must be protected by ground-fault circuit interrupters in accordance with the Uniform Code.

(b) Defects in the electrical system, including overhead lights and their respective lenses, shall be immediately repaired.

(c) Portable electrical devices, such as announcing systems and radios within the reach of patrons on the spray pad, shall be prohibited.

(d) At all indoor spray pads and spray pads used at night, surface lighting shall be adequate to allow an observer to clearly see the spray pad and deck.

(e) Operators of existing spray grounds shall possess a certificate of electrical compliance with the Uniform Code issued by the New York Board of Fire Underwriters or equivalent certifying agency.

(f) No overhead electrical wiring shall pass within 20 feet horizontally of the spray pad.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.18 - Ventilation

Section 6-3.18 Ventilation.

All indoor spray grounds shall be adequately ventilated, either by natural or mechanical means.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.19 - Water quality

Section 6-3.19 Water quality.

(a) Sample collection and analysis. Microbiological samples shall be collected from spray pad treatment tanks when determined by the permit-issuing official to be necessary to evaluate water quality, and be examined in laboratories approved by the New York State Department of Health.

(b) Microbiological quality. Total coliform bacteria levels should not exceed 4 per 100 milliliters in more than one sample examined each month. When the membrane filter technique is used, or when the fermentation tube method is used, coliform bacteria shall not be present in more than 10 percent of portions analyzed in any month; also, total bacteria (heterotrophic plate count or standard plate count) shall not exceed 200 per milliliter.

(c) Chemical quality.

(1) The chemical quality of the spray feature water shall not cause irritation to the eyes or skin of the patrons or have other objectionable physiological effects on patrons.

(2) The total alkalinity of the spray pad treatment tank water shall be maintained within the range of 80 to 120 mg/l.

(3) The spray pad treatment tank water shall be chemically balanced. The permit-issuing official may require that the operator determine the saturation index monthly or at any other frequency required to maintain water clarity, proper disinfection, alkalinity, and pH levels.

(d) Cleanliness. The spray pad and features shall be kept free of sediment and visible soil, and the treatment tank water surface shall be kept free of visible floating matter.

(e) Turbidity. The turbidity in the spray pad treatment tank shall not exceed 3 nephelometric turbidity units (NTU) at any time during use. If this turbidity level is exceeded, the spray pad shall be closed for use until the spray pad treatment system reduces the turbidity to less than 3 NTU.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.20 - Operator and operating records

Section 6-3.20 Operator and operating records.

(a) Each spray ground shall be maintained by an operator familiar with its equipment. The operator shall comply with the regulations in this Subpart and any conditions of the permit.

(b) All spray grounds shall be maintained by a qualified swimming pool water treatment operator.

(c) Complete daily operation records shall be kept of the operation of each spray pad on forms approved or furnished by the State Commissioner of Health. Upon completion, a copy of such records shall be maintained at the facility for 12 months. The permit-issuing official may require submission of reports at periodic intervals.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.21 - Inspections

Section 6-3.21 Inspections.

The permit-issuing official and his/her designated representatives shall have the right of entrance and inspection of any spray ground facility as authorized under Section 1.11 of this Title. The most recent report of inspection shall be available at every spray ground facility.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.22 - Supervision

Section 6-3.22 Supervision.

(a) Personnel.

(1) At least one supervisory staff person shall provide periodic supervision of the spray ground as specified in the safety plan.

(b) Safety equipment.

(1) Required first aid equipment must be provided at the spray ground unless otherwise specified in the safety plan. A first aid kit, which may be any commercially prepared 24 unit kit or a supply of band aids, bandages, compresses and self adhering gauze bandages.

(c) Safety plan. Operators of spray grounds must develop, update and implement a written safety plan, consisting of procedures for daily patron supervision, injury prevention, reacting to emergencies, injuries and other incidents, providing first aid and summoning help. The safety plan shall be approved by the permit-issuing official and kept on file at the spray ground. Approval will be granted when all the components of this section are addressed so as to protect the health and safety of the patrons and the plan sets forth procedures to insure compliance with this Subpart.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.23 - General requirements

Section 6-3.23 General requirements.

(a) Care of suits and towels. All bathing suits and towels furnished or rented shall be washed with a detergent in hot water, rinsed and thoroughly dried after each use.

(b) Posting regulations. Signs stating the following shall be posted conspicuously at the spray pad or enclosure/entrance and in the dressing rooms of all spray grounds:

(1) The hours that a spray pad is open; and

(2) That spray pad use is prohibited at any other time.

(3) Individuals with diarrhea shall not use the spray pad.

(4) Spray features use recirculated water, do not drink.

(5) Children who are not toilet trained must wear a swim diaper covered by rubber pants.

(6) No animals on or near spray pad.

(7) Pollution of the spray pad area is prohibited. Urinating, discharge of fecal matter, expectorating or blowing the nose in any spray pad is prohibited.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Section 6-3.24 - Spray ground design standards

Section 6-3.24 Spray ground design standards.

(a) Submission of plans.

(1) General. All plans shall be prepared by a person licensed by the State of New York to practice engineering or architecture. All construction shall comply with the requirements of the Uniform Code. Plans, specifications and reports submitted for formal approval must contain sufficient information to demonstrate to the permit-issuing official or his/her designated representative that the proposed spray ground, or improvements thereto, will meet the standards contained herein and shall include, but not be limited to, those factors hereinafter set forth in Section 6-3.24(a)(2).

(2) Basis of design report.

(i) Spray pad shape and area.

(ii) Number and type of spray features and drains.

(iii) Spray pad treatment tank volume.

(iv) Feature and filter flow rates, turnover and filtration rate.

(v) Patron use (daily maximum and average).

(vi) Source, quality, quantity available and characteristics of the water supplied to a spray ground and spray pad, including alkalinity, pH, iron and manganese.

(vii) Detailed description of filtration, recirculation equipment and chemical feed equipment.

(viii) Hydraulic computations including head loss in all piping and recirculation equipment.

(ix) Pump curves, showing that the proposed recirculation pump can adequately pump proposed flows.

(3) Plans and specifications.

(i) General layout plan.

(a) Name and address of the proposed facility and the name and address of the owner.

(b) Scale, north point and direction of prevailing wind.

(c) Date, address, name, professional seal and signature of the design engineer or architect.

(d) A plot plan of the property to be used, indicating the topography, the arrangement and location of present and proposed structures, and the location of present and proposed spray ground.

(ii) Detailed plans. All detailed plans shall be drawn to a suitable scale and include the following information:

(a) Complete construction details, including dimensions, elevations and appropriate cross-sections.

(b) Schematic diagrams and plan and elevation views of the spray pad water treatment and recirculation system.

(c) Size and location of all piping, including elevations.

(d) Specifications. Complete, detailed specifications for the construction of the spray ground/spray pad, bathhouse, recirculation system, filtration facilities, disinfection equipment and all other appurtenances shown on detailed plans shall be submitted.

(b) Construction material.

(1) Materials. Spray pads shall be constructed of materials which are inert, stable, nontoxic, watertight and enduring. Sand or earth surfaces are not permitted.

(2) Finish. Spray pad surface must be slip resistant and easily cleanable.

(c) Design detail.

(1) Spray pad. The spray pad shall be sloped to drain(s). The slope shall be sufficient to prevent water from collecting on the pad.

(i) Drain systems. The size, number and locations of the spray pad drains shall be determined and specified so as to assure water does not accumulate on the spray pads. Flow through the drains to the spray pad treatment tank shall be under gravity, direct suction outlets from the spray pad are prohibited.

(a) Valves and piping shall be provided in the spray pad drain system to allow for discharging spray pad water to waste prior to returning to the spray pad treatment tank.

(b) Grating. Openings in the grates covering the drains shall not be over one-half inch wide. Gratings shall not be removable without the use of tools.

(2) Decks. A continuous clear deck shall surround the entire spray pad perimeter. It shall be not less than five feet wide. The deck shall be of a uniform, easily cleaned, impervious material and be protected from surface runoff.

(i) Slope. The deck shall be sloped at least one-fourth inch per foot to deck drains or grade.

(ii) Drainage. Deck drains, when used, shall be spaced and arranged so that not more than 400 square feet of area is tributary to each drain, and drains shall not be spaced more than 25 feet apart. There shall be no direct connection between the spray pad deck drains and the sanitary sewer system, or the treatment tank or recirculation system.

(iii) Carpeting. Carpeting shall not be permitted on the spray pad or decks.

(iv) Hose bibbs. Hose bibbs shall be provided to facilitate flushing of the spray pad and deck areas and shall be provided with antisiphonage devices.

(3) Foot Showers. Showers shall be provided at the entry to the spray pad to allow for rinsing debris from patrons’ feet prior to entering the spray pad except such showers are not required at indoor spray grounds or those within the enclosure of an aquatic amusement park. The use of foot baths is prohibited.

(i) Waste water from the foot showers shall be discharged to an approved waste disposal system to prevent standing water on the ground surface, and/or contamination of ground water, surface water or the spray ground.

(4) Fencing. All spray pads shall be provided with an enclosure to prevent access by patrons and animals when the spray pad is not supervised.

(5) Spray features. Spray features shall be designed and installed so as not to pose a tripping hazard, a hazard to patrons due to water velocity from the spray feature discharge, or other safety hazards.

(d) Lighting, electrical, ventilation requirements.

(1) Lighting. Artificial lighting shall be provided at all spray pads which are used at night, or which do not have adequate natural lighting, so that all portions of the spray pad and deck may be readily seen.

(i) Equipment rooms. All spray pad equipment and chemical storage rooms shall be provided with artificial lighting sufficient to illuminate all equipment and supplies.

(2) Electrical.

(i) Wiring shall conform to the Uniform Code and the requirements of the appropriate regulatory agency. A certificate of electrical compliance shall be submitted for all new electrical work.

(ii) Overhead clearance. No electrical wiring shall pass overhead within a 20-foot horizontal distance of the spray pad.

(iii) Electrical receptacles. Ground-fault circuit interrupters shall be provided on all spray pads, for all lighting and other electrical circuits in the area of the spray pad. These devices may be required in an existing spray pad, when the permit-issuing official determines it is necessary to protect the safety of patrons.

(3) Ventilation.

(i) Room ventilation. Bathhouses, mechanical equipment rooms, storage areas and indoor spray pad enclosures shall be ventilated, either by natural or mechanical means in accordance with requirements contained in the Uniform Code. Fuel-burning heating equipment shall be installed and vented to the outdoors in accordance with the Uniform Code.

(e) Water supply and wastewater disposal.

(1) Water supply. The water supply serving all plumbing fixtures, including drinking fountains, lavatories and showers, shall, after treatment, meet the provisions required for a public water system as defined in Subpart 5-1 of the State Sanitary Code. A spray ground with an on-site water supply that does not meet the definition of a public water system must comply with the standards established in Subpart 5-1 for a non-community water system.

(2) Cross-connection control. All portions of the water distribution system serving the spray pad and auxiliary facilities shall be protected against backflow and back-siphonage. Water introduced into the spray pad, either directly or to the recirculation system, shall be supplied through an air gap or by another method which will prevent backflow and back-siphonage.

(3) Sanitary wastes. Sanitary sewage shall be disposed of through a municipal sanitary sewerage system. If a private subsurface sewage disposal system or other system must be used, approval of the system must be obtained from the appropriate regulatory agency.

(4) Spray pad waste water. Water used to flush the spray pad shall be discharged to an approved waste disposal system through a suitable air gap so as to preclude the possibility of backup of sewage or waste water into the spray pad piping system. Approval of the system must be obtained from the appropriate regulatory agency.

(f) Spray pad treatment system design.

(1) The water from the spray pad treatment system cannot be combined/circulated with water from other aquatic facilities such as swimming pools, water slides, or wave pools unless:

(i) All the water from the spray pad is treated by ultraviolet (uv) light disinfection prior to combining/circulating with water from the other aquatic facilities or;

(ii) UV light disinfection must be provided to treat all of the water in the other aquatic facilities. The minimum flow rate through the treatment system shall be calculated using the two techniques described below. The larger flow rate resulting from the two calculations shall be the minimum flow rate used for the treatment system design. All recirculated water must pass through both the ultraviolet light unit(s) and filters.

(a) Minimum flow for ultraviolet light disinfection:

 

               

Q is in gallons per minute through the ultraviolet disinfection/filtration system
V is in gallons and is the volume of the pool.
Number of turnovers=14.8-ln(V)

The term ln(V) is the natural log of the volume.

(b) Minimum filtration rate for a combined pool/spray pad system:

The minimum filtration rate for a pool that shares water with a spray pad is specified in Section 6-3.24(f)(3)(ii)(c) of this Subpart. The minimum filtration flow rate shall be at least the sum of the flow rate for the pool type specified in Subpart 6-1 and one third of the spray feature flow rate.

(2) When water supplying the spray features is removed from the spray pad treatment tank by a pump separate from the filtration/recirculation pump system, the ratio of the flow rate of water supplied to the spray features directly from the treatment tank must not exceed 3 times the design filtered water flow rate.

(3) Recirculation systems and equipment. A recirculation system consisting of pumps, piping, filters, water conditioning and disinfection equipment, and other accessory equipment, shall be provided which will clarify, chemically balance and disinfect the spray pad water. The spray pad treatment tank filtration, circulation and spray pad chemical disinfection equipment must operate 24 hours a day.

(i) Equipment approval. Equipment used or proposed for use in spray pad water treatment shall be of proven design and construction and other than ultraviolet light units be tested and listed by the National Sanitation Foundation (NSF) or another testing laboratory under standards promulgated by NSF.

(ii) Turnover rate.

(a) When water is supplied to the spray features by a pump which removes water directly from the spray pad treatment tank independent from the spray pad treatment tank filter pump, the turnover rate for filtration will be determined by the feature flow rate. The filtration flow rate for the spray pad treatment tank must be at least one-third of the design spray feature flow rate.

(b) When all of the water supplied to the spray features is filtered upon removal from the spray pad treatment tank before being supplied to the spray features, a reduced pumping rate for filtration/treatment of the spray pad treatment tank water can be used when the spray features are not in operation. However, a minimum 4-hour turnover rate is required.

(c) The minimum flow rate through the filtration system for combined pool/spray pad systems shall be equal to or greater than the sum of the flow rate for the specific type pool as required by Subpart 6-1 of this Title, plus one third of the spray feature flow rate.

(4) Spray pad treatment tank.

The spray pad treatment tank that receives the effluent water from the spray pad shall conform to the following specifications.

(i) The volume of the water in the spray pad treatment tank shall be sufficient to assure continuous operation of the filtration system. The capacity shall be measured from six inches above the uppermost pump inlet to the bottom of the overflow waste outlet.

(ii) The spray pad treatment tank must be designed to provide ready access for cleaning and inspections, and be capable of complete draining. An overflow pipe to convey excess water to waste through a suitable air gap must be provided.

(iii) The spray pad treatment tank shall be constructed of materials which are inert, corrosion resistant, nontoxic, and watertight such as concrete, fiberglass, stainless steel, etc., which can withstand all anticipated loadings under full and empty conditions.

(iv) An automatic water level controller shall be provided for the spray pad treatment tank.

(v) The makeup water shall be introduced into the spray pad treatment tank through an air gap or by another method which will prevent back flow and back-siphonage.

(vi) A screen or similar device shall be provided through which all water from the spray pad shall pass before entering the spray pad treatment tank or another method/process described to provide for removal of debris on the surface layer of the spray pad treatment tank water.

(vii) Spray pad treatment tank filtered/treated water inlets.

(a) Number and location. An adequate number of filtered/treated water inlets shall be provided and located for complete mixing and circulation of treated water within the spray pad treatment tank.

(viii) Spray pad treatment tank drain. At least one main drain suction outlet supplying water to the spray pad treatment tank filtration system shall be provided at the deepest point in the spray pad treatment tank.

(5) Piping.

(i) Materials. The recirculation piping and fittings shall be of nontoxic material, resistant to corrosion, and able to withstand operating pressures suitable for water supply use.

(ii) Velocities. The pipes, fittings and valves of the recirculation system shall be sized so that velocities do not exceed 6 feet per second under suction, 10 feet per second under pressure and 3 feet per second in gravity flow. The velocities may be exceeded when hydraulic computations indicate higher velocities will not adversely affect the spray pad treatment system.

(6) Drainage and installation. All equipment and piping shall be designed and fabricated to drain completely by use of drain plugs, drain valves or other means. All piping shall be supported continuously or at sufficiently close intervals to prevent sagging. All suction piping shall be sloped in one direction, preferably toward the pump. All supply and return pipelines to the spray pad shall be provided with insertable plugs or valves to allow the piping to be drained to a point below the frost line. Provision shall be made for expansion and contraction of pipes.

(7) Pumps and strainers.

(i) Strainers. Strainers shall be provided through which all water shall pass before entering the pump. The strainers shall be of rigid construction, fabricated of corrosion-resistant material and sufficiently strong to prevent collapsing when clogged. The openings shall be no greater than one-eighth inch in any dimension. The total clear area of all openings shall be at least four times the area of the connecting pipe. The strainer shall have a quick-opening cover. Spare strainer baskets shall be provided. In systems where the filter is located on the suction side of the pump, strainers are not required.

(ii) Pumping equipment. The recirculation pump shall have adequate capacity to meet the design requirements of the spray pad treatment tank, including filter backwashing. It shall be of a self-priming type if installed above the hydraulic gradient. A gauge that indicates both pressure and vacuum shall be installed on the pump suction header and a pressure gauge shall be installed on the discharge side of the pump.

(8) Flow measurement and control.

(i) Flow measurement. A means of continuously measuring rate of flow shall be provided in the recirculation system. For sand filters, the flow-measuring equipment shall be located where the backwash flow rate can also be determined. The indicator shall be capable of measuring at least 1-1/2 times the design flow rate and shall be accurate within 10 percent of true flow. The indicator shall have a range of readings appropriate for the anticipated flow rates, and be installed where it is readily accessible for reading and maintenance, and with straight pipe upstream and downstream of any fitting or restriction in accordance with the manufacturer's recommendation.

(ii) Flow regulation: Automatic devices are required for regulating the rate of flow through the filtration system and flow to the spray features.

(g) Filtration (general). A spray pad treatment tank treatment system shall have one or more filters. It shall be installed with adequate clearance and facilities for ready and safe inspection, maintenance, disassembly and repair.

(1) Sand filters. The design filtration rate of high-rate sand filters (pressure or vacuum) shall not exceed a filtration rate of 15 gallons per minute per square foot of filter area. The sand filter system shall be equipped to backwash each filter at a rate of 12 to 15 gallons per minute per square foot of filter bed area, or as recommended by the manufacturer. The backwash water shall be discharged to waste through a suitable air gap.

(i) Filter media. Sand or other media shall be carefully graded and meet the manufacturer's recommendation for pool use.

(ii) Accessories shall include influent pressure gauge, effluent pressure gauge, backwash sight glass and air relief valve.

(2) Diatomaceous earth. The design filtration rate for pressure or vacuum filters shall be no greater than 1.5 gallons per minute per square foot of effective filter area, except that a maximum filtration rate of 2.0 gallons per minute per square foot may be allowed where continuous "body feed" is provided. The filter and all component parts shall be of such materials, design and construction to withstand normal continuous use without significant deformation, deterioration, corrosion or wear which could adversely affect filter operation.

(i) Precoating. The filter piping shall be designed to refilter or waste the effluent until a uniform body coat is applied. For pressure-type filters, precoat feed equipment shall be provided to apply not less than 0.1 pound of diatomaceous earth per square foot of filter area.

(ii) Body feed equipment. Body feed equipment capable of applying not less than 0.1 pound of diatomaceous earth per square foot of filter area per 24 hours should be provided.

(iii) Regenerative-type filters. Regenerative type of filters shall meet the same standards as pressure filters. Pumping by air or manual means must be provided for, and provision for visual inspection of elements shall be provided.

(iv) Accessories. Accessories for vacuum filters shall include a vacuum gauge and a vacuum limit switch interconnected with the pump. Pressure filters require a backwash sight glass, effluent pressure gauge, influent pressure gauge and air relief valve.

(v) Backwash. Diatomaceous earth filter backwash water must discharge to the sewer system through a separation tank and a suitable air gap. The separation tank sludge shall be disposed of in an approved solid waste disposal facility.

(3) Cartridge filters: filter rate. The design filtration rate for cartridge filters shall not exceed 0.375 gallon per minute per square foot of filter media.

(i) Cartridges. A complete extra set of filter cartridges must be on hand at user's location.

(ii) Accessories shall include influent pressure gauge, effluent pressure gauge and air relief valve.

(h) Disinfection. Spray pad treatment tanks shall be designed to provide for continuous disinfection of the spray pad water with a chemical which is an effective disinfectant and which imparts an easily measured, active residual. An automatic controller shall be provided for continuously monitoring and adjusting the level of free residual disinfectant in the spray pad treatment tank.

(1) Disinfectant feeders. An automatic feeder which is easily adjustable shall be provided for the application of disinfectant.

(i) Construction. Feeders shall be of sturdy construction and materials which will withstand wear, corrosion or attack by disinfectant solutions or vapors, and which are not adversely affected by repeated, regular adjustments or other normal use conditions.

(ii) Maintenance. Feeders shall be capable of being easily disassembled for cleaning and maintenance.

(iii) Operation. The design and construction shall minimize stoppage from chemicals intended to be used or foreign materials that may be contained therein.

(iv) Safeguards. The feeders shall incorporate antisiphon safeguards so that the disinfectant cannot continue to feed into the spray pad treatment tank, the spray pad piping system or the spray pad enclosure if any type of failure of the spray pad equipment occurs.

(v) Capacity. Feeders shall be capable of supplying disinfectant to the spray pad treatment tank in the range up to 10 mg/l chlorine or equivalent.

(2) Hypochlorinators. Where hypochlorinators are used, the following requirements shall apply:

(i) Feed. Feed shall be continuous under all conditions of pressure in the recirculation system without constriction of the recirculation pump suction.

(ii) Solution tanks. If calcium hypochlorite is used, two solution tanks, each with minimum capacity of one-day supply, should be provided. All chemical containers, including those used with chemical feeders, must be clearly labeled regarding their contents.

(3) Ultraviolet light disinfection units.

(i) Treatment systems shall include ultraviolet light disinfection systems unless another treatment process is provided that has been determined by the State Department of Health to be capable of providing the equivalent level of reduction of cryptosporidium as the ultraviolet light disinfection system specified in this section. All water that is provided to the spray pad shall be treated with ultraviolet light during spray pad operation. The ultraviolet light unit validated dosage shall be equivalent to 40mJ/cm2 or greater at the end of lamp life.

(a) All ultraviolet light units must be validated. The validation process must determine the ultraviolet light unit’s disinfection performance by indicating that a dose of 40mJ/cm2 (at end of lamp life) is achieved at a flow rate equal to or greater than the design flow rate at the setpoint intensity. Validation testing must be performed by an independent agency. The validation procedure used must have been determined by the State Department of Health to be capable of demonstrating the disinfection performance described above.

(b) For systems utilizing quartz sleeves to separate the water passing through the chamber from the ultraviolet source, the system shall be designed to permit cleaning of the lamp jackets and the sensor window or lens without mechanical disassembly. For systems utilizing polytetrafluoroethylene (PTFE) surface materials to separate the water that flows through the ultraviolet chamber from the lamps, the ultraviolet unit shall be designed to be readily accessible to the interior and exterior of the PTFE. The ultraviolet unit shall be designed to permit use of either physical or chemical cleaning methods.

(c) An accurately calibrated ultraviolet light intensity meter, properly filtered to restrict its sensitivity to the disinfection spectrum shall be installed in the wall of the disinfection chamber at the point of greatest water depth from the tube or tubes.

(d) An automatic system shall be installed to prevent flow to the features in the event the ultraviolet light intensity decreases below the validated setpoint.

(e) An automatic, audible alarm shall be installed to warn of ultraviolet light disinfecton system malfunction or impending shutdown.

(f) The unit shall be designed to protect the operator against electrical shock or excessive radiation.

(g) Installation of the unit shall be in a protected enclosure not subject to extremes of temperature.

(h) A spare ultraviolet lamp and other necessary equipment to effect prompt repair by qualified personnel properly instructed in the operation and maintenance of the equipment shall be provided on-site.

(i) The ultraviolet light unit shall be located between the spray pad treatment tank pump discharge and the spray features or as approved in accordance with Section 6-3.24 (f)(1).

(4) Disinfection with bromine. Where bromine is used as a disinfectant, the permit-issuing official shall first approve use of solid stick-type bromine and the equipment provided for feeding on a continuous basis.

(5) Ozone generating equipment (OGE) is acceptable only as a supplement to a chlorine or bromine disinfection system. When OGE is installed, the following design performance standards must be met:

(i) Ozone concentration in the spray pad treatment tank water shall not exceed 0.1 mg/l. Off-gassing of ozone shall not result in ozone levels in the equipment room or in the spray pad area exceeding 0.1 ppm. At the time the OGE is installed and annually thereafter the air space within 6 inches of the spray pad treatment tank water level and air in the equipment room shall be tested to determine compliance with this requirement.

(ii) All corona discharge OGEs must be vacuum systems.

(iii) Backflow of spray pad water into the OGE shall not occur.

(6) pH adjustment. Positive feed equipment for the purpose of adding a chemical for pH adjustment shall be provided. An automatic controller shall be provided for continuously monitoring and adjusting the level of pH in the spray pad treatment tank.

(i) Where carbon dioxide (CO2) is used as a method of pH control, the following features shall be provided:

(a) CO2 shall be injected into the recirculation pipe at the same point where pH adjustment solutions (i.e., acid) would normally be added. The recirculation pipe shall be of sufficient size and length to provide a minimum of five seconds contact time prior to bather contact.

(b) CO2 cylinders shall be anchored to prevent damage. Cylinders shall be inaccessible to the general public.

(c) The manufacturer's instructions shall be followed for installation and operation of cylinders. The units shall be operated by the designated persons listed in the safety plan.

(d) CO2 cylinders should be stored in a protective enclosure at the exterior of occupied structures. If CO2 cylinders are provided in the interior of occupied structures, they shall be placed in a ventilated enclosure. A louvered fresh air intake shall be provided near the ceiling. Mechanical exhaust ventilation shall be provided at the rate of one air change every three minutes and take suction near the floor as far as practical from the door and fresh air intake. Exhausted air shall be ducted to the exterior of the building through a continuous pipe of at least 1½ inches in diameter with the point of discharge so located as not to contaminate air inlets to any rooms or structures.

(7) Chemical feed equipment. Equipment and piping used to apply chemicals to the water shall be of such size, design and material that they may be cleaned. All material used for such equipment and piping shall be resistant to action of chemicals to be used therein.

(8) An automatic device shall be provided to deactivate chemical feeders when there is no flow in the spray pad treatment tank recirculation system.

(9) Test kit. Colorimetric test kits shall be provided for the determination of free disinfectant residual, pH of the pool water and, where necessary, total alkalinity and calcium hardness. FAS-DPD test kits are also acceptable. A supply of appropriate reagents for making each type of test shall be provided. When colorimetric tests are used, color standards shall be furnished for each of the tests, that allow an accurate comparison of the sample to be tested, both from the standpoint of color and density, and shall be reasonably permanent and nonfading. Electronic residual and pH monitoring devices may be used in addition to the test kit.

(i) Standards. A DPD (Diethyl-P-Phenylene Diamine) test kit with the following increments: 0.2, 0.4, 0.6, 0.8, 1.0, 1.5, 2.0, 3.0, 5.0, 10 ppm as a minimum, shall be provided to measure the chlorine residual. If other halogens are used, an appropriate scale shall be provided.

(ii) A pH kit. A pH test kit with a range from 6.8 to 8.2, accurate to the nearest 0.2 pH unit, shall be provided.

(i) Bathhouse.

(1) General. Adequate sanitary facilities shall be provided for all spray grounds.

(2) Diaper changing stations: Diaper changing stations shall be provided.

(3) Bathhouse design. Floors of the bathhouse shall be of smooth-finished material with nonslip surfaces, impervious to moisture, easily cleanable and sloped at least one-fourth inch per foot to drains. Carpeting shall not be permitted in shower and toilet areas. Junctions between walls and floors shall be coved and of smooth, impervious materials, free from cracks or open joints. Partitions between dressing cubicles shall terminate at least 10 inches above the floor, or shall be placed on continuous raised masonry or concrete bases at least four inches high. Lockers shall be set either on solid masonry or concrete bases at least four inches above the floor. Lockers shall be vented.

(4) Fixture requirements. An adequate number of toilet and handwashing facilities shall be provided.

(i) Fixtures. Plumbing fixtures and installations shall be in accordance with the Uniform Code.

(5) Hose bibbs. Hose bibbs shall be provided within the bathhouse to enable the entire area to be flushed. Hose bibbs shall be provided with antisiphonage devices.

(j) Miscellaneous.

(1) Manual. A manual(s) for operation and maintenance of the spray pad equipment shall be provided. It shall include instructions for each filter, pump, disinfection or other piece of equipment, drawings, illustrations, charts, operating instructions and parts list, to permit service, operation, winterization and maintenance.

Effective Date: 
Wednesday, March 28, 2007
Doc Status: 
Complete

Part 7 - Temporary Residences, Mass Gatherings, Children's Camps, Campgrounds and Agricultural Fairgrounds

Effective Date: 
Wednesday, May 16, 2018
Doc Status: 
Complete
Statutory Authority: 
Public Health Council, Section 225(4) of PHL

SubPart 7-1 - Temporary Residences (Hotels, Motels and Cabin Colonies)

Effective Date: 
Wednesday, December 23, 2009
Doc Status: 
Complete
Statutory Authority: 
Public Health Law, Sec. 225

GENERAL PROVISIONS

Section 7-1.1 - Definitions

GENERAL PROVISIONS
Section 7-1.1. Definitions.

(a) Adequate shall mean sufficient to accomplish the purpose for which something is intended, and to such a degree that no unreasonable risk to health or safety is presented. An item installed, maintained, designed and assembled, an activity conducted, or act performed, in accordance with generally accepted standards, principles or practices applicable to a particular trade, business, occupation or profession, is adequate within the meaning of the Subpart.

(b) Camping unit shall mean a tent, camping cabin, recreational vehicle or other type of portable shelter intended, designed or used for temporary human occupancy.

(c) Occupancy unit shall mean a room or group of rooms forming a single habitable unit intended to be used for overnight occupancy.

(d) Permit-issuing official (PIO) shall mean the State Commissioner of Health, the health commissioner or health officer of a city of 50,000 population or over, the health commissioner or health officer of a county or part-county health district, the State regional health director or district director having jurisdiction, or any county or public health director having all the powers and duties prescribed in section 352 of the Public Health Law.

(e) Person shall mean an individual, group of individuals, partnership, firm, corporation, association, political subdivision, government agency, municipality, estate or any other legal entity.

(f) Potable water shall mean water provided or used for human consumption, food preparation, or for lavatory, culinary, bathing or laundry purposes.

(g) Public health hazard shall mean any existing or imminent condition, which can be responsible for or cause illness, physical injury or death.

(h) Refuse shall mean all putrescible and nonputrescible solid wastes, including garbage, rubbish, ashes, incinerator residue, street cleanup, dead animals, offal and solid commercial waste.

(i) Sewage shall mean excreta and the waste from a flush toilet, bath, sink, lavatory, dish washing or laundry machine, or the water-carried waste from any other fixture or equipment or machine.

(j) Temporary residence shall mean a tract or tracts of land and any hotel, motel, cabin colony, building, camping unit or other structures including worker housing that may be pertinent to its use, maintained primarily for overnight occupancy by persons who are provided at least some part or portion of the use of the facilities.

(k) Uniform Code shall mean the 19 NYCRR Chapter XXXIII, Subchapter A – State Uniform Fire Prevention and Building Code.

Effective Date: 
Wednesday, December 23, 2009
Doc Status: 
Complete

Section 7-1.2 - Application

7-1.2 Application.

(a) The requirements of this Subpart shall apply to a temporary residence occupied by or maintained for occupancy by 11 people or more, except:

(1) temporary residences or portions of any such establishment which are occupied by the same persons in excess of 180 consecutive days in a calendar year as their domicile, while those portions of the temporary residence are so occupied. This exclusion of portions of a temporary residence occupied by the same persons in excess of 180 consecutive days shall not apply to worker housing.

(2) a hotel or motel located in a city with a population of 125,000 or more for which all water is derived from a public water supply system and from which all sewage is discharged to a public sewer system;

(3) a temporary residence consisting of a single occupancy unit rented in its entirety for common use by a group, provided it is not part or otherwise affiliated with a temporary residence as described in Section 7-1.1(j);

(4) a temporary residence or portion thereof, occupied by the owner or operator thereof, or his family;

(5) a temporary residence occupied for less than 60 cumulative hours in any calendar year;

(6) a temporary residence used as a jail, hospital, nursing or convalescent home, or otherwise offering residential or custodial care to individuals who are physically or mentally unable to completely care for themselves;

(7) a temporary residence used as a school or college dormitory, or a fraternity or sorority house that is affiliated with an academic institution approved under the Education Law;

(8) a temporary residence operated as a domestic violence shelter, homeless shelter or hospice residence;

(9) a temporary residence which the Commissioner, based upon consideration of the nature, duration and continuity of its occupancy, the degree of occupant control over the use and nature of the property’s facilities, the purpose of the property’s occupancy and the extent to which the property may be subject to the regulation of other agencies, reasonably determines not to be within the intent of regulation under this Subpart.

(b) The requirements of this Subpart shall not apply to a children’s camp, campground, mass gathering, migrant farmworker housing or a mobile home park as defined in Subparts 7-2, 7-3, 7-4 and Parts 15 and 17 of this Title respectively.

Effective Date: 
Wednesday, December 23, 2009
Doc Status: 
Complete

Section 7-1.3 - Permit for operation, inspection, access

7-1.3 Permits to operate a temporary residence required; application, issuance, revocation, posting, inspection, access.

(a) No person shall operate a temporary residence or cause or allow the same to be operated, without a permit from the permit-issuing official.

(b) Application for a permit shall be made on a form specified by the Department, by the operator to the permit-issuing official at least 60 days before operation or the expiration of an existing permit or a change in name, owner or operator.  For new construction, such application shall include a copy of the certificate of occupancy issued by the local code enforcement official.

(c) The permit-issuing official shall issue a permit if the temporary residence conforms or will conform at the time of operation to the requirements of this Subpart and will not present a danger to the health and safety of the occupants and general public. An applicant's past history of compliance or non-compliance will be a consideration in evaluating the previously mentioned criteria.

(d) A permit may be denied, revoked or suspended by the permit-issuing official or the State Commissioner of Health if the temporary residence is maintained, operated or occupied in violation of the Public Health Law, this Title or other applicable provisions of the Uniform Code. Before denial, suspension or revocation of a permit, or after receipt of a notice of violation, the operator shall have the right to appeal to the permit-issuing official, except that when a public health hazard exists, a permit may be temporarily suspended pending a hearing. A permit will also be revoked upon request of the operator or upon abandonment of the temporary residence operation. Following the revocation, an application shall be filed for a new permit before resumption of operation.

(e) A permit for a temporary residence shall be issued for a period of not more than three years from the date of issue. A permit shall not be transferable or assignable and shall expire upon a change of the operator of the temporary residence or upon the date specified by the permit-issuing official.

(f) The permit-issuing official or representative shall be allowed entry at any time for the purposes of inspection to any property operated as a temporary residence as defined by this Subpart.

(g) A permit issued for the operation of a temporary residence shall be posted in a conspicuous place on the premises.

(h) A separate permit shall be required to operate a children’s camp. A bathing beach, swimming pool, recreational aquatic spray ground or a food service establishment operated as part of a temporary residence, for which a permit is required under the provisions of this Subpart, shall not require the issuance of a separate permit.

(i) The permit-issuing official may establish procedures for the exchange of information with other State or local governmental agencies having responsibility for making health or safety inspections of buildings, including temporary residences as defined in this Subpart, and may utilize the information provided by any such agency in making a determination regarding the issuance, denial or revocation of a permit required by this Subpart.

Effective Date: 
Wednesday, December 23, 2009
Doc Status: 
Complete

Section 7-1.4 - Enforcement; public health hazards and other violations

7-1.4 Enforcement.

(a) Permits and placarding.

(1) The permit-issuing official may order any facility operating without a permit as required in Section 7-1.3 to close, and remain closed until a valid permit for operation of the facility is obtained.

(2) The enforcement procedures delineated in the Public Health Law or otherwise provided by law shall be used as appropriate. Where a public health hazard is found, the portion of the temporary residence impacted by the hazard shall be placarded to prohibit use until the hazard is corrected in order to protect the public health and safety of the occupants. When a placard is used, it shall be conspicuously posted at each entrance or walkway leading to the portion of the property where the hazard exists. The placard shall state the authority for its placement and indicate that concealment, mutilation, alteration, or removal of it by any person without permission of the permit-issuing official shall constitute a violation of this Title and the Public Health Law.

(3) As soon as possible and in any event within 15 days after placarding a facility, the operator shall be provided with an opportunity to be heard and present evidence that continued operation of the facility does not constitute a danger to the public. The hearing shall be conducted by the permit-issuing official or the designated hearing officer.

(4) The permit-issuing official or designated representative shall inspect the premises within two working days of notification that the hazard has been eliminated. The placards will be removed after the permit-issuing official or his designated representative verifies that the hazard has been eliminated.

(b) Public health hazards.

Any of the following violations are public health hazards which require immediate corrective or remedial action and which require the permit-issuing official or designated representative to order immediate correction or to immediately institute action as provided in the law and in this Subpart:

(1) the condition of the electric service, wiring or electrical system components is such that an imminent fire or shock hazard exists;

(2) the potable water system contains contaminants in excess of the maximum contaminant levels prescribed in applicable sections of Part 5 of this Title;

(3) use of an unapproved water supply source for potable use;

(4) insufficient quantity of water to meet drinking or sanitary demands;

(5) the treatment of the potable water system, when required for disinfection or removal of contaminants, is not continuous;

(6) disinfection of the potable water system is inadequate to destroy harmful microorganisms or to maintain a specified chlorine residual;

(7) the presence of cross connections or other faults in the water distribution or plumbing systems which result, or may result, in the contamination of the potable water system;

(8) inadequately treated sewage discharging on the ground surface in an area accessible to the facility occupants and/or public, or which may result in pollution of a ground or surface water supply or bathing beach;

(9) inadequately operated and/or maintained fire alarm and fire suppression systems;

(10) failure to provide or maintain required exits;

(11) failure to maintain required exits or smoke barrier doors, emergency lights, or exit signs;

(12) improper storage of flammable, volatile liquids or hazardous materials;

(13) any other condition the permit–issuing official determines to be a public health hazard.

Effective Date: 
Wednesday, December 23, 2009
Doc Status: 
Complete

Section 7-1.5 - Operator responsibilities and reporting requirements

7-1.5 Operator responsibilities and reporting requirements.

(a) The operator of a temporary residence shall employ or designate an individual who is acceptable to the permit-issuing official to be in charge of the property to maintain the facilities, and who shall be on or available to the property at all times when the property is occupied or open for occupancy, who is capable of providing an adequate response to all matters affecting the life, safety and health of the occupants.

(b) A telephone number or other method for summoning the indivi